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Commissioning and Handover

Level 1
Title
Manual

Type

Type
Status Issued for Use Revision 2

Doc No. RTPR-COM-MAN-0001

Date 19/12/2019

Originator Rob Muniz

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Contents
Key search words .......................................................................................................................................................... 4

Revision history ............................................................................................................................................................. 4

Approvals........................................................................................................................................................................ 4

1 Purpose and scope ................................................................................................................................................. 5

2 Definitions ............................................................................................................................................................... 6

3 Commissioning process introduction................................................................................................................. 12

3.1 Stage 1 – Construction Verification ...................................................................................................................................... 13

3.2 Commissioning Milestone 1 .................................................................................................................................................. 14

3.3 Stage 2 – Energisation ........................................................................................................................................................... 16

3.4 Commissioning Milestone 2 .................................................................................................................................................. 17

3.5 Stage 3 – No-Load Commissioning ....................................................................................................................................... 18

3.6 Commissioning Milestone 3 .................................................................................................................................................. 19

3.7 Stage 4 - Load Commissioning ............................................................................................................................................. 20

3.8 Commissioning Milestone 4 .................................................................................................................................................. 22

3.9 Stage 5 – Equipment Care, Custody and Control ................................................................................................................ 24

3.10 Commissioning Milestone 5.............................................................................................................................................. 24

3.11 Stage 6 – Plant Performance Verification ........................................................................................................................ 25

3.12 Commissioning Milestone 6 - Project Handover ............................................................................................................ 26

3.13 Technical support after Handover .................................................................................................................................... 27

4 Commissioning Roles and Responsibilities ....................................................................................................... 28

4.1 Owner’s Team Roles ............................................................................................................................................................... 29

4.2 EPCM Team Roles .................................................................................................................................................................. 32

5 Commissioning Planning ..................................................................................................................................... 36

5.1 Plan Documents ...................................................................................................................................................................... 36

5.2 Training Planning .................................................................................................................................................................... 37

6 Commissioning Safety ......................................................................................................................................... 38

6.1 Energising and Isolating ........................................................................................................................................................ 38

6.2 Hazard Analysis ...................................................................................................................................................................... 38

6.3 Change management .............................................................................................................................................................. 39

6.4 Custody Tagging ..................................................................................................................................................................... 40

7 Warranty Management.......................................................................................................................................... 41

8 External References.............................................................................................................................................. 41

Appendix A – Commissioning Roles and Responsibilities ...................................................................................... 42

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Appendix B – Commissioning Safety: Details ........................................................................................................... 43

B.1 Commissioning HSEQ Management Plan ................................................................................................................................ 43

Appendix C – Detailed Performance Verification Procedure ................................................................................... 44

C.1 Performance Verification Purpose and Scope ......................................................................................................................... 44

C.2 Performance Acceptance Criteria ............................................................................................................................................. 44

C.3 Cost Verification .......................................................................................................................................................................... 45

C.4 Designing Performance Verification Trials ............................................................................................................................... 45

Appendix D - Commissioning Documents ................................................................................................................. 46

D.1 Commissioning Plans ................................................................................................................................................................. 46

D.1.1 Commissioning Management Plan ......................................................................................................................................... 46

D.1.2 Commissioning Safety Management Plan ............................................................................................................................. 47

D.4 Vendor MDR (Manufacturer’s Data Report) .............................................................................................................................. 50

D.6 Test registers ............................................................................................................................................................................... 51

D.6.2 Electrical test register .............................................................................................................................................................. 52

D.6.3 Controls test register ............................................................................................................................................................... 52

D.6.5 Pipeline cable register ............................................................................................................................................................. 53

D.6.6 Commissioning Tags example ............................................................................................................................................... 53

D.6.6.1 Mechanical completion................................................................................................................................................. 53

D.6.6.2 Practical completion ..................................................................................................................................................... 53

D.6.6.3 Industrial completion .................................................................................................................................................... 54

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Key search words

commissioning; operational readiness; handover; construction verification; energisation; care custody and control

Revision history
Date Revision Owner Reviewed Approved Comments
03/06/2016 0 Roger Johnson Scott Bird Mike Edwards Supersedes RTIOPD-MAN-
08
New template created major
changes and allocated new
doc number and ownership.
19/04/2017 1 Roger Johnson SB, CS, DS, Minor updates per SME
SK reviews
19/12/2019 2 Robert Muniz Robert Muniz Matthew Betts Two year review complete,
minor amendments to
Definitions

Approvals
Approvals Name Position Signed Date

Originator Robert Muniz Principal Advisor, Operational

Feb-13-2020
Readiness

GM Approver Matthew Betts GM Engineering Feb-13-2020

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1 Purpose and scope

The commissioning and handover processes are carefully designed and implemented to transition a project from
construction to a safe and fully operational facility. The purpose for these processes is to safely deliver to the operating
business unit fit-for-purpose equipment and facilities which meet the business’ performance expectations.
Commissioning and handover also provide unique and valuable training opportunities for operators and maintainers.

The purpose of this manual is to ensure the quality of commissioning and handover and that commissioning is
performed as safely, efficiently and effectively as possible. This manual provides a standard approach to project
commissioning and aims to create clarity around:

 Definitions and Terminology

 Process steps, deliverables and accountabilities
 Commissioning planning
 Sequence of activities.

Just as project scope, complexity and technologies employed vary across Rio Tinto Projects, the requirements and
activities required for safe and successful commissioning and handover vary. Contractor and owner responsibilities
and accountabilities during commissioning may vary by Product Group and by the contracting strategy employed. The
processes and activities presented in this manual are pertinent to any commissioning program regardless of
contracting strategy or variations in stage accountabilities. Therefore, sound judgement and experience are required to
determine how best to fulfil the requirements of this manual within specific project circumstances.

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2 Definitions
This section contains definitions used in this manual.

Term Definition

As-built Drawings Drawings which have been updated with shown modifications or
deviations which occurred during construction

Bill of Materials (BOM) A bill of materials is a list that specifies the parts used to build a product
or a list of components that make up a system. It is essential in that it
can be used later to narrow down issues for repairs of a product if
necessary or when ordering replacement parts.

Commissioning and Completions Software used to ‘systematise’ and ‘digitise’ commissioning process,
Management System (CCMS) documentation and completions management. Examples include Orbit
or Smart Completions.

Certificate of Practical Completion The point at which a contractor has completed the agreed practical
completion obligations (see definition of practical completion) and
formally requests acceptance of the facilities by the owner through a
Certificate of Practical Completion. This term is used primarily as a
commercial term.

Commissioning Activities required to bring the plant from an inactive condition to a state
of readiness for normal operation, including planning, pre-
commissioning, energizing and performance of functional verification.
Individual component testing progresses through system and/or
subsystem testing, integrated plant operation and performance testing,
and ends at the transfer of care custody and control to the client.

Commissioning Management Plan (CMP) A document that describes the activities, schedule and resources for
the commissioning of a project.

Commissioning Records Manual or A document that contains all of the records taken during the
Register commissioning of that plant or facility e.g. registers, test registers,
(for a facility) defects lists.

This document is passed to site operations on handover.

Commissioning Reference Manual A document that contains all of the reference material the
(for a facility) commissioning team may need to commission that plant or facility. This
document is passed to the site operations on handover.

Commissioning Safety Management Plan A document that provides all the safety information (with references to
site safety requirements and specific commissioning requirements).
This may be an extension of the project safety management plan

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Term Definition

Construction Verification Structural, mechanical, piping, electrical, instrumentation and

automation systems installations are confirmed as being complete
(see Milestone 1)
having been inspected and tested and meeting the agreed
Also referred to as mechanical requirements for mechanical completion. This includes, but is not
completion limited to, verifying proper installation of piping systems, mechanical
equipment and supporting structures including non-destructively
examinations, hydrostatic testing and flushing and removal of
construction debris. Electrical and instrumentation systems
installations and terminations are inspected and tested for continuity
and insulation and control loops are confirmed for automation systems.

Contractor Party engaged to supply goods or perform services as defined under a

contract. In this document, members of the EPCM organisation will be
designated EPCM not contractors.

Critical Risk Management (CRM) A method to verify that critical health and safety controls are well
designed, understood, in-place and working. CRM uses filed
verification checklists to implement critical risk controls and
independently verify the controls are in place and effective.

DCS Distributed control system is an automated process control system for a

plant where control elements are distributed throughout the system.

DES Detailed engineering study

Engineering phase during which the capital cost estimate is produced,

with expected accuracy from -10% to +15% of the final project cost.
Part of the feasibility study, the DES determines what will be built
should the project proceed to construction and forms the basis for
budget appropriation.

Energisation Energisation is the process of applying a source of energy to equipment

or to a system. Energy sources include, but are not limited to, electrical
power, control power, pressure in piping systems and accumulators,
gravity systems (Including conveyor take-ups), and belt and rope
tensions.

EPC The engineering, procurement and construction contractor will carry out
the detailed engineering design of the project, procure all the
equipment and materials necessary, and then construct and
commission to deliver a functioning facility or asset to their clients.
Often referred to as a turn-key arrangement.

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Term Definition

EPCM Engineering procurement construction management

EPCM refers to the contractor appointed to undertake and manage

engineering, procurement, construction and project management for a
project, and their team of personnel under the direction of the “EPCM
project manager”.

In contract terms, referred to as “the Engineer” where the EPCM is the

party responsible for managing the project and issuing the contract on
the Company’s behalf.

Equipment List A list of equipment within a facility, listed for each subsystem by
discipline.

Facility A group of systems that make up the functional area of a plant

e.g. crushing and screening facility which could be made up of primary
crushing building, secondary crushing building, screening house,
conveyors, stockpiles.

Field Test Record A discipline-related test sheet prepared for a specific commissioning
stage that includes test methods and acceptance criteria.

Functional Description Sheet A controls test sheet that defines the functional checks and tests to be
done during a commissioning stage.

Handover Certificate Document for the handover or partial handover of a

facility/system/subsystem

Handover or Transfer of Care, Custody When responsibility for the operation and maintenance of a project
and Control passes from the projects team to site operations.
(see also Partial Handover)

HSEQ The HSEQ management system is a set of processes, documents,

procedures and tools used to continually improve HSEQ performance
and assist in reaching our goal of zero harm.

Instrument List A list of instruments within a facility, listed for each subsystem by
discipline.

MDR Manufacturers Data Report

MTBF Mean Time Between Failure.

MTBF represents the average time in utilised hours between equipment

breakdowns and is used to quantify the reliability of the equipment

MTTR Mean Time To Repair

MTTR represents the average time required to repair the equipment

after breakdown

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Term Definition

OEM (Vendor) Original Equipment Manufacturer

Manufacturer of a piece or pieces of equipment e.g. crushers, screens,

pumps etc. An OEM typically often has regionally based supplier
(vendor) representatives (sales staff)

Operational Readiness Representative A member of the product group or business unit (future) operating team
working as part of the project owners team responsible for operational
readiness activities including interfaces within the project team through
all project phases

Owner’s Representative The nominated person or delegate from Rio Tinto Projects that
manages the EPCM (usually the Project Manager) through all phases
of the project from prefeasibility through commissioning and handover
of the facility

P&ID Piping and instrumentation diagram

Partial Handover When responsibility for the operation and maintenance of a system or
subsystem (put not the entire project) passes from the project team to
site operations

Performance Verification & Acceptance Testing to confirm that a facility meets the design performance criteria.
Testing

PLC Programmable Logic Controller is a computer used for automation of

industrial processes.

PLC IOs Programmable Logic Controller Inputs and outputs

Practical Completion (see Milestone 4) Generally referred to as the point in the execution of the project when
the works are complete and ready for use except for minor omissions
(also called Substantial Completion)
and minor defects which do not prevent the works from being
reasonably capable of safely being used for their intended purpose.

Those tests which are required by the Contract to be carried out and
passed before the works reach Practical Completion have been carried
out and passed. Document and other information required under the
Contract which is essential for the use, operation and maintenance of
the works have been supplied.

