ASHRAE commissioning guide 202P.pdf

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BSR/ASHRAE/IES Standard 202P

______________Second Public Review Draft

Commissioning Process forBuildings 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/public-review-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 1-800-727-

4723 (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 anypart 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

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ASHRAE Standard Project Committee 202

Cognizant TC: TC 7.9, Building CommissioningSPLS 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. Theproject 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, ord. 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 andaccepted 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 conductedunder 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 ratingpurposes, by suggesting safe practices in designing and installing equipment, by providing proper definitions of this equipment, and byproviding other information that may serve to guide the industry. The creation of ASHRAE Standards and Guidelines is determined by the needfor 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 COMMISSIONINGREQUIREMENTS ................................................................................................................ 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 containrequirements necessary for conformance to the standard. It has not been processedaccording to the ANSI requirements for a standard and may contain material that has notbeen subject to public review or a consensus process. Unresolved objectors oninformative 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 definedobjectives and criteria.

The Commissioning Process assumes that owners, programmers, designers, contractors, andoperations and maintenance entities are fully accountable for the quality of their work. TheCommissioning Team uses methods and tools to evaluate that the project is achieving theOwner’s Project Requirements throughout the delivery of the project.

The Commissioning Process begins at project inception (during the Pre-Design Phase) andcontinues for the life of the facility (through the Occupancy and Operations). Because thisstandard 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’son-going requirements.

Due to the inherent variations in the planning and data gathering process in existing buildingsand on-going commissioning, this standard and process is intended for projects includingconstruction and renovation (sometimes called ‘capital’ projects). During an existing buildingcommissioning process, if the project construction utilized the Cx process, the OPR maytransition to the Current Facility Requirements (CFR) and the Cx Plan may transition to an On-going Commissioning Plan. If these documents do not exist an existing buildingcommissioning process would be used to develop the necessary documentation.

The Commissioning Process is a quality-based method that is adopted by an owner to achievesuccessful 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 projectsand increase value to owners, occupants, and users. This standard has been developed toassist 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 acommittee to document best practices to provide and operate facilities that performed accordingto the Owner’s Project Requirements. ASHRAE published its original commissioning guidelinein 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 workedfrom the first day the project was turned over to the Owner. This Commissioning Process isfurther 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 ofsatisfaction and that reduced the cost to deliver the project.

In 2008, it became evident that a standard with minimum requirements for the CommissioningProcess was necessary to support many other standards and programs. Standard 202 presents the minimum requirements for the Commissioning Process without focusing uponspecific building types, systems or assemblies, or on specific project sizes. Supplementarytechnical guidelines have been and continue to be developed to provide specific and detailedinformation on how to implement the Commissioning Process for each major building/facility,





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system or assembly, and for various stages of facility development and operation. The scopeand budget for the Commissioning Process is set by the Owner for each project at thebeginning of the development process.

Due to the integration and interdependency of facility systems, a performance deficiency in onesystem can result in less than optimal performance by other systems. Implementing theCommissioning 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 andassemblies and trained operating and maintenance personnel.

Emphasis is placed on documentation of the Owner’s Project Requirements at the inception ofthe project and the proper transfer of this information from one party to the next. Owners adoptthe Commissioning Process to achieve their stated objectives and criteria—starting with theinception of a project instead of after a facility is occupied.

While circumstances may require owners to adopt the Commissioning Process during theDesign or Construction Phase of a project, such later implementation must capture theinformation that would have been developed had the Commissioning Process begun at projectinception. 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 requirementsfor a training program for continued successful system and assembly performance.

1. PURPOSE

The purpose is to identify the minimum acceptable Commissioning Process for Buildingsand Systems.

2. SCOPE

This standard provides procedures, methods, and, documentation requirements for eachactivity for project delivery from pre-design through occupancy and operation, including:

a) Overview of Commissioning Process activities,b) Description of each process step’s minimum activities,c) Minimum documentation requirements, andd) Acceptance requirements.

3. 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 definedrequirements, thus permitting subsequent activities to proceed.

Basis of Design (BOD) : A document that records the concepts, calculations, decisions, andproduct selections used to meet the Owner’s Project Requirements and to satisfy applicableregulatory requirements, standards, and guidelines. The document includes both narrativedescriptions and lists of individual items that support the design process.

Checkl is ts : Project and element-specific checklists that are developed and used during allphases of the commissioning process to verify that the Owner’s Project Requirements are beingachieved. Checklists are used for general evaluation, testing, training, and other design andconstruction requirements.





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Commiss ion ing (Cx) : See Commissioning Process.

Commiss ion ing A uthor i ty (CxA) : An entity identified by the Owner who leads, plans,schedules, and coordinates the commissioning team to implement the Commissioning Process.

Commiss ioning 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 andassemblies are planned, designed, installed, tested, operated, and maintained to meet theOwner's Project Requirements.

Comm issioning Process Activi t ies : Components of the Commissioning Process.

Comm issioning Progress Repor t : A written document that details activities completed aspart of the Commissioning Process and significant findings from those activities, and iscontinuously updated during the course of a project.

Commission ing Team : The individuals and agencies, who through coordinated actions, are

responsible for implementing the Commissioning Process.

Commiss ioning Test ing: The evaluation and documentation of the equipment andassemblies: delivery and condition; installation; proper function according to the manufacturer’sspecifications, and project documentation to meet the criteria in the Owner’s ProjectRequirements.

Construction Checkl ist : A form used by the commissioning team to verify that appropriatematerials and components are on-site, ready for installation, correctly installed, functional, and incompliance with the Owner’s Project Requirements. Also see Checkl ists .

Construct ion 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 jurisdictionalrequirements. Construction documents usually include the project manual (specifications), plans(drawings), and General Terms and Conditions of the contract.

Contract Docum ents : This includes a wide range of documents, which will vary from project toproject 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 ConstructionDocuments.

Coordination Drawing s : Drawings showing the work of all trades to illustrate that equipment

can be installed in the space allocated without compromising equipment function or access formaintenance and replacement. These drawings graphically illustrate and dimensionmanufacturers’ recommended maintenance clearances.

Current Faci l i ty Requ irements (CFR): A written document that details the current functionalrequirements 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 Checkl is t : A form developed by the commissioning team to verify that elements ofthe design are in compliance with the Owner’s Project Requirements. Also see Checkl ists .





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Des ign Rev iew – PEER : An independent and objective technical review of the design of theProject or a part thereof, conducted at specified stages of design completion by one ormore qualified professionals, for the purpose of enhancing the quality of the design.

Des ign Rev iew – Cons t ruc tab i l i t y : The review of effective and timely integration ofconstruction knowledge into the conceptual planning, design, construction and fieldoperation of a project to achieve project objectives efficiently and accurately at the mostcost effective levels to reduce or prevent errors, delays and cost overruns.

Des ign Rev iew – Code o r Regu la to ry : A review of a document conducted by staff ordesignated entity of an Authority Having Jurisdiction to determine whether the content ofthe document complies with regulations, codes, or other standards administered by theJurisdiction.

Des ign Rev iew – Commis s ion ing : A review of the design documents to determinecompliance with the Owner’s Project Requirements, including coordination between systemsand assemblies being commissioned, features and access for testing, commissioning andmaintenance, 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 tothe criteria required in the Owner’s Project Requirements.

Ex i s t i ng Bu i l d i ng Commiss ion in g Process : A quality-focused process for attaining theCurrent Facility Requirements of an existing facility and its systems and assemblies beingcommissioned. The process focuses on planning, investigating, implementing, verifying,and documenting that the facility and/or its systems and assemblies are operated andmaintained to meet the Current Facility Requirements, with a program to maintain theenhancements for the remaining life of the facility.

Fac i l i t y Gu ide : A basic building systems description and operating plan with general proceduresand 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 theCommissioning Process and is developed from the final Commissioning Plan with all of its attachedappendices.

Issues and Resolution L og : A formal and ongoing record of problems or concerns and theirresolutions that have been raised by members of the Commissioning Team during the course ofthe Commissioning Process.

On-Going Commissioning Process (OCx) : A continuation of the Commissioning Process wellinto 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. On-Going Commissioning Process activities occur throughout the life of the facility; some of these willbe close to continuous in implementation, and others will be either scheduled or un-scheduledas needed.

Owner’s Project Requirements (OPR) : A written document that details the requirements of aproject and the expectations of how it will be used and operated. This includes project goals,measurable performance criteria, cost considerations, benchmarks, success criteria, andsupporting information. (The term Project Intent or Design Intent is used by some ownersfor 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 theCommissioning Process requirements to a project that has been delivered using theCommissioning Process.

Retro-Commissioning: (See Existing Building Commissioning.) The Commissioning Processapplied to an existing facility that was not previously commissioned.

Systems Manual : A system-focused composite document that includes the design andconstruction documentation, facility guide and operation manual, maintenance information, traininginformation, commissioning process records, and additional information of use to the Owner duringoccupancy and operations.

Test Procedu re : A written protocol that defines methods, personnel, and expectations for testsconducted on components, equipment, assemblies, systems, and interfaces among systems toverify compliance with the Owner’s Project Requirements.

