Appendix G - ASHRAE Standard 202 - 2013.pdf

ANSI/ASHRAE/IES Standard 202-2013

Commissioning Process for Buildings and Systems

Approved by the ASHRAE Standards Committee on June 22, 2013; by the ASHRAE Board of Directors on June 23, 2013; by the IES Board of Directors on June 28, 2013; and by the American National Standards Institute on July 1, 2013.

This standard is under continuous maintenance by a Standing Standard Project Committee (SSPC) for which the Standards Com-mittee has established a documented program for regular publication of addenda or revisions, including procedures for timely, documented, consensus action on requests for change to any part of the standard. The change submittal form, instructions, and deadlines may be obtained in electronic form from the ASHRAE website (www.ashrae.org) or in paper form from the Manager of Standards. The latest edition of an ASHRAE Standard may be purchased from the ASHRAE website (www.ashrae.org) or from ASHRAE Customer Service, 1791 Tullie Circle, NE, Atlanta, GA 30329-2305. E-mail: orders@ashrae.org. Fax: 404-321-5478.

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© 2013 ASHRAE ISSN 1041-2336

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SPECIAL NOTE

This American National Standard (ANS) is a national voluntary consensus standard developed under the auspices of ASHRAE.

Consensus is defined by the American National Standards Institute (ANSI), of which ASHRAE is a member and which has approved this standard as an ANS, as “substantial agreement reached by directly and materially affected interest categories. This signifies the concurrence of more than a simple majority, but not necessarily unanimity. Consensus requires that all views and objections be considered, and that an effort be made toward their resolution.” Compliance with this standard is voluntary until and unless a legal jurisdiction makes compliance mandatory through legislation.

ASHRAE obtains consensus through participation of its national and international members, associated societies, and public review.

ASHRAE Standards are prepared by a Project Committee appointed specifically for the purpose of writing the Standard. 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. Every effort is made to balance the concerned interests on all Project Committees.

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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, ASHRAE 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.

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

SPLS Liaison: Janice C. Peterson IES Liaison: Rita M. Harrold

*Denotes members of voting status when the document was approved for publication

Gerald J. Kettler, Chair* Daniel J. Lemieux* Charles E. Dorgan, Vice Chair* James I. Magee* Walter T. Grondzik, Secretary* William J. McCartney* Michael Amstadt* Jean-Francois Pelletier* Alonzo B. Blalock Rod Rabold* Bradley A. Brooks* Reinhard G. Seidl* Timothy F. Corbett Kenneth Simpson Harry J. Enck* Ole Teisen Justin F. Garner Brian E. Toeves Dennis E. Jones* Jeff J. Traylor* Earle Kennett T. David Underwood Michael Khaw Stephen R. Wiggins*

ASHRAE STANDARDS COMMITTEE 2012–2013

Kenneth W. Cooper, Chair Julie M. Ferguson Janice C. Peterson William F. Walter, Vice-Chair Krishnan Gowri Heather L. Platt Douglass S. Abramson Cecily M. Grzywacz Ira G. Poston Karim Amrane Richard L. Hall Douglas T. Reindl Charles S. Barnaby Rita M. Harrold James R. Tauby Hoy R. Bohanon, Jr. Adam W. Hinge James K. Vallort Steven F. Bruning Debra H. Kennoy Craig P. Wray David R. Conover Jay A. Kohler Charles H. Culp, III, BOD ExO Steven J. Emmerich Rick A. Larson Constantinos A. Balaras, CO

Mark P. Modera Stephanie C. Reiniche, Manager of Standards

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CONTENTS

ANSI/ASHRAE/IES Standard 202-2013, Commissioning Process for Buildings and Systems

SECTION PAGE

Foreword 1 Purpose 2 Scope 3 Definitions 4 Utilization 5 Initiating the Commissioning Process 6 Owner's Project Requirements 7 Commissioning Plan 8 Basis of Design 9 Contractor, Supplier, and Manufacturer Commissioning Requirements

