HOTOPlan Checklist Master

HANDOVER / TAKEOVER INSTRUCTIONS
Introduction
1. The handover (HO) of a project by the contractor representative (project delivery contractor) to the Defence appointed Project Director (PD) / Project
Manager (PM) and takeover (TO) of a project deliverables by the Defence Representative at the end of the delivery phase are very important stages of the
project procurement process, ensuring that a fit for purpose and safe for use asset is delivered. A well organised, efficient and effective transfer of the assets
(including leased property) and complete and accurate estate information from the project to Defence is essential to ensure Defence assets are operated and
maintained safely, efficiently and in compliance with all applicable legislation, Defence policy and Australian Standards.
2. To minimise issues during a project’s planning, design, delivery & defect liability period (DLP) phases and to streamline the Handover / Takeover (HOTO)
process; it is essential that all Defence estate projects satisfy and complete a range of legislative, procurement, Defence policy, estate compliance and estate
information requirements during these phases. Ensuring compliance with these Defence requirements is achieved by understanding roles and responsibilities,
early planning and engagement, ongoing consultation, use of the Defence HOTO Plan and Checklist to plan, implement and assure critical HOTO related
activities throughout the project lifecycle. Further information about HOTO stakeholder roles can be found in the HOTO - Responsible, Accountable,
Consulted, Informed (RACI) Workbook.
3. The HOTO documents contained within this workbook detail the actions and evidence required by Defence to demonstrate that the delivered project
works and activities are completed, accurately recorded, suitable for use and occupancy by Defence. The Project Lifecycle & HOTO Plan and Project
Lifecycle Criteria Instructions will assist the PD / PM in developing project and assurance plans for the provision of project deliverables and required actions
throughout the project lifecycle. By planning, monitoring, completing and assuring the agreed criteria in project planning, design and construction phases;
greater success and timeliness can be achieved for HOTO and DLP.
Aim
4. The aim of the HOTO instructions is to direct key project stakeholders in development and management of Project HOTO Plan and Checklist and collating
the evidentiary requirements pertaining to project specific and mandatory legislative deliverables.
HOTO Policy
5. The Defence HOTO policy applies to all Defence estate projects. The policy can be found on DEQMS at:
http://wwwdev/estatemanagement/lifecycle/PlanHandoverTakeover/Default.asp
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Scope & Application
6. The use of the HOTO Plan and Checklist document and development of a Project Lifecycle & HOTO Plan - 'HOTO plan' and other project plans is to occur
for all estate projects involving works on facilities, infrastructure, land, buildings and fixed plant & equipment that result in changes to the Defence estate.
Estate projects can include: facilities and infrastructure construction, repurposing, refurbishing, maintenance, land acquisition or disposal, leasing (including
Government Furnished Facilities [GFF] / Government Furnished Equipment [GFE]) and environmental projects delivered by Infrastructure Division (ID) and
the Service Delivery Division (SDD). Property acquisition, disposal, expenditure or revenue leases delivered by Property Management Branch (PM Br) are to
be considered as estate projects and are to use the HOTO checklist. Use of the HOTO Plan and checklist is not limited to E&IG: any Defence entity such as
Chief Information Officer Group (CIOG) and Capability Acquisition & Sustainment Group (CASG) must use the HOTO checklist to achieve estate project
outcomes.
7. The Estate Maintenance Operations Services (EMOS) contractors must use the HOTO Plan and Checklist when delivering E&IG Estate Works Program
(EWP) allocated maintenance projects. Additionally and as required by their base services contract (BSC), the EMOS undertake a range of responsive,
scheduled or performance based maintenance on the Defence estate. Substantial maintenance works can also be delivered by the EMOS through the
Alternative Proposal (AP) process. In both instances, EMOS use of the HOTO Plan & Checklist during the maintenance activities will assist in identifying
changes to estate information and, as required by their contract, managing the currency and accuracy of Defence estate information resulting from their estate
maintenance tasks. Use of the HOTO Plan & Checklist by EMOS for maintenance activities, including AP, should therefore be part of their internal quality
system approach to ensure consistency in the manner in which records are created or updated and contract change proposals (CCP) developed as required. On
the basis of this approach, identification and engagement with key stakeholders must continue to occur in these circumstances, however, completing the
checklist list stakeholder, Zone EMP and Defence representative signatures and approvals is not required.
8. Defence acknowledges that projects may have commenced using previous version HOTO documents. Where that has occurred, projects should continue
using the contract specified HOTO checklist. However where principles and practices outlined in newer version HOTO Plan & Checklist offer greater clarity
and benefit to the project and after consulting with project stakeholders, PD / PM should consider their use where there is no or minimal material effect.
Should a proposed change adversely impact the contract and/or have a material effect, the PD / PM must decide if there is sufficient benefit to pursue the
change with the Contract Authority.
Authority and Sponsor

9. The HOTO policy is issued under the authority of the First Assistant Secretary, Infrastructure and First Assistant Secretary, Service Delivery. Sponsors of
the policy are the Director General Estate Services Delivery and Director General Capital Facilities & Infrastructure. The Directorate Estate Planning &
Upkeep (DEPU) is the administering authority of the HOTO policy which includes ensuring that the policy, HOTO Plan & Checklist and instructions remain
current.

Estate Compliance Stakeholders
10. SDD, ID (Environmental & Engineering [EE] Branch), Explosive Ordinance (EO) Branch, Commander Joint Logistics (CJLOG through Fuel Services
Branch [FSB]), CIOG, Defence Security & Vetting Services (DS&VS) are several key stakeholders that are responsible for defining the applicable compliance
requirements and promulgating in Defence policies and for use in the HOTO processes and required project outcomes.
HOTO Terms
11. There are many direct and indirect critical activities exercised throughout the project lifecycle that lead to the principal HOTO activity occurring at the
end of the delivery phase. The HOTO event is completed in two stages commencing with the Handover “HO” then followed by the Takeover “TO”. The
terms mean:
a. HO. HO is the term used to describe a series of project delivery completion and assurance activities designed to satisfy the PD / PM that the Defence
Contractor Representative(s) have completed all of the required works to a satisfactory standard, the facility is safe and fit for purpose and Defence specified
estate information requirements are met (project completion). The HO is formalised by the contractor representative providing the required documentary
evidence to the PD / PM as identified in the HOTO Checklist and HOTO plan and the PD / PM issuing a completion certificate to the contractor representative
in accordance with the applicable contract clause(s).
b. TO. TO is the term used where the Defence Representative (Zone Director Service Delivery [DSD] or authorised delegate, usually the Zone Assistant
Director Estate Management &Planning [ADEM&P]) accepts the delivered works from the PD / PM into the Defence estate, enabling its use by the resident
unit(s) (RU) for its intended purpose. The acceptance is confirmed by the Defence Representative being satisfied that all project deliverables are satisfactorily
completed, the asset(s) is/are fit for purpose, evidentiary and Defence estate information requirements are met and signing the completed HOTO Plan &
Checklist to that effect.
12. The HOTO checklist introduces terms and a project log for recording caveats, waivers, issues and non-delivered items. The meaning for each of these
terms is:
a. Caveat. A caveat is a notice or warning issued by Defence. The caveat will normally be issued by the Defence Representative (Zone DSD or authorised
delegate) indicating the conditional acceptance by Defence that HOTO criteria can be met within an acceptable period of time post HOTO and within the DLP.
Caveats will be assessed on their associated risks and must be approved by the Defence Representative.
b. Waiver or Not Required. A notice issued by the Defence PD / PM to leave an item out of consideration or to disregard it.
c. Issue. A matter to be resolved by Defence and the contractor representative.

d. Contract Deliverable Not Provided. A contract deliverable not provided by the responsible contracted entity at the required time.
e. Defect. A defect is a fault, imperfection (including shrinkage), deficiency (or omission) in the delivered Works: something not to the required standard.
This includes any aspect of the Works which is not in accordance with the requirements of the Works Contract. The defect is to be rectified by the contractor
representative in accordance with the contract and agreed defect rectification plan.
Roles and Responsibilities for HOTO

13. The following roles and responsibilities apply for the HOTO checklist and documents:
a. Defence Representative. The Defence Representative (Zone Director Service Delivery (DSD) or authorised delegate e.g., Zone ADEM&P) is

responsible for accepting the delivered works from the PD / PM into Defence estate, enabling its use by the RU for its intended purpose. The acceptance is
confirmed by the Defence Representative being satisfied that all project deliverables are met, satisfactorily completed, safe, fit for purpose, Defence estate
information requirements are met and signing the completed HOTO checklist to that effect.
b. Zone EMP Representative. The Zone EMP representatives are responsible to contribute to key project activities, identify and raise project issues to the

PD/PM for resolution and ensure appropriate SDD support is provided throughout the project lifecycle. At HOTO, the Zone EMP representative validates the
HOTO Plan & Checklist once completed by the PD/PM and prepares the HOTO submission and recommendation to the Defence Representative.
c. PD / PM. The PD / PM are responsible for managing, assisting and guiding the Contractor Representative with development of the HOTO Plan &
Checklist. The PD / PM are to ensure that the Contractor Representative has provided all evidence to demonstrate that all project deliverables have been
satisfactorily completed, safe, fit for purpose and the Defence required estate information is accurate and completed. For CFI projects, the PD is contractually
represented by the Project Manager Contract Administrator (PMCA) contractor. For EWP projects, the PM role is fulfilled by the Project Delivery Services
[PDS] contractor). The PD or PM shall not delegate or transfer their HOTO responsibilities to the Estate Maintenance & Operations Services (EMOS)
contractor.
d. Contractor Representative. The Contractor Representative (usually the Head Contractor / Head Contractor (Medium Works) / Managing Contractor /
Design Services Contractor ) is responsible for developing the HOTO Plan & Checklist and managing and accepting works from delivery contractors subject
to the works being satisfactorily completed, safe, fit for purpose and Defence specified estate information requirements are met.
e. Project Manager Contract Administrator (PMCA). The PMCA (also referred to as the Consultant Representative) acts on behalf of the PD in the

management and verification of the Contractor Representative’s performance and achievement of contract and HOTO deliverables.

f. EMOS. Throughout the project lifecycle the EMOS have two primary roles: to provide advice to the Defence Representative, PD / PM and Contractor
Representative about Defence estate information whole of life maintenance requirements. EMOS are to ensure that their applicable specialists (subject matter
experts [SME]) who understand the project requirements are present at all project meetings as required.
g. Project Support Service (PSS). PSS staff are the EMOS representatives who provide industry expertise and site knowledge to assist projects to

maximise the effectiveness of project delivery and achieve project outcomes. PSS will directly provide and/or coordinate the provision of EMOS services in
support of all CFI and EWP projects.
h. Project Stakeholders. Project stakeholders are to attend required project estate planning, design and delivery meetings and contribute to the HOTO

process by assisting in the assessment that the facilities are satisfactorily completed, safe and fit for purpose. During the Design phase and at HOTO, all
stakeholders are required to sign, acknowledging their acceptance of the scope, design and delivered works.
i. RU. In addition to being stakeholders, RU are not to occupy or use facilities until they have been accepted by the Defence Representative and access
granted.
Developing and Completing HOTO Documents
14. The PD / PM shall engage with the Zone EMP Representative, EMOS PSS and stakeholders at the beginning of the project planning phase to agree initial
HOTO requirements prior to engaging the Contractor Representatives (HC, MC and / or DSC). The intent of this engagement is to collectively identify and
agree on project outcomes, HOTO Checklist, Project Lifecycle & HOTO Plan criteria and evidentiary requirements, Defence issued caveats or waivers and the
format and timing of when the evidence is to be presented. Once the Contractor Representative has been engaged, these documents would be reviewed and
updated to align with the agreed contract requirements.

15. For ease of use, essential HOTO Plan & Checklist documents are collated into an Excel workbook with tabs configured to provide the following
information and/or printable documents:
a. HOTO Instruction,
b. Project Details,
c. HOTO Checklist Signatures,
d. Project Lifecycle & HOTO Plan,
e. Project Logs,
f. DLP Checklist,
g. Project Lifecycle Criteria Instructions,
h. HOTO RACI, and
i. Abbreviations & Definitions.
16. The HOTO Plan & Checklist documents follow a project workflow and summarises actions to ensure that all critical project actions and deliverables
leading to HOTO are completed and a record kept by the PD / PM, Contractor Representative and EMOS PSS to that effect. The Project Lifecycle & HOTO
plan is intended to be used as a detailed "working" document that lists all HOTO criteria and evidence applicable to the project. It is to be regularly reviewed
and updated to record HOTO progress throughout all project phases. The HOTO checklist signatures provides a high level summary of agreed project HOTO
criteria and is used to record the completion of HOTO activities and acceptance by key project stakeholders. PD / PM are expected to initially select the
applicable HOTO checklist and plan criteria; and details of the evidence to be supplied as part of their project tender submissions. These are later agreed with
the Contractor Representative and formalised through the tender and contract negotiation process.
HOTO for Projects with Multiple Delivery Phases and/or Sites.

17. When large and/or complex projects such as a base redevelopment or a large new capability are delivered with multiple distinct delivery phases, a HOTO
Plan & Checklist must be developed for each phase. Similarly when CFI or EWP projects are delivering works across multiple Zones, Defence establishments
and/or training areas; a HOTO checklist and plan must be used for each location. Where agreed and deemed applicable for delivery at multiple locations
(typically for small and simple scope of works), a single HOTO Plan & Checklist can be used. Determination is to be made by the PD / PM after consulting
with the contractor and Zone EMP representatives.
Project Details
18. The table below provides a guide to complete the individual details for the relevant project. The PD / PM is to complete and update this worksheet as
information becomes available.

Project Stakeholders
19. The PD / PM and Contractor Representative are responsible for identifying all stakeholders who have an interest in and/or will be a recipient of any of the
delivered works under the project. It is important to identify all stakeholders as failure to correctly identify stakeholders could result in works being completed
that may not be safe, fit-for-purpose or do not meet the original intent of the project brief. The following table is an example.

20. The Contractor Representative and PD / PM should liaise with all stakeholders to determine and confirm who needs to provide acceptance of the delivered
works, or part thereof. The identified stakeholders must be well prepared and contribute to the successful completion of the HOTO process to Defence. Where
projects delivered across multiple Resident Units (RUs), the PD / PM and BM are to decide if a suitable single point of contact can be established to
communicate and represent all RU and locations.
21. The HOTO instructions provides a list of stakeholders typically involved with Defence projects, however, additional stakeholders can be included as
identified by the PD / PM and EMP Representative.
22. The above stakeholders, or their nominated representative, should be present during the final HOTO inspection to ascertain that the project is complete and
evaluate if the delivered works are fit for purpose. The stakeholders are then required to provide a signature to confirm that the delivered works meets the
requirements associated with their organisation(s) requirements.

Select HOTO Checklist and Project Lifecycle & HOTO Plan Criteria and Evidence
23. HOTO Checklist Signatures. This worksheet provides a summary of Project Lifecycle Criteria where the criteria status (Completed or Not Completed) is
directly linked and automatically updated from the Project Lifecycle & HOTO Plan workbook. The Checklist document is used at the end of HOTO to signify
that all project HOTO requirements have been met, remaining items are detailed in the project log & DLP list and to record the specified HOTO stakeholder
signatures. PD / PM are to ensure accurate completion of the HOTO Checklist Signatures worksheet and collect applicable stakeholder signatures before
forwarding to the Zone EMP Reprsentative for processing.
24. Project Lifecycle & HOTO Plan. This worksheet is a working document that records the agreed project lifecycle & HOTO criteria, evidence and status

of completion. The document is to be managed, regularly reviewed and updated throughout the project lifecycle by the Contractor Reprsentative and validated
by the PD / PM.
25. Selecting Criteria. At project commencement, the PD / PM, Zone EMP representative, PSS and successful contractor representative must work through
the proposed Project Lifecycle & HOTO criteria and evidence, to select and adjust where necessary and agree the final HOTO requirements. Note: it can be
beneficial if the PD / PM and Zone EMP representative pre-populate the HOTO Plan & Checklist and evidence requirements in the pre-tender documents to
minimise later adjustments. If further guidance is required about project Lifecycle & HOTO criteria and evidence requirements, the Project Lifecycle Criteria
Instructions provide additional detail and DEQMS links to relevant policy documents and manuals. For ease of reference, HOTO Plan criteria have quick
links to the corresponding section in the checklist guidelines. This is achieved by ‘clicking’ on the criteria item number in the left-hand column. There will be
circumstances where listed criteria may not be applicable due to the project scope and characteristics, e.g. a Design Services Contract (DSC) HOTO checklist
and plan will not require criteria relating to construction. Where it’s agreed that criteria are not applicable or not required, 'N/A' should be annotated in the
checklist ‘Status’ column. When 'N/A' is selected the criteria will be 'greyed out'.
26. With the agreement between the PD / PM, Zone EMP representative and contractor representative, HOTO criteria can be added and/or removed from the
HOTO Plan & Checklist if deemed necessary as the project progresses. By including the HOTO activities as an agenda item in project progress meetings,
agreed changes to the project HOTO Plan & Checklist must be documented.
Acceptance of Works
27. The HOTO Plan & Checklist is to be continually reviewed at project meetings and progressively updated throughout the project lifecycle by the Contractor
Representative and validated by the PD / PM in consultation with the Zone EMP Representative and EMOS PSS. To record progress and complete the
checklist and plan, the status column for required criteria should be assessed as ‘Completed’ or ‘Not Completed’. Where ‘Not Completed’ is recorded, the
comments field should briefly explain why e.g. caveats apply, requires defect rectification by a nominated date, seeking Defence dispensation etc., and/or make
reference to location where more detailed explanation can be found, e.g. the issues register, Defects List etc.

28. The criteria for each project lifecycle phase is summarised by a 'greyed' primary criteria that will automatically indicate completed when all the subordinate
criteria (for that phase) have been completed. Where criteria are not completed at the end of the HOTO phase, details / explanation is to be recorded and
accepted in the project log and comments field. Completing this primary criteria will automatically update the completion status in the HOTO checklist
signature worksheet. The PD / PM is to ensure that all required criteria have been completed to the required standard before progressing to the next project
phase. e.g. pre-mobilisation criteria that must be met prior to the commencement of construction or work on the Defence estate. At the end of the project
HOTO phase, a pdf copy of the completed checklist can be produced and sent to all specified stakeholders for review and acceptance via an electric signature.
Signed checklists are to be returned and saved on the project file.
29. The HOTO checklist can be signed by individual stakeholders even though there may be outstanding project deliverables not delivered, defects and/or
conditions (which must be listed on the checklist logs). Consideration must be given as to the risk(s) the incomplete or defective item has to Defence including
safety or the fit for purpose status of the delivered works. The defects, conditions or project deliverables not delivered should not be accepted when there has
been ample notice and time during the delivery phase for the required deliverables to be achieved. It is highly desirable for the PD / PM to obtain all
stakeholder signatures at the final HOTO meeting. However, if incomplete documentation does not allow this to occur, the contractor representative and PD /
PM should first sign and then send a pdf copy of the signature page to all other stakeholders to simultaneously obtain signatures, before sending to the Zone
EMP representative.
30. The Defence Representative or authorised delegate is responsible for accepting the delivered works from the PD / PM into the Defence estate, enabling its
use by the resident unit (RU) for its intended purpose and initiating ongoing sustainment support e.g. EMOS and MSP services. For this to be achieved, the
Zone EMP Representative is responsible to confirm that all HOTO Plan & Checklist criteria have been appropriately completed / met and if they have not,
identify any risks associated with the outstanding items, confirm all required stakeholders have had sufficient opportunity to sign the checklist and prepare a
recommendation and acceptance documents for the Defence Representative's action. The acceptance documentation is to include:
a. a copy of the HOTO Checklist Signatures and project logs;
b. a copy or written confirmation from the contract authority of the CCP to include the delivered project works into the BSC;
c. a copy of the contractor representative’s defect list and rectification plan; and
d. any other documents that provide evidence of issues affecting the safe operation and/or the fit for purpose state of the delivered works must also be
included.

31. For leased properties, the documentation is to include:
a. confirmation from PM Br that a licence agreement has been implemented;
b. evidence demonstrating that the required estate records, including property ‘fit out’ details, have been created in the Garrison & Estate Management
System (GEMS);
c. the HOTO checklist and Project Lifecycle & HOTO plan;
d. a copy of the CCP to include the delivered works into the BSC; and
e. any other documents that provide evidence of issues affecting the safe operation and/or the fit for purpose state of the delivered works.
HOTO Approvals
32. The HOTO document provides for approvals (signatures) that must be obtained to achieve acceptance of the delivered works into Defence estate. The first
signature is that of the Zone EM&P Representative who is to provide a recommendation within the HOTO checklist for acceptance / rejection by the Defence
Representative or authorised delegate.. The signature provides assurance to Defence that the following has been achieved:
a. stakeholder signatures have been obtained or an explanation provided as to why a particular stakeholder’s signature was not provided;
b. works have been delivered and the applicable Completion Certificate has been issued in accordance with the applicable contract;
c. stakeholders have been represented at the final inspection and any issues / concerns raised have been addressed and/or documented for resolution;
d. there are no known non-conformances within the delivered works, or any non-conformances have been listed on the checklist as a caveat or condition to
acceptance; and
e. a sample review of the documentation has been conducted and has been available for review by the Base Services contractor through EMOS PSS.
33. The second signature is that of the Zone DSD (or delegate) who signs either:
a. to “Approve’’ the acceptance of the delivered works into the Defence estate including the acceptance of any caveats and/or conditions listed; or
b. as “Not Approved’’ noting the caveat(s) or condition(s) that must be rectified prior to acceptance by Defence.
Project Logs - Caveats or Conditions, Issues and Non Delivered Items

34. This section identifies project deliverables that have not been completed, are defective or are subject to a caveat or conditions. The Defence Representative
may accept the defects or conditions to allow the estate to be used prior to delivery of all deliverables subject to the HOTO. There must be a delivery plan for
any outstanding project defects or deliverables that includes an agreed delivery date and the person responsible for ensuring delivery and fitness for purpose.
The PD / PM must ensure accurate completion of the project logs and provision of an appropriate remediation plan before forwarding to the Zone EMP
Representative with the completed HOTO Plan and Checklist.
35. Accepting a facility into service and use with outstanding defects or conditions will be decided on a risk basis. For example, outstanding or incomplete
items of low risk to safety and operating or not compromising legislated compliance may be acceptable for conditional acceptance. Facilities not compliant
with building codes or have electrical hazards will not be accepted. The Defence Representative is the authority for these purposes.

Early Access or Use of Project Deliverables
36. There will be occasions in a project when a building and/or part of the project scope e.g. plant and equipment, needs to be accepted into operation and/or
occupation prior to final project HOTO. These situations may occur due to:
a. operational imperatives;
b. requirement to decant occupants from a building that must demolished and/or refurbished by the project; or
c. energise an electrical sub-station that powers new and existing facilities etc.
37. These requirements should be identified in the project planning phase and a separate HOTO Plan & Checklist be arranged. Under exceptional
circumstances, a conditional acceptance for operation and/or early occupation can occur before HOTO if the following conditions are satisfied:
a. The contractor representative demonstrates that buildings and/or equipment are fit for purpose, safe to occupy and operate via the provision of a
certificate of occupancy and other applicable legislative / policy required licences and/or conformance certificates, commissioning results and ITRs etc.
b. PD / PM confirmation that all deliverables associated with the building and/or equipment have been completed, and where this is not achieved, a list of
outstanding items and delivery plan is provided.
c. Provision of a defects list and acceptable rectification plan.
d. Provision of a building and/or equipment support and maintenance plan that covers the period up to HOTO finalisation.
e. Receipt of EMOS notification that they and applicable miscellaneous support and service provider contractors are prepared, sufficiently trained and
capable of providing the required support for the building and/or equipment. This includes establishing interim measures to deliver services where CCP are
not yet approved e.g., via a survey and quote.
f. The Zone EMP confirms that the conditions above have been met and provides a recommendation that supports conditional acceptance.
End of Defects Liability Period

38. During DLP the contractor representative, PD / PM, EMOS PSS and Zone EMP representative must work collaboratively towards clearing all actions
recorded on the HOTO Plan & Checklist - "Project Logs" and contractor representative’s defect list and rectification plan. At the end of DLP, the PD / PM is
to ensure that all checklist criteria have been satisfied by the specified responsible person/s, suitable evidence of completion is provided and acceptance of DLP
stakeholders is completed before forwarding to the Zone EMP representative for final approval.

Project Details Details (insert below) Guide
Project Number: This is the project number given to the project by the PD/PM (e.g. NAT-02-0529)
This is the project name given to the project by the PD/PM (e.g. HMAS STIRLING
Project Name:
Defence Fuel Installation (DFI) Remediation)
Project Location: State and Establishment Number (e.g. East/West, 0089 HMAS STIRLING)
Building description (e.g. DFI-M, DFI-M Wharf Area, Small Boats and underground
Building/Assets Description:
pipe work)
Building/Assets Number(s): e.g. A0061, A0068
The actual project start date or the Estate Works Program year (e.g. the Financial
Project Start Date:
Year).
Handover/Takeover Inspection: The date the HOTO inspection took place.
Project Completion Date: The actual project completion date.
Detail what entity will provide maintenance during DLP. e.g. Contractor
DLP Maintenance Agent:
Representative's agent or EMOS.
Project Document Location: Objective location for the project file with all HOTO documents and evidence etc.
Project Stakeholders Stakeholder Name, Title, Organisation (insert below) Guide

CFI Project Director / PDS Project
Manager or any Defence entity project The approved Defence or contracted project manager representative.
manager
Project Manager Contract Administrator
This is the Consultant on-site representing the PD.
(PMCA)
Zone Estate Management & Planning
This is the Zone specific representative on behalf of Defence.
(EMP) Representative
Zone Environment & Sustainability (ES) This is the Zone specific representative for environment matters on behalf of

Representative Defence.
Base Manager The BM applicable to the project Base Support Area.
This is the Capability Manager and/or project sponsor; or their appointed
Sponsor or User Group Representative representative. Consider if a suitable single POC can be established to communicate
and represent all RU and locations.
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EMOS Project Support Service (PSS)
This is the EMOS PSS representative.
Representative
Contractor Representative This is the delivery Contractor representative.
i.e. DEPU, DEWPO, DEEESD, Environment & Engineering Branch, Property
Subject Matter Experts (SME) (as
Management Branch, Fuel Services Branch (FSB), JLOG, Explosive Ordnance
applicable) Branch, Security, CIOG, DS&VS, EEGIS Policy owners, EMOS SME etc.
[Insert Others]
[Insert Others]
[Insert Others]
[Insert Others]
[Insert Others]
[Insert Others]
[Insert Others]
[Insert Others]
Verifying Persons
CFI Project Director / PDS Project Manager or any Defence entity project manager
PDS or PMCA
Zone EMP Representative
EMOS PSS Representative
Responsible Persons
PDS or PMCA
Zone EMP Representative
Zone ES Representative
Sponsor or User Group Representative
EMOS PSS Representative
Contractor Representative (Designer)
Contractor Representative (MC / HC)
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SME - Specify
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HOTO Checklist Signatures
Please enter project details into '0. Project Details' tab

Project Location:
Building/Assets Number(s):
Project Document Location:
Status Person Verifying Completion Comments

1 Project Planning & Not
Development Phase Completed
2 Design Design Not

Completed
3 Pre-Mobilisation Not
Completed
4 Construction Not
Completed
5 Handover Takeover (HOTO) Not

Completed
Stakeholder Signatures
HOTO Key Stakeholder Name Signature Date Signed
Manager or any Defence entity project
manager
Project Manager Contract Administrator
(PMCA)
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Contractor Representative
Base Manager
Sponsor or User Group Representative
Representative
Subject Matter Experts (SME) (as
applicable)
Note: The above signatures confirm stakeholder engagement, acknowledging that the project meets the requirements of the HOTO Plan & Checklist in accordance with
Defence requirements. The buildings and assets presented for HOTO are without any outstanding issues that preclude safe occupancy or fit for purpose use and all issues
are captured correctly in the applicable log for action and resolution by the project team.
ACCEPTANCE DETAILS
Zone Representative (Zone Estate Management & Planning member)

Recommended / Recommended with Caveats / Not Recommended
Signature:
Name: Date:
Defence Representative (Zone Director Service Delivery (DSD) or authorised delegate - eg, AD EMP)
Approved / Not Approved
Signature:
Name: Date:
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Project Lifecycle & HOTO Plan
Project: -
Item number is hyperlinked to Proj Lifecycle Criteria Instructions
Item Criteria Status Responsible Evidence Type Status Verifying Person Comments
Required Person Completed
1 Project Planning & Development Complete As assigned below. Achieved by evidence below. Not
Phase below Completed
1.1 Project start meeting held where key PDS or PMCA Achieved by evidence below. Zone EMP
HOTO Stakeholders are identified and Representative
requirements discussed for Project HOTO
Plan & Checklist.
1.1.1 Project Stakeholders PDS or PMCA A copy of project stakeholders and a schedule of their Zone EMP
required attendance and input at meetings. Representative
Copy of start up meeting minutes.
1.1.2 Clarify Scope of Works PDS or PMCA A copy of project scope of works and/or respective Zone EMP
meeting minutes where stakeholder agreement has been Representative
documented.
For EWP projects provision of approved Return Brief.
For CFI projects a copy of DBC authorities page.
1.1.3 Project Commissioning, HOTO Plan and PDS or PMCA Provision of an agreed HOTO plan, checklist, project Zone EMP
Checklist details and supporting plans. Representative
1.1.4 Access provided to project web based PDS or PMCA An email from the PD / PM advising data system access Zone EMP
document management system arrangements and list of stakeholders provided access. Representative
1.1.5 Ensure Project personnel have access to Zone EMP PD / PM email advising access arrangements are PDS or PMCA

the Estate Management Workgroup in Representative complete. Sponsor - CFI or DEWPO.
Objective
1.2 Site Selection Board Completed and PDS or PMCA A copy of the site selection recommendation(s) Zone EMP
Approved (Pre-design) approved by the Delegate. Representative
For CFI project - a copy of the DBC approvals page.
1.3 Building Contribution Factor Sponsor or User Email from BM & Capability Manager (or delegate) to Zone EMP
For Existing Facilities. Group indicate that no change is required. If a change is Representative
Representative required, a copy of the Building Contribution Factor
Form is provided for file and BM / Capability Manager
(or delegate) advise the form has been submitted or
copy of DBC approval page.
2 Project Design Phase Complete As assigned below. Achieved by evidence below. Not

below Completed
2.1 Acceptance of design and deliverables Contractor Achieved by evidence below. PDS or PMCA
from key stakeholders achieved Representative
(Designer)
2.1.1 Design start meeting conducted to confirm Contractor Email from PD / PM advising that criteria is met and a PDS or PMCA
stakeholders and agree project scope and Representative copy of the minutes are saved in Objective or for CFI,
design requirements (Designer) the mandated project information management system.
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2.1.2 Design review meetings Contractor Copies of design review meeting minutes and PDS or PMCA
Representative correspondence from key stakeholders and SMEs
(Designer) acknowledging design input and/or acceptance.
2.1.3 Delivery and acceptance of plans and Contractor A list of SDMP compliant design drawings, minutes of PDS or PMCA
drawings Representative design meetings and/or correspondence from
(Designer) stakeholders and SMEs identified in the agreed EIP
accepting designs.
2.1.4 Project Estate Information Plan (EIP) EMOS PSS Copy of agreed Estate Information Plan (EIP). - EMOS PDS or PMCA
Representative GEMS data download.
2.2 All GEMS Asset Shells requested and Contractor PD / PM email verifying that all Asset Shell GDLs are PDS or PMCA
completed GDL submitted at the 90% Representative submitted in accordance with agreed EIP and the GEMS
design as per the agreed estate information (Designer) data team acknowledge receipt.
plan
2.2.1 GDLs submitted for creation of shell Contractor A copy of request submitted by the project. PDS or PMCA
records Representative
(Designer)
2.2.2 GEMS shell records created Contractor A data extract from the GEMS Data team confirming EMOS PSS
Representative that the shell records have been created. Representative
(Designer)
2.3 Compliant Design (includes BCA, MFPE, Contractor Achieved by evidence below. PDS or PMCA
MIEE etc.). Representative
(Designer)
2.3.1 Compliant Design (includes NCC, MFPE, Contractor Copies of designer certifications for all aspects and PDS or PMCA
MIEE etc.) Representative where applicable, a letter from the building certifier
(Designer) explaining why the scope of works are exempt and do
not require a Certificate of Occupancy; or a non-
rejection notification from the PD or PMCA. Where
designs require other SME endorsement like FSB, EO
and CIOG, a copy of certification notice from SME
provided.
2.3.2 Safety in design conducted and findings Contractor Approved design review documentation identifying any PD / PM or PMCA

accepted Representative hazards requiring treatment, i.e. a register and
(Designer) associated risk management measures.
2.3.3 Approved performance solutions IAW Contractor A copy of the approved performance solution prior to PDS or PMCA
MFPE Policy Representative the issue of abuilding approval.
(Designer)
2.3.4 MFPE Design requirements for Bushfire Contractor Base Manager and Zone ESO are provided with a suite PDS or PMCA
Prone Areas. Representative of information to demonstrate that risks have been
(Designer) assessed and treated in design (for example through
APZs).
2.3.5 Review and acceptance of design hazards Contractor Copy of design meeting minutes that identifies the PDS or PMCA
Representative hazards and the controls to be implemented or a copy of
(Designer) the non-rejection notification from the PD or PMCA.
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2.3.6 Smart Infrastructure in Design Contractor Provide a copy of the manual and checklist that details PDS or PMCA
Representative the design elements employed to meet the requirements
(Designer) of the Smart Infrastructure Manual. Copy of completed
Smarti checklist provided in Smarti Manual. Copy of
metering plan.
2.3.7 Security in Design Contractor Email demonstrating DS&VS engagement and where PDS or PMCA
Representative applicable, details of SCEC engaged consultant.
(Designer)
2.3.8 EMOS input to design, whole-of-life and EMOS PSS A copy of the design review meeting minutes or PDS or PMCA
DLP maintenance requirements Representative meeting invitation or email correspondence issued to
EMOS that requests EMOS design review and
feedback.
2.4 Approved Dispensation IAW MFPE Policy Contractor Copy of the approved dispensation request prior to issue PDS or PMCA
Representative of a building approval.
(Designer)
2.5 Building Contribution Factor Form and PDS or PMCA Achieved by below. Zone EMP
Asset Rollout Notification Form. (Only Representative
applies to all new facilities)
2.5.1 Asset Rollout Notification form PDS or PMCA Copy of the completed Asset Rollout Notification Form Zone EMP
Completed & Submitted (Asset Valuation) and emailed submission. Representative
2.5.2 Building Contribution Factor for new built Sponsor or User Email from BM & Capability Manager (or delegate) to Zone EMP

facilities Group indicate that the Building Contribution Factor Form is Representative
Representative provided for file and the form has been submitted.
2.6 Property Licence requirement informed to Zone EMP Copy of EIR. Copy of EIR. Zone EMP
Property Management Branch (e.g. Representative Representative
government furnished facilities – GFF)
Project Construction Phase
3 Pre-mobilisation Complete As assigned below. Achieved by evidence below. Not
below Completed
3.1 Pre-mobilisation start meeting held, key Contractor Signed copy of meeting minutes and documents PDS or PMCA
stakeholders identified, scope of works Representative presented at the meeting.
and design confirmed and Project (MC / HC)
commissioning & HOTO Plan &
Checklist, evidence, estate information
plan, schedule for O&MM and Training all
agreed by HOTO key stakeholders
3.1.1 EMOS Information Pack EMOS PSS An email from the Contractor Representative to confirm PDS or PMCA

Representative receipt of EMOS Information pack or copy of meeting
minutes where receipt has been noted.
3.1.2 Training Requirements and Training Contractor Documented confirmation of the identified training PDS or PMCA
Schedule, including ICT identified Representative requirements and delivery plan.
(MC / HC)
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3.1.3 GEMS data load tools (GDL) Contractor Email from contractor representative stating that all PDS or PMCA
Representative shell records have been created and EBI issued.
(MC / HC)
3.2 Site Management and control plans. Contractor Achieved by meeting criteria below. PDS or PMCA
Includes: safety & incident management Representative
procedure, asbestos & hazardous (MC / HC)
chemicals management and Method of
Work Plans. (M)
3.2.1 Site Specific Information and Base access. Contractor A copy of the approved site layout plan and; Base and PDS or PMCA
Representative Work site access plan or Method of Work Plan.
(MC / HC) Email that demonstrates appropriate stakeholders were
engaged on the plan development.
3.2.2 Site preparation - BM, Base RU and Contractor A copy of the management plans, base instructions and PDS or PMCA
service providers are engaged. Representative notices to service providers.
(MC / HC)
3.2.3 Work site access and security plan. Contractor Copy of work site access and security plan or Method of PDS or PMCA
Representative Work Plan (when subject included).
engaged on the plan development.
3.2.4 Traffic management plans developed Contractor A copy of traffic management plan or Method of Work PDS or PMCA
Representative Plan (when subject included).
engaged on the plan development..
3.2.5 Plan Site Safety and inductions for Contractor Copy of site induction plan and/or documents. PDS or PMCA
Contractors & sub-contractors. Representative
(MC / HC)
3.2.6 Planned utilities isolations identified and Contractor Copies of isolation plan and notices of disruptions. PDS or PMCA
notifications prepared. Representative
(MC / HC)
3.2.7 Permit System Contractor Provide a copy of the permit system process and permit PDS or PMCA
Representative templates to be used.
(MC / HC)
3.2.8 Site Safety / Incident management Contractor Copy of Site Safety Management Plan. PDS or PMCA
procedure planned (Asbestos, Hazardous Representative
Chemicals, and Method of Works Plan for (MC / HC)
Airfield activities, etc.)
3.3 Dilapidation Surveys and Notification of Contractor PD / PM notification of receipt of dilapidation survey, a PDS or PMCA
Demolition Representative copy of the dilapidation survey and other supporting
(MC / HC) evidence where applicable.
A completed copy of the Notification of Demolition
form with the email submitting the document.
3.4 Environmental approvals obtained Contractor Achieved by meeting criteria below.

Representative
(MC / HC)
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3.4.1 Environmental Management Plan (EMP) Contractor A completed and endorsed EMP. PDS or PMCA
completed / submitted and accepted Representative
(MC / HC)
3.4.2 Environmental Clearance Certificate (ECC Contractor A copy of the approved ECC by the Zone ESO. PDS or PMCA
-form AB081) has been approved by Zone Representative
ESO. (MC / HC)
3.5 DLP outline maintenance plan submitted Contractor A copy of the agreed DLP outline maintenance plan or EMOS PSS
to EMOS for review. Representative EMOS maintenance plan where applicable. Representative
(MC / HC)
4 Construction Complete As assigned below. Achieved by evidence below. Not
below Completed
4.1 EMOS has submitted to Contract Admin EMOS PSS A copy of the correspondence confirmation that the Zone EMP
Support (CAS) all CCP required for Representative applicable CCP have been submitted and approved by Representative
maintenance and support services by: CAS.
For CFI Projects the 28 day notice of
completion,
All other projects by 90% construction.
4.2 Submission to EMOS all GDL with Contractor Copy of GDL spool numbers and 'final draft' manuals PDS or PMCA

completed data fields, “final draft” Representative and as-constructed drawings confirmed by EMOS.
manuals, as-constructed drawings, (MC / HC)
maintenance plans and geo-referenced
information no later than:
For CFI Projects the 28 day notice of
completion,
Commissioning Required Required

4.3 Pre-commissioning approvals and Contractor Copy of Email notification from applicable Technical PDS or PMCA
notifications completed IAW agreed Representative authority advising approval to proceed with
contractor’s commissioning and HOTO (MC / HC) commissioning.
Plan & Checklist
4.4 Inspections & Testing Contractor Provide a list of ITPs and individual ITRs. Provide PDS or PMCA
Representative copies of all ITRs completed and signed with evidence
(MC / HC) that any defects / issues have been rectified.
4.5 Training and “train-the-trainer” training Contractor Achieved by meeting criteria below. PDS or PMCA
provided by the contractor on all facility Representative
systems for the operators and maintainers (MC / HC)
4.5.1 Training provided for the operator and Contractor a. a copy of the training syllabus; PDS or PMCA
maintainer Representative b. copies of the individual training record provided to
(MC / HC) each recipient;
c. the competency levels achieved; and
d. a list of attendees.
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4.5.2 Train-the-Trainer training provided Contractor a. a copy of the training syllabus; PDS or PMCA
Representative b. copies of the individual training record provided to
(MC / HC) each recipient;
c. the competency levels achieved; and
5 Handover Takeover (HOTO) Complete As assigned below. Achieved by evidence below. Not

below Completed
5.1 Notice of Completion PDS or PMCA Provide a copy of the Notice of Completion noting any Zone EMP
defects or non-delivered items. In addition also Representative
required will be a letter stating this has been completed
in accordance with the agreed plan and ITRs received
from head contractor.
5.2 Design & Build Compliance Construction Contractor As constructed drawings, commissioning ITP and ITR PDS or PMCA
completed to approved design and all Representative and O&MM and a certification / statement of
variations to original design have been (MC / HC) compliance by the Contractor Representative stating
approved by a certified designer what the installation complies with and any caveats to
the certification.
5.2.1 Certificate of Occupancy Contractor Certificate of Occupancy for each building and a copy PDS or PMCA
Representative of the staged occupancy plan.
(MC / HC) Copy of the essential safety systems / measures
schedule.
5.2.2 Contractor’s letter or equivalent stating Contractor A letter from the building certifier noting that the works PDS or PMCA
compliance with Sections 23, 25 and 26 of Representative are exempt under the MFPE.
the WHS Act 2011 (MC / HC) A letter from the building certifier confirming exempt
works and from the contractor representative providing
assurance that all aspects of the WHS Act are complied
with.
5.3 Defect Liability Period (DLP). DLP Contractor Achieved by meeting criteria below. PDS or PMCA

management procedure provided, Representative
maintenance plan agreed, defects list & (MC / HC)
rectification schedule provided and agreed.
5.3.1 DLP start date and DLP end date. Contractor A copy of the GDL showing the DLP dates (and the PDS or PMCA

Representative POCs) to be recorded in GEMS and listed in O&MM.
(MC / HC)
5.3.2 DLP Management Procedure provided, Contractor DLP management procedure. This may be in a flow PDS or PMCA
maintenance plan agreed, defects list & Representative chart.
rectification schedule provided by the (MC / HC) Email from EMOS acknowledging acceptance of
contractor representative. procedure.
5.3.3 Register of outstanding defects, non- Contractor Completion of the HOTO Caveats/Issues or Conditions PDS or PMCA
delivered project outcomes and Representative Log. Copy of the contractor representative's defects list
rectification plan. (MC / HC) and rectification plan.
5.4 Operation & Maintenance Manuals Contractor Completed individual O&MM. EMOS PSS
(O&MMs) delivered, validated and Representative Representative
accepted by EMOS (MC / HC)
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5.5 Estate Information Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.5.1 All final As-Constructed design drawings Contractor Drawings in accordance with SDMP. Other suitable EMOS PSS
provided to EMOS and are delivered in Representative evidence may include: A list of design drawings and a Representative
accordance with the SDMP, complete with (MC / HC) drawing for each listed item.
metadata file for uploading to NSIMS
5.5.2 Master Site Plan (MSP) is updated Contractor Defence custodian’s confirmation that the updated MSP EMOS PSS

Representative has been received and accepted for uploading to Representative
(MC / HC) NSIMS.
5.5.3 Room and space number labels affixed Contractor A statement from the contractor representative or PDS or PMCA
IAW SDMP Representative PD/PM that labels are installed correctly or a partial
(MC / HC) audit to validate the site against the GDL.
5.5.4 Equipment labels affixed to equipment Contractor A statement from the PD / PM and/or EMOS that UEI PDS or PMCA
Representative are installed correctly and recorded in the equipment
(MC / HC) GDL.
5.5.5 GEMS data load tools (GDL) accurately EMOS PSS EMOS verification that all GDL provided by the project Zone EMP
completed and uploaded to GEMS by Representative were submitted, validated and uploaded to GEMS, and Representative
EMOS where applicable the provision of an agreed EIP,
meeting minutes and risk assessment for deferred
delivery of any GDL.
5.5.6 Unexploded Ordnance (UXO) Contractor Evidence of any details provided for the location of PDS or PMCA
certifications with maps and GPS points of Representative UXO.
boundaries clearance (plus to the required (MC / HC)
depth)
5.5.7 Services Surveys and Testing Reports Contractor A copy of all reports and surveys; copy of objective PDS or PMCA
Representative file / document content etc.
(MC / HC)
5.5.8 Acoustics Test Results Contractor Copy of acoustic engineer's test report and certification PDS or PMCA
Representative certificate.
(MC / HC)
5.6 Warranties (Manufacturer and Collateral) Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.6.1 Warranty information is to be provided in Contractor Warranties information recorded through a GDL and PDS or PMCA
full detail. Representative within the applicable O&MM.
(MC / HC)
5.6.2 Collateral warranties information is to be Contractor Collateral warranties information recorded through a PDS or PMCA
provided in full. Representative GDL and within the applicable O&MM.
(MC / HC)
5.7 Property, Assets and Tools. Contractor Achieved by meeting criteria below.
Representative
(MC / HC)
459524159.xlsx 24 of 52
5.7.1 Handover key schedule completed and Contractor At HOTO consolidated list of keys and a signed transfer Zone EMP
attached with full set of tagged keys Representative sheet; and where SCEC hardware is applicable, written Representative
provided (MC / HC) notification from the specified applicable Security
Officer that keys and key / hardware list have been
received.
5.7.2 Building / Infrastructure numbers have Contractor Email from PD / PM that E&IG Labelling and Signage PDS or PMCA
been fixed to facilities IAW E&IG Signage Representative requirements have been met.
and Labelling Standard (SLS) (MC / HC)
5.7.3 Loose furniture list (OPE) provided to Contractor A list of new assets provided by the project and Zone EMP
E&IG Assets, Stores & Inventory Manager Representative recorded in the O&MM. Representative
(MC / HC)
5.7.4 Special maintenance tools, instruments, Contractor List of individual items that includes special tools, spare EMOS PSS
equipment access codes and schedule of Representative parts, critical spares, system codes etc. Representative
spare parts supplied (MC / HC)
5.8 Plant & Equipment (P&E) Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.8.1 Essential operating instructions and/or Contractor Email from PD / PM that Defence requirements for PDS or PMCA
diagrams in place Representative essential operating instructions and/or diagrams have
(MC / HC) been met.
5.8.2 Plant room logbooks and wiring diagrams Contractor A list of logbooks and wiring diagrams and date PDS or PMCA
in place Representative stamped photographic evidence for each listing and
(MC / HC) EMOS, as equipment maintainers, advise their
satisfaction and acceptance.
5.8.3 P&E Commissioning and Test Results Contractor A Testing and Commissioning Report confirming the PDS or PMCA
Representative successful testing and commissioning and EMOS, as
(MC / HC) equipment maintainers, advising their satisfaction and
acceptance. (for items not covered / provided in
commissioning phase).
5.8.4 P&E certification certificates provided. Contractor Certification for every item delivered. These may be PDS or PMCA
Representative the O&MM for the individual item and may have its
(MC / HC) own serial and/or model number and EMOS, as
equipment maintainers, advise their satisfaction and
acceptance.
5.8.5 P&E servicing schedules provided IAW Contractor Servicing documentation and EMOS, as equipment PDS or PMCA
Defence requirements Representative maintainers, advise their satisfaction and acceptance.
(MC / HC)
5.8.6 Fire Safety Systems and Equipment Contractor Baseline and servicing documentation in accordance PDS or PMCA
documentation provided IAW NCC and Representative with AS 1851-2012 and AS 2293.2 plus EMOS advice
MFPE (MC / HC) of their satisfaction and acceptance.
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5.8.7 Registrable Plant (RP) certification Contractor Email from PD / PM that E&IG and legislative PDS or PMCA
available on site Representative requirements for RP installation and management have
(MC / HC) been met.
Complementary evidence may include:
a. evidence of test certification displayed at equipment;
b. the manufacturer Design Registration Certificate; and
c. evidence that the GDL has been completed as a
Registrable Plant Item.
5.9 Essential Safety Systems Contractor Achieved by meeting criteria below.

Representative
(MC / HC)
5.9.1 Emergency Evacuation Plans fitted to Contractor Certificate of Occupancy. PDS or PMCA
building Representative
(MC / HC)
5.9.2 All Fire Safety, Monitoring, Alarm and Contractor Certification / Statement of compliance by installation PDS or PMCA
Suppression System Installations meet Representative contractor stating the installer’s qualifications / licence,
applicable AS, MFPE and NCC (MC / HC) standards installation complies with and any caveats to
requirements. the certification.
5.10 Electrical Services Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.10.1 Electrical Test Certificates Contractor Certification / statement of compliance by the Contract PDS or PMCA
Representative Representative for:
(MC / HC) a. certification / statement of compliance by the
installation contractor stating the installer’s
qualifications / licence, standards installation complies
with and any caveats to the certification;
b. evidence of electrical load balancing over all phases;
c. ITPs and electrical safety certificates,
d. Switching authority certification with Hazardous
areas (when applicable); and
e. site lighting Lux levels verified.
5.10.3 Main Switchboard, Distribution pillar and Contractor Certification / Statement of compliance by the Contract PDS or PMCA

board labels, legends and LV single line Representative Representative stating the installer’s qualifications /
diagram supplied IAW MIEE (MC / HC) licence, standards installation complies with and any
caveats to the certification.
5.10.4 Hazardous Area and Explosives Area Contractor A compliant Hazardous Area and Explosives Area PDS or PMCA
Verification Dossier IAW Defence MIEE. Representative Verification Dossier IAW Defence MIEE.
(MC / HC)
459524159.xlsx 26 of 52
5.10.5 Lightning protection installed Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA
Representative and O&MM. Certification / Statement of compliance
(MC / HC) by the Contract Representative stating the installer’s
qualifications / licence, standards installation complies
with and any caveats to the certification.
5.10.6 Certificate of Approval from Supply Contractor A copy of the approval provided by the HV Controller. EMOS PSS
Authority / System Controller prior to Representative Representative
Energising (MC / HC)
5.10.7 Identified critical system recovery plans Contractor Provides a copy of the CSRP report. PDS or PMCA
created, endorsed and available Representative
(MC / HC)
5.10.8 Arc flash study report Contractor Where applicable provide a copy of the Arc flash report. PDS or PMCA
Representative
(MC / HC)
5.11 Mechanical & Hydraulic Services Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.11.1 Mechanical & hydraulic test & Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA
commissioning results Representative and O&MM and a certification / statement of
(MC / HC) compliance by the installation Contractor, stating what
the installation complies with and any caveats to the
certification.
5.11.2 Flow metre calibration certificate Contractor A current calibration certificate. PDS or PMCA
Representative
(MC / HC)
5.11.3 Factory test certificates for equipment Contractor Manufacturer data sheet for all equipment and a PDS or PMCA
Representative calibration certificate where applicable.
(MC / HC)
5.12 Security Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.12.1 Security inspections have been completed Contractor Certificate of compliance with the appropriate security PDS or PMCA
and passed Representative requirements, and inspection report from Defence
(MC / HC) Security Unit.
5.12.2 Physical Security Classification Inspection Contractor Final inspection report from the certified security PDS or PMCA
(PSCI) or equivalent Representative agency or an email advising a final inspection is not
(MC / HC) required. A report must include photographic evidence
and at close up inspections where required e.g. ceiling
spaces and voids, approved variations are documented
and SCEC consultant sign off that the construction
meets the security design.
5.12.3 Commissioning for security systems, Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA

alarms, and access control systems Representative and O&MM and a certification / statement of
including training (MC / HC) compliance by the contractor representative stating that
the construction meets the security design and any
caveats to the certification.
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5.12.4 O&MM for security systems, alarms and Contractor Provision of O&MM, keys and access codes and/or Zone EMP
access control systems provided to Unit Representative combinations; and email acknowledging and accepting Representative
Security Officer (MC / HC) receipt of the items.
5.12.5 Certification / Accreditation for Sensitive Contractor Certification / statement of compliance from the PDS or PMCA
Compartmented Information Facilities Representative installation contractor stating what the installation
(SCIF), Magazines and Armouries and (MC / HC) complies with SCIF construction plan and armoury
Zones 2 to 5. construction guidelines. Copy of the assessment
certificate / notice from the inspection & accreditation
agency advising the facilities comply with Defence
required policy and standards. .
5.13 Supervisory (Engineering Services) & Contractor Achieved by meeting criteria below. PDS or PMCA

ESN, ICT & Voice Representative
(MC / HC)
5.13.1 Alarm connection, commissioning, and Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA
testing results Representative and O&MM and a certification / statement of
(MC / HC) compliance by the installation contractor stating the
installation complies with and any caveats to the
certification. Installer commissioning documentation
and SCEC consultant sign off for Type1A alarm systems
5.13.2 Updated Defence Engineering Service Contractor ITR for connection and commissioning trial of system. PDS or PMCA

Network (DESN) configuration and Representative
management documentation impacted by (MC / HC)
project works
5.13.3 Fixed Voice Desk Phones system Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA
commissioned and connected to existing Representative and O&MM and a certification / statement of
base infrastructure (MC / HC) compliance by the installation contractor, stating the
certification.
5.13.4 Defence Data Networks Passive works Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA
commissioned and connected to existing Representative and O&MM and a certification / statement of
base infrastructure (MC / HC) compliance by the installation contractor, stating the
certification.
5.13.5 Warranties and Cabling certifications Contractor Warranties, As-constructed drawings, commissioning PDS or PMCA
provided Representative ITP and ITR and O&MM and a certification / statement
(MC / HC) of compliance by the installation contractor stating that
the installation complies with and any caveats to the
certification.
5.13.6 Keys for communications rooms, cabinets Contractor A list of all security items handed to ICT which has PDS or PMCA
and infrastructure pits have been installed Representative been signed as correct by ICT.
to Defence Security Manual (DSM) (MC / HC)
standards and handed over to Regional
ICT
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5.13.7 ICT systems commissioned and accepted Contractor Documentary evidence detailing CIOG / Telstra PDS or PMCA
by CIOG Representative acceptance of the supplied and installed equipment,
(MC / HC) CIOG approved ITRs.
5.14 Work Health and Safety Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.14.1 Asbestos Fee Products. Contractor A letter from the contractor representative stating that PDS or PMCA
Representative the product, manufacturer and supplier specifications
(MC / HC) for all building materials, fixtures and equipment have
been checked and indicate no ACM.
5.14.2 Asbestos removal data uploaded into the Contractor Completed GDL or PDF form and/or a statement from PDS or PMCA
Defence Estate Information System. Representative the PD / PM advising that all entries on the ACM
(MC / HC) database have been updated.
5.14.3 List of all hazardous chemicals - quantity / Contractor A complete list of hazardous materials. Zone EMP
type and storage system of fuels, Representative Representative
chemicals or lubricants for uploading into (MC / HC)
ChemAlert.
5.14.4 No Flammable Core Products. Contractor A letter from the contractor representative stating that PDS or PMCA
Representative all building product, manufacturer and supplier
(MC / HC) specifications have been checked to indicate that no
flammable core products have been used in the
construction of any part of the building or equipment.
5.15 Environment & Sustainability Contractor Achieved by meeting criteria below. PDS or PMCA
Representative
(MC / HC)
5.15.1 ECC Post Activity Report (PAR) Signed. Contractor A copy of signed PAR. PDS or PMCA
Representative
(MC / HC)
5.15.2 Reporting Environmental Incidents Contractor Completed AE444s or SERS. PDS or PMCA
Representative
(MC / HC)
5.15.3 Contaminated Sites Record (CSR) updated Contractor Copy of email to CSR administrator with supporting PDS or PMCA
in GEMS Representative information in accordance with the Defence
(MC / HC) Contamination Management Manual
5.15.4 Environment Protection and Sustainability Contractor Documentation the details the identified Environment PDS or PMCA
Management Representative Protection and Sustainability management practices and
(MC / HC) ongoing maintenance costs as a result of the project.
5.15.5 Heritage management information Contractor Copy of Heritage Management report provided to the PDS or PMCA

provided for Heritage Management Plan Representative Zone ESO.
(MC / HC)
5.15.6 MFPE Design requirements for Bushfire Contractor Base Manager and Zone ESO are provided with a suite PDS or PMCA
Prone Areas. Representative of information to demonstrate that bushfire risks have
(MC / HC) been assessed and treated. (for example: established
APZs, submission of GEMS GDL to update bushfire
management data).
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5.15.7 All Energy and Sustainability Supply now Contractor List of meters installed and commissioning certification PDS or PMCA
metered (and sub-metered) and all have Representative (ITR).
been connected and are communicating to (MC / HC)
the Defence approved Base Monitoring
System (BMS) and national data
management system as per the
requirements in the Smart Infrastructure
Manual and the National Sub-Metering
Program (NSP).
5.15.8 Connection & dis-connection of energy Contractor Copy of submitted AE879. Zone EMP

and water services. Representative Representative
(MC / HC)
5.16 Software Provision of system software, Contractor Software licence certificates, backed up copy of PDS or PMCA
software licences and all configuration Representative software and statement of compliance from the
files (MC / HC) contractor representative.
Project Takeover & Transition Required Required
5.17 Government Furnished Facilities and/or Zone EMP A copy of applicable correspondence between the Zone CFI Project
Property Licence implemented Representative EMP and Property Officer. Director / PDS
Project Manager or
any Defence entity
project manager
5.18 EMOS PSS has attended site to confirm EMOS PSS Minutes for the final walk around activities that clearly PDS or PMCA
services for support in preparation for Representative document attendees and acceptance of outcomes /
maintenance on Takeover actions.
5.19 CCPs for Base Services Contracts EMOS PSS Approval notification from CAS and/or the applicable Zone EMP
maintenance and support requirements Representative Product Directorates. Representative
have been approved by CAS
6 Defects Liability Period (DLP) & Complete As assigned below. Achieved by evidence below. Not
Project End below Completed
6.1 Remaining and/or corrected estate data has Contractor Correspondence from the contractor representative and PDS or PMCA
been received, validated and saved on Representative EMOS confirming the requirement has been met.
applicable Defence Estate Information (MC / HC)
System
6.2 All Defence approved HOTO caveats and PDS or PMCA PD / PM email confirming that all approved HOTO Zone EMP
issues cleared caveats and issues have been cleared, and required Representative
evidence is stored on the DIES.
6.3 All defects repaired and related estate data Contractor End DLP checklist and Defects log completed, suitable PDS or PMCA
has been updated Representative evidence (as detail in the agreed defect rectification
(MC / HC) plan) is provided.
6.4 28 days prior to DLP end date, EMOS EMOS PSS A confirmation letter or email from EMOS. PDS or PMCA
advised and confirmed their readiness to Representative
commence agreed maintenance at the end
of DLP (for CFI & by exception for EWP).
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6.5 Transition of maintenance to EMOS EMOS PSS A confirmation letter or email from EMOS. PDS or PMCA
completed. (for CFI & by exception for Representative
EWP)
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Project Logs
Attachments (Logs):
Defence provided Caveats and Waivers.
Project Issues.
Contract Deliverables Not provided
Project: -
Project Location :
CFI Project Director / PDS Project Manager or any
Defence entity project manager:
Project Manager Contract Administrator (PMCA):
Contractor Representative:
Project Caveats or Waivers – Issued by Defence

Caveat ID Caveat or Waiver Description Issued by PD / PM Date issued Closed by (Name) Updates/Remarks by PD / PM
(Insert Name) (Actual) & Location of Supporting
Evidence
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Project Issues Log – Raised by PD / PM, Contractor Representative, EMP Representative or EMOS PSS
Issue ID Issue Description Raised by Expected Closed by (Name) Signed

(Name & Entity) Resolution Date & Location of Supporting
Evidence
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Project Deliverables Not Provided – Raised by PD / PM or Contractor Representative
Contract Contract Deliverable Not Provided - Raised by Expected Closed by (Name) Signed
Deliverable Description (Name & Entity) Delivery Date & Location of Supporting
ID Evidence
459524159.xlsx 34 of 52
DLP Checklist
Please enter project details into 0. Project Details Tab
Project Location:
Building/Assets Number(s):
Project Start Date: 00-Jan-1900 | HOTO Inspection: 00-Jan-1900 | Project Completion Date: 00-Jan-1900
DLP Maintenance Agent:
END OF DEFECT LIABILITY PERIOD

Item Defects Liability Period Status Person Verifying Comments
(DLP) & Project End Required Completed Completion
6.1 Remaining and/or corrected
estate data has been received,
validated and saved on
applicable Defence Estate
Information System
6.2 All Defence approved HOTO
caveats and issues cleared
6.3 All defects repaired and
related estate data has been
updated
6.4 28 days prior to DLP end date,
EMOS advised and confirmed
their readiness to commence
agreed maintenance at the end
of DLP
6.5 Transition of maintenance to
EMOS completed
Manager or any Defence entity project
manager
Project Manager Contract
Administrator (PMCA)
Representative
ACCEPTANCE - END OF DEFECT Approved / Not

Signature Date
LIABILITY PERIOD Approved
Zone Representative (Zone Estate
Management & Planning Member):
459524159.xlsx 35 of 52
Project Lifecycle Criteria Instructions
Item Criteria Description HOTO Input Suitable evidence may include
1 Project Planning & Development Phase Achieved by evidence below.

1.1 Project Planning & Development Project start meeting held where key HOTO Stakeholders are identified and requirements discussed for Project HOTO Plan & Checklist. Achieved by evidence below.
1.1.1 Project Stakeholders The contractor representative, PD / PM, EMOS PSS and Zone EMP representatives are to ensure that all applicable stakeholders have been A copy of project stakeholders and a schedule
identified, engaged and their responsibilities / ongoing engagement are understood early in the project planning & design phase. The HOTO of their required attendance and input at
RACI can assist with this process. Early stakeholder engagement and consideration of applicable HOTO criteria ensures stakeholder input can meetings.
be quantified in the development of project plans and attendance at project meetings agreed. Depending on the nature of the project the Copy of start up meeting minutes.
PD / PM are to make a considered decision as to which stakeholders are required to be a part of the process. Any doubts about project
stakeholders should be referred to DEPU for further information and guidance.
1.1.2 Clarify Scope of Works The contractor representative and PD / PM are responsible for engaging stakeholders to clarify and confirm the scope of works for the A copy of project scope of works and/or
project and what is expected. The agreed scope of works shall be provided to all identified stakeholders. The scope of works should be respective meeting minutes where
confirmed before the design and delivery contractor procurement process begins. stakeholder agreement has been
For CFI projects the agreed scope of works are detailed in the approved DBC. documented.
For EWP projects provision of approved
Return Brief.
For CFI projects a copy of DBC authorities
page.
1.1.3 Project Commissioning, HOTO The PD / PM is responsible for ensuring that the contractor representative’s commissioning and handover / takeover (HOTO) plan/s are Provision of an agreed HOTO plan, checklist,
Plan and Checklist developed in accordance with the contract T&Cs, HOTO policy and instructions detailed on DEQMS, and that key project stakeholders (Zone project details and supporting plans.
EMP and ES staff, applicable Defence SME and Product Directorates, and EMOS PSS) are engaged in the progressive development and
acceptance of the plan/s and evidential requirements.
Contractors must use the HOTO Plan & Checklist located on DEQMS. The HOTO plan intends to provide explicit detail about applicable HOTO
activities, compliance requirements, how criteria will be satisfied and what evidential material and/or documents are to be provided. A HOTO
Plan & Checklist template is provided on DEQMS for use when developing the HOTO plan/s. Contractor representatives and project
stakeholders must refer to the instructions and Project Lifecycle Criteria Instructions within this HOTO Plan & Checklist document for
additional guidance about content of the document and how it should be used throughout the project lifecycle.
The HOTO Plan & Checklist sets the minimum requirements for ensuring compliance and fitness-for-purpose at completion of works, and an
efficient HOTO transition. Therefore the HOTO Plan & Checklist should be regularly reviewed to ensure actions resulting from changes in
project conditions and outcomes are agreed and documented.
If agreement on the above plans, HOTO criteria and evidential requirements cannot be reached between the PD / PM, Defence
Representative and Contractor representative; the issue escalation process detailed in the project contract documents is to be followed and
the matter is raised with the applicable accountable authority detailed in the HOTO RACI and project contract. e.g. for CFI projects
unresolved issues may be raised in specified project meetings and escalated to PCGs and then for further decision, to the PGBs.
Note: Depending on the project type (HC, MC, DSC, D&C or EWP) determination of applicable HOTO plan content and criteria will vary in
timing within the project lifecycle .
1.1.4 Access provided to project web Throughout a project many documents and drawings will be developed and amended as the project progresses. Management and filing of An email from the PD / PM advising data
based document management these documents and drawings is a contractor representative responsibility. In many projects the operational and maintenance staff will system access arrangements and list of
system develop operating and maintenance procedures and will need access to the documents prior to final delivery. The PD / PM is to liaise with stakeholders provided access.
the EMOS PSS and Zone EMP representative to determine project stakeholders requiring access and apply a suitable file structure for ease of
locating the required information.
Contractor representatives may choose to use a web based or commercial document management system (e.g. Aconex) to manage these
documents during the project and deliver them to Defence progressively throughout the project.
1.1.5 Ensure Project personnel have The Objective Work Group Coordinator/s within CFI and DEWPO are responsible for providing all stakeholders, contractor’s etc. access to the PD / PM email advising access arrangements
access to the Estate Management objective files / folders required for the project. The Base Services Contract Objective Operating Instructions gives detailed guidance on the are complete. Sponsor - CFI or DEWPO.
Workgroup in Objective use of Objective and explains what a record is and the types of documentation that are to be stored in Objective (as per RECMAN).
Refer to the attached link for the Base Services Contract Objective Operating Instruction.
1.2 Site Selection Board Completed Prior to constructing a facility on Defence owned or leased land, approval is to be gained via a Site Selection process. The process is A copy of the site selection
and Approved designed to ensure the facility is located to the best advantage for its intended purpose and does not create conflict with future works or recommendation(s) approved by the
surrounding infrastructure or their intended purpose. Delegate.
For CFI project - a copy of the DBC approvals
Site Selection recommendations is a responsibility of the Site Selection Board which comprise of Defence members with specific knowledge page.
and interest in the location selected for the new infrastructure. Contractor representatives are responsible to review site selection
documents and approval requirements to ensure the planned works comply with the approved site selection outcome. For CFI projects, DBC
approval will not occur without completion of a site selection assessment.
The estate management lifecycle and Site Selection on DEQMS provides the processes, templates and guidance to achieve site selection.
1.3 Building Contribution Factor For projects that are modifying and/or refurbishing existing facilities, the PM / PD is to obtain the existing building Contribution Factor (CF) Email from BM & Capability Manager (or
For Existing Facilities. information from GEMS. The Capability Manager (CM) (or delegate) is to determine if the CF requires amendment due to a change in facility delegate) to indicate that no change is
use or other inaccuracy. It is expected that a CF should only change if there is a major change in the building use. required. If a change is required, a copy of
the Building Contribution Factor Form is
If no CF is recorded in GEMS, the PD / PM is to notify the CM (or delegate) and complete and submit an MFPE Building Contribution Factor provided for file and BM / Capability Manager
Form (Page 28, Annex 2A) as outlined in the MFPE (see link in column F). (or delegate) advise the form has been
For CFI projects, the approved building CF is detailed in the project DBC. submitted or copy of DBC approval page.
Guidance for developing the Building Contribution Factor can be found in the MFPE and Guideline for Building Contribution Factor.
2 Project Design Phase To ensure designers deliver outcomes that are compliant with Defence and legislative requirements, designers must consider and comply Achieved by evidence below.
with applicable regulations, standards, codes of practice and Defence policies, manuals and Estate Engineering Governance & Integrity
System (EEGIS). Locating and understanding the range of Defence policies, manuals, EEGIS and broader requirements can be challenging for
design contractors. Defence’s repository for estate related policies and information is the Defence Estate Quality Management System
(DEQMS).
When determining applicable Defence policies and design requirements, designers should not solely rely on a search of DEQMS for all
information and guidance. There are mandatory engagement and/or design endorsement requirements with the Estate Maintenance
Operations Services (EMOS) contractor and various Subject Matter Experts (SME). Several examples include: EMOS will provide design
guidance on maintainability of buildings, land management, plant and equipment; Fuel Services Branch (FSB) provide guidance and approval
of designs for fuel installations, Explosive Ordnance (EO) Branch provide guidance for weapons and munitions storage facilities; and
Environment & Engineering (EE) Branch provide guidance on the provisions of Manual of Fire Protection (MFPE), Manual of Infrastructure
Engineering – Electrical (MIEE) and EEGIS, DS &VS will provide guidance on security requirements and CIOG will provide guidance on ICT
equipment, systems and network.
To achieve successful stakeholder engagement project PD /PM are to ensure all appropriate stakeholders attend design start (kick-off)
meetings and all applicable SME are engaged throughout the design process. To achieve compliant and successful design and HOTO, all
aspects of the design HOTO criteria and evidence requirements to demonstrate compliance must be discussed and agreed at the design start
meeting.
2.1 Acceptance of design and Throughout the project design phase there will be several meetings and various activities conducted to ensure the required stakeholders are Achieved by evidence below.
deliverables from key stakeholders engaged, project scope and deliverables (including approved changes) are understood & agreed; risks and constraints are identified; and
achieved plans, designs and drawings are developed to the required standards.
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2.1.1 Design start meeting conducted to A project start meeting must be held at the commencement of the design phase. The PD / PM are to ensure that all appropriate stakeholders Email from PD / PM advising that criteria is
confirm stakeholders and agree are identified and represented for the meeting. Items that should be addressed at the design start meeting may include but not be limited met and a copy of the minutes are saved in
project scope and design to: Objective or for CFI, the mandated project
requirements information management system.
a. All applicable stakeholders and SME for the design phase activities have been identified and engaged.
b. Project scope, schedule and deliverables are clearly understood and agreed to by key stakeholders.
c. Site risks, constraints and environmental management requirements identified.
d. The HOTO Plan & Checklist for the design deliverables is reviewed, acceptance criteria and completion evidence are agreed.
e. A estate information plan (EIP) & checklist for the supply and management of estate information has been reviewed and agreed. The EIP
should cover provision of GEMS data, estate data extracts, drawings and geo-data etc.
f. PD / PM arranging Estate Data extracts for all existing infrastructure, buildings and equipment affected by the project works. Requests for
these extracts are to be prepared using the Request Estate Data Form, to define the scale and extent of data to be included.
g. Ensuring that EMOS specialist maintenance advice is provided during the design process. The EMOS are able to provide maintenance
advice for buildings, infrastructure, plant & equipment and land management requirements.
h. Base access arrangements for visitors etc.
i. Explain EMOS PSS services, clarify notice and return times for estate data and RFIs. Where available EMOS are to provide contractors an
information pack about PSS services.
2.1.2 Design review meetings Larger and more complex designs generally have design milestones established at 30%, 50% and 90%, with corresponding design review Copies of design review meeting minutes and
meetings. The contractor representative and PD / PM must ensure applicable stakeholders and SME have been adequately engaged to correspondence from key stakeholders and
provide input at agreed project design review milestones and/or meetings. SMEs acknowledging design input and/or
acceptance.
2.1.3 Delivery and acceptance of plans It is the designer’s responsibility to ensure that all design plans and drawings are complete (includes approved project scope and user A list of SDMP compliant design drawings,
and drawings requirements) and compliant with the SDMP. Compliance includes incorporating allocated room and space numbers, provision of geo- minutes of design meetings and/or
information and a format suitable loading on the Defence Estate Information System (NSIMS). Drawings must come complete with metadata correspondence from stakeholders and SMEs
files and copies provided to the EMOS at the end of design. identified in the agreed EIP accepting designs.
2.1.4 Project Estate Information Plan Contractor representatives are required to develop a Estate Information Plan (EIP) that details what, how and when estate data associated Copy of agreed Estate Information Plan (EIP).
(EIP) & Checklist with the project will be managed and provided to Defence. The EIP must cover management and delivery arrangements for all forms of new - EMOS GEMS data download.
and changed estate data that is defined by the Estate Register Information Model (ERIM), environmental and estate related registers, project
plans, drawings and manuals etc.
The EIP must accord with applicable Defence policies, business rules and manuals to ensure the conditions of the contract are met and
provision & acceptance of quality data is achieved at the required project phases. When developing the EIP, contractor representatives
should liaise with PD / PM, EMOS and Zone EMP representative to ensure associated processes are understood and planned data supply and
verification schedules can be achieved.
2.2 All GEMS Asset Shells requested The project estate information plan must detail how and when estate data will be managed in accordance with applicable Defence policies, PD / PM email verifying that all Asset Shell
and completed GDL submitted at business rules and manuals. For the design phase this includes the creation of GEMS asset shells. GDLs are submitted in accordance with
the 90% design as per the agreed agreed EIP and the GEMS data team
estate information plan A ‘shell record’ is the initial record created in GEMS that correctly classifies the estate items as per the ERIM and provides the details of the acknowledge receipt.
physical and functional parent. Asset shells for buildings must be created in GEMS as soon as the design is sufficiently matured. The project
is to send requests (GDL) to the GEMS Data Team (GDT) for ‘shell records’ to be created in GEMS. The GDT will send to the PD / PM and
EMOS a 'spool' number when the GDL are received. Once the shell records are created, the GDT will send a data extract to the project and
the EMOS.
GDL requests to create the remaining asset shells (e.g. levels, space and equipment, infrastructure system or equipment systems) must be
completed by 90% design to ensure timely completion and acceptance of completed GEMS data criteria at the end of the design phase. To
achieve this outcome, asset shells must be progressively created in the design phase as applicable design information becomes available. The
EIP must provide detail about how and when this will be achieved.
The asset status must be recorded as ZPRO in the Asset Status field in the GDL Tool until Construction commences.
2.2.1 GDLs submitted for creation of The project submitted GDL to the GDT requesting creation of “shell records” at the 90% design point, with adequate notification to achieve A copy of request submitted by the project.
shell records shell record creation at the 90% design point.
2.2.2 GEMS shell records created GEMS ‘shell records’ for project buildings and equipment were created in GEMS at the 90% design point. A data extract from the GEMS Data team
confirming that the shell records have been
created.
2.3 Compliant Design (includes BCA, MFPE, MIEE etc.). Achieved by evidence below.
2.3.1 Compliant Design (includes NCC, Design approval is the responsibility of the design team where all designs must comply with all applicable Codes, Standards and Defence Copies of designer certifications for all
MFPE, MIEE etc.) policies etc. Defence engages the project contractor to provide compliant estate items generally without additional approval from Defence, aspects and where applicable, a letter from
however, delivery of estate items that do not satisfy Defence policy requirements will need to be approved via a dispensation or performance the building certifier explaining why the
solution requests. The PD / PM must seek approval for dispensation or performance solutions from the appropriate authority as identified in scope of works are exempt and do not
the EEGIS toolbox. The EEGIS web site will provide additional links for specialist engineering advice or a request can be forwarded from the require a Certificate of Occupancy; or a non-
PD / PM to the nominated EEGIS toolbox contact. rejection notification from the PD or PMCA.
Where designs require other SME
The design consultant is to review the scope of work and confirm if the scope to be carried out is sufficient to facilitate a Certificate of endorsement like FSB, EO and CIOG, a copy of
Occupancy being issued by the building certifier for the project. Where changes to an existing building or structure are considered as certification notice from SME provided.
exempt works under the MFPE, the delivered works may require a Certificate of Occupancy to be provided. In these circumstances a letter
from the building certifier is required.
To demonstrate compliance in design, designers are to certify that designs meet all applicable legislative, standards and Defence policy
requirements for the systems and services relevant to the project. These may include:
a. plant and equipment;
b. essential safety systems;
c. electrical services;
d. mechanical & hydraulic services;
e. fire & smoke protection & management;
f. fuel storage and distribution facilities and equipment;
g. hazardous areas, include explosive ordnance (EO) and hazardous chemical storage;
h. security systems, Sensitive Compartmented Information Facilities (SCIF), magazines, armouries, supervisory and security Zones 2-5; and
i. ICT and Voice Services.
2.3.2 Safety in design conducted and All construction works must undergo a “Safety in Design” review to determine any hazards that may be created by the design of the intended Approved design review documentation
findings accepted works and design them out (eliminate) or where they cannot be eliminated reduce so far as reasonably practicable. The Code of Practice for identifying any hazards requiring treatment,
Safe Design of Structures provides details for understanding and conducting a Hazard in Design. i.e. a register and associated risk
management measures.
2.3.3 Approved performance solutions The MFPE directs that all new building works shall comply with all volumes of the National Construction Code (NCC) or additional protection A copy of the approved performance solution
IAW MFPE Policy to satisfy Defence requirements. The requirements of the NCC are met by demonstrating compliance with the performance requirements of prior to the issue of abuilding approval.
the NCC. Compliance is achieved by either developing a Performance Solution, and/or by developing a Deemed-to-Satisfy (DTS) solution.
Any departure to the DTS provisions of the NCC must be addressed by a Performance Solution. Chapter 3 of the MFPE details the
requirements related to this process. In particular, where performance solutions are proposed, MFPE Chapter 3 details the approval
processes. Further guidance can be found in the Guidelines for Certification, Performance Solutions and Dispensations.
2.3.4 MFPE Design requirements for Chapter 6 of the MFPE details the Defence risk assessment and mitigation requirements for bushfire prone areas. Designers are to liaise with Base Manager and Zone ESO are provided
Bushfire Prone Areas. the Base Manager and Zone ESO to obtain existing bushfire management plans and information to inform risk assessments for new designs. with a suite of information to demonstrate
Further information on Bushfire Environmental Factor Records can be found under the reference guides on the GEMS gateway. that risks have been assessed and treated in
design (for example through APZs).
2.3.5 Review and acceptance of design The PD / PM is to ensure that the designer adequately considers reasonably foreseeable hazards that may occur as the structure is built, Copy of design meeting minutes that
hazards commissioned, used, maintained, refurbished or modified and are eliminated or reduced to as low as reasonably practicable. Deciding what identifies the hazards and the controls to be
is ‘reasonably practicable’ requires taking into account and weighing up all relevant matters including: implemented or a copy of the non-rejection
a. the likelihood of the hazard or the risk occurring; notification from the PD or PMCA.
b. the degree of harm that might result from the hazard or the risk;
c. knowledge about the hazard or risk, and ways of eliminating or minimising the risk;
d. the availability and suitability of ways to eliminate or minimise the risk; and
e. after assessing the extent of the risk and the available ways of eliminating or minimising the risk, the cost associated with eliminating or
minimising the risk, including whether the cost is grossly disproportionate to the risk.
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2.3.6 Smart Infrastructure in Design Ensure all energy sources supplying the building (e.g. electricity, gas) are planned for. Defence requires all new design and construction Provide a copy of the manual and checklist
projects to continuously improve the efficiency, effectiveness and sustainability of the Defence Estate. Smart Infrastructure defines the that details the design elements employed to
Defence requirements and reporting obligations for design and construction covering energy, water, waste, pollution prevention, and smart meet the requirements of the Smart
procurement. Smart Infrastructure consists of two parts: Infrastructure Manual. Copy of completed
a. A Manual that outlines Ecologically Sustainable Development (ESD) and Whole of-Life (WOL) requirements for each project, covering: Smarti checklist provided in Smarti Manual.
design, construction and associated reporting. Copy of metering plan.
b. A Plan and checklist that includes a Metering Strategy. The Energy and Water Metering plan includes electricity, gas and water. Guidance
see DEQMS link.
It is the designer's responsibility to ensure smart infrastructure principles are implemented into all designs for works specified.
2.3.7 Security in Design If there are any security requirements and/or implications in a facility, DS&VS should be contacted prior to the design phase to ensure Email demonstrating DS&VS engagement and
Defence requirements are met in designs. Complex projects with security zones 2-5 or armouries should complete a security risk assessment where applicable, details of SCEC engaged
to guide and inform the design. A SCEC Consultant should be engaged for any project with security zones 3-5 who represents the interests of consultant.
the Commonwealth.
2.3.8 EMOS input to design, whole-of- The PD / PM is to ensure that EMOS specialist design, whole-of-life and DLP maintenance advice is provided during the design process to A copy of the design review meeting minutes
life and DLP maintenance maximise efficient operability and optimal maintainability. The EMOS are able to provide maintenance advice for buildings, infrastructure, or meeting invitation or email
requirements plant & equipment, and land management requirements. PSS is responsible for inviting and coordinating applicable EMOS specialist correspondence issued to EMOS that
attendees to design review meetings. PSS and EMOS failure to meet this requirement should be raised with Director Estate Planning & requests EMOS design review and feedback.
Upkeep (DEPU) for resolution.
Note: The purpose of EMOS review of designs is not to check / certify a design’s compliance with applicable standards and/or codes of
practice. EMOS advice is to inform designers of the requirements for optimal and efficient solutions for ongoing maintenance practices.
By the 90% design milestone, EMOS and PD/PM are to establish the agreed maintenance arrangements and responsibilities for DLP. For
example, is maintenance to be conducted by the EMOS, contractor representative or a mix of both. Determining this arrangement will
enable the PD/PM to specify arrangements in the tender documents that engage the construction contractor and enable EMOS to prepare a
seamless transition at the commencement of DLP.
2.4 Approved Dispensation IAW MFPE The MFPE details Defence specific requirements that are in addition to the NCC. The requirements of the MFPE are met by demonstrating Copy of the approved dispensation request
Policy compliance with the provisions of the applicable chapters of the manual. Any non-compliance with the MFPE requirements must be prior to issue of a building approval.
addressed via a Dispensation. Further guidance can be found in the Guidelines for Certification, Performance Solutions and Dispensations.
Chapter 3 of the MFPE has for specific requirements related to this process. In particular, where dispensations are proposed, MFPE Chapter 3
details the approval processes.
2.5 Building Contribution Factor Form Building Contribution Factor Form and Asset Rollout Notification Form Completed & Submitted Achieved by below.
and Asset Rollout Notification
Form. (Only applies to all new
facilities)
2.5.1 Asset Rollout Notification form The identified Responsible Person appointed by the PD / PM is responsible for completing and submitting the Asset Rollout Notification Copy of the completed Asset Rollout
Completed & Submitted (Asset Form. Preparation of the Asset notification form should commence at about 30% design in order to complete and submit the form by the Notification Form and emailed submission.
Valuation) end of design. As per the Directorate, Balance Sheet Management (DBSM) in Asset Accounting Branch of the Chief Finance Officer Group
(CFOG) ‘Asset Under Construction’ (AUC) manual, DBSM is to be notified when an AUC becomes an asset in use (AIU). The E&IG Asset
Management and Accounting Manual outlines the process to complete the Asset Rollout Notification Form; a guide to completing the Asset
Rollout Notification Form and identifies the stage of the project schedule when this should be submitted.
Works undertaken in DLP that adds value to the asset/s requires rollout at the expiry of DLP. This will be completed via a Project Variation not
by EMOS maintenance works.
At expiry of DLP for the final stage of the project, a final rollout is required for the remaining AUC balance. The remaining AUC balance can be
sourced from ROMAN or the Project Manager/ Project Officer can:
a. Determine the remaining AUC balance (can be sourced from ROMAN or the Project Officer);
b. Determine value of DLP works undertaken; and
c. Determine PM/CA, design and others fees for each stage/works package. PM/CA to complete the DLP Enhancement section of the Cost
Allocation sheet and transpose values to the DLP Enhancement worksheet.
Once the final rollout is complete the Project Officer can financially close the project.
The Asset Rollout Notification Form can be found at:

http://intranet.defence.gov.au/estatemanagement/lifecycle/CapitalFacilitiesInfrastructure/RolloutofAssets/RolloutPackV1May14.xls
Completed forms are to be emailed to dsgbsm@dpe.protected.mil.au
2.5.2 Building Contribution Factor for For a new built facility, determining the building(s) Contribution Factors should commence at about 30% design. The PD/PM is to submit the Email from BM & Capability Manager (or
new built facilities MFPE Building Contribution Factor Form and obtain the Capability Manager (CM) (or delegate) approval by the end of design. The PD / PM delegate) to indicate that the Building
and designer are to provide the CM or delegate with sufficient information to commence assessment and submission of the MFPE Building Contribution Factor Form is provided for file
Contribution Factor Form (found on page 28 of the MFPE on DEQMS) during the design phase. Guidance is in the MFPE (see cell F for the and the form has been submitted.
link to the MFPE). The building classification is to appear on the Certificate of Occupancy as the base line compliance level.
2.6 Property Licence requirement Where the occupation of completed and 'Handed Over' facilities require GFF or property licence arrangements to be established, the Zone Copy of EIR.
informed to Property EMP is to notify the local E&IG ID Out Posted Property Officer to commence preparation and submission of an EIR for a property licence.
Management Branch (e.g.
government furnished facilities –
GFF)
Project Construction Phase

3 Pre-Mobilisation Achieved by evidence below.
3.1 Pre-mobilisation start meeting In preparation for the construction phase there are several important requirements that contractors and project stakeholders must complete Signed copy of meeting minutes and
held, key stakeholders identified, before contractors can access and mobilise on the Defence estate. These requirements must be discussed and agreed upon at a pre- documents presented at the meeting.
scope of works and design construction start meeting. The PD / PM are to ensure that all applicable stakeholders are represented at the meeting and HOTO Plan &
confirmed and Project Checklist pre-mobilisation items are adequately covered by the meeting agenda. Topics that should be addressed at the start meeting may
commissioning & HOTO Plan & include but not be limited to:
Checklist, evidence, estate
information plan & checklist, a. All applicable stakeholders and SME for the construction phase have been identified and engaged.
schedule for O&MM and Training b. Project scope of works, schedule and deliverables are clearly understood and agreed by key stakeholders.
all agreed by HOTO key c. The building certifier must be present at the pre-construction meeting to provide advice in relation to the Building Approval (BA) (once
stakeholders construction is complete). Building Approval will only be issued by the building certifier when the requirements of MFPE paragraph 3.16 have
been met.
d. A HOTO Plan & Checklist covering the construction and to the end of DLP phases are reviewed, acceptance criteria and completion
evidence are agreed and documented in the HOTO plan.
e. An Estate Information Plan (EIP) & Checklist for the supply and management of estate information has been reviewed and agreed. The
plan should cover the scheduled provision of estate information, data extracts, plans, drawings, geo-data, building and O&MMs, etc. Where
the Contractor identifies difficulties in providing the required deliverables by the agreed date then an agreed provision schedule post issuing
of the completion certificate is to be negotiated and agreed to by PD / PM, EMOS and Zone EMP representative. These difficulties and issues
are to be captured on the project logs and in the meeting minutes as this is a project deliverable not delivered. Non provision of the O&MM
by the due date will not constitute a claim under extension of time (EOT). At a minimum all final draft O&MMs must be provided by 90%
construction or 28 day notice of completion.
f. Schedules and plans for commissioning and operator & maintainer training. Refer to 3.1.2 for more detail on planning for training
requirements.
g. Site Management and control plans. Refer to checklist criteria 3.2.5 through to 3.2.8 for more detail about requirements relating to safety,
security, permits etc.
h. Completion of dilapidation surveys and demolition plans. Refer to checklist criteria 3.3 for more details.
i. Environmental management requirements and approvals. Refer to checklist criteria 3.4 for more details.
j. Connection & dis-connection of energy and water services. Raise AE879, refer to checklist criteria 5.15.8 for more details.
k. Review the agreed DLP outline maintenance plan and agree actions for the DLP maintenance plan before HOTO. The DLP plan must
consider what maintenance and support is and could be provided by EMOS during DLP. For more details refer to criteria 3.5 for both CFI and
3.1.1 EMOS Information Pack The EMOS PSS is to provide an information pack to the PD / PM and contractor representative explaining the assistance to be provided. An email from the Contractor Representative
These may include: to confirm receipt of EMOS Information pack
a. PSS Development Delivery Model; or copy of meeting minutes where receipt
b. PSS Useful Information - Managing Estate Data; has been noted.
c. PSS Project start-up information;
d. RFI Template;
e. escort request form;
f. Label Request Form;
g. PSS CHOTO Supporting Information;
h. CHOTO Flowchart; and
i. how to lodge a request for works or support.
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3.1.2 Training Requirements and In consultation with the EMOS and RU, the contractor representative is to review the works being delivered and determine if / what training Documented confirmation of the identified
Training Schedule, including ICT (and inductions) is required to prepare operators and maintainers to safely and correctly operate and maintain the infrastructure being training requirements and delivery plan.
identified installed.
The identified training is to be agreed between all stakeholders in regards to the:

a. type and complexity of training required;
b. number of staff to be trained;
c. style of training i.e.: on the job, classroom, Train the Trainer or a combination of all;
d. competency level to be achieved; and
e. what competency / qualification will be provided / awarded to the participants?
It should also be identified what qualifications are required to operate and/or maintain the delivered infrastructure which will not be
provided by the project to allow time for these qualifications to be gained prior to HOTO.
3.1.3 GEMS data load tools (GDL) The contractor representative is responsible for the accuracy, completeness and timeliness of all estate data created or amended by the Email from contractor representative stating
project. All changes to the Defence estate must be correctly recorded and supplied in the prescribed format. This is achieved by providing that all shell records have been created and
new or amended data to the estate via a GDL which accurately reflects the changes implemented via the project. Except for shell records, EBI issued.
the GDL are submitted to the EMOS for validating and uploading into GEMS.
Multiple GDL can be submitted and should be done as early as possible throughout the construction phase at the intervals identified in the
EIP. As the process is progressive in nature, a logical and agreed naming convention and version control system must be applied.
The contractor representative must request a Data Extract (as per the process on DEQMS link) for all areas that will be affected by the project
works to provide a base line for the updating of data. This will provide the current data held within the system and provide an early scope of
the requirement to achieve a complete and accurate data listing by 90% construction.
EBI are to be requested for new estate items and where existing data is incorrect or incomplete the project should update to ensure an
accurate and complete GDL is submitted.
The contractor representative is to liaise with EMOS to develop and agree a EIP that enables compliance with Defence policies, requirements
and incremental provision of all project GDL before and no later than 90% construction or 28 day notice of completion.
3.2 Site Management and control plans. Includes: safety & incident management procedure, asbestos & hazardous chemicals management and Method of Work Plans. (M) Achieved by meeting criteria below.
3.2.1 Site Specific Information and Base The contractor representative is to provide documents and drawings depicting the areas to be affected and occupied for the purpose of the A copy of the approved site layout plan and;
access. construction, commissioning and HOTO phases. This includes areas required for contractor’s temporary office accommodation, contractor Base and Work site access plan or Method of
parking, decanting and storage of materials and waste etc. The contractor representative must also, engage with the BM (or BM Work Plan.
representative) to develop a base and work site access plan. The access plan must cover access requirement for all contractor and Email that demonstrates appropriate
subcontracted staff and vehicles. stakeholders were engaged on the plan
development.
3.2.2 Site preparation - BM, Base RU The contractor representative, in conjunction with the BM, EMOS Manager and RU are to review project site specific information to identify A copy of the management plans, base
and service providers are and agree to the site required for the proposed works. Management plans, base instructions and sites and services that will be affected or instructions and notices to service providers.
engaged. isolated are to be provided to the affected RU and service providers (internal and external). The external service providers could include
utilities, Telstra and nbn.co. Where plans cannot be agreed the project escalation process should be invoked.
3.2.3 Work site access and security plan. A risk based security plan is developed prior to any works commencing. The plan should recognise existing security risks on a base with a Copy of work site access and security plan or
view to limiting impact of the construction activity. Options such as separate access points, additional guarding, workforce ID and targeted Method of Work Plan (when subject
security clearances are some examples that have been utilised included).
Email that demonstrates appropriate
stakeholders were engaged on the plan
development.
3.2.4 Traffic management plans The contractor representative, with input from the BM, RU and EMOS manager; are to prepare traffic management plans for the base and A copy of traffic management plan or Method
developed affected site(s). The BM will ensure updates are sent to all Base residents/workers to advise of the possible disruptions. of Work Plan (when subject included).
Email that demonstrates appropriate
stakeholders were engaged on the plan
3.2.5 Plan Site Safety and inductions for All contractor representatives shall have their company specific site inductions for the project / task and any work site or designated property development..
Copy of site induction plan and/or documents.
Contractors & sub-contractors. that will be controlled by the contractor. The contractor representative is also to ensure that specific site inductions (incorporating all
Defence and Base requirements), has been provided to all staff and that attendance at the inductions is registered. Includes Airside
Awareness for Bases with operational airfields.
The PD / PM are to ensure that Defence and Base requirements are incorporated in the Contractor's plans.
3.2.6 Planned utilities isolations The contractor representative is to develop a utilities isolation plan / procedure in conjunction with the EMOS, BM and RU. The affected RU Copies of isolation plan and notices of
identified and notifications and service providers are to be advised as per base communications arrangements. The BM can then create a notification for the Base to disruptions.
prepared. advise of the isolations. Communication of isolations and notice of disruptions should make use of the Base Information Circular or email
systems.
3.2.7 Permit System The contractor is to implement and operate a permit system that is compliant with WHS Act 2011 and applicable regulation and codes of Provide a copy of the permit system process
practice for all high risk tasks. For permits involving Base electrical, water and/or sewerage systems the EMOS contractor are to be notified. and permit templates to be used.
3.2.8 Site Safety / Incident A Site Safety Management Plan (SSMP) is a document that defines how WHS is managed by the Contractor and other duty holders at shared Copy of Site Safety Management Plan.
management procedure planned workspaces. Under an SSMP, all parties shall be satisfied that the agreed arrangements are sufficient for all duty holders to discharge their
(Asbestos, Hazardous Chemicals, WHS duties. The identified responsible person is to develop a site specific SSMP and submit to the PD / PM for review and conformation that
and Method of Works Plan for it meets requirements of the contract and WHS Act 2011. The SSMP is to include the roles and responsibilities and the incident reporting
Airfield activities, etc.) procedure to ensure Defence complies with Comcare reporting requirements.
3.3 Dilapidation Surveys and Dilapidation Surveys PD / PM notification of receipt of dilapidation

Notification of Demolition The contractor representative and PD / PM are to ensure that a dilapidation survey is conducted to determine: survey, a copy of the dilapidation survey and
a. condition of the estate items prior to works commencing; other supporting evidence where applicable.
b. items to be demolished;
c. items to be salvaged; and A completed copy of the Notification of
d. items to be disposed. Demolition form with the email submitting
the document.
The contractor representative is responsible to provide the PD / PM and EMOS with a copy of the dilapidation survey and any other
supporting evidence of the condition of facility and estate items prior to works commencing.
Notification of Demolitions
The Notification of Demolition or Disposal Form is to be completed by the contractor representative and submitted following the process
below:
a. The Notification of Demolition or Disposal Form must be submitted to the local Defence Finance Group (DFG), Regional Asset Accounting
(RAA) section to have the correct Value (Net Book Value) and ROMAN Asset number provided from ROMAN (Fixed Asset Register) for each
item where applicable. The RAA section will also provide advice regarding other assets that may be on the Fixed Asset Register that could be
involved in, or disposed of, or enhanced by the Project.
b. The Asset Accounting Group Mailbox is set up on a regional / zone basis with the applicable region included in the email address. The
group mailboxes for each RAA section in regions are: (1) Asset Accounting NNSW@defence.gov.au; (2) Asset Accounting
NQ@defence.gov.au; (3) Asset Accounting NTK@defence.gov.au; (4) Asset Accounting SA@defence.gov.au; (5) Asset Accounting
SNSW@defence.gov.au; (6) Asset Accounting SQ@defence.gov.au; (7) Asset Accounting VT@defence.gov.au; (8) Asset Accounting
WA@defence.gov.au.
c. The RAA section will return the form to the PD/PM.
d. The contractor representative and PD/PM must ensure the form is signed by the applicable delegate in accordance with FINMAN 2 before
submitting the form to Directorate of General Asset Accounting (DGAA) via their Group Mailbox DSG BSM@defence.gov.au for processing in
ROMAN. The Notification of Demolition or Disposal Form must also contain the proposed asset disposal date(s).
e. Following the physical Disposal and/or Demolition of the asset(s) the actual date of this action must be recorded on the original
Notification of Demolition or Disposal Form to be forwarded again to DGAA to enable completion of the final ROMAN disposal transactions.
Pursuant to the PGPA Act, the Notification of Disposal Form must be approved by the delegate prior to demolition or disposal of an asset
(building, infrastructure or OP&E) to ensure delegate approval has been obtained. The following is an extract from the Accountable
Authority Instructions (AAI).
"10.12.1.5 - You must seek approval from a FINMAN 2 schedule 15 delegate prior to disposing of relevant property."
In accordance with FINMAN 2 Schedule 15, assets with ‘Nil’ value must still have the appropriate FINMAN 2 delegate approval before
disposal. The Disposal Delegate in each region will be appointed by the applicable Director Service Delivery (DSD) with guidance from
FINMAN 2. Capital Facilities and Infrastructure projects have dedicated staff for notifying of disposals.
3.4 Environmental approvals obtained Achieved by meeting criteria below.
3.4.1 Environmental Management Plan The contractor representative is to develop and submit a site specific EMP that reflects the individual project and the works within the A completed and endorsed EMP.
(EMP) completed / submitted and project.
accepted
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3.4.2 Environmental Clearance ECC form AB081 is required for conducting projects / activities on Defence property or leased sites where the project or activity: A copy of the approved ECC by the Zone ESO.
Certificate (ECC -form AB081) has a. is beyond the scope of approved Range Safety Officers (RSO), Standing Instructions (SI), Standard Operating Procedures (SOP) or other
been approved by Zone ESO. documented systems and associated instructions;
b. is undertaken on the Defence estate (e.g. construction or maintenance) by external agencies;
c. has any likelihood of causing significant environmental impact in the absence of strict controls; and
d. is a controlled action under the EPBC Act (the ECC will be issued to ensure the conditions of approval are communicated, understood and
complied with).
Environmental impact assessment is an integral part of the project planning, development and delivery process for all Defence actions and
projects. Defence actions are broadly summarised as all the activities, projects, developments, demolitions, exercises, trials, undertakings
and introductions of new capability undertaken by or on behalf of Defence.
An ECC is the final Defence environmental approval. It is informed by an Environmental Assessment Report (EAR) where applicable and
imposes site specific conditions and safeguards on an action to ensure environmental impacts are removed or minimised. Once an ECC is
issued, the activity for which approval has been sought may commence. An ECC is only for activities detailed during the assessment phase. If
there are any changes to the scope of the action, or if previously unidentified issues arise, a revised or additional ECC will be required.
An ECC can also be issued to a staged development. This provides the proponent and the contractor some certainty that the overall concept
of a project has been approved via the EAR but full details of each stage need not be given when the first stage ECC is applied for.
The ECC is to be raised by the identified project contractor representative and submitted to the Zone ESO and include the following:
a. Requirements of/for an incident report. An incident report is only required if an environmental incident occurs during the project works.
Results, resolution and any mitigation implemented against the incident are to be reported within the ECC.
b. Maintenance schedule for Landscaping, Fauna ‘offsets’ – nest boxes, Fauna friendly fencing.
c. Vegetation offsets and Population control devices.
d. Method of bird control including but not limited to physical and visual deterrents, sonic devices, trained birds of prey, chemicals,
contraceptives, and active barriers.
e. Native plants of like providence for low or no irrigation landscaping.
f. Ensure resource intensity e.g. energy / water consumption per m2 is as per the design energy modelling.
3.5 DLP outline maintenance plan For EWP projects that involve refurbishment / repurposing facilities and/or replacement of systems and/or sub-components with new assets, A copy of the agreed DLP outline
submitted to EMOS for review. the EMOS should continue to be the maintenance provider at the end of construction. The EMOS will need to develop their maintenance maintenance plan or EMOS maintenance plan
plan, with contractor representative input / assistance (on maintenance schedules & tasks associated with the project delivered items), and where applicable.
incorporate new warranty provisions (without voiding those manufacturer warranties) for new and refurbished items for the first 12 month
period (nominal DLP). Determination of the DLP maintenance responsibility is to occur at the end of the design phase in a 'project
maintenance meeting' held between PDS and EMOS. This will inform tender documents for the construction phase.
Where a complete new building / facility is constructed and/or refurbishment delivered via the CFI program, the construction contractor
representative will be responsible for DLP maintenance. If the Contractor Representative desires to engage the EMOS to conduct DLP
maintenance, that is an arrangement to be formally negotiated and established between the Contractor Representative and EMOS. For
either option, the Contractor Representative and EMOS must meet in the pre-construction planning period to confirm and agree DLP
mainteance arrangements before construction commences. The Contractor Representative is to commence by providing EMOS with a DLP
outline maintenance plan for EMOS review and input into the plan’s development during the construction phase. The DLP maintenance plan
is to be finalised at a time prior to HOTO as agreed with the PD / PM and EMOS, and the BSSC prepared to respond in support, from the
completion of HOTO. To be effective, the estate information that the plan relies on, which includes warranty information, must be in GEMS
and the OMMs. The plan should outline:
a. confirmation that the applicable CCPs have been approved for post DLP work;
b. EMOS responsibilities for responsive, scheduled and performance maintenance as per the required maintenance plans;
c. details of maintenance to be performed by the contractor representative;
d. procedures for rectifying delivery contractor defects;
e. procedures for manufacturer and collateral warranty claims; and
f. roles and responsibilities for formally completing the DLP.
4 Construction Achieved by evidence below.

4.1 EMOS has submitted to Contract A CCP is a legal requirement for the EMOS and Miscellaneous Services Provider (MSP) to seek amendments to the BSC. CCP must be A copy of the correspondence confirmation
Admin Support (CAS) all CCP approved by the Base Services Contract Authority as the Commonwealth delegate before the variations are implemented. As Defence has that the applicable CCP have been submitted
required for maintenance and several BSC nationally, there are applicable CCP templates for each service provider. and approved by CAS.
support services by:
For CFI Projects the 28 day notice EMOS are to confirm with the PD / PM that they have received sufficient information i.e. accurate shell records created in GEMS and the DLP
of completion, outline maintenance plan for EMOS to enable development of the CCP. In addition to the development of the CCP the EMOS must also
All other projects by 90% coordinate the requirements for MSP providers.
construction.
As additional information becomes available throughout the construction phase, EMOS is to continue development of the CCP to enable
completion and submission to CAS as early as possible and prior to the 90% construction period.
EMOS is to ensure all CCPs required to enable future and ongoing maintenance and support of new and/or refurbished facilities,
infrastructure and land and Defence activities have been submitted prior to the 90% construction period. EMOS inability to establish timely
CCP cannot be a reason and/or condition to reject or not accept HOTO completion. HOTO directly relates to the contract deliverables. If the
deliverables have been achieved IAW the contract and agreed HOTO, CCP can be established.
4.2 Submission to EMOS all GDL with The contractor representative is responsible for the accuracy, completeness and timeliness of all estate information created or amended by Copy of GDL spool numbers and 'final draft'
completed data fields, “final the project. The contract representative is also responsible to develop Estate Information Plan (EIP) & Checklist that outlines how and when manuals and as-constructed drawings
draft” manuals, as-constructed all GDL will be provided to EMOS for validation by 90% construction or 28 days prior to notice of completion (as applicable and agreed). confirmed by EMOS.
drawings, maintenance plans and
geo-referenced information no Unless otherwise agreed and in accordance with contractor’s agreed EIP, estate information should be provided as early as possible before
later than: the 90% construction or 28 day notice point to provide sufficient time for EMOS to check and upload GDL data by HOTO. This includes but is
For CFI Projects the 28 day notice not limited to GDL for buildings, equipment, asbestos, contaminated sites and hazards; “final draft” manuals, as-constructed drawings, plan
of completion, and geo-referenced information etc.
All other projects by 90%
construction. For small and short duration EWP projects it is recognised that the provision of all estate information at 90% construction or 28 day notice of
completion is not achievable. In these circumstances the contractor representative is to seek agreement with the PD/PM, EMOS and Zone
EMP representative for the supply of all estate information at a time closer to HOTO. Typically this may be 7 days prior to HOTO. The agreed
estate information delivery schedule is to be documented in the EIP.
GEMS data processes are available on DEQMS.
Commissioning
4.3 Pre-commissioning approvals and The contractor representative’s commissioning plan must detail the required notifications and provisions made with the EMOS and Base Copy of Email notification from applicable
notifications completed IAW Management personnel. Typical requirements may include but not limited to: activation of HV networks, fire detection / alarm / suppression Technical authority advising approval to
agreed contractor’s systems, security systems; and activities that may interrupt or affect Base operational and training activities. proceed with commissioning.
commissioning and HOTO Plan &
Checklist For any Defence Fuel Installation (DFI) approval from Fuel Services Branch (FSB) must be obtaining before first energising and operating
associated plant and equipment for the purpose of testing and commissioning.
4.4 Inspections & Testing All projects (as required) shall have a Commissioning and Handover Plan that includes appropriate Inspection & Test Plan (ITP) for the Provide a list of ITPs and individual ITRs.
commissioning of all equipment and systems. Each ITP must have at least one Inspection & Test Result (ITR), however, may have multiple Provide copies of all ITRs completed and
where individual testing is required. ITPs may form part of the contractor's Commissioning Plan. The results are to be recorded and form signed with evidence that any defects / issues
part of the Commissioning and Handover documentation. have been rectified.
4.5 Training and “train-the-trainer” training provided by the contractor on all facility systems for the operators and maintainers Achieved by meeting criteria below.
4.5.1 Training provided for the operator The contractor representative shall provide training to two separate groups of users, namely System Maintainers (generally the EMOS a. a copy of the training syllabus;
and maintainer contractor) and System Operators (generally the facility occupant). In general, the training shall include presentations, informal discussions, b. copies of the individual training record
demonstrations and hands-on practical demonstrations on the systems installed. provided to each recipient;
Training must include use of the Facility User Guides - FUGs (or final drafts) where FUGs are specified as a project deliverable. c. the competency levels achieved; and
Training for System Operators shall cover all the functions and activities that the operators need to carry out on a daily basis. d. a list of attendees.
The training for the System Maintainers shall include that provided for the System Operators and additional training necessary for the
system’s ongoing maintenance and administration. Further, the System Maintainer training shall also include training on how to instruct
other staff by way of a ‘Train the Trainers’ approach.
Maintainer and user representatives must be engaged in the development of training material and/or prior to the conduct of training to
ensure the scope of training covers all requirements. Timing of the training must be agreed between the contractor representative and the
maintainers & users, but must be completed prior to handover of the facilities and systems to Defence. The contractor representative must
make provision for training of users and/or maintainers on multiple work shifts.
4.5.2 Train-the-Trainer training provided Train-the-trainer training and training material must enable Defence staff and/or contractors to provide ongoing instruction for system a. a copy of the training syllabus;
maintainer and system operator training. A minimum number of train-the-trainer trained staff must be agreed with the maintainer and b. copies of the individual training record
operator representatives. Maintainer and user representatives must be engaged in the development of training material and/or prior to the provided to each recipient;
conduct of training to ensure the scope of training covers all requirements. c. the competency levels achieved; and
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5 Project Handover - Contractor Inspection by PD / PM, Zone EMP and EMOS PSS representatives. Achieved by evidence below.
Representative to PD / PM
This inspection is usually conducted in conjunction with the final stakeholder walk around prior to handover or provision of the Completion
Certificate by the PD / PM.
The Zone EM&P Representative is to use this inspection to gather information to:
a. confirm information provided for HOTO is complete and the contractor representative has assurance documentation that the information
is correct;
b. gain confidence that the delivered works are fit for purpose;
c. gain confidence so as to sign the HOTO Plan & Checklist as complete, accepting caveats and conditions:
(1) the full scope of works has been delivered;
(2) all commissioning has been completed and certification filed in Objective;
(3) review any outstanding defects and the plans or actions required to rectify and not create a safety hazard or hinder the fit for purpose
status of the facility.
5.1 Notice of Completion The PD / PM is to provide a Notice of Completion in accordance with the applicable contract clauses to the Contractor Representative. Any Provide a copy of the Notice of Completion
commissioning issues must be recorded and communicated to the EMOS to enable monitoring during DLP. noting any defects or non-delivered items. In
The Notice of Completion is a contractual requirement between the PD / PM and the Contractor Representative; and is required to finalise addition also required will be a letter stating
Handover (HO) of the project deliverables to the PD / PM. The Notice of Completion certificate and achieving HO is not an acceptance of this has been completed in accordance with
takeover (TO) from SDD. the agreed plan and ITRs received from head
The Notice of Completion should not be signed unless all documents / requirements within the HOTO Plan & Checklist have been satisfied. contractor.
5.2 Design & Build Compliance The Contractor Representative shall ensure that all design and installation is compliant with legislated requirements (federal, state) and As constructed drawings, commissioning ITP
Construction completed to Defence policies where appropriate. Includes all “vertical” and “horizontal” assets e.g. Civil / Structural Engineering Services, roads, paths and ITR and O&MM and a certification /
approved design and all variations and car parking etc. statement of compliance by the Contractor
to original design have been Representative stating what the installation
approved by a certified designer complies with and any caveats to the
certification.
5.2.1 Certificate of Occupancy The contractor representative is to obtain the Certificate of Occupancy for the building works in accordance with the requirements of the Certificate of Occupancy for each building
MFPE and NCC. An occupancy certificate is provided by an accredited building certifier when all the requirements nominated in chapter 3 of and a copy of the staged occupancy plan.
the MFPE are met Copy of the essential safety systems /
Note 1: A Certificate of Occupancy is a certificate issued indicating that a building / works are Substantially Complete and occupancy is measures schedule.
permissible.
Note 2: If the works to be completed in a project are for multiple buildings within a complex (i.e. CFI), the PD / PM are to ensure that all
stakeholders are aware including the occupant(s), that there will be a staged or phased handover and the buildings / infrastructure will not
be completed at the same time.
Each building will be handed over at the end of the project or agreed project phase once all checks are completed and the building is
determined safe and fit for purpose. There will be no ability to occupy the building earlier than what has been scheduled and planned for
throughout the project.
5.2.2 Contractor’s letter or equivalent In the event the delivered works have been determined to be exempt and do not require a Certificate of Occupancy to be provided, then a A letter from the building certifier noting that
stating compliance with Sections letter from the building certifier confirming this is required is required. In addition, the contractor representative is required to confirm that the works are exempt under the MFPE.
23, 25 and 26 of the WHS Act all works comply with the WHS Act. Division 3 of the WHS Act ‘Further duties of a person conducting a business or undertaking’ assurance A letter from the building certifier confirming
2011 that the following sections are satisfied is required: exempt works and from the contractor
a. Section 23. Duties of a person conducting business or undertaking that manufactures plant, substances or structures. The manufacturer representative providing assurance that all
must ensure, so far as is reasonably practicable, that the plant, substance or structure is manufactured to be without risks to the health and aspects of the WHS Act are complied with.
safety of persons.
b. Section 25. Duties of a person conducting business or undertaking that supply plant, substances or structures. The supplier must ensure,
so far as is reasonably practicable, that the plant, substance or structure is without risks to the health and safety of persons.
c. Section 26. Duties of a person conducting a business or undertaking that installs, constructs or commissions plant or structures. The
person must ensure, so far as is reasonably practicable, that the way in which the plant or structure is installed, constructed or commissioned
ensures that the plant or structure is without risks to the health and safety of persons.
5.3 Defect Liability Period (DLP). DLP management procedure provided, maintenance plan agreed, defects list & rectification schedule provided and agreed. Achieved by meeting criteria below.
5.3.1 DLP start date and DLP end date. The DLP start date is the date nominated as completion for the Notice of Completion provided by the PD/PM. DLP end date is 12 months A copy of the GDL showing the DLP dates
from the completion date unless otherwise stated within the contract or negotiated to include multiple delivery completion dates. (and the POCs) to be recorded in GEMS and
listed in O&MM.
5.3.2 DLP Management Procedure In consultation with the EMOS and PD/PM, the contractor representative is to develop and submit a DLP procedure which clarifies the DLP management procedure. This may be in
provided, maintenance plan avenue for defect rectification or to gain warranty maintenance. This procedure must include, as a minimum: a flow chart.
agreed, defects list & rectification a. Management procedure including: Email from EMOS acknowledging acceptance
schedule provided by the (1) detail clearly stating if the Contractor is the focal point for DLP and responsible for all defects within the period or will the PD/PM/ EMOS of procedure.
contractor representative. act as a liaison between Defence and the Contractor;
(2) clearly differentiate between areas / locations of refurbished facilities that have an EMOS maintenance responsibility for the DLP; and
(3) a flow chart showing the steps to be taken to ensure the correct authority is contacted for the individual defect / requirement.
b. Points of contact for:
(1) types of defects;
(2) scheduled, performance and responsive maintenance; and
(3) after-hours emergency maintenance.
c. Timelines for rectification to be completed for routine and urgent defects.
d. Appropriate authority for validation / authorisation and acceptance of works completed under DLP.
e. A finalised servicing schedule to be completed by the responsible person during the DLP and what that servicing actually included.
5.3.3 Register of outstanding defects, The contractor representative is to provide a rectification plan and list of outstanding defects to be rectified and/or non-delivered project Completion of the HOTO Caveats/Issues or
non-delivered project outcomes outcomes or works post the date nominated on the completion certificate. Caution must be taken to ensure that a defects list and that the Conditions Log. Copy of the contractor
and rectification plan. non-delivered project outcomes list have a delivery / completion schedules that are monitored and completed satisfactorily prior to the representative's defects list and rectification
conclusion of the DLP. A copy of the defects list must be provided to attendees conducting HOTO inspections and meetings. This defects list plan.
and rectification plan must detail as a minimum:
a. a detailed description of the defects,
b. description of criteria and evidence (aligned with HOTO) to confirm compliance rectification,
c. person responsible for rectification,
d. a date for the items to be rectified, and
e. details and schedule for required DLP rectification review meetings specified at criteria 6.3
5.4 Operation & Maintenance The contractor representative is to provide “Final Drafts” O&MMs to the EMOS at 90% construction period for validation. A full list of Completed individual O&MM.
Manuals (O&MMs) delivered, required O&MMs and their planned delivery is to be detailed in the EIP that is developed and agreed at the commencement of the project
validated and accepted by EMOS construction stage. There should be sufficient discussion with project stakeholders in the development of O&MMs so “Final Draft” O&MMs
only require minor amendment to reflect changes identified during commissioning, and final data determined at HOTO (DLP period / dates).
Where changes to final O&MMs are required, a delivery schedule is to be documented and agreed with PD/PM, EMOS and the Zone EMP
representative. All manuals are to be in electronic format and comply with the O&MM guide on DEQMS.
Typical O&MM content is to include:

a. copies of all certificates;
b. Metadata;
c. QFES compliance letter (where applicable);
d. security approval minutes;
e. Hazardous Area Dossiers for EO storage and magazines, DFI (Aviation, Maritime, Power and Ground), Dangerous Goods Stores, Weapons
Test Fire Facilities and POL Stores;
f. projects responsibility for maintenance;
g. DLP dates and DLP Flow Chart;
h. ‘As Constructed’ drawings including drawings detailing the extent of landscaping and grassed areas;
i. maintenance and care instruction;
j. environmental offset planting or wild life corridors delivered by the project to be included in landscaping section of O&MM with
maintenance detail and final ‘As Constructed’ drawings showing the extent of works;
k. all warranties and paperwork (collateral, supplier / manufacturer); and
l. any speciality assets such as obstacle courses, sand pits, driving courses, bullet catchers, bio basins and the like delivered by the project
with maintenance detail and final ‘As Constructed’ drawings showing the extent of works.
All manuals are to be in electronic format and comply with the O&MM guide on DEQMS.
5.5 Estate Information All estate information and data has been submitted by the project, where applicable validated by EMOS and saved on the applicable Defence Achieved by meeting criteria below.
Estate Information System (GEMS, NSIMS & Objective). The range of estate information includes SDMP compliant as-constructed drawings,
geo-referenced information, project documents, and all GEMS GDL.
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5.5.1 All final As-Constructed design The Contractor Representative and PD/PM are responsible to ensure all design drawings are provided to EMOS in an SDMP compliant Drawings in accordance with SDMP. Other
drawings provided to EMOS and format. All project stakeholders are to assist with timely review of the design drawings as they are developed. The final ‘As Constructed’ suitable evidence may include: A list of design
are delivered in accordance with must be complete in all details. As constructed drawings with any hand written comments or amendments will not be accepted. drawings and a drawing for each listed item.
the SDMP, complete with
metadata file for uploading to Design approval is the responsibility of the contractor representative and shall comply with standards and Defence policies etc. Defence
NSIMS engages the project contractor to provide compliant estate items without additional approval from Defence, however, delivery of estate
items that do not satisfy Defence policy requirements will need to be approved via a dispensation or performance solution request. The PD /
PM must seek approval for dispensation or performance solutions from the appropriate authority as defined in the EEGIS toolbox. The EEGIS
web site will provide additional links for specialist engineering advice or a request can be forwarded from the PD / PM to the nominated
EEGIS toolbox contact.
It is the Contractor Representative’s responsibility to ensure all drawings are provided and all drawings are developed and in a format as
mandated by the SDMP.
5.5.2 Master Site Plan (MSP) is updated It is the Contractor Representative’s responsibility to ensure the MSP is amended and finalised to reflect all changes delivered via the project Defence custodian’s confirmation that the
works. The MSP is to be provided to the EMOS for validation of accuracy and completeness before uploading to NSIMS and subsequent updated MSP has been received and
Defence custodian approval. accepted for uploading to NSIMS.
5.5.3 Room and space number labels It is the Contractor Representative’s responsibility to ensure the Room and Space numbers have been received, labels developed and A statement from the contractor
affixed IAW SDMP installed correctly. Room and Space numbers are to be manufactured and installed IAW the SDMP Annex L. representative or PD/PM that labels are
installed correctly or a partial audit to
validate the site against the GDL.
5.5.4 Equipment labels affixed to It is the Contractor Representative’s responsibility to ensure all EBI have been requested, received, labels printed and installed correctly as A statement from the PD / PM and/or EMOS
equipment per the E&IG Signage and Labelling Standard (SLS) on DEQMS. that UEI are installed correctly and recorded
in the equipment GDL.
EBI are issued by the GEMS Business Support team with the exception of equipment EBI. Equipment EBI are issued and labels produced by
the EMOS in accordance with (IAW) the Defence SLS. The same number is used to identify a unique equipment record and is printed on the
equipment label. The EBI is captured in the Equipment GDL ‘Sort’ field.
During the project construction phase, the contractor representative must seek guidance from EMOS with respect to suitable location
placement of labels for easier locating and reference during the facility operational period. During the commissioning phase and HOTO
inspections, EMOS must conduct a representative sample of labelling placement and compliance. This is an important quality assurance step
conducted by the EMOS to enable ongoing efficient support and maintenance.
5.5.5 GEMS data load tools (GDL) The contractor representative is responsible for the accuracy, completeness and timeliness of all estate information created or amended by EMOS verification that all GDL provided by
accurately completed and the project. The contractor representative is also responsible to develop a EIP that outlines how and when all GDL will be provided to EMOS the project were submitted, validated and
uploaded to GEMS by EMOS for validation by 90% construction or 28 days prior to notice of completion. Unless otherwise agreed and in accordance with contractor’s uploaded to GEMS, and where applicable the
agreed EIP, prior to HOTO the EMOS should have validated all project GDL, notified the contractor representative about inaccurate or non- provision of an agreed EIP, meeting minutes
conforming GDL and uploaded all validated GDL to GEMS (including corrected GDLs). Where the provision and/or upload of GDLs is and risk assessment for deferred delivery of
incomplete, the PD/PM, EMOS, the Zone EMP representative and contractor representative are to revise the EIP and agree to a new data any GDL.
supply schedule. Additionally an assessment of associated risks for conditional HOTO must occur to determine if a caveat can be issued by
Defence for the completion of GEMS data provision and upload to GEMS after HOTO.
GEMS data processes are available on DEQMS.
5.5.6 Unexploded Ordnance (UXO) The Directorate of Environmental Remediation Programs (Unexploded Ordnance) (DERP [UXO]) is required to gather and disseminate Evidence of any details provided for the
certifications with maps and GPS information that will assist in the safe management of land in Australia that may be subject to UXO contamination. location of UXO.
points of boundaries clearance
(plus to the required depth) Therefore, if a project knows of any such UXO information or site, or require information regarding UXO, contact Defence at:
uxo@defence.gov.au
Management and other information are available on the Defence website.
5.5.7 Services Surveys and Testing Development of reports or surveys is undertaken during all stages of the project. The investigations should be programmed by the A copy of all reports and surveys; copy of
Reports contractor representative and reports recorded and filed in the Objective project folder as they are produced. Do not wait until the end of objective file / document content etc.
the project to undertake the recording and filing activities. These may include but are not limited to: third party audits, investigations,
services location searches, Estate Information extracts via Ground Penetrating Radar (GPR), tests undertaken and results provided (Geotech
Surveys, Field compaction, including tests for Fuel Services Branch), As Built Data; and reports for hazardous areas, WHS, lighting and
dilapidation etc.
Reports and survey information are produced at different intervals during the project lifecycle and they should be saved to the approved
Defence information repository (objective) by the PD / PM once approved copies are released for use. Saving information to objective should
not be left to project end.
5.5.8 Acoustics Test Results All projects (as required) shall have a Commissioning and Handover Plan that includes applicable acoustic testing for the commissioning of Copy of acoustic engineer's test report and
equipment and systems. Acoustic testing is required for certain conference rooms and higher classified areas. This requires an acoustic certification certificate.
engineer to design, test and certify.
5.6 Warranties (Manufacturer and Collateral) Achieved by meeting criteria below.
5.6.1 Warranty information is to be The normal DLP is 12 months, however, it is also mandated that the contractor representative provide details of warranties on works, Warranties information recorded through a
provided in full detail. material and labour. In addition, the contractor representative must provide all manufacturers and suppliers warranties associated with the GDL and within the applicable O&MM.
procurement of equipment and goods. It is the contractor representative and PD/PM responsibility to ensure these warranties are recorded
in GEMS and the O&MM.
5.6.2 Collateral warranties information The normal DLP is 12 months, however, it is also mandated that the contractor representative provide warranties on works, material and Collateral warranties information recorded
is to be provided in full. labour. In addition, the contractor representative must provide all installer collateral warranties associated with the procurement of through a GDL and within the applicable
equipment and goods. The information is to be submitted via a GDL and a copy placed in the O&MMs. O&MM.
It is the contractor representative and PD/PM responsibility to ensure these warranties are recorded in GEMS and a copy of the warranty
(and a POC for the warranty) is placed in the O&MM’s.
Many of these collateral warranties will extend past the DLP and should therefore be recorded / registered by the contractor representative
and installer, for use by Defence within the following areas:
a. within the O&MM for individual equipment and goods; and
b. within the GDL against each item which has a warranty.
5.7 Property, Assets and Tools. Achieved by meeting criteria below.

5.7.1 Handover key schedule completed The majority of new construction projects will require handover of keys at the end of the project. There will, however, be occasions where At HOTO consolidated list of keys and a
and attached with full set of progressive handover of keys to Defence will be necessary. Initial handover of keys is to occur with and be secured by the Base Services team signed transfer sheet; and where SCEC
tagged keys provided representative until HOTO is completed. Base Services team representative will provide keys to the RU when HOTO is approved and RU hardware is applicable, written notification
occupancy ready. In either case the contractor representative is to ensure a consolidated list of keys (including number of copies) is from the specified applicable Security Officer
developed, a schedule for handover of keys is provided and all keys are tagged to identify what locks they are keyed to operate. that keys and key / hardware list have been
received.
The contractor representative and PD / PM are to ensure all keys (including copies) are accounted for and have transfer document signed to
confirm handover.
Keys for SCEC Hardware. The handover of key and key / hardware list for SCEC hardware is to be arranged between the SCEC hardware
supplier / installer and the Base Security Officer and/or specified applicable Security Officer.
5.7.2 Building / Infrastructure numbers All new facilities delivered are to be identified with their unique structure number. Structure numbers are provided via the GDL procedures. Email from PD / PM that E&IG Labelling and
have been fixed to facilities IAW In addition to E&IG Signage and Labelling Standard (SLS), building and infrastructure numbers should comply with: Signage requirements have been met.
E&IG Signage and Labelling a. the size and style should be compatible and consistent with other structure numbers in the area of the new facility;
Standard (SLS) b. the structure numbers should be of a sufficient number and affixed in a position that conforms to other structures in the area and/or to
provide easy to locate / read when approaching the structure from walk ways / roads etc.;
c. All buildings shall be fitted with a register of asset (R of A) sign and the sign is to be clearly displayed on or near the front entrance of the
building;
d. the colour of the structure number is to conform with other structure numbers in the area; and
e. the structure number is to be manufactured from marine grade aluminium which will provide the best protection in the local environment
whilst conforming with other structures in the area.
5.7.3 Loose furniture list (OPE) provided For all new loose furniture provided by the project, a list is to be included in the applicable O&MM and submitted to the applicable Assets, A list of new assets provided by the project
to E&IG Assets, Stores & Inventory Stores & Inventory Manager. and recorded in the O&MM.
Manager
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5.7.4 Special maintenance tools, Special Maintenance Tools. The contractor representative is to provide a list of special tools which are particular to an individual item of List of individual items that includes special
instruments, equipment access equipment or required to operate a system. For example, diesel generators may have a maintenance toolbox provided with the generator tools, spare parts, critical spares, system
codes and schedule of spare parts set which contains special tools which are manufactured to fit specific parts of the engine e.g. crank shaft spanner; and/or there is codes etc.
supplied specialised equipment requiring specific calibration instruments and/or equipment access codes apply e.g. security system codes etc.
Spare Parts Schedule Supplied. The contractor representative must review the ongoing requirement for spare parts to conduct maintenance
and identify items which are "critical spares" and have long lead times and may result in unacceptable downtime. In consultation with
Defence, the contractor representative is to develop a list of spare parts and critical spares that should be held on site.
5.8 Plant & Equipment (P&E) Achieved by meeting criteria below.

5.8.1 Essential operating instructions Essential operating instructions and diagrams shall be provided adjacent to plant and equipment controls. These instructions can include but Email from PD / PM that Defence
and/or diagrams in place are not limited to: requirements for essential operating
a. O&MM often provide instructions (examples of signs) for the use of equipment / systems that are desirable to be signposted. instructions and/or diagrams have been met.
b. Operating parameters to warn operators of incorrect operation such as: temperature and pressure ranges showing normal operating
temperatures and pressures.
c. Signs providing location of other equipment / valves etc. which need to be operated in conjunction with the equipment being operated.
d. Signs, labels and other notifications must be manufactured from materials suitable for the area of fitting and exposure and shall be
designed to ensure long life and indelibility. Laminated paper copies are not acceptable.
For example manually operated pressure vessel drains may have a sign instructing the purpose of the drain system and safety procedures to
be adhered to prior or during use.
Areas where operating instructions are considered necessary are to be identified during the design stage and included within the work scope
and within the appropriate ITP / ITR.
5.8.2 Plant room logbooks and wiring During construction the contractor representative is to identify where legislated requirements mandate log books and/or wiring diagrams are A list of logbooks and wiring diagrams and
diagrams in place to be fitted. All areas identified are to be included within the work scope and within the applicable ITP / ITR. date stamped photographic evidence for each
listing and EMOS, as equipment maintainers,
Suitable evidence may include: A list of logbooks and wiring diagrams and date stamped photographic evidence for each listing and EMOS, as advise their satisfaction and acceptance.
equipment maintainers, advise their satisfaction and acceptance.
5.8.3 P&E Commissioning and Test All P&E is to be installed, inspected and tested in accordance with manufacturer instructions and commissioned as part of a system in A Testing and Commissioning Report
Results accordance with the operational design of that system and as per the agreed contractors plan. confirming the successful testing and
Note: EMOS and user hold points are to be identified in the contractors plan. commissioning and EMOS, as equipment
maintainers, advising their satisfaction and
The ITP is to be developed and agreed at the commencement of the construction phase, are conducted during the commissioning stage and acceptance. (for items not covered / provided
form the basis of the testing and commissioning report. ITPs and ITRs are to be documented in the testing and commissioning report and in commissioning phase).
filed in the Objective project file.
5.8.4 P&E certification certificates All high risk, registerable and licenced P&E which is provided as part of the delivered works must have the manufacturer’s documentation Certification for every item delivered. These
provided. providing the technical data and/or standards of compliance for the individual items. The project is to provide certification for all P&E may be the O&MM for the individual item
installed. Examples of this include: Hazardous facilities, pressure vessels, pumps, filters, coalescers, air conditioners, refrigerators, electrical and may have its own serial and/or model
switches and components etc. number and EMOS, as equipment
maintainers, advise their satisfaction and
These certificates will range in size and complexity from a pressure vessel which will include manufacturing data, sizes, pressures and dates acceptance.
etc. to a hazard area rated electrical switch which may be a single page with technical data.
5.8.5 P&E servicing schedules provided Where P&E has been installed during a project, and where this equipment may have received servicing prior to handover all documentation Servicing documentation and EMOS, as
IAW Defence requirements from that servicing is to be provided. This may include but is not limited to: equipment maintainers, advise their
a. inspection, test sheets and log books; satisfaction and acceptance.
b. servicing check lists from the O&MM; and
c. certification certificates and documents.
5.8.6 Fire Safety Systems and Where fire systems and equipment have been installed during a project to the level of protection required, baseline documentation is to be Baseline and servicing documentation in
Equipment documentation provided. Documents required to comply with fire requirements are detailed in the Manual of Fire Protection Engineering. This includes the accordance with AS 1851-2012 and AS 2293.2
provided IAW NCC and MFPE Certificate of Occupancy, the Building Approval and associated supporting evidence as required. This evidence - where applicable - includes: plus EMOS advice of their satisfaction and
a. Building Criticality Assessment Form; acceptance.
b. Hangar Assessment Form;
c. Approved Dispensations;
d. Approved Performance solutions;
e. Fire safety management strategies;
f. Evidence of consultation with the responding fire services;
g. Services design documentation and design certificates as appropriate;
h. Specialist practitioners design certificates as appropriate – e.g. bushfire, access, energy and the like;
i. a list of AS 1851 and AS 2293.2.
Where this equipment may have received servicing prior to handover, all documentation from that servicing is to be provided. This may
include log books and/or summary records for the following:
a. automatic fire sprinkler systems,
b. fire pump sets,
c. fire hydrant systems,
d. hydrant valves,
e. water storage tanks for fire protection,
f. fire detection and alarm systems,
g. special hazard systems,
h. delivery lay flat fire hose,
i. fire hose reels,
j. portable fire extinguishers,
k. fire blankets,
l. passive fire and smoke systems, and
m. fire and smoke control features of mechanical services.
n. foam suppression systems
o. gaseous suppression systems
5.8.7 Registrable Plant (RP) certification Legislation mandates that certain types of plant i.e. boilers, cranes and pressure vessels must be maintained to comply with specific Email from PD / PM that E&IG and legislative
available on site standards and registered with Comcare to monitor the continued compliance of the plant. The Defence Technical Instruction for requirements for RP installation and
Management of RP is mandated for use by the BSC for estate upkeep. management have been met.
Complementary evidence may include:
Defence uses GEMS to record and maintain RP data and conducts audits of that plant and records which is reported to Comcare. The a. evidence of test certification displayed at
Technical Manual mandates the documentation necessary to comply with the RP Comcare requirement including a current inspection and equipment;
test certificate located at the RP confirming to all users the equipment’s registration is current. b. the manufacturer Design Registration
Certificate; and
In addition, the project is to provide all data for the RP on the GDL and a copy of the manufacturers Design Registration Certificate is to be c. evidence that the GDL has been completed
provided to Defence and filed in Objective. as a Registrable Plant Item.
The contractor representative is required to develop a procedure for the Design registration of plant items to assist Defence in meeting its
obligations under the WHS Regulations 2011. The Regulations 2011, specifically Division 3 – Registration process for plant designs, and the
Code of Practice “Managing the Risk of Plant in the Workplace” must be consulted in detail to develop an appropriate procedure.
The Comcare forms must be used in the implementation of this process. These forms can be viewed on the Comcare website by using the
search function of the Comcare website and typing in ‘Plant Item and design registration’. Further details can be obtained from the RP
Technical Manual - Registration of Plant Design.
A one year RP commissioning inspection certificate inclusive of pressure relief devices should be provided by PD/PM at handover.
5.9 Essential Safety Systems Achieved by meeting criteria below.
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5.9.1 Emergency Evacuation Plans fitted Where a new facility has been constructed or an existing facility has been refurbished or changed to an extent that the floor plan is Certificate of Occupancy.
to building reconfigured and emergency exits have been moved, the project is to develop, manufacture and install / replace a block evacuation plan.
The contractor representative is to comply with the following as a minimum:
a. finding (or developing) appropriate floor plans;
b. draft an Emergency Evacuation diagram based upon AS3745; and
c. seek input from resident unit.
The contractor representative is to produce or reproduce the fire evacuation diagram in the compliant format and quantity and install in the
building in accordance with AS3745.
5.9.2 All Fire Safety, Monitoring, Alarm All fire systems in Commonwealth buildings are to be designed and installed in accordance with applicable Australian Standards and the Certification / Statement of compliance by
and Suppression System MFPE & NCC requirements. These fire systems, equipment and Defence associated requirements include, but are not limited to the installation contractor stating the installer’s
Installations meet applicable AS, following: qualifications / licence, standards installation
MFPE and NCC requirements. complies with and any caveats to the
a. Fire Hydraulic System Installations (fire hydrant and hose reel systems) approved & licensed Contractor certification; certification.
Emergency and Exit Directional Lighting systems. Provide installer statements and certification IAW the NCC.
b. Smoke Detection and Occupancy Warning Systems, commissioning test reports and installers statements and certification.
c. Mechanical Ventilation and Exhaust Systems. Supply relevant technical specifications and certification.
Fire Suppression and Flooding Systems. Supply technical specifications and certification.
d. Certification of Installed Handrails, Stair and Balustrade Systems.
e. Evidence of fire vehicle access IAW Chapter 2 of MFPE.
f. Extinguisher & Fire Blankets installed IAW MFPE and NCC.
g. Passive Fire Protection (PFP) installation including the use of fire-resistant walls, floors, and doors.
h. All Fire penetrations to be identified and registered as per AS1851.
i. Fire doors and the like installed IAW MFPE and NCC.
Where the above systems, equipment and/or requirements are applicable to a project, suitable evidence must be provided for each.
5.10 Electrical Services Achieved by meeting criteria below.

5.10.1 Electrical Test Certificates Electrical test certificates (including earthing systems & switchgear works tests) and statutory authority certificates or independent certifier. Certification / statement of compliance by
The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal, state and local), the Contract Representative for:
and Defence policies where applicable. Where certain circumstances apply e.g. hazardous areas, an independent certifier is used to provide a. certification / statement of compliance by
an additional layer of compliance validation. the installation contractor stating the
Earthing systems include equipment and structures for aircraft earthing points, HV earthing grids and general building earthing. ITPs installer’s qualifications / licence, standards
provided as evidence of compliance must show resistance test results that meet the required Australian Standards and Defence instructions. installation complies with and any caveats to
the certification;
It is essential that an appropriately qualified electrician, with hazardous area qualifications, be used within hazardous areas. All electricians b. evidence of electrical load balancing over
working within hazardous areas are to provide evidence of their competencies. all phases;
c. ITPs and electrical safety certificates,
d. Switching authority certification with
Hazardous areas (when applicable); and
e. site lighting Lux levels verified.
5.10.2 Main Switchboard, Distribution The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal, state and local), Certification / Statement of compliance by
pillar and board labels, legends and Defence policies where applicable. For electrical equipment and systems the Manual of Infrastructure Engineering - Electrical (MIEE). the Contract Representative stating the
and LV single line diagram installer’s qualifications / licence, standards
supplied IAW MIEE installation complies with and any caveats to
the certification.
5.10.3 Hazardous Area and Explosives The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal, state), and A compliant Hazardous Area and Explosives
Area Verification Dossier IAW Defence policies where applicable. Area Verification Dossier IAW Defence MIEE.
Defence MIEE.
For Hazardous Area and Explosives Area equipment and systems the Manual of Infrastructure Engineering - Electrical (MIEE) is to be used
and in particular Chapter 15.
5.10.4 Lightning protection installed The contractor representative shall ensure all lightning protection installation and maintenance records are compliant with legislated As-constructed drawings, commissioning ITP
requirements (federal, state and local), Defence policies where applicable and system design performance criteria & specifications. and ITR and O&MM. Certification /
Statement of compliance by the Contract
The designer / contractor shall investigate the requirement for lightning protection. Lightning protection, where provided, shall be designed Representative stating the installer’s
and installed in accordance with AS/NZS 1768. The following facilities shall be provided with lightning protection irrespective of the qualifications / licence, standards installation
assessment: complies with and any caveats to the
a. oxygen workshops, storage facilities; certification.
b. explosive ordnance facilities and hazardous area facilities; and
c. where the facility type of construction allows lighting protection to be installed or incorporated at little cost e.g. fully metallic construction.
All computer housing and other sensitive equipment shall be provided with suitable surge and transient protection.
For more information / policy lightning equipment and systems please refer to the MIEE Manual of Infrastructure Engineering - Electrical in
particular Chapters 20, 21, 26, Appendix A and Appendix C.
5.10.5 Certificate of Approval from The EMOS is Defence’s High Voltage Controller for all electrical systems within Defence estate. This responsibility extends from the A copy of the approval provided by the HV
Supply Authority / System substation / switchboard that receives power from the local grid onto the Defence establishment and includes all electrical distribution Controller.
Controller prior to Energising thereafter. As a result, all works that affect the electrical system are to be approved by the HV Controller.
Where electrical systems are to be isolated from the mains power to allow works to be conducted by a project, the HV Controller is to place a
tag on the isolation breaker / terminal. Power is not to be re-energised until suitable evidence has been provided to the HV Controller by the
project that all electrical works are compliant and have been tested as correct. The HV Controller is to then provide the project with
approval to re-energise the electrical system.
5.10.6 Identified critical system recovery Projects that deliver new critical assets or change / refurbish existing critical assets must create new and/or update existing Critical System Provides a copy of the CSRP report.
plans created, endorsed and Recovery Plans (CSRP).
available
Critical systems are those depicted in the estate data where the Criticality attribute = Y. The criticality is determined on a combination of
Estate Class, the nature of the system, and Contribution Factor = 1 or 2, the importance to Defence capability.
Creating a correct ‘shell record’ in GEMS at the beginning of a project is crucial, because at project handover, the EMOS is to provide
Recovery Plans for Critical Systems to ensure a planned response to loss of capability for critical systems, required for maintenance.
5.10.7 Arc flash study report Arc Flash is defined in the reference as a situation where electrical current passes through air gaps between ungrounded conductors and Where applicable provide a copy of the Arc
grounded components. An arc flash may occur from insulation breakdown where the electrical current jumps an air gap to a conductive flash report.
surface, inadequate separation of a worker from an energised part, the use of uninsulated tools, or the handling of conductive objects in
close proximity to exposed energised conductors or circuits. Projects that deliver infrastructure / building etc. an Arc flash study report is
applicable.
Standards Australia https://www.standards.org.au/faqs/contact-list
5.11 Mechanical & Hydraulic Services Achieved by meeting criteria below.

5.11.1 Mechanical & hydraulic test & The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal, state) and As-constructed drawings, commissioning ITP
commissioning results Defence policies where applicable. ITP/ITRs should document baseline data for flowrates , confirm achievement of design flow rates, and ITR and O&MM and a certification /
commissioning data for pumps and zip units etc. statement of compliance by the installation
Contractor, stating what the installation
complies with and any caveats to the
certification.
5.11.2 Flow metre calibration certificate All measuring devices that are to be calibrated do so to ensure they accurately indicate the measured medium. This may be temperature, A current calibration certificate.
pressure or flow.
5.11.3 Factory test certificates for All equipment received shall have evidence of its construction and intended purpose. The manufacturer will provide a data sheet detailing Manufacturer data sheet for all equipment
equipment make, model, factory settings etc. and a calibration certificate where applicable.
5.12 Security Achieved by meeting criteria below.
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5.12.1 Security inspections have been All (relevant) projects will require a level of security to be allocated to the estate. To ascertain what this entails the contractor representative Certificate of compliance with the
completed and passed to contact the affect area Unit Security Officer, Base Manager and/or DS&VS for guidance. appropriate security requirements, and
inspection report from Defence Security Unit.
See appropriate process to link and the Defence Security Policy Framework (DSPF) and MFPE provides additional guidance.
To engage and/or receive SME advice from appropriate DS&VS points of contact, contractors should call 1800 DEFENCE. Further information
can also be obtained from the DS&VS portal.
5.12.2 Physical Security Classification It is the contractor representative responsibility to comply with the DSPF and engage with the following individual security agencies to Final inspection report from the certified
Inspection (PSCI) or equivalent ascertain if an inspection is warranted to achieve approval for the final constructed or installed security level: security agency or an email advising a final
a. Army. DPU requests are submitted via an AE624. AE624 Instructions provide assistance to complete the request. inspection is not required. A report must
b. RAAF. RAAF Security Police (SECPOL) provide a security and policing capability to Air Force that supports force protection and the include photographic evidence and at close
maintenance of morale and discipline. up inspections where required e.g. ceiling
c. Navy. Naval Police Coxswains provide a security and policing capability to Navy that supports force protection and the maintenance of spaces and voids, approved variations are
morale and discipline. documented and SCEC consultant sign off
d. DS&VS. For larger projects DS&VS will be the certification authority. that the construction meets the security
design.
Sponsor and/or user organisations can advise the operational requirements which will help inform the determination of PSCI requirement.
5.12.3 Commissioning for security The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal and state), and As-constructed drawings, commissioning ITP
systems, alarms, and access Defence policies where applicable. and ITR and O&MM and a certification /
control systems including training statement of compliance by the contractor
representative stating that the construction
meets the security design and any caveats to
the certification.
5.12.4 O&MM for security systems, At the completion of the project the contractor representative is responsible to ensure all security information and hardware is provided to Provision of O&MM, keys and access codes
alarms and access control systems Defence. This will include but is not limited to O&MM, Keys and Codes and/or combinations. and/or combinations; and email
provided to Unit Security Officer Keys for SCEC Hardware. The handover of key and key / hardware list for SCEC hardware is to be arranged between the SCEC hardware acknowledging and accepting receipt of the
supplier / installer and the Base Security Officer and/or specified applicable Security Officer. items.
5.12.5 Certification / Accreditation for At the completion of the project the contractor representative is responsible to ensure all security information and hardware is provided to Certification / statement of compliance from
Sensitive Compartmented Defence. This includes certification and accreditation of sensitive estate such as magazines, armouries and security Zones 2 to 5. The the installation contractor stating what the
Information Facilities (SCIF), contractor representative is responsible to approach the appropriate certification group during design and/or commencement of installation complies with SCIF construction
Magazines and Armouries and construction to ensure all requirements are provided during construction. plan and armoury construction guidelines.
Zones 2 to 5. Copy of the assessment certificate / notice
from the inspection & accreditation agency
advising the facilities comply with Defence
required policy and standards. .
5.13 Supervisory (Engineering Services) & ESN, ICT & Voice Achieved by meeting criteria below.
5.13.1 Alarm connection, commissioning, The contractor representative shall ensure all design and installation is compliant with legislated requirements (federal, state) and Defence As-constructed drawings, commissioning ITP
and testing results policies where applicable. and ITR and O&MM and a certification /
statement of compliance by the installation
contractor stating the installation complies
Installer commissioning documentation and
SCEC consultant sign off for Type1A alarm
systems
5.13.2 Updated Defence Engineering Where delivered works add to or alter existing systems which have an existing DESN for the establishment (or maybe linked to outside areas ITR for connection and commissioning trial of
Service Network (DESN) e.g. Fire), delivered works are to be connected to the existing DESN. For example, additional smoke sensors are to be connected into the system.
configuration and management existing building FIP and/or connected to remote monitoring sites.
documentation impacted by
project works Examples of DESN include fire activation and/or monitoring, emergency lighting, building management systems, SCADA, RUMS and power
metering.
5.13.3 Fixed Voice Desk Phones system The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal, state and local), As-constructed drawings, commissioning ITP
commissioned and connected to and Defence policies where applicable. Where a Fixed Voice Desk Phone system has been affected as part of delivered works the project is and ITR and O&MM and a certification /
existing base infrastructure to ensure all systems are commissioned to the standards required by CIOG. Requests for CIOG assistance can be logged via the CIOG web statement of compliance by the installation
site. contractor, stating the installation complies
5.13.4 Defence Data Networks Passive The contractor representative shall ensure all designs and installations are compliant with legislated requirements (federal, state) and As-constructed drawings, commissioning ITP
works commissioned and Defence policies where applicable. and ITR and O&MM and a certification /
connected to existing base statement of compliance by the installation
infrastructure Where Defence data networks passive works has been conducted as part of delivered works the project is to ensure all systems are contractor, stating the installation complies
commissioned to the standards required by CIOG. Requests for CIOG assistance can be logged via the CIOG web site. with and any caveats to the certification.
5.13.5 Warranties and Cabling The contractor representative is ensure all warranty information is detailed in GDLs and O&MMs and copies of certification provided and Warranties, As-constructed drawings,
certifications provided saved in the DEIS. commissioning ITP and ITR and O&MM and a
certification / statement of compliance by the
installation contractor stating that the
installation complies with and any caveats to
the certification.
5.13.6 Keys for communications rooms, Where new communication infrastructure has been delivered there is a requirement to ensure appropriate security is applied to protect A list of all security items handed to ICT
cabinets and infrastructure pits unauthorised access and/or tampering. Defence security standards are outlined in the DSM. All physical security items (keys etc.) must be which has been signed as correct by ICT.
have been installed to Defence provided to the regional ICT representative with an appropriate transmittal form detailing all keys (correctly tagged for identification),
Security Manual (DSM) standards number of copies and location of items and any security documents detailing the originator of the locks etc.
and handed over to Regional ICT
Requests for CIOG assistance can be logged via the CIOG web site: 'CIOG Log A Job'
5.13.7 ICT systems commissioned and Where any equipment and/or systems have been installed by the project that will be part of the Defence ICT network managed by CIOG, the Documentary evidence detailing CIOG /
accepted by CIOG identified contractor representative is to engage CIOG to accept commissioning of all equipment and/or systems provided prior to any HOTO. Telstra acceptance of the supplied and
installed equipment, CIOG approved ITRs.
5.14 Work Health and Safety Achieved by meeting criteria below.

5.14.1 Asbestos Free Products. The Defence Asbestos Management Plan (AMP) details the Defences policy for the management of asbestos and the minimisation of harm to A letter from the contractor representative
Defence personnel. In particular, contractor representatives are to check all building product, manufacturer and supplier specifications to stating that the product, manufacturer and
confirm that the products being used on the Defence estate are free of Asbestos Containing Material (ACM). supplier specifications for all building
materials, fixtures and equipment have been
To satisfy this requirement the contractor representative is to provide a letter stating no asbestos containing materials have been introduced checked and indicate no ACM.
to the Defence estate. Information in regard to asbestos management and the AMP (see DEQMS).
5.14.2 Asbestos removal data uploaded The Contractor Representative is responsible to ensure all instances of asbestos, ACM removal and/or installation occurring during delivered Completed GDL or PDF form and/or a
into the Defence Estate works the ACM database is updated on a GDL or PDF form and loaded to GEMS. statement from the PD / PM advising that all
Information System. entries on the ACM database have been
updated.
5.14.3 List of all hazardous chemicals - Hazardous Chemicals policy and procedures are contained in the Defence Safety Manual Volume 3, Part 3A, Chapter 1, [with the prefix HC]. A complete list of hazardous materials.
quantity / type and storage These form the basis for a consistent, comprehensive and inclusive, 'whole of Defence' system for the management of Hazardous Chemicals.
system of fuels, chemicals or
lubricants for uploading into The WHS Manual mandates all RU hold details on all hazardous materials used by its staff or held within its area of responsibility. To achieve
ChemAlert. this all new works are to provide a complete list of hazardous materials delivered under the project so as to be incorporated into appropriate
registers and/or manifests.
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5.14.4 No Flammable Core Products. The contractor representative must check all building product, manufacturer and supplier specifications to confirm that no flammable core A letter from the contractor representative
products have been used in the construction of any part of the building or equipment. stating that all building product,
manufacturer and supplier specifications
have been checked to indicate that no
flammable core products have been used in
the construction of any part of the building or
equipment.
5.15 Environment & Sustainability Achieved by meeting criteria below.

5.15.1 ECC Post Activity Report (PAR) The PAR detailing any / all environmental incidents that occurred during or as a result of a project. A copy of signed PAR.
Signed.
The PAR is to fully detail the event(s), issues arising from the event(s), all rectification actions, effectiveness of the rectification issues and
outstanding issues.
Not all Environmental Clearance Certificates will need a PAR. The Zone ESO will note within the ECC if a PAR is required or the Contractor
Representative will be advised during the project in the case of an unforeseen event during the project. When in doubt the Contractor
Representative is to engage with the Zone ESO to determine if a PAR is required0
5.15.2 Reporting Environmental Incidents All environmental incidents on PAR sent to Zone ESO via AE444 (if not on GEMS). If on GEMS, lodge through the Incident Management web Completed AE444s or SERS.
site
The Defence system for managing environmental incidents comprises a standard process supported by a Defence Web Form, Incident Report
Form or AE444 and an Excel-based Incident Register which is publicly viewable through the Incident Management web site.
The system applies to the whole of Defence, except Navy environmental incidents including whale strikes, foreign fishing, sewage spills, fuel
spills and other marine pollution, specified greenhouse gas emissions and marine pest fouling. These must be reported through the Navy
Safety Environment Reporting System (SERS) http://sers.dpe.protected.mil.au/sers/
The Environmental Incident Procedure provides detailed instructions and information to report incidents. The Contractor Representative is
responsible to ensure the ECC and PAR are reviewed and signed by the Zone ESO.
5.15.3 Contaminated Sites Record (CSR) The contractor representative is responsible for provision of information to update the contaminated sites records in accordance with the Copy of email to CSR administrator with
updated in GEMS Contamination Management Manual. The Contamination Management Manual details the process for creating and submitting GDLs to supporting information in accordance with
update the CSR in GEMS. the Defence Contamination Management
Manual
5.15.4 Environment Protection and All specific requirements for continued Environment Protection and Sustainability management have been identified and recorded in Documentation the details the identified
Sustainability Management accordance with the inclusions of the relative Estate Maintenance and Operations Services (EMOS) Land Management Description and Environment Protection and Sustainability
Deliverables. management practices and ongoing
This is inclusive of relative data, in accordance with NEPM natural assets and Environment Protection and Sustainability management estate maintenance costs as a result of the project.
classes to record required changes to the extant Plans, estate appraisal requirements and the supporting subordinate plans which may
include but are not limited to Weed Management, Water Quality Monitoring, Overabundant Native Species, Threatened Species.
Environment Protection and Sustainability means land management; waste management, animal management; water and energy
requirements.
5.15.5 Heritage management Defence environmental managers maintain a Heritage Management Plan which needs to be updated when works are conducted on heritage Copy of Heritage Management report
information provided for Heritage items listed within the plan. The Contractor Representative is to provide details of proposed changes to heritage listed estate to the Zone provided to the Zone ESO.
Management Plan ESO and inform the EMOS PSS that this has occurred.
5.15.6 MFPE Design requirements for Chapter 6 of the MFPE details Defence’s risk assessment and mitigation requirements for Bushfire Prone Areas. Contractor Representatives Base Manager and Zone ESO are provided
Bushfire Prone Areas. are to liaise with the Base Manager and Zone ESO to obtain existing bushfire management plans and information to inform risk assessments with a suite of information to demonstrate
and the implementation of design and build requirements for new facilities. Contractor representatives are also responsible for the update of that bushfire risks have been assessed and
Bushfire Management data in GEMS to enable the EMOS contractor to conduct ongoing maintenance of APZs or other actions once the treated. (for example: established APZs,
project is complete. submission of GEMS GDL to update bushfire
management data).
Further information on Bushfire Environmental Factor Records can be found under the reference guides on the GEMS gateway
5.15.7 All Energy and Sustainability Defence requires all new design and construction to embrace strategy to continuously improve the efficiency, effectiveness and List of meters installed and commissioning
Supply now metered (and sub- sustainability of the Defence estate. Smart Infrastructure defines Defence requirements and reporting obligations for design and certification (ITR).
metered) and all have been construction covering energy, water, waste, pollution prevention, and smart procurement. Smart Infrastructure consists of two parts:
connected and are a. a Manual that outlines Ecologically Sustainable Development (ESD) and Whole-of-Life (WOL) requirements for each project, covering:
communicating to the Defence design, construction and associated reporting; and
approved Base Monitoring System b. a Checklist that includes a Metering Strategy.
(BMS) and national data
management system as per the It is the Contractor Representative responsibility to ensure smart infrastructure principles are implemented into all design and construction
requirements in the Smart of delivered works.
Infrastructure Manual and the
National Sub-Metering Program The Government's Energy Efficiency in Government Operations (EEGO) policy requires Defence to develop and implement a comprehensive
(NSP). energy management strategy. This includes a metering, monitoring and management program to facilitate energy reporting against EEGO
specific end use categories. Defence developed the NSP in response to the EEGO policy.
To meet the Defence NSP objectives, the Resource Data Management System (RDMS) has been implemented.
Electricity and water meters installed under project works and being connected to the RDMS shall be in accordance with the relevant Manual
and hardware specifications under the heading ‘Meter Documentation’. Any new or replacement meters being connected to the RDMS need
to have a relevant New Meter Form and Meter Hierarchy submitted to the RDMS Program Manager.
Further information is available at: Defence National Sub-meter Program.
5.15.8 Connection & dis-connection of Where project works include installation of a new connection, dis-connection or supply capacity increase / decrease for electrical, gas and Copy of submitted AE879.
energy and water services. water services provided by suppliers external to Defence (utility providers), a form AE879 is to be raised and sent to Directorate Estate ,
Environment & Energy Service Delivery (DEEESD) - email form to: des.contract@defence .gov.au
DEEESD should be contacted during the construction phase to assist contractor representatives to understand the different responsibilities of
network regulators, retail service providers, Defence and the contractor representative.
5.16 Software Provision of system Continued improvement of machinery and systems inevitably increases the use of electronic controls which in turn increases reliance on Software licence certificates, backed up copy
software, software licences and all software to operate and/or maintain equipment. As a result Defence requires all software created for the project to be delivered with the of software and statement of compliance
configuration files project allowing for ongoing operation and maintenance. from the contractor representative.
For installed equipment the contractor representative is to provide all software and configuration files including usernames and passwords.
Where software is procured for the operation and/or maintenance of installed equipment, software licences are to be provided to Defence.
Project Takeover - Transition from PD / PM to SDD

5.17 Government Furnished Facilities Delivery of new / refurbished facilities, infrastructure and/or land may result in its occupation and use by civil contractors engaged by A copy of applicable correspondence
and/or Property Licence Defence. For these type of arrangements, there will be a requirement for E&IG to establish a Government Furnished Facilities (GFF) Licence between the Zone EMP and Property Officer.
implemented or Property licence.
At project commencement, the Zone EMP Officer is to verify with the project sponsor and resident unit if the facilities, infrastructure and/or
land will be occupied and/or used by civil contractors. In situations where civil use will occur, the Zone EMP Officer is to notify the
Infrastructure Division (ID) Out Posted Property Officer to initiate action (raising an EIR) to establish a new licence or renew an existing
licence as applicable.
At completion of project HOTO, the Zone EMP Officer is to notify the ID Out Posted Property Officer that the facilities have been accepted by
SDD and are ready for use / occupation.
5.18 EMOS PSS has attended site to The local EMOS PSS representative is to attend the final construction site walk through with the PD/PM, Contractor Representative, Minutes for the final walk around activities
confirm services for support in stakeholders and the Defence Representative with the aim of: that clearly document attendees and
preparation for maintenance on a. determining defects, estate information requirements and/or issues which must be completed prior to handover; acceptance of outcomes / actions.
Takeover b. ensure EMOS have checked all delivered Plant and Equipment and confirmed support arrangements for agreed maintenance during DLP;
c. providing feed back to the contractor representative on any additional information and/or training required;
d. reviewing delivered works to confirm that the applicable CCPs are suitable for the delivery of services under the BSC; and
e. identifying BSC service delivery areas which need immediate attention.
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5.19 CCPs for Base Services Contracts The EMOS is to confirm that all required CCPs (for EMOS and Miscellaneous Service Providers) have been raised and approved by CAS for the Approval notification from CAS and/or the
maintenance and support support applicable at the commencement and end of DLP. applicable Product Directorates.
requirements have been approved
by CAS
HOTO Acceptance and signatures

At the conclusion of HOTO checks and activities, there will be occasions where several HOTO deliverables and/or criteria may not be completed. In these circumstances, a risk assessed
pragmatic approach is to be taken to transition facilities into operation and to minimise the impact on users. The HOTO process enables management of these situations through the
issue of HOTO caveats and DLP terms and conditions.
HOTO caveats are to be used in the event that minor and low risk deliverables and/or criteria are not met. The PD / PM and applicable HOTO stakeholders are to assess the associated
circumstances, contract terms and risks to ascertain if conditional acceptance can be applied, where the HOTO criteria will be satisfied soon after HOTO acceptance and signing the
checklist.
Caveats are to be presented to the HOTO Defence Representative for approval. Caveats must detail an agreed completion schedule, management arrangements and be recorded in the
caveat log for monitoring during DLP.
6 Defects Liability Period (DLP) & Project End Achieved by evidence below.
6.1 Remaining and/or corrected It is expected that by HOTO, all Estate Data would have been provided, validated for accuracy / completeness and loaded into GEMS. Correspondence from the contractor
estate data has been received, However there will be circumstances where items and/or defects will be identified during HOTO and DLP requiring additional work or representative and EMOS confirming the
validated and saved on applicable rectification. In these circumstances, the provision of remaining and/or corrected information to an agreed plan will occur. The contractor requirement has been met.
Defence Estate Information representative and PD / PM are to ensure and confirm to EMOS that all remaining and/or corrected estate data has been provided and saved
System in GEMS by the agreed delivery plan and before DLP end. EMOS is to confirm this has been achieved.
6.2 All Defence approved HOTO The PD/PM are to monitor and clear caveats, project issues and projects deliverables not provided, as recorded in the respective logs. Final PD / PM email confirming that all approved
caveats and issues cleared payments should not be made until the contractor representative has fulfilled and delivered all contractual requirements of the project build HOTO caveats and issues have been cleared,
and cleared recorded caveats and issues to the agreed standard. and required evidence is stored on the DIES.
6.3 All defects repaired and related The contractor representative is to ensure that all defects have been rectified and related estate data has been updated to the requirements End DLP checklist and Defects log completed,
estate data has been updated specified in applicable HOTO criteria and evidence instructions and any other agreed requirements detailed in the DLP rectification plan and suitable evidence (as detail in the agreed
list. The PD / PM is to confirm all rectifications and evidence requirements have been met. At regular intervals during DLP (a minimum defect rectification plan) is provided.
period of every three months and detailed in the defect rectification plan, criteria 5.3.3 refers) the PD/PM, EMOS, Zone EMP representative
and contractor representative must meet to review progress to rectify defects according to the agreed defect rectification plan. EMOS are to
advise for PD / PM resolution, if they believe defects have not been satisfactorily rectified and cause an unacceptable residual impact or
liability for the ongoing maintenance and support of the facilities.
6.4 28 days prior to DLP end date, Depending on the project and the agreed maintenance plan, EMOS maintenance may have commenced at the beginning of DLP, particularly A confirmation letter or email from EMOS.
EMOS advised and confirmed for EWP projects.
their readiness to commence If the contractor representative and/or their subcontractors have provided maintenance during DLP, PD / PM is to ensure the contractor
agreed maintenance at the end of representative has provided the EMOS, all logs and data for maintenance performed on facilities and equipment during DLP.
DLP (for CFI & by exception for When applicable, EMOS is to confirm that they have all necessary information (drawings, manuals and GEMS estate data) to commence
EWP). maintenance and support activities.
6.5 Transition of maintenance to EMOS are to confirm that all BSC support activities (including miscellaneous service providers) have transitioned and are fully operating. A confirmation letter or email from EMOS.
EMOS completed. (for CFI & by PD / PM is to ensure the contractor representative has provided the EMOS, all logs and data for maintenance performed on facilities and
exception for EWP) equipment by their representatives during DLP.
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HOTO RACI for EWP & CFI
Base Manager (including Base Support team)
Sponsor (Sustainment or Capability) Contact
Design Contractor - includes DSC and "in-
PDS Project Manager - Validate compliant

Contractor Representative (all Delivery
Zone Estate Management & Planning
EMOS - For allocated EWP Projects

(R) Responsible to do the work (delivery and/or verification)
PMCA for CFI projects - Validate
Subject Matter Experts (SMEs) *

Contractors - HC, MC & EMOS)
EMOS Project Support Services

ID Engineering & Environment
(A) Accountable authorities are those who are charged with making ‘the final decision’ and who have ownership of the
Environment & Sustainability

activity
Zone Defence Representative
DEWPO (For EWP projects)

(C) Consulted authorities are those who are consulted before and during the activity
compliant completion
Product Directorates
CFI Project Director
(I) Informed authorities are those who are informed before, during and/or at the end of the activity
details listed in EIR

ID Estate Planning
EMOS Manager
SME* can be but not limited to: Estate Planning, Property, Security, DEEESD, Fuel, Live Firing Ranges, DEEP, EO, Air
Field Engineer, CJLOG, CIOG, DS&VS, etc.
house" PDS.
completion
Note: The signatures in stakeholder details confirm stakeholder engagement, acknowledging that the project
meets the requirements of HOTO in accordance with Defence requirements. The buildings & assets presented for
HOTO are without any outstanding issues that preclude safe occupancy or fit for purpose use and all issues are
captured correctly in the applicable log for action and resolution by the project team.
Planning Project Development and Initiation
Project start meeting held, HOTO Stakeholders identified; and Project scope & requirements, Project HOTO plan and
Planning C C C I C A R C (MC) A R I R C I C / I
checklist & evidence and DLP maintenance strategy and all agreed.
Planning Site Selection Board Completed and Approved (National) A / R C C C C I C I R C I I R C C I C
Planning Site Selection Board Completed and Approved (Zone) C C C R C A C I R C I I R C R C C C
Planning Building Contribution Factor completed. Applies to EWP where work relates to existing facilities C C I I A / R I I R C / I R I I C / I
Design Design
Design Acceptance of design and deliverables from key stakeholders achieved. I I I I I I I A A/R I R A R I R I I I
All GEMS Asset Shells requested and GDLs submitted to GEMS data team by 90% design as per agreed estate information
Design I A R I R A R R C
plan. GEMS Asset Shells issued to contractor
Design Compliant Design (includes MFPE, MIEE etc.). C I C C I C A R R (MC) A / R A A / R I R C I C
Design Approved Dispensations & Performance Soutions IAW MFPE & MIEE Policy. I A / R I I I I C C C C R C R I R C C
Asset Rollout Notification, Building Contribution Factor & notification of demolitions completed. Applies to all new
Design C C C I R A R C A R C R C I
facilities
Design EMOS input to Design and maintenance requirements during DLP. I I A R I R C I
Design Property Licence requirement informed to Property Management Branch (e.g. government furnished facilities – GFF) R R C C C I I
Design Construction
Pre-mobilisation start meeting held, key stakeholders identified, scope of works and design confirmed and Project
Pre-mobilisation commissioning plan, HOTO Plan & Checklist & evidence, estate information plan, schedule for O&MMs and Training all C I I C A R R A R I R C C
agreed by HOTO key stakeholders
Site Management and control plans approved by Defence. Includes: safety & incident management procedure, asbestos &
Pre-mobilisation C C C I C A R R A R R C C C
hazardous chemicals management and method of Work Plans.
Pre-mobilisation Dilapidation Surveys and Notification of Demolishion C I A R R A R R C C C
Pre-mobilisation Environmental approvals obtained C I I C I A R R A R R I I
Pre-mobilisation DLP outline maintenance plan submitted to EMOS for review I A R R A R R R C
Submission to EMOS of all GDLs with completed data fields, “final draft” manuals, as-constructed drawings, maintenance
plans and geo-referenced information no later than:
Construction I A R R A R R C
For CFI Projects the 28 day notice of completion,
EMOS has submitted to Contract Admin Support (CAS) all CCPs required for maintenance and support services by:
Construction For CFI Projects the 28 day notice of completion, I I I I I I C I I A C R R
Commissioning Pre-commissioning approvals and notifications completed IAW agreed contractor’s commissioning and HOTO plan. I I I A R R A R R I I C
Training
Commissioning Training and “train-the-trainer” training provided by the contractor on all facility systems for the operators and I C A R R A R R I C
maintainers; to the satisfaction of EMOS and facility users.
HOTO Hand Over Take Over (HOTO)
HOTO Commissioning completed IAW agreed plan and issues recorded and communicated. I I I I A R R A R R C I C
Design & Build Compliance. Construction completed to approved design and all variations to original design have been
HOTO I I I A R R C A R R I I C
approved by a certified designer.
Defect Liability Period (DLP). DLP management procedure provided, maintenance plan agreed, defects list & rectification
HOTO I I I I A R R A R R C C C
schedule provided and agreed.
All Estate information, data and Warranties submitted and accepted by EMOS and saved on applicable Defence
HOTO Information system (GEMS, NSIMS & Objective). Includes SDMP compliant as-constructed drawings, geo-referenced I I A R R A R R R I
information, project documents, and all GEMS GDLs.
Property & Assets. Key schedule completed and attached with full set of tagged keys, OPE provided and building
HOTO I I I A R R A R R I I
numbers & signage fixed
Plant and Equipment. Essential operating instructions, log book, commissioning test results, wiring, certificates and
HOTO I A R R A R R I I
maintenance schedules provided.
Essential Safety Systems. Emergency Evacuation Plans & lighting, smoke detection & warning, mechanical ventilation &
HOTO I I I A R R A R R I I
exhaust, fire suppression system fitted and certification provided
Electrical Services. Statutory authority certificates & test certificates, switchboard, distribution pillar and board labels,
HOTO I I A R R A R R I C
legends and LV single line diagrams, hazardous area & explosives area verification dossiers all supplied IAW MIEE.
Mechanical / Hydraulic Services. Services test & commissioning results, factory equipment test certificates flow metre
HOTO I A R R A R R I C
calibration certificates all supplied.
Security. Security commissioning & inspections completed and passed, access control information provided to Unit
HOTO Security Officer and accreditation for Sensitive Compartmented Information Facilities (SCIF), magazines and armouries I I I A R R A R R I C
provided.
Supervisory (Engineering Services) & ESN, ICT & Voice. Defence data equipment & networks, fixed voice phone
HOTO systems commissioned and connected to existing base infrastructure, ICT testing and commissioning, As Built PSCC and I A R R A R R I I
user SOP accepted by CIOG.
Work Health & Safety. Builder’s letter stating no asbestos or flammable core products have been used, asbestos removal
HOTO I I A R R A R R I C
data uploaded to GEMS, all hazardous chemicals and storage system information have been documented on ChemAlert.
Technical Consultancy Services. All project reports and document deliverables have been handed over to the agreed
HOTO I I I I I C/I R A A C/I C/I I
Defence POC and have also been stored electronically in Objective.
Environment & Sustainability. ECC requirements met, land management plans provided, contaminated sites register
HOTO (CSR) updated, meters and sub-metering are connected to the Defence approved regional or national data management I I C A R R A R R I C
system.
HOTO Software. Provision of system software, software licences and all configuration files. I A R R A R R I I
Transition Defence Project Transition Activities
Property Licence. Where applicable, Government Furnished Facilities (GFF) and/or property licence implemented. (SME
Transition I R I C I I I I A / R
is PM Branch)
EMOS confirm services for support in preparation for maintenance on Takeover and submitted CCP for maintenance and
Transition I I I I I I C I I C I C A / R R
support requirements and approval by Contract Admin Support (CAS) received
Acceptance Acceptance by Defence Representative that HOTO is sufficiently complete to enable Take Over. I C I A/R I I R C I R I R C I I
DLP Defect Liability Period (DLP)

DLP Remaining and/or corrected estate data has been received, validated and saved on applicable Defence Information system I I I I I A R R A R R C C
All Defence approved HOTO caveats and non-delivered items completed; and all defects rectified and related estate data
DLP I C I I I A R R A R R C C
has been updated.
28 days prior to DLP end date, EMOS confirm their readiness to commence maintenance at the end of DLP if not already
DLP I I I I I C C I C C R A / R
undertaking maintenance.
DLP Transition of maintenance to EMOS completed I I I I I A R R A R R C R
Acceptance Acceptance Acceptance by Zone EMP Representative that DLP is complete. I R I I I A R C A R I R C I I
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Abbreviations and Definitions
Handover / Takeover Checklist
Abbreviations
ACM Asbestos Containing Material
ADEM&P Assistant Director Estate Management & Planning
AMP Asbestos Management Plan
ASEE Assistant Secretary – Environment and Engineering
BCA Building Code of Australia
BM Base Manager
BSC Base Services Contract
BSSC Base Services Support Centre
CASG Capability, Acquisition & Sustainment Group
CHOTO Commissioning Handover / Takeover
CFI Capital Facilities & Infrastructure
CIOG Chief Information Officer Group
DIAS Directorate Information and Systems
DEEESD Directorate Estate Environment & Energy Service Delivery
DEEP Directorate Estate Engineering Policy
DEPU Directorate Estate Planning and Upkeep
DEQMS Defence Estate Quality Management System
DESN Defence Engineering Service Network
DEWPO Directorate of Estate Works Program Office
DGCFI Director General Capital Facilities & Infrastructure
DLP Defect Liability Period
DPU Domestic Policing Unit
DSC Design Services Contractor
DSD Director Service Delivery
EBI Estate Business Identifier
ECC Environmental Clearance Certificate
EEGIS Estate Engineering Governance & Integrity System
E&IG Estate & Infrastructure Group
EIP Estate Information Plan
EMOS Estate Maintenance Operations Services
EM&P Estate Management & Planning
ESD Ecologically Sustainable Development
FIP Facilities Investment Program
FSB Fuel Services Branch
GDL GEMS Data Load Tool
GEMS Garrison & Estate Management System
HC Head Contractor
HMAS Her Majesties Australian Ship
HOTO Handover / Takeover
ICT Information Communication Technology
ID Infrastructure Division
ITP Inspection & Test Plan
ITR Inspection & Test Result
MC Managing Contractor
MFPE Manual of Fire Protection Engineering
MSP Master Site Plan
NCC National Construction Code
NSP National Sub-metering Program
OMM Operation & Maintenance Manual
PABX Private Automatic Branch Exchange
459524159.xlsx 49 of 52
P&E Plant & Equipment
PD Project Director
PM Project Manager
PDS Project Delivery Services
PM/CA Project Manager / Contract Authority
POC Point of Contact
PSAP Public Safety Access Point
PSCC Protective Security Coordination Centre
PSCI Physical Security Certification Inspection
PSS Project Support Services
QFES Queensland Fire & Emergency Service
(Z) ESM Zone Environment and Sustainability Manager
(Z) ESO Zone Environment and Sustainability Officer
RDMS Resource Data Management System
RP Registrable Plant
RU Resident Unit
SCADA Supervisory Control and Data Acquisition
SDD Service Delivery Division
SDMP Spatial Data Management Plan
SSMP Site Safety Management Plan
WOL Whole-of-Life
Definitions
Acceptance of A term whereby the Zone Defence Representative or authorised delegate
Delivered Works accepts the delivered works into the Defence estate. The Acceptance is
confirmed by the Defence Representative being satisfied that all deliverables
are met, satisfactorily completed, fit for purpose, Defence estate information
requirements are met and signing the completed HOTO Checklist to that
effect.
Base Services The incumbent Contractor, contracted by Defence to provide base services
Contractor including estate upkeep, cleaning etc.
Caveat A caveat is a notice or warning issued by Defence. The caveat can be issued
by the Defence Representative (Zone DSD or authorised delegate) indicating
the conditional acceptance by Defence that HOTO criteria can be met within
an acceptable period of time post HOTO (within DLP). Caveats will be
assessed on their associated risks and must be approved by the Defence
Representative.
Condition Assessment An inspection of all plant and equipment maintained under the service to
determine its capacity to meet the required outputs and identify obvious
condition related issues.
Contractor The Contractor who is the signatory to the contract. The entity that has been
engaged to deliver the works. Primarily referred to as the Contractor
Representative.
Contract Deliverable A contract deliverable not provided by the contracted entity responsible at
not Provided the required time.
Contractor The project Contractor Representative: usually the Head Contractor or
Representative Managing Contractor, is responsible for developing the HOTO checklist,
HOTO plan and demonstrating that all deliverables are satisfactorily
completed, safe, fit for purpose and Defence specified estate information
requirements are met.
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Defect A defect is a fault, imperfection (including shrinkage) or deficiency (or
omission) in delivered works: something not to the required standard. The
defect is to be corrected by the contractor representative.
Defence Representative The Defence Representative (Zone Director Service Delivery or authorised
(DR) delegate e.g. Zone Assistant Director Estate Management & Planning) is
responsible for accepting the delivered works from the Project Director /
Project Manager into the Defence estate, enabling its use by the resident unit
(RU) for its intended purpose.
Delivered Works Relates to the entire scope of works delivered under the contract. The
delivered works include all scope changes, variations, physical works,
documentation, electronic system and data.
Estate Appraisal A program of physical inspections, condition assessments and desktop
reviews of Defence facilities, infrastructure, plant and equipment to assess
the gap between target condition and functionality criteria and assessed
condition and functionality.
Handover Process A term whereby the Project Director / Project Manager accepts the
completed works from the Contractor Representative as satisfactorily
completed, safe and fit for purpose and ready for presentation to the Defence
Representative and ultimately acceptance by Defence.
Issue A matter to be resolved by Defence and the project contractor
representative(s).
Project Completion A term whereby the PD / PM accepts the completed works from the
Contractor Representative as satisfactorily completed, safe and fit for
purpose and issues a completion notice of letter.
Project Director (PD) / The allocated person representing Defence requirements, who has the overall
Project Manager (PM) responsibility for the successful initiation, planning, design, execution,
monitoring, controlling and closure of a project.
Project Manager The PMCA, also referred to as the Consultant Representative for CFI
Contract Administrator projects, acts on behalf of the Project Director or Manager in the
(PMCA) management and verification of Contractor Representative’s performance,
achievement of contract and HOTO deliverables.
Responsible Person The term Responsible Person within this checklist identifies the person who
is responsible for delivery of an individual item. The Contractor
Representative identifies the individual by position or name within the
checklists column of “Responsible Person / Position Title”.
Stakeholder A stakeholder is any individual, group or organisation that can affect, be
affected by, or perceived to be affected by a project. Stakeholder inclusion is
a critical component to the successful delivery of any project.
Takeover Process A process whereby the Defence Representative commences the evidentiary
assessment for the purpose of accepting the delivered works from the
Contract Representative as satisfactorily completed, safe and fit for purpose.
Train the Trainer The trainer provides training to selected staff that becomes the trainer for all
other staff.
459524159.xlsx 51 of 52
Zone EMP Zone Estate Management & Planning (EMP) Representatives are responsible
Representative to contribute to key project activities, identify and raise project issues to the
PD/PM for resolution and ensure appropriate SDD support is provided
throughout the project lifecycle. At HOTO, the Zone EMP representative
validates the HOTO checklist once completed by the PD/PM; and prepares
the HOTO submission and recommendation to the Defence Representative.
459524159.xlsx 52 of 52

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HANDOVER / TAKEOVER INSTRUCTIONS

459524159.xlsx HOTO Instructions 1 of 52

Authority and Sponsor

459524159.xlsx HOTO Instructions 2 of 52

b. Waiver or Not Required. A notice issued by the Defence PD / PM to leave an item out of consideration or to disregard it.

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Roles and Responsibilities for HOTO

a. Defence Representative. The Defence Representative (Zone Director Service Delivery (DSD) or authorised delegate e.g., Zone ADEM&P) is

b. Zone EMP Representative. The Zone EMP representatives are responsible to contribute to key project activities, identify and raise project issues to the

e. Project Manager Contract Administrator (PMCA). The PMCA (also referred to as the Consultant Representative) acts on behalf of the PD in the

459524159.xlsx HOTO Instructions 4 of 52

g. Project Support Service (PSS). PSS staff are the EMOS representatives who provide industry expertise and site knowledge to assist projects to

h. Project Stakeholders. Project stakeholders are to attend required project estate planning, design and delivery meetings and contribute to the HOTO

Developing and Completing HOTO Documents

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HOTO for Projects with Multiple Delivery Phases and/or Sites.

459524159.xlsx HOTO Instructions 6 of 52

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24. Project Lifecycle & HOTO Plan. This worksheet is a working document that records the agreed project lifecycle & HOTO criteria, evidence and status

459524159.xlsx HOTO Instructions 9 of 52

459524159.xlsx HOTO Instructions 10 of 52

Project Logs - Caveats or Conditions, Issues and Non Delivered Items

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End of Defects Liability Period

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Project Stakeholders Stakeholder Name, Title, Organisation (insert below) Guide

Please enter project details into '0. Project Details' tab

Status Person Verifying Completion Comments

2 Design Design Not

5 Handover Takeover (HOTO) Not

Zone Representative (Zone Estate Management & Planning member)

1.1.5 Ensure Project personnel have access to Zone EMP PD / PM email advising access arrangements are PDS or PMCA

2 Project Design Phase Complete As assigned below. Achieved by evidence below. Not

2.3.2 Safety in design conducted and findings Contractor Approved design review documentation identifying any PD / PM or PMCA

2.5.2 Building Contribution Factor for new built Sponsor or User Email from BM & Capability Manager (or delegate) to Zone EMP

3.1.1 EMOS Information Pack EMOS PSS An email from the Contractor Representative to confirm PDS or PMCA

3.4 Environmental approvals obtained Contractor Achieved by meeting criteria below.

4.2 Submission to EMOS all GDL with Contractor Copy of GDL spool numbers and 'final draft' manuals PDS or PMCA

Commissioning Required Required

5 Handover Takeover (HOTO) Complete As assigned below. Achieved by evidence below. Not

5.3 Defect Liability Period (DLP). DLP Contractor Achieved by meeting criteria below. PDS or PMCA

5.3.1 DLP start date and DLP end date. Contractor A copy of the GDL showing the DLP dates (and the PDS or PMCA

5.5.2 Master Site Plan (MSP) is updated Contractor Defence custodian’s confirmation that the updated MSP EMOS PSS

5.9 Essential Safety Systems Contractor Achieved by meeting criteria below.

5.10.3 Main Switchboard, Distribution pillar and Contractor Certification / Statement of compliance by the Contract PDS or PMCA

5.12.3 Commissioning for security systems, Contractor As-constructed drawings, commissioning ITP and ITR PDS or PMCA

5.13 Supervisory (Engineering Services) & Contractor Achieved by meeting criteria below. PDS or PMCA

5.13.2 Updated Defence Engineering Service Contractor ITR for connection and commissioning trial of system. PDS or PMCA

5.15.5 Heritage management information Contractor Copy of Heritage Management report provided to the PDS or PMCA

5.15.8 Connection & dis-connection of energy Contractor Copy of submitted AE879. Zone EMP

Project Caveats or Waivers – Issued by Defence

Issue ID Issue Description Raised by Expected Closed by (Name) Signed

END OF DEFECT LIABILITY PERIOD

ACCEPTANCE - END OF DEFECT Approved / Not

1 Project Planning & Development Phase Achieved by evidence below.

The Asset Rollout Notification Form can be found at:

Completed forms are to be emailed to dsgbsm@dpe.protected.mil.au

Project Construction Phase

The identified training is to be agreed between all stakeholders in regards to the:

3.3 Dilapidation Surveys and Dilapidation Surveys PD / PM notification of receipt of dilapidation

4 Construction Achieved by evidence below.