GCP-SG003400-TD023 - Commissioning and Handover Strategy

Commissioning and Handover
Strategy
Document Control
Revision
Version Author(s) & Role Comments
Date
Commissioning Manager
GCP-SG003400-TD-023-v03 JM Confidential 1 of 43 Last Save Date 12 January 2023

© 2021 Johnson Matthey. This document is the copyright of Johnson Matthey and may not be copied in whole or in part without the written consent
of Johnson Matthey. The information contained in this document is confidential and may be used only for the purpose for which it is supplied by
Johnson Matthey. This document and all copies must be returned to Johnson Matthey on demand.
Project Details
Project Manager Sector Portfolio
Project Sponsor Project Number
Finance reference
Operations Manager
number
Approvals (add more lines if required)

Name Role Date
Reviewed by:
Reviewed by: Operations Manager
Approved by: Project Manager
1 Contents
1 Purpose and scope of this document........................................................................................5
2 Project Description (Process and Non Process).........................................................................5
2.1 List of Process Systems.....................................................................................................................5
2.2 List of Non Process Systems..............................................................................................................5
3 Commissioning Objectives.........................................................................................................6
4 Environment, Health Safety and Sustainability..........................................................................6
4.1 Safety Training..................................................................................................................................7
4.2 Permit to Work.................................................................................................................................7
4.3 Segregation (Construction / Commissioning / Operation)................................................................7
4.4 Safety and Operability Reviews during Commissioning....................................................................7
5 Terminology Definitions.............................................................................................................8
6 Commissioning and handover Activities..................................................................................10
6.1 Construction Completion................................................................................................................11
6.2 Installation Qualification (IQ)..........................................................................................................11
6.3 Authority to Introduce Energy........................................................................................................11
6.4 IQ completion.................................................................................................................................12
6.5 Operational Qualification (OQ).......................................................................................................12

6.6 OQ Completion...............................................................................................................................13
6.7 Notification of Handover................................................................................................................13
6.8 (ATIC) Authority to Introduce Chemicals........................................................................................13
6.9 Process / Performance Qualification (PQ)......................................................................................14
6.10 Ready to Operate / PQ completion.................................................................................................14
6.11 Project Handover (Completion)......................................................................................................14
7 Basis of schedule and schedule................................................................................................15
7.1 Prioritised Systemization................................................................................................................15
8 Roles & Responsibilities overview...........................................................................................16
8.1 Roles and Responsibilities during IQ...............................................................................................18
8.2 Roles and Responsibilities during OQ.............................................................................................18
8.3 Roles and Responsibilities – defined activities................................................................................18
8.4 Simultaneous Commissioning and Construction.............................................................................20
9 Commissioning Budget............................................................................................................20
10 Control and reporting..............................................................................................................22
10.1 Control............................................................................................................................................22
10.2 Progress monitoring and reporting.................................................................................................22
10.3 Document management.................................................................................................................22
Appendix A: Systemized Commissioning and handover schedule.......................................................24
Appendix B: Definitions and examples................................................................................................25
Appendix C: Installation Qualification (IQ) and Completion Criteria....................................................27
Appendix D: Operational Qualification (OQ) and Completion Criteria................................................31
Appendix E: Punch Item Definition and Categorisation.......................................................................36

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This template applies to Full Framework Projects and is intended to provide guidance on the key
information to be included in the project Commissioning and Handover Strategy for capital projects with
engineering content that require commissioning activities.
The Commissioning and Handover Strategy is to be produced during the Define phase and presented for
sanction approval – and will be updated during the Implement phase as appropriate.
General guidance: Commissioning is a process for ensuring that a system is designed and operated as
intended. The purpose of commissioning is to verify that the plant is constructed and operates as per
design requirements and process performance criteria.
The scope of the Commissioning and Handover strategy is described in the figure below. The main objective
is to define the documentation, procedures and philosophy used in the preparation for, and carrying out of,
construction, installation qualification (IQ), operational qualification (OQ) and process / performance
qualification (PQ).

1 Purpose and scope of this document
This document details the strategy for the management, control and execution of the commissioning and
handover process for the <Project Title>CSF full line expansion project.
The purpose of the Commissioning and Handover Strategy is to:
 Establish the objectives and key requirements for the Commissioning and handover stages of the
project
 Identify the main stages involved in the Commissioning and handover of the project
 Define the responsibilities for the organisation and control of Commissioning and handover
activities
 Define the documentation associated with the Commissioning and handover stages and activities
as appropriate
 Commissioning is the documented process of verifying that equipment and systems are installed
according to specifications, placing the equipment and system into active service, and verifying its
proper operation.
 This Commissioning plan describes the equipment tagging procedures used to identify the stages at
which Commissioning activities have been completed on a piece of equipment or system. They
comprise of the Internal Qualification (IQ), Operational Qualification (OQ) and Process Qualification
(PQ). IQ are basically applied to equipment that have passed an operational acceptance test under
Manual mode witnessed by the JM engineer and inspected and witnessed by JM system Owner. OQ
are applied to equipment that have passed Site acceptance test (SAT) with SCADA and provided
training to JM and the equipment have been turnover to the JM. PQ are applied to the System as a
whole and its component elements. After handed over to JM, then PQ shall be introduced to the
plant operation for HAZARD study 6 purposes.
 Establish the objectives and key requirements for the commissioning and handover stages of the
project
 Identify the main stages involved in the commissioning and handover of the project
 Define the responsibilities for the organisation and control of commissioning and handover
activities
 Define the documentation associated with the commissioning and handover stages and activities as
appropriate
2 Project Description (Process and Non Process)

<Provide a brief summary of the project including the process and non process items.> The enforcement of
this project if to meet the clean air regulation and to commit with the recent growing demand of John
Matthey’s (JM) products worldwide. This requires expansion of Filter Production at existing production
plant termed as ‘Brownfield’ with selected technology as the outcome of product Catalytic Soot Filter (CSF)
and Selective Catalytic Reduction with a Soot Filter (SCRF) to cater the capacity of production rate of CSF
Full line of 2,190,000* of design (part/year) and 1,167,000** of actual (part/year). It involves extension of
the ‘half’ line production by installing and Commissioning the same set of key equipment and converting
the existing ‘half’ line to a ‘full’ line production capacity. This improvision therefore requires necessary
modification, integration and utilities tie-ins to the existing systems.

<Provide below a list of the key reference information relevant for commissioning of this project, including
the User Requirement Specification (URS) or process Basis of Design (BoD). The list is to include details of
where each of the references can be accessed.> Below a list key reference information relevant for
Commissioning of this project, including the User Requirement Specification (URS) or process Basis of
Design (BoD) where each of the references can be accessed:
NO. WORK DESCRIPTION REFERENCES

1. Process Design Basis 1302A-8110-PD-0001
2 Basic of design (BoD)
3 Batching URS
4 Infeed URS
5 Lab URS
6 Tray Management URS
7 Vacuum System URS
8 Washcoat URS
2.1 List of Process Systems

The overall process systems are listed here. This will serve as a template for distinct
commissionable systems during planning. A list of plant utilities required for the Process are
included and will be commissioned with the Processes. Process systems have been identified with
a colour code on the P&IDs that will be coordinated with the Commissioning strategy and
schedule.
<Provide an overview of the commissioning systems in the table below.
Overview of the commissioning systems in the table below
Drawing number
System (4014-MH-J313-ME-
S.no code PID-XXXX) Colour Description
1 Wash coat- CSF
T100-1 &T1200-1 equipment and outlet
1.1 WCC-001 1539 Dark Orange lines
T100-3 &T1200-3 equipment and outlet
1.2 WCC-002 1541 Floracent green lines