Training Plan : A written document that details the expectations, schedule, duration anddeliverables of Commissioning Process activities related to training of project operating andmaintenance personnel, users, and occupants.

4. UTILIZATION

4.1 Introduction

The application of this standard can be for the delivery of all or selected systems andassemblies 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 processdescribed 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 technicaldocuments and guidelines to describe the specific details and to properly implement the CxProcess relative to a specific facility, system, or assembly. This standard can be applied to bothnew 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 andassemblies.

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 Deliverable

a. Initiate Commissioning Process Roles and Responsibilities↓

b. Decide Project Requirements Owner’s Project Requirements↓

c. Develop Commissioning Plan Commissioning Process Plan↓

d. Design Approach to Requirements Basis of Design↓

e Set Contractor Cx Requirements Commissioning Specifications↓

f. Review Design to Requirements Design Review Report↓

g. Review Submittals Submittal Review Report↓

h. Observe and Test Construction Checklists & Reports

↓ i Resolve Issues Issues and Resolution Log

↓ j. Assemble Systems Manual Systems Manual

↓ k. Conduct Training Training Plans and Records

↓ l. Post Occupancy Operation End of Warranty Cx Report

↓ m. Assemble Commissioning 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 thecommissioning deliverable by the owner or client. Under this Standard, the CxA is not requiredto "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 determiningthe 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 activitiesinto 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 directsthe 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 theproject and the Cx process.





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5.2 Commissioning Requirements

5.2.1 Roles and ResponsibilitiesThe 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 projectteam’s scope.

5.2.3 Owner’s Project Requirements

For new construction or major renovations, the Owner shall ensure development of the OPR asdescribed in Chapter 6 of this standard prior to development of the architectural program. TheOwner shall require a final updated and approved OPR at substantial completion.

5.2.4 The Commissioning PlanThe 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 thoseactivities.

5.2.5 Checklists

The Owner shall require, by agreement, the Cx team including the CxA, and design andconstruction service providers to develop, utilize, and complete Cx procedures and written Cxobservation 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, byagreement, the development and updating of the Basis of Design by the designers as describedin Chapter 8 of this standard.

5.2.7 Commissioning Specifications

For construction or renovation projects requiring contract documents, the Owner shallrequire, by agreement, the design/construction team to include Cx specifications in the projectcontract documents. The Cx specification shall include the meeting of all requirements definedin the OPR applicable to the contracted parties, and follow the Cx Process contained in theproject’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, byagreement, the design team to review, respond to, and participate in an issue resolutionprocess to resolve issues identified during the Cx design review process in Chapter 10 of thisstandard. The Owner or designated representative shall review the Cx Process design reviewcomments, participate in issue resolution process, and provide direction to the team whenneeded to meet the OPR.

5.2.9 Construction Submittals Review

For construction or renovation projects requiring design and/or submittals, the Ownershall require, by agreement, that the construction submittals for systems and assemblies beingcommissioned 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 beperformed 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 Ownershall review Cx issues log and field reports, participate in collaborative team resolution, andprovide direction when needed.

5.2.12 Systems Manual

The Owner shall require, by agreement, the development and delivery of a projectSystems Manual and that deliverables be provided for the Systems Manual in accordance withChapter 14 of this standard. The Owner shall ensure that specific entities are designated for thedevelopment 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 andconstruction parties as applicable, perform training defined in the OPR or Cx Plan as describedin 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 inChapter 16 of this standard be performed. This shall include additional training, seasonal tests,problem resolution, site visits, updating drawings and specifications, or other requirementsperformed during the Post Occupancy and Initial Operations period defined for the project in theOPR 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. TheOwner shall ensure that specific entities are designated for the development and assembly ofthe Cx Project Report.

6. OWNER'S PROJECT REQUIREMENTS

6.1 Introduction

The OPR forms the foundation for the design, construction, and occupancy andoperation of the facility and is the basis for the Cx Plan and schedule. The OPR documentevolves throughout each project. It is the primary tool for benchmarking success and quality atall phases of project delivery and throughout the life of the facility





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6.2 Requirements

6.2.1 During Pre-Design, the Owner, along with the Cx Team, shall facilitate development anddocumentation of the OPR.

6.2.2 The OPR document shall list and define the systems and assemblies to becommissioned, including sampling strategies accepted by the Owner. The systems and

assemblies being commissioned shall have defined project performance and acceptancecriteria.

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 onlyattachment or as required by owner’s contract requirements.

6.2.5 The OPR shall be updated regularly throughout the project and Cx process to reflectchanges 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 acceptedby the Owner.





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7. COMMISSIONING PLAN

7.1 Introduction

The Cx Plan shall be a written document and provide organization, documentationrequirements, and tools to evaluate and document that the design, construction and operation ofthe 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 atthe initiation of the project. . The Cx Plan shall be updated and expanded during design andconstruction 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 CxPlan 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 Occupancyand 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 andresolution log, and Cx Progress Reports that will be used during the project to communicateand track critical Cx Process information.

i) List of project commissioned systems and assemblies and description of evaluationprocedures.

j) The framework for procedures to follow whenever Cx Process evaluation does not meet theOPR.

7.3 AcceptanceThe 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 designteam’s approach to meeting the OPR to provide the Owner with a better understanding ofdesign issues, and secure the Owner’s approval of critical design decisions.





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8.2 Requirements

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

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

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 eachmilestone 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 becommissionable 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 tofacilitate the next step in the design process.

9. CONTRACTOR, SUPPLIER, AND MANUFACTURER COMMISSIONINGREQUIREMENTS

9.1 Introduction

The responsibilities of the contractors, suppliers, and manufacturers, including thosecontracted directly to the Owner, shall follow the contract documents, including the Cx Processdefined by the Cx specifications.

9.2 Requirements

9.2.1 Cx specifications shall be developed for all systems and assemblies beingcommissioned, and included in the construction documents.

9.2.2 The applicable Cx Process specifications and requirements shall be included in all





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contracts with contractors, sub-contractors, suppliers, service providers, and manufacturers forsystems and assemblies being commissioned.

9.2.3 Contractors, sub-contractors suppliers, service providers, and manufacturers shallprovide the required documentation as defined in the contract documents. Examples of theseinclude submittals; shop drawings; installation, operations, maintenance, and close-outdocuments; 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 thedesign documents to evaluate compliance with the OPR. Design review shall be completedprior to the issuing of construction documents for systems being commissioned. The OPR, andthe 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 ProjectRequirements. This design review-commissioning shall not be considered a design PEER orCode Review.

10.2.3 The design team, owner, and/or other responsible party shall respond to the CxAdocument 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 reportedto 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 finalCommissioning Report.

10.3 Acceptance

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

11. COMMISSIONING SUBMITTAL REVIEW

11.1 Introduction

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

11.2 Requirements





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11.2.1 A designated Commissioning Team member shall review project submittals forsystems 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 systemsbeing 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 inaccordance 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 administrationservices, the Owner shall:

a. Require the CxA to review the construction submittals for the systems beingcommissioned concurrently with the Owner or owner’s representative and providecomments to the Owner or owner representative.

b. Consider the CxA’s comments and provide direction to the Contractor in accordance withthe 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 datereviewed and a summary of the submitted equipment/materials properties that appear not tomeet the OPR. Any sampling review process utilized on the submittals shall conform to theOwner 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 writtenreport to the Owner and design authority. If it is determined that any reviewed submittals do notcomply with the OPR, that submittal shall be provided to the Owner for determination if thesystem or equipment shall be accepted or rejected.

12. CONSTRUCTION OBSERVATION AND TESTING

12.1 Introduction

The proper installation, coordination, Commissioning testing, and interaction amongcommissioned 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 tocomply with the OPR and with the contract documents.

12.2.2 Checklists and test procedures with necessary report forms shall be developed beforeequipment or assembly installation. All completed checklists and test reports shall be included inthe 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 theCommissioning team to explain Cx procedures and coordinate commissioning activities at thebeginning 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 whatequipment/material was specified and submitted. What was actually delivered on the siteshall be documented and verified.

b. The condition of the equipment at the time it is delivered at the site and prior to itsinstallation.

c. Proper installation of the systems and assemblies. Evaluation shall focus on the physicalinstallation of the systems and assemblies, on their ability to meet the contract documentsrequirements, 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 establishedfor 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 anitem 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 andthe Cx Specifications..

12.2.7 Executing Test Procedures

a. Once Construction Checklists and test procedures are established, the responsible entitiesshall 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 asrequired by the Cx Plan.

c. Completed test reports shall be submitted to the project team for review and the CxA forevaluation.

12.2.8 Any commissioned system or assembly that fails to meet requirements and that cannotbe resolved in a timely manner shall be given an issue number and recorded in the Issue andResolution Log to facilitate follow up.

12.2.9 All checklists and test procedure results shall be compiled into the Final CommissioningReport.





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12.3 Acceptance

A summary of the testing shall be reported to the Owner in a written Cx ProgressReport following completion of the testing or at intervals noted in the Cx Plan. Review of thesummary 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 continuingitems 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 withsupporting 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 allissues are resolved or accepted by the Owner.

13.2.4 The Issues and Resolutions Logs and Cx Progress Reports shall be distributed to the CxTeam at intervals prescribed in the Cx Plan.