10 Design Review 11 Commissioning Submittal Review 12 Construction Observation and Testing 13 Issues and Resolutions Documentation 14 Systems Manual 15 Training 16 Postoccupancy Operation 17 Commissioning Report Informative Appendix A—Commissioning Process Documentation Matrix Informative Appendix B—Quality Based Sampling Process Informative Appendix C—Initiating the Commissioning Process Informative Appendix D—Owner’s Project Requirements Informative Appendix E—Commissioning Plan Informative Appendix F—Basis of Design Informative Appendix G—Commissioning Specifications Informative Appendix H—Design Review and Report Informative Appendix I—Submittal Review and Report Informative Appendix J—Construction Observation and Testing Checklists and Reports Informative Appendix K—Issues and Resolution Log Informative Appendix L—Systems Manual Informative Appendix M—Training Plans and Records Informative Appendix N—End of Warranty Commissioning

Informative Appendix O—Commissioning Report

Informative Appendix P—Commissioning Resources

Informative Appendix Q—References

NOTE

Approved addenda, errata, or interpretations for this standard can be downloaded free of charge from the ASHRAE Web site at www.ashrae.org/technology.

© 2013 ASHRAE

1791 Tullie Circle NE · Atlanta, GA 30329 · www.ashrae.org · All rights reserved.

ASHRAE is a registered trademark of the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

ANSI is a registered trademark of the American National Standards Institute.

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Copyrighted material licensed to Anthony Niederhauser on 2016-09-23 for licensee's use only. All rights reserved. No further reproduction or distribution is permitted. Distributed by Techstreet for ASHRAE, www.techstreet.com (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 a quality-focused process for enhancing the delivery of a project. The process focuses upon evaluating and documenting that all of the commissioned systems and assemblies are planned, designed, installed, tested, operated, and maintained to meet the Owner’s Proj-ect Requirements (OPR).

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

The Commissioning Process begins at project inception (during predesign) and continues for the life of the facility (through occupancy/operations). Because this standard details a process, it can be applied to both new and renova-tion projects. The Commissioning Process includes specific tasks to be conducted to evaluate if the design, construction, testing, documentation, and training meet the Owner’s Proj-ect Requirements. This standard describes the overall Com-missioning Process in order to provide a uniform, integrated, and consistent approach for delivering and operating facili-ties that meet an owner’s ongoing requirements.

Due to the inherent variations in the planning and data gathering process in existing buildings and ongoing commis-sioning, this standard and process is intended for projects including construction and renovation (sometimes called capital projects). During an existing building Commissioning Process, if the project construction utilized the Commission-ing Process, the OPR may transition to the Current Facility Requirements (CFR) and the Commissioning Plan may tran-sition to an ongoing Commissioning Plan. If these documents do not exist, an existing building Commissioning Process would be used to develop the necessary documentation.

The Commissioning Process is a quality-based method that is adopted by an owner to achieve successful construction and renovation projects. It is not an addi-tional layer of construction or project management. In fact, its purpose is to reduce the cost of delivering con-struction projects and increase value to owners, occu-pants, 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 Pro-cess began formally in 1982 when ASHRAE formed a com-mittee 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 Com-missioning 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-mainte-nance-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 mini-mum 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 proj-ect sizes. Supplementary technical guidelines have been and continue to be developed to provide specific and detailed information on how to implement the Commis-sioning Process for each major building/facility, system, or assembly, and for various stages of facility develop-ment and operation. The scope and budget for the Com-missioning Process is set by the owner for each project at the beginning of the development process.

Due to the integration and interdependency of facility systems, a performance deficiency in one system can result in less than optimal performance by other systems.

Implementing the Commissioning Process is intended to reduce the project capital cost through the warranty period and also reduce the life-cycle cost of the facility.