Wash coat delivery CSF- from flow plate
1.3 WCC-003 1538 Maroon FLH-101 to 3 way valve XI-102D/02
2 Wash coat- SCRF
T100-2 & T1200-2 equipment and
2.1 WCS-001 1539 Purple outlet lines
T100-4 & T1200-4 equipment and
2.2 WCS-002 1541 Orange outlet lines
Wash Coat Delivery SCRF - From flow
plate FLH-136 to 3 way valve
2.3 WCS-003 1546 Light brown XI-102A/02
3 Process Exhaust
3.1 PE-001 1547 Purple Process Air line from Oven 2 & 3
3.2 PE-002 1547 Light green Process Air line from Oven 1
LEL analyzer AIT-1001/01 and AIT-
3.3 PE-003 1547 Floracent blue 1002/02
3.4 PE-004 1547 Red Fresh air line to heat exchanger (E-101)
3.5 PE-005 1547 Yellow Blower (B-101) outlet to heat exchanger
3.6 PE-006 1547 Nevy Blue Emergency vent line to atm
3.7 PE-007 1547 Brown Heat exchanger(E-101) outlet line
Heat exchanger outlet to vent safe
3.8 PE-008 1547 Orange location
3.9 PE-009 1547 Dark Green Heat exchanger(E-101)
3.10 PE-010 1547 Dark sky blue Blower (B-101) and B-102
3.11 PE-011 72.49344.000 Violet Oven 2 & 3 Exhaust
3.12 PE-012 72.49344.000 Lite yellow Oven 2 & 3 System
4 Pigging System
CSF Pigging Line 1 Launcher (A-102A) to
4.1 PIU-001 1538, 1539,1541 Nevy Blue cell 1 & cell 2 to Reciever (A-102A)
Cell 1 CSF Wash coat pigging line 2
4.2 PIU-002 1539, 1538 Dark Green launcher (A-102B) to Receiver (A-102B)
Cell 2 CSF Wash coat pigging line 3
4.3 PIU-003 1541, 1538 Yellow launcher (A-102C) to Receiver (A-102C)
SCRF Pigging Line 4 Launcher (A-102D)
4.4 PIU-004 1546, 1539, 1541 Dark Red to cell 1 & cell 2 to Reciever (A-102D)
Cell 1 SCRF Wash coat pigging line 5
4.5 PIU-005 1546, 1539 Sky blue launcher (A-102E) to Receiver (A-102E)
Cell 2 SCRF Wash coat pigging line 6
4.6 PIU-006 1541, 1546 Dark Purple launcher (A-102F) to Receiver (A-102F)
5 Vacuum system
5.1 VAC-001 PID/MY21/R8 Blue Vacuum generation System (Stage 1)
5.2 VAC-002 1554 Red Vacuum distribution Cell 1 (Stage 2)
5.3 VAC-003 1554 Violet AID Cell 1 (Stage 2)
5.4 VAC-004 1554 Yellow AID Cell 2 (Stage 2)
5.5 VAC-005 1544 Green Vacuum distribution Cell 2 (Stage 3)
5.6 VAC-006 1544 Brown AID Cell 2 (Stage 3)

Utility System
Compressed air from header to P-102, P-
1 UTS-001 1549, 1538, 1546 Blue 103
1549, 1538, 1541, 1546, Compressed air from header to A-102 A,
2 UTS-002 1539 Light Pink B, C, D, E, F
Compressed air from header to Pigging
UTS-003 1549, 1538 Blue
3 system A-102 A, B, C, D, E, F, Dryer
Compressed air from header to Oven 2&
4 UTS-004 1549, 72.49344.000 Sky Blue 3
Chilled Water line for Cell 2 hopper
5 UTS- 005 1548, 1541 Violet Tanks
Chilled Water line for Cell 1 hopper
6 UTS-006 1548, 1539 Red Tanks
7 UTS-007 1548, 1550 Yellow Chilled Water line for T-2000 tank
8 UTS-008 1548, 1552 Dark sky blue Chilled Water line for T-300 tank
2.2 List of Non Process Systems

<Provide an overview of the Non Process commissioning systems below>
Over View of the Non Process commissioning system as below
a) Modification of QC laboratory
b) General line integration, automation, and IT system
c) TNB Substation mains supply board (MSB) and transformer
d) Firefighting systems - Firefighting system scope of work is subject will be under JM. i.e., alarms &
sprinklers (no changes to existing systems, no additional requirements envisaged)
3 Commissioning Objectives
<Provide an overview of the key commissioning objectives and targets/performance measures.
The main objective of Commissioning is to achieve safe, smooth, stable, and reliable operating conditions
while meeting project specifications. Commissioning shall be performed and executed in compliance to
following methodology and requirement in keys activities as described. Commissioning activities
preparation shall start at an early stage of the project as early as engineering. GC shall mobilise its
Commissioning team who shall be involved at every phase of the of the project.
Some of the key activities to be considered include:
 The deliverables from each team, including the engineering contractor, procurement, construction
and commissioning team.
 Qualification parameters for the process and non-process scope.
 Timelines to deliver the project to, including any time constraints.

 Commissioning costs.
 Specific EHS requirements, e.g. environmental air permits approved etc.
 The flow for the Commissioning and handover activities as below
6. 7.
5. Verified closed Prepare and perform Validate pre-
3. 4.
punch list pre-commissioning commissioning
1. Request for 2. Attend Inspection Generate Punch Closed punch list (GC)
Inspection
Action by GC Action by (EPCM, GC, Action by List Action by List (GC) Action by JM,EPCM Action by GC, Action by JM,EPCM
JM, GC) (JM,EPCM) Veondor
Commissioning and handover activities
 All the process is incorporate to the following timeline shows below:
4 Environment, Health Safety and Sustainability

The key objective of the Commissioning and Handover strategy is to maintain high levels of safety. clearly
defined team roles and responsibilities and the use of handover certificates for transfer of responsibilities is
of critical importance to ensure safe systems of work.
The Project Manager is responsible for ensuring commissioning and handover EHS requirements are well
defined, managed, controlled, and followed during the project – in alignment with construction, JM
operations, JM Operations, JM EHS and regulatory requirements. Where considered necessary / critical for
the safe start-up and integrity of the asset, tests and results shall be witnessed by project commissioning
personnel, operations representatives (JM), certifying authorities and regulatory bodies.

<Describe here the key EHS responsibilities for commissioning and handover as appropriate – i.e. When
applicable, provide guidance of any transfer of site responsibility from Construction Team to
Commissioning Team at IQ Completion and from Project Team to Operations Team at OQ Completion
stage>
The Commissioning phase is a critical operation, with significant risk of causing major injuries,
damaged equipment and to the environment, have to be strictly monitored, the risks is increased
due to the occurrence of some, or all, of the factors listed below:
 Transition through temporary stages; Commissioning activities take place in stages, with
changing degrees of interconnection with existing facilities.
 Existence of concurrent activities; some Commissioning activities may proceed concurrently
with, for example construction and production/maintenance activities.
Procedures shall provide general HSE Requirements, and Risk Assessment to be followed during
the activites.
 Hydrotest/Air Blowing
 Equipment inspection and closure
 Chemical handling and first filling
 Water flushing
 Electrical testing
 Lube oil and seal oil flushing
 Uncoupled running motor test
 Chemical cleaning
 System inerting
 Tightness test
 Piping Dry out and preservation
 Machine preparation for Start up
 Oven and Heater preparation for Start up
Every time these Risks Assessment don’t cover the tasks or a particular activity is planned the
Commissioning Manager or his Deputy, for these critical activities shall prepare a specific Work
Method Statement where indicates:
 Description of the specific activity

 System involved
 Equipment to remove or install
 Chemical substances used
The HSE department jointly with the Commissioning team for each Work Method Statement
shall prepare the dedicated Risk Assessment in order to identify all the safety measures to be
put in place according to the HSE Procedures.
Additional Task Risk Assessment has been carried out for the activities of:

 Lifting Opeation
 Scaffolding erection
 Working at height
These risk assessment (attachment 2) shall be applied in conjunction with other risk assessment
each time shall be applicable for the task to be carried out.
<Describe the EHS requirements for the commissioning and handover of the process. Consider;
All these documents require to be approved by JM Safety, Operation & System:
 EHS procedure and guidelines including:

Hazard Identification Risk Assessment & Risk Control (HIRAC)
Job Safety Analysis (JSA)
Permit to work (PTW)
o G24 – EHS Management of Large-Scale Capital Projects
o G12 Hazard studies
o JM Life Saving Policies
 Regulatory requirements including required permits.

 Local EHS requirements.
Examples of equipment subject to local EHS requirements include;
 For registered equipment there will be local arrangements in place which cover requirements for
installation and operation checks. Examples of registered equipment are pressure relief valves and
safety trips
 Relief system documentation and verification
 Equipment installed in a Hazardous Area
 Installation of plant trips, alarms and interlocks
 Permanent or temporary changes to existing plant
Key EHS requirements include;
 Safety and operability reviews during commissioning (e.g. Hazard Studies 4 (HS4) and 5 (HS5))
 Safety training for staff involved in commissioning activities
 Risk assessment
 Permit to work system including hazardous work control (e.g. hot work, confined space, live
working) Segregation of area where commissioning will take place
 Lock off and tag-off controls

 Simultaneous Operations (SIMOPS)>
SIMOPS is the performance of potentially conflicting operations or simultaneous works at the same
time, in the same location with a risk of potential energy release i.e. explosion, implosion and loss
of containment. Both jobs can be done safely, but without coordination, one act could lead to a
dangerous consequence for others.
Tenets of SIMOPS:
 The proximity between several potential sources of hydrocarbon, energy release and activities
having potential ignition sources.
 The coexistence of people who might be unaware of the risks inherent to activities they are not
familiar with.
 The risk of physical interference such as heavy lifting, anchorage, etc.
 The existence of multiple parties in executing the work.
4.1 Safety Training

<Describe here any specific Safety Training for commissioning and handover>
The Contractor HSE Manager, through his staff, shall provide HSE introduction to all personnel
assigned to Commissioning activities. All personnel shall receive the following training:
Commissioning Induction Training

Commissioning PTW System
The Commissioning Manager shall advice on any specific HSE training requirements for personnel
involved in the Commissioning activities
4.2 Permit to Work

<Describe here the Permit to Work System>
The Permit to Work system is designed to ensure that a safe environment is achieved by
providing management control over the various work activities, which may be potentially
hazardous and has to be monitored.
During Commissioning activities shall be used the system referred in the document (that is
jointly prepared with CA.
For all the construction activities to be carried out inside areas Under Commissioning Authority
shall be applied the commissioning PTW System.