13.3 Acceptance

The Owner shall review and accept the final Issues and Resolution Log. Uponacceptance, 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 buildingoperation and the training of personnel.

14.2 Requirements

14.2.1 The Systems Manual shall provide the information needed to understand, operate, andmaintain 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 duringConstruction. The Cx Team shall be responsible for updating the Systems Manual during the CxProcess including design construction and operation as required in the OPR, Cx Plan andcontract documents.

14.2.3 The following shall be included in the Systems Manual:

Section 1 – Executive Summary

Section 2 – Facility Design and Construction





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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 Systemsand Assemblies

3.1 Copy of Building and Equipment Specifications3.2 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, SetPoints, 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 checklistscompleted 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 reviewedand evaluated by the CxA prior to training of operational and maintenance personneland 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 beingcommissioned, in accordance with the OPR, to operate and maintain the building systems andassemblies. The training plan is considered an essential element in designing, preparing, anddelivering 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, andassemblies. These topics shall address the design, construction, operation, and maintenance ofspecific 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 theminimum duration of each training session in hours to be completed as required in the OPR, CxPlan 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, trainingmaterials, and records shall be included in the final Systems Manual as shown in Chapter 14 ofthis standard.

15.3 Acceptance

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

16. POST OCCUPANCY OPERATION

16.1 Introduction

Post occupancy operation commissioning, including delayed and seasonal testing andwarranty issues, shall be provided to deliver buildings and construction projects that meet theOwner’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 warrantyperiod.

16.2.2 The seasonal, delayed, and incomplete testing of facility systems and assemblies shallbe completed. The CxA shall determine when the Cx testing shall be performed based onweather conditions, load conditions, or occupant interactions that are required to complete theactivities for all systems and assemblies being commissioned.

16.2.3 The general contractor or owner shall coordinate contractor call-backs to resolve issuesidentified during the Cx Process and provide written documentation to the CxA that the issueshave been resolved and/or the Owner has accepted the final conditions.

16.2.4 Additional training shall be performed during the Post Occupancy and Operationsactivities in accordance with the Training and Cx Plans.





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16.2.5 During the Post Occupancy Operations activities, the operation, maintenance, andmodification of the facility systems and assemblies, and their associated documentation, shallbe evaluated to comply with the updated OPR.

16.2.6 By the conclusion of the Post Occupancy Operation commissioning activities, theSystems Manual, testing documentation, issue and Resolution Logs, training report, and a finalCx 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 operationfor 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 Planand by the applicable jurisdictional requirements.

17.2.2 The Final Cx Report shall include the final Cx Plan and the results of the implementationof that plan. The report shall include an executive summary describing the Cx Process andidentifying the systems and assemblies commissioned. The report shall identify the location ofthe final OPR and BOD documents or contain a copy if these documents are not otherwiseavailable. 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, andCommissioning start up and test forms, including those utilized during the Occupancyand 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 themeasures taken to correct them.

f. A discussion of systems or assemblies that do not perform in accordance with the OPR..

g. For all incomplete issues, delayed or seasonal tests including a resolution plan approvedby the Owner identifying who is responsible for resolution.

17.3 Acceptance

17.3.1 The CxA shall submit the Cx Report to the Owner and others as required by the OPRand 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 notcontain requirements necessary for conformance to the standard. It has not been processedaccording to the ANSI requirements for a standard and may contain material that has notbeen subject to public review or a consensus process. Unresolved objectors oninformative 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 thebuilding development and parallel Cx Process. These show relationships and processes thatmay be beyond the requirements of this standard but are referenced here to provide a morecomplete understanding of the Cx Process and its potential.

The following table summarizes the documents that are produced during the implementation ofthe Cx Process on a project. The participants shown are options and need to reflect the needsof the Owner and the specific project.

ActivityDocument Input By

ProvidedBy

Reviewed/ApprovedBy

Used By Notes

Projectinitiation

Owner’s ProjectRequirements

Owner,CxA, O&M,Users,DesignTeam (?)

Owner,CxA, orDesignTeam

Owner CxA,DesignTeam

Design Teammay not behired yet.

InitialCommissioningPlan

Owner,DesignTeam, CxA

Owner or CxA Owner CxA, Owner,DesignTeam,ConstructionTeam

Design Teammay not behired yet.

SystemsManual Outline

Owner, O&M,CxA

Owner orCxA

Owner Design Team,ConstructionTeam

May beincluded inOPR

TrainingRequirementsOutline

Owner,O&M,Users, CxA,DesignTeam

Owner orCxA

Owner, CxA Design Team,ConstructionTeam

May beincluded inOPR

Issues andResolution LogFormat

Owner, CxA Owner or CxA Owner CxA,DesignTeam

May be onlyformat at thistime

Cx Report Format Owner, CxA CxA Owner Design Team,Owner

Design Owner’s ProjectRequirementsUpdate

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

CxA orDesigner Owner CxA, DesignTeam

Basis Of Design Design Team DesignTeam

Owner, CxA Design Team,CxA

ConstructionSpecifications forCommissioning

Design Team,CxA, Owner

DesignTeam or CxA

Owner Contractors,CxA,DesignTeam

May also beprovided byProjectManager/Owner’s Rep.





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Systems ManualOutline -Expanded

Design Team,CxA, O&M,Contractor

DesignTeam or CxA

Owner, CxA Design Team,Contractor

Contractormay not behired yet.

TrainingRequirements

Owner, CxAO&M, Users,

Owner, CxA,O&M

Owner Design TeamContractorinput

Requirements InSpecifications

CxA,DesignTeam

DesignTeam, CxA

Owner Design Team

Design ReviewComments

CxA CxA Designteam,Owner

Design Team

Issues andResolution Log

CxA CxA N/A CxA,Design

Issues Report CxA CxA Owner Design Team,Owner

DesignCommissioningProcess Report

CxA CxA Owner Owner

Construction Owner’s ProjectRequirementsUpdate

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

CxA orDesigner

Owner CxA,DesignTeam,

Contractors

Basis of DesignUpdate

Design Team DesignTeam

CxA, Owner Design Team,CxA

CommissioningPlan Update

Design Team,CxA, Owner,Contractor

CxA CxA,Owner,DesignTeam,

CxA, Owner,Design Team,Contractors

Submittal ReviewComments

CxA DesignTeam

DesignTeam

Contractor

SystemCoordinationPlans

Contractor,Design Team

Contractor CxA,DesignTeam

Contractor,CxA

EvaluationChecklists

CxA,Contractor,Design Team

CxA CxA,DesignTeam

Contractor

EvaluationReports

Contractor CxA CxA, Owner Contractor

Test Procedures CxA,Contractor,Design Team

CxA CxA,DesignTeam

Contractor

Test DataReports, Testand BalanceReport

Contractor CxA CxA, Owner Contractor

CommissioningMeeting Agendasand Minutes

CxA CxA All All

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

Contractoror CxA

Owner, CxA O&M, Users,Contractor

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

Contractor Owner, CxA O&M, Users


CxA CxA N/A CxA,DesignTeam,





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Issues Report CxA CxA Owner,DesignTeam

Design Team,Owner,Contractor

PreliminaryConstructionCommissioningReport

CxA CxA Owner Owner Prior toOccupancy

FinalConstruction

CommissioningReport

CxA CxA Owner Owner

OccupancyandOperations

Owner’s ProjectRequirementsUpdate

Owner,O&M, Users,Design Team

CxA orDesigner

Owner CxA,DesignTeam,Contractors

Basis of DesignUpdate

Design Team DesignTeam

CxA, Owner Design Team,CxA

MaintenanceProgram

Owner,O&M,Contractor,

CxA

Owner orCxA

Owner, CxA O&M, Users

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

CxA DesignTeam,CxA

Contractor

Test DataReports

Contractor CxA CxA, Owner Contractor,O&M


CxA CxA N/A CxA,DesignTeam,Owner

Issues Report CxA CxA Owner Design Team,Owner,Contractors

Commissioning

Report

CxA CxA Owner Owner Final Report

Re-CommissioningPlan

O&M, Users,CxA

CxAorOwner

Owner Owner

Notes:

1. The term “contractor” is understood to refer to any of several entities that provideconstruction services. Depending upon the project, this could include, among others, theowner’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


Quality Based Sampling Process

This annex provides an example of how to implement a sampling process for Standard 202 ifdirected by the Owner. It is not intended to be a comprehensive representation or a bestpractice example. Practitioners applying the Commissioning Process should carefully follow

ASHRAE Guideline 0-2005 and applicable commissioning technical guidelines tailored to theirspecific projects.

Use of Samp ling

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 specificagreement of the Owner. The Cx Plan can also add requirements and information to the designreview process and procedures.

The Owner’s understanding of quality-based sampling and level of assurance desired willtypically 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 thesampling 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 designprofessionals. It is important to remember that the role of the CxA is to verify that the OPR aremet and that the system is designed in a quality manner. There are three distinct reviews that arecompleted on a drawing set – general, coordination, and field specific. A review of thespecifications is also required.

