ASHRAE Standard 202P Cx Process for Bldings & Systems

BSR/ASHRAE/IES Standard 202P

_____________________Public Review Draft

Commissioning Process for

Buildings and Systems

First Public Review (August 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

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The appearance of any technical data or editorial material in this public review document does not constitute

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ASHRAE expressly disclaims such.

© 2012 ASHRAE. This draft is covered under ASHRAE copyright. Permission to reproduce or redistribute all or any part of this document must be obtained from the ASHRAE Manager of Standards, 1791 Tullie Circle, NE, Atlanta, GA 30329. Phone: 404-636-8400, Ext. 1125. Fax: 404-321-5478. E-mail: [email protected].

ASHRAE, 1791 Tullie Circle, NE, Atlanta GA 30329-2305

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

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ASHRAE Standard Project Committee 202 Cognizant TC: TC 7.9, Building Commissioning

SPLS Liaison: Janice C. Peterson

Gerald J. Kettler Chair* William J McCartney Timothy F. Corbett

Dr. Charles Dorgan Vice-Chair* Rod Rabold* Justin F. Garner

Dr, Walter Grondzik Secretary* Reinhard G. Seidl* Earle Kennett

Michael Amstadt* Daniel J. Lemieux* Kenneth Simpson

Dennis E. Jones* Jeff J. Traylor* Brian E. Toeves

Harry Jay Enck* Stephen R. Wiggins* David Underwood

Bradley Brooks* Jean-Francois Pelletier*

James Magee* Alonzo B. Blalock

* Designates members of voting status

ASHRAE STANDARDS COMMITTEE

SPECIAL NOTE

This Standard was developed under the auspices of the American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE). ASHRAE Standards are developed under a review process, identifying a standard for the design, testing, application, or evaluation of a specific product, concept, or practice .

ASHRAE Standards are prepared by project committees appointed specifically for the purpose of writing Standards. The project committee chair and vice-chair must be members of ASHRAE; while other committee members may or may not be ASHRAE members, all must be technically qualified in the subject area of the Standard .

The Assistant Director of Technology for Standards and Special Projects of ASHRAE should be contacted for: a. interpretation of the contents of this Standard, b. participation in the next review of the Standard, c. offering constructive criticism for improving the Standard, or d. permission to reprint portions of the Standard

DISCLAIMER

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

ASHRAE INDUSTRIAL ADVERTISING POLICY ON STANDARDS

ASHRAE Standards and Guidelines are established to assist industry and the public by offering a uniform method of testing for rating purposes, by suggesting safe practices in designing and installing equipment, by providing proper definitions of this equipment, and by providing other information that may serve to guide the industry. The creation of ASHRAE Standards and Guidelines is determined by the need for them, and conformance to them is completely voluntary.

In referring to this Standard or Guideline and in marking of equipment and in advertising, no claim shall be made, either stated or implied, that the product has been approved by ASHRAE.


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TABLE OF CONTENTS

FOREWORD ................................................................................................................................ 4

1. PURPOSE ............................................................................................................................. 5

2. SCOPE .................................................................................................................................. 5

3. DEFINITIONS ........................................................................................................................ 5

4. UTILIZATION ......................................................................................................................... 8

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

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

7. COMMISSIONING PLAN .................................................................................................... 12

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

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

10. DESIGN VERIFICATION TO REQUIREMENTS ................................................................. 15

11. COMMISSIONING SUBMITTAL REVIEW .......................................................................... 15

12. CONSTRUCTION OBSERVATION AND TESTING ............................................................ 16

13. ISSUES AND RESOLUTIONS DOCUMENTATION ........................................................... 17

14. SYSTEMS MANUAL ........................................................................................................... 18

15. TRAINING ........................................................................................................................... 19

16. POST OCCUPANCY OPERATION VERIFICATION ........................................................... 20

17. COMMISSIONING PROCESS REPORT ............................................................................ 21

INDEX TO ANNEXES ............................................................................................................... 22


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

FOREWORD The Commissioning Process is the Owner’s quality-oriented process for achieving, verifying, and documenting that the performance of buildings, systems, and assemblies meets defined objectives and criteria.

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

The Commissioning Process begins at project inception (during the Pre-Design Phase) and continues for the life of the facility (through the Occupancy and Operations Phase). Because this standard details a process, it can be applied to both new and renovation projects as well as existing buildings. The Commissioning Process includes specific tasks to be conducted to verify that design, construction, verification, testing, documentation, and training meet the Owner’s Project Requirements. This standard describes the overall Commissioning Process in order to provide a uniform, integrated, and consistent approach for delivering and operating facilities that meet an owner’s on-going requirements.

The Commissioning Process is a quality-based method that is adopted by an owner to achieve successful construction projects. It is not an additional layer of construction or project management. In fact, its purpose is to reduce the cost of delivering construction projects and increase value to owners, occupants, and users. This standard has been developed to assist those who are adopting or plan to adopt a quality-based and cost-effective process.

Development of guidelines for the Commissioning Process began formally in 1982 when the American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) formed a committee to document best practices to provide and operate facilities that performed according to the Owner’s Project Requirements. ASHRAE published its original commissioning guideline in 1989 and an updated version in 1996. The Commissioning Process detailed in these guidelines is the result of experience on projects requiring that systems and assemblies worked from the first day the project was turned over to the Owner. This Commissioning Process is further based upon experience with projects that met the requirements of owners, occupants, users of processes, and facility operating-maintenance-service organizations at a high level of satisfaction and that reduced the cost to deliver the project. In 2008, it became evident that a standard with minimum requirements for the Commissioning Process was necessary to support many other standards and programs. Standard 202 presents the minimum requirements for the Commissioning Process without focusing upon specific building types, systems or assemblies, or on specific project sizes. Supplementary technical guidelines have been and continue to be developed to provide specific and detailed information on how to implement the Commissioning Process for each major building/facility, system or assembly, and for various stages of facility development and operation. The scope and budget for the Commissioning Process is set by the Owner for each project at the beginning of the development process.

Due to the integration and interdependency of facility systems, a performance deficiency in one system can result in less than optimal performance by other systems. Implementing the Commissioning Process is intended to reduce the project capital cost through the warranty period and also reduce the life-cycle cost of the facility. Using this integrated process results


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in a fully functional, fine-tuned facility, with complete documentation of its systems and assemblies and trained operating and maintenance personnel.

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

While circumstances may require owners to adopt the Commissioning Process during the Design or Construction Phase of a project, such later implementation must capture the information that would have been developed had the Commissioning Process begun at project inception. Beginning the Commissioning Process at project inception will achieve the maximum benefits.

This standard describes the Commissioning Process; the role of the Commissioning Authority; and a framework for developing an OPR, BOD, Commissioning Plan, specifications, procedures, documentation, and reports. This standard also describes the general requirements for a training program for continued successful system and assembly performance.

1. PURPOSE The purpose is to identify the minimum acceptable Commissioning Process for Buildings

and Systems.

2. SCOPE This standard provides procedures, methods, and, documentation requirements for each

activity for project delivery from pre-design through occupancy and operation, including:

a) Overview of Commissioning Process activities, b) Description of each process step’s minimum activities, c) Minimum documentation requirements, and d) 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 defined requirements, thus permitting subsequent activities to proceed.

Authority Having Jurisdiction: Where public safety is primary, the authority having jurisdiction may be a federal, state, local, or other regional department or individual having statutory authority. For insurance purposes, an insurance inspection department, rating bureau, or other insurance company representative may be the authority having jurisdiction. In some circumstances, the property owner or his or her designated agent assumes the role of the authority having jurisdiction; at government installations, the commanding officer or departmental official may be the authority having jurisdiction

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

Checklists: Project and element-specific checklists that are developed and used during all phases of the commissioning process to verify that the Owner’s Project Requirements are being achieved. Checklists are used for general verification, testing, training, and other design and construction requirements.


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Commissioning: (Cx): See Commissioning Process.

Commissioning Authority (CxA): An entity identified by the Owner who leads, plans, schedules, and coordinates the commissioning team to implement the Commissioning Process.

Commissioning Plan (Cx Plan): A document that outlines the organization, schedule, allocation of resources, and documentation requirements of the Commissioning Process.

Commissioning Process: A quality-focused process for enhancing the delivery of a project. The process focuses upon verifying and documenting that the facility and all of its systems and assemblies are planned, designed, installed, tested, operated, and maintained to meet the Owner's Project Requirements.

Commissioning Process Activities: Components of the Commissioning Process.

Commissioning Process Progress Report: A written document that details activities completed as part of the Commissioning Process and significant findings from those activities, and is continuously updated during the course of a project.

Commissioning Process Report: A document that records the activities and results of the Commissioning Process and is developed from the final Commissioning Plan with all of its attached appendices.

Commissioning Team: The individuals, who through coordinated actions, are responsible for implementing the Commissioning Process.

Construction Checklist: A form used by the commissioning team to verify that appropriate materials and components are on-site, ready for installation, correctly installed, functional, and in compliance with the Owner’s Project Requirements. Also see Checklists.

Construction Documents: This includes a wide range of documents, which will vary from project to project and with the Owner’s needs and with regulations, laws, and countries’ requirements. Construction documents usually include the project manual (specifications), plans (drawings), and General Terms and Conditions of the contract.

Contract Documents: This includes a wide range of documents, which will vary from project to project and with the Owner’s needs, regulations, laws, and countries’ requirements. Contract Documents frequently include price agreements, construction management process, sub-contractor agreements or requirements, requirements and procedures for submittals, changes, and other construction requirements, timeline for completion, and the Construction Documents.

Coordination Drawings: Drawings showing the work of all trades to illustrate that equipment can be installed in the space allocated without compromising equipment function or access for maintenance and replacement. These drawings graphically illustrate and dimension manufacturers’ recommended maintenance clearances.

Current Facility Requirements (CFR): A written document that details the current functional requirements of a facility and the expectations of how it should be used and operated. This includes goals, measurable performance criteria, cost considerations, benchmarks, success criteria, and supporting information to meet the requirements of occupants, users, and owners of the facility.

Design Checklist: A form developed by the commissioning team to verify that elements of the design are in compliance with the Owner’s Project Requirements. Also see Checklists.


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Design Review– PEER: An independent and objective technical review of the design of the Project or a part thereof, conducted at specified stages of design completion by one or more qualified professionals, for the purpose of enhancing the quality of the design.

Design Review – Constructability: A review of a document to determine whether the engineering and/or architectural content of the work is correct, complete, and suitable for the intended purpose.

Design Review – Code or Regulatory: A review of a document conducted by staff or designated entity of an Authority Having Jurisdiction to determine whether the content of the document complies with regulations, codes, or other standards administered by the Authority Having Jurisdiction.

Design Review – Commissioning: A review of the design documents to determine compliance with the Owner’s Project Requirements, including coordination between systems and assemblies being commissioned, features and access for testing, commissioning and maintenance, and other reviews required by the commissioning plan.

Existing Building Commissioning Process: A quality-focused process for attaining the Current Facility Requirements of an existing facility and its systems and assemblies. The process focuses on planning, investigating, implementing, verifying, and documenting that the facility and/or its systems and assemblies are operated and maintained to meet the Current Facility Requirements, with a program to maintain the enhancements for the remaining life of the facility. Facility Guide: A basic building systems description and operating plan with general procedures and confirmed facility operating conditions, set points, schedules, and operating procedures for use by facility operations to properly operate the facility.

Issues Log: A formal and ongoing record of problems or concerns and their resolutions that have been raised by members of the Commissioning Team during the course of the Commissioning Process.

On-Going Commissioning Process (OCx): A continuation of the Commissioning Process well into Occupancy and Operations to continually improve the operation and performance of a facility to meet current and evolving Current Facility Requirements or Owner’s Project Requirements. On-Going Commissioning Process activities occur throughout the life of the facility; some of these will be close to continuous in implementation, and others will be either scheduled or un-scheduled as needed.

Owner’s Project Requirements (OPR): A written document that details the functional requirements of a project and the expectations of how it will be used and operated. This includes project goals, measurable performance criteria, cost considerations, benchmarks, success criteria, and supporting information. (The term Project Intent or Design Intent is used by some owners for their Commissioning Process Owner’s Project Requirements.) Performance Test (PT or FPT): Performance Testing is the process of verifying that a material, product, assembly, or system meets defined performance criteria. The methods and conditions under which performance is verified are described in one or more test protocols.