4.3 Segregation (Construction / Commissioning / Operation)
<Describe here how segregation will be managed – Reference section 8.4>
4.4 Safety and Operability Reviews during Commissioning

<Describe here the safety and operability reviews that will be undertaken during commissioning>
yeah

5 Terminology Definitions
An essential part of the Commissioning and Handover Strategy is to implement clear and well-defined
definitions for IQ, OQ and PQ. Defining these terms is critical to ensure they are cascaded into contracts
and the associated detailed handover procedures.
Early definition of these terms will structure the process of defining activities for each system.
<Appendix C details the general contract definition and criteria for IQ Completion criteria, while Appendix D
details the general contract definition and criteria OQ completion criteria, these should be adjusted as
necessary and referenced in the contract form and associated schedules>
The table below provides summary definitions of key Commissioning process stages and milestones.
Further details are provided in Appendix B, C and D.
Terminology Definitions
Construction completion Completion of construction, installation and configuration activities during the Construction
Phase. It identifies that work is complete and that commissioning can commence.
Construction Completion Certificate – A document of construction, installation, and configuration

activities during the Construction Phase. The approval of this document will allow the IQ to
proceed and is performed by the Contractors and Construction Manager.
(IQ) Installation Qualification Lead by the Construction Team

Does meet specification and is Verification that the installed systems and equipment meets the contracted specifications &
it installed correctly? regulations, in that all aspects of facility, utilities, and equipment that affect product quality,
adhere to the approved design specifications, and that the piece of equipment or instrument has
been; Properly delivered; Correctly installed; Configured according to standards set by the
manufacturer or by an approved installation checklist.
In some instances, IQ could also include the verification of functional operability of elements
within the system, this may require energisation of equipment for the running and testing of
power distribution systems, testing of emergency shutdown and control systems and dynamic
trials such as bumping motors prior to OQ. An “Authority to Introduce Energy Certificate” will be
issued prior to any introduction of energy to a system.
Authority to Introduce Energy System construction is substantially complete and the general housekeeping standards and safety
in the area are appropriate to allow the introduction of energy
An example Authority to Introduce Energy Certificate can be found in guidance: GCP-SG000050-

GN-100 Handover Procedure, Appendix A.
IQ Completion Completion of Installation Qualification (IQ) requirements and Hazard Study 4.
Documentation required for the Construction Completion Pack and IQ Completion Certificate can
be found in Appendix C.
An example IQ completion Certificate can be found in guidance: GCP-SG000050-GN-100 Handover

Procedure, Appendix B
(OQ) Operational Qualification Lead by the Commissioning Team

Does it function/operate as In this phase the process parameters should be challenged to assure that they will meet all
specified? defined requirements under all anticipated conditions of manufacturing, i.e., worst case testing to
determine the robustness of the process and ability to avoid approaching worst case conditions.
This includes trials and checks on inert materials to ensure the functional integrity of systems and
confirm that they are ready for the introduction of chemicals and other process materials.

OQ Completion / System The point at which the system is ready to accept process and hazardous chemicals and begin
Handover process qualification. Specific pre-requisites will include: Hazard Study 4 and Hazard Study 5
(handover of responsibility completed; Completed Inspection & Test Plans (ITP’s);– (IQ) Installation Qualification, (OQ)
from Project team to Operational Qualification. Documentation required for the System Hanover Pack and OQ
Operations team) Completion Certificate can be found in Appendix D.
The OQ completion certificate is the point of transfer of responsibility for the care, custody, and
control of the system.
An example OQ completion Certificate can be found in guidance: GCP-SG000050-GN-100

Handover Procedure, Appendix C
(ATIC) Authority to Introduce Authority to introduce chemicals is a JM document used to document that the system is ready to
Chemicals accept process and hazardous chemicals and begin Start-Up. The ATIC will be prepared by the
Commissioning Manager and approved by the Plant Operations Manager. The certificate should
ensure that the following has been satisfied:
• The Commissioning and Handover checklists are complete.

• All Hazard Study, LOPA and other actions are complete.
• JM Life Saving Policies are in place and implemented.
• The site is safe, and all equipment has been visually checked and is fully documented.
• EHS and other management systems are in place to allow the start up.
• Adequate resources are in place with the necessary competence and supervision.
• If applicable for a phased start up, any boundary isolations and arrangements for simultaneous
operations are in place and recorded.
An example Authority to Introduce Chemicals Certificate can be found in guidance: GCP-

SG000050-GN-100 Handover Procedure, Appendix D
Notification of Handover An example Notification of handover Certificate can be found in guidance: GCP-SG000050-GN-100
Handover Procedure, Appendix F
(PQ) Process / Performance Lead by the Operations Team

Qualification This stage contemplates starting up and running plant items in a process environment, for which
Does it perform as we process chemicals will be introduced for the first time and for performance testing for product
wanted? quality. It means to demonstrate that the process will consistently produce acceptable product
under normal operating conditions. PQ considerations include: Actual product and process
parameters and procedures; Acceptability of the product; Assurance of process capability;
Process repeatability, long term process stability.
Simply put PQ involves small scale manufacturing of real products, testing that all equipment is
fully functional, correctly integrated together, and capable of running stably.
Ideally the full product mix would be tested to show overall capability of the plant, but this is not
always practically feasible in real-world scenarios; instead, a small, representative subset of
products are usually chosen.
PQ Completion / Ready to Completion of (PQ) Process / Performance Qualification

Operate It has been demonstrated that the process will consistently produce acceptable product under
normal operating conditions. Ramp up to production capacity can now commence.
Ramp-up / Production Part The final phase of new product and process development, whereby the new product moves from
Approval Process (PAPPs) small-scale production to full-scale manufacturing OR moves into the production part approval
process.
Project Handover The COMPLETE transfer of responsibility for the care, custody, maintenance and EHS
(Completion) management of the WHOLE asset.
The Handover step is a Stage Gate requirement for the project

Below is an outline of the stage gate deliverables required at the Handover Stage:

 Completed Handover Document
 Project Handover Dossier
 Updated Project Reporting
 Updated Stakeholder and Communication Plan
 Closeout of Risk and Issue Register
 Closeout of Lessons Learned
 End of Project Report
 Closeout of Action and Decision Log
6 Commissioning and handover Activities

Outlined below are the process and non-process packages that will have IQ, OQ and PQs performed. The
EPCm will be responsible for the IQ / OQ and operations will be responsible for the PQ. Further definition
of roles can be found in Section 8- Roles & Responsibilities Overview and the ‘Handover Guidance’ on the
GCP site.
<For each of the sections below define the scope of commissioning and handover activities considered. –
New and modified assets; Process systems. This should include all the different activities required for each
system. During detailed design this activity list should be used to define activity description, relationships,
consumables required, duration, man hours, resources and special or temporary equipment requirements.
Appendices C and D can be used as guidance.
Non-process plant things to also consider;
 Buildings: Verification of all the systems are functional for the occupation of the building including
sheeting, lighting and safe means of access.
 Civils: All works complete, including underground systems, special linings, sumps and drainage. All
local authority building, and planning applications authorised.
 Instrument Systems: All systems installed, calibrated and tested in line with SAT procedures.
Including alarms and trips.
 Electrical Systems: Fully installed. Power system certification and testing to allow sign off at each
voltage. Energisation of each circuit is fully documented. All motors checked for direction supply available.
 Software: configuration tests complete.
 Plant protection systems: All firefighting, safety equipment, security, BMS, Passive systems in
position and tested. Emergency exits defined and required signage in place.
 Steelwork: Installation checks and verification completed and signed off as per drawings.
 Paint and insulation: installation checks complete and signed off.
 Lubrication: Complete.
 Spares: Available or ordered.
 New or expanded service or maintenance contracts signed or ready for signature

