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BSR/ASHRAE/IES Standard 202P

______________Second Public Review Draft

Commissioning Process for Buildings and Systems Second Public Review (November 2012) (Complete Draft for Full Review) This draft has been recommended for public review by the responsible project committee. To submit a comment on this proposed standard, go to the ASHRAE website at www.ashrae.org/standards-research--technology/publicreview-drafts and access the online comment database. The draft is subject to modification until it is approved for publication by the Board of Directors and ANSI. Until this time, the current edition of the standard (as modified by any published addenda on the ASHRAE website) remains in effect. The current edition of any standard may be purchased from the ASHRAE Online Store at www.ashrae.org/bookstore or by calling 404-636-8400 or 1-800-7274723 (for orders in the U.S. or Canada). The appearance of any technical data or editorial material in this public review document does not constitute endorsement, warranty, or guaranty by ASHRAE of any product, service, process, procedure, or design, and ASHRAE expressly disclaims such. © 2012 ASHRAE. This draft is covered under ASHRAE copyright. Permission to reproduce or redistribute all or any part of this document must be obtained from the ASHRAE Manager of Standards, 1791 Tullie Circle, NE, Atlanta, GA 30329. Phone: 404-636-8400, Ext. 1125. Fax: 404-321-5478. E-mail: [email protected]. ASHRAE, 1791 Tullie Circle, NE, Atlanta GA 30329-2305

BSR/ASHRAE/IES Standard 202P, Commissioning Process for Buildings and Systems Second Public Review Draft

ASHRAE Standard Project Committee 202 Cognizant TC: TC 7.9, Building Commissioning SPLS Liaison: Janice C. Peterson IES Liaison: Rita M. Harrold Gerald J. Kettler Chair*

William J McCartney*

Timothy F. Corbett

Dr. Charles Dorgan Vice-Chair*

Rod Rabold*

Justin F. Garner

Dr, Walter Grondzik Secretary*

Reinhard G. Seidl*

Earle Kennett

Michael Amstadt*

Daniel J. Lemieux*

Kenneth Simpson

Dennis E. Jones*

Jeff J. Traylor*

Brian E. Toeves

Harry Jay Enck*

Stephen R. Wiggins*

David Underwood

Bradley Brooks*

Jean-Francois Pelletier*

James Magee*

Alonzo B. Blalock * Designates members of voting status ASHRAE STANDARDS COMMITTEE

SPECIAL NOTE This Standard was developed under the auspices of the American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE). ASHRAE Standards are developed under a review process, identifying a standard for the design, testing, application, or evaluation of a specific product, concept, or practice . ASHRAE Standards are prepared by project committees appointed specifically for the purpose of writing Standards. The project committee chair and vice-chair must be members of ASHRAE; while other committee members may or may not be ASHRAE members, all must be technically qualified in the subject area of the Standard . The Assistant Director of Technology for Standards and Special Projects of ASHRAE should be contacted for: a. interpretation of the contents of this Standard, b. participation in the next review of the Standard, c. offering constructive criticism for improving the Standard, or d. permission to reprint portions of the Standard

DISCLAIMER ASHRAE uses its best efforts to promulgate Standards and Guidelines for the benefit of the public in light of available information and accepted industry practices. However, ASH RAE does not guarantee, certify, or assure the safety or performance of any products, components, or systems tested, installed, or operated in accordance with ASHRAE’s Standards or Guidelines or that any tests conducted under its Standards or Guidelines will be nonhazardous or free from risk .or that it will be nonhazardous or free from risk.

ASHRAE INDUSTRIAL ADVERTISING POLICY ON STANDARDS ASHRAE Standards and Guidelines are established to assist industry and the public by offering a uniform method of testing for rating purposes, by suggesting safe practices in designing and installing equipment, by providing proper definitions of this equipment, and by providing other information that may serve to guide the industry. The creation of ASHRAE Standards and Guidelines is determined by the need for them, and conformance to them is completely voluntary. In referring to this Standard or Guideline and in marking of equipment and in advertising, no claim shall be made, either stated or implied, that the product has been approved by ASHRAE.

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TABLE OF CONTENTS FOREWORD................................................................................................................................ 4 1.

PURPOSE ............................................................................................................................. 5

2.

SCOPE .................................................................................................................................. 5

3.

DEFINITIONS ........................................................................................................................ 5

4.

UTILIZATION ......................................................................................................................... 8

5.

INITIATING THE COMMISSIONING PROCESS .................................................................. 9

6.

OWNER'S PROJECT REQUIREMENTS ............................................................................ 11

7.

COMMISSIONING PLAN .................................................................................................... 13

8.

BASIS OF DESIGN ............................................................................................................. 13

9.

CONTRACTOR, SUPPLIER, AND MANUFACTURER COMMISSIONING REQUIREMENTS ................................................................................................................ 14

10. DESIGN REVIEW ................................................................................................................ 15 11. COMMISSIONING SUBMITTAL REVIEW .......................................................................... 15 12. CONSTRUCTION OBSERVATION AND TESTING............................................................ 16 13. ISSUES AND RESOLUTIONS DOCUMENTATION ........................................................... 18 14. SYSTEMS MANUAL ........................................................................................................... 18 15. TRAINING ........................................................................................................................... 19 16. POST OCCUPANCY OPERATION ................................................................................... 20 17. COMMISSIONING REPORT ............................................................................................... 21 INDEX TO INFORMATIVE ANNEXES .................................................................................... 22

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(This foreword is not part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.) FOREWORD The Commissioning Process is the Owner’s quality-oriented process for achieving, evaluating, and documenting that the performance of buildings, systems, and assemblies meets defined objectives and criteria. The Commissioning Process assumes that owners, programmers, designers, contractors, and operations and maintenance entities are fully accountable for the quality of their work. The Commissioning Team uses methods and tools to evaluate that the project is achieving the Owner’s Project Requirements throughout the delivery of the project. The Commissioning Process begins at project inception (during the Pre-Design Phase) and continues for the life of the facility (through the Occupancy and Operations). Because this standard details a process, it can be applied to both new and renovation projects. The Commissioning Process includes specific tasks to be conducted to evaluate if the design, construction, , testing, documentation, and training meet the Owner’s Project Requirements. This standard describes the overall Commissioning Process in order to provide a uniform, integrated, and consistent approach for delivering and operating facilities that meet an owner’s on-going requirements. Due to the inherent variations in the planning and data gathering process in existing buildings and on-going commissioning, this standard and process is intended for projects including construction and renovation (sometimes called ‘capital’ projects). During an existing building commissioning process, if the project construction utilized the Cx process, the OPR may transition to the Current Facility Requirements (CFR) and the Cx Plan may transition to an Ongoing Commissioning Plan. If these documents do not exist an existing building commissioning process would be used to develop the necessary documentation. The Commissioning Process is a quality-based method that is adopted by an owner to achieve successful construction and renovation projects. It is not an additional layer of construction or project management. In fact, its purpose is to reduce the cost of delivering construction projects and increase value to owners, occupants, and users. This standard has been developed to assist those who are adopting or plan to adopt a quality-based and cost-effective process. Development of guidelines for the Commissioning Process began formally in 1982 when the American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) formed a committee to document best practices to provide and operate facilities that performed according to the Owner’s Project Requirements. ASHRAE published its original commissioning guideline in 1989 and an updated version in 1996. The Commissioning Process detailed in these guidelines is the result of experience on projects requiring that systems and assemblies worked from the first day the project was turned over to the Owner. This Commissioning Process is further based upon experience with projects that met the requirements of owners, occupants, users of processes, and facility operating-maintenance-service organizations at a high level of satisfaction and that reduced the cost to deliver the project. In 2008, it became evident that a standard with minimum requirements for the Commissioning Process was necessary to support many other standards and programs. Standard 202 presents the minimum requirements for the Commissioning Process without focusing upon specific building types, systems or assemblies, or on specific project sizes. Supplementary technical guidelines have been and continue to be developed to provide specific and detailed information on how to implement the Commissioning Process for each major building/facility, 4


system or assembly, and for various stages of facility development and operation. The scope and budget for the Commissioning Process is set by the Owner for each project at the beginning of the development process. Due to the integration and interdependency of facility systems, a performance deficiency in one system can result in less than optimal performance by other systems. Implementing the Commissioning Process is intended to reduce the project capital cost through the warranty period and also reduce the life-cycle cost of the facility. Using this integrated process results in a fully functional, fine-tuned facility, with complete documentation of its systems and assemblies and trained operating and maintenance personnel. Emphasis is placed on documentation of the Owner’s Project Requirements at the inception of the project and the proper transfer of this information from one party to the next. Owners adopt the Commissioning Process to achieve their stated objectives and criteria—starting with the inception of a project instead of after a facility is occupied. While circumstances may require owners to adopt the Commissioning Process during the Design or Construction Phase of a project, such later implementation must capture the information that would have been developed had the Commissioning Process begun at project inception. Beginning the Commissioning Process at project inception will achieve the maximum benefits. This standard describes the Commissioning Process; the role of the Commissioning Authority; and a framework for developing an OPR, BOD, Commissioning Plan, specifications, procedures, documentation, and reports. This standard also describes the general requirements for a training program for continued successful system and assembly performance. 1.

PURPOSE

The purpose is to identify the minimum acceptable Commissioning Process for Buildings and Systems. 2.

SCOPE

This standard provides procedures, methods, and, documentation requirements for each activity for project delivery from pre-design through occupancy and operation, including: a) b) c) d) 3.

Overview of Commissioning Process activities, Description of each process step’s minimum activities, Minimum documentation requirements, and Acceptance requirements. DEFINITIONS

Acceptance: A formal action, taken by a person with appropriate authority (which may or may not be contractually defined) to declare that some aspect of the project meets defined requirements, thus permitting subsequent activities to proceed. Basis of Design (BOD): A document that records the concepts, calculations, decisions, and product selections used to meet the Owner’s Project Requirements and to satisfy applicable regulatory requirements, standards, and guidelines. The document includes both narrative descriptions and lists of individual items that support the design process. Checklists: Project and element-specific checklists that are developed and used during all phases of the commissioning process to verify that the Owner’s Project Requirements are being achieved. Checklists are used for general evaluation, testing, training, and other design and construction requirements. 5


Commissioning (Cx): See Commissioning Process. Commissioning Authority (CxA): An entity identified by the Owner who leads, plans, schedules, and coordinates the commissioning team to implement the Commissioning Process. Commissioning Plan (Cx Plan): A document that outlines the organization, schedule, allocation of resources, and documentation requirements of the Commissioning Process. Commissioning Process: A quality-focused process for enhancing the delivery of a project. The process focuses upon verifying and documenting that all of the commissioned systems and assemblies are planned, designed, installed, tested, operated, and maintained to meet the Owner's Project Requirements. Commissioning Process Activities: Components of the Commissioning Process. Commissioning Progress Report: A written document that details activities completed as part of the Commissioning Process and significant findings from those activities, and is continuously updated during the course of a project. Commissioning Team: The individuals and agencies, who through coordinated actions, are responsible for implementing the Commissioning Process. Commissioning Testing: The evaluation and documentation of the equipment and assemblies: delivery and condition; installation; proper function according to the manufacturer’s specifications, and project documentation to meet the criteria in the Owner’s Project Requirements. Construction Checklist: A form used by the commissioning team to verify that appropriate materials and components are on-site, ready for installation, correctly installed, functional, and in compliance with the Owner’s Project Requirements. Also see Checklists. Construction Documents: This includes a wide range of documents, which will vary from project to project, and with the Owner’s needs and regulations, laws, and jurisdictional requirements. Construction documents usually include the project manual (specifications), plans (drawings), and General Terms and Conditions of the contract. Contract Documents: This includes a wide range of documents, which will vary from project to project and with the Owner’s needs, regulations, laws, and jurisdictional requirements. Contract Documents frequently include price agreements, construction management process, sub-contractor agreements or requirements, requirements and procedures for submittals, changes, and other construction requirements, timeline for completion, and the Construction Documents. Coordination Drawings: Drawings showing the work of all trades to illustrate that equipment can be installed in the space allocated without compromising equipment function or access for maintenance and replacement. These drawings graphically illustrate and dimension manufacturers’ recommended maintenance clearances. Current Facility Requirements (CFR): A written document that details the current functional requirements of an existing facility and the expectations of how it should be used and operated. This includes goals, measurable performance criteria, cost considerations, benchmarks, success criteria, and supporting information to meet the requirements of occupants, users, and owners of the facility. Design Checklist: A form developed by the commissioning team to verify that elements of the design are in compliance with the Owner’s Project Requirements. Also see Checklists. 6


Design Review – PEER: An independent and objective technical review of the design of the Project or a part thereof, conducted at specified stages of design completion by one or more qualified professionals, for the purpose of enhancing the quality of the design. Design Review – Constructability: The review of effective and timely integration of construction knowledge into the conceptual planning, design, construction and field operation of a project to achieve project objectives efficiently and accurately at the most cost effective levels to reduce or prevent errors, delays and cost overruns. Design Review – Code or Regulatory: A review of a document conducted by staff or designated entity of an Authority Having Jurisdiction to determine whether the content of the document complies with regulations, codes, or other standards administered by the Jurisdiction. Design Review – Commissioning: A review of the design documents to determine compliance with the Owner’s Project Requirements, including coordination between systems and assemblies being commissioned, features and access for testing, commissioning and maintenance, and other reviews required by the OPR and commissioning plan. Evaluation: The process by which specific documents, components, equipment, assemblies, systems, and interfaces among systems and their performance are confirmed with respect to the criteria required in the Owner’s Project Requirements. Existing Building Commissioning Process: A quality-focused process for attaining the Current Facility Requirements of an existing facility and its systems and assemblies being commissioned. The process focuses on planning, investigating, implementing, verifying, and documenting that the facility and/or its systems and assemblies are operated and maintained to meet the Current Facility Requirements, with a program to maintain the enhancements for the remaining life of the facility. Facility Guide: A basic building systems description and operating plan with general procedures and confirmed facility operating conditions, set points, schedules, and operating procedures for use by facility operations to properly operate the facility. Final Commissioning Report: A document that records the activities and results of the Commissioning Process and is developed from the final Commissioning Plan with all of its attached appendices. Issues and Resolution Log: A formal and ongoing record of problems or concerns and their resolutions that have been raised by members of the Commissioning Team during the course of the Commissioning Process. On-Going Commissioning Process (OCx): A continuation of the Commissioning Process well into Occupancy and Operations to continually improve the operation and performance of a facility to meet current and evolving Current Facility Requirements or Owner’s Project Requirements. OnGoing Commissioning Process activities occur throughout the life of the facility; some of these will be close to continuous in implementation, and others will be either scheduled or un-scheduled as needed. Owner’s Project Requirements (OPR): A written document that details the requirements of a project and the expectations of how it will be used and operated. This includes project goals, measurable performance criteria, cost considerations, benchmarks, success criteria, and supporting information. (The term Project Intent or Design Intent is used by some owners for their Commissioning Process Owner’s Project Requirements.)

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Performance Test (PT): Performance Testing is the process of verifying that a material, product, assembly, or system meets defined performance criteria. The methods and conditions under which performance is verified are described in one or more test protocols. Re-Commissioning: (See Existing Building Commissioning.) An application of the Commissioning Process requirements to a project that has been delivered using the Commissioning Process. Retro-Commissioning: (See Existing Building Commissioning.) The Commissioning Process applied to an existing facility that was not previously commissioned. Systems Manual: A system-focused composite document that includes the design and construction documentation, facility guide and operation manual, maintenance information, training information, commissioning process records, and additional information of use to the Owner during occupancy and operations. Test Procedure: A written protocol that defines methods, personnel, and expectations for tests conducted on components, equipment, assemblies, systems, and interfaces among systems to verify compliance with the Owner’s Project Requirements. Training Plan: A written document that details the expectations, schedule, duration and deliverables of Commissioning Process activities related to training of project operating and maintenance personnel, users, and occupants.

4.