Using this integrated process results in a fully functional, fine-tuned facility, with complete documentation of its systems and assemblies and trained operations and main-tenance 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 cause owners to adopt the Commissioning Process during the Design or Construc-tion Phase of a project, such later implementation must capture the information that would have been developed had the Commissioning Process begun at project incep-tion. Beginning the Commissioning Process at project inception will achieve the maximum benefits.

This standard describes the Commissioning Process; the roles of the Commissioning Authority and commissioning specialist; and a framework for developing an OPR, Basis of Design (BoD), Commissioning Plan, specifications, proce-dures, 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 ANSI/ASHRAE/IES Standard 202-2013

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2. SCOPE

This standard provides procedures, methods, and, documentation requirements for each activity for project delivery from predesign through occupancy/operations, including

a. overview of Commissioning Process Activities,

b. description of each process step’s minimum activi-ties,

c. minimum documentation requirements, and

d. acceptance requirements.

3. DEFINITIONS

acceptance: a formal action, taken by a person with appro-priate authority (which may or may not be contractually defined) to declare that some aspect of the project meets defined requirements, thus permitting subsequent activities to proceed.

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

checklists: project and element-specific checklists that are developed and used during all phases of the Commissioning Process to verify that the Owner’s Project Requirements are being achieved. Checklists are used for general Evaluation, testing, training, and other design and construction require-ments.

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 (Cx Process): a quality-focused process for enhancing the delivery of a project. The process focuses upon verifying and documenting that all of the commissioned systems and assemblies are planned, designed, installed, tested, operated, and maintained to meet the Owner’s Project Requirements.

Commissioning Process Activities (Cx Process Activi-ties): components of the Commissioning Process.

Commissioning Progress Report (Cx Progress Report):

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

Commissioning Team (Cx Team): the individuals and agencies who, through coordinated actions, are responsible for imple-menting the Commissioning Process.

Commissioning Testing (Cx Testing): the Evaluation and documentation of the equipment and assemblies delivery and condition, installation, proper function according to the manufacturer’s specifications, and project documentation to meet the criteria in the Owner’s Project Requirements.

construction checklist: a form used by the Commissioning Team to verify that appropriate materials and components are on site, ready for installation, correctly installed, func-tional, and in compliance with the Owner’s Project Requirements. Also see checklists.

construction documents: this includes a wide range of documents, which will vary from project to project, and with the owner’s needs and regulations, laws, and jurisdic-tional requirements. Construction documents usually include the project manual (specifications), plans (draw-ings), and general terms and conditions of the contract.

contract documents: this includes a wide range of documents, which will vary from project to project and with the owner’s needs, regulations, laws, and jurisdictional requirements.

Contract documents frequently include price agreements;

construction management process; subcontractor agree-ments or requirements; requirements and procedures for submittals, changes, and other construction requirements;

timeline for completion; and the construction documents.

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

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

design checklist: a form developed by the Commissioning Team to verify that elements of the design are in compli-ance with the Owner’s Project Requirements. Also see checklists.

design review (peer): an independent and objective tech-nical 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 enhanc-ing the quality of the design.

design review (constructability): the review of effective and timely integration of construction knowledge into the conceptual planning, design, construction, and field oper-ation of a project to achieve project objectives efficiently ANSI/ASHRAE/IES Standard 202-2013 3

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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 stan-dards administered by the jurisdiction.

design review (commissioning): a review of the design documents to determine compliance with the Owner’s Proj-ect Requirements, including coordination between systems and assemblies being commissioned, features and access for testing, commissioning and maintenance, and other reviews required by the OPR and Commissioning Plan.

Evaluation: the process by which specific documents, compo-nents, equipment, assemblies, systems, and interfaces among systems and their performance are confirmed with respect to the criteria required in the Owner’s Project Requirements.

existing building Commissioning Process: a quality-focused process for attaining the Current Facility Require-ments of an existing facility and its systems and assemblies being commissioned. The process focuses on planning, investigating, implementing, verifying, and documenting that the facility and/or its systems and assemblies are oper-ated and maintained to meet the Current Facility Require-ments, 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, setpoints, schedules, and operating procedures for use by facility operations to prop-erly operate the facility.