6.1 Construction Completion
The purpose of Construction Completion is to verify that construction, installation, and configuration
activities during the Construction Phase is complete. It identifies that work is complete and that IQ can
commence.
Since the construction is being performed while minimizing interference to existing production,
construction on certain systems or utilities will need to be performed and returned to service. Further
discussion on prioritized systemization is outlined in Section 7.
6.2 Installation Qualification (IQ)

<Provide a description of the activities per system that will be included as part of Installation Qualification,
Including Hazard Study 4. Consult Appendix B for examples, and Appendix C the general contract definition
and completion criteria for IQ completion. Detail of who will be responsible for completion of each of these
activities must be defined, e.g. electrical contractors responsible for wiring installation checks.>
<When applicable - Indicate any relevant protocols that will need to be followed to complete the checks
and who is responsible for generating these.>
<For items that have been pressure tested and certified at manufacturer’s works – indicate if they need to
be re-tested after installation.>
<Define how faults and incomplete items shall be identified, tracked and managed- i.e. A ‘Punch List’ of
outstanding items should be defined. Items should be categorized and prioritized in terms of their impact
on the IQ phase completion and managed/addressed accordingly>
<Define arrangements in place to train the Commissioning Team and ensure there is an understanding of
the entire design, operational procedures, HSE requirements and compliance, emergency response
procedures and team roles and responsibilities before Operational Qualification (OQ) and operation of the
assets>
6.3 Authority to Introduce Energy

Prior to the introduction of energy into a system an “Authority to Introduce Energy Certificate” will be
issued by the Construction manager and signed by the Commissioning manager, JM Responsible E/I
engineer and JM Responsible Mechanical engineer. This is to confirm that the system construction is
substantially complete and the general housekeeping standards and safety in the area are appropriate to
allow the introduction of energy
An example Authority to Introduce Energy Certificate can be found in guidance: GCP-SG000050-GN-100
Handover Procedure, Appendix A

6.4 IQ completion
The <insert role > has the responsibility of ensuring that construction and mechanical testing of each
commissionable system or portion is carried out in compliance with expected practices. Certifications will
be provided to the effect that the construction has taken place according to detailed engineering design, all
equipment requiring external inspection is included in the site register, and that the plant has been
sufficiently completed to allow systems to move into Operational Qualification (OQ).
<Define arrangements and minimum deliverables required for IQ Completion and handover from
Construction to the Commissioning Team.
A typical list of the pre-requisites for IQ Completion is shown below (see Appendix C for further detail):
 Hazard Study 4 complete

 IQ Completion Certificate
 Completed Inspection & Test Plans (ITP’s)
 Approved IQ protocol documentation
 Tie-in register up to date
 Test Equipment certificates/ calibrations available
 Safe System of Work Completed (Method statement/RAMS)
 Construction Completion Packs for each identified system at Construction Completion.>
6.5 Operational Qualification (OQ)

<Provide a description of the activities per system that will be included as part of Operational Qualification,
including Hazard Study 5. Consult Appendix B for examples, and Appendix D for the general contract
definition and completion criteria for OQ completion.>
<Define how faults and incomplete items shall be identified, tracked and managed- i.e. A ‘Punch List’ of
outstanding items should be defined. Items should be categorized and prioritized in terms of their impact
on OQ phase completion and addressed accordingly>
All OQ activities for equipment shall be carried out in accordance with vendor’s instructions /
recommendations and the operating and maintenance manuals.
<Define the performance testing and operating instructions requirements or reference the relevant
documentation (i.e. commissioning plan / OQ protocols)>.
<Define certification/documentation requirements as appropriate, including i.e. OQ protocols signed off,

performance reports; records of operational changes; modifications (software and hardware); relevant
reports.>
<Define arrangements in place to train the Operations Team and ensure understanding of the entire design,
operational procedures, HSE requirements and compliance, emergency response procedures and team
roles and responsibilities during the Process/Performance Qualification (OQ) and Process >

6.6 OQ Completion
The <insert role > has the responsibility of ensuring that Operational Qualification testing of each
commissionable system or portion is carried out in compliance with expected practices. Certifications will
be provided to the effect that the OQ has taken place according to protocols, and that the plant has been
sufficiently completed to allow systems to move into Process Qualification (PQ). This OQ completion
certificate is the point of transfer of responsibility for the care, custody, and control of the system.
An example OQ completion Certificate can be found in guidance: GCP-SG000050-GN-100 Handover

Procedure, Appendix C
<Define arrangements and minimum deliverables required to meet OQ Completion and handover from
Project Team to Operations Team – i.e. A ‘Project Handover Certificate’ or ‘Project Acceptance certificate’
shall be completed by the Commissioning Manager or Project Manager and accepted by the Plant
Operations Manager to permit plant operation.
A typical list of the pre-requisites for OQ Completion is shown below:
 Punch list including closure of critical items

 Commissioning and Handover checklist complete
 Hazard Study 4 and 5 complete
 Approved IQ and OQ protocol documentation
 System Handover Packs Complete
 Demonstration of Dynamic stability
 Assessment of utilities consumption
6.7 Notification of Handover

Issuance of handover certificates marks an important milestone on a project and as such the issuance of
such certificates should be well communicated to the project team. Several methods can be utilised to
communicate this message including toolbox talks, safety briefs, emails and bulletin boards.
An example Notification of handover Certificate can be found in guidance: GCP-SG000050-GN-100
Handover Procedure, Appendix F
6.8 (ATIC) Authority to Introduce Chemicals

Prior to the introduction of chemicals into a system an “Authority to Intoduce Chemicals Certificate” will be
issued by the Commissioning manager and signed by the Commissioning manager, Project Manager,
Responsible EHS Manager, JM Responsible E/I engineer, JM Responsible Mechanical engineer, and Plant
Manager. This is to confirm that the system construction is substantially complete and the general
housekeeping standards and safety in the area are appropriate to allow the introduction of process fluids.
An example Authority to Introduce Chemicals Certificate can be found in guidance: GCP-SG000050-GN-100
Handover Procedure, Appendix D

6.9 Process / Performance Qualification (PQ)
<Provide a description of the activities per system that will be included as part of Process/Performance
Qualification. Consult Appendix B for examples.>
<Define how deviations and actions shall be identified, tracked and managed- i.e. A ‘Punch List’ of
outstanding actions should be defined. categorized in terms of their impact on handover/operations and
managed, addressed accordingly>
<Define the performance testing agreed for each commissioning system/group.>
<Define certification/documentation requirements as appropriate.>
6.10 Ready to Operate / PQ completion

<Define arrangements and minimum criteria to meet the “Ready to Operate” status and complete the
operations phase of the project including relevant handover documentation.
 A typical list of the pre-requisites for Ready for Start Up is shown below:
 Approved IQ, OQ and PQ protocol documentation

 Demonstration of process performance to design intent
 Manufacture of in specification product>
6.11 Project Handover (Completion)

The Project completion is the COMPLETE transfer of responsibility for the care, custody, maintenance and
EHS management of the WHOLE asset.
The Project Handover (Completion) step is a Stage Gate requirement for the project. The stage is approved
by the XX
Below is an outline of the stage gate deliverables required at the Handover Stage:
 Completed Handover Document

 Project Handover Dossier
 Updated Project Reporting
 Updated Stakeholder and Communication Plan
 Closeout of Risk and Issue Register
 Closeout of Lessons Learned
 End of Project Report

 Closeout of Action and Decision Log
7 Basis of schedule and schedule

The commissioning and handover schedule defines the activities and resource required to commission and
handover the asset and it should include an estimate of the plant downtime when applicable.
<Provide an overview of the commissioning and handover planning approach and work-package set up.
Consider the following:
 Systemization of the project scope and how this will be prioritized and communicated through the
project and operations teams. – Preliminary mark ups of the boundaries on PIDs / single lines
should be completed as soon as possible (ideally straight after the HAZOP) as this allows early
costing of any additional isolation requirements (e.g. valves).
 Maximize the opportunity for schedule optimization by overlapping as many activities as is safe to
do so with construction. In this situation a Safety Management Plan for Transition should be
included- dedicated to ensuring personnel safety during the period of sectional handover.>
<See Appendix A for guidance on how to develop a systemized commissioning schedule, once developed
this should be integrated with the master project schedule.>
<Provide an overview on how the commissioning schedule is structured - it may include the following:
1. Overall commissioning requirements including plant downtime.
2. If there is a “phased” approach to commissioning and handover, this should be clearly defined
including system boundaries.
3. The plan should also describe if the asset may be sub-divided into systems to enable phased
handover of the plant. The system boundaries for phased handovers shall be clearly defined in
the commissioning plan.
4. Any specific requirements for operating and maintenance manuals
5. Resource requirements including operations, engineering and trades person support as well as
specialist or supplier involvement.
6. Commissioning materials (raw materials, consumables and maintenance spares).
7. Training requirements (operations & maintenance personnel).
8. Handover & project acceptance, including Hazard Studies 4 & 5.
For further details on developing the Commissioning Schedule see Commissioning Planning Guidance.>
7.1 Prioritised Systemization