Pre-Commissioning Activities such as all functional testing, loop testing and verification
work for run-in operations, including testing of controls, instrumentation,
system run in performances and alignment verifications.

Pre-start-up Safety Review (PSSR) Following completion of no-load commissioning and rectification of
issues arising and prior to load-commissioning a PSSR is completed to
ensure that the system is safe to operate under load.

Process Operating Instruction A step-by-step procedure on how to operate a subsystem, system or

facility during commissioning stages 3 and 4.

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Term Definition

Punch List (A,B,C,D) A list of work that must be corrected. Punch-list items are added as
they are found and are marked with a letter to indicate when they need
(also called Defect or Deficiency List)
to be corrected:

A – Work that is critical to performance or safety of equipment; needs to

be addressed before energisation,

B – Work to be done before Load Commissioning,

C – Work to be done before Handover.

D – Work is out of scope, requires funding authorisation to proceed.

Red Line Drawings Drawings which have been updated with red lines showing
modifications or deviations which occurred during construction.

SAP Systems Applications and Products

The integrated system used globally across Rio Tinto for various
business functions including logistics, maintenance, safety, accounting,
and human resources.

Site Operations The business unit site team that will control the facility after handover.

Subsystem A part of a system that can be operated and commissioned separately

from other parts of the system e.g. a lubrication system.

This must hold true for both the process and control systems.

A subsystem is made up of several pieces of equipment e.g. pump and

motor, controller, valves and pipe work that work together towards a
common purpose.

Subsystem Register The list of all systems and subsystems within a facility. The register is in
ascending number order of the subsystems.

System A group of interrelated subsystems that work together as a specified

process. e.g. screening house

One or more systems make up a facility.

Test Register A list of equipment of the same discipline (e.g. mechanical,

instrumentation) within a subsystem that records the acceptance of
each piece of equipment after the completion of its field testing.

Work Permit Register A record of issued work permits that contains: the permit number,
location of work, type of permit, permit issue date, revalidation dates
and the name of the permit holder.

Workpack A package that contains the test registers for a discipline within a
subsystem during commissioning.

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Commissioning Stage Flow

Owner

Construction Manager Commissioning Manager

Stage

Execution
Commssioning
Construction Pre-Commissioning

Commissioning
Manager confident Project Handover
Milestones

Equipment
equip / facility can Testing indicates
constructed within
sustain Acceptance criteria equip/facility able
spec, Stage 1
Equipment Facility / subsystem performance, Stage clear and to sustain
Handover Dossier
energised tested without feed 4 Dossier submitted measurable performance
submitted

1 2 3 4 5 6
Activites

Construction
Energisation
Verification

No-Load Load Care, Custody & Performance

Commissioning Commissioning Control Verification

Construction Services
Roles*

Commissioning Team

Operations

Maintenance

HSE

 Test and inspecti ons  Ene rgise p ower &  Testing control logic  Check & calibrate  Test & trails to ve rify
as p er spe cs control circuits  Calibra ting auto co ntr ols equ ipment / faci lity
 Pro cess Hazard  Pre-Start S afe ty instruments  Pre-Start Up Safety can sustain
Ana lysis in review & Field  Pro cess Hazard Review & Field specifie d
prep aration fo r P re- Walk-Thru Ana lysis in Walk-Thru performan ce
Key Activities

Commi ssionin g  Electrical test of prep aration fo r  Adju st process  Document an d

 Continuity Test instruments & commissionin g variable s review Lessons
 Lea k & Pre ssure motors  Check instrument  Re-tension drive Lea rnt
Test  Ene rgise & adju st valve stroke a nd belts
 Oil & lub fill instruments control action  Check lub levels
 Rotatio n check  Loo p check a ll  Drive & alig nme nt  Check equ ipment
 Cold align men t instruments checks performan ce is
 Complete test  In service test  Check lub levels with in d esign
sheets pipe lines  No-load ru nning toleran ces
 Loo p testin g  Ven dor ch ecks  Hands-on ope rato r
 Bump testing  Run plant, check training
 Pun chl ist for defects interlocks

Cat
Defects

A Target No Outstanding
B <10 Outstanding / System No Majors All Complete
C <30 Outstanding / System <10 Outstanding / System No Majors All Complete

Legend: Lead Role Support Role

* Role accountabilities may vary depending on the commissioning strategy employed.

Figure 1 – Commissioning Process Stages

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3 Commissioning process introduction

As shown in Figure 1, commissioning is carried out in distinct stages during project execution and commissioning and
includes the following stages and milestones:

1. Construction / Assembly Verification,

2. Energisation,

3. No load (Dry) Commissioning,

4. Load (Wet) commissioning,

5. Transfer of Care, Custody and Control

6. Performance Verification

Note: the term pre-commissioning is sometimes used to describe the combination of Stages 1 and 2.

The Project Execution Plan and Commissioning Management Plan document the commissioning and handover
process and must be referred to when commencing commissioning.

Between each of the commissioning stages is a milestone, where certain requirements must be met and certain
outputs and documents produced. Some of these milestones also represent changes in the ownership or cost
responsibility associated with the project.

Planning for commissioning activities involves a systems approach, breaking down the facilities to be commissioned
into logical systems and subsystems (Appendix D). The project is divided into major areas according to work
breakdown structure (WBS) and each area has been further divided into process areas, major systems and
subsystems. For commissioning planning, the commissioning team works with the engineering and construction teams
to determine commissioning systems and subsystems within the project areas by reviewing the process flow, plant
layout, equipment, piping, utilities and electrical and control systems. These systems and subsystems are part of a
common physical process which typically can be isolated and tested independently. An orderly progression of system
commissioning then takes places across facility. The systems approach is also used for developing handover
packages containing all the required information for the operations team to take ownership of a system.

Commissioning and handover may be undertaken for a whole facility at once, or subsystems may be commissioned
individually. Where part of a project is to be commissioned and handed over (partial handover) this must be agreed
between the Project Manager and the Operation’s Manager.

A wealth of commissioning expertise and helpful information exists with knowledgeable people from across the various
Product Groups in Rio Tinto. When planning for commissioning, seeking the input of those individuals is strongly
recommended. Rio Tinto Projects can help to facilitation those engagements.

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3.1 Stage 1 – Construction Verification

a) Purpose

This is the verification testing and checking required to prove that the equipment has been constructed or assembled
correctly and that it is mechanically and electrically complete (also referred to as mechanical completion verification). At
this stage the equipment has not yet been energised by any energy source (electric, hydraulic or pneumatic) and is
isolated from normal supply of power, feed and discharge lines or points. Often a mechanical complete safety review
(MCSR) is completed on a system before it system is energised.

(b) Responsibility

The Construction Manager, typically working closely with the pre-commissioning and commissioning manager(s), is
responsible for the effective completion of this stage. The facility or subsystem is in his ownership during the process.

The Project Manager is responsible for costs and schedule during this stage.

(c) Other Key Resources

 Construction Quality Team

 Vendors / Contractors
 Operations Representative
 Owner’s Representative

(d) Activities

Following is a list of typical construction verification activities required during Stage 1.

Activities performed during Construction Verification

(undertaken by Construction Team)
1 Checking that facility or subsystem is mechanically and electrically complete, and has been constructed and
assembled correctly to within specified tolerances.

 Checking the proper installation of equipment including hold down bolts and bolt torques, shaft
alignments, pressure testing of pipes, hydrostatic vessel testing and flushing of pipes, tanks and
vessels. Ensuring pipes systems are properly secured to pipe racks.
 Ensuring that all access ways, railings, safety barriers and safety covers are correctly placed and
secured.
 Checking cable runs, grounding and safety switches.
 Checking welds and painting.

2 Ensuring that all labels, nameplates, site signs, panel markings and safety signs are correctly placed.

 Isolation reference points clearly labelled

 Tagging of electrical panels and switchgear

3 Removing major construction debris from the proposed commissioning work area.

4 Point-to-point tests (PLC to field), megger testing of cables and motors, and checking overload settings.

5 Cleaning and flushing of gearboxes and sumps and initial fill of approved lubricants (oil list provided) to the
agreed run-in schedule where required. Lubricants should be agreed in advance by the operational
readiness team.

6 Checking bearing lubrication and re-applying lubricant.

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Activities performed during Construction Verification

(undertaken by Construction Team)
7 Disconnecting drive couplings or V-belts and replacing guards.

8 Checking that piping and instrumentation installation are in line with P&IDs:

 ensure that all sources and destinations are correct,

 pipe marking is complete,
 ensure control valves are correctly orientated.

9 Completing test sheets including:

 motor meggers,
 input/outputs to PLC,
 Installation check sheets where appropriate (e.g. belt splicing, vendor recommended installation
checks).

10 Creating a category A punch list and correcting defects.

3.2 Commissioning Milestone 1

Milestone 1 represents a hold point where completion of the following items is either confirmed or conducted before
moving to Stage 2.

Before commissioning can continue to Stage 2 – Energisation, the following must be complete:

1 The Construction Verification activities have confirmed that the facility or subsystem is mechanically and
electrically complete and has been constructed & assembled correctly to within specified tolerances.

There are no outstanding construction works

2 Isolation reference points have been labelled and isolation procedures to be used during commissioning
have been developed and approved

3 Facility inspection:

 The constructed facility has been inspected by two separate groups; Mechanical (Civil, Structural,
Mechanical and Piping) and Electrical (electrical and instrumentation). The groups comprised
representatives of the Construction, Commissioning and Operations Teams.
 Facility is free of construction debris, and the working area is safe to conduct commissioning testing.
 Any construction deficiencies noted have been added to the Construction Punch list Database and this
has been handed over to the Commissioning Team.
 All Category A construction punch list items for the facility have been completed and signed-off by
Construction Manager.

4 Equipment installation, operating and maintenance manuals have been received from Vendors.

5 The ‘Request to Energise’ form must be completed and signed by the Construction and Commissioning
managers and the Owner’s Representative. The Owner’s representative may decide that the operation’s
representative or delegate should also sign. If they are not to sign, the Owner’s Representative is to initial
in their places. (Note: The Request to Energise form must be accompanied with documents such as a
MCSR that show that the facility, systems and subsystems have passed construction verification) Contact

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Before commissioning can continue to Stage 2 – Energisation, the following must be complete:

lists and communications protocol have been established including pre-shift crew meetings, area, plant and
office notice boards, and email,

 Schedule of work including list of systems, subsystems and equipment properly communicated
 P&ID, single line and GA drawings marked to show area to be energised and posted at entry to
restricted access area

6 A hazard analyses has been conducted as part of the Commissioning Planning process, attended by
representatives from the Commissioning team, Operations, Construction, Rio Tinto Projects, and major
vendors

Once these Milestone 1 requirements are met, pre-commissioning can continue. The following table outlines the
tangible outcomes from the Construction Verification stage.

Outcomes from Construction Verification

1 The Construction Manager has submitted a Stage 1 Handover Dossier to the Commissioning Manager. This
Dossier includes:

 Punch list showing that all Category A construction punch list items for the facility have been
completed.
 Stage 1 field test records completed and signed off by authorised personnel.
 As-Constructed red lined Electrical & Instrument Drawings
 As-Constructed red lined P&IDs
 Electrical and Mechanical Installation Verification Records: Each installation constructor is required to
submit completed electrical and mechanical construction verification records relating to the nominated
equipment.
 Vendor Installation, Operating and Maintenance Manuals.

More detail on the contents of this Handover Dossier can be found in Appendix D2.

2 In addition to the above, one (1) master copy of red-line of as-built Electrical & Instrument Drawings is to be
provided to the Commissioning Electrical Supt for inclusion in the facility substation.

3 Notice of Energisation certificate is issued by Commissioning Manager a minimum of 24 hours prior to

energisation as long as communications protocols are effective within that period of time.

4 Equipment nominated on the ‘Notice of Energisation’ is now considered live and that an energy source is
permanently connected.