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

issues and resolution log: a formal and ongoing record of problems or concerns and their resolutions that have been compiled by members of the Commissioning Team during the course of the Commissioning Process.

ongoing Commissioning Process (OCx): a continuation of the Commissioning Process well into occupancy/operations to continually improve the operation and performance of a facility to meet current and evolving CFR or Owner’s Project Require-ments. Ongoing Commissioning Process Activities occur throughout the life of the facility; some of these will be close to continuous in implementation, and others will be either scheduled or unscheduled as needed.

Owner’s Project Requirements (OPR): a written document that details the requirements of a project and the expectations of how it will be used and operated. This includes project goals, measurable performance criteria, cost considerations, benchmarks, success criteria, and supporting information.

(The term project intent or design intent is used by some owners for their Commissioning Process Owner’s Project Requirements.)

performance test (PT): performance testing is the process of verifying that a material, product, assembly, or system meets defined performance criteria. The methods and conditions under which performance is verified are described in one or more test protocols.

recommissioning: an application of the Commissioning Process requirements to a project that has been delivered using the Commissioning Process. (See existing building Commissioning Process.)

retrocommissioning: the Commissioning Process applied to an existing facility that was not previously commis-sioned. (See existing building Commissioning Process.)

systems manual: a system-focused composite document that includes the design and construction documentation, facility guide and operation manual, maintenance information, training information, Commissioning Process records, and additional information of use to the owner during occupancy/operations.

test procedure: a written protocol that defines methods, person-nel, and expectations for tests conducted on components, equip-ment, assemblies, systems, and interfaces among systems to verify compliance with the Owner’s Project Requirements.

training plan: a written document that details the expectations, schedule, duration and deliverables of Commissioning Process Activities related to training of project operating and mainte-nance personnel, users, and occupants.

4. UTILIZATION

4.1 Introduction. The application of this standard can be for the delivery of all or selected systems and assemblies in a project.

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

4.2 Requirements

4.2.1 The requirements of this standard are to

a. provide the minimum activities for the application of the Cx Process in the design, development, construc-tion, operation, and modification of physical build-ings, systems, and assemblies,

b. establish process activities and sequence of activities, and

c. establish deliverables and documentation for the pro-cess application.

4 ANSI/ASHRAE/IES Standard 202-2013

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4.2.2 Commissioning Process Activities and Deliverables

4.3 Acceptance. The process for each activity and deliver-

able shall include an acceptance step as defined in the OPR and Cx Plan. This step shall formalize the acceptance of the commissioning deliverable by the owner or client. Under this standard, the CxA is not required to accept designer’s or con-tractor’s work on behalf of the owner or jurisdiction.

5. INITIATING THE COMMISSIONING PROCESS

5.1 General

5.1.1 Introduction. At the initiation of the Cx Process, the

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

5.1.2 Project Team Selection-Commissioning Process

Providers. The owner is responsible for selecting qualified Cx Process professionals. The CxA directs the Cx Process and shall be an objective advocate of the owner.

5.1.3 Providing Direction and Acceptance. The owner

shall provide direction, reviews and acceptance as required throughout the project and the Cx Process.

5.2 Commissioning Requirements

5.2.1 Roles and Responsibilities

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

5.2.2 Commissioning Scope. The owner shall determine

the systems and assemblies to be included in the project team’s scope.

5.2.3 Owner’s Project Requirements. For new construc-

tion or major renovations, the owner shall ensure develop-ment of the OPR as described in Section 6 of this standard prior to development of the architectural program. The owner shall require a final updated and approved OPR at substantial completion.