The basis for commissioning planning will be to maximize the opportunity for schedule optimization by
overlapping as many activities as is safe to do so with the construction. This will be achieved through a
strategy of Prioritized Asset Systemization. Once key project documents from the detailed design stage
(P&IDs, layout drawings, plot plans and mechanical handling drawings) have been issued and hazard study

actions closed out, then commissioning systems can be identified in priority order. This activity will set the
overall priorities for document and check-out management and will ensure the most effective use of time.
<Provide an overview and list of the prioritization of any systems identified>
8 Roles & Responsibilities overview

<In defining the Commissioning and Handover strategy the respective roles of contractors, JM project
teams (inclusive of any JM commissioning team) and Operations should be well defined. Defining these
responsibilities is critical to ensure they are cascaded into contracts and the associated detailed handover
procedures. An example overview of the roles and responsibilities for a project is given in the figure below.
It should be noted that execution and contracting strategies for construction, IQ and OQ will differ between
projects and the above is an example. See below guidance on what activities sit best with contractors and
which sit better with JM.
 IQ is generally more suitable to contract out, to place this responsibility with supplier
responsible for delivering the physical assets. JM (or agents appointed on JM’s behalf) would
witness and accept final IQ close out documentation.
 OQ of building systems, simple systems, non-critical systems and equipment packages is usually
best placed as a responsibility contracted out to the supplier – to hold the supplier responsible
for the performance to specification of the asset they have provided. JM (or agents appointed
on JM’s behalf) would witness and accept final OQ close out documentation.
 OQ of critical JM bespoke processes can be a case for a JM commissioning team to take
responsibility for the execution, documentation and approval of OQ with witnessing and
acceptance by JM Operations Team.

It should be noted however that at the PQ stage JM, supported by the project / contractor’s commissioning
and engineering teams where necessary, will take control of the introduction of process and hazardous
chemicals. >
In consultation with the Operations Manager or his nominee, the Project Manager shall ensure early
appointment of both a Commissioning Manager and Commissioning Team to ensure the commissioning
and handover strategy is being defined and managed.
The Project Manager shall support the Commissioning Manager during plant commissioning.
<Describe the member and structure of the Commissioning Team – consider including cross-functional
team representation – e.g. Manufacturing team; R&D; Mechanical; Electrical & Instrumentation; Analytical
team.
The manpower plan, roles and responsibilities and competencies of personnel should be considered and
detailed.>
The detailed responsibilities of the Commissioning Manager and Commissioning Team and the ones of the
Main Contractor are summarised in the table below and will be described in detail within the relevant
contracts.
<Complete the tables in the sub sections below and consider;
 Offsite testing including FATs.

 Particular experience required; timing versus other responsibilities; number of resources required.
 Level of responsibilities for commissioning activities; Responsible, Accountable, Supporting,
Consulted and Informed (RASCI).
 Including both Main Contractor and support from technicians supplied by vendors and/or the
installation contractors that may provide training, support and troubleshoot technical issues during
this time. In addition to the key commissioning stages, details other areas such as:
 authorised Permit to Work signatories (including Hot Work, vessel entry, etc.),
 responsibility for training of commissioning and operating personnel
 signatories for modification certificates and recipients for commissioning documentation
 responsibility for operational readiness, including operating procedures, lockout tagout,

maintenance procedures, spare parts, and PSRM documentation (e.g. Basis of Safety, Loss
of Containment etc). An example of the usual split of operational readiness responsibilities
is shown below. NOTE – the accountability for operational readiness should sit with the
operations team.

>
8.1 Roles and Responsibilities during IQ

The JM project team are accountable for the business case, but the EPCM will be accountable for the
delivery of the Works. A RASCI matrix for the delivery of the works during the IQ Process is shown below:
<Complete the below table, for reference an example of the IQ roles and responsibilities is included in
Appendix C>
IQ Outcomes and EPCM Contractor Sub-contractor / Equipment JM Project Manager
Documentation / Works Contractor Vendor
Certification
8.2 Roles and Responsibilities during OQ

A RASCI matrix for the OQ Process is shown below:
<Complete the below table, for reference an example of the OQ roles and responsibilities is included in
Appendix D>
OQ Activities EPCM Contractor Sub-contractor / Equipment Vendor JM
Works Contractor

8.3 Roles and Responsibilities – defined activities
A RASCI matrix for the defined activities is shown below:
<Complete the below table>

Roles/Entities
Key commissioning stages Managed by Witnessed by Approved by Other supporting roles
(Key responsible/leading)
Equipment FAT XXX JM JM Project
EPCm Contractor
Commissioning Engineer
Manager JM Commissioning
Engineer
JM Electrical Engineers
JM Project Engineer
JM Operations Team
JM ICE Supervisor
Operational Readiness
Standard and Emergency EPCm Contractor JM Operations EHS
Operating Procedures Commissioning
Manager
Maintenance Procedures EPCm Contractor JM Maintenance EHS
Commissioning
Manager JM Engineering
Nosie Survey EPCm Contractor JM Industrial EHS
Commissioning Hygienist
Manager
Spare Parts EPCm Contractor JM Reliability Engineer JM Maintenance
Commissioning
Manager
LO/TO Work Orders EPCm Contractor JM EHS JM Maintenance
Commissioning
Manager
Preventive Maintenance EPCm Contractor JM Reliability Engineer JM Maintenance
Plans Commissioning
Manager
Labelling EPCm Contractor JM Operations EHS
Commissioning
Manager
Operations Training EPCm Contractor JM Operations EHS
Commissioning
Manager
Maintenance Training EPCm Contractor JM Maintenance EHS
Commissioning
Manager
Security System Project Engineer JM Security
Commissioning
Manager
Installation Qualification EPCm Contractor JM JM Operations JM Commissioning
(IQ) – See table above for Commissioning Engineer
more definition Manager

Roles/Entities
Key commissioning stages Managed by Witnessed by Approved by Other supporting roles
(Key responsible/leading)
Operational Qualification EPCm Contractor JM JM Operations
JM Commissioning
(OQ) – See table above for Commissioning
Engineer
more definition Manager
Authority to Introduce Dependent upon HS5 JM HS4 and HS5 Hazard Study Leader
Chemicals (ATIC) Approval and completion of Commissioning Quorum Members
EPCm Contractor
Critical HS4 and HS5 Actions Manager per G12
Requirements JM Commissioning
Engineer
Process Qualification (PQ) JM Operations Manager JM
EPCm Contractor
Commissioning
Manager JM Commissioning
Engineer
Equipment/Package
Vendors
Ready to Operate (RTO) / JM Operations Manager JM EHS JM Operations,

PAPPs Commissioning
Manager JM Maintenance
JM Engineering
Hazard Studies 4 and 5 JM Project Engineer HS4 and HS5 HS4 and HS5 Hazard Study Leader
Quorum Quorum Members
EPCm Contractor
Members per per G12
G12 Requirements JM Commissioning
Requirements Engineer
Other areas of responsibility to be allocated in agreement with the EPCm contractor include authorised
Permit to Work signatories (including Hot Work, vessel entry, etc.), responsibility for training of
commissioning and operating personnel, signatories for modification certificates and recipients for
commissioning documentation.
8.4 Simultaneous Commissioning and Construction

<Provide a high-level overview on how Commissioning and Construction will be segregated>
9 Commissioning Budget
The commissioning budget defines the costs associated with commissioning and start-up of the plant and
generally consists of equipment, materials and resource costs.
<Provide a high-level overview of the commissioning and handover budgeting approach. The contractor’s
commercial bid should contain commissioning sums, what this covers depends on the contracting strategy
which should be well defined. Owners’ costs for commissioning should also be accounted for.
The following should be considered:

 Resources, schedule and cost for supporting engineering e.g. Factory Acceptance Trials
(FAT's)

 First fills (including chemicals and catalysts)
 Commissioning spares
 Contractor’s / JM Commissioning Team.
 Vendor and contract support services
 Test equipment
 Consumables, e.g. test mediums, calibration gases, filters, fuses etc
 Lubrication
 Temporary facilities
 Temporary systems
 Subcontracts such as hydraulic system flushing and/or chemical cleaning
 Raw materials
 Waste generation
 Out of specification product write off
 Process optimisation allowance>