5 The Authorised Energisation Person (AEP) is accountable to ensure that all equipment is safe to energise in
accordance with the Energisation Plan and shall be a trained as a Personal Isolation Officer, Permit Holder
& Permit Isolation Officer with the appropriate authority given by the Construction Manager. AEP’s are the
only persons authorised to do any switching.

An Energisation Plan will be provided by the AEP to nominate what equipment is to be energised and the
boundaries of the energised equipment. The AEP shall work with the Commissioning Superintendents,
Area Engineers and Contractors to ensure energisation plans are understood. Only personnel authorised

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Outcomes from Construction Verification

by the Construction Manager and Site Area Manager Electrical shall switch high voltage (1000V or higher)
gear.

6 Construction Manager submits a signed Transfer of Control form (also termed Construction Verification
Certificate) to the Commissioning Manager, and Commissioning Manager takes over responsibility for the
facility or subsystem.

7 ‘Under Construction Control’ tags placed on the equipment listed in Notice of Energisation.

3.3 Stage 2 – Energisation

(a) Purpose

Energisation is the process of applying a source of energy to equipment or to a system. Energy sources include but are
not limited to electrical power, control power, pressure in piping systems and accumulators, gravity systems (Including
conveyor take-ups), and belt and rope tensions.

The function of this stage is to energise each item of equipment (individually first and collectively afterwards) to test all
manual and automatic functionality and sequential controls (including safety interlocks and alarms) control logic
(including start-up permissives), equipment interfaces and tune controllers as far as possible.

(b) Responsibility

The Construction Manager, typically working closely with the Pre-Commissioning Manager, is responsible for the
effective completion of this stage. The facility or subsystem is in his ownership during the process.

The Project Manager is responsible for all costs incurred during this Stage.

(c) Other Key Resources

 Operations Representative
 Owner’s Representative
 Vendor Representative

(d) Activities

Activities performed during Energisation

1 Energising power and control circuits

2 Electrical testing of instruments and motors.

3 Confirm that all equipment safety interlocks and permissives are functioning properly

4 Testing drives in both manual and automatic modes (uncoupled) as well as remote and local starts. Testing
the rotation of drives.

5 Energising and adjusting instruments.

6 Point to point checking of all instruments (field to distributed control system [DCS] or programmable logic
controllers [PLC]).

7 In service testing of pipelines where appropriate, usually with water.

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Activities performed during Energisation

8 Checks as defined by the Stage 2 Test Instructions and associated Field Test Records.

9 Process control loop testing.

10 Creating category A punch list and correcting defects.

3.4 Commissioning Milestone 2

Before moving on to No-Load Commissioning, the following criteria must be met, and outcomes
generated:

1 Each item of equipment has been energised (individually and collectively) and all manual and automatic and
local and remote start sequence controls and equipment interfaces tested successfully.

2 Category ‘A’ Punch list items arising from Energisation have been rectified and signed off as completed by
Commissioning Manager.

3 All commissioning spares or consumables required for No-Load and Load Commissioning are available.

4 The Process Engineer together with the Commissioning team have developed Process Operating
Instructions (including Isolation Procedures) that provide step-by-step instruction on how to run the
subsystem or facility during No-Load and Load commissioning stages.

5 The Process Control system has been integrated into plant/facility information management systems so that
historical data can be collected for reporting and root cause analysis.

6 All fire protection systems are functional and active.

7 Bills of Materials and Functional Locations for all new equipment have been catalogued in SAP.

 Vendor / contractors supplied parts lists included

 Site operational readiness team has accountability for ensuring all SAP input is done.

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3.5 Stage 3 – No-Load Commissioning

(a) Purpose

The purpose of this stage is to verify that the facility or subsystem meets the functional description. Stage 3 may be
conducted in one or two parts.

 Stage 3a is the testing of the control system under no-load conditions. Here, the commissioning team must prove
that important control logic works correctly, using the actual equipment/facility.
 In Stage 3b, the facility is run under no load, initially under semi-automatic control and later under fully automatic
control. Subsystems that carry water or slurry are run with water and, if applicable, levels measurements are
calibrated, alarm levels verified and flow rates are balanced.

(b) Responsibility

The Commissioning Manager is responsible for the effective completion of Stage 3. The facility or subsystem is in their
ownership during the process.

The Commissioning Manager may be a member of the project team, the business unit operating team or, in a turnkey
agreement, a member of the EPC Contractor team. It is critical to commissioning success that the commissioning
strategy, high level plans and responsibilities across the project team are determined during the feasibility stage.

The Project Manager is responsible for all costs incurred during this Stage.

(c) Other Key Resources

 OEM and Vendor’s representatives inlcuding DCS and PLC engineers

 Site Maintenance people
 Operation’s Representative
 Owner’s Representative

(d) Activities

Activities performed during No-Load Commissioning

1 Checking the logical operation of control equipment associated with drives. Testing of the control logic must
progress from low- to high-level logic as follows:

 Testing of the process logic units.

 Testing of the plant subsystems.
 Testing of the entire facility.

2 Calibrating instruments, e.g. weightometers after conveyor belts have been run for a suitable length of time.

3 Checking instrumentation, such as level transmitters, valve stroking and controller actions.

4 Drives rotation and alignment inspections.

5 Checking lubrication levels.

6 Vendor representatives need to be available during this stage to check equipment settings.

7 No-load running of each item of equipment to prove operation and record specified measurements on the
commissioning sheets.

8 Verifying process services.

9 Eliminating, where practical, any unacceptable:

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Activities performed during No-Load Commissioning

 Vibration in structures
 Excessive noise levels.

10 Running the whole plant and checking interlocks between systems.

11 Creating category B punch lists and correcting defects.

Note: Some equipment may run differently with and without a load or not having reached normal operating
temperature. So, if equipment does not run as expected without a load, do not make any changes until told to by the
responsible discipline engineer.

3.6 Commissioning Milestone 3

Before proceeding to Load Commissioning, the following criteria must be met, and outcomes generated:

1 Facility / subsystem has been tested without feed and shown to be operable and safe to operate.

The control logic has been tested and found to operate as per functional specs (inc. interlocks, permissives,
low, high and shutdown alarm points and all required start and stop sequences).

2 Category ‘A’ and ‘B’ Punch list items identified by Stage 1, Stage 2 and Stage 3 testing have been rectified
and signed off as completed.

3 All activities listed above are satisfactorily complete, as evidenced by completed and signed-off No-Load
Commissioning test sheets (including PLC IO, alignment checks, lubrication checks, vendor installation
checks).

4  The Asset Management Strategy and supporting systems, procedures and tactics have been
developed, loaded and scheduled in SAP by Maintenance specialists. This work is typically
conducted by the business unit operational readiness team.
 Preventive, predictive, corrective and breakdown procedures
 Maintenance work management system
 Reliability programs such as defect elimination
 Spare parts requirements based on equipment criticality has been developed and the facilities
required for proper storage have been organized. Adequate critical spares are available
 Condition monitoring systems are set-up and baseline data has been collected per plan.

5 A lubrication schedule has been prepared for the new equipment and approved by the OEM and business
unit asset management manager.

 The schedule details the bulk lubricant contract holder equivalents.

 Initial fill volume plus adequate for spare fills and initial service requirements is on site for all
equipment. Note initial service requirements may extend to filters, breathers etc. as required by the
specific equipment.
 Suitable equipment is available to conduct the fills in accordance with the supplier’s recommendations
site hydrocarbon management policy and environmental requirements

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3.7 Stage 4 - Load Commissioning

(a) Purpose

The primary objectives of this stage are:

 to demonstrate that the facilities can perform in accordance with the design specifications under design load
conditions: and
 to ensure that operating personnel will have the capability to correctly operate the facilities once the
commissioning team hands over the facility.

The driver for the business is not what the facility produces during this stage, but the effective and efficient completion
of this stage so the facility can commence sustained operations.

This stage involves running the facilities with feedstock, at low load first and then increasing the load to full capacity,
running the equipment at its maximum (speed, load, flow rate), stopping the equipment, re-starting the equipment
empty and with a load, and running with a range of feed types/size distributions (where available).

b) Responsibility

The Commissioning Manager is responsible for the effective completion of Stage 4. The Project Manager is
responsible for all costs incurred during this stage.

The introduction of feed to the circuit is achieved by request from the Commissioning Manager to the Operations group.
During this stage the facility or subsystem is still under the control of the Commissioning Team and is required to be
operated in a manner that enables control loop tuning or shutting down equipment of systems to carry out adjustments
and action punch list items.

(c) Other Key Resources

 Site Maintenance, Operating and Technical Support staff

 DCS, PLC and other key equipment OEM and endor representatives
 Operation’s Representative
 Owner’s Representative.

(d) Activities

Activities performed during Load Commissioning

Functions performed to prove the facilities:

1 Checking, calibrating and adjusting the operation of automatic controls and instrumentation.
Finalising set points of controllers, alarms and trips, and testing plant interlocks.

2 Testing circuit logic for functionality within various operation conditions, for example starting and
stopping of various pumps on a process as sump levels change.

3 Adjusting process variables to fine tune the performance of the facilities.

4 Re-tensioning drive belts, re-torqueing bolts, adjustments at operating temps

5 Checking lubrication levels.

6 Demonstrating that conveyors will operate from standstill with loaded belts at design average and
maximum instantaneous mass flow rates.

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Activities performed during Load Commissioning

7 Checking equipment performance is within design tolerances (e.g. power draw, speed, pressure).
This may include vendor or OEM verification and testing.

8 Testing metallurgical performance of equipment where possible e.g. mass split across separating
devices, size reduction in crushers. (This may involve plant sampling and the support of the
Metallurgical Development team. It may need to be deferred to Performance Verification stage
where schedule of sub-system or feed availability prevent it being done during Load Commissioning).

9 Creating category C punch lists and correcting defects.

Activities performed during Load Commissioning

Functions performed to prepare for handover to Operations:

9 Hands-on training of the operators and technical support staff by Commissioning Team and /or
Vendors. This includes utilising Operations personnel to operate the equipment under the direction
of the Commissioning team.

10 Vendor’s representatives are to sign off their equipment after completion of this stage

11 Preparing Stage 4 Handover Dossier, as outlined in Appendix D3.

12 Operations Staff reviewing and / or updating all documentation necessary for the safe and effective
operation of the equipment; including standard work procedures (operating and maintenance),
isolation procedures, cyclone tie-down procedures, maintenance task lists.

13 Operations Training Modules and Assessments and Competency Standards are in place using site-
based resources.

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3.8 Commissioning Milestone 4

At the end of Load Commissioning there is another significant milestone, which marks the transition in ownership when
the facility moves from the Commissioning Manager to the Operations Manager.

Transfer of Care, Custody and Control requires the following criteria to be met:

1 The Commissioning Manager is satisfied with the condition of the facility and confident that the equipment
can sustain continued operation.

 Equipment / sub-system operate correctly under normal, emergency and fault conditions.
 Equipment operates within design tolerances. e.g. power draw, speed, pressure, etc.
 Process equipment and/or sub-systems have demonstrated the ability to operate at maximum design
throughput rates and are delivering performance which meets acceptance criteria (as far as can be
tested).

2 The Owner’s Representatives have inspected the facility and is satisfied with its state.

3 All A, B and C punch list items are completed.

Civil, structural, mechanical and electrical design is complete.

All critical non-conformance reports and technical queries relating to the equipment nominated in the
handover matrix have been addressed and closed out.

4 All Vendor MDRs have been received and approved by the Owner’s Representative as outlined in Appendix
D4

5 Site Operators, Maintainers and Technical support staff required for the day-to-day operation of the plant
have been trained and deemed competent.

6 Critical spares, stock-item spares and consumables are in stock.

Any special tooling required for the new facility has been procured

7 Implementation Plan for incorporating the project into the existing operation has been completed. This
includes any changes to roles and responsibilities.