5.2.4 The Commissioning Plan. The owner shall require

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

5.2.5 Checklists. The owner shall require, by agreement, the Cx Team including the CxA and design and construction service providers to develop, utilize, and complete Cx proce-dures and written Cx observation and testing checklists in accordance with the Cx Plan.

5.2.6 Basis of Design Documentation. For construction

or renovation projects requiring design, the owner shall require, by agreement, the development and updating of the Basis of Design by the designers as described in Section 8 of this standard.

5.2.7 Commissioning Specifications. For construction or

renovation projects requiring contract documents, the owner shall require, by agreement, the design/construction team to include Cx specifications in the project contract documents.

The Cx specification shall include the meeting of all require-ments defined in the OPR applicable to the contracted parties and follow the Cx Process contained in the project’s Cx Plan as detailed in Section 9 of this standard.

5.2.8 Commissioning Design Reviews. For construction

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

5.2.9 Construction Submittals Review. For construction

or renovation projects requiring design and/or submittals, the

Activity Deliverable

Initiate Cx Process Roles and Responsibilities

Decide Project Requirements

Owner’s Project Requirements

Develop Cx Plan

Cx Process Plan

Design Approach to Requirements

Basis of Design

Set Contractor Cx Requirements

Cx Specifications

Review Design to Requirements

Design Review Report

Review Submittals Submittal Review Report

Observe and Test

Construction Checklists and Reports

Resolve Issues Issues and Resolution Log

Assemble Systems Manual Systems Manual

Conduct Training Training Plans and Records

Postoccupancy Operation End of Warranty Cx Report

Assemble Cx Report Cx Report ANSI/ASHRAE/IES Standard 202-2013 5

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5.2.10 Observation and Testing. The owner shall require, by agreement, that project observation and testing be per-formed and documented as required in the Cx Plan and Section 12 of this standard.

5.2.11 Issues and Resolution Log and Cx Progress

Reports. The owner shall require the development and utili-zation of Cx Progress Report and issue and resolution logs as required in the OPR and Section 13 of this standard. The owner shall review Cx issues log and Cx Progress Reports, participate in collaborative team resolution, and provide direction when needed.

5.2.12 Systems Manual. The owner shall require, by agree-

ment, the development and delivery of a project systems man-ual and that deliverables be provided for the systems manual in accordance with Section 14 of this standard. The owner shall ensure that specific entities are designated for the devel-opment and assembly of the systems manual and the facility guide.

5.2.13 Training. The owner shall require, by agreement, that the Cx Team, including the design and construction par-ties as applicable, perform training defined in the OPR or Cx Plan as described in Section 15 of this standard.

5.2.14 Postoccupancy and Initial Operations. The owner

shall require, by agreement, that the Cx Process Activities described in Section 16 of this standard be performed. This shall include additional training, seasonal tests, problem res-olution, site visits, updating drawings and specifications, or other requirements performed during the postoccupancy and initial operations period defined for the project in the OPR and Cx Plan.

5.2.15 Warranty Period Commissioning. The owner

shall require, by agreement,

a. CxA performance of Cx during the warranty period,

b. updating the systems manual based on modifications to operations to meet the OPR, and

c. updating the OPR to meet changes in the owner’s objec-tives and criteria.

5.2.16 Commissioning Progress Report. The owner shall

require, by agreement, the development and delivery of a Cx Progress Report and that deliverables be provided in accor-dance with Section 17 of this standard. The owner shall ensure that specific entities are designated for the development and assembly of the Cx Progress Report.

6. OWNER’S PROJECT REQUIREMENTS

6.1 Introduction. The OPR forms the foundation for the

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

6.2 Requirements

6.2.1 During predesign, 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 sys-

tems and assemblies to be commissioned, including sam-pling strategies accepted by the owner. The systems and assemblies being commissioned shall have defined project performance and acceptance criteria.