UTILIZATION

4.1

Introduction

The application of this standard can be for the delivery of all or selected systems and assemblies in a project. The scope will depend upon how the project will be designed, built, and operated. The scope shall be defined in the Owner’s Project Requirements and the Cx Plan, and performed based on the extent of commissioning effort defined and procured The process described in this standard is written for a generic project and must be adapted to each project. This standard describes the Cx Process and can be supplemented by companion technical documents and guidelines to describe the specific details and to properly implement the Cx Process relative to a specific facility, system, or assembly. This standard can be applied to both new and renovation projects. 4.2

Requirements

4.2.1

The requirements of this standard are to:

a) Provide the minimum activities for the application of the Cx Process in the design, development, construction, operation, and modification of physical buildings, systems and assemblies. b) Establish process activities and sequence of activities. c) Establish deliverables and documentation for the process application.

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4.2.2

Commissioning Process Activities and Deliverables Activity

a. b. c. d. e f. g. h. i j. k. l. m.

Deliverable

Initiate Commissioning Process ↓ Decide Project Requirements ↓ Develop Commissioning Plan ↓ Design Approach to Requirements ↓ Set Contractor Cx Requirements ↓ Review Design to Requirements ↓ Review Submittals ↓ Observe and Test ↓ Resolve Issues ↓ Assemble Systems Manual ↓ Conduct Training ↓ Post Occupancy Operation ↓ Assemble Commissioning Report

Roles and Responsibilities Owner’s Project Requirements Commissioning Process Plan Basis of Design Commissioning Specifications Design Review Report Submittal Review Report Construction Checklists & Reports Issues and Resolution Log Systems Manual Training Plans and Records End of Warranty Cx Report Commissioning Report

4.3 Acceptance. The process for each activity and deliverable shall include an acceptance step as defined in the OPR and Cx Plan. This step shall formalize the acceptance of the commissioning deliverable by the owner or client. Under this Standard, the CxA is not required to "accept" designers or contractors work on behalf of the owner or jurisdiction. . 5.

INITIATING THE COMMISSIONING PROCESS

5.1

General

5.1.1

Introduction

At the initiation of the Commissioning Process, the Owner is responsible for determining the scope of the Cx Plan (that is, the systems and assemblies to be included), selecting the Cx Process team leader, selecting the Cx process team for the project, incorporating Cx activities into project team roles and responsibilities, and the establishment of Cx budget. 5.1.2

Project Team Selection-Commissioning Process Providers

The Owner is responsible to select qualified Cx process professionals. The CxA directs the commissioning process and shall be an objective advocate of the Owner. 5.1.3

Providing Direction and Acceptance

The Owner shall provide direction, reviews and acceptance as required throughout the project and the Cx process. 9


5.2

Commissioning Requirements

5.2.1

Roles and Responsibilities The Owner shall include in the design and construction team’s contracts, or roles and responsibilities, the Cx activities contained in this standard and the project Cx Plan. 5.2.2

Commissioning Scope The Owner shall determine the systems and assemblies to be included in the project team’s scope. 5.2.3 Owner’s Project Requirements For new construction or major renovations, the Owner shall ensure development of the OPR as described in Chapter 6 of this standard prior to development of the architectural program. The Owner shall require a final updated and approved OPR at substantial completion. 5.2.4

The Commissioning Plan The Owner shall require the development of the Cx Plan as described in Chapter 7 of this standard and associated documents that define the project team’s roles and responsibilities, communication protocols, Cx procedures, documentation, activities, and the schedule of those activities. 5.2.5

Checklists The Owner shall require, by agreement, the Cx team including the CxA, and design and construction service providers to develop, utilize, and complete Cx procedures and written Cx observation and testing checklists in accordance with the Cx Plan. 5.2.6

Basis of Design Documentation For construction or renovation projects requiring design, the Owner shall require, by agreement, the development and updating of the Basis of Design by the designers as described in Chapter 8 of this standard.

5.2.7

Commissioning Specifications For construction or renovation projects requiring contract documents, the Owner shall require, by agreement, the design/construction team to include Cx specifications in the project contract documents. The Cx specification shall include the meeting of all requirements defined in the OPR applicable to the contracted parties, and follow the Cx Process contained in the project’s Cx plan as detailed in Chapter 9 of this standard. 5.2.8

Commissioning Design Reviews For construction or renovation projects requiring design, the Owner shall require, by agreement, the design team to review, respond to, and participate in an issue resolution process to resolve issues identified during the Cx design review process in Chapter 10 of this standard. The Owner or designated representative shall review the Cx Process design review comments, participate in issue resolution process, and provide direction to the team when needed to meet the OPR.

5.2.9

Construction Submittals Review For construction or renovation projects requiring design and/or submittals, the Owner shall require, by agreement, that the construction submittals for systems and assemblies being commissioned be reviewed in accordance with Chapter 11 of this standard:

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5.2.10 Observation and Testing The Owner shall require, by agreement, that project observation and testing be performed and documented as required in the Cx Plan and Chapter 12 of this standard.

5.2.11 Issues and Resolution Log and Field Reports The Owner shall require the development and utilization of Cx Progress Report and issue and Resolution logs as required in the OPR and Chapter 13 of this standard. The Owner shall review Cx issues log and field reports, participate in collaborative team resolution, and provide direction when needed. 5.2.12 Systems Manual The Owner shall require, by agreement, the development and delivery of a project Systems Manual and that deliverables be provided for the Systems Manual in accordance with Chapter 14 of this standard. The Owner shall ensure that specific entities are designated for the development and assembly of the Systems Manual and the Facility Guide. 5.2.13 Training The Owner shall require, by agreement, that the Cx team, including the design and construction parties as applicable, perform training defined in the OPR or Cx Plan as described in Chapter 15 of this standard. 5.2.14 Initial Post Occupancy and Operations The Owner shall require, by agreement, that the Cx Process activities described in Chapter 16 of this standard be performed. This shall include additional training, seasonal tests, problem resolution, site visits, updating drawings and specifications, or other requirements performed during the Post Occupancy and Initial Operations period defined for the project in the OPR and Cx Plan. 5.2.15 Warranty Period Commissioning The Owner shall require, by agreement: a. CxA perform Commissioning during the warranty period. b. Updating the Systems Manual based on modifications to operations to meet the OPR c. Updating the OPR to meet changes in the Owner’s objectives and criteria. 5.2.16 Commissioning Process Report The Owner shall require, by agreement, the development and delivery of a Cx Project Report and that deliverables be provided in accordance with Chapter 17 of this standard. The Owner shall ensure that specific entities are designated for the development and assembly of the Cx Project Report. 6.

OWNER'S PROJECT REQUIREMENTS

6.1

Introduction

The OPR forms the foundation for the design, construction, and occupancy and operation of the facility and is the basis for the Cx Plan and schedule. The OPR document evolves throughout each project. It is the primary tool for benchmarking success and quality at all phases of project delivery and throughout the life of the facility 11


6.2

Requirements

6.2.1 During Pre-Design, the Owner, along with the Cx Team, shall facilitate development and documentation of the OPR. 6.2.2 The OPR document shall list and define the systems and assemblies to be commissioned, including sampling strategies accepted by the Owner. The systems and assemblies being commissioned shall have defined project performance and acceptance criteria. 6.2.3

The OPR document shall address the following for the commissioned systems:

a. Facility objectives, size, location, user requirements, and owner directives. b. Environmental, sustainability, and efficiency goals and benchmarks. c. Indoor environment requirements, including temperature, humidity, and ventilation. d. Space usage, occupancy, and operation schedules. e. Commissioning process scope and requirements, listing of equipment, systems and assemblies requiring commissioning. f.

Equipment, systems and assemblies requirements, expectations, and warranty provisions.

g. Maintainability, access, and operational performance requirements. h. Installation evaluation and testing requirements. i.

Project documentation and Systems Manual requirements and formats.

j.

Training requirements for owner’s operation and maintenance personnel and occupants.

k. Applicable codes and standards in addition to local building codes. l.

Project schedules.

m. Special project requirements. n. The content, organization, and milestones of BOD submittals for the design and construction process o. The number, format and scheduling of design and submittal reviews. p. Sampling procedures, if permitted, for all reviews, evaluations and testing. q. Commissioning Progress Report formats and distributed intervals. 6.2.4 The OPR shall be included in the Contract Documents as an information only attachment or as required by owner’s contract requirements. 6.2.5 The OPR shall be updated regularly throughout the project and Cx process to reflect changes necessitated by owner, designer, and construction team decisions, issues resolutions, and/or operational decisions. 6.3

Acceptance

The OPR shall be reviewed by the CxA and approved by the Owner during Pre-design. Updates to the OPR made during subsequent project activities shall also be formally accepted by the Owner.

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7.

COMMISSIONING PLAN

7.1

Introduction The Cx Plan shall be a written document and provide organization, documentation requirements, and tools to evaluate and document that the design, construction and operation of the project or facility, systems and assemblies meet the OPR. 7.2

Requirements

7.2.1 The CxA shall, with input from the Owner's project team, develop the initial Cx Plan at the initiation of the project. . The Cx Plan shall be updated and expanded during design and construction as the project evolves. 7.2.2

A copy of the final Cx Plan shall be included in the Final Cx Report.

7.2.3

The Cx Plan shall include the following information:

a) Overview of the Cx Process developed specifically for the project. b) Roles and responsibilities for the Cx Team throughout the project. c) Documentation of general communication channels including the distribution of the Cx Plan during the design and construction process. d) Detailed description of Cx Process activities and a schedule of activities. e) Project design documentation evaluation procedures. f)

General description of Cx Process activities that will occur during Construction, and Occupancy and Operations.

g) Guidelines and format that will be used to develop the Cx Process documentation, including Systems Manual and Training Plans. h) Listing and format for Cx Process evaluation checklists and testing forms, issues and resolution log, and Cx Progress Reports that will be used during the project to communicate and track critical Cx Process information. i)

List of project commissioned systems and assemblies and description of evaluation procedures.

j)

The framework for procedures to follow whenever Cx Process evaluation does not meet the OPR.

7.3

Acceptance The Cx Plan shall be approved by the owner and include a process for approval of the subsequent revisions. 8.

BASIS OF DESIGN

8.1

Introduction

The BOD is a written document that shall provide detailed information on the design team’s approach to meeting the OPR to provide the Owner with a better understanding of design issues, and secure the Owner’s approval of critical design decisions. 13


8.2

Requirements

8.2.1 The BOD shall be developed by the design team in accordance with the OPR. The BOD shall be updated and expanded during design and construction as the project evolves. The function of the BOD shall be to: a.

Describe in detail the design team’s technical approach to each of the Owner’s requirements.

b. Provide a platform for the review of the design and changes as the project progresses. c. Coordinate applicable technical and code requirements. 8.2.2 The design team shall submit the BOD to the Owner and CxA for review at each milestone defined by the OPR and Cx Plan. 8.2.3

The Owner and CxA shall evaluate each BOD submittal for:

a. Design and design assumptions are in agreement with the OPR. b. Requirements for updating of the BOD. c. Requirements for sustainable design certification when required. d. Consideration of design alternatives at each phase. e. Requirements that systems, assemblies, and equipment be located and installed to be commissionable and maintainable. f.

Opportunities for improved performance.

8.2.5 The CxA shall document and track issues related to the BOD using the Cx Issues and Resolution Log, including issues identified by the Owner and members of the design team. 8.2.6

The design team shall work with the Owner and CxA to resolve Cx issues.

8.3

Acceptance

Each submission of the BOD shall be formally reviewed and accepted by the Owner to facilitate the next step in the design process. 9.

CONTRACTOR, SUPPLIER, AND MANUFACTURER COMMISSIONING REQUIREMENTS

9.1

Introduction

The responsibilities of the contractors, suppliers, and manufacturers, including those contracted directly to the Owner, shall follow the contract documents, including the Cx Process defined by the Cx specifications. 9.2

Requirements

9.2.1 Cx specifications shall be developed for all systems and assemblies being commissioned, and included in the construction documents. 9.2.2 The applicable Cx Process specifications and requirements shall be included in all 14


contracts with contractors, sub-contractors, suppliers, service providers, and manufacturers for systems and assemblies being commissioned. 9.2.3 Contractors, sub-contractors suppliers, service providers, and manufacturers shall provide the required documentation as defined in the contract documents. Examples of these include submittals; shop drawings; installation, operations, maintenance, and close-out documents; code compliance; and existing conditions documentation. 9.3

Acceptance

9.3.1 The Owner shall approve the Cx Specifications included in the construction documents. 10.

DESIGN REVIEW

10.1

Introduction A Cx design document review shall be performed to verify compliance with the OPR.

10.2

Requirements

10.2.1 The CxA shall perform a review of the commissioned systems and assemblies in the design documents to evaluate compliance with the OPR. Design review shall be completed prior to the issuing of construction documents for systems being commissioned. The OPR, and the Cx Plan, or the contract documents shall define any sampling strategies for design review. 10.2.2 The CxA shall provide a design review - commissioning report with comments, questions, and observations to the Owner and design teams for compliance with the Owner’s Project Requirements. This design review-commissioning shall not be considered a design PEER or Code Review. 10.2.3 The design team, owner, and/or other responsible party shall respond to the CxA document review report with necessary answers and document modifications for the project. Revised documents shall be back checked by the CxA. Any unresolved issues shall be reported to the owner for direction to the design and CX Team on final disposition and direction 10.2.4 A copy of the document review report(s) and response shall be included in the final Commissioning Report. 10.3

Acceptance

10.3.1 The Owner shall approve the CxA document review report and the design team's response before the start of construction. 11.

COMMISSIONING SUBMITTAL REVIEW

11.1

Introduction

For construction or renovation projects requiring contractor or supplier submittals, a submittal documents review for commissioned systems and assemblies shall be performed to evaluate compliance with the OPR. The commissioning submittal review does not replace the designer of record submittal review. 11.2

Requirements

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11.2.1 A designated Commissioning Team member shall review project submittals for systems and assemblies to be commissioned for compliance with the OPR. 11.2.2 CxA to identify construction submittals to be provided by the Contractor for the systems being commissioned. 11.2.3 The CxA to review the construction submittals concurrently with the designers and provide comments to the designer. 11.2.4 The designer to consider the CxA’s comments and provide direction to the Contractor in accordance with the designer’s best professional judgment with a copy to the CxA. 11.2.5 In the event that the Owner does not retain the designer for construction administration services, the Owner shall: a.

Require the CxA to review the construction submittals for the systems being commissioned concurrently with the Owner or owner’s representative and provide comments to the Owner or owner representative.

b.

Consider the CxA’s comments and provide direction to the Contractor in accordance with the Owner’s best professional judgment with a copy to the CxA.

11.2.5 The submittal review report shall include a listing of the submittals reviewed, the date reviewed and a summary of the submitted equipment/materials properties that appear not to meet the OPR. Any sampling review process utilized on the submittals shall conform to the Owner approved OPR and Cx Plan. 11.2.3 A copy of the submittal document review report(s) and response shall be included in the Final Commissioning Report. 11.3

Acceptance

The CxA shall maintain a record of all Cx submittal reviews and shall submit a written report to the Owner and design authority. If it is determined that any reviewed submittals do not comply with the OPR, that submittal shall be provided to the Owner for determination if the system or equipment shall be accepted or rejected. 12.

CONSTRUCTION OBSERVATION AND TESTING

12.1

Introduction

The proper installation, coordination, Commissioning testing, and interaction among commissioned systems and assemblies shall be evaluated. 12.2

Requirements

12.2.1 The systems and assemblies identified in the OPR and Cx Plan shall be confirmed to comply with the OPR and with the contract documents. 12.2.2 Checklists and test procedures with necessary report forms shall be developed before equipment or assembly installation. All completed checklists and test reports shall be included in the Final Cx Report.

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12.2.3 There shall be a uniform and effective process for documentation of testing to provide Cx testing of and interaction between commissioned equipment, systems, and assemblies. Cx team shall refer to applicable Cx technical guidelines tailored to their specific projects. 12.2.4 The CxA shall conduct a commissioning kick-off and scoping meeting with the Commissioning team to explain Cx procedures and coordinate commissioning activities at the beginning of the construction process and at other times as necessary. 12.2.5 Evaluation of the systems and assemblies by the Cx team shall include the following: a. Vital information on the equipment or materials being supplied. Information shall detail what equipment/material was specified and submitted. What was actually delivered on the site shall be documented and verified. b. The condition of the equipment at the time it is delivered at the site and prior to its installation. c. Proper installation of the systems and assemblies. Evaluation shall focus on the physical installation of the systems and assemblies, on their ability to meet the contract documents requirements, and on accessibility for Cx, testing, and maintenance operations. d.

Successful Cx testing results of systems and assemblies.

12.2.6 Establishing Test Procedures a. Project-specific Construction Checklists and Cx testing procedures shall be established for review by Owner and appropriate team members. b. The test procedures shall list the entities responsible for executing each of the tests. c. Whenever a test data result is required for a specific system or assembly, there shall be an item in the associated Construction Checklist for the test data to be submitted to the CxA. d. Sampling procedures shall be utilized if required and defined in the OPR, the Cx Plan and the Cx Specifications.. 12.2.7 Executing Test Procedures a. Once Construction Checklists and test procedures are established, the responsible entities shall execute relevant test protocols and repeat testing as necessary until equipment, systems, or assemblies being tested pass all tests. b.

The CxA directs, witnesses, and documents the tests conducted by the Cx Team as required by the Cx Plan.

c. Completed test reports shall be submitted to the project team for review and the CxA for evaluation. 12.2.8 Any commissioned system or assembly that fails to meet requirements and that cannot be resolved in a timely manner shall be given an issue number and recorded in the Issue and Resolution Log to facilitate follow up. 12.2.9 All checklists and test procedure results shall be compiled into the Final Commissioning Report.

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12.3

Acceptance

A summary of the testing shall be reported to the Owner in a written Cx Progress Report following completion of the testing or at intervals noted in the Cx Plan. Review of the summary reports shall have a response of concurrence or acceptance by the Owner. 13.

ISSUES AND RESOLUTIONS DOCUMENTATION

13.1

Introduction

Issues identified during the Cx Process shall be documented and any open or continuing items listed in an Issue and Resolution Log and Cx Progress Reports. 13.2

Requirements

13.2.1 The CxA and Cx Team shall develop a formal Issues and Resolutions Log with supporting documentation. 13.2.2 The active Issues and Resolution Log will have all open and continuing items, with status and responsible person or organization for resolution. 13.2.3 A formal Issues and Resolutions Log shall be maintained throughout the project until all issues are resolved or accepted by the Owner. 13.2.4 The Issues and Resolutions Logs and Cx Progress Reports shall be distributed to the Cx Team at intervals prescribed in the Cx Plan. 13.3

Acceptance

The Owner shall review and accept the final Issues and Resolution Log. Upon acceptance, this will be included in the Final Cx Report. 14.

SYSTEMS MANUAL

14.1

Introduction

The Systems Manual documentation shall be provided to the Owner for use in building operation and the training of personnel. 14.2

Requirements

14.2.1 The Systems Manual shall provide the information needed to understand, operate, and maintain the building’s systems and assemblies. 14.2.2 The Systems Manual is the repository of design, construction, and testing information, including updates and corrections to systems and assemblies as they occur during Construction. The Cx Team shall be responsible for updating the Systems Manual during the Cx Process including design construction and operation as required in the OPR, Cx Plan and contract documents. 14.2.3 The following shall be included in the Systems Manual: Section 1 – Executive Summary Section 2 – Facility Design and Construction 18


2.1 Copy of OPR Document 2.2 Copy of BOD Document 2.3 Copy of Building/Project Design and Record Documents Section 3 – Building, Systems, and Assemblies Information for Commissioned Systems and Assemblies 3.1 Copy of Building and Equipment Specifications 3.2 Copy of Approved Submittals including final controls sequences of operation 3.3 Copy of Manufacturer’s Operation and Maintenance (O&M) Data 3.4 Copy of Warranties 3.5 Contractor and Supplier Listing and Contact Information Section 4 – Facility Operations 4.1 Facility Guide including: Operating Plan; Building and Equipment Operating Schedules, Set Points, Ranges and Limitations; Commissioned Systems Control Sequences of Operation; and Emergency Shut Down Actions. Section 5 – Training 5.1 Copy of Training Plan and Materials 5.2 Training Records Section 6 - Final Commissioning Report 6.1

Copy of final Cx Process Plan(s)

6.2

Copy of Commissioning Design and Submittal Review Reports

6.2 Copy of Testing and Start up Reports, evaluation checklists, and testing checklists completed for Commissioned Systems and Assemblies 6.3

Copy of all Cx Progress Reports

6.4

Copy of Issues and Resolution Logs

6.5

Item Resolution Plan for open items.

14.3

Acceptance

14.3.1 The contents of the preliminary Systems Manual, Sections 2 through 4, shall be reviewed and evaluated by the CxA prior to training of operational and maintenance personnel and occupants in accordance with the OPR. . 14.3.2 The Owner shall approve the final Systems Manual for use in building operations. 15.

TRAINING

15.1

Introduction

The O&M personnel and occupants shall be trained on the systems being commissioned, in accordance with the OPR, to operate and maintain the building systems and assemblies. The training plan is considered an essential element in designing, preparing, and delivering the training to the participants.

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15.2

Requirements

15.2.1 The training plan shall include the following items: a. Outline of instructional topics related to the systems, subsystems, equipment, and assemblies. These topics shall address the design, construction, operation, and maintenance of specific systems, assemblies, and equipment. b. Learning objectives and training delivery methods for each instructional topic. c. The planned location of the training sessions (classroom, onsite, and offsite) and the minimum duration of each training session in hours to be completed as required in the OPR, Cx Plan and Construction Documents. d. Instructor’s qualifications. e. Training materials requirements to be employed during the instructional process. f.

Training report, records and recording requirements.

15.2.2 Archival of instruction, delivery of instruction, and training materials shall be provided as specified in the Contract Documents and per the OPR. A copy of the Training Plan, training materials, and records shall be included in the final Systems Manual as shown in Chapter 14 of this standard. 15.3

Acceptance

The Training Plan, the execution of the Training Plan, and the delivery of instruction shall be reviewed for acceptance by the CxA and Owner. The Training Plan shall be submitted and accepted prior to the delivery of any instruction. Evaluation or survey of the participants shall be as defined in the OPR and Contract Documents. 16.

POST OCCUPANCY OPERATION

16.1

Introduction

Post occupancy operation commissioning, including delayed and seasonal testing and warranty issues, shall be provided to deliver buildings and construction projects that meet the Owner’s needs, prior to the time of warranty completion. The Post Occupancy Operations Activities of the Commissioning Process begin at substantial completion. 16.2

Requirements

16.2.1 The Cx Process activities shall continue through the end of the contractual warranty period. 16.2.2 The seasonal, delayed, and incomplete testing of facility systems and assemblies shall be completed. The CxA shall determine when the Cx testing shall be performed based on weather conditions, load conditions, or occupant interactions that are required to complete the activities for all systems and assemblies being commissioned. 16.2.3 The general contractor or owner shall coordinate contractor call-backs to resolve issues identified during the Cx Process and provide written documentation to the CxA that the issues have been resolved and/or the Owner has accepted the final conditions. 16.2.4 Additional training shall be performed during the Post Occupancy and Operations activities in accordance with the Training and Cx Plans. 20


16.2.5 During the Post Occupancy Operations activities, the operation, maintenance, and modification of the facility systems and assemblies, and their associated documentation, shall be evaluated to comply with the updated OPR. 16.2.6 By the conclusion of the Post Occupancy Operation commissioning activities, the Systems Manual, testing documentation, issue and Resolution Logs, training report, and a final Cx Report shall be updated and submitted for acceptance. 17.

COMMISSIONING REPORT

17.1

Introduction

A Cx Report shall be provided to summarize the Cx Process and the building operation for delivery to the building owner and other required recipients. 17.2

Requirements

17.2.1 Intermediate Cx Progress Reports shall be issued as required in the OPR, the Cx Plan and by the applicable jurisdictional requirements. 17.2.2 The Final Cx Report shall include the final Cx Plan and the results of the implementation of that plan. The report shall include an executive summary describing the Cx Process and identifying the systems and assemblies commissioned. The report shall identify the location of the final OPR and BOD documents or contain a copy if these documents are not otherwise available. The location of the project record drawings shall be identified. 17.2.3 The final Cx Process Progress Report shall include: a.

A copy of the final Commissioning Process Plans,

b.

A copy of Design and Submittals Review Reports

c.

A completed copy of the approved supplier, contractor, and CxA evaluations, and Commissioning start up and test forms, including those utilized during the Occupancy and Operations activity.

d.

A copy of all Cx Progress Reports

e.

A copy of all Issue and Resolution Logs including the descriptions of the issues and the measures taken to correct them.

f.

A discussion of systems or assemblies that do not perform in accordance with the OPR. . For all incomplete issues, delayed or seasonal tests including a resolution plan approved by the Owner identifying who is responsible for resolution.

g.

17.3

Acceptance

17.3.1 The CxA shall submit the Cx Report to the Owner and others as required by the OPR and jurisdictional requirements for review and acceptance.

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ASHRAE Standard 202– The Commissioning Process INDEX TO INFORMATIVE ANNEXES Annex A – Commissioning Process Documentation Matrix Annex B – Quality Based Sampling Process Annex C – Initiating the Commissioning Process Annex D – Owner’s Project Requirements Annex E – Commissioning Plan Annex F – Basis of Design Annex G – Commissioning Specifications Annex H – Design Review and Report Annex I – Submittal Review and Report Annex J – Construction Observation and Testing Checklists and Reports Annex K – Issues and Resolution Log Annex L – Systems Manual Annex M – Training Plans and Records Annex N – End of Warranty Commissioning Annex O – Commissioning Report

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Informative Annex A This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Commissioning Process Documentation Matrix ASHRAE Guideline 0-2005 contains flow charts that are a graphical representation of the building development and parallel Cx Process. These show relationships and processes that may be beyond the requirements of this standard but are referenced here to provide a more complete understanding of the Cx Process and its potential. The following table summarizes the documents that are produced during the implementation of the Cx Process on a project. The participants shown are options and need to reflect the needs of the Owner and the specific project.

Activity Project initiation

Document Owner’s Project Requirements

Initial Commissioning Plan

Input By Owner, CxA, O&M, Users, Design Team (?) Owner, Design Team, CxA

Systems Manual Outline

Owner, O&M, CxA

Owner or CxA

Owner

Training Requirements Outline

Owner, O&M, Users, CxA, Design Team Owner, CxA

Owner or CxA

Owner, CxA

Owner, CxA

CxA

Owner

Owner’s Project Requirements Update

Owner, CxA, O&M, Users, Design Team

CxA or Designer

Owner

Basis Of Design

Design Team

Owner, CxA

Construction Specifications for Commissioning

Design Team, CxA, Owner

Design Team Design Team or CxA

Issues and Resolution Log Format Cx Report Format Design

Provided By Owner, CxA, or Design Team

Reviewed/ Approved By

Used By CxA, Design Team

Notes Design Team may not be hired yet.

Owner or CxA Owner

CxA, Owner, Design Team, Construction Team

Design Team may not be hired yet.

Design Team, Construction Team Design Team, Construction Team

May be included in OPR May be included in OPR

CxA, Design Team Design Team, Owner CxA, Design Team

May be only format at this time

Owner

Owner or CxA Owner

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Owner

Design Team, CxA Contractors, CxA, Design Team

May also be provided by Project Manager/ Owner’s Rep.

BSR/ASHRAE/IES Standard 202P, Commissioning Process for Buildings and Systems Second Public Review Draft Systems Manual Outline Expanded

Design Team, CxA, O&M, Contractor

Design Team or CxA

Training Requirements

Owner, CxA O&M, Users,

Owner, CxA, O&M

Requirements In Specifications

Design Team, Contractor

Owner

Design Team

CxA, Design Team CxA

Design Team, CxA

Owner

Design Team

CxA

Design Team

CxA

CxA

Design team,Owner N/A

CxA

CxA

Owner

Design Commissioning Process Report

CxA

CxA

Owner


Owner, O&M, Users, Design Team, Construction Team

CxA or Designer

Owner

CxA, Design Team, Contractors

Basis of Design Update Commissioning Plan Update

Design Team

Design Team CxA

CxA, Owner

Design Team, CxA CxA, Owner, Design Team, Contractors

Design Review Comments Issues and Resolution Log Issues Report

Construction

Owner, CxA

Submittal Review Comments System Coordination Plans Evaluation Checklists Evaluation Reports Test Procedures Test Data Reports, Test and Balance Report Commissioning Meeting Agendas and Minutes Training Plans Systems Manual Issues and Resolution Log

Design Team, CxA, Owner, Contractor CxA Contractor, Design Team CxA, Contractor, Design Team Contractor

CxA, Contractor, Design Team Contractor

Design Team Contractor CxA CxA

CxA

CxA, Owner, Design Team, Design Team CxA, Design Team CxA, Design Team CxA, Owner

CxA, Design Design Team, Owner Owner

Contractor Contractor, CxA Contractor Contractor

Contractor

CxA

CxA, Design Team CxA, Owner

CxA

CxA

All

All

Design Team, CxA, O&M, Contractor Design Team, CxA, O&M, Contractor CxA

Contractor or CxA

Owner, CxA

O&M, Users, Contractor

Contractor

Owner, CxA

O&M, Users

CxA

N/A

CxA, Design Team,

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Contractor

Contractor may not be hired yet. Contractor input

BSR/ASHRAE/IES Standard 202P, Commissioning Process for Buildings and Systems Second Public Review Draft Issues Report

CxA

CxA CxA

Owner, Design Team Owner

Design Team, Owner, Contractor Owner

Preliminary Construction Commissioning Report

CxA

CxA

CxA

Owner

Owner


Owner, O&M, Users, Design Team

CxA or Designer

Owner

Basis of Design Update Maintenance Program

Design Team

Design Team Owner or CxA

CxA, Owner

CxA, Design Team, Contractors Design Team, CxA O&M, Users

CxA

Final Construction Commissioning Report Occupancy and Operations

Test Procedures

Owner, O&M, Contractor, CxA

Owner, CxA

Contractor, CxA, O&M, Design Team Contractor

CxA

Design Team, CxA CxA, Owner

CxA

CxA

N/A

Issues Report

CxA

CxA

Owner

Commissioning Report ReCommissioning Plan

CxA

CxA

Owner

Contractor, O&M CxA, Design Team, Owner Design Team, Owner, Contractors Owner

O&M, Users, CxA

CxA or Owner

Owner

Owner

Test Data Reports Issues and Resolution Log

Prior to Occupancy

Contractor

Final Report

Notes: 1. The term “contractor” is understood to refer to any of several entities that provide construction services. Depending upon the project, this could include, among others, the owner’s representative, construction manager, contractors, and sub-contractors. Abbreviations: CxA: Commissioning Authority; O&M: operations and maintenance; OPR: Owner’s Project Requirements.

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Informative Annex B This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Quality Based Sampling Process This annex provides an example of how to implement a sampling process for Standard 202 if directed by the Owner. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Commissioning Process should carefully follow ASHRAE Guideline 0-2005 and applicable commissioning technical guidelines tailored to their specific projects. Use of Sampling The use of sampling in the design and construction review processes must be defined in the OPR. Sampling processes should be used only as defined in the OPR and/or with the specific agreement of the Owner. The Cx Plan can also add requirements and information to the design review process and procedures. The Owner’s understanding of quality-based sampling and level of assurance desired will typically have the greatest influence on the sampling rates utilized (see Note 2 at end of annex) The CxA’s understanding of quality-based sampling and the Cx Process also impacts the sampling rate (see Note 3 at end of annex) Design Submissions A critical step in the Cx Process is the review of the design submissions from the design professionals. It is important to remember that the role of the CxA is to verify that the OPR are met and that the system is designed in a quality manner. There are three distinct reviews that are completed on a drawing set – general, coordination, and field specific. A review of the specifications is also required. Construction Review Sampling There are three primary areas relating to systems and assemblies where quality-based sampling is utilized for the on-going verification of achieving the OPR. These are:    

Submittal reviews Factory Testing if required Site visits-Construction Evaluation Final commissioning process testing.

Submittal Reviews The role of the CxA and the Cx Team in the review of submittals is for on-going verification that the OPR is being achieved; it is not to relieve the design professional of his or her responsibility that the submittals meet the contract document requirements. Therefore, the CxA accomplishes a two-part review of submittals—one to evaluate the Contractor’s submittal development process to verify OPR achievement and one to evaluate the design professional’s submittal review process to verify OPR achievement. 26


These reviews can be accomplished utilizing a random sampling approach of the submittals as directed by the OPR and Cx Plan. Random (quality-based) sampling is utilized because it is a way to accomplish effective, unbiased evaluations of materials against given criteria. The random sampling approach for a specific submittal varies based upon the number of attributes and components contained in the submittal and upon the importance to the OPR. This process includes randomly sampling the attributes and components (when there are multiple attributes and components to sample from). In addition, the CxA may select submittals to review from a random sample of all submittals, especially on projects with a large number of submittals as required by the OPR and Cx Plan. The process to be followed by the CxA in evaluating the Contractor’s submittal creation procedures is: 1. 2. 3. 4. 5. 6.

Review OPR. Review Construction Documents and BOD. Identify Key Criteria. Determine Sampling Rate as defined in the OPR. Accomplish Review. Document Results (provide timely comments to the Design Team).

The first three steps in the submittal review process should be accomplished prior to receiving submittals since this will significantly reduce the turn-around time for submittal reviews by the CxA. Review OPR. The CxA should review the current OPR to ensure understanding of the project success criteria. Specific attention should be given to those criteria that could be adversely impacted by the HVAC&R equipment performance, the system performance (includes parameters such as comfort, energy efficiency), and the ease of operation and maintenance in the submittals being reviewed. Review Construction Documents and BOD. There is typically significant OPR information in the project specifications, plans, and the BOD for equipment, assemblies, and systems. Therefore, it is important to review the appropriate specification section(s) and plans prior to reviewing the submittal, with particular attention given to those items that could adversely impact achievement of the OPR. Identify Key Criteria. From the OPR and construction document reviews, the key criteria that will be used in reviewing the submittal should be identified and defined. Determine Sampling Rate. The actual sampling rate to be utilized is based upon multiple factors. For components, in addition to specific requirements listed in the OPR, BOD, and Construction Documents, the impact on energy efficiency, maintenance, operability, comfort, indoor air quality, life of the component, and the relationship to other systems are criteria for evaluating the submittals. There may also be key code and standards issues. All the criteria for evaluation of submittals can be developed and listed in table format to be randomly sampled for evaluation.

Sample Rate Determination- Submittals (% of components or % of pages)

Factor

Guidance

Complexity

Components of greater complexity typically require additional maintenance space and access points, as well as have a greater likelihood of involving multiple OPR criteria. Therefore, with greater complexity, the rate of sampling typically increases. 27

10%–20% for low complexity 20%–40% for medium complexity 40%–100% for high complexity


Criticality

Length

As the criticality of a component increases, relative to achieving the OPR, the sampling rate increases to provide a higher level of assurance that the OPR will be achieved. For example, in a data processing center where any downtime results in the loss of significant revenue, there is an obvious need for increased review compared to a retail clothing store. A submittal that has very little information (length) will typically result in a high sampling rate, whereas one with hundreds of pages will typically result in a low sampling rate of the submittal document. For non-critical components, a random subset of the evaluation criteria may be used.

5%–25% for low criticality 100%–600% for high criticality (see Note 1)

100% for less than 3 pages 75% to 100% for 4 to 10 pages 25% to 75% for 11 to 100 pages 5%–25% for greater than 100 pages

Although data and evaluation of construction has not been fully confirmed, the use of random samples in concrete and other construction products has been successfully verified using random samples. This is due to the fact that there is only a given amount of resources available to accomplish review during the design, construction, and operation of the project. For a given hour, the quality-based sampling approach allows for a more thorough, in-depth review of a portion of the submittal against the OPR, whereas the 100% review is more of an overview trying to find errors. Because the purpose of the Cx Process is to evaluate OPR achievement (both positives and negatives), the quality-based sampling approach enables an acceptable evaluation and improved results. For further information on sampling, refer to the references listed in Section 9 of ASHRAE Guideline 0-2005. Accomplish Review. With the evaluation criteria and sample rate established, the submittal review is accomplished. Since the sample rate directly impacts the level of effort required by the CxA, the sample rate needs to be determined during scope negotiation between the Owner and CxA. During these negotiations, it is important to remember that it is the Contractor’s duty to create 100% of the required submittals, and it is the design professional’s duty to review 100% of the submittals. It is the CxA’s role to evaluate the Contractor’s and design professional’s work relative to OPR achievement. It is important to a successful Cx Process to keep complete records of the review findings for both items that meet the criteria (especially OPR) and items where the deficiencies are noted throughout the whole review process. Document Results. The recommended approach to documenting the results of the CxA’s review is as follows: 1. Clearly state what was observed during the review. 2. Clearly state which OPR criteria was violated in the submittal. 3. Clearly state your recommendation for achieving compliance with the OPR. Each comment needs to have space for the design professional to reply to the CxA on the disposition of the comment. The process to be followed by the CxA in evaluating the design professional’s submittal review procedures is as follows: 1. Review responses to CxA input. 2. Identify OPR concerns. 3. Document results.

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Review Responses to CxA Input. For each comment, the CxA reviews the reply from the design professional. For those comments where the design professional incorporated the CxA’s input, follow-up with additional contractor submittals or as required. Identify OPR Concerns. For those comments where the design professional did not incorporate the CxA’s input, review the potential adverse impact on achievement of the OPR. Document Results. Document any adverse impacts on achieving the OPR and work with the design professional and owner in resolving the issue—either by changing the OPR to match the new conditions or by getting the design professional to incorporate comments into submittal review response. This should be accomplished in a timely manner to avoid disruption of the construction process. Site Visits The Contractor is responsible for installing and starting up 100% of the building system and assemblies. The design professional is responsible for verifying adherence to the project design and specifications. It is the CxA’s responsibility to accomplish on-going verification that the Contractor’s work achieves the OPR. This is best accomplished through quality-based sampling of the completed Construction Checklists. The intent of quality-based sampling of the Construction Checklists is that the CxA reviews the completed Construction Checklists for accuracy, completeness, and any negative responses that require follow-up and resolution as each section is a completed component. This is based upon the Contractor completing all checklists and upon the fact that sampling a random quantity will verify the quality of the Contractor’s action. The Construction Checklists verify components from delivery through start-up. An individual component may be seen by the CxA several times throughout its installation. Qualitybased sampling allows for unbiased evaluation of OPR achievement at anytime during construction. The sampling rate to be utilized during a particular site visit varies depending upon the factors in the table below. The table provides general guidance for components. This may not apply to assemblies and systems that support all systems or assemblies if they are not part of the Cx Process scope. For example, if the envelope is not included in the scope of the Cx Process for a specific building, there will not be any checklists for the envelope components, and this will be included in the site visits as an item to be checked to evaluate the quality of the envelope as it impacts the performance of the other systems or assemblies.

Sample Rate Determination- Construction Verification Factor

First Completed Construction Checklist

Guidance It is recommended that for the first Construction Checklist to be completed by the contractor for a particular component type, it should be verified and reviewed with the contractor to improve their understanding of the importance of completing all checklists as the work progresses and to eliminate systemic issues before they become problems. This is

29

Sample Rate (% of components or % of pages) 100%


Pace of Construction

Number of Components

required, even though it will be included in the preconstruction commissioning process session When the pace of construction is slow and there have been few Construction Checklists completed since the previous site visit, the sampling rate increases. When the pace is fast and many checklists have been completed, the sampling rate decreases If there is only one instance of a component, the rate of sampling is typically 100%, and where there are many similar components the sampling rate decreases.

40%–100% for slow pace 20% to 60% for medium 5%–30% for fast pace 100% for a single or few components 5%–75% for several to many

Final Commissioning Process Testing The sampling rate for the final commissioning process tests to verify OPR achievement is based upon the following:

Sample Rate Determination- Final Process Testing Factor Complexity

Criticality

Guidance

Sample Rate

The greater the complexity of HVAC&R system and interaction of OPR between multiple components, typically the more additional evaluation and testing is required to verify OPR achievement. Therefore, with greater complexity, the rate of sampling typically increases.

5% to10% for low complexity 10%–20% for medium complexity 20%–40% for high complexity

As the criticality of component increases, relative to achieving the OPR, the sampling rate increases to provide a higher level of assurance that the 10%–20% for low criticality OPR will be achieved. For example, a data processing center where any downtime results in the loss of significant revenue, there is an obvious need for increased testing compared to a retail clothing store.

10%–20% for low criticality 100%–600% for high criticality (see Note 1)

Note 1: For sampling rates greater than 100% (e.g., extremely critical laboratory equipment that results in loss of life if it fails), the approach is that two independent testers using different instrumentation accomplish their evaluation following the documented test procedures. Therefore, if a 400% review is warranted, then there would be four independent testers.

Note 2:

It is important to understand that even if the sampling rate is 100% or greater, the approach to be taken is still one of random sampling. For example, for a facility that has 40 rooms, the test to verify the comfort OPR would use a random approach of first checking rooms 100, 105, 110, 115..., then rooms 101, 106, 111, 116, etc. This random approach enables an unbiased evaluation of the comfort throughout the facility relative to the OPR. If issues are identified early in the testing process (e.g., after a 20% testing, systemic issues have been identified), then there is no reason to accomplish the other 80% of the testing, as it has been shown that the system does not achieve the OPR and something needs to be changed.

Note 3:

Because the final Cx Process tests to verify OPR achievement, it should focus on specific OPR criteria, and the skills of the CxA in developing appropriate, tailored tests will greatly impact the sampling rate required to determine OPR achievement.

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Informative Annex C This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Initiating the Commissioning Process Commissioning is a team effort, and the entire project team is part of the Cx Process. The Cx Plan defines project team’s roles and responsibilities, communication protocols, Cx activities, and the schedule of those activities. Success is dependent on each team member’s understanding of what is expected of them and obtaining their buy-in. That is why it is essential that the Owner clearly define, contractually, each team member’s role and responsibility and their part in the Cx Process and achievement of the defined objectives and criteria defined by the OPR or current facility requirements. The Owner is head of the project and shall be engaged in defining the team’s goals and objectives, verifying they are clearly documented in the OPR documents, and requirements the Cx provider uses to implement the Cx Process for the Owner’s benefit. The Owner shall require the update of the OPR as defined objectives and criteria contained in the document are changed as the project progresses. The Owner shall mediate and provide direction to project team for Cx issues identified but unable to be resolved among the team as part of the issue resolution process to resolve disposition of issues identified through the Cx Process. The Owner shall approve, in writing, the resolution directed by the Owner.

Commissioning Process Provider Request for Qualifications ASHRAE Guideline 0-2005, Annex E, outlines a recommended process for obtaining and contracting with a Cx Process Provider.

Setting Contractual Requirements This annex provides suggested examples of how to implement the process contracting activity of Standard 202. It is not intended to be a comprehensive representation or a best practice example. Owners and practitioners applying the Cx Process should carefully follow Standard 202 and applicable Cx technical guidelines tailored to their specific projects.

Suggested contract language must be developed for each activity applicable to a specific project or building such as: Owner’s Project Requirements 

Assist the owner by developing the Owner’s Project Requirements (OPR) in accordance with ASHRAE Guideline 0-2005. The Commission Provider (CxP) shall conduct workshops necessary to determine owner’s objectives, criteria, and sustainability goals and provide a written document that clearly expresses the owner’s requirements prior to the start of the design process. The Cx Team shall

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update the OPR as directed by the owner throughout the commissioning process. The Commissioning Plan The CxA shall develop a Commissioning Plan that outline the projects organizational structure, defines the team’s roles and responsibilities, deliverables, communication protocol, and schedule of activities. Basis of Design Documentation 

Design professionals shall provide Basis of Design (BOD) documentation as part of their required design submittals defined in Owner/Designer agreements. The BOD documentations shall contain the designer’s narratives of their intent, assumptions, calculations, and product cut sheets used in development of their design. The BOD shall be updated as design decisions are made using track changes to delineate modifications as the design progresses through its phases to completion of the project.

Commissioning Specifications 

Develop Commissioning specifications to meet the Owner’s Project Requirements which clearly define activities during construction and warranty periods for inclusion in the Construction Documents Project Manual. Commissioning specifications shall include contractor scope of work, construction checklists, testing, training, and system manual deliverables.

Commissioning Design Review 

Designers shall participated in the commissioning process by following the commissioning plan which includes, design review and issue resolution, updating the basis of design (BOD), include commissioning specifications in project manual, reviewing and considering comments from the commissioning team, keeping the Commissioning Provider informed of supplemental instructions, RFI responses, and modifications directed by the design team.



CxA shall perform focused reviews for the purpose of verifying that the design drawings and specifications meet the owner’s project requirements at completion of Schematic Design, 100% Design Development, and 95% Construction Documents. CxA shall perform a back-check all design issues discovered against 100% Construction Document completion prior to bid date. Maintain a record of all issues and recommendations including the status and outcome of each.

Construction Submittals Review Designer shall require by specification that the contractor provide construction submittals to the CxA and designers’ concurrently. The CxA shall provide review comments to the designer prior to designer approval of the submittals with a copy to the

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owner. Designers’ shall review and consider comments received before giving approval of the submittals. CxA shall review Contractor submittals for the systems and assemblies being commissioned for compliance with the Owner’s Project Requirements. Observation and Testing 

CxA shall maintain and distribute a master Issues and Resolution Log that documents issues discovered through the commissioning process, recommendations for correction and the outcomes of each issue. Include issues identified through observations and testing which do not meet the owner’s project requirements.



CxA shall develop and distribute specific functional/acceptance testing procedures for commissioned systems and assemblies for review and approval by the designers and contractors. Coordinate, direct, witness, and document functional performance tests performed by the installing contractors. Coordinate retesting as necessary until satisfactory performance is achieved. The functional/acceptance testing shall verify the achievement of the design intent and the OPR. I.E. Equipment testing shall include operating the system and components through each of the written sequences of operation, and other significant modes and sequences, including startup, shutdown, unoccupied mode, manual mode, staging, miscellaneous alarms, power failure, security alarm when impacted and interlocks with other systems or equipment. System sensors and actuators calibration shall be checked during testing by the installing contractors and spot-checked by the commissioning team.

Issues Log and Field Report 

CxA shall document issues in field reports for each site visit performed by the Cx Team and maintain an issues log that summarizes the issues and the disposition of each issue until resolved.

Systems Manual 

Cx Team shall include in the commissioning specifications contractor deliverables defined in the OPR to become part of the system manual assembled by the Cx Team. The specifications shall define the format and information required in the submittal.



Designer shall provide BOD information in CxA defined format for inclusion in system manual.

Training 

The Cx Team shall include in the demonstration and training section of the commissioning specifications the training required by the OPR. The demonstration and

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training specifications shall specifically define training to be provided, hours per topic, level of training, the training approval process, and documentation requirements. End of Warranty Commissioning Report 

The CxA shall provide a final Commissioning Report two months prior to the end of the first year of warranty.

Commissioning Process Report 

The CxA shall provide Commissioning Progress Reports at the end of each month during the projects design, construction, and warranty phases of the project.

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Informative Annex D This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Owner’s Project Requirements This annex provides an example of how to implement part of Standard 202. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow ASHRAE Guideline 0-2005 and applicable Cx technical guidelines tailored to their specific projects. The OPR is developed and defined in the beginning of the project delivery process. Information about the project is gathered, including program requirements, community context, codes and regulations, site and climate, facility context and function, facility technology, sustainability, cost, schedule, and the client’s (including owner, occupants, operators, and maintenance personnel) needs and capabilities. The OPR provides the basis from which all design, construction, acceptance, and operational decisions are made. An effective Cx Process depends upon a clear, concise, and comprehensive OPR document, which includes information to help the project team properly plan, design, construct, operate, and maintain systems and assemblies. The OPR is often developed in an OPR workshop that is described in ASHRAE Guideline 02005. The Owner is encouraged to provide a minimum of five participants that equably represent the various groups associated with the existing building or future project. The OPR are considered the heart and soul of the Cx Process. When the OPR are not developed, the Owner, designer, contractors, and operation and maintenance (O&M) personnel each interpret the building requirements, including their individual responsibilities, from the standpoint of their own specific needs. This often creates a range of diverse views of the constructed project’s needs. Developing OPR that reflect the actual needs of the Owner, the users or occupants, service and operating units, and sometimes the community is one of the, if not the, most difficult and important aspects for successful implementation of the Cx Process. The following sections detail an example format to follow in developing the OPR and a discussion of how to obtain the required information. Note that historically, the OPR has often been referred to as “design intent” or “project intent.”

Format Key sections of the OPR document are: 

Background – A narrative description to provide context about the project.



Objectives – For any project, there are goals that must be achieved for the project to be successful. Goals can range from first cost, to time schedule, to number of change orders, or to life cycle cost. Regardless of which goals are identified, they must be summarized up front to ensure everyone is on the same page.

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

Green building concepts – This is an optional section for owners who wish to focus upon the sustainability aspects of their building.



Functional uses and requirements – In addition to general documentation produced by the architect on functional uses of the building (office, storage, kitchen, etc.), the specific requirements for each functional area must be documented. This can include such items as security, safety, comfort, energy, maintainability, and indoor air quality.



Lifespan, cost, and quality – It is important to clearly document the Owner’s expectations for lifespan of materials, cost of construction, and the level of quality desired. By providing this information, unrealistic expectations are identified and eliminated.



Performance criteria – Often the most difficult to define, performance criteria detail minimum acceptable performance benchmarks for various aspects of the facility.



Maintenance requirements – The maintenance requirements are a mixture of the level of knowledge of the current O&M staff (what can they maintain) and the expected complexity of the proposed systems (what they can learn). If there is a significant gap between the two, no matter how well the building is constructed, it will not be maintained or operated properly.

The following are examples of OPR elements that are common to most of the Technical Commissioning Process Guideline topics. 

Benchmarks for performance – Specific criteria for the functional use of each space, assembly, and system must be defined. These include temperature, humidity, airflow, light, noise, durability, aesthetics (materials and colors), service life, reliability, redundancy, and the like. Typically, upper and lower limits are provided for general spaces, with exceptions noted as required.



Problems to avoid – Since occupant/user/operator complaints are common, it is important to identify and document those problems that have caused complaints in the past. If these problems are not documented and the situation recurs, the occupants often consider the entire project as a failure.



Specific occupant requirements – Specific items that are deemed important to the various occupants in a building must be identified and documented. In speculative-built buildings, this section would detail the limits to which occupants can make use of their spaces. For example, a chemical laboratory cannot be put in a space designed and constructed for general office use without significant changes to the systems and possibly to the building as a whole.

Obtaining the Information While it may be easy to obtain the basic information related to development of the OPR, it is difficult to obtain quality information that the Owner, O&M staff, service contractors, customers (i.e., students, patients, retail customers, renters), visitors, sub-tenants, occupants, and the community all agree upon. In quality-based processes, it is critical that input be obtained from all the users (the various user groups) and that the consensus of and differences between the groups are documented. There usually are requirements for which users do not all agree. These must be documented as unresolved items. Normally, the Owner will make final decisions on what the priority order of OPR will be. However, the Owner and the rest of the Cx Team must be aware of all requirements so that the final product will include as many individual group requirements as are deemed appropriate and within the budget.

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A simple, three-step process is recommended for developing the OPR: 1. OPR Workshop. 2. OPR Documentation (Report). 3. Project Team Approval of the OPR.

OPR Document A general format for an OPR document is presented below. The structure provided is intended to encompass the facility requirements and enable the addition of sections depending upon the systems and assemblies to be constructed and commissioned. Introduction – Includes an overview of the project and the general reasons why the project is being undertaken. A description of the Owner’s processes (Cx Process) is typically contained in this section. Key Owner’s Requirements – Includes a listing of the key owner’s requirements that the Cx Process will focus upon and that the Owner (Cx Team) has determined are critical to the success of the project. General Project Description - The size and scope of the project are included in this section. Objectives – The objectives for accomplishing this project are detailed in this section. Functional Uses – The expected functional uses (spaces) for the facility are detailed in this section. A short description of each functional use is included to provide the context in which it was detailed. Occupancy Requirements – Includes the number of occupants (users and visitors) and the schedule of occupancy, including all special conditions. Budget Considerations and Limitations – The expected budgetary restrictions and considerations are contained in this section. Performance Criteria – The performance criteria upon which the project will be evaluated by the Cx Team are included in this section. Each system and assembly performance criterion should be measurable and verifiable. Include subsections as appropriate to organize and explain the criteria:        

Commissioning Program Requirements Economic and efficiency requirements Environmental and sustainability goals Environmental Requirements Construction Process if a project requirement Maintainability and Maintenance Program Requirements Operations Training Requirements Benchmarks Documentation and Format Requirements including Systems Manuals

Owner’s Project Requirements Version History – Includes a summary of the changes made throughout the Pre-Design, Design, Construction, and Occupancy and Operations Phases. This information is critical to understand and document the trade-offs made over time and the resulting impact on the project.

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Informative Annex E This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Commissioning Plan This annex provides an example of how to implement a Cx Plan from project initiation through occupancy. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow ASHRAE Guideline 0-2005 and applicable Cx technical guidelines tailored to their specific projects. The following is an example outline for a Cx Plan. The basic structure of this example is such that each phase of the plan has its own section detailing what activities will be accomplished and guidance on who accomplishes it and how it is completed. The deliverables for each activity are included in an appendix. Each section of the plan will have a description of the requirements for that subject. The intent of this format is for the Cx Plan to become the Final Cx Process Report at the end of the project by updating the plan and filling in the results for each section as the project progresses. Depending upon the size and scope of the Cx Process activities, it may be beneficial to have three Cx Plans: one for the Pre-Design Phase, one for the Design Phase, and one for the Construction Phase. If separate Cx Plans are used, then care must be taken to inform those that are involved in only a portion of the process of the previous material.

Commissioning Plan Table of Contents OVERVIEW COMMISSIONING PROCESS DESCRIPTION PRE-DESIGN ACTIVITIES Develop Owner’s Project Requirements Develop Initial Commissioning Plan Commissioning Process Issues Step 1 - Identify systems and assemblies to be commissioned. Step 2. Record Issues, Schedules, Budgets, and Expectations. Step 3. Provide documentation and training requirements DESIGN ACTIVITIES Develop and Update Basis of Design Update Commissioning Plan Develop Commissioning Process Develop Contract Documents Develop and Review Project Specifications Accomplish Design Reviews Pre-Bid Meeting

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CONSTRUCTION ACTIVITIES Conduct Pre-Construction Meeting Contractor Submittal Review Construction Checklists Delivery Process Pre-Installation Checks Installation and Start-Up Checks Performance and Coordination Checks Testing Documentation Systems Manual Training Preliminary Commissioning Report OCCUPANCY AND OPERATIONS ACTIVITIES Seasonal Testing On-Going Training Warranty Review Lessons-Learned Meeting and Report Final Commissioning Report CONTACT AND RESPONSIBILITY INFORMATION SCHEDULE REQUIREMENTS Provide a detailed description of Cx Process activities and a schedule of activities. The design milestones shall include the Cx Team meetings, OPR development, design reviews, and the completion of the BOD and the Cx specifications. For construction and renovation activities the additional milestones shall include the Cx Team meetings, submittals, installation checklists completion, start-up plan start and finish, functional performance testing, owner move-in, training, O&M and record drawing completion, deferred seasonal testing, warranty review, and final Cx Process Report. For commissioning in existing building, milestones shall include representative tasks from the planning, investigation, testing, implementation, and hand-off phases. Appendices in the initiation and design stages of the project will state the requirements and responsibilities for that deliverable. The final results and documentation for each item will be inserted in the final report. It is not necessary to include copies of documents included in the Systems Manual in the final Cx Report if that Cx report is included in the Systems Manual, but the location of the document(s) shall be noted. APPENDIX A - OWNER’S PROJECT REQUIREMENTS APPENDIX B - BASIS OF DESIGN APPENDIX C - PROJECT SPECIFICATIONS APPENDIX D - COMMUNICATION STRUCTURES APPENDIX E - ROLES AND RESPONSIBILITIES APPENDIX F - COMMISSIONED SYSTEMS [listing of systems and assemblies] APPENDIX G - COMMISSIONING PROCESS SCHEDULE APPENDIX H - PRE-BID MEETING APPENDIX I - PRE-CONSTRUCTION MEETING APPENDIX J - SUBMITTAL REVIEW APPENDIX K - COMMISSIONING PROCESS ISSUES APPENDIX L - CONSTRUCTION CHECKLISTS APPENDIX M – TESTS AND DOCUMENTATION APPENDIX N – SYSTEMS MANUAL ASSEMBLY

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APPENDIX O - TRAINING APPENDIX P - MEETING MINUTES APPENDIX Q - CORRESPONDENCE APPENDIX R - WARRANTY REVIEW APPENDIX S - OPEN ISSUES APPENDIX T - LESSONS LEARNED

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Informative Annex F This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Basis of Design The Basis of Design should be reviewed and updated as part of each design submission during development of the design, after issue of supplementary instructions during the construction process, prior to occupancy, and after completion of acceptance testing. Sample Basis of Design Requirements to be contained in Owner’s Project Requirements Introduction: The BOD is a written document that shall detail the design team’s approach to the OPR. Process: The general process for producing the BOD shall be: 1. The OPR shall provide a list of required information and the format for the BOD to the design team prior to the start of design. 2. The design team shall gather and organize the information during the creation of the design. 3. The design team shall submit the BOD to the Owner and CxA for review and comment with each design document submittal. 4. The BOD shall be updated by the design team to provide increasing levels of detail as the design evolves. 5. The BOD shall be updated by the design team to reflect changes to design criteria and systems during the subsequent phase of the project and the reason for those changes. 6. The design team shall work with the Owner and CxA to resolve review comments. 7. The BOD shall include signature blocks for acceptance by the Owner and CxA. Basis of Design Content The content of the BOD shall be as follows: The following BOD contents will be edited for each project based on discussions between the Owner, CxA, or other parties. Ideally, the requirements for the BOD, 3rd party Cx, sustainable rating certifications, measurement and verification, energy modeling, and other non-traditional design elements are identified prior to receiving proposals for services from the design team.

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HVAC Schematic Design  Occupancy schedule (time and number of people)  Climatic design criteria  Indoor design criteria, including tolerances (allowable temperature and humidity ranges)  Design diversity per system  Redundancies  Applicable building codes  Additional design requirements (LEED and energy goals, other special requirements)  Sustainable code requirements  Design narrative, including description of how each sustainable design requirement is met  Controls system narrative  Renewable energy systems narrative Optional  Design narrative ( system options described in sufficient detail for energy modeling)  Ventilation calculations for each above system option Design Development  Preliminary energy modeling report  Ventilation optimization narrative  ASHRAE Standard 62.1-2010 calculations  Heating and cooling loads calculations (input and output files)  Equipment cut sheets (equipment around which the design was based)  Control schematics, database, points list, sequences, alarm conditions, and operator interface elements Construction Documents  Any modifications to Design Development BOD Lighting Schematic Design  Design power capacity (W/sf)  Design illumination levels (FC)  Lighting performance goals and standards  Lighting and lighting control narrative  Anticipated lighting power density (LPD) for each space type Design Development  Lighting calculations  Power load calculations  Lighting control zoning diagrams  Lighting system control information distributed to potential suppliers Optional  Short circuit study Construction Documents Ensure lighting controls CDs include:  Finalized specification language  Dimension locations of ceiling-mounted sensors  Controls initial calibration criteria  Defines the timing of final calibration (for daylighting controls) after partitions/furniture in place

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  

Defines initial scheduling or time clock requirements Identifies interface coordination requirements Defines any other programming such as scenes, overrides, or special events

Other Systems Develop BOD requirements for other systems as required by the OPR. Format and Organization The format and organization of the BOD shall detail the design response to the OPR requirements as follows: 1. Major sections shall include Envelope Systems, Interior Systems, Electrical and Lighting Systems, HVAC Systems, Renewable Energy Systems, and Plumbing and Service Hot Water (SHW) Systems. Within each major section shall be sub-sections labeled for each required design submittal (Schematic Design, Design Development, etc). 2. An updated BOD shall be required to be submitted with each design submittal. Updates shall include descriptions of changes to the design since the previous submittal, the reasons for those changes, and additional detailed information that becomes available as the design progresses. Design submittals for this project include for each project> SD, DD, and 50%, 95%, and 100% Contract Documents. 3. The BOD shall reflect the progression of the design within a single document. Sections previously submitted shall not be modified, but rather be addressed, as necessary, in the new section related to the current submittal. 4. Non-narrative type information shall generally be provided in a BOD appendix for each submittal and be referenced in the narrative. 5. The main-body of the BOD shall be concise, providing the reader with concise descriptions of systems and later modifications and detail on those systems. 6. The BOD shall not duplicate information provided in plans and specifications, but shall reference that information as appropriate. 7. The BOD shall address how the OPR are implemented into the design. For any criterion of the OPR that could not be met, documentation detailing what was done, its impact on the OPR, and how the OPR was modified shall be included. It is not intended that the BOD repeat the text of the OPR with comments addressing each individual OPR criterion; but rather that the BOD remain a concise, readable document that is useful throughout the design and construction processes and into occupancy. Acceptance The BOD shall include signature blocks for acceptance by the Owner and CxA of each BOD submittal.

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Informative Annex G This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Commissioning Specifications This annex provides an example of how to implement part of Standard 202. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow ASHRAE Guideline 0-2005 and applicable Cx technical guidelines tailored to their specific projects. It is acceptable but not required by this Standard for the CxA to provide drafts of these Cx specifications for the design/construction team to consider for including in their Construction or Contract documents. 1. SPECIFICATIONS FOR THE COMMISSIONING PROCESS 1.1.

This annex provides guidance on writing specifications for Cx Process activities to be performed by construction contractors.

1.2. Cx is a quality-oriented process for achieving, verifying, and documenting that the performance of facility systems and assemblies meet defined objectives and criteria. The Cx Process begins at project inception and continues for the life of the facility through Occupancy and Operations. During Pre-design, the OPR are determined and documented by the Cx Team, which includes the Owner, CxA, design professionals, operation and maintenance personnel, occupants, and users. Throughout each phase of the project, deliverables (drawings, specifications, submittals, construction, training, documentation, etc.), are verified against the OPR. 1.3. An important document created during the Cx Process is the BOD document or report. The design professionals create this document or report during the Design Phase. The BOD records the concepts, calculations, decisions, and product selections to meet the OPR and to satisfy applicable regulatory requirements, standards, and guidelines. It can include energy, environmental, sustainability, and other certification criteria, both formal and informal. The BOD includes both narrative descriptions and lists of individual items that support the design process. 1.4. ASHRAE Guideline 0-2005 provides guidance on content and basic format. While the OPR are owner-developed criteria, few owners have the resources to develop the OPR. Owners without these resources depend on the Cx Team (see a definition and discussion of the term Cx Team in the Guideline) to assist them in developing the OPR. 1.5. The OPR and BOD must be included or referenced in the construction Contract Documents for informational purposes only. 1.6. The construction contractor's obligation is to construct the building and its systems and assemblies according to the requirements prescribed in the Contract Documents. There normally are no performance requirements relating to the OPR stated in the

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Contract Documents. The exceptions to this include situations where contractors are required to provide designs for systems or assemblies to be signed and sealed by licensed professionals. 2. THE COMMISSIONING AUTHORITY 2.1. The primary role of the CxA is to verify achievement of the OPR throughout the project, from Pre-Design Phase through Occupancy and Operations Phase. The Owner could perform the CxA role. 2.2. When the Owner’s organization cannot perform the CxA duties with qualified personnel, then the CxA should have a separate professional services agreement with the Owner, as this avoids conflicts of interest and provides independence from the other parties (the Owner’s project manager, designers of record, construction managers, suppliers, and construction contractors). This professional services agreement defines the duties, rights, and responsibilities of the CxA for each phase of the project. This separate relationship allows the CxA to act independently as director of Cx Process activities, to focus on achieving the OPR, and to communicate directly with the Owner. 2.3. The CxA is a group of personnel with expertise and experience in the design, construction, and operations of the various systems and assemblies included in the project. These personnel are led by an individual who has expertise and experience in successfully implementing the Cx Process. 2.4. If the CxA is an employee, associate, or partner of the same organization as the designer of record or construction management firm, there is a conflict of interest. While not a recommended approach, in these instances, the CxA must have a separate professional services agreement, be organizationally separate from the design team or construction management team, and define and manage the conflicts of interest to provide the Owner with the independence required for the Cx Process to be successful. 2.5. The CxA does not perform testing; it directs the process and directs the recording of the results. The CxA plans, schedules, and supervises Cx Process activities to verify achievement of the OPR. The Contractor completes Construction Checklists, performs tests, and accomplishes other Cx Process activities. 3. ORGANIZATIONAL STRATEGY FOR INCLUSION OF COMMISSIONING ACTIVITIES IN THE SPECIFICATIONS 3.1. Specifications (as a part of the construction Contract Documents) should include only the Cx Process Activities the contractors perform during the life of the construction contract, including the work required during the correction period and for warranties. 3.2. Supplementary Conditions: modify the General Conditions of the Contract for Construction in a document titled "Supplementary Conditions." Among other provisions, define the CxA and include the CxA's duties, rights, responsibilities and limits of authority, and additional requirements for substantial completion. AIA Document A511, "Guide for Supplementary Conditions," provides guidance about how to write Supplementary Conditions. 3.3. General Requirements for the Cx Process: Specifications in Division 1 include the general requirements for contractors relating to Cx Process activities. The "Summary" Section describes, in general, how the contractors, separate contractors (if there is

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more than one Prime Contractor), or the Construction Manager must interact with the CxA. Administrative procedures for the Cx Process are specified in Division 1 section "Commissioning." 3.3.1. The remainder of the specification language, with the exception of Division 1 sections for temporary facilities and controls, should be mute on the subject of who must perform the work. 3.3.2. Other Division 1 Cx sections should describe the testing requirements for systems and assemblies. 3.3.3. Extent of Testing: the Contractor’s involvement in Cx Process tests must be clearly defined. The extent of this testing is determined by the Cx Team during the Design Phase based upon the OPR. 3.4. Component Cx Process Specifications: sections should specify testing and reporting requirements for products and equipment that are part of a system or assembly and then be referenced to the appropriate Cx Process sections in Division 1 for the overall system or assembly requirements. 3.4.1. During construction, the CxA verifies that contractor activities, such as installation and startup; testing; demonstration and training of the Owner's O&M personnel; and Systems Manual, achieve the OPR. Coordinating activities by the Contractor in support of the CxA should be specified within the section where the component is specified if special requirements are necessary. The following are examples of requirements to include in individual sections: 3.4.1.1. Installation and Startup: include requirements for involvement of factoryauthorized service representative in individual sections and for the completion of Construction Checklists. 3.4.1.2. Testing: include requirements to support the CxA in verifying test results, ranging from coordinating testing, to witnessing the test, to utilizing contractor personnel and test equipment to verify the test report. 3.4.1.3. Demonstration and Training: include special requirements unique to the component within its own section. 3.4.1.4. Operation and Maintenance Data: include unique requirements for the type of information required (e.g., particular requirements about parts lists, service schedules, preventive maintenance lists, and emergency operations) for long-term maintenance of the OPR. 3.4.2. In each section include an article under General that refers to Division 1 for Cx Process activities for system or assembly requirements. An example is as follows: 1.XX COMMISSIONING PROCESS ACTIVITIES A. The roofing materials specified in this section are included in the Commissioning Process as a part of the building envelope system and roofing subsystem and integrated with flashing, coping, and insulation. B. Complete the Construction Checklists and perform tests specified in Division 1 section “Building Assemblies Commissioning Requirements.”

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Informative Annex H This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Design Review Report This annex provides an example of how to implement a sampling process for Standard 202 if directed by the Owner. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow ASHRAE Guideline 0-2005 and applicable Cx technical guidelines tailored to their specific projects.

Design Submissions A critical step in the Cx Process is the review of the design submissions from the design professionals. It is important to remember that the role of the CxA is to verify that the OPR are met and that the system is designed in a quality manner. There are three distinct reviews that are completed on a drawing set – general, coordination, and field specific. A review of the specifications is also required. The use of sampling in the design review and the sampling process must be defined in the OPR. The Cx Plan can also add requirements and information to the design review process and procedures. The general steps of completing a drawing review are as follows:

General Review 1. Review the OPR: since the drawing review is to verify the OPR were met, prior to the review, the OPR should be reviewed to familiarize the reviewer with the key criteria of the facility. 2. Document the General Review Criteria: the criteria from which to accomplish the general review of the submission must be documented. The criteria should be based on general quality characteristics and specific OPR criteria. The general quality characteristics should include items such as: 

Continuation of items (ductwork, pipes, walls, electrical wiring, etc.), from page to page



Labeling, including correct room numbering



Details corresponding to actual components



Schedules include BOD information



All information is legible (not hidden by crossing lines or text)



OPR information is included on documents.

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3. Accomplish Quick General Review: the general review is intended to familiarize the reviewer with the submission. If during this review significant items are identified as poor quality, then the review process should be stopped and the design professionals contacted to discuss the quality concerns. If the general quality is good, move on to the Coordination Review.

Coordination Review 1. Determine Sampling Areas: for each floor plan area (i.e.: if there are five sheets for each floor, then there are five floor plan areas for each floor) select a single building area randomly. A simple way to do this is to divide the drawing sheet into 15 squares (5 by 3) and select square number 3 on the first sheet (area) and then 5, 7, etc., for each remaining area. This selection is accomplished typically using the architectural sheets. 2. Select Review Samples on Drawings: using the sampling strategy chosen in Step 1, mark the sample areas to be reviewed in each area. This should be accomplished for each trade (landscaping, architectural, structural, plumbing, mechanical, electrical, etc.). 3. Accomplish Coordination Review: for each area, compare the squares between each discipline. The intent of this review is to identify coordination problems with the placement and installation of components. Items of specific interest include: 

Placement of multiple pieces of equipment/components in the same location



Accessibility to equipment/components for maintenance/replacement



Use of consistent terminology (e.g., room numbers)



Elevations provided where multiple systems are placed in the same area



Other trade duties clearly identified (e.g., window assemblies, roof drains, electric wiring for HVAC equipment, holes for sinks).

If significant coordination problems are identified, stop the review and contact the design professionals to discuss. If the coordination is good, continue on with the Field Specific Review.

Field Specific Review 1. Determine the Review Sampling Procedure as defined in the project OPR and Cx Plan: use random sampling that selects every xth square on the drawings to be verified. Squares that are completely blank (no walls, equipment, etc.), are not included in the counting. For example, if there are 10 pages of drawings and each drawing is split into 15 grids (5 x 3), there will be 150 potential grids to review. If a 20% sample rate is desired, then 30 grids would be reviewed, or every 5 grids. The starting grid should be chosen using a random selection process (die, 1-6 in a hat, etc.). 2. Document Review Criteria: the criteria from which to review the drawings should be based on specific OPR criteria. This typically includes items such as accessibility, maintainability, meeting sustainability goals, comfort conditions, documentation of OPR and BOD, and operating details. 3. Select Review Samples on Drawings: using the sampling strategy chosen in Step 1, mark the sample areas to be reviewed. 4. Accomplish Detailed Statistical Review: using the review criteria from Step 2 and the

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selections from Step 3, accomplish a detailed review of the drawings. This includes verifying that the specifications match that shown on the drawings (see below for specification review details). For example, if an air terminal box is in the selected square, the steps in accomplishing the detailed review might include: a. Review design calculation inputs for matching architectural assumptions and the OPR. b. Compare calculation results with the total airflow of the diffusers downstream of the air terminal box and with the terminal box schedule. c. Compare location of air terminal box with maintenance requirements of the selected make and model (BOD). d. Compare air terminal box location on drawings with requirements in the specifications. e. Review the OPR for other issues that the air terminal box could impact. 1. Document Concerns: during the review of the drawings, keep detailed notes of problems found or concerns with certain items. Also, at the end of the review, a general summary of the quality of the drawings should be developed. A letter detailing the quality of the drawings should then be sent to the design professionals and the Owner with specific recommendations and directions given. 2. Review the Drawing Review Procedure: after the drawing review is completed, this document should be reviewed and modified to improve the process for the next time.

Specification Review 1. Determine the Review Sampling Procedure: the purpose of this review is to determine the general quality of the specifications. During the Field Specific Review, the actual details are checked. The sampling procedure should check approximately 10% of the specifications. 2. Accomplish General Review: the review should focus on the quality of the specification, specifically: 

Are there extraneous sections that do not pertain to the project (i.e., medical gas in an office building, 15 types of valves when only 2 used, etc.)?



If a manufacturer has been listed, has the engineer checked to verify that the OPR are met?



Are there any “or as equals?” (“As equal” should always be defined.)



Are the directions clear and concise?

3. Develop Summary of Review: develop a summary of the review. If there are problems with the specifications, contact the design professionals and discuss.

Design Professional Actions Comments provided by the CxA need to be formally replied to by the design professionals. If systemic issues are identified during the CxA’s review, the design process should be resolved. . Back-checking of the specific items may be appropriate, but not as the sole means of verifying resolution of the issue.

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Design Review Report The design review report should contain the following information: Project title, number, and date of review 1. Executive Summary. Include a summary of the process used for the review and for processing the comments and responses. 2. List of documents reviewed by title and issue number or date. Include a list of all the documents reviewed. 3. Issues, comments, and variances from OPR. Include copies of all reviews, distribution lists, and responses. 4. Coordination of drawings and systems. Include a copy of the reviews on drawings and systems coordination. 5. Access, constructability, and maintainability questions and recommendations. Include a copy of the reviews on systems and assemblies access, constructability, and maintainability.

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Informative Annex I This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Submittal Review Report The review of the manufacturer’s and contractor’s submittals is intended to verify conformance to the project OPR and gather information for the testing and Cx of the equipment and system. The use of sampling in the submittal review and the sampling process must be defined in the OPR. The Cx Plan can also add requirements and information to the review process and procedures. See Annex B in this standard for additional information on submittal reviews. The submittal review report should contain the following information: Project title, number, and date of review 1. Executive Summary. Include a summary of the process used for the review and for processing the comments and responses. 2. Descriptive outline of submittals reviewed. Include a list of all the documents reviewed. 3. Issues, comments, and variances from OPR. Include copies of all reviews, distribution lists, and responses. 4. Coordination with project systems. Include a copy of the reviews on submittals and systems coordination. 5. Conformance to functional requirements and maintainability. Include a copy of the reviews on systems and assemblies access, constructability, and maintainability.

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Informative Annex J This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Construction Observation and Testing Checklists and Report 1. OVERVIEW Testing ensures that systems and assemblies meet the performance criteria for which they were designed. Test procedures shall be repeatable and shall provide set up conditions, step by step instructions and expected or required outcomes. The procedures form or another form shall document the test results. When necessary to verify performance, test procedures shall include monitoring performance parameters over time. Observation focuses mostly on the visual inspection of whether a particular system or assembly is installed as specified, whether the correct components were selected, installed without damage, and whether the installation meets the criteria set forth in the OPR in terms of maintainability, access, and the like. A test is substantially different from an observation in that the performance of the system or assembly is examined rather than its physical presence. Testing for performance frequently means altering the operation of the system or assembly to evaluate responses against expectations. To clarify the different types of testing that can be employed, the following definitions may be used: Performance Test (PT): Performance Testing is the process of verifying that a material, product, assembly, or system meets defined performance criteria. The methods and conditions under which performance is verified are described in one or more test protocols. Performance Test Protocol: A Performance Test Protocol is a written collection of tests that, when executed in the test process, allow verification of the performance of a system or assembly. Performance Test - Active Test: Execution of an active test forces the system or assembly from one operating state to another through operator interaction. The test description includes the definition of a starting state and an expected response state. The test description also includes the operator interaction required to force the system into the expected state and the type of monitoring and data recording required. Performance Test - Passive Test: Execution of a passive test records the starting state or if necessary, places the system or assembly into a pre-defined starting state and monitors the occurrence of response states over a passage of time without operator interaction. The test description includes the record of a starting state, expected response states, and describes the amount of time required to elapse before test completion, as well as the type of monitoring and data recording required. During execution of the test, the actual response states are recorded.

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2. PERFORMANCE These definitions shown above apply to all types of systems and assemblies and are not tied to any particular discipline in the construction process. Performance as a generic term can be identified to include all physical (and physically measurable) performance parameters such as leak tightness, electrical efficiency, solar absorption efficiency, vibration isolation, and the like. Note that color, weight, or size are not performance parameters. They are physical properties of the system and assembly, and as such, are not performance tested. These properties will affect the performance. For example, the color of a solar collector will influence its conversion efficiency, but the resulting efficiency is the performance parameter that is tested, not the color. Next to these measurable parameters, there are also logical or operational parameters that can be tested. Example: the correct reaction of a security system that responds to an access key card being swiped at a door is a logical performance test – the performance being tested is the control system response rather than the physical operation of the door lock itself.

3. LEVELS OF COMPLEXITY To test systems and assemblies in a systematic manner, it is important to initiate testing at a low level of system or assembly complexity, and work up to the highest level. This concept is difficult to define exactly since the definition and meaning of terms such as component, system, and assembly changes depending on the viewpoint of the observer: As an example, the security system test described above could proceed in several steps: the lowest level of complexity tests whether a door lock mechanism operates when power is applied and correctly manages to lock/unlock the door as desired. A follow-up step might be a test that examines the interaction of one door/card reader combination and verifies whether the door lock is triggered by the introduction of the card. A higher level test still would be the verification of multiple access cards with different access rights linked to schedules (card A is allowed entry 24/7, card B is only allowed access from 8AM to 5PM). For every system or assembly, testing can thus be conducted by defining what levels of complexity are to be addressed, what actions are taken to challenge a system, and what responses are expected. The definition of levels of complexity and levels of systems depends largely on the expertise of the author of test protocols and the wishes of the Owner as expressed in the OPR. As an example of system definitions, a test protocol could be based on using a chiller as a component in a chiller plant. The system in this case is the plant, components are chillers and pumps. Low level tests would examine whether the chiller operates when commanded to do so; higher level tests would examine whether multiple chillers stage correctly in response to load. However, if additional attention to detail was desired, each chiller itself could also be defined as a system consisting of multiple compressors, variable speed drives and on-board controls with potentially far more complexity than a chiller plant consisting of 2 chillers and 2 pumps. The response of the chiller system to sudden load changes without freezing could thus be tested, or the ability to maintain a steady chilled water temperature within tight tolerances, or the ability to restart quickly after a power outage.

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The reverse could also be true – in a case where multiple, existing chiller plants are interlocked as part of a new project to provide additional redundancy, neither the testing of an individual chiller nor even the testing of each chiller plant may be required; instead, the interaction of the various available chiller plants on campus and their ability to correctly respond to failures of one plant by increasing the capacity of another plant may be appropriate. Thus, the number of levels of complexity and the number of levels of systems versus components or sub-systems is entirely project dependent. The clarification of testing levels should be provided by the author of the tests, and the Owner should make a decision concerning the level to which such possible testing should be conducted. Typically, a fairly high level of expertise is required to understand not just the available test methods and cost, but also to make an appropriate selection of which type of test will best verify whether the actual owner’s needs will be met: The mental step of translating the Owner’s wishes (as expressed through the OPR) into performance criteria that can be tested and verifying that test protocols encompass all of those performance criteria is not trivial. Care should be taken to ensure that those accepting test protocols before their execution, such as the Owner, are assisted by technical personnel able to provide background information and plaintext explanations of what tests are required, why they are required, what costs associated with different levels of testing make sense, and what risks are associated with testing. As a final example linked to the previous chiller plant, an owner may not require a high degree of business continuity because they do not have a critical facility such as a data center. In this case, creating test protocols that examine the chiller’s ability to restart quickly is entirely possible, but it adds little value. Conversely, failing to include a test protocol for quick restart in a data center project may fall short of meeting the Owner’s needs – thus, all tests could be written and perfectly executed while still failing to meet the desired level of performance. Despite the difficulty in describing the boundaries of systems and assemblies exactly, a general description of the execution of tests in order of complexity is as follows: tests should be conducted in order of complexity, starting with the simplest systems or assemblies. Tests of simpler systems and assemblies should be passed successfully before tests of more complex systems and assemblies are undertaken. In general, the level of complexity is proportional to the number of components and physical or logical interactions between components. For purposes of Cx, only those physical or logical interactions which are captured in test protocols determine the relative complexity of the system or assembly; in other words, complicated “black box” systems or assemblies are relatively simple from the point of view of the Cx agent, even though they may be complex from the manufacturer’s or contractor’s point of view. The definition of what physical or logical interactions are captured in test protocols is the responsibility of the Owner, with substantial support from the CxA and related technical experts on the Cx Team.

4. ACTIVE vs. PASSIVE TESTING Most of the examples given above relate to active testing. This involves purposefully changing the operating state of an assembly or system to evoke a response and comparing the response to the expectation shown in the test protocol. Usually, this is done by physically being present at the system or assembly and observing the responses as they occur. Active test example: all openings (doors, windows) in a building are closed, and the building is pressurized with a blower assembly. The air passing through the blower/fan is measured, and the result is converted in to an envelope leak rate for the building.

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Active test example: a person enters a room, and the lights turn on in response to the occupancy sensor. The person leaves the room and lights turn off again after the timer has elapsed. It is possible to capture a large degree of functionality in this manner, but typically not possible to verify all the performance that was desired in the OPR. To augment these tests, which rely on intentional interaction with systems and assemblies in the field, a second type of test is required. This type of test is a passive test, in which the performance of systems and assemblies is evaluated WITHOUT intentional interaction by test personnel. In many cases, this type of testing involves more long-term results which are not practically obtainable in the field. Passive test example: the actual efficiency of solar panels on a daily cycle is tested for comparison against manufacturer data and expectations upon which the design is based. Irradiation meters record the solar intensity over a period of several weeks, and the power output of the panels is measured using a power meter with the ability to communicate with the building management system or with its own data logging capabilities. Several weeks of data are examined, and the panel performance is evaluated for sunny and cloudy conditions. Passive test example: the scheduling system in a building is examined after turn-over to the customer. Using data loggers or the building control system, the status of selected lighting, security, mechanical, and electrical systems is recorded to determine whether systems shut off as desired when schedules command and whether the use of local overrides and adjustments by tenants causes unintended interactions that result in systems remaining in operation. Several weeks of operation, including changes between weekdays and weekends, can be examined to verify overall performance. As the examples above illustrate, the methods employed in executing an active and a passive test are substantially different, and they require different tools. The types of performance that can be measured with active and passive tests may overlap but are often complementary. Both types of tests are usually required to comprehensively address the ability of systems and assemblies to meet owner’s requirements.

Construction Observation and Testing Checklists and Report OVERVIEW Construction Checklists consist of two general types: Component/Equipment Based: these Construction Checklists are utilized for components and pieces of equipment that are delivered, installed, and started up during construction. There is an individual checklist for each individual component or piece of equipment. System/Assembly Based: these Construction Checklists are utilized for systems and assemblies where separate checklists cannot be applied to sub-components of the system or assembly. There is a single checklist for the entire system, often assembled around the sequence of operation. For each Test Procedure, Test Data Records shall be developed. Test Data Records capture test data, observations, and measurements. Data may be recorded on photographs, forms, or other means appropriate for the application. The following information shall be recorded: 1. Test number.

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2. Date and time of the test. 3. Indication of whether the record is for a first test or retest following correction of a problem or issue. 4. Identification of the system, equipment, or assembly under test. List the location and the construction document designation. 5. Conditions under which the test was conducted. 6. Expected performance of the systems and assemblies at each step of the test. 7. Observed performance of the system, equipment, or assembly at each step of the test. 8. Issue number, if any, generated as a result of the test. 9. Dated signatures of the person performing the test and of the witness, if applicable.

SAMPLE [insert equipment/component name] CHECKLIST TAG ID:

Location:

Date:

General Instructions: 1. This form is to be completed as the work is completed. 2. Section 1 – Model Verification upon delivery of equipment/component to either the jobsite or storage location. 3. Section 2 – Pre-Installation Checks just prior to initial installation. 4. Section 3 – Installation as installation progresses. 5. Section 4 – Fill in performance data and initial. There are a number of websites of testing and Cx organizations and agencies that have inspection and testing forms that can be adapted for specific needs and projects.

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Informative Annex K This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Issues and Resolutions Log The Issues and Resolutions Log is the on-going listing of issues and questions on a project that needs to be communicated to the project team for resolution or action. These are often shown in table format and supplemented with pictures and drawings where necessary. The following items can be included in an effective Issues Log: 

Project title



Project location



Name of CxA managing Issues and Resolution Log with email address and phone number



Issue number



Issue description



Pictures of item if available and appropriate



Date issue discovered



Issue found by name



Effects of issue on project or building operation



Possible cause of issue or problem



Recommendation for resolution if available



Person(s) assigned to resolve issue



Actions taken



Approvals of issue resolution.

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Informative Annex L This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Systems Manual This annex provides an example of how to implement part of Standard 202. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow ASHRAE Guidelines 0-2005 and 1.1-2007 and applicable Cx technical guidelines tailored to their specific projects. Developing the Systems Manual encompasses gathering all of the information related to the systems, assemblies, and the Cx Process and incorporating it into a usable information resource, with indexes and cross references. This resource shall include the final OPR, BOD, the final Cx Plan, Cx Process Report, manufacturer installation manuals, manufacturer O&M manuals, system schematics, record drawings, and test results. This information is edited and organized to focus upon the key systems (roofing, walls, fire alarm, chilled water, hot water, etc.), in the building. Coordination with O&M personnel in developing standard formats and divisions (shops) is accomplished to simplify future Systems Manual development. It is the intent that the Systems Manual be assembled in electronic format to facilitate access and reduce storage requirements. The electronic format will also reduce the possibility of loss for parts or all of the information. For Systems Manuals assembled in hard copy format, the larger documents such as record drawings, specifications, submittals, and O&M documents can be stored in secure locations with these locations referenced in the Systems Manual. Also included in the Systems Manual is the development of periodic maintenance and information for insertion into a computer maintenance management system (CMMS), including equipment make and model information, checking requirements, maintenance requirements, and troubleshooting items. The CxA shall be responsible for evaluating the development of the Systems Manual. The entity responsible for developing the Systems Manual shall include all items involved in the project and capture the system and assembly data in either an electronic or printed version. In addition, printed operations, service, maintenance, spare parts list, and repair manuals may be provided. This entity (owner, contractor, design professional, other) shall have the skills of design, construction, and operations required to develop a cohesive Systems Manual. The required details for a full Systems Manual are enhanced in each of the technical Cx Process Guidelines. The Systems Manual will have multiple sections depending upon the number of systems focused upon during the Cx Process. The Systems Manual contains information on the OPR and documentation of building design and construction, along with operational requirements, maintenance information, training and testing documentation for the use of building operations, and maintenance and optimization of the facility over its useful life.

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The format and content of the Systems Manual provided in this standard can be effectively used in both new construction and for assembling one for an existing building, even if the building is not commissioned. Systems Manual Preparation Objectives The objectives of the systems manual is to: 1) provide the necessary information to the facility operating staff and the maintenance function to understand the design and construction of the building, and how to operate and maintain the building, 2) assemble the building design, construction and testing results by system in one set of documents, 3) provide a documentation source to be used in training materials, and 4) provide documentation for building performance improvement and ongoing commissioning. Systems Manual Documentation Requirements The Systems Manual process captures project requirements, design documentation, construction details, evaluation and testing results, and training programs as the information becomes available. Additionally, the recommended operating and maintenance procedures and on-going documentation requirements are assembled and included. Changes to the manuals are expected as the building maintenance systems are developed and changes to the systems occur. The Systems Manual contains the following sections in the order of availability and usage: I.

Executive Summary The Executive Summary contains an overview of the building design, construction, and operational requirements. The information is intended to provide general guidance on the intended operation, performance, and maintenance of the building in conformance to the Owner's Project Requirements. The design team, along with contact information, is also provided to facilitate information transfer on original designs and maintenance and optimization.

II.

Facility Design and Construction 1. Owner’s Project Requirements (OPR) Insert final copy of OPR developed and revised during the commissioning process. This provides the operations and maintenance staff, as well as future owners, the information on the original intent for the design and use of the building. 2. Basis of Design (BOD) Insert final copy of BOD document developed during the commissioning process. This provides the operations and maintenance staff, as well as future owners, the information on the design of the building. 3. Construction/Project Record Documents Insert final program and design documents, and insert or describe locations of record drawings. Digitized systems manuals can also contain copies of the record documents. This process minimizes the loss of these documents.

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III.

Building, Systems, and Assemblies Information 1. Specifications Insert final copy of facility and equipment design specifications. 2. Approved Submittals Insert final copy of specific approved submittals by specification section sequence including a copy of final approved and commissioned sequences of operation for equipment and systems, along with limitations to operation. 3. Manufacturer’s Operation and Maintenance Data Insert manufacturer provided installation and O&M manuals that have been verified and localized to the installed building system or equipment by specification section sequence. 4. Warranties Insert system and equipment warranties arranged by specification section sequence. 5. Contractor/Supplier Listing and Contact Information Insert a listing of all contractors and major suppliers, including address, phone, and email to facilitate repairs and replacements.

IV.

Facility Operations 1. Facility Guide, including: Operating Plan; Building and Equipment Operating Schedules, Set Points, Ranges and Limitations; Commissioned Control Sequences of Operation; and Emergency Shut Down Actions. 

Insert a copy of the completed facility operating plan with explanations of the intended use and operation of the facility.



Insert a copy of final commissioned set points of all equipment with operational adjustments. Include the set point normal intended ranges and limitations.



Insert a copy of the final sequences of operation for all operating equipment.



Insert a copy of routine building operations maintenance requirements.



Insert a copy of emergency shutdown procedures and locations of applicable controls.

The following items 2 through 6 should be added to the Systems Manual when required by the Owner’s Project Requirements or available. 2.

Maintenance Procedures, Checklists, and Records Insert procedures, forms, and checklists for facility operation and maintenance. Include updating requirements. Describe inspections and testing required on a routine basis and standard forms required.

3. Maintenance Schedules Include recommended maintenance schedules for systems and equipment along with update requirements.

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4. On-going Commissioning Operational and Maintenance Record Keeping Include on-going commissioning and optimization procedures and documentation to monitor and improve the performance of facility systems. 5. Janitorial and Cleaning Plans and Procedures Insert a copy of facility cleaning and janitorial plan with procedures and intended chemicals and equipment. 6. Utility Measurement and Reporting Include description of utility metering and monitoring systems. Provide document formats and procedures for tracking utility usage and reporting this information to meet owner’s and jurisdictional requirements. V.

Training 1. Training Plans and Materials Include instructions and procedures for the use of appropriate sections of the Systems Manual for training for building operations and maintenance. Insert copy of training plans used for each type of equipment along with session syllabus used. Insert training materials used arranged in specification sequence. Describe location or sources of available additional training.. 2. Training Records Insert records of training, schedules, sign in sheets, etc. Include copy of training documentation and training recordings on the operation of the systems and equipment, along with appropriate trouble shooting instruction.

VI.

Commissioning Report (Format shown in Annex O) 1. Commissioning Process Plan(s) Insert the final Commissioning Process Plan 2. Commissioning Design and Submittal Review Reports Insert a copy of the Cx design and submittal reports 3. Testing Reports Insert completed Commissioning Process Report with documents and verification and testing forms and records for each building and system and assembly included in the Cx Process Insert copies of all relevant manufacturers and installers testing reports. This creates a unified record of all required testing performed during purchasing and installation. Insert copies of installers and commissioning authorities completed validation checklists. This provides a record of installation checks and observations for future reference.

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Insert copies of installers and commissioning authorities completed functional performance checklists of assemblies, equipment, and integrated system. This provides a record of performance checks and observations for future reference. 4. Cx Progress Reports Insert a copy of all Cx progress reports 5. Issue and Resolution Logs Insert a copy of all issue and resolution logs with resolution or status of each item. This provides a record of problems and issues found and resolved during the design and construction process for future reference. 6. Item Resolution and Open Items Insert a list of any open items and seasonal or additional testing required.

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Informative Annex M (This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Training Plan and Records Pre-Design Training Requirements and Implementation begin at project conception and are part of the OPR. At the implementation stage, the Owner needs to address the source of operating personnel, in-house or out sourced labor and services, and the level of responsibility assigned to the Facilities/Project Manager for the site. OPR requirements for extended warranty and service agreements with the Contractor or OEM (original equipment manufacturer) need to be addressed at the time of project inception. In the implementation stage, beginning with assigned individual roles and responsibilities, the OPR for training are considered in a manner similar to choosing any of the varied systems, components, and assemblies that establish the level of quality and performance expectations expressed by the Owner in the OPR. The criteria used to determine the minimum level of acceptance required by the Training OPR will guide the development and coordination of the training of personnel who are assigned responsibilities of maintaining the facility systems performance in the OPR. This includes, for example, energy, electrical, plumbing, fire, and safety and indoor environment and occupant comfort requirements that are related to the facility systems. During Pre-design, the initial training agenda needs to be developed to a level that reflects the training required to meet the OPR. This provides the initial guidance to the design team. It includes: 

Establish development requirements for the Training Plan.



Identify Essential Components or Systems requiring formal training and the estimated time designated for training by hours (unit cost).



Determine Skill level requirements for Operating Staff meeting the OPR levels of performance.



Create checklists of training requirements necessary to maintain warranty conditions and service life.



Specify requirements for acceptable organization and implementation of the OEM training requirements prior to Occupancy.



Clearly identify the training requirements of contractor’s work force for the equipment maintaining the interior environment during the Construction Phase.



Develop Training methods that meet the OPR, including incorporating OEM training with service bulletins, recalls, and implantation of changes in operating procedures as facility systems and components age and degrade in performance levels.



Provide clear understanding of the OPR for training material, training sessions (schedule), and trained personnel necessary, prior to and after occupancy by the Owner.

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Training responsibilities and the position or person assigned these responsibilities must be clearly defined in the OPR and reviewed before moving into Design. This is of extreme importance when essential equipment or systems are provided by the Owner. The design needs to satisfy the operating personnel for the following OPR topic areas, including consideration of training required to continuously achieve the benefits of designs that optimize each requirement. 

Reparability



Interchangeability



Accessibility



Replaceability



Maintainability



Extendability



Adaptability



Lifecycle Replacement Sequence



Cost Analysis of Component Servicing and Maintenance Cycles



Complexity of the OEM and Systems in day to day operation.

Controls at the system and component level are essential for all systems and assemblies. There must be special effort directed at the training requirements as the design develops, versus considering the training afterward as a result of the controls design. Beyond mechanical maintenance, the skill set required at each level of the operating hierarchy for Direct Digital Control (DDC) systems needs to be defined in the OPR. These DDC systems have various levels of control and hierarchy; some levels require computer programming skills that are beyond the means of an owner to support. At a minimum, the OPR should define the responsibilities and training necessary for in-house and out-sourced contractors (service plan) of site DDC systems. The level of interoperability and any additions to interoperability not currently used at the site or organization requires additional training for the systems to be successful. Issues addressed in the OPR should include the following: 

DDC in-house engineering, operations, and maintenance (EOM) requirements



DDC service plans and warranty requirements



Procedures for maintaining record documents and service records of DDC Systems



Training and Certifications requirements for in-house and service contractor personnel



Written training matrix updated to each level in the DDC Hierarchy.

Design During Design, the design professional, following the OPR, will define the training requirements and implementation schedule for the project in the contract documents. Sometimes this may require specific needs for each installing contractor and for in-house maintenance and out-sourced service personnel. The performance of these training services is verified both as part of the submittal review process and as the training sessions occur. There will be additional training requirements that continue to evolve during design and construction of the project. It is recommended to have “Needs Development Workshops or Sessions” during

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design and construction. These need to be defined in the specifications. Special note should be given to the training and service requirements of equipment and systems not provided by the project contractor. This is usually owner provided equipment or systems that occur outside the project submittal review. In some cases, there may be two or more construction projects, with separate contractors or in-house construction. This requires coordination of training needs to prevent duplication and acceptable scheduling of trainers and trainees. Procedure training on spare parts availability and service response times should be clearly defined by the design professional and verified in the submittal process. During Design, the design professional should clearly define all special requirements for storage of equipment or systems prior to installation. Training necessary to maintain the equipment prior to owner acceptance is identified and monitored by proper application of the Contractor’s QA/QC program. Special training of contractor personnel handling equipment with special requirements should be monitored by the CxA, demonstrating training and competence meeting the OPR during all periods that the equipment and systems are operated during construction and warranty. Equipment must be maintained to prevent any degradation prior to turnover to the Owner for operations. Contractor Special Training, Licensing, Certification (Construction Phase) After the notice to proceed, the Contractor is required to provide initial submittals in the stated period of time. One of the initial submittals usually required is the Contractor’s QA/QC Program. This program outlines the methods used by the Contractor to assure his personnel have the proper Training, Licensing, and Certifications to perform assigned tasks. In addition, the criteria necessary to maintaining the project-specific OPR are identified in the Contractor QA/QC Program. On a frequent basis, the CxA should verify and note compliance by the Contractor to required Training, Licensing, and Certification requirements or activities and other quality checks identified in the Contractor’s QA/QC program or required by the contract. Certification Training for procedures in the use of unique equipment or assemblies should be required at locations other than the actual job site. In such cases, the design professional may require verification of current and up-to-date certification and valid accreditation documents for the organization or individual issuing the certification. The role of the CxA in verification of proper training for certification is to randomly check the documentation necessary to demonstrate compliance with the OPR. The requirement for ensuring that the proper documentation is valid remains with either the design team or owner’s project or construction manager. Construction Phase Training There should be an initial training session during the construction period and prior to contractor training for the Owner’s EOM and users by the design team on the OPR and BOD, including system limitations. This is especially required for all mechanical and electrical systems that are critical to the success of the facility. The CxA should hold a training development workshop with the EOM (including any service contractors) several months before the final training sessions are scheduled and the scope of training-sessions content is set. This workshop is for gathering information from the EOM staff to determine the actual training requirements based upon the approved equipment, assemblies, and systems for the building, upon a walk-through of the building, and upon the review of final plans and specifications. This may require an increase or decrease in actual training requirements than the requirement included in the contract documents. This is frequently related to the final equipment, components, and HVAC&R systems selected by the Owner, design team, and Contractor.

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Systems Manuals need to be complete before owner’s personnel are provided training and used in the training sessions. Training on the use of the Systems Manuals should be a combined training effort of the design team, the Cx Process team, and the Contractor. The CxA should review the Contractor’s schedule for all required training. Resources and time for training can place great demand on both the Contractor and the EOM and service firm personnel at the end of the Construction Period. Building operating systems are especially impacted because of a high level of training required. Early training must be scheduled for project success. The CxA must document that training and the required level of competence learned in the training meets the OPR. The Contractor is responsible for start-up, testing, adjusting, balancing, Systems Manual, and training for all systems and equipment prior to the functional testing or measurement and verification of these systems and equipment. The Cx Team must verify through assembled documentation that the contractor personnel are trained and competent to perform these activities. The Contractor must begin early training on any major changes in the automated preventive maintenance and service program that is included by systems installed and required by the contract. Testing and evaluation demonstrating compliance of systems and equipment to the OPR should be witnessed by the Owner’s O&M staff as part of Contractor’s Training Plan. The CxA facilitates the monitoring of functional and Cx tests by designated owner personnel performed as part of the General Contractor’s acceptance plan. The benefit to the Owner in monitoring these tests are lessons learned and corrective review of O&M procedures prior to Substantial Completion and operation of the systems by the Owner. Using the information developed in this start-up phase, the Owner and the CxA should evaluate the abilities of in-house personnel to perform the O&M necessary for successful operation of various systems and to prevent future warranty issues. A value analysis of OEM service programs and maintenance by the CxA during this period is useful information for the Owner’s consideration. Documentation gathered by the CxA during this monitoring phase is useful to the training program and in the acceptance phase. The majority of the systems and assemblies training should occur during construction, prior to Substantial Completion. The initial training is developed at a level to ensure that the Owner’s O&M personnel are competent in the proper operation of the systems and equipment during occupancy. The training prior to Final Acceptance takes place after the facility has been occupied during the warranty period between Substantial Completion and Final Acceptance. This allows for training in seasonal operation and site-specific issues to be addressed in the training program. Using a two-step training program, the CxA will facilitate the coordination of site specific issues: 

Warranty/Guaranty



Service Call-up or Call-back



Systems and Equipment Performance



Seasonal Transition of Equipment



Spare Parts Inventory



Equipment or Systems Service Bulletins

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

Life-cycle analysis



Modified Preventative and Predictive Maintenance Procedures.

Construction Close Out As systems are completed, the Contractor may be required to or may elect to use these systems to maintain an environment at the worksite meeting specified requirements in executing the construction process. Prior to turnover, these systems operated by the Contractor need to be validated for proper O&M by contractor personnel. The validation of operating equipment at turnover must include documentation that the Contractor Personnel were properly trained in both operation and maintenance of the system and that the equipment maintenance schedule was maintained during the period of contractor operation. Lessons learned and information gathered on the operations of the systems during start-up and operations are valuable to the Owner and must be included in the turnover training of the Owner’s Operating Staff and coordinated by the CxA before the Owner assumes these responsibilities. Occupancy and Operations At Substantial Completion and Owner Operations and Occupancy, the major training responsibilities become the responsibility of the Owner. Specifically, it will become the responsibility of the Owner’s Facility Chief Engineer and Building Manager. The CxA/Chief Engineer/Building Manager relationship in this phase will coordinate the training requirements to implement and optimize the performance of: 

Existing Service and Outsourcing of Service Plans and Programs



Organization and Training of O&M staff



Qualification of Training Requirements of staff positions



Warranty/Guaranty implementation and enforcement



Service Call-up or Call-back tracking and evaluation



Systems and Equipment Performance in: o Measurement o Verification o Analysis (Benchmarking and Life-cycle) o Optimization o Re-commissioning Cycle o Optimization Seasonal Transition of Equipment and tracking impact of weather cycles and systems performance

 

Spare Parts Inventory and response times for service



Equipment or Systems Service Bulletins and training updating



Life-cycle and Maintenance Budget Planning



Modification of Preventative and Predictive Maintenance Procedures to meet site-specific conditions.

The Facility/Building Manager will assess the benefits and costs of maintaining a Training Cycle that represents the interests of the Owner. The CxA can be of great benefit to the Building Manager in the initial organization of Construction Documents, providing a method to

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keep training up-to-date with the cycle of changes in equipment and use of the building throughout the lifecycle. Summary The processes of training and systems optimization will remain a responsibility of the Chief Engineer and Facility/Building Manager for the life of the Facility. To assure the continuing need for training and understanding of systems and O&M, a paper-trail of the learning process is essential to the continuing success of site operations. The CxA is an essential part in getting this process off the ground, and with continuing Cx efforts, provides the guidelines to optimize the training process through the life of the building. The documentation of the training process coordinates the: 

Coordination and Organization of Responsibilities for training assigned to a position



Evaluation of understanding and competence in what was learned in training and O&M



Proper application of Preventative and Predictive Maintenance of Systems



Organization of application of Service Bulletins and OEM call-backs



Clear application of system performance and degradation information



Optimal benefits from lessons learned



Coordination of Personnel Changes and Mentoring for a position. a) Instructor qualified to train on the specific topic areas for each training session are to include the following: 1. Specific experience of the systems, equipment, and/or project knowledge that relate to the instructional topics. 2. Experience related to the systems, subsystems, equipment, and assemblies. 3. Formal education and factory training. 4. Skills related to the operation and maintenance of systems, sub-systems, equipment, and assemblies. b) Training materials employed during the instructional process shall be provided. 1. Systems Manual information. 2. Handouts and written information. 3. Vendor and manufacturer information. 4. Visual aids. c) Training agenda 1. Training participant evaluation form. 2. Training acceptance evaluation form.

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Informative Annex N This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

End of Warranty Commissioning Post Occupancy Operations Cx Process objectives include the following: (a) Using the CxA’s project knowledge and experience to minimize contractor call-backs. (b) Providing on-going guidance on O&M to achieve the OPR. (c) Completion of seasonal testing of facility systems and assemblies. (d) Documenting lessons learned from applying the Cx Process for application to the next project. (e) Acceptance of Post Occupancy Operations Cx Process activities. Post Occupancy Operations Cx Process activities described in this activity, that are to be performed by the design team and special consultants, shall be included in the scope of services described in the “Owner – Design Professional Service Agreement.” This shall include additional training, seasonal tests, problem resolution, design evaluation, site visits, updating drawings and specifications, or other requirements performed during the Post Occupancy and Initial Operations period defined for the project. During the Post Occupancy Operations, the Cx Team works to verify the on-going compliance with the OPR. Essential team members during the Post Occupancy and Operations include owner’s representatives, the CxA, design professionals, contractors, and construction/program/project managers. Responsibilities of the Cx Team during the Post Occupancy and Operations Phase shall include the following: (a) The CxA shall aid in the coordination of the call-back of contractors during Post Occupancy Operations. (b) Evaluation of the performance of all systems and assemblies being commissioned shall be completed during Post Occupancy Operations. The CxA shall determine when this evaluation shall be performed based on weather conditions, load conditions, or occupant interactions that are required to complete the activities. (c) Additional training shall be performed during Post Occupancy and Operations following the deferred evaluation of these systems. (d) Determination that the system and assembly operations meet updated OPR. (e) Evaluation that the Systems Manual is updated following completion of all seasonal and deferred testing.

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Informative Annex O This annex is not a mandatory part of this standard. It is merely informative and does not contain requirements necessary for conformance to the standard. It has not been processed according to the ANSI requirements for a standard and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.

Commissioning Report The Cx Process Report is the documentation of the Cx work and results accomplished during construction. The Cx Process Report contains the following: (a) Identification of any systems or assemblies that do not perform in accordance with the OPR. For various reasons, the Owner may choose to accept performance that is at variance with the OPR, either permanently or until schedule and budget constraints allow for correction. The Owner’s acceptance of these conditions should be documented along with the environmental, health, safety, comfort, energy, and operating and maintenance cost impacts. The OPR must be updated to match the revised expectations. (b) Evaluations of the operating condition of the systems at the time of test completion. (c) Construction Checklist completion and evaluation summary. (d) Results from the Issues Log, including the descriptions of issues and the measures taken to correct them. The description should assess the importance of the issues and estimate the value of their correction in terms of environmental impact, improved health, safety, comfort, energy, operating and maintenance costs, and the ability of the facility to support its mission. (e) Test procedures and data. This section should incorporate the original test procedures and signed data forms, including additional data such as photos, computerized documentation, and other records of the tests. Data should include the final accepted test, as well as earlier tests that failed to meet the specified criteria. This section should also include a set of blank data forms for future use in the on-going Cx Process and re-commissioning. (f) Cx Progress Reports. Copies of progress reports generated throughout the Cx Process. (g) Deferred Tests. Execution of some tests may be deferred until appropriate natural loads, such as occupancy or design weather conditions, are available. For these deferred tests, the prerequisite conditions and an estimated schedule for their completion should be included. (h) Lessons-Learned. Evaluation of the Cx Process used and changes that will improve the delivered project and form the basis for the Final Cx Process Report developed during Occupancy and Operations. This is essential to ensure that issues, benefits, and recommendations are captured in a written document while all team members are available and information is fresh. A preliminary Cx Process Report should be submitted for owner review. Submittal of the preliminary Cx Report to other Cx Team members or for jurisdictional requirements may also be appropriate. The final Cx Process Report should incorporate review comments from the Owner, and, optionally, from other Cx Team members.

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The following is an example outline for a Cx Process Report. The basic structure of this example is such that each phase of the plan has its own section detailing what activities were accomplished and who accomplished it and how it was completed. The deliverables for each activity are included in an appendix. Each section of the report will have a description of the results for that subject. The intent of this format is for the Cx Plan to become the Final Cx Process Report at the end of the project by updating the plan and filling in the results for each section as the project progresses.

Commissioning Process Report Table of Contents 1.

Executive Summary

2. ..

Commissioning Process Description and Plan(s) Insert the final Commissioning Process Plan

3.

Commissioning Design Summary and Design and Submittal Review Reports Insert a copy of the Cx design and submittal reports

4.

Testing Reports Insert completed Commissioning Process Report with documents and testing forms and records for each building and system and assembly included in the Cx Process in the Annexs below Insert copies of all relevant manufacturers and installers testing reports in appropriate annex. This creates a unified record of all required testing performed during purchasing and installation. Insert copies of installers and commissioning authorities completed validation checklists in annex below. This provides a record of installation checks and observations for future reference. Insert copies of installers and commissioning authorities completed functional performance checklists of assemblies, equipment, and integrated system in annex below. This provides a record of performance checks and observations for future reference. 4. Cx Progress Reports Insert a copy of all Cx progress reports in annex below 5. Issue and Resolution Logs Insert a copy of all issue and resolution logs with resolution or status of each item in annex below. This provides a record of problems and issues found and resolved during the design and construction process for future reference. 7. Item Resolution and Open Items Insert a list of any open items and seasonal or additional testing required. 8. Contact Information

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Appendices in the initiation and design stages of the project will state the requirements and responsibilities for that deliverable. The final results and documentation for each item will be inserted in the final report. It is not necessary to include copies of documents included in the Systems Manual in the final Cx Process Report if that report is included in the Systems Manual. APPENDIX A - OWNER’S PROJECT REQUIREMENTS APPENDIX B - BASIS OF DESIGN APPENDIX C - FINAL PROJECT SPECIFICATIONS APPENDIX D - COMMUNICATION STRUCTURES APPENDIX E - ROLES AND RESPONSIBILITIES APPENDIX F - COMMISSIONED SYSTEMS [listing of systems and assemblies] APPENDIX G - COMMISSIONING PROCESS SCHEDULE RESULTS APPENDIX H - PRE-BID MEETING RECORDS APPENDIX I - PRE-CONSTRUCTION MEETING RECORDS APPENDIX J - SUBMITTAL REVIEW RECORDS APPENDIX K - COMMISSIONING PROCESS ISSUES AND RESOLUTION RESULTS APPENDIX L - CONSTRUCTION CHECKLISTS COMPLETED APPENDIX M – TESTS AND DOCUMENTATION COMPLETED APPENDIX N – SYSTEMS MANUAL ASSEMBLY PROCESS APPENDIX O – TRAINING RECORDS APPENDIX P - MEETING MINUTES and CORRESPONDENCE APPENDIX Q – Cx PROGRESS REPORTS APPENDIX R - WARRANTY REVIEW AND STATUS APPENDIX S- OPEN ISSUES APPENDIX T - LESSONS LEARNED REPORT

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