Construction Review Sampling

There are three primary areas relating to systems and assemblies where quality-basedsampling 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-goingverification that the OPR is being achieved; it is not to relieve the design professional of his orher responsibility that the submittals meet the contract document requirements. Therefore, theCxA accomplishes a two-part review of submittals—one to evaluate the Contractor’s submittaldevelopment process to verify OPR achievement and one to evaluate the design professional’ssubmittal review process to verify OPR achievement.





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These reviews can be accomplished utilizing a random sampling approach of thesubmittals as directed by the OPR and Cx Plan. Random (quality-based) sampling is utilizedbecause it is a way to accomplish effective, unbiased evaluations of materials against givencriteria. The random sampling approach for a specific submittal varies based upon the numberof 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 aremultiple attributes and components to sample from). In addition, the CxA may select submittalsto 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 creationprocedures is:

1. Review OPR.2. Review Construction Documents and BOD.3. Identify Key Criteria.4. Determine Sampling Rate as defined in the OPR.5. Accomplish Review.6. Document Results (provide timely comments to the Design Team).

The first three steps in the submittal review process should be accomplished prior toreceiving submittals since this will significantly reduce the turn-around time for submittal reviewsby the CxA.

Review OPR. The CxA should review the current OPR to ensure understanding of theproject success criteria. Specific attention should be given to those criteria that could beadversely impacted by the HVAC&R equipment performance, the system performance (includesparameters such as comfort, energy efficiency), and the ease of operation and maintenance inthe submittals being reviewed.

Review Construction Documents and BOD. There is typically significant OPRinformation 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 plansprior to reviewing the submittal, with particular attention given to those items that couldadversely impact achievement of the OPR.

Identify Key Criteria. From the OPR and construction document reviews, the keycriteria 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 uponmultiple 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 arecriteria for evaluating the submittals. There may also be key code and standards issues. All thecriteria for evaluation of submittals can be developed and listed in table format to be randomlysampled for evaluation.

Sample Rate Determination- Submittals

Factor Guidance(% of components or

% of pages)Complexity Components of greater complexity typically require

additional maintenance space and access points, aswell as have a greater likelihood of involving multipleOPR criteria. Therefore, with greater complexity, the

rate of sampling typically increases.

10%–20% for low complexity20%–40% for medium complexity40%–100% for high complexity





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Criticality As the criticality of a component increases,relative to achieving the OPR, the sampling rateincreases to provide a higher level of assurancethat the OPR will be achieved. For example, in a

data processing center where any downtimeresults in the loss of significant revenue, there isan obvious need for increased review compared

to a retail clothing store.

5%–25% for low criticality100%–600% for high criticality

(see Note 1)

Length

A submittal that has very little information (length)will typically result in a high sampling rate, whereasone 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.

100% for less than 3 pages75% to 100% for 4 to 10 pages

25% to 75% for 11 to 100 pages5%–25% for greater than 100

pages

Although data and evaluation of construction has not been fully confirmed, the use ofrandom samples in concrete and other construction products has been successfully verifiedusing random samples. This is due to the fact that there is only a given amount of resourcesavailable 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 reviewof a portion of the submittal against the OPR, whereas the 100% review is more of an overviewtrying 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 acceptableevaluation and improved results. For further information on sampling, refer to the referenceslisted in Section 9 of ASHRAE Guideline 0-2005.

Accomplish Review. With the evaluation criteria and sample rate established, thesubmittal review is accomplished. Since the sample rate directly impacts the level of effortrequired by the CxA, the sample rate needs to be determined during scope negotiation betweenthe Owner and CxA. During these negotiations, it is important to remember that it is theContractor’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 anddesign professional’s work relative to OPR achievement. It is important to a successful CxProcess 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 reviewprocess.

Document Results. The recommended approach to documenting the results of theCxA’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 onthe disposition of the comment.

The process to be followed by the CxA in evaluating the design professional’s submittalreview procedures is as follows:

1. Review responses to CxA input.2. Identify OPR concerns.3. Document results.



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

29

Review Responses to CxA Input. For each comment, the CxA reviews the reply fromthe design professional. For those comments where the design professional incorporated theCxA’s input, follow-up with additional contractor submittals or as required.

Identify OPR Concerns. For those comments where the design professional did notincorporate 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 tomatch the new conditions or by getting the design professional to incorporate comments intosubmittal review response. This should be accomplished in a timely manner to avoid disruptionof the construction process.

Site Visits

The Contractor is responsible for installing and starting up 100% of the building systemand assemblies. The design professional is responsible for verifying adherence to the projectdesign and specifications. It is the CxA’s responsibility to accomplish on-going verification thatthe Contractor’s work achieves the OPR. This is best accomplished through quality-basedsampling of the completed Construction Checklists.

The intent of quality-based sampling of the Construction Checklists is that the CxAreviews the completed Construction Checklists for accuracy, completeness, and any negativeresponses that require follow-up and resolution as each section is a completed component. Thisis based upon the Contractor completing all checklists and upon the fact that sampling arandom quantity will verify the quality of the Contractor’s action.

The Construction Checklists verify components from delivery through start-up. Anindividual component may be seen by the CxA several times throughout its installation. Quality-based sampling allows for unbiased evaluation of OPR achievement at anytime duringconstruction.

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 notapply to assemblies and systems that support all systems or assemblies if they are not part ofthe Cx Process scope. For example, if the envelope is not included in the scope of the CxProcess 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 theenvelope as it impacts the performance of the other systems or assemblies.

Sample Rate Determination- Construction Verification

Factor Guidance Sample Rate (%

of components or

% of pages)

First CompletedConstruction

Checklist

It is recommended that for the first ConstructionChecklist to be completed by the contractor for a

particular component type, it should be verified andreviewed with the contractor to improve their

understanding of the importance of completing allchecklists as the work progresses and to eliminate

systemic issues before they become problems. This is

100%




30

required, even though it will be included in the pre-construction commissioning process session

Pace ofConstruction

When the pace of construction is slow and there havebeen few Construction Checklists completed since theprevious site visit, the sampling rate increases. When

the pace is fast and many checklists have beencompleted, the sampling rate decreases

40%–100% for slow pace20% to 60% for medium5%–30% for fast pace

Number of

Components

If there is only one instance of a component, the rate of

sampling is typically 100%, and where there are manysimilar components the sampling rate decreases.

100% for a single or fewcomponents

5%–75% for several tomany

Final Commissioning Process Testing

The sampling rate for the final commissioning process tests to verify OPR achievement isbased upon the following:

Sample Rate Determination- Final Process Testing

Factor Guidance Sample Rate

Complexity

The greater the complexity of HVAC&R system and

interaction of OPR between multiple components,typically the more additional evaluation and testing isrequired to verify OPR achievement. Therefore, with

greater complexity, the rate of sampling typicallyincreases.

5% to10% for low complexity10%–20% for medium

complexity20%–40% for high complexity

Criticality As the criticality of component increases, relative toachieving 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, adata processing center where any downtime results in

the loss of significant revenue, there is an obvious needfor increased testing compared to a retail clothing store.

10%–20% for low criticality100%–600% for high criticality

(see Note 1)

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

Note 2: It is important to understand that even if the sampling rate is 100% or greater, theapproach to be taken is still one of random sampling. For example, for a facility thathas 40 rooms, the test to verify the comfort OPR would use a random approach offirst checking rooms 100, 105, 110, 115..., then rooms 101, 106, 111, 116, etc. This

random approach enables an unbiased evaluation of the comfort throughout thefacility 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 toaccomplish the other 80% of the testing, as it has been shown that the system doesnot achieve the OPR and something needs to be changed.

Note 3: Because the final Cx Process tests to verify OPR achievement, it should focus onspecific OPR criteria, and the skills of the CxA in developing appropriate, tailoredtests will greatly impact the sampling rate required to determine OPR achievement.




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Informative Annex C


Initiating the Commissioning Process

Commissioning is a team effort, and the entire project team is part of the Cx Process. The CxPlan defines project team’s roles and responsibilities, communication protocols, Cx activities,and the schedule of those activities. Success is dependent on each team member’sunderstanding of what is expected of them and obtaining their buy-in. That is why it is essentialthat the Owner clearly define, contractually, each team member’s role and responsibility andtheir part in the Cx Process and achievement of the defined objectives and criteria defined bythe 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 theCx 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 inthe document are changed as the project progresses.

The Owner shall mediate and provide direction to project team for Cx issues identified butunable to be resolved among the team as part of the issue resolution process to resolvedisposition of issues identified through the Cx Process. The Owner shall approve, in writing, theresolution directed by the Owner.

Commissioning Process Provider Request for Qualifications

ASHRAE Guideline 0-2005, Annex E, outlines a recommended process for obtaining andcontracting with a Cx Process Provider.

Setting Contractual Requirements

This annex provides suggested examples of how to implement the process contracting activityof Standard 202. It is not intended to be a comprehensive representation or a best practiceexample. Owners and practitioners applying the Cx Process should carefully follow Standard202 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) inaccordance with ASHRAE Guideline 0-2005. The Commission Provider (CxP) shallconduct workshops necessary to determine owner’s objectives, criteria, andsustainability goals and provide a written document that clearly expresses theowner’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 organizationalstructure, defines the team’s roles and responsibilities, deliverables, communicationprotocol, 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 documentsissues 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 ofoperation, 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 notcontain requirements necessary for conformance to the standard. It has not beenprocessed according to the ANSI requirements for a standard and may contain materialthat has not been subject to public review or a consensus process. Unresolvedobjectors on informative material are not offered the right to appeal at ASHRAE orANSI.