Re-Commissioning: (See Existing Building Commissioning.) An application of the Commissioning Process requirements to a project that has been delivered using the Commissioning Process.

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


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Systems Manual: A system-focused composite document that includes the design and construction documentation, facility guide and operation manual, maintenance manual, training information, commissioning process records, and additional information of use to the Owner during Occupancy and Operations.

Test Procedure: A written protocol that defines methods, personnel, and expectations for tests conducted on components, equipment, assemblies, systems, and interfaces among systems to verify compliance with the Owner’s Project Requirements.

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

Verification: The process by which specific documents, components, equipment, assemblies, systems, and interfaces among systems are confirmed to comply with the criteria described in the Owner’s Project Requirements.

4. UTILIZATION

4.1 Introduction

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

b) Establish process activities and sequence of activities.

c) Establish deliverables and documentation for the process application. 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. Verify Design to Requirements Design Verification Report ↓


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g. Review Submittals Submittal Verification Report ↓ h. Observe and Test Construction Checklists & Reports ↓ i Resolve Issues Issues Log ↓ j. Assemble Systems Manual Systems Manual ↓ k. Conduct Training Training Plans and Records ↓ l. Verify Post Occupancy Operation End of Warranty Cx Report ↓ m. Assemble Commissioning Process Report Commissioning Process Report 4.3 Acceptance. The process for each activity and deliverable shall include an acceptance step as defined in the OPR and Cx Plan.

5. INITIATING THE COMMISSIONING PROCESS 5.1 General 5.1.1 Introduction

At the initiation of the Commissioning Process, the Owner is responsible for determining

the scope of the Cx Plan (that is, the systems and assemblies to be included), selecting the leader of the Cx process team, selecting the Cx process project team, incorporating Cx activities into project team roles and responsibilities, establishment of Cx budget, and providing direction to the Cx team throughout the project. 5.1.2 Project Team Selection-Commissioning Process Providers

The Owner is responsible to select qualified Cx process professionals. 5.1.3 Providing Direction and Acceptance

The Owner shall provide reviews and acceptance as required during the Cx process.

5.2 Commissioning Requirements

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

The Owner shall determine the systems and assemblies to be included in the project team’s scope. 5.2.1 Owner’s Project Requirements

For new construction or major renovations, the Owner shall ensure development of the OPR as described in Chapter 6 of this standard prior to development of the architectural program. The Owner shall provide a final updated and approved OPR at substantial completion. . 5.2.2 The Commissioning Plan

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


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activities. 5.2.3 Checklists

The Owner shall require, by agreement, design and construction service providers to develop, utilize, and complete Cx procedures and written Cx observation and testing checklists in accordance with the Cx Plan. 5.2.4 Basis of Design Documentation

For construction or renovation projects requiring design, the Owner shall require, by agreement, the development and updating of the BOD by the designers as described in Chapter 8 of this standard. 5.2.5 Commissioning Specifications

The Owner shall require, by agreement, the design/construction team to include Cx specifications in the project contract documents. The Cx specification shall include the meeting of all requirements defined in the OPR and follow the Cx Process contained in the project’s Cx plan and Chapter 9 of this standard. 5.2.6 Commissioning Design Reviews

The Owner shall require, by agreement, the design team to review, respond to, and participate in an issue resolution process to resolve issues identified during the Cx design review process in Chapter 10 of this standard. The Owner or designated representative shall review the Cx Process design review comments, participate in issue resolution process, and provide direction to the team when needed to meet the OPR. 5.2.7 Construction Submittals Verification

The Owner shall require, by agreement:

CxA to identify construction submittals to be provided by the Contractor for the systems being commissioned.

The Contractor to provide construction submittals to the CxA concurrent with submittals to the designer.

The CxA to review the construction submittals concurrently with the designers and provide comments to the designer.

The designer to consider the CxA’s comments and provide direction to the Contractor in accordance with the designer’s best professional judgment with a copy to the CxA.

In the event that the Owner does not retain the designer for construction administration

services, the Owner shall:

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

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

5.2.8 Observation and Testing

The Owner shall require, by agreement, for construction or renovations requiring design and construction, that project observation and testing be performed as required in the Cx Plan and Chapter 12 of this standard.


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5.2.9 Issues Log and Field Reports The Owner shall require the development and utilization of field reports and issue logs

as required in the OPR and Chapter 13 of this standard. The Owner shall review Cx issues log and field reports, participate in collaborative team

resolution, and provide direction when needed. 5.2.10 Systems Manual

The Owner shall require, by agreement, the development and delivery of a project Systems Manual and that deliverables be provided for the Systems Manual in accordance with Chapter 14 of this standard. The Owner shall ensure that specific entities are designated for the development and assembly of the Systems Manual and the Facility Guide. 5.2.11 Training

The Owner shall require, by agreement, that the design, construction, and Cx teams

perform training defined in the OPR or Cx Plan as described in Chapter 15 of this standard.

5.2.12 Post Occupancy and Operations

The Owner shall require, by agreement, that the Cx Process activities described in Chapter 16 of this standard be performed. This shall include additional training, seasonal tests, problem resolution, site visits, updating drawings and specifications, or other requirements performed during the Post Occupancy and Initial Operations period defined for the project in the OPR and Cx Plan. 5.2.13 On-Going Commissioning Process

The Owner shall require, by agreement:

CxA perform ongoing Cx throughout the warranty period.

Updating Systems Manual based on modifications to operations to meet the OPR.

Updating OPR to meet changes in the Owner’s objectives and criteria. 5.2.14 Commissioning Process Report

The Owner shall require, by agreement, the development and delivery of a Cx Process Project Report and that deliverables be provided in accordance with Chapter 17 of this standard. The Owner shall ensure that specific entities are designated for the development and assembly of the Cx Process Project Report.

6. OWNER'S PROJECT REQUIREMENTS 6.1 Introduction

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

As decisions are made during the Design, Construction, and Occupancy and Operations activities, the OPR document shall be updated to reflect the current project requirements of the Owner.


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

a. Facility objectives, location, user requirements, size, 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, and systems.

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

g. Maintainability, access, and operational performance requirements.

h. Installation verification and testing requirements.

i. Project documentation and Systems Manual requirements and formats.

j. Training requirements for owner’s personnel and occupants.

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

l. Project schedules.

m. Future expansion and usage change requirements.

n. Special project requirements. 6.2.4 The OPR shall be included in the Contract Documents.

6.2.5 The OPR shall provide the requirements for Cx process verification.

6.2.6 The OPR shall be updated regularly throughout the project and Cx process to reflect changes necessitated by owner, designers, and construction team decisions, issues resolutions, and/or operational decisions. 6.3 Acceptance

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

7. COMMISSIONING PLAN 7.1 Introduction

The Cx Plan shall be a written document and provide organization, documentation requirements, and tools to facilitate the design and construction of the project to meet the OPR. 7.2 Requirements

7.2.1 The initial Cx Plan shall be developed by the Owner’s project team with the assistance of the CxA at the initiation of the project. The Cx Plan shall be updated and expanded during


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design and construction as the project evolves.

7.2.2 A copy of the final Cx Plan shall be included in the Cx Process 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.

d) Detailed description of Cx Process activities and a schedule of activities. The design milestones shall include the Cx Team meetings, OPR development, design reviews, and the completion of the BOD and the Cx specifications.

e) Project design documentation verification procedures.

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

g) Guidelines and format that will be used to develop the Cx Process documentation, including Systems Manual and Training Plans.

h) Cx Process verification checklists and testing forms that will be used during the project phases to communicate and track critical Cx Process information.

i) Project commissioned systems and assemblies verification procedures description.

j) The framework for procedures to follow whenever Cx Process verification does not meet the OPR.

7.3 Acceptance

The Cx Plan shall include a process for approval by the Owner of the initial document and subsequent revisions.

8. BASIS OF DESIGN 8.1 Introduction

The BOD is a written document that shall provide detailed information on the design team’s approach to meeting the OPR, provide the Owner with a better understanding of design issues, and secure the Owner’s approval of critical design decisions. 8.2 Requirements 8.2.1 The OPR shall define the content, organization, and milestones of BOD submittals for the design and construction process. 8.2.2 The BOD shall be developed by the design team in accordance with the OPR. The BOD shall be updated and expanded during design and construction as the project evolves. The function of the BOD shall be to:

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


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2) Provide a platform for the review of the design and changes as the project progresses.

3) Coordinate applicable technical and code requirements. 8.2.3 The design team shall submit the BOD to the Owner and CxA for review at each milestone defined by the OPR.

8.2.4 The Owner and CxA shall verify each BOD submittal for:

1. Agreement with the OPR.

2. Requirements for updating of the BOD.

3. Requirements for sustainable design certification.

4. The design assumptions.

5. Consideration of design alternatives at each phase.

6. That systems, assemblies, and equipment are commissionable and maintainable.

7. Opportunities for improved performance.

8. That provision for ongoing Cx over the life of the building is addressed.

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

8.2.6 The design team shall work with the Owner and CxA to resolve Cx issues. 8.3 Acceptance

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

9. CONTRACTOR, SUPPLIER, VENDORS, AND MANUFACTURER COMMISSIONING REQUIREMENTS

9.1 Introduction

The responsibilities of the contractors, suppliers, vendors, and manufacturers, including those contracted directly to the Owner, shall follow the contract documents, including the Cx Process defined by the Cx specifications. The Cx Process does not relieve the Contractor from meeting codes, standards, or contractual requirements. 9.2 Requirements 9.2.1 The applicable Cx Process requirements shall be included in all contracts with contractors, sub-contractors suppliers, service providers, vendors, and manufacturers for systems and assemblies being commissioned.

9.2.2 Contractors, sub-contractors suppliers, service providers, vendors, and manufacturers shall provide the required documentation as defined in the contract documents and Cx Plan. This includes: submittals, shop drawings, installation, operations, maintenance, and close-out documents; code compliance; and existing conditions documentation.


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10. DESIGN VERIFICATION TO REQUIREMENTS

10.1 Introduction

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

10.2 Requirements

10.2.1 The CxA shall perform a review of the commissioned systems and assemblies in the design documents to verify compliance with the OPR. The number and scheduling of design reviews shall be defined in the OPR and as a minimum, prior to the start of construction for systems being commissioned. 10.2.2 The CxA shall provide a document review report with comments, questions, and observations to the Owner and design teams for compliance with the Owner’s project requirements. This review shall not be considered a design PEER or Code Review. 10.2.3 The design team shall respond to the CxA document review report with necessary answers and document modifications for the project. Revised documents shall be back checked by the CxA. 10.2.4 A copy of the document review report(s) and response shall be included in the final Commissioning Process Report. 10.3 Acceptance 10.3.1 The Owner shall approve the CxA document review report and the design team's response before the start of construction.

11. COMMISSIONING SUBMITTAL REVIEW 11.1 Introduction A submittal documents review for commissioned systems and assemblies shall be performed to verify compliance with the OPR. The commissioning submittal review does not replace the designer of record submittal review.

11.2 Requirements

11.2.1 Submittal review will be concurrent with Design Team and Owner review. A designated Commissioning Team member shall review project submittals for systems and assemblies to be commissioned for compliance with the OPR. 11.2.2 The submittal review shall be documented with the following information: 1. Submittal review date. 2. Submittal reference number.

3. Document containing requirement

a. Specification Reference b. Construction Drawing Reference.

4. A summary of the submitted equipment/materials properties that appear not to meet the

OPR.


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11.2.3 A copy of the submittal document review report(s) and response shall be included in the final Commissioning Process Report.

11.3 Acceptance

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

12. CONSTRUCTION OBSERVATION AND TESTING

12.1 Introduction

The proper installation, coordination, performance, and interaction among commissioned systems and assemblies shall be verified.

12.2 Requirements

12.2.1 The systems and assemblies identified in the OPR and Cx Plan shall be verified to comply with the OPR and with the contract documents.

12.2.2 Checklists and test procedures with necessary report forms shall be developed before equipment or assembly installation. All completed checklists and test reports shall be included in the final Cx Process Report.