10 Control and reporting
10.1 Control
Each stage of commissioning (IQ, OQ and PQ) may involve the introduction of high pressures, high
temperatures, electrical energy, hydraulic energy, hazardous and corrosive process fluids etc for the first
time. As a consequence, it is essential that the quality, integrity and functionality of systems are verified at
each stage as commissioning progresses from IQ through to operation.
All IQ, OQ and PQ activities must be auditable with records of the activities undertaken, their results and
performance. These should only be formally accepted when in compliance with acceptance criteria. JM, or
a delegated representative, should be included in defining acceptance criteria for IQ Completion and OQ
Completion such as flushing, blowing, flange torque, cleanliness, performance test measurement
parameters and performance evaluation.
It is very important that the EPCM, JM Capital Project Team, JM Operations and Contractors define / agree
on the handover milestones, terminology definition and protocols requirements associated with
Commissioning and Handover.
10.2 Progress monitoring and reporting

<Describe frequency and tools for reporting including EHS requirement, commissioning status (IQ, OQ and
PQ), key information to be provided by the parties involved in the process.
Integrate also any information related to team meeting or other tools as appropriate- e.g. meeting
schedule, query resolving, defect recording
Regular walkdowns of the systems are recommended and development of a flowchart for the timing of
these system walkdowns including responsible parties and outcomes. Define who will be responsible for
completing walkdowns and punch listing. Prioritization of punch items is a must, see Appendix E for
definitions of punch items.
10.3 Document management

During its lifetime a project will generate a large quantity of documentation, some of this is relevant
during the delivery of the project only, some requires retaining for historical reference and some will
become part of the ongoing plant documentation. Certain documents will change as the project develops
and it is essential that the project team use the correct version of a document. Documentation may be in
paper form but is increasingly found in electronic format.
A correctly planned document control system will ensure that during the project the team and
stakeholders are able to locate the correct versions of documents efficiently and will update the
appropriate team members with information as it changes. It will also enable the correct documents to
be filed for future reference or development at the end of the project.
<Provide a description of:
How the key deliverables will be issued to the relevant parties

Use of software for completion of documentation/ reporting or other relevant activities
Note that a well-constructed documentation system should consider:
 The location to be used for filing of project documentation
 Appropriate levels of access and control
 Which documents are to be registered and version controlled
 Filing structure and numbering system to be used
 How documents are to be issued to and received from external parties and around the internal
project team.
 Extent of use of controlled hard copies
 Compatibility with project data book and site filing systems
 Handover at end of project
The contractor must be able to demonstrate that they can manage commissioning documentation (test
packs, commissioning dossiers etc) either electronically or manually. Electronic systems are preferred
where possible.>
Completed commissioning records should be captured electronically and archived as per the Project
information management guidelines/document management system.

Appendix A: Systemized Commissioning and handover schedule
<This Appendix is intended to provide a detailed description of how to develop a commissioning schedule, it should be replaced by the schedule once
developed.>
There are many interfaces both within and outside the project which are critical to commissioning success. For instance, interfaces with the engineering
discipline teams, the contractor design engineers, the future operators and technicians. It is essential to detail commissioning interfaces in terms of roles and
responsibilities in RACI charts as well as mutual deliverables and associated risks and opportunities. During Implement, the interfaces will be worked via
workshops and regular progress meetings to ensure schedule and quality compliance.

© 2021 Johnson Matthey. This document is the copyright of Johnson Matthey and may not be copied in whole or in part without the written consent of Johnson Matthey. The information contained in this document is
confidential and may be used only for the purpose for which it is supplied by Johnson Matthey. This document and all copies must be returned to Johnson Matthey on demand.
© 2021 Johnson Matthey. This document is the copyright of Johnson Matthey and may not be copied in whole or in part without the written consent of Johnson Matthey. The information contained in this document is
confidential and may be used only for the purpose for which it is supplied by Johnson Matthey. This document and all copies must be returned to Johnson Matthey on demand.
Appendix B: Definitions and examples
Definitions –
Ref from - The Global Harmonization Task Force, Quality Management Systems - Process Validation Guidance, 2004
(IQ) Installation Qualification Verifies that all aspects of facility, utilities, and equipment that affect product
Does meet specification and is it quality, adhere to the approved design specifications, and that the piece of
installed correctly? equipment or instrument has been; Properly delivered; Correctly installed;
Configured according to standards and recommendations provided by the
manufacturer or by an approved installation checklist.
Simply put, IQ means is it installed correctly? Important IQ considerations are:
• Equipment design features (i.e. materials of construction cleanability, etc.)
• Installation conditions (wiring, utilities, functionality, etc.)
• Calibration, preventative maintenance, cleaning schedules
• Safety features
• Supplier documentation, prints, drawings and manuals
• Software documentation
• Spare parts list
• Environmental conditions (such as clean room requirements,
temperature, humidity)
(OQ) Operational Qualification In this phase the process parameters should be challenged to assure that they will
Does it function/operate as meet all defined requirements under all anticipated conditions of manufacturing,
specified? i.e., worst case testing to determine the robustness of the process and ability to
avoid approaching “worst case conditions.
Simply put, OQ means is it operating correctly? OQ considerations include:
· Process control limits (time, temperature, pressure, line speed, setup conditions,
etc.)
· Software parameters
· Raw material specifications
· Process operating procedures
· Material handling requirements
· Process change control
· Operator Training
· Short term stability and capability of the process, (latitude studies or control
charts)
· Potential failure modes, action levels and worst-case conditions (Failure Mode
and Effects Analysis)
(PQ) Process / Performance Simply put, PQ means to demonstrate that the process will consistently produce
Qualification acceptable product under normal operating conditions,
PQ considerations include:
Does it perform as we wanted? · Actual product and process parameters and procedures
· Acceptability of the product
· Assurance of process capability
· Process repeatability, long term process stability
Challenges to the process should simulate conditions that will be encountered
during actual manufacturing. Challenges should include the range of conditions as
defined by the various action levels allowed in written standard operating
procedures as established in the OQ phase. The challenges should be repeated
enough times to assure that the results are meaningful and consistent.
Process and product data should be analysed to determine what the normal range

Definitions –
Ref from - The Global Harmonization Task Force, Quality Management Systems - Process Validation Guidance, 2004
of variation is for the process output. Knowing the normal variation of the output is
crucial in determining whether a process is operating in a state of control and is
capable of consistently producing the specified output.
One of the outputs of PQ is the development of attributes for continuous
monitoring and maintenance. Process and product data should also be analysed to
identify any variation due to controllable causes.
Depending on the nature of the process and its sensitivity, controllable causes of
variation may include: temperature, humidity, variations in electrical supply,
vibration, environmental contaminants, light, human factors (training, ergonomic
factors, stress, etc.), variability of materials, wear and tear of equipment
Appropriate measures should be taken to eliminate controllable causes of
variation. Eliminating controllable causes of variation will reduce variation in the
process output and result in a higher degree of assurance that the output will
consistently meet specifications.

Appendix C: Installation Qualification (IQ) and Completion
Criteria
Installation Qualification
The purpose of IQ is to check and test the Works (System by System) to confirm that the installation is in accordance
with drawings, specifications, regulations and is ready for the start of Operational Qualification in a safe manner and in
compliance with the project requirements. This includes completion of JM Hazard Study 4 and close out of actions.
The JM Capital Project Team have overall accountability for the business case, however the EPCM will be held
accountable for the delivery of the Works during the IQ phase.
IQ Completion is analogous to Mechanical Completion (MC).
Documentation Required for the Construction Completion Pack and IQ Completion Certificate
Each System requires a completed Construction Completion Pack containing required certificates of completion for
the constituent equipment, piping, instrumentation, electrical items etc throughout both phases of IQ and OQ.
The Construction Completion Pack shall contain as a minimum the documents described below. In addition to this the
EPCM Contractor shall compile the full IQ package based on their experience, industry best practice, their procedures
and any relevant local, national or international standards.
The EPCM Contractor is free to use their own templates with prior approval from the Purchaser’s Representative
Installation Qualification encompasses all disciplines and its activity includes the checking of fabrication and
installation work.
The EPCM Contractor shall complete the checks and Construction Completion Pack as required for the scope of each
System.
The deliverables in each Construction Completion Pack shall include for each of the discipline related categories
below:
 IQ Completion Certificate is a form completed by the Contractor after all IQ checks are carried out. Only when
an IQ completion certificate has been signed by both the contractor and purchaser will it mean the
equipment / installation is ready for the start of OQ.
 Inspection and test plan (ITP) A copy of this document shall be included which references the relevant
Inspection and tests undertaken on the plant, system or equipment, along with the completed Inspection and
test plan results.
 Check Records (CR) shall be included on which the EPCM Contractor records the results of all checks,
inspections and tests carried out for each individual item in the System.
 Punch List Register (PLR) containing details of punch list items and their status.
 Carry Over Work Register (COWR) including details of punch list items which have been agreed with the
Purchaser’s Representative to be carried over for completion into the Operational Qualification stage.
 Hazard Study 4 completed and any critical actions resolved.