8 As-Commissioned red-line Electrical & Instrument Drawings complete and disseminated:

 Electrical schematic and single line diagrams relating to the nominated equipment are to have any
changes marked up in red ink and stamped "as commissioned".
 One master copy is to be provided to the site principal electrical authority for inclusion in the facility
substation.
 Original red-line drawings are transmitted to project document controller and available In Engineering
Data Management (EDM) system
 As-built drawings are produced by the project and also made available in the EDM system

9 As-Commissioned red line P&IDs complete and disseminated:

 Piping and instrumentation diagrams relating to the nominated equipment have any changes marked in
red ink and stamped "as commissioned".
 One (1) entire set transmitted to the Owner’s Representative for distribution to relevant Site Personnel.
 Original marked up drawings to be transmitted to project document controller and available In
Engineering Data Management system “as-built” drawings

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Transfer of Care, Custody and Control requires the following criteria to be met:

10 Electronic copies of the as-commissioned PLC codes and DCS programming logic have been provided to
the relevant Engineer.

11 Functional descriptions marked up "as commissioned" have been transmitted to the Operations Control
Systems Engineer.

A list of settings for each programmable piece of equipment where the code is not provides e.g. variable
speed drives, electronic instrumentation, protection relays.

12 Commissioning Spares handover

Transfer of ownership of commissioning spares from the Commissioning team to the Operations team
including cataloguing in the warehouse inventory management system (SAP)

A report from the spares database listing the commissioning spares handed to operations and associated
costs is to be included in the handover dossier.

Note: commissioning spares purchased as capital costs must be transferred to operating cost in accordance
with Rio Tinto’s accounting policies

13 Equipment warrant management transfer from the project procurement team to the business unit
procurement team in a planned and organised fashion to ensure warranty issues are resolved throughout
the warranty periods.

Once these criteria are met, ownership of the facility transfers to the Operations Manager. If equipment / sub-system
fail to achieve design operating performance during load commissioning, a decision will need to be made about what
corrective actions will be taken.

If there is no major corrective work to be completed that affects the safety, reliability or performance of the facility or
subsystem, then Handover to Operations can be completed. The following table outlines the Handover outcomes.

Load Commissioning Outcomes

1 The Commissioning Manager has provided the Stage 4 Handover Dossier (as outlined in Appendix D3) to
the Owner’s Representative. The method and form of documentation and drawings required for handover
should be agreed to early in the project, usually with the operation and OR team. The Owner’s
Representative has the accountability to make this documentation is accessible to relevant site people.

2 Commissioning manager sends the Owner’s representative a Certificate for Complete or Partial Handover.
The Owner’s Representative signs the Handover Certificate and returns it to the Commissioning Manager.
The certificate will be added to the Commissioning Documents to be handed over and an electronic copy
kept with the Handover Dossier.

3 Ownership of the facility transfers to the Operations Manager, as does the responsibility for day-to-day
running costs. The project will retain the cost accountability for outstanding capital works.

Statutory responsibility for the facility transfers from the Commissioning Manager to the Operations
Manager.

4 Once Criteria 1 - 4 above have been met, it is deemed that the Vendors have achieved Practical
Completion for their part of the facility:

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Load Commissioning Outcomes

 Certificates of Practical Completion will be issued by vendors to the Project Manager for approval and
signature.
 This is a legal document between the owner and vendor and verifies that the vendor has fulfilled his/her
contractual obligations. This will generally trigger the release of all outstanding payments to vendor
(apart from retention payments).

3.9 Stage 5 – Equipment Care, Custody and Control

(a) Purpose

During this stage of commissioning, the Operations and Maintenance teams are resolving any operating issues and
achieving safe and stable performance from the new equipment.

(b) Responsibility

Site Operations Manager has responsibility for day-to-day running costs.

The project retains the cost accountability for outstanding capital works.

(c) Activities

Activities during transfer of Care Custody and Control

1 Day-to-day operation of the facility, including conducting all equipment isolations and tests is performed by
the site Operations team

2 Problem-solving activities to improve and stabilise equipment performance – to be conducted by the site
operations team with support from the project team if required.

3 Design of and preparation for Performance Verification trials by Commissioning Manager and Operations
Representative.

3.10 Commissioning Milestone 5

Transfer of Care, Custody and Control requires the following criteria to be met:

1 Acceptance Criteria are clear, specific and measurable. Any inconsistencies in interpretation have been
resolved.

2 All tests / trials required for Performance Verification have been designed to reduce risk of inconclusive
results.

Commissioning Manager is responsible for trial design.

Significant trials require the design to be signed off with Owner’s Rep and site operations representative

3 The resources required for tests and trials have been organised, including metallurgical sampling resources.

4 Preparation has been made with up-stream and downstream processes to ensure they can meet the
conditions required for the tests/trials (ex. adequate range of ore types available, ability to supply and
receive design tonnages etc.)

5 The capability of the laboratory facilities / staff to process samples has been verified.

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Transfer of Care, Custody and Control requires the following criteria to be met:

6 Safe work procedures for testing / trials have been developed.

7 Delay accounting systems are working and useful for root cause analysis of delays or below-design
throughput.

3.11 Stage 6 – Plant Performance Verification

(a) Purpose

 Performance verification is the process of verifying that the newly commissioned equipment is able to work in
concert to achieve the designed plant or process performance requirements. This includes checking that the
operating cost assumptions are born out in practice (especially manning levels & energy usage). This needs to be
completed before the new plant is formally accepted by the Operations GM.
 If the plant does not achieve design performance, a decision needs to be made by the Operations GM and Project
Manager about what, if any, corrective actions will be taken.
 This process also provides the first opportunity to establish baseline performance criteria for the new plant, which
is important for future expansion plans, improvement projects, baseline equipment heath information and
operations / maintenance budgeting.

(b) Responsibility

The Commissioning Manager or Operations Manager is responsible for:

 Clarifying any ambiguities in Acceptance Criteria.

 Designing and planning Performance Verification tests / trials.
 Executing the trials, analysing data and reporting results to the Site Operations Manager and Project Manager
 Coordinating any deficiencies discovered during trial.

(c) Other Key Resources

 Site Operations Personnel

 Metallurgical Engineers
 Site Operations Representative

(d) Activities

The activities at this stage involve tests and trials during which actual performance is measured and compared to the
determined acceptance criteria. These test and trials should be designed carefully to minimize the risk of inconclusive
results. Where plant sampling is required, the Metallurgical Development team are key resources for this process.

Performance Verification plans need to be agreed with the Site Operations representative and the Owner’s
representative.

Coordination will be required with people managing processes upstream and downstream of the facility to ensure that
the right feed is available for the trial, and that it can be completed without interruption.

The Metallurgical Development department have resources skilled in designing and conducting plant sampling
campaigns, and it is recommended that they are involved in the process

Trial duration will be a trade-off between cost / time and confidence in the result. The trial needs to be of sufficient
duration to verify that:

 Plant can achieve design availability and effective utilisation.

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 Plant can sustain the design average throughput rate when operating.
 Design performance can be achieved over the range of feed types the plant will experience in normal operation in
line with design envelop.
 Design performance can be achieved with design manning levels (including clean-up / spillage management).
 Fuel / power consumption is in line with expectations.
 MTBF, MTTR and condition monitoring results suggest design availability can be achieved.

Further details can be found in Appendix C.

 (d) Outcomes

Examples of performance verification documents can be found in completed projects.

3.12 Commissioning Milestone 6 - Project Handover

Final Acceptance of new Facility by Operations requires these criteria to be met:

1 Testing confirms that the equipment/ plant / process are able to sustain design performance at the operating
costs agreed in the DES. Performance testing has verified:

 Plant can achieve design availability and operating time.

 Plant can achieve design throughput on average over operating time.
 This performance can be achieved over the range of feed types the plant will experience in normal
operation.
 This performance can be achieved with design manning levels (including clean-up / spillage
management)
 MTBF, MTTR and condition monitoring results suggest design availability and reliability can be
achieved.

2 As-built drawings are complete. They have been issued to Operating Site and stored in Engineering Data
management (EDM) system.

3 Signed-off punch lists showing that all A, B and C items are complete. Any D items (Out of scope items)
that have been approved for rectification are also complete.

There are three possible scenarios once Performance Verification tests are complete:

 Facility performance meets acceptance criteria; Operations accepts plant.

 Facility performance does not meet acceptance criteria, but decision is taken not to undertake corrective action;
Operations accepts plant.
 Facility performance does not meet acceptance criteria, and decision is made to undertake further capital works to
correct issues. Project handover is delayed until that work is completed, tested and performance meets
acceptance criteria.

Once Operations accepts the new facility, this triggers the following:

Project Handover Outcomes

1 Certificate of Final Completion issued by Rio Tinto Project Manager to Operations GM.

2 All operating licences are handed over to the Operations Manager by Commissioning Manager

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Project Handover Outcomes

4 Responsibility for all future expenditures transitioned to the Operations Manager.

3.13 Technical support after Handover

Until the owner’s technical management is familiar with the new facility, help with evaluating potential changes will need
to be made available from within the Project Team.

A plan for post-handover technical support must be included in the CMP. The support would be mostly for engineering
and control system.

The CMP must describe:

 what support will be available,

 how long the support will be provided.
 The funds required for this activity need to be built into the budget developed during the DES phase.
 The plan for support after handover needs to be clearly documented in the Facility Commissioning plan and then
re-visited near the time of hand over.

The post hand over plan needs to plan for a gradual phase out of this support over a defined time frame. The strategy
for the post hand over plan needs to be identified at the feasibility study stage and budgeted accordingly.

Support by the project cannot remain in place in the long term, hence Operations need to identify before completion of
the post hand support if certain types of support will be required in the longer term. Required maintenance / support
agreements are then put in place, such as ongoing vendor support for control systems. Key project personnel can be
seconded to the operation for period of time as required.

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4 Commissioning Roles and Responsibilities

The definition of the commissioning organisation roles and responsibilities is presented in the Commissioning
Management Plan and summarized in the detailed Project Execution Plan delivered at the end of the Feasibility Stage.
This plan forms the basis for detailed development during the Execution Stage. Commissioning brings together
personnel from the Project and Operations Groups and facilitates the transition from construction to operation of the
facility. In addition to the operation employees, it is composed of external resources to support and complement the
commissioning team. The Commissioning team is led by the Commissioning Manager.

The organization structure outlined below assumes the project is being executed under an EPCM agreement where
responsibility for Engineering, Procurement and Construction Management has been delegated to a contractor. Pre-
commissioning activities (Stages 1 and 2) are typically led by the EPCM contractor but supported by members of the
future operating team. Commissioning activities (Stages 3 thru 6) are typically led and managed by the future
operating team but supported by the EPCM contractor as required.

Under an EPC, or turn-key, contract all stages of commissioning may be led by the contractor but it is highly
recommended that the future operating team is involved in commissioning planning and implementation, In this type of
agreement, sound operational readiness planning and execution is still fundamental to business case success..

A typical commissioning and start-up organisation chart is presented below.

Figure 2 - Typical organisational chart for commissioning and start-up

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The size and structure of the commissioning team will vary depending on project size and complexity and whether it is
a Greenfield or Brownfield project. It may be made up of several teams to allow subsystems to be commissioned
simultaneously. It is recommended that personnel carrying out pre-commissioning of equipment in a given plant, mine,
facility or system generally should not be the same people who have been directly involved in the installation of that
equipment.

The commissioning organization will bring together new operating employees as well as complementary external
resources, in a blend of managerial, technical and project management expertise. The focus of commissioning
activities will be to take delivery of all plant operating systems/equipment from the contractor, integrate these operating
systems into an organized and tested operational unit so that the operations team can safely start-up and operate at
targeted production rates.

The key Owner’s personnel involved include; the Project Manager, the Commissioning Manager, the Construction
Manager, and members of the Operations Group. In some cases, both the EPCM and Owner’s Team will include a
Pre-Commissioning Manager. A description of the roles and responsibilities and an organisation chart is to be included
in the Commissioning Management Plan.

A recommended approach for determining commissioning roles and responsibilities for a given project is the use of the
RACI process. RACI stands for “Responsible, Accountable, Consult and Inform”. With respect to Commissioning
Management, the RACI is a tool used to determine (i) who is responsible, (ii) who is accountable, (iii) who should be
consulted and (iv) who should be informed with regards to all of the activities that are required to successfully plan and
manage commissioning. The commissioning activities/deliverables should be represented in a RACI as there are
numerous interfaces with the Project Team and Operations.

Typically the first step in the RACI process is to identify all the Commissioning planning and execution
activities/deliverables. The next step of the RACI process is to work through the list of identified activities/deliverables
and to assign who is responsible, accountable, and who should be consulted and informed. Arriving at these
allocations can be achieved a number of ways. Some operations find a facilitated workshop beneficial to systematically
go through the tasks. By having the key roles represented, individuals can better understand and begin to take
responsibility for those activities assigned to them. A typical RACI is shown in Appendix A.

RACI can also be a useful tool to identify resourcing issues (by showing roles that have a significant number of
activities associated with them) and is also useful for new resources to understand how their role fits into the
organisation.

4.1 Owner’s Team Roles

There are two main groups involved in the project as part of the Owner’s Team:

 Business unit and product group team members (including the operational readiness)
 Rio Tinto Projects’ team members

The roles and responsibilities of the key personnel and functions in the Owner’s Team organisation are defined below.

(a) Rio Tinto Project Manager

The Project Manager has overall responsibility for the successful completion of the project; that the facility meets the
acceptance criteria on time and on budget. The Project Manager engages and interfaces with the EPCM Project
Manager.

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(a) Construction manager

Reporting to the Project Manager, the Owner’s Construction Manager is responsible to ensure that the EPCM
constructs the equipment or plant per the specifications and that documentation is prepared to support the application
for a Certificate of Mechanical and Electrical Completion. The Owner’s Construction Manager is also responsible to
ensure engineering and construction labour is provided to effect repairs, modification or remedial works as found
necessary during the subsequent Pre-Commmissioning, Commissioning and Ramp-up of the project.

(b) Pre-commissioning manager

Due to project size and/or complexity, the Project Manager may assign a Pre-Commissioning Manager to the team.
Typically reporting to the Construction Manager, the Pre-Commissioning Manager has overall responsibility for the
coordination and execution of all Pre-Commissioning activities, Stage 1 – Construction Verification and Stage 2 –
Engergisation. This includes the development of all plans, processes and procedures and their communication to all
team members, workimng with the EPCM commisisoning team and operations managers.

(c) Commissioning manager

Potentially reporting to the Project Manager or the Operations Manager depending on the comissioning management
plan, the Commissioning Manager has overall responsibility for the coordination and execution of all Stage 3 through
Stage 6 commissioning activities (assuming a Pre-Commissioning Manager has been assigned) . This includes the
development of all plans, processes and procedures and their communication to all team members in close
coordination with EPCM Commissioning Manager and operations manager. The Commissioning Manager is a senior
specialist that possesses an in-depth knowledge of the EPCM scope of work and has a sound technical knowledge of
the plant equipment and processes, necessary to ensure a safe and efficient commissioning.

(d) Operational readiness manager

The Operational Readiness Manager should be a senior member of the operations team, and often becomes the future
operations manager. The Operational Readiness Manager will be the single point of contact for the Project on all
operational matters and for operations on Project matters.

Operational Readiness Manager Responsibilities

1 Supporting the Commissioning Manager in the formation of the Commissioning plans and schedules and
identifying performance / acceptance criteria.

Facilitating the involvement of Operations in the planning.

2 Ensuring that the systems and processes are in place for commissioning to be done effectively.

3 Facilitating & coordinating interactions between the Project Team and business unit, and resolving any
interface issues that arise during execution of the commissioning plan.

4 Coordinating the involvement of Operations and Asset Management in the development of Operating and
Maintenance strategies and procedures.

Coordinate the development of BOMs and SAP functional locations in a timely fashion.

5 Coordinating the creation and delivery of training materials.

6 Agree level of punch-list resolution, e.g. uncompleted versus out of scope. This includes escalation for issue
resolution if required.

7 Advises Site Operations Team of planned commissioning schedule.

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Operational Readiness Manager Responsibilities

8 Keeps Site Operations Team informed of progress and interface issues.

9 Provides a single point of contact between the Project Team and the business unit/product group; liaising
with other stakeholders as required (e.g. HR, HSEC, mine planning, processing, rail, port)

10 Liaises with Commissioning Manager on matters related to interface with the area, including area safety
requirements, access, isolation and tagging, shutdowns and tie-ins.

11 Facilitate the appropriate level of Site Operations involvement in defects listing inspections and assist in the
collation and prioritisation of issues identified.

12 Monitor correction of defects list items. Ensure that the defects list is signed off by the operation

13 Participate in the MCSR and lead the PSSR

Operations Site Personnel

The future Operations Manager is the end owner of the facility and will be held accountable for its future performance.
It is important for the Operations Manager or nominated representative to be involved in the commissioning of their
facility.

The operations team members normally involved in commissioning are:

 Operators and process specialists or engineers

 Maintainers – mechanical, electrical and instrumentation
 The integration of Operations personnel into the Commissioning Team is required by the start of Stage 3 (No load
Commissioning).

Mechanical, electrical and instrumentation technicians will often be involved earlier in the commissioning than the
operators. When they become involved will depend upon the project but could include construction completion or
verification.

The responsibilities of the site personnel include:

Site Personnel Responsibilities

1 Being active members of Commissioning Team from No-load Commissioning onwards.

 Performing those duties assigned to them by the Commissioning Manager.

 Coordinating their activities with other members of commissioning team.

2 Attending the site safety and commissioning inductions before starting any commissioning work. Performing
all work safely, in adherence with HSEQ standards.

3 Participating in training activities to develop the capability to operate and maintain the new facility safely and
efficiently.

Conducting training of other personnel as per training program.

4 Assisting with the production of Operations documentation: standard work procedures, isolation procedures,
task lists, cyclone tie-down procedures etc.

5 Creating punch list items where equipment does not comply with requirements.

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Site Personnel Responsibilities

6 Following up on non-compliances identified in the punch lists until they are satisfactorily rectified.

7 For major tie-in shutdowns, it may be necessary for Operations to appoint a shutdown manager
independent of the Commissioning Manager to manage the shut-down and restart of existing facilities.

4.2 EPCM Team Roles

Under the EPCM model, the contractor has contractually defined obligations with respect to pre-commissioning and
commissioning activities. As such the following EPCM roles participate in various aspects of pre-commissioning and
commissioning activities:

(a) EPCM Project Manager

The EPCM Project Manager reports to the Rio Tinto Project Manager and has responsibility for managing Engineering,
Procurement, Construction and Management of the project on behalf of Rio Tinto and is typically accountable for
delivering the following commissioning related activities:

1. pre-commissioning execution plan;

2. pre-commissioning manual and procedures;
3. list of Hand Over Packages to be transferred and agreed by the business unit;
4. commissioning management plan;
5. commissioning procedures; and
6. constructed equipment, plant or facility through Stage 4- Load Commissioning.

(b) Construction Manager

The Construction Manager reports to the EPCM Project Manager and is directly responsible for construction and pre-
Commissioning, Stages 1 and 2. During construction and pre-commissioning, the Construction Manager is in full
control of the facility or subsystem. The Construction Manager may retain statutory responsibility for the facility until
the end of Load Commissioning, when the Operations Manager takes over the facility for Care, Custody and Control.

Construction Manager Responsibilities (Commissioning only)

1 Managing the Construction Verification stage.

2 Liaising with the Commissioning Manager and Operator’s representative, to effectively execute the
commissioning and handover activities.

3 Reviewing commissioning documents.

4 Ensuring that construction punch list and other defect items are addressed and signing off on the completed
defects lists.

(c) Pre-commissioning Manager

The Pre-Commissioning Manager Manager has overall responsibility for the coordination and execution of all Pre-
Commissioning activities, Stage 1 – Construction Verification and Stage 2 – Engergisation. This includes the
development of all plans, processes and procedures and their communication to all team members, working with the

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project commisisoning team and operations managers. Thorough and effective pre-commissioning is essential to
success in the following commissioning stages,

(d) Commissioning Manager

The Commissioning Manager, depending on the direction of the Project Manager, may either;

 work for the construction contractor and report to the EPCM Project Manager, either directly or via the
Construction Manager, or
 be independently appointed and report directly to the Project Manager

The Commissioning Manager is responsible for Commissioning Stages 2-4 (Energisation to Load Commissioning). The
Commissioning Manager has control of the facility or subsystem and provides the overall planning and management of
the commissioning process in coordination with the Owner’s Team Commissioning Manager. For large and complex
projects, a skilled and proven individual is recommended for this position. This role requires a person with excellent
planning, coordinating and relationship skills. The working relationships between the Operations Manager, Construction
Manager and Commissioning Manager are very important.

The Commissioning Manager is accountable for the successful completion of the activities and outcomes listed in the
table below and may choose to delegate responsibility for the activities to members of the Commissioning Team. The
Commissioning Manager works closely with Operational Readiness Manager to plan for the involvement of the
operations team in commissioning.

The size and structure of Commissioning Teams will vary from project to project. The Commissioning Manager must
decide what roles are needed, and must document the organisational structure, role and responsibilities (RACI) as part
of the Commissioning Management Plan.

Commissioning Manager Responsibilities

1 Planning and scheduling the overall commissioning process, to ensure a quality outcome is achieved in a
safe and efficient manner:

 Developing Commissioning Plan documentation as listed in Appendix D1 including:

o Commissioning Management Plan

o Safety Management Plan
o Energisation Plan
o Detailed Commissioning Schedule
o Training Plan

 Identifying resources required for successful commissioning, and co-commitments from other parties
 Grouping of the project facilities into systems and subsystems suitable for commissioning.
 Scheduling the commissioning activities of into logical sequence that is consistent with construction
activities.
 Ensuring Notice of Energisation is issued and properly communicated
 Ensuring Acceptance Criteria are developed and approved plans developed to test equipment to the
criteria.

2 Managing the Commissioning Team:

 Establishing team organization.

 Ensuring that commissioning and operations team members understand their responsibilities and roles

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Commissioning Manager Responsibilities

 Ensuring that commissioning information and documents are distributed to Commissioning team
members.
 Ensuring the commissioning team has the equipment they require.
 Ensuring the commissioning team understands and follow standards set by the commissioning
documents.
 Arranging daily pre-start coordination meetings and shift handover meetings to keep commissioning
team members informed and focused on critical tasks ahead.
 The supervision of any operators, maintainers or other operations staff who participate in the
Commissioning process.

3 Ensuring Commissioning is completed safely:

 Providing a safe working environment for commissioning team.

 Ensuring that all team members are inducted and can commission the plant in a safe fashion.
 Ensuring that all health and safety requirements are understood and followed.
 Ensure red lined, as built, electrical and instrumentation drawings are placed in substations
 Ensure electrical switch gear and equipment custody tagging is in place
 Ensuring that Job Hazard Analysis (JHA)/risk assessment are completed for all tasks in accordance to
Rio Tinto HSEQ requirements.
 Ensuring that hazard and risk assessments are conducted, the risk register is updated, and problems
are fixed.
 Ensuring change management procedures are followed.

4 Liaising with Stakeholders:

 Liaising with the Construction Manager to ensure that construction work takes place according in the
agreed order of priority.
 Monitoring the construction process of the facilities and keeping informed of the availability of plant
subsystems for commissioning.
 Informing the Construction Manager and the EPCM project manager on the commissioning progress
and potential issues.
 Liaising with the Operations representative on commissioning progress, changes and possible
disruptions to production.
 Ensuring vendors are on-site to commission their equipment, supply required equipment installation,
operating and maintenance manuals prior to Energisation, and conduct training as required.

5 Managing the Commissioning process against the plan

 Ensuring that commissioning activities follow the commissioning plan and procedures.
 Authorising and controlling expenditure
 Managing prioritisation and correction of Punch list items, and ensuring lists are kept up-to-date.
 Identifying anything that has the potential to affect the commissioning schedule.
 Monitoring and adjusting the plan / schedule as necessary.
 Ensure Commissioning spares are procured ahead of commissioning and a tracking system is in place
to monitor usage and re-order if required.
 Managing the necessary statutory approvals and notifications.

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Commissioning Manager Responsibilities

6 Managing Commissioning documentation:

 Ensuring all commissioning documents are completed by the times required,

 Ensuring commissioning test records are completed and signed,
 Approving and signing all documentation,
 Ensuring all drawings are updated and distributed as required,
 Preparing Stage 4 Handover Dossier as outlined in Appendix D3.

(d) Commissioning Team

The size and structure of commissioning team will vary from project to project. It may comprise a number of separate
commissioning groups to allow subsystems to be commissioned simultaneously.

The Commissioning Manager decides the make-up of the Commissioning team. A description of the roles and
responsibilities and an organisation chart is to be included in the Commissioning Management Plan.

The Operations Representative and Commissioning Manager need to agree on the breakdown and supply of
Operations personnel for the various stages of the commissioning. (If they cannot agree, the owners team project
manager should decide.) For example, during Load commissioning supervisors, operations and maintenance
personnel will normally be supplied by the site. At other times contract personnel or the Operations discipline
technicians may be used.

Some team members could have several roles, but those involved in the commissioning should be allocated full time
for the duration of their involvement.

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5 Commissioning Planning
a) Purpose

The purpose of Commissioning planning is to determine and coordinate activities so that the commissioning process
delivers a quality outcome in a safe and efficient way.

Planning needs to consider the scope of the work, roles and responsibilities, work sequence and schedules, safety and
risk management strategies, support resources, materials and tools.

(b) Responsibility

The Commission Manager is responsible for planning the entire commissioning process and producing the various
Plan Documents outlined below, with assistance from other team members in this process.

(c) Details

The Commissioning Manager should consider the following:

 The HSEQ health, safety, and environmental standards must be followed throughout the commissioning process,
 The commissioning schedule should use subsystems that can be commissioned in isolation. This makes the
process as flexible and efficient as possible.
 Include OEM and vendor representatives in the commissioning process whenever possible.
 Manpower requirements and responsibilities for commissioning personnel must be detailed and clearly
communicated.
 The process must produce traceable and comprehensive commissioning documents. All field records must be
completed and compiled in a master system.
 Everyone involved must be adequately trained to execute all commissioning procedures relevant to their role;
 A verification test plan that describes how the tests will be run must be agreed between the Commissioning
Manager and Owner’s representative e.g. will only be run for the facility as a whole or will first be run on individual
equipment? How many stops/starts will there be? When can the test be run?

5.1 Plan Documents

Commissioning plans contains all the specific descriptive information necessary for the commissioning team members
to correctly commission the facilities. The level of detail and complexity needs to match the needs of the project and
team.

Specific plan documents are required:

 Commissioning Management Plan

 Pre-commissioning Plan
 Safety Management Plan ncluding CRM and health and well being
 Handover Plan
 Tie-in Plan (brownfield project only)
 Detailed Commissioning Schedule
 Commissioning procedures
 Training Plan

Appendix D outlines the content and purpose of each document.

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5.2 Training Planning

A Training Plan is developed to ensure that all individuals involved in commissioning are appropriately trained and
competent in the implementation of the commissioning program. Training for commissioning is typically part of the
overall operator and maintainer training program within the Operational Readiness scope of work. However,
depending on the commissioning strategy (for example EPC) this may vary.

The Training Plan should consider the need for initial and on-going training. It should consider:

 The training needs analysis

 The training requirement (number of people, course size, limitations of the existing operations).
 Training facilities, equipment requirements.
 Content and format of the training manuals.
 Personnel Requirements (additional staff).
 Types of Training and Potential Delivery Mechanisms.
 Moving from the Initial Facility training to sustainable ongoing training.
 The responsibility for developing, checking the various documents required for each competency.

For each competency a Training and Assessment Standard plan will be developed to enable the development of the
training and assessment package for each competency.

The primary aim of the on-going training is to provide knowledge to the maintenance and operations workforce on the
following content:

 Details of the equipment and its normal operation.

 Important safety information from the designers and installers.
 The performance of routine maintenance tasks (6 weeks and less)

The training manuals identified and prepared per the Training Plan should contain sufficient information to be used
during training and later as a reference for operators and maintenance. The contents of these documents typically
include:

 Applicable engineering and OEM drawings

 Overview of the facility/equipment;
 Equipment location;
 Controls;
 Emergency stops/shutdown procedure;
 Procedure for operation;
 Preparation;
 Operation;
 Completion of Operation;
 Recovery from trips / abnormal conditions;
 Preparation for Maintenance; and
 Storm preparations.

These documents should be written in a language and format easily understood by maintainers and operators, utilizing
photos of the equipment rather than drawings / diagrams when possible.

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6 Commissioning Safety
Commissioning must be carried out in line with the Rio Tinto HSEQ standards, CRM requirements and Statutory
Regulations.

More detail can be found in Appendix B

Safety considerations must be integral to each step of the process, and built into the commissioning planning. Before
commissioning starts a Commissioning Safety Management Plan must be developed.

During commissioning, team members must adhere to the approved commissioning safety plan and use adequate
protective clothing, safety equipment and signs to protect themselves and others against potential hazards. Such
protective clothing, safety equipment and signs must be present and in good working conditions before any site activity
can start.

6.1 Energising and Isolating

During the commissioning process, plant and equipment will need to be isolated and de-isolated. Rio Tinto has specific
regulations for isolations and de-isolations which must be followed at all times.

The required levels of controls and training in place will depend on the type of project (green or brown fields), the
handover sequence of the project and the ownership of the facility.

Prior to any energisation (by any source), all systems and training required shall be in place for construction and
commissioning teams to enable the project to proceed safely.

The Isolation Regulations have details on:

 Who can create isolation matrices and how they are to be created
 who can carry out isolations and de-isolations,
 how to carry out isolations and de-isolations,
 the use of tags to indicate an isolation.

Unless the project enables clear transition of entire facilities between Construction, Commissioning and Operations
teams, a method of visibly identifying in the field (custody tagging – see section 6.4) which organisation is responsible
for individual isolation points shall be instigated.

6.2 Hazard Analysis

A commissioning hazard analysis in accordance Rio Tinto and business unit procedures shall be conducted as part of
the Commissioning Planning process. The analysis shall be attended by representatives from the following groups; the
EPCM design team, the commissioning team, Operations, Construction, Rio Tinto Projects, and major vendors if
required. The analysis shall review the risk registers from the previous hazard analyses conducted at earlier stages in
the project and use them as a basis for this study.

Throughout the Construction and Commissioning phase of the Project, various aspects of the plant may be identified
that could pose Risks and Hazards to Operations/Maintenance personnel upon handover of the plant. The Nominated
Operations Representative is to be formally advised of these as early as possible and provided updates as
commissioning progresses.

It is a requirement that the Commissioning team involved in the Construction and Commissioning phase continually
identify any such potential hazards. These potential hazards may be noted at Construction & Commissioning meetings
and entered into the Hazard Risk Register.

Regular review of the Risk Register will allow for engineering modifications to remove the Hazard or Operational
procedures to be written to mitigate the risk. Items are to be closed on the register if the Hazard or Risk is removed.

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The Nominated Operation Representative is to be formally advised of changes and updates to the register on a regular
basis. On handover of the facility control of the as-commissioned register is to be formally transmitted to the Nominated
Operations Representative.

After hazard analyses are conducted the Commissioning Manager and Safety Adviser in conjunction with the Project
Safety Manager and the Owner Safety Adviser shall review the Project Safety Management Plan and ensure there are
appropriate provisions for managing the specific hazards introduced by commissioning.

6.3 Change management

Commissioning introduces a large amount of change to personnel, physical equipment and facilities, and process
operations. For commissioning to be safe and successful, a method of Change Management which is effective but
does not unduly impede progress is required. A change control process shall be outlined as part of the facility Safety
Management plan to ensure:

 The change and the reasons for the change are documented.
 The change is authorised at the required level.
 The change is assessed by the appropriate level of technical expertise.
 The Nominated Operations Rep and other relevant Operations and Project people are involved.
 The cost of the change is properly estimated.
 A system exists which allows for the revision of project drawings and documentation including training manuals ,
operating procedures, maintenance and emergency procedures for changes during commissioning.

It must ensure that, prior to handing over a change for normal use:

 Appropriate information on the change is released and training provided to all those affected.
 An acceptance check shall be carried out to ensure:
 The changes have been carried out in accordance with the authorised change proposal;
 All actions from the review process, including any studies/assessments called for have been satisfactorily
completed and all outcomes included;
 The physical change has not introduced any unforeseen risks;
 The change has achieved its objectives.

When assessing a change the following must be identified:

 The hazards associated with the proposed change are identified;

 Control mechanisms to eliminate or minimise the risks are applied;
 Standards to be used, (the expectation is the project standards apply);
 Any Regulatory requirements that must be met;
 If a change is subject to trial, the duration and measures for the trial;
 When the change is to be implemented.

To ensure the change management process does not unduly impede the progress of commissioning, the
commissioning plan needs to have those responsible for evaluating changes clearly identified and available and the
communications process clear.

There must also be a contingency procedure in the Change Management process to cover situations in which
proposed changes must be completed before the full assessment procedure is complete. Such a procedure must
incorporate the approval of the Commissioning Manager and notification to the nominated Operations Representative.
As soon as practicable after the change, it must be assessed and appropriately documented.

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6.4 Custody Tagging

Throughout the execution of construction, testing and commissioning activities all personnel must adhere to and
operate within the limitations of the custody tagging methodology. Each phase of testing will have a clear and
unambiguous custody tag stating the current group in control of all facilities and equipment.

The custody tags will be transitioned on each piece of equipment and the energy source feeding the piece of
equipment by the removal of previous stages tags and attachment of the next stages tags. No testing is to occur prior
to all tags being replaced for the transferred system and without the appropriate tag attached.

It should be noted that any equipment under either the Equipment Testing or Under Operations Tags may start at any
time without warning and appropriate measures should be taken to ensure all project and site personnel are aware of
the project tagging procedures. In addition to custody tagging, the site lock out/tag out procedures must be followed at
all times.

The Custody tags shall be clearly identified with the appropriate chain of custody colour and proper custody
information, including a space for the “responsible party” to sign and date.

The following descriptions serve as examples of wording to be used on equipment custody tags (see Appendix D6.6).
Although specific tag wording may differ slightly, all tags must clearly and completely convey the current custody
(ownership) and status of the equipment. In addition to what is shown below, some operations use a four tag system
with a blue tag for pre commissioning

 Construction Tag – This tag will be red in colour and marked with black lettering “EQUIPMENT IS UNDER
CONSTRUCTION - DANGER DO NOT OPERATE”. This tag shall be placed on the equipment and the energy
source(s) feeding that piece of equipment during construction prior to the commissioning taking custody.
 Testing (Commissioning) Tag - This tag will be yellow in colour and marked with black lettering “EQUIPMENT
TESTING - CAUTION EQUIPMENT UNDER TEST”. This tag shall be placed on equipment and the energy
source(s) feeding that piece of equipment at the time of acceptance by the Commissioning team and shall remain
in place until all stages of commissioning are completed and the area/system has been turned over to Operations.
The tag will indicate that the equipment may start automatically. Some projects may use a blue tag for Pre-
Commissioning and a yellow tag for Commissioning.
 Operations Tag - This tag will be green in colour and marked with black lettering “EQUIPMENT UNDER
OPERATIONS – CAUTION EQUIPMENT IS OPERATIONAL”. This tag shall be placed on equipment and the
energy source(s) feeding that piece of equipment at the time of final acceptance by Operations group and shall
remain in place until the completion of the project.

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7 Warranty Management
The Project Team must develop a register of current warranty issues as well as warranty periods for facility and
equipment with a list of OEM contacts and provide this to Operations as part of the Stage 4 Handover Dossier. Once
handover has occurred, warranty management transfers from the Project team to the Site Operations team.

8 External References
Rio Tinto Projects intranet site and PM+ including;

 Comissioning Planning, Management and Implementation

 Commissioning Management Procedure
 Rio Tinto Operational Engagement and Readiness Manual

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Appendix A – Commissioning Roles and Responsibilities

EPCM Construction Manager Commissioning Manager Project Manager Operational Readiness Manager Operations Team (Operators, Maintainers and Tech Specialists)

Construction  Ownership & Statutory Resp. for facility (May be Registered  Review the Commissioning Plan / Schedule developed at DES  Agree commissioning plan and team requirements.  Support Commissioning Planning.  Training plan reviewed for site
Mine Mgr for site.)  Determine Commissioning Team roles and select people.  Ensure commissioning is carried out safely in accordance with  Facilitate & coordinate interaction between EPCM and site  Review the adequacy of safe work, isolation and operating /
Verification
 Ensure Construction Verification activities complete.  Approve Stage 1 Handover Dossier HSEQ Standards. Ops. Resolve any interface issues. maintenance procedures developed during the
 Ensure activities performed safely.  Inspect facility at end of Construction Verification.  Interact with wider stakeholder group to ensure project implementation phase
 Sign Request to Energise form.
 Inspect facility at end of Construction Verification.  Sign Request to Energise form. success (e.g. Assets team).  Support verification work and punch list development
 Issue Notice of Energisation Certificate.
 Compile Stage 1 Handover Dossier and submit to  Organise Operations team involvement in commissioning  Provide site technical assistance to Project Manager
 Place “Under Commissioning Control” tags
Commissioning Mgr. process  Review drawings & provide site technical input.
 Sign Transfer of Control form.
 Ensure Punch list A items complete and signed-off  Attend HazID study.  Attend HazID study
 Ensure HazID study completed before Energisation.
 Log gook entries and high voltage submissions have been  Approve Change Management requests.
entered and lodged  Ensure Vendors have supplied adequate installation,
operating and maintenance manuals prior to Energisation.
 Complete and sign Request to Energise form.
 Submit Transfer of Control form to Commissioning Mgr.
 Attend HazID study.
Energisation May have Statutory Responsibility for facility as Registered Mine  Owner of facility.  Ensure commissioning is carried out safely in accordance with  Facilitate and coordinate interaction between EPCM and site  Ensure adequate Operations and Maintenance personnel will
 Ensure all activities performed safely. HSEQ Standards. operations team. Resolve any interface issues. be in place to accept facility at end of Load Commissioning.
Manager.
 Ensure all Energisation activities complete including testing of  Inform site team of commissioning progress and schedule.  Coordinate development of BOMs and functional locations for  Training plan activated
safety interlocks, permissives and controls  Approve Change Management requests. new equipment in SAP  Review the application of safe work, isolation and operating /
 Ensure A Punch list items complete and signed-off  Review drawings & provide site technical input. maintenance procedures during energisation, update as
required
 Ensuring spares & consumables for commissioning in stock.
 Ensuring Process control system integrated into plant
information systems.
 Training Plan activated
No-Load May have Statutory Responsibility for facility as Registered Mine  Owner of facility.  Ensure commissioning is carried out safely in accordance with  Facilitate and coordinate interaction between EPCM and site  Participate in on-the-job training.
 Ensure all activities performed safely. HSEQ Standards. Ops. Resolve any interface issues.  Ensure spare parts policy has been developed and storage
Commissioning Manager.
 Ensure all No-Load Commissioning activities complete.  Inform site team of commissioning progress and schedule.  Review drawings & provide site technical input. facilities identified.
 Control system permissives and interlocks tested  Approve Change Management requests.
 Ensure A & B Punch list items complete and signed-off.
 Sign-off Test Sheets
Load May have Statutory Responsibility for facility as Registered Mine  Owner of facility.  Ensure upstream and downstream processes capable of  Facilitate and coordinate interaction between EPCM and site  Participate in on-the-job training.
 Ensure all activities performed safely. meeting Load commissioning requirements. Ops. Resolve any interface issues.  Contribute to deficiency list.
Commissioning Manager.
 Ensure all Load Commissioning activities complete.  Ensure commissioning is carried out safely in accordance with  Coordinate Assets group and site planners to switch on  Achieve required competencies to operate new facility
HSEQ Standards. Maintenance plans for new equipment.
 Sign-off Test Sheets and punch lists  Update safe work, isolation and operating / maintenance
 Inform site team of commissioning progress and schedule.  Review drawings & provide site technical input. procedures as required
 Ensure training of Operations people.
 Approve Change Management requests.
 Compile Stage 4 Handover Dossier and submit to Owner’s
Rep  Coordinate Operations team documentation.
 Complete and disseminate As-Commissioned drawings.  Review & approve Stage 4 Handover Dossier.
 Distribute As-Commissioned PLC and control system codes.  Receive and approve Vendor MDRs.
 Marked up and distribute functional descriptions.  Inspect Facility.
 Inspect Facility.  Develop implementation plan for integration of facility into
Operations.
 Prepare Stage 4 Handover Certificate and send to Owner’s
Rep  Sign Handover Certificate.

Care, Custody and  Clarify Acceptance Criteria (if required).  Sign-off on Acceptance Criteria  Facilitate and coordinate interaction between EPCM and site  Assume statutory responsibility and ownership of facility.
 Plan / schedule Performance Verification tests / trials.  Sign-off on Performance Verification trial plan & schedule. Ops. Resolve any interface issues.  Operate and maintain facility.
Control
 Ensure delay accounting system is functional  Organise resources required for Performance Verification.  Assist Commissioning Mgr to verify acceptance criteria.  Responsible for operating and maintenance costs
 Handover commissioning spares.  Ensure upstream and downstream processes capable of  Assist with and review Performance Verification trial plan &
meeting trial requirements. schedule.

Performance  Manage Verification trials  Coordinate site resource requirements for trial.  Assist Project Manager and Commissioning Manager to  Statutory responsibility and ownership of facility.
 Analyse data & report trial results to Ops Mgr.  Inform site team of commissioning progress and schedule. coordinate site resource requirements for trial.  Operate and maintain facility.
Verification
 Coordinating rectification of any issues identified during trials.   Responsible for operating and maintenance costs
 Ensure as-built drawings completed and distributed.  Participate in trials as required.
 Issue Final Project Completion certificate.

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Appendix B – Commissioning Safety: Details

B.1 Commissioning HSEQ Management Plan
Safety Management Plans are to comply with the Rio Tinto HSEQ standards. The plan is to include details on
how these standards are to be applied to the project.

The Plan should cover the following topics:

 The scope of the commissioning

 Objectives and targets
 Responsibility and structure
 Contractor management
 Training awareness and competency
 Communication
 Monitoring and measurement
 Health surveillance
 Inspection and audit
 Hazard analysis studies and incident reporting
 Preventative and corrective action management
 Emergency response planning
 Document control
 Records management
 Management review

All Commissioning works shall comply with the appropriate site safety system. All work shall be undertaken in
accordance with the Commissioning Safety Management Plan. The safety plan includes, but is not limited to the
following. In addition, all relevant statutory regulations must be followed at all times.

 Access.
 Shutdown Permit System.
 Hot Work.
 Vessel Entry.
 Confined Space Entry.
 Working at Heights
 Grid Mesh Removal.
 Man Cage Use and Electrical Work.
 Job Safety Analyses and Safe Work Procedures shall be undertaken as a priority when planning the works,
particularly those involved with shutdowns, heavy lifts (20 ton or greater) and dual crane lifts.
 Commissioning access including the use of scaffolds.
 The use of scaffolding to create a ‘bridge’ over live & operating equipment.
 Transport details and traffic management plan.
 Safety management plan references.
 Safety barriers

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Appendix C – Detailed Performance Verification Procedure

C.1 Performance Verification Purpose and Scope
Performance verification is the process of testing that the newly commissioned plant is able to sustain design
performance at the operating costs agreed in the DES. This needs to be completed before the new plant is
formally accepted by Operations, because Operations acceptance triggers:

 the disbanding of the Project Teams (Company and EPCM) not required to support ramp-up and
 the transfer of responsibility for future expenditure to Operation Manager.

The verification process needs to collect good information about the root cause of any performance issues to
allow decisions around corrective actions to be made.

This process also provides the first opportunity to establish baseline performance criteria for the new plant, which
is important for future expansion plans, improvement projects and operations / maintenance budgeting.

C.2 Performance Acceptance Criteria

The design performance of the plant should be described by the Performance Acceptance Criteria developed
during Feasibility / DES stage. Performance Acceptance Criteria define the practical design criteria against which
operations can verify that the performance of the production system. These criteria should have formed part of
project contracts. The criteria are to be set jointly and agreed between project and operations teams.

Acceptance criteria will usually cover the following:

Plant availability and utilisation.

Design Mass Balance:

Average and theoretical maximum throughput rates for each major process stream (may have range associated
with range of feed materials).

Recovery / Mass splits across separating devices.

Size reduction across crushing devices.

Product feed and product quality parameters.

To be useful, these criteria must be SMART:

Specific: Criteria must be specifically defined to avoid ambiguity or misinterpretation. e.g. throughput rate must
specify which belt the measure applies to. The acceptable tolerance on each criterion should also be specified.
Rio Tinto Standard Time and Performance metrics shall be used wherever feasible. Appendix G contains a copy
of these standard definitions.

Measurable: It must be possible to measure the criteria…[Link] is no use specifying the tonnage across a belt that
will not have a weightometer.

Appropriate: It is advisable to focus on a small number of measures that are most important to plant performance.
e.g. if it doesn’t really matter what the product moisture is, then don’t specify it as a criteria.

Realistic: Criteria should reflect realistic performance expectations.

Timely: The time required to verify performance should be considered in choosing the acceptance criteria. e.g.
total Plant Availability can only be confirmed over a long period of time (months).

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C.3 Cost Verification

In addition, for the plant to achieve the return on investment approved in the DES, the plant must be able to
achieve design performance at the design cost. The verification process should therefore check (to the extent
possible in a short time) that the major costs are within the ballpark of design assumptions, including:

 Power / fuel consumption

 Manning levels (operations, maintenance and clean-up).

C.4 Designing Performance Verification Trials

The Commissioning Manager is responsible for designing and planning Performance Verification tests / trials.
The tests / trials required for Performance Verification should be designed carefully to minimize the risk of
inconclusive results. Where plant sampling is required, the Metallurgical Development team are key resources for
this process.

Trial duration will be a trade-off between cost / time and confidence in results. The trial needs to be of sufficient
duration to verify that:

 Plant can achieve required availability, production rates and utilisation.

 Plant can sustain design throughput over significant operating duration..
 This performance can be achieved over the range of feed types the plant will experience in normal operation.
 This performance can be achieved with design manning levels (including clean-up / spillage management)
 MTBF, MTTR and condition monitoring results suggest design availability can be achieved.

The trial is designed to test sustained operation. Therefore, if the plant has a significant failure during the course
of the trial, it is generally necessary to restart the trial.

Some examples of Verification Trial plans can be sourced from other expansion projects.

Root Cause Analysis

Where plant performance does not achieve acceptance criteria, it is important to have the information required to
diagnose the root cause. This is necessary so that the appropriate corrective actions can be taken.

A functioning delay accounting system will be required, and should support the differentiation of downtime and
periods of low throughput rate into the following cause categories:

 Operation: operator error / inexperience, non-optimal operation.

 Design / flowsheet fault: Plant not performing as predicted by modelling.
 Construction fault: Equipment not installed correctly.
 Maintenance: Breakdown or planned maintenance downtime.
 Upstream or downstream issues: Feed-related issues, full stockpile.
 External issues: Weather, Power failure etc.

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Appendix D - Commissioning Documents

This section lists the documents that must be completed before and during commissioning.

The commissioning manager is responsible for allocating the required resources to prepare these documents. If
more people are needed, the commissioning manager should consult with the project manager.

D.1 Commissioning Plans

The Facility Commissioning Plans contains all the specific descriptive information necessary for the
commissioning team members to correctly commission the facilities. The level of detail and complexity needs to
match the needs of the project and team.

The Commissioning Manager is accountable for commissioning planning with the assistance of other resources.

Four specific Plan Documents are required:

 Commissioning Management Plan

 Safety Management Plan
 Commissioning Procedures
 Detailed Commissioning Schedule

D.1.1 Commissioning Management Plan

The Commissioning Management Plan is the formal document created to manage and control of the
commissioning process. Individual plans should be developed for each facility.

Contents of Commissioning Management Plan

1 Project scope

2 Facility Description

3 Commissioning Team Organisation:

The roles and responsibilities of the commissioning and operations teams, complete with an
Organisation Chart

4 Operations Interface Management

5 Commissioning Schedule - High Level:

Description of the sequence of commissioning of the facility and the specific activities which will occur
within the facility at each stage.

6 Manpower Schedule that describes what is to be done and the manpower requirements (from the
commissioning team, vendors, contractors and operations team).

7 Procedures specific to commissioning.

This area includes; energisation management, handover management, start-up, shutdown,

emergency stop, product quality measuring.

8 Systems to monitor progress and compare to the master schedule and budget

9 Reference Materials:

Contains all of the reference materials the commissioning team needs for correctly commissioning
that plant or facility, e.g. Model Commissioning Documents, Test Registers, Test Sheets and
Certificates.

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Contents of Commissioning Management Plan

10 Performance/Acceptance Criteria and tests to be conducted.

11 Materials and Spares Management:

Processes to ensure all necessary tools, test equipment, spares, materials and consumables required
to support commissioning are available on site

12 Post-handover activities:

Includes support to be provided for operations once the facilities are handed over (what technical
support will be available and for how long). Also specifies the project completion data management
process.

D.1.2 Commissioning Safety Management Plan

Refer to Appendix B1

D.1.3 Detailed Commissioning Schedule

The Commissioning schedule should be a Gantt chart showing the sequence and timing of major commissioning
activities and milestones. This document should be kept live; continuously updated as the project proceeds.

The schedule needs to be provided in a form that all stakeholders can understand and use. The level of detail
reflected in the schedule should allow stakeholders to keep an overall perspective on commissioning activities.
Critical Path activities must be clearly marked. It is recommended to keep to sub-system level detail and daily
time resolution.

D.2 Stage 1 Handover Dossier – Post Construction Verification

Contents of Stage 1 Handover Dossier

1 Punch list

 A printed copy of the Construction Punch list status from the database is to be included in the
handover dossier. This list should show that all Category A construction punch list items for the
Facility have been completed. The Construction Manager is to sign each defects list when all
items on the list have been fixed.

2 As-Constructed Marked-Up Electrical & Instrument Drawings

 Establishing team organization.

 Ensuring that commissioning and operations team members understand their responsibilities and
roles
 Ensuring that commissioning information and documents are distributed to Commissioning team
members.
 Ensuring the commissioning team has the equipment they require.
 Ensuring the commissioning team understands and follows standards set by the commissioning
documents.
 Arranging daily pre-start coordination meetings and shift handover meetings to keep
commissioning team members informed and focused on critical tasks ahead.
 The supervision of any operators, maintainers or other operations staff who participate in the
Commissioning process.

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Contents of Stage 1 Handover Dossier

3 As-Constructed Marked-Up P&IDs

 Piping and instrumentation diagrams relating to the nominated equipment are to have any
changes marked up in red ink and stamped "as constructed".

4 Electrical and Mechanical Installation Verification Records

 Each installation constructor is required to submit completed electrical and mechanical

construction verification records relating to the nominated equipment.

5 Vendor Installation, Operating and Maintenance Manuals

6 Stage 1 Field Test Records completed and signed off by authorised personnel. Including where
appropriate:

 pressure testing of pipes and vessels;

 structural installation;
 mechanical installation and pre-energisation testing;
 electrical installation and pre-energisation testing;
 instrument installation and pre-energisation testing;
 fire systems testing.

D.3 Stage 4 Handover Dossier – Post Load Commissioning

Prior to the facility moving to Care, Custody and Control, the Commissioning Manager should handover to the
Owner’s Representative a Stage 4 Handover Dossier containing as listed below.

In addition to any hardcopies that are issued, an electronic copy of the Dossier must be stored in a Project-
specific folder.

Contents of Stage 4 Handover Dossier

Health, Safety and Environmental

Environmental Protection Measures and Housekeeping Inspection

 Results from the final inspection verifying that all construction equipment and debris that is no longer
required has been removed from the operating facility. Any exemptions are to be agreed and listed in the
handover dossier.
 Commissioning environmental incidents are closed out and a copy of the reports included in the Handover
Dossier.

Statutory and Regulatory Approvals (Classified Equipment)

 A list of received approvals is to be included in the dossier, including pressure vessels and hoists.

Risk Register

 The risk register for the project which commenced at the design HAZlD is to be maintained and updated
throughout the Commissioning process and the final register with the action items by the project closed out
is to be included in the Handover Dossier.

Engineering

Lubrication Schedules Prepared

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Contents of Stage 4 Handover Dossier

 All equipment requiring scheduled lubrication are to be identified and the required lubricant type, volume
and frequency of application to be identified in a schedule.
 A printout of the lubrication master schedule listing the equipment number, equipment description, lubricant
type, volume and frequency of application is to be included in the Handover Dossier.

Insurance Spares Supplied or Ordered

 A list of insurance spares supplied or on order by the Project for the facility is to be included in the Handover
Dossier.

Commissioning

Punch list Items Complete

 A printed copy of the punch list item status from the database is to be included in the handover dossier.
This should show that all Category A and B Construction and Commissioning Punch list items for the facility
have been completed.

Commissioning Records Manual

The Commissioning Records Manual is a commissioning document that contains all of the records taken during
the commissioning of the facilities and forms part of the Hand over dossier. It contains the following sections:

 A section for each subsystem.

Each subsystem section further divides into subsections, one for each discipline. Similarly, each discipline
subsection divides into minor sections that each is for a relevant stage of commissioning. e.g.

o Stages 1 and 2 for mechanical discipline.

o Stages 1 and 2 for electrical discipline.
o Stages 1 and 2 for instrument discipline.
o Stages 1, 2 and 3a for controls discipline
o Stages 3b and 4 for process discipline.

 Completed process operating instructions that refer to two or more subsystems.

 Finalised engineering change request register.
 Signed testing attendance notices and handover certificates.

In each minor section, the manual then holds all of the completed and relevant field test records or process
operating instructions.

The Commissioning Records Manual typically includes the following:

 Mechanical Test Register;

 Electrical/instrument Test Register;
 Controls PLC Test Register;
 Controls Equipment Test Register;
 Electrical & instrument Cable Test Register;
 Pipeline Test Register;
 Stage 2 field test record completion
 Instrument data sheets marked up in red ink and stamped "as commissioned".
 Site acceptance test (SAT) documentation has been marked up to "as-commissioned" status.
 Stage 4 commissioning test procedures marked up "as commissioned” and the test results.
 Bridge register at the time of hand over.
 Subsystem test register for Electrical Stages 1 & 2, Mechanical Stages 1, 2, 3, 4 and Controls Stages
1,2,3,4;

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Contents of Stage 4 Handover Dossier

 Completed process operating instructions;

 Final engineering change request register;
 Signed testing attendance notices and handover certificates;
 Consolidated Capital Spares List;
 Record of spares used during the commissioning period
 Defects list register containing both the completed and any outstanding items;
 Completed Vendor sign off documents;
 Training Register listing trained Operations Personnel and training modules attended;
 Special Tools register and location;
 Electronic Copies of Operation and Maintenance manuals;
 Condition Monitoring Report;
 Noise Survey Report;
 Lighting Survey Report;
 Lubrication Schedule and a record of lubes utilised for first fills with oil grades, quantity, dates, etc
 Equipment Warranty Summary;
 Isolation Procedures;
 List of red-line drawings

D.4 Vendor MDR (Manufacturer’s Data Report)

At the end of Construction Verification, each installation constructor is required to submit completed electrical and
mechanical construction verification records relating to the nominated equipment.

At Practical Completion, each installation constructor will submit an MDR which includes the original records and
all other verification data as stipulated in the respective contract documents. Final handover of the contractors
MDR will be separate to the Commissioning handover dossiers.

A copy of the document registers and document transmittal to be included in the handover dossier.

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D.5 Subsystem Register

Project X Commissioning subsystem register

System Subsystem Subsystem

Faculty System Subsystem
Description Description Diagram

YSS301 Primary sizer

1100 – Primary
sizing and 1120 Primary sizer YSS301 CH01 Primary sizer
scrubbing
discharge chute

1200 - Overland Transfer YCV301 Head chute

conveying 1210 station
YCV301/302

1400 - Overland Shuttle YSH YDU303 Dust collector

conveyor 1451
upgrade 303

D.6 Test registers

The technical assistant is to create the test registers using information provided by the discipline engineers. The
test registers are to have a header on each page that shows the:

 project name,
 test register name,
 commissioning stage,
 facility,
 system name and number and;
 subsystem name and number.

The body of each test register will identify in detail the equipment. The discipline engineer is to sign and date in
the ‘Completed’ column when the equipment’s field testing is complete.

D.6.1 Mechanical test register

Project X Mechanical test register – Stage 1
Facility: Plant services
System: 1783 Plant air - Wet plant
Subsystem: 1783-01 Plant Air - Supply

Tag No Description Equipment Type Test Sheet No Completed

YAR201 Air Receiver – Wet Plant Pressure Vessel M1-T013

YCP201A Air Compressor 1 – Wet Rotary Screw M1-T041

Plant

YCP201B Air Compressor 1 – Wet Rotary Screw M1-T041

Plant

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Group. Any request to copy or circulate this document outside a Group Company will require the prior written approval of the Head of Growth and
Innovation.
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Commissioning and Handover RTPR-COM-MAN-0001

D.6.2 Electrical test register

Project X Electrical test register – Stage 1
Facility: Plant services
System: 1770 Gland water
Subsystem: 1770 Gland water distribution

Tag No Description Equipment Type Test Sheet No Completed

PS1711 LP Gland Water Pressure Switch E1-T030

PS1712 MP Gland Water Pressure Switch E1-T030

YPP224A YPP224A Pump Drive Motor -Electric M1-T041

D.6.3 Controls test register

Project X Controls test register – Stage 1
Facility: not applicable
System: not applicable

Subsystem: not applicable

Tag No Description Equipment Type Test Sheet No Completed

PLC200 Primary Sizing PLC C1-T001

PLC201 Wet Plant – Main PLC C1-T002

PLC202 Sec. Crushing & Water PLC C1-T003

Services

D.6.4 Electrical/instrument cable test register

Project X Electrical/instrument cable test register – Stage 1
Facility: Primary sizing and scrubbing
System: 1110 Primary sizing

Subsystem: 1110-01 ROM bin and apron feeder

Cable no. From To Type Test sheet no. Completed

YFA201AVS01-C2 YMC37_M YRA201AVS01 C2 E1-T095

YFA201B-P1 YFA201VS01 YFA201BJB01 MP41 E1-T012

YFA201AVS01 YMC37_M YFA201AVS01 MP27 E1-T012

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Commissioning and Handover RTPR-COM-MAN-0001

D.6.5 Pipeline cable register

Project X Pipeline test register – Stage 1
Facility: Primary sizing and scrubbing
System: 1110 Primary sizing
Subsystem: 1110-05 Area sump and transfer pump

Line Number From To Test Sheet No Completed

1120-01-ST-SC1/1-80 YPP211 YTK203 M1-T092

1120-02-ST-SC1/1-80 YPP216 YTK214 M1-T092

1120-08-ST-SC1/1-100 YTK213 YPP220 M1-T092

D.6.6 Commissioning Tags example

D.6.6.1 Mechanical completion

D.6.6.2 Practical completion

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Commissioning and Handover RTPR-COM-MAN-0001

D.6.6.3 Industrial completion

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