Owner’s Project Requirements

This annex provides an example of how to implement part of Standard 202. It is not intendedto be a comprehensive representation or a best practice example. Practitioners applying theCx Process should carefully follow ASHRAE Guideline 0-2005 and applicable Cx technicalguidelines tailored to their specific projects.

The OPR is developed and defined in the beginning of the project delivery process. Informationabout the project is gathered, including program requirements, community context, codes andregulations, 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 aclear, concise, and comprehensive OPR document, which includes information to help theproject 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 0-2005.

The Owner is encouraged to provide a minimum of five participants that equably represent thevarious 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 notdeveloped, the Owner, designer, contractors, and operation and maintenance (O&M) personneleach interpret the building requirements, including their individual responsibilities, from thestandpoint of their own specific needs. This often creates a range of diverse views of theconstructed project’s needs. Developing OPR that reflect the actual needs of the Owner, theusers or occupants, service and operating units, and sometimes the community is one of the, ifnot 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 adiscussion of how to obtain the required information. Note that historically, the OPR has oftenbeen 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 besuccessful. Goals can range from first cost, to time schedule, to number of change orders, orto life cycle cost. Regardless of which goals are identified, they must be summarized up frontto 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 thesustainability aspects of their building.

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

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

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

Maintenance requirements – The maintenance requirements are a mixture of the level ofknowledge of the current O&M staff (what can they maintain) and the expected complexityof 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 TechnicalCommissioning 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, andthe like. Typically, upper and lower limits are provided for general spaces, with exceptionsnoted as required.

Problems to avoid – Since occupant/user/operator complaints are common, it is important toidentify and document those problems that have caused complaints in the past. If theseproblems 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 variousoccupants 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. Forexample, a chemical laboratory cannot be put in a space designed and constructed forgeneral office use without significant changes to the systems and possibly to the building asa whole.

Obtaining the Inform ation

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 thecommunity all agree upon. In quality-based processes, it is critical that input be obtained from allthe users (the various user groups) and that the consensus of and differences between thegroups are documented. There usually are requirements for which users do not all agree. Thesemust be documented as unresolved items. Normally, the Owner will make final decisions onwhat the priority order of OPR will be. However, the Owner and the rest of the Cx Team must beaware of all requirements so that the final product will include as many individual grouprequirements 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 toencompass the facility requirements and enable the addition of sections depending upon thesystems and assemblies to be constructed and commissioned.

Introduction – Includes an overview of the project and the general reasons why the project isbeing undertaken. A description of the Owner’s processes (Cx Process) is typically contained inthis section.

Key Owner’s Requirements – Includes a listing of the key owner’s requirements that the CxProcess 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 thissection. A short description of each functional use is included to provide the context in which itwas detailed.

Occupancy Requirements – Includes the number of occupants (users and visitors) and theschedule of occupancy, including all special conditions.

Budget Considerations and Limitations – The expected budgetary restrictions andconsiderations are contained in this section.

Performance Criteria – The performance criteria upon which the project will be evaluated bythe Cx Team are included in this section. Each system and assembly performance criterionshould be measurable and verifiable. Include subsections as appropriate to organize andexplain 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 madethroughout the Pre-Design, Design, Construction, and Occupancy and Operations Phases. Thisinformation is critical to understand and document the trade-offs made over time and theresulting impact on the project.




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Informative Annex E


Commissioning Plan

This annex provides an example of how to implement a Cx Plan from project initiation throughoccupancy. 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 andapplicable 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 suchthat each phase of the plan has its own section detailing what activities will be accomplished andguidance on who accomplishes it and how it is completed. The deliverables for each activity areincluded in an appendix. Each section of the plan will have a description of the requirements forthat 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 theproject progresses.

Depending upon the size and scope of the Cx Process activities, it may be beneficial to havethree Cx Plans: one for the Pre-Design Phase, one for the Design Phase, and one for theConstruction Phase. If separate Cx Plans are used, then care must be taken to inform those thatare involved in only a portion of the process of the previous material.

Commissioning Plan

Table of Con tents

OVERVIEW

COMMISSIONING PROCESS DESCRIPTION

PRE-DESIGN ACTIVITIESDevelop Owner’s Project RequirementsDevelop Initial Commissioning Plan

Commissioning Process IssuesStep 1 - Identify systems and assemblies to be commissioned.Step 2. Record Issues, Schedules, Budgets, and Expectations.Step 3. Provide documentation and training requirements

DESIGN ACTIVITIESDevelop and Update Basis of DesignUpdate Commissioning PlanDevelop Commissioning ProcessDevelop Contract DocumentsDevelop and Review Project Specifications

Accomplish Design ReviewsPre-Bid Meeting




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CONSTRUCTION ACTIVITIESConduct Pre-Construction MeetingContractor Submittal ReviewConstruction Checklists

Delivery ProcessPre-Installation ChecksInstallation and Start-Up ChecksPerformance and Coordination Checks

Testing

DocumentationSystems ManualTrainingPreliminary Commissioning Report

OCCUPANCY AND OPERATIONS ACTIVITIESSeasonal Testing

On-Going TrainingWarranty ReviewLessons-Learned Meeting and ReportFinal Commissioning Report

CONTACT AND RESPONSIBILITY INFORMATION

SCHEDULE REQUIREMENTS

Provide a detailed description of Cx Process activities and a schedule of activities. The designmilestones shall include the Cx Team meetings, OPR development, design reviews, andthe completion of the BOD and the Cx specifications. For construction and renovation activitiesthe 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, andfinal Cx Process Report. For commissioning in existing building, milestones shall includerepresentative tasks from the planning, investigation, testing, implementation, and hand-offphases.

Appendices in the initiation and design stages of the project will state the requirements andresponsibilities for that deliverable. The final results and documentation for each item will beinserted in the final report.

It is not necessary to include copies of documents included in the Systems Manual in the finalCx Report if that Cx report is included in the Systems Manual, but the location of thedocument(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


Basis of Design

The Basis of Design should be reviewed and updated as part of each design submission duringdevelopment of the design, after issue of supplementary instructions during the constructionprocess, 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 tothe 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 thedesign team prior to the start of design.

2. The design team shall gather and organize the information during the creation of thedesign.

3. The design team shall submit the BOD to the Owner and CxA for review and commentwith each design document submittal.

4. The BOD shall be updated by the design team to provide increasing levels of detail as thedesign evolves.

5. The BOD shall be updated by the design team to reflect changes to design criteria andsystems 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 theOwner, CxA, or other parties. Ideally, the requirements for the BOD, 3rd party Cx, sustainablerating certifications, measurement and verification, energy modeling, and other non-traditionaldesign 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 ismet

Controls system narrative

Renewable energy systems narrativeOptional

Design narrative ( system options described in sufficient detail for energy modeling)

Ventilation calculations for each above system optionDesign 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 operatorinterface elements

Construction Documents

Any modifications to Design Development BOD

LightingSchematic 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 typeDesign Development

Lighting calculations

Power load calculations

Lighting control zoning diagrams

Lighting system control information distributed to potential suppliersOptional

Short circuit study

Construction DocumentsEnsure 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 inplace




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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 OPRrequirements as follows:

1. Major sections shall include <edit as appropriate for each project> Envelope Systems,Interior Systems, Electrical and Lighting Systems, HVAC Systems, Renewable EnergySystems, and Plumbing and Service Hot Water (SHW) Systems. Within each major sectionshall be sub-sections labeled for each required design submittal (Schematic Design, DesignDevelopment, 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 reasonsfor those changes, and additional detailed information that becomes available as the designprogresses. Design submittals for this project include <edit as appropriate >for eachproject> SD, DD, and 50%, 95%, and 100% Contract Documents.

3. The BOD shall reflect the progression of the design within a single document. Sectionspreviously submitted shall not be modified, but rather be addressed, as necessary, in thenew section related to the current submittal.

4. Non-narrative type information shall generally be provided in a BOD appendix for eachsubmittal and be referenced in the narrative.

5. The main-body of the BOD shall be concise, providing the reader with concise descriptionsof systems and later modifications and detail on those systems.

6. The BOD shall not duplicate information provided in plans and specifications, but shallreference that information as appropriate.

7. The BOD shall address how the OPR are implemented into the design. For any criterion ofthe OPR that could not be met, documentation detailing what was done, its impact on theOPR, and how the OPR was modified shall be included. It is not intended that the BODrepeat the text of the OPR with comments addressing each individual OPR criterion; butrather that the BOD remain a concise, readable document that is useful throughout thedesign and construction processes and into occupancy.

Acceptance

The BOD shall include signature blocks for acceptance by the Owner and CxA of each BODsubmittal.




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Informative Annex G

This annex is not a mandatory part of this standard. It is merely informative and does notcontain requirements necessary for conformance to the standard. It has not beenprocessed according to the ANSI requirements for a standard and may contain materialthat has not been subject to public review or a consensus process. Unresolved objectorson 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 tobe a comprehensive representation or a best practice example. Practitioners applying the CxProcess should carefully follow ASHRAE Guideline 0-2005 and applicable Cx technicalguidelines tailored to their specific projects.

It is acceptable but not required by this Standard for the CxA to provide drafts of these Cxspecifications for the design/construction team to consider for including in their Construction orContract documents.

1. SPECIFICATIONS FOR THE COMMISSIONING PROCESS

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

1.2. Cx is a quality-oriented process for achieving, verifying, and documenting that theperformance of facility systems and assemblies meet defined objectives and criteria.The Cx Process begins at project inception and continues for the life of the facilitythrough Occupancy and Operations. During Pre-design, the OPR are determined anddocumented by the Cx Team, which includes the Owner, CxA, design professionals,operation and maintenance personnel, occupants, and users. Throughout each phaseof 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. TheBOD records the concepts, calculations, decisions, and product selections to meet theOPR and to satisfy applicable regulatory requirements, standards, and guidelines. Itcan include energy, environmental, sustainability, and other certification criteria, bothformal and informal. The BOD includes both narrative descriptions and lists ofindividual items that support the design process.

1.4. ASHRAE Guideline 0-2005 provides guidance on content and basic format. While theOPR are owner-developed criteria, few owners have the resources to develop theOPR. 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 theOPR.

1.5. The OPR and BOD must be included or referenced in the construction ContractDocuments for informational purposes only.

1.6. The construction contractor's obligation is to construct the building and its systems andassemblies 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 arerequired to provide designs for systems or assemblies to be signed and sealed bylicensed 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 qualifiedpersonnel, then the CxA should have a separate professional services agreement withthe Owner, as this avoids conflicts of interest and provides independence from theother parties (the Owner’s project manager, designers of record, construction managers,suppliers, and construction contractors). This professional services agreementdefines 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 Processactivities, 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 theproject. These personnel are led by an individual who has expertise and experience insuccessfully implementing the Cx Process.

2.4. If the CxA is an employee, associate, or partner of the same organization as thedesigner of record or construction management firm, there is a conflict of interest.While not a recommended approach, in these instances, the CxA must have aseparate professional services agreement, be organizationally separate from thedesign team or construction management team, and define and manage the conflictsof interest to provide the Owner with the independence required for the Cx Process tobe successful.

2.5. The CxA does not perform testing; it directs the process and directs the recording ofthe results. The CxA plans, schedules, and supervises Cx Process activities to verifyachievement of the OPR. The Contractor completes Construction Checklists, performstests, and accomplishes other Cx Process activities.

3. ORGANIZATIONAL STRATEGY FOR INCLUSION OF COMMISSIONING ACTIVITIES INTHE SPECIFICATIONS

3.1. Specifications (as a part of the construction Contract Documents) should include onlythe Cx Process Activities the contractors perform during the life of the constructioncontract, 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 otherprovisions, define the CxA and include the CxA's duties, rights, responsibilities andlimits of authority, and additional requirements for substantial completion. AIADocument A511, "Guide for Supplementary Conditions," provides guidance about howto write Supplementary Conditions.

3.3. General Requirements for the Cx Process: Specifications in Division 1 include thegeneral 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 theCxA. 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 1sections for temporary facilities and controls, should be mute on the subject of whomust perform the work.

3.3.2. Other Division 1 Cx sections should describe the testing requirements for systemsand assemblies.

3.3.3. Extent of Testing: the Contractor’s involvement in Cx Process tests must beclearly defined. The extent of this testing is determined by the Cx Team during theDesign Phase based upon the OPR.

3.4. Component Cx Process Specifications: sections should specify testing and reportingrequirements for products and equipment that are part of a system or assembly andthen be referenced to the appropriate Cx Process sections in Division 1 for the overallsystem or assembly requirements.

3.4.1. During construction, the CxA verifies that contractor activities, such asinstallation and startup; testing; demonstration and training of the Owner's O&Mpersonnel; and Systems Manual, achieve the OPR. Coordinating activities by theContractor in support of the CxA should be specified within the section where thecomponent is specified if special requirements are necessary. The following areexamples of requirements to include in individual sections:

3.4.1.1. Installation and Startup: include requirements for involvement of factory-authorized service representative in individual sections and for the completion ofConstruction 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 contractorpersonnel and test equipment to verify the test report.

3.4.1.3. Demonstration and Training: include special requirements unique to thecomponent within its own section.

3.4.1.4. Operation and Maintenance Data: include unique requirements for the type ofinformation required (e.g., particular requirements about parts lists, service schedules,preventive maintenance lists, and emergency operations) for long-term maintenance ofthe OPR.

3.4.2. In each section include an article under General that refers to Division 1 for CxProcess 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 theCommissioning Process as a part of the building envelope system and roofingsubsystem and integrated with flashing, coping, and insulation.

B. Complete the Construction Checklists and perform tests specified in Division 1section “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 notcontain requirements necessary for conformance to the standard. It has not beenprocessed according to the ANSI requirements for a standard and may contain materialthat 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 ifdirected by the Owner. It is not intended to be a comprehensive representation or a bestpractice example. Practitioners applying the Cx Process should carefully follow ASHRAEGuideline 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 designprofessionals. It is important to remember that the role of the CxA is to verify that the OPR aremet and that the system is designed in a quality manner. There are three distinct reviews thatare completed on a drawing set – general, coordination, and field specific. A review of thespecifications is also required.

The use of sampling in the design review and the sampling process must be defined in theOPR. The Cx Plan can also add requirements and information to the design review process andprocedures.

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 thereview, the OPR should be reviewed to familiarize the reviewer with the key criteria of thefacility.

2. Document the General Review Criteria: the criteria from which to accomplish the generalreview of the submission must be documented. The criteria should be based on generalquality characteristics and specific OPR criteria. The general quality characteristics shouldinclude 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 reviewerwith the submission. If during this review significant items are identified as poor quality, thenthe review process should be stopped and the design professionals contacted to discuss thequality 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 arearandomly. A simple way to do this is to divide the drawing sheet into 15 squares (5 by 3) andselect 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, markthe 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 eachdiscipline. The intent of this review is to identify coordination problems with the placementand 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 wiringfor HVAC equipment, holes for sinks).

If significant coordination problems are identified, stop the review and contact the designprofessionals 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: userandom sampling that selects every xth square on the drawings to be verified. Squares thatare completely blank (no walls, equipment, etc.), are not included in the counting. Forexample, 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 gridswould be reviewed, or every 5 grids. The starting grid should be chosen using a randomselection process (die, 1-6 in a hat, etc.).

2. Document Review Criteria: the criteria from which to review the drawings should be based onspecific OPR criteria. This typically includes items such as accessibility, maintainability,meeting sustainability goals, comfort conditions, documentation of OPR and BOD, andoperating details.

3. Select Review Samples on Drawings: using the sampling strategy chosen in Step 1, markthe 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 verifyingthat the specifications match that shown on the drawings (see below for specification reviewdetails). For example, if an air terminal box is in the selected square, the steps inaccomplishing 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 selectedmake 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 problemsfound or concerns with certain items. Also, at the end of the review, a general summary ofthe quality of the drawings should be developed. A letter detailing the quality of thedrawings should then be sent to the design professionals and the Owner with specificrecommendations and directions given.

2. Review the Drawing Review Procedure: after the drawing review is completed, thisdocument 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 thegeneral quality of the specifications. During the Field Specific Review, the actual details arechecked. 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 anoffice 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 aremet?

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 withthe 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. Ifsystemic 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 verifyingresolution 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 andresponses.

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, andmaintainability.




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Informative Annex I


Submittal Review Report

The review of the manufacturer’s and contractor’s submittals is intended to verify conformanceto 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 theOPR. The Cx Plan can also add requirements and information to the review process andprocedures. 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 andresponses.

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, andmaintainability.




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Informative Annex J


Construction Observation and Testing Checklists and Report

1. OVERVIEW

Testing ensures that systems and assemblies meet the performance criteria for which they weredesigned.

Test procedures shall be repeatable and shall provide set up conditions, step by stepinstructions and expected or required outcomes. The procedures form or another form shalldocument the test results. When necessary to verify performance, test procedures shall includemonitoring performance parameters over time.

Observation focuses mostly on the visual inspection of whether a particular system or assemblyis installed as specified, whether the correct components were selected, installed withoutdamage, and whether the installation meets the criteria set forth in the OPR in terms ofmaintainability, access, and the like.

A test is substantially different from an observation in that the performance of the system orassembly is examined rather than its physical presence.

Testing for performance frequently means altering the operation of the system or assembly toevaluate responses against expectations. To clarify the different types of testing that can beemployed, 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 conditionsunder 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 orassembly.

Performance Test - Act iv e Test: Execution of an active test forces the system or assemblyfrom one operating state to another through operator interaction. The test description includesthe 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 thetype of monitoring and data recording required.

Performance Test - Passiv e Test: Execution of a passive test records the starting state or ifnecessary, places the system or assembly into a pre-defined starting state and monitors theoccurrence of response states over a passage of time without operator interaction. The testdescription includes the record of a starting state, expected response states, and describes theamount of time required to elapse before test completion, as well as the type of monitoring anddata 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 toany particular discipline in the construction process. Performance as a generic term can beidentified to include all physical (and physically measurable) performance parameters such asleak 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 affectthe performance.

For example, the color of a solar collector will influence its conversion efficiency, but theresulting efficiency is the performance parameter that is tested, not the color.

Next to these measurable parameters, there are also logical or operational parameters that canbe tested.

Example: the correct reaction of a security system that responds to an access key card beingswiped at a door is a logical performance test – the performance being tested is the controlsystem 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 lowlevel of system or assembly complexity, and work up to the highest level. This concept is difficultto define exactly since the definition and meaning of terms such as component, system, andassembly changes depending on the viewpoint of the observer:

As an example, the security system test described above could proceed in several steps: thelowest level of complexity tests whether a door lock mechanism operates when power is appliedand correctly manages to lock/unlock the door as desired. A follow-up step might be a test thatexamines 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 ofmultiple access cards with different access rights linked to schedules (card A is allowed entry24/7, card B is only allowed access from 8AM to 5PM).

For every system or assembly, testing can thus be conducted by defining what levels ofcomplexity are to be addressed, what actions are taken to challenge a system, and whatresponses are expected. The definition of levels of complexity and levels of systems dependslargely on the expertise of the author of test protocols and the wishes of the Owner asexpressed in the OPR.

As an example of system definitions, a test protocol could be based on using a chiller as acomponent 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 asa system consisting of multiple compressors, variable speed drives and on-board controls withpotentially far more complexity than a chiller plant consisting of 2 chillers and 2 pumps. Theresponse of the chiller system to sudden load changes without freezing could thus be tested, orthe ability to maintain a steady chilled water temperature within tight tolerances, or the ability torestart quickly after a power outage.




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The reverse could also be true – in a case where multiple, existing chiller plants are interlockedas part of a new project to provide additional redundancy, neither the testing of an individualchiller nor even the testing of each chiller plant may be required; instead, the interaction of thevarious available chiller plants on campus and their ability to correctly respond to failures of oneplant 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 levelsshould be provided by the author of the tests, and the Owner should make a decisionconcerning 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 testmethods and cost, but also to make an appropriate selection of which type of test will best verifywhether the actual owner’s needs will be met: The mental step of translating the Owner’swishes (as expressed through the OPR) into performance criteria that can be tested andverifying that test protocols encompass all of those performance criteria is not trivial. Careshould be taken to ensure that those accepting test protocols before their execution, such as theOwner, are assisted by technical personnel able to provide background information and plain-text 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 degreeof business continuity because they do not have a critical facility such as a data center. In thiscase, 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 adata center project may fall short of meeting the Owner’s needs – thus, all tests could be writtenand 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 generaldescription of the execution of tests in order of complexity is as follows: tests should beconducted 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 complexsystems and assemblies are undertaken. In general, the level of complexity is proportional tothe number of components and physical or logical interactions between components. Forpurposes of Cx, only those physical or logical interactions which are captured in test protocolsdetermine the relative complexity of the system or assembly; in other words, complicated “blackbox” systems or assemblies are relatively simple from the point of view of the Cx agent, eventhough they may be complex from the manufacturer’s or contractor’s point of view. Thedefinition of what physical or logical interactions are captured in test protocols is theresponsibility of the Owner, with substantial support from the CxA and related technical expertson the Cx Team.

4. ACTIVE vs. PASSIVE TESTING

Most of the examples given above relate to active testing. This involves purposefully changingthe operating state of an assembly or system to evoke a response and comparing the responseto the expectation shown in the test protocol. Usually, this is done by physically being present atthe 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, andthe 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 theoccupancy sensor. The person leaves the room and lights turn off again after the timer haselapsed.

It is possible to capture a large degree of functionality in this manner, but typically not possibleto verify all the performance that was desired in the OPR. To augment these tests, which rely onintentional 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 isevaluated WITHOUT intentional interaction by test personnel. In many cases, this type of testinginvolves 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 forcomparison 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 poweroutput of the panels is measured using a power meter with the ability to communicate with thebuilding management system or with its own data logging capabilities. Several weeks of dataare 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 offas desired when schedules command and whether the use of local overrides and adjustmentsby tenants causes unintended interactions that result in systems remaining in operation. Severalweeks of operation, including changes between weekdays and weekends, can be examined toverify overall performance.

As the examples above illustrate, the methods employed in executing an active and a passivetest are substantially different, and they require different tools. The types of performance thatcan be measured with active and passive tests may overlap but are often complementary. Bothtypes of tests are usually required to comprehensively address the ability of systems andassemblies 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 andpieces of equipment that are delivered, installed, and started up during construction. There is anindividual 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 orassembly. There is a single checklist for the entire system, often assembled around thesequence of operation.

For each Test Procedure, Test Data Records shall be developed. Test Data Records capturetest data, observations, and measurements. Data may be recorded on photographs, forms, orother 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 orissue.

4. Identification of the system, equipment, or assembly under test. List the location and theconstruction 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 orstorage 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 haveinspection and testing forms that can be adapted for specific needs and projects.




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Informative Annex K


Issues and Resolutions Log

The Issues and Resolutions Log is the on-going listing of issues and questions on a project thatneeds to be communicated to the project team for resolution or action. These are often shown intable 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 notcontain requirements necessary for conformance to the standard. It has not beenprocessed according to the ANSI requirements for a standard and may contain materialthat 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 tobe a comprehensive representation or a best practice example. Practitioners applying the CxProcess should carefully follow ASHRAE Guidelines 0-2005 and 1.1-2007 and applicable Cxtechnical guidelines tailored to their specific projects.

Developing the Systems Manual encompasses gathering all of the information related to thesystems, assemblies, and the Cx Process and incorporating it into a usable informationresource, 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&Mmanuals, system schematics, record drawings, and test results. This information is edited andorganized 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 anddivisions (shops) is accomplished to simplify future Systems Manual development.

It is the intent that the Systems Manual be assembled in electronic format to facilitate accessand reduce storage requirements. The electronic format will also reduce the possibility of lossfor parts or all of the information. For Systems Manuals assembled in hard copy format, thelarger documents such as record drawings, specifications, submittals, and O&M documents canbe stored in secure locations with these locations referenced in the Systems Manual.

Also included in the Systems Manual is the development of periodic maintenance andinformation for insertion into a computer maintenance management system (CMMS), includingequipment 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 theproject and capture the system and assembly data in either an electronic or printed version. Inaddition, printed operations, service, maintenance, spare parts list, and repair manuals may beprovided. This entity (owner, contractor, design professional, other) shall have the skills ofdesign, 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 CxProcess Guidelines. The Systems Manual will have multiple sections depending upon thenumber of systems focused upon during the Cx Process.

The Systems Manual contains information on the OPR and documentation of building designand construction, along with operational requirements, maintenance information, training andtesting documentation for the use of building operations, and maintenance and optimization ofthe facility over its useful life.




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The format and content of the Systems Manual provided in this standard can be effectively usedin both new construction and for assembling one for an existing building, even if the building isnot 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 maintainthe building,

2) assemble the building design, construction and testing results by system in one set ofdocuments,

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 andon-going documentation requirements are assembled and included. Changes to the manualsare expected as the building maintenance systems are developed and changes to the systemsoccur.

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, andoperational requirements. The information is intended to provide general guidance on theintended 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 informationtransfer 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 informationon 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 informationon the design of the building.

3. Construction/Project Record DocumentsInsert final program and design documents, and insert or describe locations of recorddrawings. 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. SpecificationsInsert final copy of facility and equipment design specifications.

2. Approved SubmittalsInsert final copy of specific approved submittals by specification section sequenceincluding a copy of final approved and commissioned sequences of operation forequipment and systems, along with limitations to operation.

3. Manufacturer’s Operation and Maintenance DataInsert manufacturer provided installation and O&M manuals that have been verified andlocalized to the installed building system or equipment by specification sectionsequence.

4. WarrantiesInsert 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, andemail to facilitate repairs and replacements.

IV. Facility Operations

1. Facility Guide, including: Operating Plan; Building and Equipment OperatingSchedules, Set Points, Ranges and Limitations; Commissioned ControlSequences of Operation; and Emergency Shut Down Actions.

I nsert a copy of the completed facility operating plan with explanations of theintended 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 applicablecontrols.

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

2. Maintenance Procedures, Checklists, and Records

Insert procedures, forms, and checklists for facility operation and maintenance. Includeupdating requirements. Describe inspections and testing required on a routine basis andstandard forms required.

3. Maintenance Schedules

Include recommended maintenance schedules for systems and equipment along withupdate requirements.




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4. On-going Commissioning Operational and Maintenance Record Keeping

Include on-going commissioning and optimization procedures and documentation tomonitor 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 intendedchemicals 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 thisinformation 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 syllabusused.

Insert training materials used arranged in specification sequence. Describe location orsources of available additional training..

2. Training Records

Insert records of training, schedules, sign in sheets, etc. Include copy of trainingdocumentation 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 andtesting forms and records for each building and system and assembly included in the CxProcess

Insert copies of all relevant manufacturers and installers testing reports. This creates aunified 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 providesa 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 andconstruction 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 notcontain requirements necessary for conformance to the standard. It has not beenprocessed according to the ANSI requirements for a standard and may contain materialthat has not been subject to public review or a consensus process. Unresolved objectorson 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 ofthe OPR. At the implementation stage, the Owner needs to address the source of operatingpersonnel, in-house or out sourced labor and services, and the level of responsibility assignedto the Facilities/Project Manager for the site. OPR requirements for extended warranty andservice agreements with the Contractor or OEM (original equipment manufacturer) need to beaddressed at the time of project inception.

In the implementation stage, beginning with assigned individual roles andresponsibilities, the OPR for training are considered in a manner similar to choosing any of thevaried systems, components, and assemblies that establish the level of quality and performanceexpectations expressed by the Owner in the OPR.

The criteria used to determine the minimum level of acceptance required by theTraining OPR will guide the development and coordination of the training of personnel who areassigned responsibilities of maintaining the facility systems performance in the OPR. Thisincludes, for example, energy, electrical, plumbing, fire, and safety and indoor environment andoccupant comfort requirements that are related to the facility systems. During Pre-design, theinitial training agenda needs to be developed to a level that reflects the training required to meetthe 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 timedesignated for training by hours (unit cost).

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

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

Specify requirements for acceptable organization and implementation of the OEM trainingrequirements 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 withservice bulletins, recalls, and implantation of changes in operating procedures as facilitysystems 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 mustbe clearly defined in the OPR and reviewed before moving into Design. This is of extremeimportance 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 thatoptimize 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 andassemblies. There must be special effort directed at the training requirements as the designdevelops, versus considering the training afterward as a result of the controls design.

Beyond mechanical maintenance, the skill set required at each level of the operatinghierarchy for Direct Digital Control (DDC) systems needs to be defined in the OPR. These DDCsystems have various levels of control and hierarchy; some levels require computerprogramming skills that are beyond the means of an owner to support. At a minimum, the OPRshould define the responsibilities and training necessary for in-house and out-sourcedcontractors (service plan) of site DDC systems. The level of interoperability and any additions tointeroperability not currently used at the site or organization requires additional training for thesystems 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 trainingrequirements and implementation schedule for the project in the contract documents.Sometimes this may require specific needs for each installing contractor and for in-housemaintenance and out-sourced service personnel. The performance of these training services isverified both as part of the submittal review process and as the training sessions occur. Therewill be additional training requirements that continue to evolve during design and constructionof 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 begiven to the training and service requirements of equipment and systems not provided by theproject contractor. This is usually owner provided equipment or systems that occur outside theproject submittal review. In some cases, there may be two or more construction projects, withseparate contractors or in-house construction. This requires coordination of training needs toprevent duplication and acceptable scheduling of trainers and trainees.

Procedure training on spare parts availability and service response times should beclearly defined by the design professional and verified in the submittal process.

During Design, the design professional should clearly define all special requirements forstorage of equipment or systems prior to installation. Training necessary to maintain theequipment prior to owner acceptance is identified and monitored by proper application of theContractor’s QA/QC program. Special training of contractor personnel handling equipment withspecial requirements should be monitored by the CxA, demonstrating training and competencemeeting the OPR during all periods that the equipment and systems are operated duringconstruction and warranty. Equipment must be maintained to prevent any degradation prior toturnover 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 thestated period of time. One of the initial submittals usually required is the Contractor’s QA/QCProgram. This program outlines the methods used by the Contractor to assure his personnelhave 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 ContractorQA/QC Program. On a frequent basis, the CxA should verify and note compliance by theContractor to required Training, Licensing, and Certification requirements or activities and otherquality 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 assembliesshould 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 validaccreditation documents for the organization or individual issuing the certification. The role ofthe CxA in verification of proper training for certification is to randomly check the documentationnecessary to demonstrate compliance with the OPR. The requirement for ensuring that theproper documentation is valid remains with either the design team or owner’s project orconstruction manager.

Construction Phase Training

There should be an initial training session during the construction period and prior tocontractor 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 systemsthat are critical to the success of the facility.

The CxA should hold a training development workshop with the EOM (including anyservice contractors) several months before the final training sessions are scheduled and thescope of training-sessions content is set. This workshop is for gathering information from theEOM 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 thereview of final plans and specifications. This may require an increase or decrease in actualtraining requirements than the requirement included in the contract documents. This isfrequently related to the final equipment, components, and HVAC&R systems selected by theOwner, design team, and Contractor.




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Systems Manuals need to be complete before owner’s personnel are provided trainingand used in the training sessions.

Training on the use of the Systems Manuals should be a combined training effort of thedesign team, the Cx Process team, and the Contractor.

The CxA should review the Contractor’s schedule for all required training. Resourcesand time for training can place great demand on both the Contractor and the EOM and servicefirm personnel at the end of the Construction Period. Building operating systems are especiallyimpacted because of a high level of training required. Early training must be scheduled forproject success. The CxA must document that training and the required level of competencelearned in the training meets the OPR.

The Contractor is responsible for start-up, testing, adjusting, balancing, SystemsManual, and training for all systems and equipment prior to the functional testing ormeasurement and verification of these systems and equipment. The Cx Team must verifythrough assembled documentation that the contractor personnel are trained and competent toperform 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 requiredby the contract.

Testing and evaluation demonstrating compliance of systems and equipment to the OPRshould be witnessed by the Owner’s O&M staff as part of Contractor’s Training Plan. The CxAfacilitates the monitoring of functional and Cx tests by designated owner personnel performedas part of the General Contractor’s acceptance plan. The benefit to the Owner in monitoringthese tests are lessons learned and corrective review of O&M procedures prior to SubstantialCompletion and operation of the systems by the Owner. Using the information developed in thisstart-up phase, the Owner and the CxA should evaluate the abilities of in-house personnel toperform the O&M necessary for successful operation of various systems and to prevent futurewarranty 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 theCxA 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 theOwner’s O&M personnel are competent in the proper operation of the systems and equipmentduring occupancy. The training prior to Final Acceptance takes place after the facility has beenoccupied 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 thetraining program. Using a two-step training program, the CxA will facilitate the coordination ofsite 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 thesesystems 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 tobe validated for proper O&M by contractor personnel. The validation of operating equipment atturnover must include documentation that the Contractor Personnel were properly trained inboth operation and maintenance of the system and that the equipment maintenance schedulewas maintained during the period of contractor operation. Lessons learned and informationgathered on the operations of the systems during start-up and operations are valuable to theOwner and must be included in the turnover training of the Owner’s Operating Staff andcoordinated by the CxA before the Owner assumes these responsibilities.

Occupancy and Operations

At Substantial Completion and Owner Operations and Occupancy, the major trainingresponsibilities become the responsibility of the Owner. Specifically, it will become theresponsibility of the Owner’s Facility Chief Engineer and Building Manager. The CxA/ChiefEngineer/Building Manager relationship in this phase will coordinate the training requirements toimplement 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 Measuremento 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-specificconditions.

The Facility/Building Manager will assess the benefits and costs of maintaining aTraining Cycle that represents the interests of the Owner. The CxA can be of great benefit to theBuilding 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 buildingthroughout the lifecycle.

Summary

The processes of training and systems optimization will remain a responsibility of theChief Engineer and Facility/Building Manager for the life of the Facility. To assure thecontinuing need for training and understanding of systems and O&M, a paper-trail of thelearning process is essential to the continuing success of site operations. The CxA is anessential part in getting this process off the ground, and with continuing Cx efforts, provides theguidelines to optimize the training process through the life of the building. The documentationof 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 toinclude the following:

1. Specific experience of the systems, equipment, and/or project knowledge that relateto 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 O


Commissioning Report

The Cx Process Report is the documentation of the Cx work and results accomplished duringconstruction. 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 withthe OPR, either permanently or until schedule and budget constraints allow for correction.The Owner’s acceptance of these conditions should be documented along with theenvironmental, health, safety, comfort, energy, and operating and maintenance costimpacts. 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 tocorrect them. The description should assess the importance of the issues and estimate thevalue 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 andsigned 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 earliertests that failed to meet the specified criteria. This section should also include a set of blankdata 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, theprerequisite 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 thedelivered project and form the basis for the Final Cx Process Report developed duringOccupancy and Operations. This is essential to ensure that issues, benefits, and

recommendations are captured in a written document while all team members are availableand information is fresh.

A preliminary Cx Process Report should be submitted for owner review. Submittal of thepreliminary Cx Report to other Cx Team members or for jurisdictional requirements may also beappropriate.

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

Commissioning Process Report

Table of Con tents

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 andrecords 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 appropriateannex. This creates a unified record of all required testing performed during purchasingand installation.

Insert copies of installers and commissioning authorities completed validation checklistsin annex below. This provides a record of installation checks and observations for futurereference.

Insert copies of installers and commissioning authorities completed functional performance checklists of assemblies, equipment, and integrated system in annexbelow. This provides a record of performance checks and observations for futurereference.

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 inannex 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




Appendices in the initiation and design stages of the project will state the requirements andresponsibilities for that deliverable. The final results and documentation for each item will beinserted in the final report.

It is not necessary to include copies of documents included in the Systems Manual in the finalCx 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