Typical IQ Activities
IQ encompasses all disciplines and its activity includes the checking of fabrication and installation work.
Typical activities shall include but are not limited to:
Mechanical (Including Static and Rotating Equipment)

 Visual inspection for complete and correct installation.
 Internal inspection of tanks and vessels.
 Alignment, and rotational checks.
 Equipment Run-in.
 Load testing and certification of lifting equipment.
 Flushing and clean down.
 Bolt tensioning.
 Dimension control.
 Preventive maintenance carried out on equipment before it is taken into use.
 As Built Drawing, Documentation and test certificates.
Electrical
 Insulation and continuity testing of cables.
 Insulation testing of generator, transformers and motors, panels, distribution board etc.
 EFLI (Earth Fault Loop Impedance) testing.
 Phase rotation checks.
 Earthing and Bonding.
 Lightning protection.
 Functional check of switches and control devices.
 Battery preparations.
 Lighting and socket outlet checks.
 Area completion.
 Heat tracing.
 As Built drawings, Documentation and test certificates
Instrumentation and Control

 Calibration and testing of instruments inc. Load cells, PH meters, Flow meters etc.
 Insulation and continuity testing of cables.
 Cleaning, flushing, pressure and leak testing of pneumatic and hydraulic tubing.
 Adjustment of control, alarm and shutdown settings.
 Loop testing.
 Function testing of control systems.
 Function testing of field instruments.
 Functional testing of safeguarding systems.
 Flushing / cleaning of instrument tubing.
 Area completion.
 Documentation and test certificates (12 months certification to be supplied).
Piping

 Non-destructive testing and inspection.
 Welding procedures.
 Removal of all items subject to damage during flushing, cleaning and pressure testing.
 Flushing of pipework.
 Chemical cleaning and testing of pipework.
 Drying of tested pipework.
 Preventive maintenance carried out on tested pipework and associated equipment before it is taken into use.
 Reinstatement of all items after testing.
 Final inspection of pipework.
 Test ISO's and P&ID's showing the extent of each pressure test.
 Pneumatic and hydraulic tubing.
 Hot oil flushing of pipework.
 Bolt tensioning.
 Pipe supports completed.
 Insulation.
 Pipe Flow & contents identification.
 As Built Drawings, Documentation and test certificates
Vendor Packaged Equipment

 Completion of FAT (Factory Acceptance Test).
 Completion of SAT (Site Acceptance Test).
 As Built Drawing, Documentation and test certificates.
HVAC
 Cleaning of ductwork.
 Leak testing of ductwork.
 Alignment checks.
 Mechanical function checks of equipment.
 Flow & contents identification.
 As Built Drawings, Documentation and test certificates.
Safety Facilities
 Functional testing of safety facilities.
 As Built Drawings, Documentation and test certificates.
Civil, Structural and Architectural

 Visual inspection for complete and correct installation including:
o Welding.
o Access and egress doors.
o Windows and vents.
o External lighting.
o Road construction and markings.

o Drainage and water run off.
 QC documentation.
 Non-destructive testing and inspection.
 Load testing of lifting infrastructure (Beams, identified lifting points).
 As Built Drawing, Documentation and test certificates to include building control / 3rd part inspection
certificates and records.
Roles and Responsibilities
Although the JM project team are accountable for the business case, we will hold the EPCM accountable for
the delivery of the Works. Therefore, a typical RASCI matrix for the delivery of the works during the IQ
Process is shown below:
IQ Outcomes and EPCM Contractor Sub-contractor / Equipment JM (“Purchaser’s

Documentation / Works Contractor Vendor Representative”)
Certification
Mechanical A R - I
(Including Static
and Rotating
Equipment)
Electrical A R - I
Instrumentation A R - I
and Control
Piping A R - I
Vendor Packaged A S R I
Equipment
Safety Facilities A - R I
Civil, Structural A R - I
and Architectural
Hazard Study 4 S - - A,R

Appendix D: Operational Qualification (OQ) and Completion
Criteria
Operational Qualification
Depending on the scope of the Call off Agreement, the EPC Contractor shall complete Operational Qualification (OQ)
for the Works. OQ completion requires the satisfactory completion of the Installation Qualification (IQ), OQ and
Hazard Study 5 processes for the Works, including all process and utility Systems. It is a key milestone in the project
indicating that these Systems are ready for handover to the Plant Owner for the introduction of hazardous process
materials into the process equipment and its sub Systems and the bringing online of utilities.
OQ Completion is analogous to Ready for Start-Up (RFSU).
Once OQ is completed for the Works, the Purchaser will then undertake Process Qualification (a collection of process
performance test)s which will be supported by the JM Capital Project Team, and (where needed) equipment vendors
to verify that a System or Systems perform as expected under process conditions and that the requirements defined
in the User Requirements Specification, Basis of Design, and Business Case have been delivered. The EPCM Contractor
may still be supporting the project with closing out any mutually agreed items from the COWR (Close Out Work
Register) but they will not be directly supporting the Process Qualification.
In order to demonstrate completion of the OQ stage and to enable the Purchaser to commence Process Qualification,
the EPCM Contractor shall provide to the Purchaser’s Representative the documentation outlined below.
Documentation Required for the System Handover Pack and OQ Completion Certificate
Each System will have a System Handover Pack which contains status information from the preceding IQ stage for that
System. The EPC Contractor shall add the required OQ checks and results to this System Handover Pack, with final
sign off by appropriate EPCM Contractor staff and witnessed by the Purchaser’s Representative (or nominee). At
least 8 weeks prior to commissioning the OQ protocols shall be provided by the EPCM Contractor to the Purchaser’s
Representative. The Purchaser Representative will confirm that the OQ tests will be sufficient to enable the Purchaser
to commence Process Qualification after OQ completion.
The OQ content for each completed System Handover Pack shall contain as a minimum the documents described
below. In addition to this the EPCM Contractor shall compile the full OQ package based on their experience, industry
best practice, their procedures and any relevant local, national or international standards needed to demonstrate that
the Systems or equipment may safely be started up, operated and maintained.
Example OQ protocols can be provided however the EPCM Contractor is free to use their own templates with prior
approval of the Purchaser’s Representative.
For completion of the OQ stage, each System Handover Pack shall contain as a minimum:
 OQ Completion Certificate is a form completed by the Contractor after all OQ checks are carried out. Only
when an OQ completion certificate has been signed by both the contractor and purchaser will it mean the
equipment / installation is ready for the introduction of hazardous process material and PQ. NOTE: prior to
the introduction of chemicals an Authority to Introduce Chemicals certificate is required.
 A completed set of IQ checks and IQ completion certificates (including required signatures) for all the
Systems
 Inspection and Test Plan results

 Punch Status Reports and confirmation
 Updated Carry Over Work Register showing any items agreed to be carried over into the Product
Qualification Stage
 Close out report for EPCM Contractor’s actions from Hazard Studies 4 and 5.
 Vendor supplied equipment SAT reports
 Vendor supplied equipment performance records
 Permitting close out report (PCR) the EPCM Contractor shall compile a permitting close out report which will
indicate the status of any permits under his control at the time of OQ
Handover at OQ
Handover of the Works at the end of OQ by the EPCM Contractor to the Purchaser’s Representative shall be
documented by the OQ Completion Certificate.
Typical OQ Completion Activities

Where required via the Call off Contract, the EPCM Contractor shall ensure the completion in full of the IQ and OQ
deliverables for the relevant Systems, that the Systems and equipment have been cleaned, purged and free of any
testing or construction materials before seeking OQ hand over.
The EPCM Contractor shall ensure that the following are completed, signed off by the EPCM Contractor authorised
staff and witnessed by the Purchaser’s Representative (or nominee):
General
 All previous hazard study and design safety review actions, signed off and accepted for ongoing operation
 Regulatory approvals as required prior to Authority to Introduce Chemicals (ATIC) (see JM template).
Although this is Purchaser’s Representative’s responsibility the EPCM Contractor will need to prepare in
advance the Systems within their scope of supply and provide to the Purchaser’s Representative final test
results and certification as required, examples are:
o Fire and alarm Systems certification
o Safety Systems certification
o ATEX certification
 All calibration certificates, Pressure Test certificates, Electrical Test certificates and Final O&M documentation
 Noise measurements and approvals
 Results of short running-in tests on machinery
 Testing of systems using inert materials
Mechanical
 All Category A and B punch list items closed out, (see Appendix E for punch list category definition).
 Restrictor flow orifice plates verified for correct flow
 Systems cleaned, purged and ready to accept chemicals, including drainage, waste and effluent routes
 Utilities and enabling Systems fully charged & dosed (e.g. fire water, chilled water (glycol / inhibitor), cooling
towers, fuel oil, etc
 Sample and environmental Systems as per design and specification

o Environmental monitoring Systems running
 Relief Systems correctly installed and documented
 All Filters and filter mediums installed to gases, liquids, air supplies and extracts
 Lifting beams tested and labelled
 Hot surfaces suitably insulated or protected
 Fragile pipes and roof spaces correctly labelled with suitable barriers installed
 Checking orifice plates and permanent blanks, relief Systems, drainage Systems, safety provisions in place i.e
mechanical LOTO on valves
Electrical
 All Category A and B punch list items closed out

