51³Ô¹ÏÍø

Description

Site Handover to Contractor

The handover process to a Principal Contractor (PC) involves several key steps to ensure a smooth transition and compliance with CDM requirements.

To formally handover the space to the Principal Contractor, the Project Manager must ensure the following has occurred: 

• Health & Safety (H&S) Induction Certificate received and issued to the PC
• Decontamination Certificates issued to the PC
• Area Clearance Certificates issued to the PC
• Any Asbestos Clearance Certificates if applicable
• All necessary isolations have been carried out, and a record of the isolations have been formally received
• A Handover Form is to be completed by the Project Manager, relevant signatures obtained and then issued to the Principal Contractor and Technical Author for their records

Once the above has been carried out, the Principal Contractor can formally take ownership of the space under CDM regulations.

Space Approval Forms & Area Clearance Certificates to Space Management Team

This process involves any amendments to a space on an 51³Ô¹ÏÍø site, including any addition in space, change of space, or release of space. Any space to be affected by project works requires confirmation that the site is clear of hazardous materials, as well as updates to 51³Ô¹ÏÍø systems such as Pythagoras to ensure changes of space have been correctly logged. The decontamination certificates, area clearance forms, handover form and change of space form is to be completed and sent to the Space Manager, advising them of CDM handover of space to the PC.

Engagement

• Health & Safety Advisor (Construction) for H&S Induction Certificate
• Maintenance Teams for isolation schedules and records of isolations carried out
• Space Manager (g.madfai@imperial.ac.uk) for any Space Change Forms, Area Clearance Certificates, Decontamination Certificates etc.
• CAD Compliance Team (cadcompliance@imperial.ac.uk) for any Space Change Forms or amendments to layout for 51³Ô¹ÏÍø systems. 
• End-users/Building Managers to confirm amendments to space and acceptance of Change of Ownership and Change of Financial Charges

Forms & Links

• Space Change Form:
• Equipment Decontamination Form:
• Area Clearance Decontamination Certificate:

Approval & Compliance Review

All space approval forms will need to be sent to the Space Manager for approval, which will be granted via a digital signature on Box.

Repeated Subsequent RIBA Stages

RIBA Stage 6

At Practical Completion, the area will be formally be handed back to 51³Ô¹ÏÍø. The Practical Completion Certificate is to be forwarded to the Space Manager, so they are aware that the area is back under 51³Ô¹ÏÍø's control. Handover Space Form for any additional space sent to the Space Manager, to be completed by the Project Manager and End-Users. 

Description

As part of the Main Contractor procurement for a project, depending on the nature of the works involved in the project, there may be a need to seek warranties from the subcontractors working under the main contractor, typically these warranties would be obtained from a key subcontractor undertaking key elements of works as part of the overall project, this will be agreed by the Category Manager and Project Team during the Main Contractor procurement activity. 

An example list of warranties for a project would be: 

• MEP Subcontractor
• Fit-Out Subcontractor
• Architectural Metalwork Subcontractor
• Flooring Subcontractor 
• Civils/Groundworks Subcontractor
• Specialist Joinery Subcontractor
• Other specialist trade subcontractors

If the Main Contractor becomes insolvent, the subcontractor's warranty provides 51³Ô¹ÏÍø the ability to carry a contractural relationship directly with the subcontractor, this enables 51³Ô¹ÏÍø to instruct any remaining works to happen and/or make legal claims for existing works undertaken. The provision for subcontractor warranties are included in both JCT and NEC suites of contracts. 

Engagement

• Project Team to facilitate the subcontractor warranty process
• Responsible Director of Department to support and approve the subcontractor warranty process 
• Category Manager (Abad Zalal - a.zalal@imperial.ac.uk) to review and approve all subcontractor warranty documents and execute the required warranty documents
• Head of Procurement to execute warranty documents

Forms & Links

Note: The information found in the links below is commercially sensitive, if you are unable to access the links above, please contact the Category Manager. 

• (Process) Non-HRB Building Suite of Contracts:
• (Process) HRB Building Suite of Contracts:
• (Process) 51³Ô¹ÏÍø Purchase Order T&Cs:
• (Process) Ancillary Documents:
• (Guidance) Procurement Process Flowchart:

Approvals & Compliance Review

The Category Manager is to approve subcontractor warranty documents. All subcontractor warranties are issued via Docu-Sign for execution, to the Subcontracto and Main Contractor for sign-off. All subcontractor warranties are then executed by the Category Manager and Head of Procurement. 

Repeated Subsequent RIBA Stages

Subcontractor warranties are requested during the construction phase (RIBA 5) of the Main Contract. 

Description

The purpose of this Contractor Safety Induction (Pre-Mobilisation CDM Compliance Meeting) is to provide formal client-side assurance that all statutory, organisational and project-specific health and safety arrangements are in place prior to contractor mobilisation to site.

This meeting serves as a pre-mobilisation compliance gateway under CDM 2015 and ensures:

• Statutory dutyholders are formally appointed and aware of their responsibilities
• The Construction Phase Plan (CPP) is suitable and sufficient
• Pre-Construction Information has been adequately considered
• Building operational risks are addressed
• Interfaces with occupied environments are controlled
• Emergency, fire and permit arrangements are confirmed

The induction provides Building Management/Maintenance Teams with assurance that the Principal Contractor (PC) has robust health and safety management arrangements and that all known risks are understood and controlled. The PC may also use this forum to clarify outstanding matters not fully addressed within the Construction Phase Plan.

Engagement

The Project Manager (PM) is responsible for initiating the induction meeting once the proposed site handover date has been confirmed. The induction must take place prior to mobilisation and before construction works commence. 

The PM shall: 

• Arrange the meeting (Microsoft Teams or face-to-face, as appropriate)
• Circulate the 51³Ô¹ÏÍø Safety Induction Agenda in advance
• Ensure all required documentation is available for review
• Invite relevant stakeholders

Attendees shall include as a minimum:

• Principal Contractor (lead representative)
• Contractor Site Manager 
• Principal Designer (or representative)
• Project Manager
• Health & Safety Representative (chair)
• Building Manager
• Maintenance Manager/Supervisor
• Fire Safety Representative (where applicable)
• Security Representative (where applicable)
• User group Representative (where applicable)
• Any other relevant stakeholders identified by the PM

The Health & Safety Team shall chair the meeting and ensure the agenda is fully covered. The PM shall complete the 51³Ô¹ÏÍø Safety Induction Certificate template, recprd attendance and forward completed form to Health & Safety Team. 

Forms & Links

• Safety Induction Agenda:
• Safety Induction Certificate:

Approvals & Compliance Review

At the conclusion of the induction meeting: 

• The Health and Safety Team will issue a signed Safety Induction Certificate
• The certificate will be distributed to all participants
• A copy will be retained within the project compliance file

Description

The Construction Phase Plan (CPP) is a statutory requirement under the Construction (Design and Management) Regulations 2015 (CDM 2015). No construction work may commence unless a suitable and sufficient CPP has been prepared. 

The CPP must set out the Principal Contractor's arrangements for: 

• Project-specific and tailored to the scope of works
• Proportionate to the scale, complexity and risk profile of the project
• Clear, practical and capable of implementation on-site
• Has sufficient detail to clearly set out the arrangements, site rules and special measures needed to manage the construction phase
• Proportionate to the scale and complexity of the project and risks involved

The CPP must be: 

• Project-specific and tailored to the scope of works
• Proportionate to the scale, complexity and risk profile of the project
• Clear, practical and capable of implementation on-site
• Has sufficient detail to clearly set out the arrangements, site rules and special measures needed to manage the construction phase
• Proportionate to the scale and complexity of the project and the risks involved

The CPP should avoid unnecessary or generic documentation that obscures key arrangements (e.g. generic risk assessments or excessive method statements). The emphasis should remain on clarity of managment controls and coordination mechanisms. 

As a minimum, the CPP should address:

• Project description, key dates and dutyholder details 
• The health & safety objectives for the project
• Site rules and behavioural expectations
• Arrangements for cooperation and coordination between contractors
• Worker consultation and engagement mechanisms
• Site induction arrangements 
• Welfare facilities 
• Fire and emergency procedures
• Arrangements for managing Schedule 3 high-risk activities (where applicable)
• Traffic and logistics management 
• Interface management within occupied environments (where relevant)

Engagement

The Project Manager (PM) must provide the Principal Contractor with all relevant Pre-Construction Information (PCI) to enable preparation of a suitable and sufficient CPP. The Principal Contractor is responsible for preparing the CPP prior to mobilisation.

The PM shall:

• Receive the CPP from the Principal Contractor
• Undertake an initial review to ensure it is project-specific
• Forward the CPP to relevant stakeholders, including the Health & Safety Team for review and comment
• Ensure the CPP has been accepted before works commence

Construction works must not begin until the CPP has been reviewed and deemed adequate

Forms & Links

There is no mandatory 51³Ô¹ÏÍø template for the CPP. PC may use their own format, provided all statutory requirements under CDM 2015 are addressed. 

Approvals & Compliance Review

The completed CPP must be submitted to the Health & Safety Team for review prior to commencement of construction works. 

The review will assess whether the CPP is: 

• Suitable and sufficient for the specific project
• Proportionate to identified risks
• Consistent with the Pre-Construction Information
• Reflective of the design risk management arrangements
• Adequate in addressing high-risk construction activities. 

Any feedback or required amendments must incorporated before mobilisation. The CPP may be subject to ongoing review during CDM Compliance Oversight Inspections to ensure it remains implemented and effective. 

Repeated Subsequent RIBA Stages

The CPP is a live management document and must be reviewed and updated throughout the construction phase.

Description

Projects that meet the statutory threshold for notification under the Construction (Design and Management) Regulations 2015 (CDM 2015) must be formally notified to the Health & Safety Executive (HSE) in accordance with Schedule 1 of the Regulations. 

A project is notifiable if it is expected to: 

• Last longer than 30 working dats and have more than 20 workers working simultaneouslyt at any point, or - 
• Exceed 500 person-days of construction work

The purpose of the F10 Notification prcoess is to:

• Formally notify the HSE of a notifiable construction project
• Confirm that statutory dutyholder appointments (Client, Principal Designer, Principal Contractor) are in place
• Ensure all information required under Schedule 1 of CDM 2015 are accurately declared

51³Ô¹ÏÍø as the Client, retains the legal duty to notify the HSE for all notifiable projects. This responsibility is not delegated to other dutyholders unless formally authorised by the Health & Safety Team.

Upon submission, the HSE will issue an F10 acknowledgement. This document must be: 

• Shared with all CDM dutyholders
• Displayed in the contractor's site office
• Displayed on the contractor's onsite health and safety notice board
• Kept current throughout the duration of the project

Engagement

The Project Manager (PM) is responsible for initiating the F10 process as soon as it is confirmed that the project meets the notification threshold.

The PM shall: 

• Complete the 51³Ô¹ÏÍø F10 Notification form
• Submit the completed form to the Health & Safety Team for review
• Ensure information provided is accurate, including project duration, workforce estimates and dutyholder details

The Health & Safety Team will:

• Review the submission for completeness and compliance
• Submit the F10 notification to the HSE
• Circulate the HSE acknowledgement to all relevant dutyholders

The PM must notify the Health & Safety Team promptly so that the F10 can be with the HSE where there is:

• A change of Principal Designer, or Principal Contractor
• A significant change to project scope
• A material extension to the construction programme 

The PM and Principal Contractor are responsible for ensuring that the F10 remains accurate and reflects the current project status until completion.

Forms & Links

CSM09 F10 Notification:

Approvals & Compliance

The completed 51³Ô¹ÏÍø F10 Notification Form must be forwarded to the Health & Safety Team for review and submission to the HSE

Repeated Subsequent RIBA Stages

The F10 notification does not need to be repeated at subsequent RIBA stages unless: 

• There is a significant change in project scope
• There is a change in statutory dutyholders
• The construction duration materially increases
• Workforce numbers increase beyond declared thresholds

Description

Record documents are required as evidence of works carried out and a deliverable as an outcome of a completed project. Construction record documents provide information to aid the Building and Maintenance Teams to safely maintain the handed over spaces and re-order items as necessary. They provide information on the works area for future renovation or construction work, and a record of the works carried out by the contractor in the event of any future enquiries. 

Reliable and complete record documents form a part of compliance to legislation such as the Building Safety Act, the Construction (Design and Management) Regulations, the Health and Safety at Work Act, Freedom of Information Act and the Limitations Act. 

Construction record documents include but are not limited to:

• Building Fabric Manual and Health & Safety File
• Mechanical, Electrical, Fire, Security and other specialist services manuals 
• As-Built/As-Installed drawings
• Fire Safety Information 
• Asset Registers

The Principal Contractor is responsible for delivering a complete set of record documents, produced to the format and layout outlined in 51³Ô¹ÏÍø's Property Division Record Document Guidelines. Completion should not be granted until approved, compliant and signed off documents have been delivered to the Records & Archives Officer for acceptance and onward distribution. 

When preparing the Contractor tender documents, an initial discussion should take place between the Project Manager and Records & Archives Officer to agree upon the quantity, format and type of record documents, to ensure that contractors can price appropriately in their tender returns/quotations. 

In the majority of cases the record document deliverables will fall under the standard record document production guidelines, but exceptions may need to be agreed based on location or scope of works, specialist installations and specfic end user or legal requirements. 

In all cases, the three record document guidelines, along with the project's EIR, must be included in the tender pack. 

Record Document Strategy Meeting

At the end of RIBA Stage 4, when the Principal Contractor has been appointed and before works commence, the Project Manager should schedule the Record Document Strategy meeting. 

Attendees should include: 

• Project Manager
• Principal Contractor
• Site Supervisor
• Information Manager
• Document Controller
• 51³Ô¹ÏÍø Records & Archives Officer
• 51³Ô¹ÏÍø Building Information Manager
• Principal Designer

The following should inform specific requirements and receive a copy of the meeting minutes: 

• 51³Ô¹ÏÍø Fire Officer
• Building Manager
• Maintenance Manager
• Other designers as applicable to the scope of works

The Records & Archives Officer will issue a completed Record Document Strategy Checklist after the meeting to all attendees, including the document reference number and registered project number and title, to provide a record of what has been agreed. This should be forwarded to anyone in the project team involved in the collation, production or review of record documents, and will for the basis for the Contractor to appoint a Technical Author (refer to Technical Author Appointment at RIBA 5)

Engagement

• Project Manager to discuss scope of work and record document deliverables with the Records & Archives Officer
• Additional requirements to be agreed with the Building Information Manager, Fire Officer, Building and Maintenance Managers and End Users as applicable to the works. 
• Principal Contractor to appoint a Technical Author from 51³Ô¹ÏÍø's recommended list or discuss with the Project Manager and Records & Archives Officer if they have their own Technical Author whom they would prefer to use. 

Forms & Links

• Record Document Process Guidelines:
• Building Fabric Manual Guide:
• Operations & Maintenance Manual Guide:

Approvals & Compliance Review

Review and compliance processes to commence from RIBA Stage 5.

Repeated Subsequent RIBA Stages

RIBA Stage 5

Production of draft O&Ms should commence and be included in the project programme and handover plan.

The Principal Contractor should appoint a Technical Author from the Property Division's recommend list to produce the Building Fabric Manual, Operating & Maintenance Manual and collate the approved drawings associated with these manuals. The Technical Author should be provided with the Record Document Strategy checklist to provide the basis for their quotation. All manuals should be produced in accordance with the O&M guideline documents. 

The Principal Contractor should issue a schedule of expected drawings and BIM models to the Records & Archives Officer and Building Information Manager when the early drafts are being produced. 

The review process is outline in RM09 Record Document Process Guidelines, and the content should be thoroughly reviewed by the Principal Contractor, Design Team, Supervisors, Principal Designer and Project Manager before being issued for internal review, unless otherwise requested. 

The Principal Contractor should keep the Project Manager updated of the progress of record document drafts and reviews, providing the latest tracker document at Project Progress meetings, showing what items are pending and target dates for their resolution. 

At the end of RIBA 5, the Project Manager should schedule a pre-handover record document meeting, inviting the attendees from the initial record document strategy meeting. This meeting should run through the deliverables agreed in the record document checklist, progress, final review and delivery dates, and any post-completion works known at this stage which may impact on the final records.

RIBA Stage 6

On handover, the Principal Contractor should issue a near complete draft, which at this stage should only be pending final certificates, client direct and post-completion items and internal reviews. If compliant as-built drawings have not yet been issued, the manual should as a minimum include a schedule of expected drawings. 

The date for final delivery of complete manuals should be agreed at this stage, and the Project Manager should be kept informed, providing regular updates to the Records & Archives Officer. 

Once the final complete set of record documents (including but not limited to: manuals, drawings, BIM model, asset register) have been signed off by the Project Manager, the Records & Archives Officer will carry out a final compliance check of the manuals and send the Issue Memo. The Issue Memo notifies end-users and stakeholders of the location of the final records for their use, and confirms formal acceptance by 51³Ô¹ÏÍø of the complete set of as-built record documents. 

RIBA Stages 6-7

Any additional works carried out due to defects resolution or updated end-user requirements will need to be caputred in revised or new record documents. The Project Manager should schedule a meeting with the Records & Archives Officer and the Building Information Manager to discuss the scope of additional works and agree upon how the delivered records are to be updated. 

Description

The MEP BIM Data Review ensures that all MEP models, associated asset data, and 2D deliverables comply with the project-specific Exchange Information Requirements (EIR) and BIM Execution Plan (BEP) at defined RIBA Stages.

In line with the End of Stage Review BIM and 2D process, formal reviews are undertaken at RIBA Stages 3, 4 and 5 to verify that MEP information is complete, coordinated and suitable to support design assurance, construction, commissioning, handover and long-term asset management.

The review focuses on both geometric coordination and data quality, ensuring that MEP systems, components and assets are correctly modelled, classified and populated in accordance with 51³Ô¹ÏÍø information standards. 

Engagement

• The Project Manager (PM) is responsible for ensuring that all required MEP BIM information is issued at the end of each relevant RIBA stage and uploaded to the approved Common Data Environment (CDE) for review.
• The Building Information Team undertakes the formal End-of-Stage BIM & 2D Review and issues comments where information does not meet the EIR.

Please refer to the Record Document Strategy with the Project Process Map for further information. 

Forms & Links

As-Built BIM & 2D information including Asset Schedules should be sent to the Building Information Team (cadcompliance@imperial.ac.uk) 

Approvals & Compliance Review 

At the conclusion of RIBA Stages 3, 4 and 5, the Space Management Team, Engineering Team and Maintenance Team will review all MEP models, data and drawings to confirm compliance with the EIR.

Stage completion and progression and conditional upon:

• Completion of the MEP BIM Data Review
• Resolution of all material comments
• Confirmation of compliance by the Project Information Manager via the Project Manager
• Unresolved MEP BIM data issues that present risk to coordination, safety, commissioning or asset management may prevent RIBA stage sign-off and progression to subsequent stages

Repeated Subsequent RIBA Stages

RIBA Stage 3

MEP BIM review includes checks against the EIR and BEP including:

• MEP data fields
• MEP system identification and classification
• Spot checks of 2D drawings and schedules against the model
• Identification of critical unresolved issues for the stage

RIBA Stage 4 

The Stage 4 MEP BIM review builds on Stage 3 and confirms:

• Developed geometry aligned to technical design intent
• Coordinated federated models and clash resolution status
• Alignment between models, drawings and schedules
• Closure or controlled management of critical issues prior to construction information release

RIBA Stage 5

The Stage 5 MEP BIM review confirms handover readiness, including: 

• Completed and validated asset data suitable for operation and maintenance
• MEP systems, connections and fire ratings fully modelled
• Asset tag photographs for maintainable elements 

Description

The Customer Services Centre (CSC) keeps a record of all maintainable assets throughout the estate. All existing assets are tagged with a unique asset number, and the maintenance of these assets are managed by CSC and Maintenance within 51³Ô¹ÏÍø's Computer Aided Facility Management (CAFM) system. 51³Ô¹ÏÍø have defined what they consider to be a maintainable asset, this list can be found within the Asset Management process webpages ("Types of Assets" - link below). 

• Prior to construction commencing, the Project Manager must email the Customer Services Centre and request a record of the existing assets for any areas that are due to be refurbished as part of the construction project. This involves any areas on other floors where Mechanical, Electrical and Plumbing (MEP) services are being adapted or assets removed. Within the email, include the exact areas where any construction works will be carried out. The 51³Ô¹ÏÍø Space Management system can be used to highlight the areas and include a screenshot in the email, so it is clear which areas you are requesting existing asset records for. 
• When adding new assets during project construction these should be recorded in an Asset Register. Depending on the agreed information deliverable the process may differ. Please see the "Asset Process" link below. 

Engagement

• Project Manager (PM) to email the Customer Services Centre (eo.csc@imperial.ac.uk)
• PM to ensure Consultants/Contractor is familiar with the asset process. 

Forms & Links

• Maintainable Asset Process:  
• Asset Management Webpage: Assets | Administration and support services | 51³Ô¹ÏÍø
• Types of Assets:  

Approvals & Compliance Review

Once the PM receives the records (it will be in a spreadsheet format), save it on Box under "Existing Asset Register". The PM will send the spreadsheet to the Principal Contractor and advise them that they need to follow the asset management procedure.