12.2.3 There shall be a uniform and effective process for documentation of testing to provide verified performance of and interaction between commissioned equipment, systems, and assemblies

12.2.4 The CxA shall conduct a scoping meeting with the construction team to explain Cx procedures and coordinate commissioning activities at the beginning of the construction process and at other times as necessary.

12.2.5 Verification of the systems and assemblies shall include the following:

1. Vital information on the equipment or materials being supplied. Information shall detail what equipment/material was specified and submitted. What was actually delivered on the site shall be documented and verified.

2. The condition of the equipment at the time it is delivered at the site and prior to its installation.

3. Checking proper installation of the systems and assemblies. Verification shall focus on the physical installation of the systems and assemblies on its ability to meet the CD and accessibility for Cx, testing, and maintenance.

4. Proper functioning of systems and assemblies.

12.2.6 Establishing Test Procedures

1. Project-specific Construction Checklists and test procedures shall be established for review by Owner and appropriate team members.

2. The test procedures shall list the entities responsible for executing each of the tests.


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3. In cases where testing involves the risk of damaging any portion of a system or assembly, such risks shall be clearly identified in the test procedures.

4. Sampling procedures shall be utilized if required and defined in the OPR.

12.2.7 Executing Test Procedures 1. Once Construction Checklists and test procedures are established, the responsible entities

shall execute relevant test protocols and repeat testing as necessary until equipment, systems, or assemblies being tested pass all tests.

2. After completed test procedures by the Cx Team, the CxA directs, witnesses, and documents the tests conducted. Failed tests are repeated in accordance with the Cx Plan.

3. Tests requiring extended periods of time to evaluate the equipment, system, and assemblies performance whose execution period exceeds reasonable limits for contractor or witness site testing shall be executed as long-term tests.

4. The entities responsible for executing long-term functional testing shall configure the means of recording historical data collection as defined in the approved test procedures, and upon completion, inform the Cx Team members that systems and assemblies are ready to be tested.

5. Once the test period is complete, the entities responsible for conducting the tests shall collect a record of historical data and transmit this to the project team for verification of results.

12.2.8 If any negative response is identified, the reason for the negative responses and whether any action has been taken to correct the problem or problems that led to the negative responses shall be documented.

Any negative response that cannot be resolved in a timely manner shall be given an issue number and recorded in the issue log to facilitate follow up.

Whenever a test data result is required for a specific system or assembly, there should be an item in the associated Construction Checklist for the test data to be submitted to the CxA.

12.3 Acceptance

All verification checklists and test procedure results shall be compiled into the Final Commissioning Process Report. A summary of the testing shall be reported to the Owner in a written Cx Process Report following completion of the testing or at intervals noted in the Cx Plan. Review of the summary reports shall have a response of concurrence or acceptance by the Owner.

13. ISSUES AND RESOLUTIONS DOCUMENTATION

13.1 Introduction

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

13.2 Requirements

13.2.1 The CxA and Cx Team shall develop a formal Issues and Resolutions Log with supporting documentation.


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13.2.2 The active Issues Log will have all open and continuing items, with status and responsible person or organization for resolution.

13.2.3 A formal Issues and Resolutions Log shall be maintained throughout the project until all issues are resolved or accepted by the Owner.

13.2.4 A Cx Process Progress Report shall be assembled and distributed at intervals required in the OPR.

13.2.5 The Issues and Resolutions Logs and Cx Progress Reports shall be available for owner review throughout the project. 13.3 Acceptance

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

14. SYSTEMS MANUAL

14.1 Introduction

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

14.2 Requirements

14.2.1 The Systems Manual shall provide the information needed to understand, operate, and maintain the building’s systems and assemblies. 14.2.2 The Systems Manual is the repository of design, construction, and testing information, including updates and corrections to systems and assemblies as they occur during Construction. The Cx Team shall be responsible for updating the Systems Manual during Construction as required in the OPR and Cx Plan.

14.2.3 The following shall be included in the Systems Manual: Section 1 – Executive Summary Section 2 – Facility Design and Construction

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

3.1 Copy of Building and Equipment Specifications for Commissioned Systems and Assemblies.

3.2 Copy of Approved Submittals for Commissioned Systems and Assemblies

3.3 Copy of Manufacturer’s Operation and Maintenance (O&M) Data for Commissioned Systems and Assemblies

3.4 Copy of Warranties for Commissioned Systems and Assemblies

3.5 Copy of Verified Controls Sequence of Operation and Integrated Systems Performance.

3.6 Contractor/Supplier Listing and Contact Information


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Section 4 – Facility Operations

4.1 Facility Guide, including verified: Operating Plan; Building and Equipment Operating Schedules, Set Points, and Ranges; Systems Operation Control Sequences, System Limitations, and Emergency Shut Down Actions

4.2 Copy of Maintenance Plans, Procedures, Maintenance Checklists, and Records

4.3 Copy of Maintenance Schedules

4.4 Procedures for On-going Operational and Maintenance Record Keeping

Section 5 – Training

5.1 Copy of Training Plan and Materials

5.2 Training Records

Section 6 Commissioning Process Report

6.1 Copy of final Cx Process Plan(s)

6.2 Copy of Testing Reports for Commissioned Systems and Assemblies

6.3 Copy of Verification Forms—Completed for Commissioned Systems and Assemblies

6.4 Copy of Performance Forms—Completed for Commissioned Systems and Assemblies

6.5 Copy of Issue Logs, disposition of open issues, and Item Resolution Plan 14.3 Acceptance

14.3.1 The contents of the Systems Manual, Sections 1 through 4, shall be reviewed and approved by the CxA prior to training of operational and maintenance personnel.

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 properly trained, in accordance with the OPR, to operate and maintain the building. The training plan is considered an essential element in designing, preparing, and delivering the training to the participants.

15.2 Requirements

15.2.1 The training plan shall include the following items:

a. Outline of instructional topics related to the systems, subsystems, equipment, and assemblies. These topics shall address the design, construction, operation, and maintenance of specific systems, assemblies, and equipment.

b. Learning objectives and training delivery methods for each instructional topic.

c. The location of the training sessions (classroom, onsite, and offsite) and the duration of each training session in hours to be completed.

d. Instructor’s qualifications for approval by the Owner.

e. Training materials employed during the instructional process.

f. Training report and records.


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15.2.2 Archival of instruction, delivery of instruction, and training materials shall be provided as specified in the Contract Documents and per the OPR. A copy of the Training Plan, training materials, and records shall be included in the final Systems Manual as Section 5 as shown in Chapter 14 of this standard. 15.3 Acceptance

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

16. POST OCCUPANCY OPERATION VERIFICATION 16.1 Introduction

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

Post Occupancy and Operations Phase Cx Process objectives include the following:

a. Using the CxA’s project knowledge and experience to minimize contractor call-backs.

b. Providing on-going guidance on operations and maintenance (O&M) to achieve the OPR.

c. Documenting lessons learned from applying the Cx Process for application to the next project.

16.2 Requirements

16.2.1 The Cx Process activities shall continue through the end of the contractual warranty period. 16.2.2 The seasonal, delayed, and incomplete testing of facility systems and assemblies shall be completed. The CxA shall determine when the performance verifications shall be performed based on weather conditions, load conditions, or occupant interactions that are required to complete the activities for all systems and assemblies being commissioned. 16.2.3 The general contractor or owner shall coordinate contractor call-backs to resolve issues identified during the Cx Process and provide written documentation to the CxA that the issues have been resolved and/or the Owner has accepted the final conditions. 16.2.4 Additional training shall be performed during the Post Occupancy and Operations activities in accordance with the Training and Cx Plans. 16.2.5 During the Post Occupancy and Operations activities, the on-going operation, maintenance, and modification of the facility systems and assemblies, and their associated documentation, shall be verified against the updated OPR. 16.2.6 By the conclusion of the Post Occupancy Operation commissioning activities, the Systems Manual, testing documentation, issue logs, training report, and a final Cx Process Report shall be updated and submitted for acceptance.


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17. COMMISSIONING PROCESS REPORT

17.1 Introduction

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

17.2.1 The Final Cx Process Report shall include the final Cx Process Plan and the results of the implementation of that plan. The report shall include an executive summary describing the Cx Process and identifying the systems and assemblies commissioned. The report shall identify the location of the final OPR and BOD documents or contain a copy if these documents are not otherwise available. The location of the project record drawings shall be identified.

17.2.2 Intermediate reports shall be issued as required in the OPR or by the AHJ.

17.2.3 A copy of the commissioning design review records and logs and submittals review logs shall be included in the report.

17.2.4 The report shall contain a completed copy of the approved supplier, contractor, and CxA verification, testing, and performance test forms, including those utilized during the Occupancy and Operations activity.

17.2.5 All systems or assemblies that do not meet the OPR shall be identified in the Issues Log.

17.2.6 For all incomplete issues, delayed or seasonal tests shall have a resolution plan approved by the Owner identifying who is responsible for resolution.

17.2.7 A copy of all Issue Logs shall be included, including the descriptions of the issues and the measures taken to correct them.

17.2.8 A copy of the Training Plan and report shall be included or its location identified. 17.3 Acceptance

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


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ASHRAE Standard 202– The Commissioning Process

INDEX TO ANNEXES Informative Annex A – Commissioning Process Documentation Matrix

Informative Annex B – Quality Based Sampling Process

Informative Annex C – Initiating the Commissioning Process

Informative Annex D – Owner’s Project Requirements

Informative Annex E – Commissioning Plan

Informative Annex F – Basis of Design

Informative Annex G – Commissioning Specifications

Informative Annex H – Design Verification and Report

Informative Annex I – Submittal Verification and Report

Informative Annex J – Construction Observation and Testing Checklists and Reports

Informative Annex K – Issues Log

Informative Annex L – Systems Manual

Informative Annex M – Training Plans and Records

Informative Annex N – End of Warranty Commissioning Report

Informative Annex O – Commissioning Process Report


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

Commissioning Process Documentation Matrix

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

Activity Document Input By

Provided By

Reviewed/ Approved By

Used By Notes Project initiation

Owner’s Project Requirements

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

Owner, CxA, or Design Team

Owner CxA, Design Team

Design Team may not be hired yet.

Initial Commissioning Plan

Owner, Design Team, CxA

Owner or CxA

Owner CxA, Owner, Design Team, Construction Team

Design Team may not be hired yet.

Systems Manual Outline

Owner, O&M, CxA

Owner or CxA

Owner Design Team, Construction Team

May be included in OPR

Training Requirements Outline

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

Owner or CxA

Owner Design Team, Construction Team

May be included in OPR

Issues Log Format Owner, CxA Owner or CxA


May be only format at this time

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

Design Owner’s Project Requirements Update

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

CxA or Designer


Basis Of Design Design Team Design Team

Owner, CxA Design Team, CxA

Construction Specifications for Commissioning

Design Team, CxA, Owner

Design Team or CxA

Owner Contractors, CxA, Design Team

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


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Systems Manual Outline - Expanded

Design Team, CxA, O&M, Contractor

Design Team or CxA

Owner, CxA Design Team, Contractor

Contractor may not be hired yet.

Training Req. Requirements

Owner, CxA O&M, Users,

Owner, CxA, O&M

Owner Design Team Contractor input

Requirements In

Specifications CxA, Design Team

Design Team, CxA

Owner Design Team

Design Review Comments

CxA CxA Owner Design Team

Issues Log CxA CxA N/A CxA, Design

Issues Report CxA CxA Owner Design Team, Owner

Design Commissioning Process Report

CxA CxA Owner Owner

Construction Owner’s Project Requirements Update

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

CxA or Designer

Owner CxA, Design Team, Contractors

Basis of Design Update

Design Team Design Team

CxA, Owner Design Team, CxA

Commissioning Plan Update

Design Team, CxA, Owner, Contractor

CxA CxA, Owner, Design Team,

CxA, Owner, Design Team, Contractors

Submittal Review Comments

CxA Design Team

Design Team

Contractor

System Coordination Plans

Contractor, Design Team

Contractor CxA, Design Team

Contractor, CxA

Inspection Checklists

CxA, Contractor, Design Team

CxA CxA, Design Team

Contractor

Inspection Reports

Contractor CxA CxA, Owner Contractor

Test Procedures CxA, Contractor, Design Team

CxA CxA, Design Team

Contractor

Test Data Reports

Contractor CxA CxA, Owner Contractor

Commissioning Meeting Agendas and Minutes

CxA CxA All All

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

Contractor or CxA

Owner, CxA O&M, Users, Contractor

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

Contractor Owner, CxA O&M, Users

Issues Log CxA CxA N/A CxA, Design Team,

Issues Report CxA CxA Owner, Design Team

Design Team, Owner, Contractor

Preliminary Construction Commissioning Process Report

CxA CxA Owner Owner Prior to Occupancy


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Final Construction Commissioning Process Report

CxA CxA Owner Owner

Occupancy and Operations

Owner’s Project Requirements Update

Owner, O&M, Users, Design Team

CxA or Designer

Owner CxA, Design Team, Contractors

Basis of Design Update

Design Team Design Team

CxA, Owner Design Team, CxA

Maintenance Program

Owner, O&M, Contractor, CxA

Owner or CxA

Owner, CxA O&M, Users

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

CxA Design Team, CxA

Contractor

Test Data Reports

Contractor CxA CxA, Owner Contractor, O&M

Issues Log CxA CxA N/A CxA, Design Team, Owner

Issues Report CxA CxA Owner Design Team, Owner, Contractors

Commissioning Process Report

CxA CxA Owner Owner Final Report

Re- Commissioning Plan

O&M, Users, CxA

CxA or Owner

Owner Owner

Notes:

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


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Informative Annex B

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

Quality Based Sampling Process

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

Use of Sampling

The use of sampling in the design and construction review and the sampling process must be defined in the OPR. Sampling processes should be used only as defined in the OPR and/or with the specific agreement of the Owner. The Cx Plan can also add requirements and information to the design review process and procedures.

Design Submissions

A critical step in the Cx Process is the review of the design submissions from the design professionals. It is important to remember that the role of the CxA is to verify that the OPR are met and that the system is designed in a quality manner. There are three distinct reviews that are completed on a drawing set – general, coordination, and field specific. A review of the specifications is also required.

The procedures for design review and sampling are included in Annex H of this Standard.

Construction Review Sampling

There are three primary areas relating to systems and assemblies where quality-based sampling is utilized for the on-going verification of achieving the OPR.

These are:

Submittal reviews Site visits Final commissioning process testing.

Submittal Reviews

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

These reviews can be accomplished utilizing a random sampling approach of the submittals as directed by the OPR and Cx Plan. Random (quality-based) sampling is utilized because it is a way to accomplish effective, unbiased evaluations of materials against given


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criteria. The random sampling approach for a specific submittal varies based upon the number of attributes and components contained in the submittal and upon the importance to the OPR. There are two random sampling approaches that can be used. These include randomly sampling the attributes and components (when there are multiple attributes and components to sample from) and randomly sampling the pages of a submittal (when there is only one or few of the component type and several pages). In addition, the CxA may select submittals to review from a random sample of all submittals, especially on projects with a large number of submittals as required by the OPR and Cx Plan.

The process to be followed by the CxA in evaluating the Contractor’s submittal creation procedures is:

1. 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 to receiving submittals since this will significantly reduce the turn-around time for submittal reviews by the CxA.

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

Review Construction Documents and BOD. There is typically significant OPR information in the project specifications, plans, and the BOD for equipment, assemblies, and systems. Therefore, it is important to review the appropriate specification section(s) and plans prior to reviewing the submittal, with particular attention given to those items that could adversely impact achievement of the OPR.

Identify Key Criteria. From the OPR and construction document reviews, the key criteria that will be used in reviewing the submittal should be identified and defined.

Determine Sampling Rate. The actual sampling rate to be utilized is based upon multiple factors. For components, in addition to specific requirements listed in the OPR, BOD, and Construction Documents, the impact on energy efficiency, maintenance, operability, comfort, indoor air quality, life of the component, and the relationship to other systems are criteria for evaluating the submittals. There may also be key code and standards issues. All the criteria for evaluation of submittals can be developed and listed in table format to be randomly sampled for evaluation.

Note 1: For sampling rates greater than 100% (e.g., extremely critical laboratory equipment that results in loss of life if fails), the approach is that two independent reviewers accomplish their evaluation following documented procedures. Therefore, if a 400% review is warranted, then there would be four independent reviews. Even when 100% sampling of a submittal is required, random sampling and verification of the component attributes should be a part of the process.


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Sample Rate Determination

Factor Guidance (% of components or

% of pages) Complexity Components of greater complexity typically require

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

rate of sampling typically increases.

5%–10% for low complexity 10%–20% for medium complexity

20%–40% for high complexity

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

data processing center where any downtime results in the loss of significant revenue, there is an obvious need for increased review compared

to a retail clothing store.

5%–10% for low criticality 100%–600% for high criticality

(see Note 1)

Length

A submittal that has very little information (length) will typically result in a high sampling rate, whereas one with hundreds of pages will typically result in a

low sampling rate of the submittal document. For non-critical components, a random subset of

the evaluation criteria may be used.

100% for less than 3 pages

75% to 100% for 4 to 10 pages 25% to 75% for 11 to 100 pages

5%–25% for greater than 100 pages

Owner Input The Owner’s understanding of quality-based

sampling and level of assurance desired will typically have the greatest influence on the sampling rates

utilized (see Note 2)

CxA The CxA’s understanding of quality-based sampling and the Cx Process impacts the sampling rate

(see Note 3)

Although data and evaluation of construction has not been fully confirmed, the use of random samples in concrete and other construction products has been successfully verified using random samples. This is due to the fact that there is only a given amount of resources available to accomplish review during the design, construction, and operation of the project. For a given hour, the quality-based sampling approach allows for a more thorough, in-depth review of a portion of the submittal against the OPR, whereas the 100% review is more of an overview trying to find errors. Because the purpose of the Cx Process is to evaluate OPR achievement (both positives and negatives), the quality-based sampling approach enables an acceptable evaluation and improved results. For further information on sampling, refer to the references listed in Section 9 of Guideline 0-2005.

Accomplish Review. With the evaluation criteria and sample rate established, the submittal review is accomplished. Since the sample rate directly impacts the level of effort required by the CxA, the sample rate needs to be determined during scope negotiation between the Owner and CxA. During these negotiations, it is important to remember that it is the Contractor’s duty to create 100% of the required submittals, and it is the design professional’s duty to review 100% of the submittals. It is the CxA’s role to evaluate the Contractor’s and design professional’s work relative to OPR achievement. It is important to a successful Cx Process to keep complete records of the review findings for both items that meet the criteria (especially OPR) and items where the deficiencies are noted throughout the whole review process.


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Document Results. The recommended approach to documenting the results of the CxA’s review is as follows:

1. Clearly state what was observed during the review. 2. Clearly state which OPR criteria was violated in the submittal.

3. Clearly state your recommendation for achieving compliance with the OPR.

Each comment needs to have space for the design professional to reply to the CxA on the disposition of the comment.

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

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

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

Identify OPR Concerns. For those comments where the design professional did not incorporate the CxA’s input, review the potential adverse impact on achievement of the OPR.

Document Results. Document any adverse impacts on achieving the OPR and work with the design professional and owner in resolving the issue—either by changing the OPR to match the new conditions or by getting the design professional to incorporate comments into submittal review response. This should be accomplished in a timely manner to avoid disruption of the construction process.

Site Visits

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

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

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

The sampling rate to be utilized during a particular site visit varies depending upon the factors in the table below. The table provides general guidance for components. This may not apply to assemblies and systems that support all systems or assemblies if they are not part of the Cx Process scope. For example, if the envelope is not included in the scope of the Cx


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Process for a specific building, there will not be any checklists for the envelope components, and this will be included in the site visits as an item to be checked to evaluate the quality of the envelope as it impacts the performance of the other systems or assemblies.

Factor Guidance Sample Rate (%

of components or % of pages)

First Completed Construction

Checklist

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

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

understanding of the importance of completing all checklists as the work progresses and to eliminate

systemic issues before they become problems. This is required, even though it will be included in the pre-

construction commissioning process session

100%

Pace of Construction

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

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

40%–100% for slow pace 20% to 60% for medium 5%–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 many

similar components the sampling rate decreases.

100% for a single component

5%–75% for several to many

Final Commissioning Process Testing

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

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 is required to verify OPR achievement. Therefore, with

greater complexity, the rate of sampling typically increases.

5% to10% for low complexity

10%–20% for medium complexity

20%–40% for high complexity

Criticality As the criticality of component increases, relative to achieving the OPR, the sampling rate increases to

provide a higher level of assurance that the 10%–20% for low criticality OPR will be achieved. For example, a data processing center where any downtime results in

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

10%–20% for low criticality 100%–600% for high criticality

(see Note 1)

Owner Input

The Owner’s understanding of quality-based sampling and level of assurance desired will typically have the greatest influence on the sampling rates utilized (see

Note 2).


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CxA The Commissioning Authority’s understanding of quality-based sampling and the Commissioning Process impacts the sampling rate (see Note 3)

Note 1: For sampling rates greater than 100% (e.g., extremely critical laboratory equipment

that results in loss of life if it fails), the approach is that two independent testers using different instrumentation accomplish their evaluation following the documented test procedures. Therefore, if a 400% review is warranted, then there would be four independent testers.

Note 2: It is important to understand that even if the sampling rate is 100% or greater, the

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

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


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Informative Annex C


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

Commissioning Process Provider Request for Qualifications

ASHRAE Guideline 0-2005, Annex E, outlines a recommended process for obtaining and contracting with a Cx process provider.

Setting Contractual Requirements

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

Suggested contract language must be developed for each activity applicable to a specific project or building such as:

Owner’s Project Requirements The Commissioning Plan: Basis of Design Documentation Commissioning Specifications Commissioning Design Review Construction Submittals Review Observation and Testing


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Issues Log and Field Report Systems Manual Training End of Warranty Commissioning Report Commissioning Process Report


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Informative Annex D


This annex provides an example of how to implement part of Standard 202. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow Guideline 0 and applicable Cx technical guidelines tailored to their specific projects.

Owner’s Project Requirements

The OPR is developed and defined in the beginning of the project delivery process. Information about the project is gathered, including program requirements, community context, codes and regulations, site and climate, facility context and function, facility technology, sustainability, cost, schedule, and the client’s (including owner, occupants, operators, and maintenance personnel) needs and capabilities. The OPR provides the basis from which all design, construction, acceptance, and operational decisions are made. An effective Cx Process depends upon a clear, concise, and comprehensive OPR document, which includes information to help the project team properly plan, design, construct, operate, and maintain systems and assemblies. The OPR is often developed in an OPR workshop that is described below.

The Owner is encouraged to provide a minimum of five participants that equably represent the various groups associated with the existing building or future project.

OPR Workshop Guidance

The OPR are considered the heart and soul of the Cx Process. When the OPR are not developed, the Owner, designer, contractors, and operation and maintenance (O&M) personnel each interpret the building requirements, including their individual responsibilities, from the standpoint of their own specific needs. This often creates a range of diverse views of the constructed project’s needs. Developing OPR that reflect the actual needs of the Owner, the users or occupants, service and operating units, and sometimes the community is one of the, if not the, most important aspects for successful implementation of the Cx Process.

The following sections detail an example format to follow in developing the OPR and a discussion of how to obtain the required information. Note that historically, the OPR has often been referred to as “design intent” or “project intent.”

Format

While there have been many formats used for presenting criteria for the OPR, the OPR workshop is one that has been well received by owners, designers, contractors, and O&M personnel. The workshop initially addresses general needs/requirements and progresses to specific requirements (i.e., moves from project needs to system/equipment/control needs). It is organized around and focuses upon assemblies and systems that have been identified as targets of the Commissioning Process. The workshop needs to be well organized and it is very desirable to have the results formatted for immediate input into a computer analysis program for rapid feedback on consensus of the group.


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Information from the workshop is only one of various resources from which the OPR document is developed. Following is a description of some of the information that can be included in an OPR document.

Key sections of the OPR document are:

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

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

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

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

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

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

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

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

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

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

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


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Obtaining the Information

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

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 Workshop

The OPR workshop is typically facilitated by the CxA, who elicits the primary concerns of the project team. The workshop is organized to encourage identification of all requirements, to encourage interaction and discussion among all team members, and to arrive at group consensus of priorities for the OPR. This is accomplished through the presentation of multiple questions in an ordered structure. A typical process uses a modified Nominal Group Technique workshop format. This is a formal means of gathering the highest level of consensus that approaches the real needs of the group. The procedure consists of the following steps:

Provide each question or open concept to each individual participating in the workshop.

Allow three to five minutes of quiet writing time for each individual to respond with as many answers and ideas as he/she can.

Record individual responses in a round-robin fashion – no discussion at this point, just record the responses on a visual flipchart, overhead, chalkboard, or multi-computer link to all participants.

Review all responses, consolidate similar ones, and clarify so all in the group have the same understanding of all responses.

Have individuals rank the responses for importance (1 through 5). Determine a group ranking from individual rankings.

A re-discussion of the top 10 items—and any responses ranked most important—is desired, followed by a second round of individual and group combined rating/ranking.

The questions asked during this workshop must be broad in nature, elicit discussion, result in a variety of viewpoints, and must not leave the workshop. The questions should not focus on such items as “at what temperature are you comfortable?” but should be broader, such as “how do you define comfort?” or “how will you measure the cost success of this project?” (versus a


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broader question, such as “how will you determine if this was a successful project?”).

Owner’s Project Requirements Documentation

The OPR workshop will identify key items and priorities important to the project team, the Owner, users, and the Cx Team. However, it does not provide specific values. For example, the number one OPR may be good air circulation in the rooms. It is the responsibility of the CxA to take the individual requirements developed by the project team and translate them into physical properties that can be measured, designed, and documented.

This transformation of the OPR often requires input from a variety of sources, including the design team, contractors, specialists, standards, and guidelines. Typically, the CxA has sufficient experience in the planning, design, construction, and operation of facilities to provide the oversight of such a task. If not, then experts should be retained to aid in the development of OPR.

Project Team Approval of the OPR

After several iterations and reviews of the OPR by the project and design teams, the requirements must be approved to provide the design team adequate direction for their design. It is important to distinguish development of the OPR from the traditional role of the architect in the planning or programming process. The OPR defines the criteria required for success, whereas the architect’s document may only address specific space size and occupant flow requirements. Where the OPR may state that the functional use of the facility is X, Y, and Z, the architect’s document may specify the locations of, the size of, and the flow of people through X, Y, and Z.

Summary

The OPR workshop is one means to provide consistency in the implementation of the Cx Process from project to project. It should be a topic addressed in the lessons-learned workshop during the Occupancy and Operations Phase of the Cx Process. Other techniques for developing the OPR, such as interviews and surveys, do not allow interaction between the user groups. Further, it has been shown that the results or answers are biased by the beliefs of the expert that develops the questions for the interviews or surveys. Frequently, using such techniques, the questions can be analyzed and the conclusions pre-determined whether the interviews or surveys are completed or not.

OPR Document

A general format for an OPR document is presented in this annex. The structure provided is intended to encompass the facility requirements and enable the addition of sections depending upon the systems and assemblies to be constructed and commissioned. The OPR document shall address:

a. Facility objectives, location, user requirements, size, 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.


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e. Commissioning process scope and requirements, listing of equipment, and systems to be commissioned.

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

g. Maintainability, access, and operational performance requirements.

h. Installation verification and testing requirements.

i. Project documentation and Systems Manual requirements and formats.

j. Training requirements for owner’s personnel and occupants.

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

l. Project schedules.

m. Future expansion and usage change requirements.

n. Special project requirements.

Document sections may be arranged as follows:

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

Key Owner’s Requirements – Includes a listing of the key owner’s requirements that the Cx Process will focus upon and that the Owner (Cx Team) has determined are critical to the success of the project.

General Project Description - The size and scope of the project are included in this section.

Objectives – The objectives for accomplishing this project are detailed in this section.

Functional Uses – The expected functional uses (spaces) for the facility are detailed in this section. A short description of each functional use is included to provide the context in which it was detailed.

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

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

Performance Criteria – The performance criteria upon which the project will be evaluated by the Cx Team are included in this section. Each performance criterion should be measurable and verifiable. Include subsections as appropriate to organize and explain the criteria:

General Economic, efficiencies Environmental, sustainability User Requirements Construction Process Maintainability Operations and Training Benchmarks Systems and Assemblies


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Documentation

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


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Informative Annex E


This annex provides an example of how to implement a Cx Plan from project initiation through occupancy. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow Guideline 0-2005 and applicable Cx technical guidelines tailored to their specific projects.

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

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

Commissioning Plan

Table of Contents

OVERVIEW

COMMISSIONING PROCESS DESCRIPTION

PRE-DESIGN ACTIVITIES Develop Owner’s Project Requirements Develop Initial Commissioning Plan

Commissioning Process Issues Step 1 - Identify systems and assemblies to be commissioned. Step 2. Record Issues, Schedules, Budgets, and Expectations.

DESIGN ACTIVITIES

Develop and Update Basis of Design Update Commissioning Plan Develop Commissioning Process Develop Contract Documents Develop and Review Project Specifications Accomplish Design Reviews Pre-Bid Meeting

CONSTRUCTION ACTIVITIES

Conduct Pre-Construction Meeting Contractor Submittal Review


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Construction Checklists Delivery Process Pre-Installation Checks Installation and Start-Up Checks Performance and Coordination Checks

Testing Documentation Training

OCCUPANCY AND OPERATIONS ACTIVITIES

Seasonal Testing On-Going Training Warranty Review Lessons-Learned Meeting and Report Final Commissioning Report

CONTACT INFORMATION SCHEDULE REQUIREMENTS Appendices in the initiation and design stages of the project will state the requirements and responsibilities for that deliverable. The final results and documentation for each item will be inserted in the final report. It is not necessary to include copies of documents included in the Systems Manual in the final Cx Report if that Cx report is included in the Systems Manual, but the location of the document(s) shall be noted. APPENDIX A - OWNER’S PROJECT REQUIREMENTS APPENDIX B - BASIS OF DESIGN APPENDIX C - PROJECT SPECIFICATIONS APPENDIX D - COMMUNICATION STRUCTURES APPENDIX E - ROLES AND RESPONSIBILITIES APPENDIX F - COMMISSIONED SYSTEMS [listing of systems and assemblies] APPENDIX G - COMMISSIONING PROCESS SCHEDULE APPENDIX H - PRE-BID MEETING APPENDIX I - PRE-CONSTRUCTION MEETING APPENDIX J - SUBMITTAL REVIEW APPENDIX K - COMMISSIONING PROCESS ISSUES APPENDIX L - CONSTRUCTION CHECKLISTS APPENDIX M – TESTS AND DOCUMENTATION APPENDIX N – SYSTEMS MANUAL ASSEMBLY 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 BOD should be reviewed and updated as part of each design submission during development of the design, after issue of supplementary instructions during the construction process, prior to occupancy, and after completion of acceptance testing. Sample Basis of Design Requirements to be contained in Owner’s Project Requirements Introduction: The BOD is a written document that shall detail the design team’s approach to the OPR. Process:

The general process for producing the BOD shall be:

1. The OPR shall provide a list of required information and the format for the BOD to the design team prior to the start of design.

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

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

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

5. The BOD shall be updated by the design team to reflect changes to design criteria and systems during the subsequent phase of the project and the reason for those changes.

6. The design team shall work with the Owner and CxA to resolve review comments.

7. The BOD shall include signature blocks for acceptance by the Owner and CxA.

Basis of Design Content

The content of the BOD shall be as follows: <The following BOD contents will be edited for each project based on discussions between the Owner, CxA, or other parties. Ideally, the requirements for the BOD, 3rd party Cx, sustainable rating certifications, measurement and verification, energy modeling, and other non-traditional design elements are identified prior to receiving proposals for services from the design team. HVAC


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Schematic Design Occupancy schedule (time and number of people) Climatic design criteria Indoor design criteria, including tolerances (allowable temperature and humidity ranges) Design diversity per system Redundancies Applicable building codes Additional design requirements (LEED and energy goals, other special requirements) Sustainable code requirements Design narrative, including description of how each sustainable design requirement is

met Controls system narrative Renewable energy systems narrative

Optional Design narrative (three system options described in sufficient detail for energy modeling) Ventilation calculations for each above system option

Design Development Preliminary energy modeling report Ventilation optimization narrative ASHRAE 62.1 calculations Heating and cooling loads calculations (input and output files) Equipment cut sheets (equipment around which the design was based) Control schematics, database, points list, sequences, alarm conditions, and operator

interface elements Construction Documents

Any modifications to Design Development BOD

Lighting Schematic Design

Design power capacity (W/sf) Design illumination levels (FC) Lighting performance goals and standards Lighting and lighting control narrative Anticipated lighting power density (LPD) for each space type

Design Development Lighting calculations Power load calculations Lighting control zoning diagrams Lighting system control information distributed to potential suppliers

Optional Short circuit study

Construction Documents

Ensure lighting controls CDs include: Finalized spec language Dimension locations of ceiling-mounted sensors Controls initial calibration criteria Defines the timing of final calibration (for daylighting controls) after partitions/furniture in

place Defines initial scheduling or time clock requirements Identifies interface coordination requirements


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Defines any other programming such as scenes, overrides, or special events

Other Systems Develop BOD requirements for other systems as required by the OPR.

Format and Organization

The format and organization of the BOD shall detail the design response to the OPR requirements as follows:

1. Major sections shall include <edit as appropriate for each project> Envelope Systems, Interior Systems, Electrical and Lighting Systems, HVAC Systems, Renewable Energy Systems, and Plumbing and Service Hot Water (SHW) Systems. Within each major section shall be sub-sections labeled for each required design submittal (Schmetic Design, Design Development, etc).

2. An updated BOD shall be required to be submitted with each design submittal. Updates shall include descriptions of changes to the design since the previous submittal, the reasons for those changes, and additional detailed information that becomes available as the design progresses. Design submittals for this project include <edit as appropriate for each project> SD, DD, and 50%, 95%, and 100% Contract Documents.

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

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

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

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

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

Acceptance

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


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Informative Annex G


Commissioning Specifications

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

1. SPECIFICATIONS FOR THE COMMISSIONING PROCESS

1.1. This annex provides guidance on writing specifications for Cx Process activities to be performed by construction contractors. A guide specification is included with the assumption that the construction contractor is involved only during the construction phase and for the correction and warranty period.

1.2. Cx is a quality-oriented process for achieving, verifying, and documenting that the performance of facility systems and assemblies meet defined objectives and criteria. The Cx Process begins at project inception and continues for the life of the facility through Occupancy and Operations. During Pre-design, the OPR are determined and documented by the Cx Team, which includes the Owner, CxA, design professionals, operation and maintenance personnel, occupants, and users. Throughout each phase of the project, deliverables (drawings, specifications, submittals, construction, training, documentation, etc.), are verified against the OPR.

1.3. An important document created during the Cx Process is the BOD document or report. The design professionals create this document or report during the Design Phase. The BOD records the concepts, calculations, decisions, and product selections to meet the OPR and to satisfy applicable regulatory requirements, standards, and guidelines. It can include energy, environmental, sustainability, and other certification criteria, both formal and informal. The BOD includes both narrative descriptions and lists of individual items that support the design process.

1.4. ASHRAE Guideline 0-2005 provides guidance on content and basic format. While the OPR are owner-developed criteria, few owners have the resources to develop the OPR. Owners without these resources depend on the Cx Team (see a definition and discussion of the term Cx Team in the Guideline) to assist them in developing the OPR.

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

1.6. The construction contractor's obligation is to construct the building and its systems and assemblies according to the requirements prescribed in the Contract Documents. There normally are no performance requirements relating to the OPR stated in the Contract Documents. The exceptions to this include situations where contractors are


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required to provide designs for systems or assemblies to be signed and sealed by licensed professionals.

2. THE COMMISSIONING AUTHORITY

2.1. The primary role of the CxA is to verify achievement of the OPR throughout the project, from Pre-Design Phase through Occupancy and Operations Phase. The Owner could perform the CxA role.

2.2. When the Owner’s organization cannot perform the CxA duties with qualified personnel, then the CxA should have a separate professional services agreement with the Owner, as this avoids conflicts of interest and provides independence from the other parties (the Owner’s project manager, designers of record, construction managers, suppliers, and construction contractors). This professional services agreement defines the duties, rights, and responsibilities of the CxA for each phase of the project. This separate relationship allows the CxA to act independently as director of Cx Process activities, to focus on achieving the OPR, and to communicate directly with the Owner.

2.3. The CxA is a group of personnel with expertise and experience in the design, construction, and operations of the various systems and assemblies included in the project. These personnel are led by an individual who has expertise and experience in successfully implementing the Cx Process.

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

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

3. ORGANIZATIONAL STRATEGY FOR INCLUSION OF COMMISSIONING ACTIVITIES IN THE SPECIFICATIONS

3.1. Specifications (as a part of the construction Contract Documents) should include only the Cx Process Activities the contractors perform during the life of the construction contract, including the work required during the correction period and for warranties.

3.2. Supplementary Conditions: modify the General Conditions of the Contract for Construction in a document titled "Supplementary Conditions." Among other provisions, define the CxA and include the CxA's duties, rights, responsibilities and limits of authority, and additional requirements for substantial completion. AIA Document A511, "Guide for Supplementary Conditions," provides guidance about how to write Supplementary Conditions.

3.3. General Requirements for the Cx Process: Specifications in Division 1 include the general requirements for contractors relating to Cx Process activities. The "Summary" Section describes, in general, how the contractors, separate contractors (if there is more than one Prime Contractor), or the Construction Manager must interact with the


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CxA. Administrative procedures for the Cx Process are specified in Division 1 section "Commissioning."

3.3.1. The remainder of the specification language, with the exception of Division 1 sections for temporary facilities and controls, should be mute on the subject of who must perform the work.

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

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

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

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

3.4.1.1. Installation and Startup: include requirements for involvement of factory-authorized service representative in individual sections and for the completion of Construction Checklists.

3.4.1.2. Testing: include requirements to support the CxA in verifying test results, ranging from coordinating testing, to witnessing the test, to utilizing contractor personnel and test equipment to verify the test report.

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

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

3.4.2. In each section include an article under General that refers to Division 1 for Cx Process activities for system or assembly requirements. An example is as follows:

1.XX COMMISSIONING PROCESS ACTIVITIES

A. The roofing materials specified in this section are included in the Commissioning Process as a part of the building envelope system and roofing subsystem and integrated with flashing, coping, and insulation.

B. Complete the Construction Checklists and perform tests specified in Division 1 section “Building Assemblies Commissioning Requirements.”


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Informative Annex H


Design Verification Report

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

Design Phase Submissions

A critical step in the Cx Process is the review of the design submissions from the design professionals. It is important to remember that the role of the CxA is to verify that the OPR are met and that the system is designed in a quality manner. There are three distinct reviews that are completed on a drawing set – general, coordination, and field specific. A review of the specifications is also required.

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

The general steps of completing a drawing review are as follows:

General Review

1. Review the OPR: since the drawing review is to verify the OPR were met, prior to the review, the OPR should be reviewed to familiarize the reviewer with the key criteria of the facility.

2. Document the General Review Criteria: the criteria from which to accomplish the general review of the submission must be documented. The criteria should be based on general quality characteristics and specific OPR criteria. The general quality characteristics should include items such as:

Continuation of items (ductwork, pipes, 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.

3. Accomplish Quick General Review: the general review is intended to familiarize the reviewer


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

Coordination Review

1. Determine Sampling Areas: for each floor plan area (i.e.: if there are five sheets for each floor, then there are five floor plan areas for each floor) select a single 10” by 10” square randomly. A simple way to do this is to divide the drawing sheet into 15 squares (5 by 3) and select square number 3 on the first sheet (area) and then 5, 7, etc., for each remaining area. This selection is accomplished typically using the architectural sheets.

2. Select Review Samples on Drawings: using the sampling strategy chosen in Step 1, mark the sample areas to be reviewed in each area. This should be accomplished for each trade (landscaping, architectural, structural, plumbing, mechanical, electrical, etc.).

3. Accomplish Coordination Review: for each area, compare the squares between each discipline. The intent of this review is to identify coordination problems with the placement and installation of components. Items of specific interest include:

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

Accessibility to equipment/components for maintenance/replacement

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

Elevations provided where multiple systems are placed in the same area

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

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

Field Specific Review

1. Determine the Review Sampling Procedure: use random sampling that selects every xth square on the drawings to be verified. Squares that are completely blank (no walls, equipment, etc.), are not included in the counting. For example, if there are 10 pages of drawings and each drawing is split into 15 grids (5 x 3), there will be 150 potential grids to review. If a 20% sample rate is desired, then 30 grids would be reviewed, or every 5 grids. The starting grid should be chosen using a random selection process (die, 1-6 in a hat, etc.).

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

3. Select Review Samples on Drawings: using the sampling strategy chosen in Step 1, mark

the sample areas to be reviewed.

4. Accomplish Detailed Statistical Review: using the review criteria from Step 2 and the selections from Step 3, accomplish a detailed review of the drawings. This includes verifying that the specifications match that shown on the drawings (see below for specification review


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details). For example, if a VAV box is in the selected square, the steps in accomplishing the detailed review might include:

a. Review design calculation inputs for matching architectural assumptions and the OPR.

b. Compare calculation results with the total airflow of the diffusers downstream of the VAV box and with the VAV box schedule.

c. Compare location of VAV box with maintenance requirements of the selected make and model (BOD).

d. Compare VAV box location on drawings with requirements in the specifications.

e. Review the OPR for other issues that the VAV box could impact.

1. Document Concerns: during the review of the drawings, keep detailed notes of problems found or concerns with certain items. Also, at the end of the review, a general summary of the quality of the drawings should be developed. A letter detailing the quality of the drawings should then be sent to the design professionals and the Owner with specific recommendations and directions given.

2. Review the Drawing Review Procedure: after the drawing review is completed, this document should be reviewed and modified to improve the process for the next time.

Specification Review

1. Determine the Review Sampling Procedure: the purpose of this review is to determine the general quality of the specifications. During the Field Specific Review, the actual details are checked. The sampling procedure should check approximately 10% of the specifications. The easiest way of doing this is to check every xth page of the specifications (i.e., if there are 100 pages, check every 10th page).

2. Accomplish General Review: the review should focus on the quality of the specification, specifically:

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

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

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

Are the directions clear and concise?

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

Design Professional Actions

Comments provided by the CxA need to be formally replied to by the design professionals. If systemic issues are identified during the CxA’s review, the design process should be stopped and the issues resolved. It is expected at the next submission, that the CxA will again use random sampling that will result in a review of different areas on the drawings and the


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specifications and that will identify whether the systemic issue has been resolved. Back-checking of the specific items may be appropriate, but not as the sole means of verifying resolution of the issue. Design Verification Report

The design verification report should contain the following information:

Project title, number, and date of review 1. Executive Summary.

Include a summary of the process used for the review and for processing the comments and responses.

2. List of documents reviewed by title and issue number or date. Include a list of all the documents reviewed. 3. Issues, comments, and variances from OPR. Include copies of all reviews, distribution lists, and responses. 4. Coordination of drawings and systems. Include a copy of the reviews on drawings and systems coordination. 5. Access, constructability, and maintainability questions and recommendations.

Include a copy of the reviews on systems and assemblies access, constructability, and maintainability.


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Informative Annex I


Submittal Verification Report

The review of the manufacturer’s and contractor’s submittals is intended to verify conformance to the project OPR serve as a quality process for the Owner and gather information for the testing and Cx of the equipment and system.

The use of sampling in the submittal review and the sampling process must be defined in the OPR. The Cx Plan can also add requirements and information to the review process and procedures. See Annex B in this standard for additional information on submittal reviews.

The submittal verification report should contain the following information:

Project title, number, and date of review 1. Executive Summary.

Include a summary of the process used for the review and for processing the comments and responses.

2. Descriptive outline of submittals reviewed.

Include a list of all the documents reviewed. 3. Issues, comments, and variances from OPR. Include copies of all reviews, distribution lists, and responses. 4. Coordination with project systems. Include a copy of the reviews on submittals and systems coordination. 5. Conformance to functional requirements and maintainability.

Include a copy of the reviews on systems and assemblies access, constructability, and maintainability.


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Informative Annex J


Construction Observation and Testing Checklists and Report

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

2. PERFORMANCE These definitions shown above apply to all types of systems and assemblies and are not tied to any particular discipline in the construction process. Performance as a generic term can be


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identified to include all physical (and physically measurable) performance parameters such as leak tightness, electrical efficiency, solar absorption efficiency, vibration isolation, and the like.

Note that color, weight, or size are not performance parameters. They are physical properties of the system and assembly, and as such, are not performance tested. These properties will affect the performance. For example, the color of a solar collector will influence its conversion efficiency, but the resulting efficiency is the performance parameter that is tested, not the color. Next to these measurable parameters, there are also logical or operational parameters that can be tested. Example: the correct reaction of a security system that responds to an access key card being swiped at a door is a logical performance test – the performance being tested is the control system response rather than the physical operation of the door lock itself.

3. LEVELS OF COMPLEXITY

To test systems and assemblies in a systematic manner, it is important to initiate testing at a low level of system or assembly complexity, and work up to the highest level. This concept is difficult to define exactly since the definition and meaning of terms such as component, system, and assembly changes depending on the viewpoint of the observer:

As an example, the security system test described above could proceed in several steps: the lowest level of complexity tests whether a door lock mechanism operates when power is applied and correctly manages to lock/unlock the door as desired. A follow-up step might be a test that examines the interaction of one door/card reader combination and verifies whether the door lock is triggered by the introduction of the card. A higher level test still would be the verification of multiple access cards with different access rights linked to schedules (card A is allowed entry 24/7, card B is only allowed access from 8AM to 5PM).

For every system or assembly, testing can thus be conducted by defining what levels of complexity are to be addressed, what actions are taken to challenge a system, and what responses are expected. The definition of levels of complexity and levels of systems depends largely on the expertise of the author of test protocols and the wishes of the Owner as expressed in the OPR. As an example of system definitions, a test protocol could be based on using a chiller as a component in a chiller plant. The system in this case is the plant, components are chillers and pumps. Low level tests would examine whether the chiller operates when commanded to do so; higher level tests would examine whether multiple chillers stage correctly in response to load. However, if additional attention to detail was desired, each chiller itself could also be defined as a system consisting of multiple compressors, variable speed drives and on-board controls with potentially far more complexity than a chiller plant consisting of 2 chillers and 2 pumps. The response of the chiller system to sudden load changes without freezing could thus be tested, or the ability to maintain a steady chilled water temperature within tight tolerances, or the ability to restart quickly after a power outage. The reverse could also be true – in a case where multiple, existing chiller plants are interlocked as part of a new project to provide additional redundancy, neither the testing of an individual chiller nor even the testing of each chiller plant may be required; instead, the interaction of the


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various available chiller plants on campus and their ability to correctly respond to failures of one plant by increasing the capacity of another plant may be appropriate. Thus, the number of levels of complexity and the number of levels of systems versus components or sub-systems is entirely project dependent. The clarification of testing levels should be provided by the author of the tests, and the Owner should make a decision concerning the level to which such possible testing should be conducted. Typically, a fairly high level of expertise is required to understand not just the available test methods and cost, but also to make an appropriate selection of which type of test will best verify whether the actual owner’s needs will be met: The mental step of translating the Owner’s wishes (as expressed through the OPR) into performance criteria that can be tested and verifying that test protocols encompass all of those performance criteria is not trivial. Care should be taken to ensure that those accepting test protocols before their execution, such as the Owner, are assisted by technical personnel able to provide background information and 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 degree of business continuity because they do not have a critical facility such as a data center. In this case, creating test protocols that examine the chiller’s ability to restart quickly is entirely possible, but it adds little value. Conversely, failing to include a test protocol for quick restart in a data center project may fall short of meeting the Owner’s needs – thus, all tests could be written and perfectly executed while still failing to meet the desired level of performance. Despite the difficulty in describing the boundaries of systems and assemblies exactly, a general description of the execution of tests in order of complexity is as follows: tests should be conducted in order of complexity, starting with the simplest systems or assemblies. Tests of simpler systems and assemblies should be passed successfully before tests of more complex systems and assemblies are undertaken. In general, the level of complexity is proportional to the number of components and physical or logical interactions between components. For purposes of Cx, only those physical or logical interactions which are captured in test protocols determine the relative complexity of the system or assembly; in other words, complicated “black box” systems or assemblies are relatively simple from the point of view of the Cx agent, even though they may be complex from the manufacturer’s or contractor’s point of view. The definition of what physical or logical interactions are captured in test protocols is the responsibility of the Owner, with substantial support from the CxA and related technical experts on the Cx Team.

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


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

Construction Observation and Testing Checklists and Report

OVERVIEW

Construction Checklists consist of two general types:

Component/Equipment Based: these Construction Checklists are utilized for components and pieces of equipment that are delivered, installed, and started up during construction. There is an individual checklist for each individual component or piece of equipment.

System/Assembly Based: these Construction Checklists are utilized for systems and assemblies where separate checklists cannot be applied to sub-components of the system or assembly. There is a single checklist for the entire system, often assembled around the sequence of operation.

For each Test Procedure, Test Data Records shall be developed. Test Data Records capture test data, observations, and measurements. Data may be recorded on photographs, forms, or other means appropriate for the application. The following information shall be recorded:

1. Test number.

2. Date and time of the test.

3. Indication of whether the record is for a first test or retest following correction of a problem or issue.


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4. Identification of the system, equipment, or assembly under test. List the location and the construction document designation.

5. Conditions under which the test was conducted.

6. Expected performance of the systems and assemblies at each step of the test.

7. Observed performance of the system, equipment, or assembly at each step of the test.

8. Issue number, if any, generated as a result of the test.

9. Dated signatures of the person performing the test and of the witness, if applicable.

SAMPLE [insert equipment/component name] CHECKLIST

TAG ID: Location: Date:

General Instructions:

1. This form is to be completed as the work is completed.

2. Section 1 – Model Verification upon delivery of equipment/component to either the jobsite or storage location.

3. Section 2 – Pre-Installation Checks just prior to initial installation.

4. Section 3 – Installation as installation progresses.

5. Section 4 – Fill in performance data and initial. There are a number of websites of testing and Cx organizations and agencies that have inspection and testing forms that can be adapted for specific needs and projects.


Informative Annex K


Issues Log

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


Informative Annex L


Systems Manual

This annex provides an example of how to implement part of Standard 202. It is not intended to be a comprehensive representation or a best practice example. Practitioners applying the Cx Process should carefully follow ASHRAE Guidelines 0-2005 and 1.1-2007 and applicable Cx technical guidelines tailored to their specific projects.

Developing the Systems Manual encompasses gathering all of the information related to the systems, assemblies, and the Cx Process and incorporating it into a usable information resource, with indexes and cross references. This resource shall include the final OPR, BOD, the final Cx Plan, Cx Process Report, manufacturer installation manuals, manufacturer O&M manuals, system schematics, verified record drawings, and test results. This information is edited and organized to focus upon the key systems (roofing, walls, fire alarm, chilled water, hot water, etc.), in the building. Coordination with O&M personnel in developing standard formats and divisions (shops) is accomplished to simplify future Systems Manual development.

Also included in the Systems Manual is the development of periodic maintenance and information for insertion into a computer maintenance management system (CMMS), including equipment make and model information, checking requirements, maintenance requirements, and troubleshooting items.

The CxA shall be responsible for verifying the development of the Systems Manual.

The entity responsible for developing the Systems Manual shall include all items involved in the project and capture the system and assembly data in either an electronic or printed version. In addition, printed operations, service, maintenance, spare parts list, and repair manuals may be provided. This entity (owner, contractor, design professional, other) shall have the skills of design, construction, and operations required to develop a cohesive Systems Manual.

The required details for a full Systems Manual are enhanced in each of the technical Cx Process Guidelines. The Systems Manual will have multiple sections depending upon the number of systems focused upon during the Cx Process. The Systems Manual contains information on the OPR and documentation of building design and construction, along with operational requirements, maintenance information, training and testing documentation for the use of building operations, and maintenance and optimization of the facility over its useful life. The format and content of the Systems Manual provided in this standard can be effectively used in both new construction and for assembling one for an existing building, even if the building is not commissioned.

Systems Manual Preparation Objectives The objectives of the systems manual is to:


1) provide the necessary information to the facility operating staff and the maintenance function to understand the design and construction of the building, and how to operate and maintain the building,

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

3) provide a documentation source to be used in training materials, and

4) provide documentation for building performance improvement and ongoing commissioning. Systems Manual Documentation Requirements The Systems Manual process captures project requirements, design documentation, construction details, validation and testing results, and training programs as the information becomes available. Additionally, the recommended operating and maintenance procedures and on-going documentation requirements are assembled and included. Changes to the manuals are expected as the building maintenance systems are developed and changes to the systems occur.

The Systems Manual contains the following sections in the order of availability and usage:

I. Executive Summary

The Executive Summary contains an overview of the building design, construction, and operational requirements. The information is intended to provide general guidance on the intended operation, performance, and maintenance of the building in conformance to the Owner's Project Requirements and/or Current Facility Requirements.

The design team, along with contact information, is also provided to facilitate information transfer on original designs and maintenance and optimization.

II. Facility Design and Construction

1. Owner’s Project Requirements (OPR)/Current Facility Requirements (CFR) Insert final copy of OPR/CFR developed and revised during the commissioning process.

This provides the operations and maintenance staff, as well as future owners, the information on the original intent for the design and use of the building.

2. Basis of Design (BOD)

Insert final copy of BOD document developed during the commissioning process. This provides the operations and maintenance staff, as well as future owners, the information on the design of the building.

3. Construction/Project Record Documents

Insert final program and design documents, and insert or describe locations of record drawings. Digitized systems manuals can also contain copies of the record documents. This process minimizes the loss of these documents.

4. OPR Building Operation Schedules and Set Points Insert a copy of the Owner’s intended building operating sequences, schedules, and set points. Insert copy of final approved and verified sequences of operation for equipment and


systems, along with limitations to operation. Provide sequences for off hours and emergency conditions. Provide set points along with tolerances for system operation. Describe computer generated trend logs for system and space conditions.

III. Building, Systems, and Assemblies Information

1. Specifications

Insert final copy of facility and equipment design specifications.

2. Approved Submittals Insert final copy of specific approved submittals by specification section sequence.

3. Manufacturer’s Operation and Maintenance Data Insert manufacturer provided installation and O&M manuals that have been verified and localized to the installed building system or equipment by specification section sequence.

4. Warranties Insert system and equipment warranties arranged by specification section sequence.

5. Controls Sequence of Operation and Integrated Systems Performance Insert descriptions, drawings, and diagrams of building controls, interconnected systems,

and equipment with interoperability limitations.

6. Contractor/Supplier Listing and Contact Information Insert a listing of all contractors and major suppliers, including address, phone, and email to facilitate repairs and replacements.

Include emergency information on procedures and locations for building shut down and other critical operations.

IV. Facility Operations

1. Facility Guide, including: Operating Plan; Building and Equipment Operating

Schedules, Set Points, and Ranges; Sequences of Operation and Limitations; and Emergency Shut Down Actions.

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

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

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

Insert a copy of routine building operations maintenance requirements.

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

2. Maintenance Procedures, Checklists, and Records

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


3. Maintenance Schedules

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

4. On-going Commissioning Operational and Maintenance Record Keeping

Include on-going commissioning and optimization procedures and documentation to monitor and improve the performance of facility systems.

5. Janitorial and Cleaning Plans and Procedures

Insert a copy of facility cleaning and janitorial plan with procedures and intended chemicals and equipment.

6. Utility Measurement and Reporting

Include description of utility metering and monitoring systems.

Provide document formats and procedures for tracking utility usage and reporting this information to meet owner’s and jurisdictional requirements.

V. Training

1. Training Plans and Materials

Include instructions and procedures for the use of appropriate sections of the Systems Manual for training for building operations and maintenance. Include schedules for the production of the systems manuals.

Insert copy of training plans used for each type of equipment along with session syllabus used.

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

2. Training Application and Troubleshooting

Include available training documentation on the operation of the systems and equipment, along with appropriate trouble shooting instruction.

3. Training Records

Insert records of training, schedules, sign in sheets, etc.

VI. Commissioning Process Report (Format shown in Annex O)

1. Commissioning Process Plan(s)

Insert the final Commissioning Process Plan and completed Commissioning Process Report with documents and verification and testing forms and records for each building and system and assembly included in the Cx Process.

2. Testing Reports

Insert copies of all relevant manufacturers and installers testing reports. This creates a unified record of all required testing performed during purchasing and installation.


3. Validation Forms—Completed

Insert copies of installers and commissioning authorities completed validation checklists. This provides a record of installation checks and observations for future reference.

4. Performance Forms – Completed

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

5. Issue Logs and Item Resolution

Insert a copy of all issue logs with resolution or status of each item. This provides a record of problems and issues found and resolved during the design and construction process for future reference.

6. Open Items

Insert a list of any open items and seasonal or additional testing required.


Informative Annex M

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

Training Plan and Records

Pre-Design Phase

Training Requirements and Implementation begin at project conception and are part of the OPR. At the implementation stage, the Owner needs to address the source of operating personnel, in-house or out sourced labor and services, and the level of responsibility assigned to the Facilities/Project Manager for the site. OPR requirements for extended warranty and service agreements with the Contractor or OEM (original equipment manufacturer) need to be addressed at the time of project inception.

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

The criteria used to determine the minimum level of acceptance required by the Training OPR will guide the development and coordination of the training of personnel who are assigned responsibilities of maintaining the facility systems performance in the OPR. This includes, for example, energy, electrical, plumbing, fire, and safety and indoor environment and occupant comfort requirements that are related to the facility systems. During the Pre-design Phase, the initial training agenda needs to be developed to a level that reflects the training required to meet the OPR. This provides the initial guidance to the design team. It includes:

Establish development requirements for the Training Plan.

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

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

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

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

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

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

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

Training responsibilities and the position or person assigned these responsibilities must


be clearly defined in the OPR and reviewed before moving into the Design Phase. This is of extreme importance when essential equipment or systems are provided by the Owner.

The design needs to satisfy the operating personnel for the following OPR topic areas, including consideration of training required to continuously achieve the benefits of designs that optimize each requirement.

Reparability

Interchangeability

Accessibility

Replaceability

Maintainability

Extendability

Adaptability

Lifecycle Replacement Sequence

Cost Analysis of Component Servicing and Maintenance Cycles

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

Controls at the system and component level are essential for all systems and assemblies. There must be special effort directed at the training requirements as the design develops, versus considering the training afterward as a result of the controls design.

Beyond mechanical maintenance, the skill set required at each level of the operating hierarchy for Direct Digital Control (DDC) systems needs to be defined in the OPR. These DDC systems have various levels of control and hierarchy; some levels require computer programming skills that are beyond the means of an owner to support. At a minimum, the OPR should define the responsibilities and training necessary for in-house and out-sourced contractors (service plan) of site DDC systems. The level of interoperability and any additions to interoperability not currently used at the site or organization requires additional training for the systems to be successful. Issues addressed in the OPR should include the following:

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

DDC service plans and warranty requirements

Procedures for maintaining record documents and service records of DDC Systems

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

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

Design Phase

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


Special note should be given to the training and service requirements of equipment and systems not provided by the project contractor. This is usually owner provided equipment or systems that occur outside the project submittal review. In some cases, there may be two or more construction projects, with separate contractors or in-house construction. This requires coordination of training needs to prevent duplication and acceptable scheduling of trainers and trainees.

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

During the Design Phase, the design professional should clearly define all special requirements for storage of equipment or systems prior to installation. Training necessary to maintain the equipment prior to owner acceptance is identified and monitored by proper application of the Contractor’s QA/QC program. Special training of contractor personnel handling equipment with special requirements should be monitored by the CxA, demonstrating training and competence meeting the OPR during all periods that the equipment and systems are operated during construction and warranty. Equipment must be maintained to prevent any degradation prior to turnover to the Owner for operations.

Contractor Special Training, Licensing, Certification (Construction Phase)

After the notice to proceed, the Contractor is required to provide initial submittals in the stated period of time. One of the initial submittals usually required is the Contractor’s QA/QC Program. This program outlines the methods used by the Contractor to assure his personnel have the proper Training, Licensing, and Certifications to perform assigned tasks. In addition, the criteria necessary to maintaining the project-specific OPR are identified in the Contractor QA/QC Program. On a frequent basis, the CxA should verify and note compliance by the Contractor to required Training, Licensing, and Certification requirements or activities and other quality checks identified in the Contractor’s QA/QC program or required by the contract.

Certification Training for procedures in the use of unique equipment or assemblies should be required at locations other than the actual job site. In such cases, the design professional may require verification of current and up-to-date certification and valid accreditation documents for the organization or individual issuing the certification. The role of the CxA in verification of proper training for certification is to randomly check the documentation necessary to demonstrate compliance with the OPR. The requirement for ensuring that the proper documentation is valid remains with either the design team or owner’s project or construction manager.

Construction Phase Training

There should be an initial training session during the construction period and prior to contractor training for the Owner’s EOM and users by the design team on the OPR and BOD, including system limitations. This is especially required for all mechanical and electrical systems that are critical to the success of the facility.

The CxA should hold a training development workshop with the EOM (including any service contractors) several months before the final training sessions are scheduled and the scope of training-sessions content is set. This workshop is for gathering information from the EOM staff to determine the actual training requirements based upon the approved equipment, assemblies, and systems for the building, upon a walk-through of the building, and upon the review of final plans and specifications. This may require an increase or decrease in actual training requirements than the requirement included in the contract documents. This is frequently related to the final equipment, components, and HVAC&R systems selected by the


Owner, design team, and Contractor.

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

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

The CxA should review the Contractor’s schedule for all required training. Resources and time for training can place great demand on both the Contractor and the EOM and service firm personnel at the end of the Construction Period. Building operating systems are especially impacted because of a high level of training required. Early training must be scheduled for project success. The CxA must document that training and the required level of competence learned in the training meets the OPR.

The Contractor is responsible for start-up, testing, adjusting, balancing, Systems Manual, and training for all systems and equipment prior to the functional testing or measurement and verification of these systems and equipment. The Cx Team must verify through assembled documentation that the contractor personnel are trained and competent to perform these activities.

The Contractor must begin early training on any major changes in the automated preventive maintenance and service program that is included by systems installed and required by the contract.

Testing and Verification demonstrating compliance of systems and equipment to the OPR should be witnessed by the Owner’s O&M staff as part of Contractor’s Training Plan. The CxA facilitates the monitoring of functional and Cx tests by designated owner personnel performed as part of the General Contractor’s acceptance plan. The benefit to the Owner in monitoring these tests are lessons learned and corrective review of O&M procedures prior to Substantial Completion and operation of the systems by the Owner. Using the information developed in this start-up phase, the Owner and the CxA should evaluate the abilities of in-house personnel to perform the O&M necessary for successful operation of various systems and to prevent future warranty issues. A value analysis of OEM service programs and maintenance by the CxA during this period is useful information for the Owner’s consideration. Documentation gathered by the CxA during this monitoring phase is useful to the training program and in the acceptance phase.

The majority of the systems and assemblies training should occur in the construction phase, prior to Substantial Completion. The initial training is developed at a level to ensure that the Owner’s O&M personnel are competent in the proper operation of the systems and equipment during occupancy. The training prior to Final Acceptance takes place after the facility has been occupied during the warranty period between Substantial Completion and Final Acceptance. This allows for training in seasonal operation and site-specific issues to be addressed in the training program. Using a two step training program, the CxA will facilitate the coordination of site specific issues:

Warranty/Guaranty

Service Call-up or Call-back

Systems and Equipment Performance

Seasonal Transition of Equipment


Spare Parts Inventory

Equipment or Systems Service Bulletins

Life-cycle analysis

Modified Preventative and Predictive Maintenance Procedures.

Construction Phase Close Out

As systems are completed, the Contractor may be required to or may elect to use these systems to maintain an environment at the worksite meeting specified requirements in executing the construction process. Prior to turnover, these systems operated by the Contractor need to be validated for proper O&M by contractor personnel. The validation of operating equipment at turnover must include documentation that the Contractor Personnel were properly trained in both operation and maintenance of the system and that the equipment maintenance schedule was maintained during the period of contractor operation. Lessons learned and information gathered on the operations of the systems during start-up and operations are valuable to the Owner and must be included in the turnover training of the Owner’s Operating Staff and coordinated by the CxA before the Owner assumes these responsibilities.

Occupancy and Operations

At Substantial Completion and Owner Operations and Occupancy, the major training responsibilities become the responsibility of the Owner. Specifically, it will become the responsibility of the Owner’s Facility Chief Engineer and Building Manager. The CxA/Chief Engineer/Building Manager relationship in this phase will coordinate the training requirements to implement and optimize the performance of:

Existing Service and Outsourcing of Service Plans and Programs

Organization and Training of O&M staff

Qualification of Training Requirements of staff positions

Warranty/Guaranty implementation and enforcement

Service Call-up or Call-back tracking and evaluation

Systems and Equipment Performance in: o Measurement o Verification o Analysis (Benchmarking and Life-cycle) o Optimization

o Re-commissioning Cycle

o Optimization Seasonal Transition of Equipment and tracking impact of weather cycles and systems

performance

Spare Parts Inventory and response times for service

Equipment or Systems Service Bulletins and training updating

Life-cycle and Maintenance Budget Planning

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


The Facility/Building Manager will assess the benefits and costs of maintaining a Training Cycle that represents the interests of the Owner. The CxA can be of great benefit to the Building Manager in the initial organization of Construction Documents, providing a method to keep training up-to-date with the cycle of changes in equipment and use of the building throughout the lifecycle.

Summary

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

Coordination and Organization of Responsibilities for training assigned to a position

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

Proper application of Preventative and Predictive Maintenance of Systems

Organization of application of Service Bulletins and OEM call-backs

Clear application of system performance and degradation information

Optimal benefits from lessons learned

Coordination of Personnel Changes and Mentoring for a position.

a) Instructor qualified to train on the specific topic areas for each training session are to include the following:

1. Specific experience of the systems, equipment, and/or project knowledge that relate to the instructional topics.

2. Experience related to the systems, subsystems, equipment, and assemblies.

3. Formal education and factory training.

4. Skills related to the operation and maintenance of systems, subsystems, 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.


Informative Annex N


End of Warranty Commissioning Report

Post Occupancy and Operations Cx Process objectives include the following:

(a) Using the CxA’s project knowledge and experience to minimize contractor call-backs.

(b) Providing on-going guidance on O&M to achieve the OPR.

(c) Completion of seasonal testing of facility systems and assemblies.

(d) Documenting lessons learned from applying the Cx Process for application to the next project.

(e) Acceptance of Post Occupancy and Operations Cx Process activities.

Post Occupancy and Operations Cx Process activities described in this activity, that are to be performed by the design team and special consultants, shall be included in the scope of services described in the “Owner – Design Professional Service Agreement.” This shall include additional training, seasonal tests, problem resolution, design evaluation, site visits, updating drawings and specifications, or other requirements performed during the Post Occupancy and Initial Operations period defined for the project.

During the Post Occupancy and Operations, the Cx Team works to verify the on-going compliance with the OPR.

Essential team members during the Post Occupancy and Operations include owner’s representatives, the CxA, design professionals, contractors, and construction/program/project managers.

Responsibilities of the Cx Team during the Post Occupancy and Operations Phase shall include the following:

(a) The CxA shall aid in the coordination of the call-back of contractors during Post Occupancy and Operations.

(b) Verification of the performance of all systems and assemblies being commissioned shall be completed during the Post Occupancy and Operations Phase. The CxA shall determine when this verification shall be performed based on weather conditions, load conditions, or occupant interactions that are required to complete the activities.

(c) Additional training shall be performed during Post Occupancy and Operations following the deferred verification of these systems.

(d) Determination that the system and assembly operations meet updated OPR.

(e) Verification that the Systems Manual is updated following completion of all seasonal and deferred testing.

(f) Complete the final project Cx Process Report. The requirements for a successful Cx Process Report include:


Assembling a copy of all added documentation and testing results

Updating the OPR and BOD documents as necessary

Verifying the existence and completion of the warranty process on all applicable systems and assemblies

Adding content not available or incomplete at the end of Construction

Adding the above documents and coordinating with the completion of the Cx Process Report.


Informative Annex O



The Cx Process Report is the documentation of the Cx work and results accomplished during construction. The Cx Process Report contains the following:

(a) Identification of any systems or assemblies that do not perform in accordance with the OPR. For various reasons, the Owner may choose to accept performance that is at variance with the OPR, either permanently or until schedule and budget constraints allow for correction. The Owner’s acceptance of these conditions should be documented along with the environmental, health, safety, comfort, energy, and operating and maintenance cost impacts. The OPR must be updated to match the revised expectations.

(b) Evaluations of the operating condition of the systems at the time of test completion.

(c) Construction Checklist completion and verification summary.

(d) Results from the Issues Log, including the descriptions of issues and the measures taken to correct them. The description should assess the importance of the issues and estimate the value of their correction in terms of environmental impact, improved health, safety, comfort, energy, operating and maintenance costs, and the ability of the facility to support its mission.

(e) Test procedures and data. This section should incorporate the original test procedures and signed data forms, including additional data such as photos, computerized documentation, and other records of the tests. Data should include the final accepted test, as well as earlier tests that failed to meet the specified criteria. This section should also include a set of blank data forms for future use in the on-going Cx Process and re-commissioning.

(f) Cx Process Progress Reports. Copies of progress reports generated throughout the Cx Process.

(g) Deferred Tests. Execution of some tests may be deferred until appropriate natural loads, such as occupancy or design weather conditions, are available. For these deferred tests, the prerequisite conditions and an estimated schedule for their completion should be included.

(h) Lessons-Learned. Evaluation of the Cx Process used and changes that will improve the delivered project and form the basis for the Final Cx Process Report developed during Occupancy and Operations. This is essential to ensure that issues, benefits, and recommendations are captured in a written document while all team members are available and information is fresh.

A draft Cx Process Report should be submitted for owner review. Submittal of the draft Cx Process Report to other Cx Team members may also be appropriate.

The final Cx Process Report should incorporate review comments from the Owner, and, optionally, from other Cx Team members.


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


Table of Contents

OVERVIEW

COMMISSIONING PROCESS DESCRIPTION

PRE-DESIGN ACTIVITIES SUMMARY DESIGN ACTIVITIES SUMMARY CONSTRUCTION ACTIVITIES SUMMARY OCCUPANCY AND OPERATIONS ACTIVITIES SUMMARY CONTACT INFORMATION Appendices in the initiation and design stages of the project will state the requirements and responsibilities for that deliverable. The final results and documentation for each item will be inserted in the final report. It is not necessary to include copies of documents included in the Systems Manual in the final Cx Process Report if that report is included in the Systems Manual. APPENDIX A - OWNER’S PROJECT REQUIREMENTS

APPENDIX B - BASIS OF DESIGN

APPENDIX C - FINAL PROJECT SPECIFICATIONS

APPENDIX D - COMMUNICATION STRUCTURES

APPENDIX E - ROLES AND RESPONSIBILITIES

APPENDIX F - COMMISSIONED SYSTEMS [listing of systems and assemblies]

APPENDIX G - COMMISSIONING PROCESS SCHEDULE RESULTS

APPENDIX H - PRE-BID MEETING RECORDS

APPENDIX I - PRE-CONSTRUCTION MEETING RECORDS

APPENDIX J - SUBMITTAL REVIEW RECORDS

APPENDIX K - COMMISSIONING PROCESS ISSUES AND 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

APPENDIX Q - CORRESPONDENCE

APPENDIX R - WARRANTY REVIEW AND STATUS

APPENDIX S- OPEN ISSUES

APPENDIX T - LESSONS LEARNED REPORT