 Earthing, bonding, lightning protection Systems ITPR’s complete and certificates provided
 Electrical drawings all in place and available
 Systems energised or under LOTO
 BMS (Building Management System) interface verified, left live monitoring and controlling conditions
o Utilities metering functional
 MCB (Miniature Circuit Breaker) and ACB (Air Circuit Breaker) Trip settings at calculated loads.
Instrumentation

 Full loop testing completed
 Calibration of instruments inc. Load cells, PH meters, Flow meters etc.
o All instrument calibration certificates available and verified in date at OQ completion.
 Instrument loop drawings all in place and available
 Rough adjustment of control parameters, alarms and shutdown settings.
 Complex control loops and safeguarding / emergency shut down (ESD) Systems tested and approved by
Purchaser’s Representative.
 DCS (Distributed Control System) completely checked out and documented
o Procedures available to restart the DCS (or other control system) in the event of a shut-down
o All temporary hardware & software overrides or defeats removed (or listed for remaining start-up
requirements – e.g. trips / alarms / interlocks / permissives
Piping

 System fully checked against P&ID with all components verified
o Current set of P&IDs available
 Control, non-return valves and filters installed for correct direction of flow
o Blanks / isolations removed as required.
 Systems cleaned, purged, passivated dried where required ready to accept chemicals
 Pipe supports adjusted for expansion
 Applying of special treatments or other preparation of internal surfaces
HVAC

 HEPA Filters installed

 Rough balancing and setpoints set for material and personnel air locks
o Pressure cascade verified
 BMS control loops verified
EHS, Safety and Security Systems

 Stop and emergency shut-down buttons and activation points installed and labelled as required.
 All tripping and head/leg bang hazards identified and mitigating steps initiated
 All labelling as per specification including vessel hazard identification
 Full safety loop tests completed
 Guarding of machines and moving parts adequately addressed
 Eye wash and showers fully functional
 Emergency shut-down Systems, interlocks, trips, alarms and sequences checked
 Site security Systems with access data base fully functional
 Site fire & gas detection Systems fully functional
Civil, Structural and Architectural
 All Category A and B punch list items closed out.

 Applying of special treatments or other preparation of surfaces.
 Hazardous areas clearly labelled and identified.
 Road and pedestrian route markings and segregation.
 Road and pedestrian barriers.
 General power available.
 Lighting / EM Lighting functional and EM lighting tested with certification.
 Potable Water available.
 Drainage functional.
Roles and Responsibilities
A typical RASCI matrix for the OQ Process is shown below:
OQ Activities EPCM Contractor Sub-contractor / Equipment JM (“Purchaser’s

Works Contractor Vendor Representative”)
Inert testing R S S A
Vendor Packaged A - R I
Equipment SAT
Hazard Study 5 S - - A,R
ATIC S A, R
Handover By System

Depending on the requirements of a given Call off Contract, it may be necessary to hand over a section of plant to the
Purchaser’s Representative to enable them to undertake process performance tests while the remainder of the new
facility is still under construction. This phase presents additional safety risks to personnel due to the risk of
construction activities taking place in areas recently handed over for live service.
In this situation the EPCM Contractor will supply the documentation outlined above and will also include for the
relevant plant sections a Safety Management Plan for Transition - dedicated to ensuring personnel safety during the
period of sectional handover, for prior approval by the Purchaser’s Representative. The Safety Management Plan for
Transition shall be delivered to the Purchaser’s Representative at an agreed time in the Approved Programme and
contain:
 List of items to be placed under LOTO and expected dates.

 Schedule for plant/equipment energisation.
 Phased plot diagrams indicating boundaries of the plant and progressive changes in care custody and control
of the EPCM Contractor and Purchaser’s Representative respectively, including relevant permit Systems.
 Draft instructions (for prior approval by the Purchaser’s Representative) to EPCM Contractor, Sub-
contractor and Vendor staff on physical plant areas under the control of the EPCM Contractor and
Purchaser’s Representative, with details of relevant LOTO and permit requirements.
On a daily basis as part of morning toolbox talks, the EPCM Contractor shall provide an updated set of documentation
to staff under management by the EPCM Contractor and Purchaser’s Representative with updates to the above to
enable clear understanding by all parties which areas and equipment are live (or not) and which permit Systems are to
be applied to each.

Appendix E: Punch Item Definition and Categorisation
Punch listing is the name given to the pre acceptance, checking and inspecting of new installations by all groups within
the project organization. Any of the following would be classified as a punch list item:
1. A deviation from approved construction drawings and specifications.
2. A deviation from the approved P&IDs.
3. Poor workmanship.
4. A hazardous installation.
5. Incomplete or missing documentation or construction test certificates.
6. Unsafe, inoperable or un-maintainable design.
When requested by the construction manager, the commissioning manager and commissioning team will inspect and
check the system, this typically happens when installation is 80% complete. During check out punch items will be
recorded on a standard punch list form and ideally these punch items would be corrected as soon as possible. As some
punch list items will have a greater impact on commissioning, they will be categorized with the aim of prioritizing the
corrective work and spreading the workload. Once prioritized each action must be given an ‘action on’ column to
clarify who is responsible for resolving the punch item.
Punch items will be categorized into the following main categories:
a. Category A – Safety / process requirement to be complete before IQ or OQ commences.

b. Category B – Construction items to complete prior to construction completion.
c. Category C – Outstanding construction work that can be done under permit and will not impact the safe IQ,
OQ, and PQ of the facility.
d. Exception items – Item for further discussion and clarification.
Exception items must be kept to a minimum and must not impact the safe commissioning or operation of
the plant. It is recommended that punch items are only categorised as exception items as a last resort when
other attempts to rectify the items have been exhausted. A target date for completion of these items must
be agreed between all relevant parties.


GCP-SG003400-TD023 - Commissioning and Handover Strategy

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Commissioning and Handover

GCP-SG003400-TD-023-v03 JM Confidential 1 of 43 Last Save Date 12 January 2023

Approvals (add more lines if required)

GCP-SG003400-TD-023-v03 JM Confidential 2 of 43 Last Save Date 12 January 2023

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Ensure you run spell check once the document is complete

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2 Project Description (Process and Non Process)

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NO. WORK DESCRIPTION REFERENCES

6 Tray Management URS

7 Vacuum System URS

2.1 List of Process Systems

Overview of the commissioning systems in the table below

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2.2 List of Non Process Systems

b) General line integration, automation, and IT system

c) TNB Substation mains supply board (MSB) and transformer

Some of the key activities to be considered include:

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Commissioning and handover activities

 All the process is incorporate to the following timeline shows below:

4 Environment, Health Safety and Sustainability

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 Description of the specific activity

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 EHS procedure and guidelines including:

o G12 Hazard studies

o JM Life Saving Policies

 Regulatory requirements including required permits.

Key EHS requirements include;

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4.1 Safety Training

Commissioning Induction Training

4.2 Permit to Work

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4.4 Safety and Operability Reviews during Commissioning

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Construction Completion Certificate – A document of construction, installation, and configuration

(IQ) Installation Qualification Lead by the Construction Team

An example Authority to Introduce Energy Certificate can be found in guidance: GCP-SG000050-

IQ Completion Completion of Installation Qualification (IQ) requirements and Hazard Study 4.

An example IQ completion Certificate can be found in guidance: GCP-SG000050-GN-100 Handover

(OQ) Operational Qualification Lead by the Commissioning Team

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An example OQ completion Certificate can be found in guidance: GCP-SG000050-GN-100

• The Commissioning and Handover checklists are complete.

An example Authority to Introduce Chemicals Certificate can be found in guidance: GCP-

(PQ) Process / Performance Lead by the Operations Team

PQ Completion / Ready to Completion of (PQ) Process / Performance Qualification

The Handover step is a Stage Gate requirement for the project

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6 Commissioning and handover Activities

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6.2 Installation Qualification (IQ)

6.3 Authority to Introduce Energy

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 Hazard Study 4 complete

6.5 Operational Qualification (OQ)

<Define certification/documentation requirements as appropriate, including i.e. OQ protocols signed off,

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An example OQ completion Certificate can be found in guidance: GCP-SG000050-GN-100 Handover

A typical list of the pre-requisites for OQ Completion is shown below: