ASHRAE Guideline Commissioning Process Overview

Building Science Consultations

APPLIED ENERGY SOLUTIONS

COMMISSIONING PROCESS
ASHRAE Guideline 0-2005
ASHRAE Guideline 1.1-2007
NIBS Guideline 3-2006

by David J. MacKay LEED AP, CPMP
Applied Energy Solutions

• Commissioning Framework
– ASHRAE 0-2005
– ASHRAE 1.1-2007
– ASHRAE/NIBS Guideline 3

• Commissioning Defined

• Commissioning Process
– Pre-Design Phase
– Design Phase
– Construction Phase
– Occupancy & Operations

• Ongoing Commissioning

• Commissioning Keys to Success

Total Building Commissioning Process

ASHRAE Guideline 0-2005: The
Commissioning Process (Used
as a foundation for ASHRAE
Guideline 1, NIBS Guideline 3,
and other Total Building
Commissioning Process
technical guidelines

Guidelines 2-200X & 4-200X
ASHRAE Guideline 1-2007: NIBS Guideline 3-2006: through 14-200X: Technical
HVAC&R Technical Exterior Enclosure Technical commissioning guidelines
Requirements for the Requirements for the dealing with structure,
Commissioning Process Commissioning Process electrical, lighting, interiors,
plumbing, etc.

• ASHRAE Guideline 0-2005
– Defines the process
– Generic: any system or discipline

• ASHRAE Guideline 1.1-2007
– How to apply the process to HVAC&R
– Several annexes/examples

• ASHRAE/NIBS Guideline 3
– How to apply the process to enclosure elements
– Walls, floors, roofs, fenestration
– Several annexes/examples

• Total building Commissioning (Cx) guidelines are in the works:
– Guideline X Plumbing (ASPE)
– Guideline Y Lighting (IESNA)
– Guideline 1.2 Existing HVAC&R (ASHRAE)
– Guideline 1.3 Operator Training (ASHRAE)

• This presentation will focus on ASHRAE Guideline 0-2005 and
the overall Cx Process

• An ongoing & structured quality assurance process (ideally spanning from pre-
design into occupancy) that ensures continual:
– Communication
– Documentation
– Verification

• In simplest terms, commissioning is intended to ensure a building meets the
owner’s requirements upon turnover

• It is NOT:
– An event
– A short term task
– Punch list clearance

• It is a Team sport—for successful commissioning, everyone must buy in to and
participate in the 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 (OPR).

* ASHRAE Guideline 0-2005: 4. Definitions

• The OPR document explicitly calls out the minimum characteristics
that will define a successful project from the owner’s perspective

• Must address quality as well as quantity

• Must include verifiable benchmarks (criteria)

• OPR is completed during pre-design

• This document becomes the basis for all commissioning verification
efforts—and is thus critical to a successful commissioning outcome

• The Commissioning Process is a quality-oriented process for
achieving, verifying, and documenting that the performance of
facilities, systems, and assemblies meets defined objectives and
criteria.

• 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 assumes that owners, programmers,
designers, contractors, commissioning team members, and
operations and maintenance entities are fully accountable for the
quality of their work.

PRE-DESIGN PHASE

• Develop the Owner’s Project Requirements (OPR)

• Review lessons from previous projects

• Identify Cx scope and budget

• Develop initial Cx Plan

• Owner acceptance of pre-design Cx activities

* ASHRAE Guideline 0-2005: 6.1.2… Objectives

• To get the process off on the right foot

• Ensure development of a thorough OPR document

• The Commissioning Authority (CxA)

• The Cx Team

• Pre-Design Cx Documents

• “Authority” (or “Provider”) versus “Agent”
– An authority acts for the owner
– An agent can act as the owner (NOT intended)

• Professional services contract must spell out roles and responsibilities for
this crucial party—including scope of work to be conducted (which can
vary greatly)

• CxA may be:
– An independent entity
– Owner’s in-house staff

• THE CXA WILL NOT SINGLE-HANDEDLY COMMISSION A PROJECT

• Should have actual and perceived independence of action (an
unbiased party)

• Should have a background and experience to match project
expectations

• Will act in the best interests of the owner

• Will interact with owner’s representatives, the design team, the
contractor and subcontractors

• Will lead the Cx Team and team meetings

• Should have outstanding people skills

• The Commissioning Authority (CxA)

• The Commissioning Team

• Pre-Design Cx Documents

• Includes many members:
– CxA
– Programming Consultants
– Owner’s representatives
• Users
• Maintenance Staff
– Design Team representatives
– Contractor representatives (if possible)

• Members (numbers and bodies) will change from
phase to phase

• The team is led by the CxA

• The team will complete a variety of tasks

• Specific pre-design roles and responsibilities will vary
from project to project

• Responsibility for team members must be clearly
allocated and contractually assigned

• OPR

• Cx/design service contract integration

• Cx Plan

• Issues Log

• Systems Manual

Project Inception
Building Development Commissioning
Process Pre-Design Phase
Process

Form Building Development Form Commissioning
Team (Cx) Team-S5.2,1

Project Participate in Project
Review Review Meeting-S5.2
Meeting
Develop Determine
Develop Initial
Owner’s Commissioning
Project Commissioning
Scope & Budget-
Develop Develop Overall Develop Building Plan-5.2.4
Requirements- S5.2.2[c]
Design/Constructio Building Budget Program S5.2.2
n Mgmt. Plans
Owner Acceptance
of Cx Products
Other Pre-design
Services

Owner Acceptance of To Design Phase
Pre-Design Products

To Design Phase

DESIGN PHASE

• Update the Commissioning Plan
• Verify the Basis of Design
• Develop commissioning process requirements for the
Construction Documents
• Develop draft Construction Checklists
• Develop draft Test Procedures
• Define training requirements
• Perform OPR-based design preview
• Update OPR

• Prepare for construction phase Cx activities

• Verify design decisions and documentation match OPR

• The Cx Team

• Design Phase Cx Documents

• Ensuring the Contractor is on Board

• Design Phase Verifications

• CxA

• Owner’s representatives
– Project Manager
– O&M Staff

• Design team representatives (including specialty consultants)

• Contractor representatives (if possible-input on Construction
Checklists and testing can be exceptionally valuable)

• Major equipment/assembly manufacturer representatives

• Basis of Design (BOD)
– This is considered a formal Cx process document that captures—in a
usable format—key design influencing assumptions, methods, selections,
and decisions

– The purpose of the BOD is to give other parties easy access to the
rationale behind design decisions

– Construction Documents show WHAT was selected but not WHY

– The WHY can be very valuable when considering a contractor-proposed
substitution or making a decision on building operations

– This document is valuable when design proposals are compared against
OPR

• BOD document typically includes:
– Codes, standards, guidelines used

– Basis for system/assembly selection

– System and assembly options considered

– Calculation/analysis methods used

– Key inputs to calculations/analysis
• Data (U-factors, climate, etc.)
• Assumptions (energy costs, maintenance capabilities, etc.)

– Narrative descriptions of system/assembly operations

– Narrative descriptions of system/assembly control sequences

– Equipment/products used as a basis of design

• Cx Plan

– This is a continually developing roadmap for upcoming activities and
record of completed activities

– During the design phase, the plan will be updated to provide details
regarding construction phase commissioning activities-an outline of
occupancy and operations phase activities will be included

– A detailed Training Plan will be developed as a section of the Cx Plan

– Ensure that the Cx Plan adequately addresses Cx process activities,
responsibilities, and schedule

• Construction Checklists

– These are pre-prepared forms used to structure and facilitate
verifications conducted as part of the Cx process

– Ideally, they would be part of the Construction Documents (or
provided as “for information” documents)

– Typically will be completed in stages as construction progresses

– Properly used they can help in catching deviations before they become
problems

– When completed, they become part of the Systems Manual and can
assist with ongoing building operations

• Test Procedures

– Test Procedures are an extension of verification procedures beyond the
level of complexity that can reasonably be handled by Construction
Checklists

– An example: a protocol to verify that upon smoke detection in an atrium,
the HVAC, electrical and alarm systems do what they should to meet OPR

– Another example: a protocol to verify that the HVAC system functions as it
should to meet the OPR under a range of anticipated loading and weather
conditions

– Test Procedures must be scripted and ideally will allow for easy recording
and archiving of results for inclusion in the Systems Manual

• Systems Manual

– A critical document for the owner

– Requires input from:
• Design team- need for input called out during pre-design and product verified
during design phase
• Contractor- responsibilities must be included in the contract documents during
design phase
• CxA

– This document really needs a champion (a responsible and capable
party)

– Without a good Systems Manual, many of the ongoing benefits of Cx
will be lost during occupancy and operations

• Issues Log

– The Issues Log is essentially the collective memory of the Cx
Team regarding problems that arise throughout the Cx process

– It should be easy to access and use

– It should be helpful (not litigious)

– It should show all (or most) issues resolved upon occupancy

– Resolution may take many routes (a change in OPR, a change in
design, change in component, and adjustment, etc.)

• Training Plan
– Constitutes a defined section of the Cx Plan

– Lays out training needs and expectations

– Lists training requirements
• Intended audience
• Expected outcomes
• Suggests venue/approach
• Estimates time allocations

– Outlines training verification

– Must be detailed enough to permit a reasonable bidding and scheduling by contractor

– Will likely require involvement of design team members

Document Responsibility
Basis of Design Design Team
Cx Requirements for Construction Design Team & CxA/Cx Team
Documents
Construction Checklists Design Team & CxA/CxTeam
Test Procedures CxA/Cx Team
Training Plan CxA/Cx Team
Systems Manual-Content and Design team
Contract Document Requirements
Issues Log CxA/Cx Team
Cx Plan CxA

• Communicating commissioning process requirements to the contractor
– Specifications
• General Conditions requirements
– Participation in activities
– Ramifications for non-compliance
• Section specific requirements
– Construction Checklists
– Test Procedures
– Training
– Provide a clear picture of responsibilities
– Allow for a reasonable bid to be prepared
– Permit impacts on schedule to be reasonably estimated

• Intent is not to second guess (or become) the design
team

• Intent is to verify that design will reasonably deliver the
owner’s project requirements

• Sampling of design documents is highly recommended as
a procedure

• The owner possesses ultimate acceptance authority

From Pre-Design
Building Development Phase-S5 Commissioning
Process Design Phase:
Schematic Design
Process
S6

Project Objectives Meeting Participate in Project Update Cx Team S6.2.1
Objectives Meeting
S6.2.9.1

Identify Macro Select
Evaluate Options Prepare BOD Document Determine Systems Manual Determine Training
System Options Systems
S6.1.1& S6.2.2.1 Structure S6.2.6 Requirements S6.2.7

Prepare Schematic Update OPR Update Cx Plan
Reviews of Design
Design Documents Documents S6.2.8 S6.2.8.1 S6.2.3.1(a)

Project Objectives
Meeting Final Objectives Review for
Phase S6.2.9.2
Owner Acceptance of
Schematic Design
Products
Owner Acceptance of Cx Products S6.3

To Design
Development Phase To Design
Development Phase

From Design Phase:
Building Development Schematic Design S6 Commissioning
Process Design Phase:
Design
Process
Development S6

Project Objectives Meeting Participate in Project
Objectives Meeting Update Cx Team S6.2.1
S6.2.9.1
Prepare
Identify &
Refine Design of Design
Evaluate Micro Design Reviews
Systems Development Update BOD S6.2.2.2 Update OPR S6.2.2.2
System Options S6.2.8
Documents

Update Training Update Cx Plan
Update Systems
Requirements
Manual S6.2.6 S6.2.3.1(b)
S6.2.7

Project Objectives Participate in Project
Meeting Objectives Meeting S6.2.9.2

Owner Acceptance of Design
Development Products Owner Acceptance of Cx Products S6.3

To Design Phase:
Construction Documents To Design Phase: Construction
S6 Documents S6

From Design Phase: Design
Building Development Development S6 Commissioning
Process Design Phase: Process
Construction
Documents
Participate in Project
Project Objectives Meeting Objectives Meeting S6.2.9.1

Cx Reviews of Design
Update OPR S6.2.2.2 Update BOD S6.2.2.2
Identify Prepare Docs. S6.2.8
Outstanding Construction
Enclosure Issues Documents
Update Cx Plan Develop Cx Process Req. for Construction
S6.2.3.1(b) Const. Documents S6.2.4 Checklists S6.2.5

Update Systems Manual S6.2.6 Review @ 20% of systems re Develop Cx Req. for Constr.
BOD S6.2.8.4 Documents S6.4

Acceptance Requirements S6.3 Training Requirements S6.2.7 &
S6.5

Project Objectives Final Objectives Meeting for
Meeting Phase S6.2.9.2

Owner Acceptance of Owner Acceptance of Cx
Construction Products S6.3
Documents

To Construction Phase To Construction Phase

CONSTRUCTION PHASE

• Verify that submittals meet the OPR

• Finalize Construction Checklists and Test Procedures

• Verify that systems and assemblies meet the OPR

• Verify training of owner’s personnel

• Verify the Systems Manual

• Update the OPR and Cx Plan

• To verify construction activities

• To prepare project (and O&M staff) for handover to
owner

• Meetings and Communications

• Updating Cx Documents

• Submittal Reviews

• Construction Checklists and Test Procedures

• Training

• The Cx team is the avenue for effective communications
– Via regular meetings and
– Skillful use of the Issues Log

• Cx Team Members:
– CxA
– Owner’s representatives
• PM
• O&M staff
– Design team representatives (including specialty consultants)
– Contractor representatives
• Subs
• TAB
• Controls
– Major equipment/assembly manufacturer representatives

Document Action Responsibility

BOD update Update as required by owner change Design team
orders and contractor substitutions
OPR update Update as required by owner change Cx Team (w/owner explicit
orders and contractor substitutions agreement)
Construction Finalize and implement Used by contractor, verified by Cx
Checklists Team
Test Finalize and implement Used by contractor, verified by Cx
Procedures Team
Systems Complete and verify Completed by assigned party,
Manual verified by Cx Team
Training Plan Finalize and implement Implemented by Contractor, design
team, and CxA
Issues Log Use Used by Cx Team

Cx Plan Update and expand CxA

• Principles:

– The purpose of verifications is NOT to provide the contractor with free quality control
services; it is to provide the owner with assurance that the OPR are being delivered

– ASHRAE Guideline 0 strongly recommends that a sampling strategy be used for all
verifications

– The sampling frequency will be established by the CxA, 5%-10% is generally
recommended
• Sampling is a controversial issue—and each CxA will have his/her own take on how
to approach this.
• Spell out sampling % in RFP

– If deviations are found during sampling, a pre-established response is implemented—
this may involve additional sampling or rejection of the activity

– Financial responsibility for re-verification activities must be spelled out in construction
contracts and service contracts

• Quandaries:

– ASHRAE Guideline 0-2005 sets the OPR as the benchmark against which verifications are
to be conducted

– The contractor is not contractually bound (generally) to meet the OPR, but rather the
Contract Documents

– If deviations are found relative to Contract Documents, corrective action is reasonably
easy to justify

– If deviations are found relative to OPR, but not the Contract Documents, then things can
get tricky

– Contingencies for addressing the above scenario should be spelled out for all interested
parties

– In theory, verification of design documents should head off OPR / Construction
Document conflicts

• Implementations:

– Construction Checklist elements and Test Procedures that involve
activating a device, system, or assembly should generally be done by the
contractor under the observation of the CxA and other interested parties
(the owner’s operating personnel, etc.)

– Verification of such activities would be based upon witnessing of tests and
review of testing documentation

– Verifications of documents (such as the Systems Manual) would normally
be accomplished by CxA/Cx Team review

– Verification of training might be accomplished by witnessing, testing,
and/or interviews

• Meetings and Communications


• Submittal Verification Reviews

• Construction Checklists and Test Procedures

• Training

• The CxA conducts some checking, witnesses other checking, and
verifies that a sample of the Construction Checklists meets quality
expectations and demonstrates quality that conforms with the OPR
and Construction Documents

• The verification process is seeking systemic problems

• Minor deviations would be addressed via the Issues Log

• Major deviations might require concerted action from the Cx Team

• The owner retains ultimate acceptance responsibility for any
deviations that negatively impact the OPR

Example
Construction
Checklist

• The CxA witnesses selected tests and verifies that the results of the
Test Procedures meet quality expectations and conform with the OPR
and Contract Documents





Example
Test
Procedure

ASHRAE
Guideline
1.1-2007

• The CxA verifies that the results of the training activities meets quality
expectations and conforms with the OPR and Contract Documents





• The CxA verifies that the Systems Manual is complete (to the extent
possible) and that a sample of the manual meets quality expectations
and conforms with the OPR and Contract Documents





From Design Phase:
Construction Documents

Construction
Process Phase S7 Process
Pre-Bid Conference Participate in Pre-Bid Update Cx Team
Conference S7.2.2 S7.2.1.2

Receive Verify & Coordinate Verify Systems Manual and
Submittals Submittals S7.2.7 Const. Checklist S7.2.16

QA/QC Plan & Site Specific
Testing Plan

Pre-Installation Meeting for
Mock-Ups

Laboratory Testing
Verify Lab Performance

Field Mockups
Verify Mockup Update Issues Log
Performance Update OPR & BOD S7.2.4

Sample Testing
Verify Sample

Building Development From Construction
Phase Part 1
Commissioning
Process Process
Construction
Phase Part 2 S7

Pre-Construction Pre-Construction Cx
Meetings Process Meetings S7.2.6

Install/Construct Exterior
Enclosure Components & Verify Construction Checklist Update OPR & BOD Update Issues Resolve
Systems Completeness S7.2.15(c) S7.2.16.1(f) & S7.2.16.1(g) Log S7.2.16.1(i) Issue

Update Issues Resolve
Direct & Verify Tests S7.2.13
Log S7.2.16(i) Issue

Update Cx Plan S7.2.5 Provide Training &
Update Requirements
S7.5
Owner Accepts
Substantial Completion Owner Acceptance of Cx
of Exterior Enclosure Products S7.3

To Occupancy and To Occupancy and
Operations Phase S8 Operations Phase

From Construction Phase
Process Process
Occupancy and
Operations Phase S8

Substantial Completion
Participate in Substantial
Meeting
Completion Meeting S8.1

Contractual
Owner Begins
Warranty/Correction Update Owner’s Project
Beneficial Use
Period Begins Requirements S8.1.1

Coordinate Contractor Performance Verification
Direct & Verify Seasonal Tests
Callback S8.2.2 S8.2.3
S8.2.1.3(b)

Ongoing Operation, Maintenance,
and Modification of the Building Update Systems Manual
Systems, Assemblies and S8.2.6
Components, and their Associated
Documentation Resolve Issue

Owner Final
Acceptance Req. S8.35 Training Req S8.5
Acceptance of Docum. Req. S8.4
Constructed Building

Owner Acceptance of Cx
End of Typical Building Products
Development Contract

OCCUPANCY & OPERATIONS PHASE

• Complete seasonal or deferred testing

• Minimize contractor callbacks

• Document lessons learned

• Assist with any warranty issues

• Provide assistance with ongoing facility operations to meet
the OPR

• Close out the process via formal owner acceptance

• Close out the (initial) commissioning process

• Prepare the owner for long-term beneficial use of
the facility

• The Cx Team


• Lessons-Learned Workshop

• Final Cx Report

• CxA

• Owner’s representatives
– Project Manager
– O&M Staff

• Design team representatives (as required)

• Contractor representatives (including subs)

• Major equipment/assembly manufacturer representatives
(as required)

Document Action Responsibility

BOD update Update as required by owner change Design team
orders and contractor substitutions

OPR update Update as required by owner change Cx Team (w/owner explicit
orders and contractor substitutions agreement)

Systems Verify and employ Completed by assigned party,
Manual verified by Cx Team

Training Plan Finalize and implement Implemented by Contractor, design
team, and CxA

Issues Log Close out Cx Team

Cx Plan Develop and deliver CxA

• Although most involved parties are ready to move on at this stage, all can
benefit from reflecting on the Cx process

• The owner can benefit form information gleaned by the various parties
that relates completed product performance to the original owner’s
project requirements

• The design team can benefit from issues that relate design process to
implementation of design intent and criteria (objectives and benchmarks)

• The contractor can benefit from issues that relate construction and quality
control processes to design intent and Construction Documents

• The CxA can benefit from feedback on all aspects of the process

• Identify any systems or assemblies that do not perform in accordance with
the OPR and note likely ramifications of such deviations

• Evaluate operating condition of systems/assemblies upon completion of
testing

• Summarize the contents of the Issues Log—extent of concerns, costs,
operational impacts

• System performance benchmarks

• Lessons Learned

• Ideally, provide a sense of worth of the Cx process on the project

ONGOING COMMISSIONING

• Ongoing Cx extends the process beyond the termination
of the original commissioning services agreement
(typically about a year into building occupancy, upon
major equipment warranty expiration)

• The intent is to continue to assist the owner in
maximizing beneficial use of the facility for the long term

• It appears likely that ASHRAE Guideline 0 will in the
future include more information on the ongoing Cx
process

Ongoing Building Commissioning
Operations From End of Typical Building Development
Contract
Process

Update Owner’s Direct & Verify
Project Requirements Periodic Tests and
S8.6.1 Benchmarks S8.6.1

Ongoing Operation, Maintenance, and
Modification of the Building Systems,
Assemblies, Components, and their
Associated Documentation Whole Building
Maintain Systems Performance
Manual S8.6.1 Verification S8.6.2

Continue
Resolve Issues

Continue

KEYS TO SUCCESS

• Good Benchmarking and archiving of documents
– Owner’s Project Requirements (OPR)
– Basis of Design (BOD)
– Commissioning (Cx) Plan
– Construction Checklists
– Test Protocols
– Training Plan
– Systems Manual
– Cx Process Reports

• Explicit expectations and responsibilities
– Clear RFQ/RFP for CxA
– Professional service contracts that address commissioning
– Construction specifications that address commissioning and provide clear statements of
“who” and “if-then”

• Enforcement of Cx related contract provisions

• Ongoing Communications
– Cx Meetings
– Cx Reports
– Issues Log

• Well reasoned clarity of purpose

• Verification by Cx Team of all key elements against OPR

• Serious owner buy-in and support

• Owner Acceptance of all Deliverables/Products

ASHRAE Guideline Commissioning Process Overview

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