6.2.3 The OPR document shall address the following

for the commissioned systems:

a. Facility objectives, size, location, user requirements, and owner directives

b. Environmental, sustainability, and efficiency goals and benchmarks

c. Indoor environment requirements, including tempera-ture, humidity, and ventilation

d. Space usage and occupancy/operations schedules

e. Cx Process scope and requirements, listing of equip-ment, systems and assemblies requiring commissioning

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

g. Maintainability, access, and operational performance requirements

h. Installation Evaluation and testing requirements

i. Project documentation and systems manual require-ments and formats

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

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

l. Project schedules

m. Special project requirements

n. The content, organization, and milestones of BoD submittals for the design and construction process

o. The number, format, and scheduling of design and submittal reviews

p. Sampling procedures, if permitted, for all reviews, Evaluations, and testing

q. Cx Progress Report formats and distributed intervals

6.2.4 The OPR shall be included in the contract docu-

ments as an information-only attachment or as required by owner’s contract requirements.

6.2.5 The OPR shall be updated regularly throughout

the project and Cx Process to reflect changes necessitated by owner, designer, and construction team decisions, issues resolutions, and/or operational decisions.

6.3 Acceptance

6.3.1 The OPR shall be reviewed by the CxA and

approved by the owner during predesign. Updates to the OPR made during subsequent project activities shall also be formally accepted by the owner.

6 ANSI/ASHRAE/IES Standard 202-2013

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7. COMMISSIONING PLAN

7.1 Introduction. The Cx Plan shall be a written docu-

ment and provide organization, documentation require-ments, and tools to evaluate and document that the design, construction, and operation of the project or facility, sys-tems, and assemblies meet the OPR.

7.2 Requirements

7.2.1 The CxA shall, with input from the owner's proj-

ect team, develop the initial Cx Plan at the initiation of the project. The Cx Plan shall be updated and expanded during design and construction as the project evolves.

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

final Cx Report.

7.2.3 The Cx Plan shall include the following information:

a. Overview of the Cx Process developed specifically for the project

b. Roles and responsibilities for the Cx Team through-out the project

c. Documentation of general communication channels, including the distribution of the Cx Plan during the design and construction process

d. Detailed description of Cx Process Activities and a schedule of activities

e. Project design documentation Evaluation procedures

f. General description of Cx Process Activities that will occur during construction and occupancy/operations

g. Guidelines and format that will be used to develop the

Cx Process documentation, including systems manual and training plans

h. Listing and format for Cx Process Evaluation check-lists and testing forms, issues and resolution log, and Cx Progress Reports that will be used during the proj-ect to communicate and track critical Cx Process information

i. List of project commissioned systems and assemblies and description of Evaluation procedures

j. The framework for procedures to follow whenever Cx Pro-cess Evaluation does not meet the OPR

7.3 Acceptance

7.3.1 The Cx Plan shall be approved by the owner and

include a process for approval of the subsequent revisions.

8. BASIS OF DESIGN

8.1 Introduction. The BoD is a written document that shall

provide detailed information on the design team’s approach to meeting the OPR to provide the owner with a better under-standing of design issues and secure the owner’s approval of critical design decisions.

8.2 Requirements

8.2.1 The BoD shall be developed by the design team in

accordance with the OPR. The BoD shall be updated and expanded during design and construction as the project evolves. The function of the BoD shall be to

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

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

c. Coordinate applicable technical and code requirements.

8.2.2 The design team shall submit the BoD to the owner

and CxA for review at each milestone defined by the OPR and Cx Plan.

8.2.3 The owner and CxA shall evaluate each BoD sub-

mittal for the following

a. Design and design assumptions in agreement with the

OPR

b. Requirements for updating of the BoD

c. Requirements for sustainable design certification when required

d. Consideration of design alternatives at each phase

e. Requirements that systems, assemblies, and equipment be located and installed to be commissionable and main-tainable

f. Opportunities for improved performance

8.2.4 The CxA shall document and track issues related to

the BoD using the Cx issues and resolution log, including issues identified by the owner and members of the design team.

8.2.5 The design team shall work with the owner and CxA

to resolve Cx issues.

8.3 Acceptance

8.3.1 Each submission of the BoD shall be formally

reviewed and accepted by the owner to facilitate the next step in the design process.

9. CONTRACTOR, SUPPLIER, AND

MANUFACTURER COMMISSIONING

REQUIREMENTS

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

9.2 Requirements

9.2.1 Cx specifications shall be developed for all sys-

tems and assemblies being commissioned and included in the construction documents.

9.2.2 The applicable Cx Process specifications and

requirements shall be included in all contracts with con-tractors, subcontractors, suppliers, service providers, and manufacturers for systems and assemblies being commis-sioned.

9.2.3 Contractors, subcontractors, suppliers, service

providers, and manufacturers shall provide the required documentation as defined in the contract documents.

Examples of these include submittals; shop drawings;

installation, operations, maintenance, and close-out docu-ments; code compliance; and existing-conditions docu-mentation.

ANSI/ASHRAE/IES Standard 202-2013 7

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9.3 Acceptance

9.3.1 The owner shall approve the Cx Specifications

included in the construction documents.

10. DESIGN REVIEW

10.1 Introduction. A Cx design document review shall

be performed to verify compliance with the OPR.

10.2 Requirements

10.2.1 The CxA shall perform a review of the commis-

sioned systems and assemblies in the design documents to evaluate compliance with the OPR. Design review shall be completed prior to the issuing of construction documents for systems being commissioned. The OPR and the Cx Plan shall define any sampling strategies for design review.

10.2.2 The CxA shall provide a design review (Cx

Report) with comments, questions, and observations to the owner and design teams for compliance with the Owner’s Project Requirements. This design review (commission-ing) shall not be considered a design review (peer) or a design review (code or regulatory).

10.2.3 The design team, owner, and/or other responsible

party shall respond to the CxA document review report with necessary answers and document modifications for the project. Revised documents shall be back-checked by the CxA. Any unresolved issues shall be reported to the owner for direction to the design and Cx Team on final dis-position and direction.

10.2.4 A copy of the document review report(s) and

response shall be included in the final Cx Report.

10.3 Acceptance

10.3.1 The owner shall approve the CxA document

review report and the design team’s response before the start of construction.

11. COMMISSIONING SUBMITTAL REVIEW

11.1 Introduction. For construction or renovation proj-

ects requiring contractor or supplier submittals, a submittal documents review for commissioned systems and assem-blies shall be performed to evaluate compliance with the OPR. The commissioning submittal review does not replace the designer of record submittal review.

11.2 Requirements

11.2.1 A designated Cx Team member shall review proj-

ect submittals for systems and assemblies to be commis-sioned for compliance with the OPR.

11.2.2 CxA shall identify construction submittals to be

provided by the contractor for the systems being commis-sioned.

11.2.3 The CxA shall review the construction submittals

concurrently with the designers and provide comments to the designer.

11.2.4 The designer shall consider the CxA’s comments

and provide direction to the contractor in accordance with the designer’s best professional judgment. A copy shall be provided to the CxA.

11.2.5 In the event that the owner does not retain the

designer for construction administration services, the owner shall do the following:

a. Require the CxA to review the construction submit-tals for the systems being commissioned concurrently with the owner or owner’s representative and provide comments to the owner or owner representative

b. Consider the CxA’s comments and provide direction to the contractor in accordance with the owner’s best professional judgment. A copy shall be provided to the CxA.

11.2.6 The submittal review report shall include a listing

of the submittals reviewed, the date reviewed, and a sum-mary of the submitted equipment/material properties that appear not to meet the OPR. Any sampling review process utilized on the submittals shall conform to the owner approved OPR and Cx Plan.

11.2.7 A copy of the submittal document review

report(s) and response shall be included in the final Cx Report.

11.3 Acceptance

11.3.1 The CxA shall maintain a record of all Cx submit-

tal reviews and shall submit a written report to the owner and design authority. If it is determined that any reviewed submittals do not comply with the OPR, that submittal shall be provided to the owner to determine if the system or equipment shall be accepted or rejected.

12. CONSTRUCTION OBSERVATION

AND TESTING

12.1 Introduction. The proper installation, coordina-

tion, Cx Testing, and interaction among commissioned sys-tems and assemblies shall be evaluated.

12.2 Requirements

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

12.2.2 Checklists and test procedures with necessary

report forms shall be developed before equipment or assembly installation. All completed checklists and test reports shall be included in the final Cx Report.

a. Project-specific construction checklists and Cx Test-ing procedures shall be established for review by owner and appropriate team members.

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

c. Whenever a test data result is required for a specific system or assembly, there shall be an item in the asso-ciated construction checklist for the test data to be submitted to the CxA.

d. Sampling procedures shall be utilized if required and defined in the OPR, the Cx Plan, or the Cx Specifica-tions.

8 ANSI/ASHRAE/IES Standard 202-2013

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12.2.3 There shall be a uniform and effective process for

documentation of testing to provide Cx Testing of and inter-action between commissioned equipment, systems, and assemblies. The term Cx Team shall refer to applicable Cx technical resources tailored to their specific projects.

12.2.4 The CxA shall conduct a commissioning kick-off

and scoping meeting with the Cx Team to explain Cx proce-dures and coordinate commissioning activities at the begin-ning of the construction process and at other times as necessary.

12.2.5 Evaluation of the systems and assemblies by the Cx

Team shall include the following:

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

b. The condition of the equipment at the time it is deliv-ered at the site and prior to its installation.

c. Proper installation of the systems and assemblies.

Evaluation shall focus on the physical installation of the systems and assemblies, on their ability to meet the contract documents requirements, and on accessi-bility for Cx, testing, and maintenance operations.

d. Successful Cx Testing results of systems and assem-blies.

12.2.6 Executing Test Procedures

a. Once construction checklists and test procedures are established, the responsible entities shall execute relevant test protocols and repeat testing as necessary until equip-ment, systems, or assemblies being tested pass all tests.

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

c. Completed test reports shall be submitted to the proj-ect team for review and the CxA for Evaluation.

12.2.7 Any commissioned system or assembly that fails to

meet requirements and that cannot be resolved in a timely manner shall be given an issue number and recorded in the issue and resolution log to facilitate follow-up.

12.2.8 All checklists and test procedure results shall be

compiled into the final Cx Report.

12.3 Acceptance

12.3.1 A summary of the testing shall be reported to the

owner in a written Cx Progress Report following comple-tion of the testing or at intervals noted in the Cx Plan.

Review of the summary reports shall have a response of concurrence or acceptance by the owner.

13. ISSUES AND RESOLUTIONS

DOCUMENTATION

13.1 Introduction. Issues identified during the Cx Pro-

cess shall be documented and any open or continuing items listed in an issue and resolution log and Cx Progress Reports.

13.2 Requirements

13.2.1 The CxA and Cx Team shall develop a formal

issues and resolutions log with supporting documentation.

13.2.2 The active issues and resolution log will have all

open and continuing items, with status and responsible per-son or organization for resolution.

13.2.3 A formal issues and resolutions log shall be main-

tained throughout the project until all issues are resolved or accepted by the owner.

13.2.4 The issues and resolutions logs and Cx Progress

Reports shall be distributed to the Cx Team at intervals pre-scribed in the Cx Plan.

13.3 Acceptance

13.3.1 The owner shall review and accept the final issues

and resolution log. Upon acceptance, this will be included in the final Cx Report.

14. SYSTEMS MANUAL

14.1 Introduction. The systems manual documentation

shall be provided to the owner for use in building operation and the training of personnel.

14.2 Requirements

14.2.1 The systems manual shall provide the information

needed to understand, operate, and maintain the building’s systems and assemblies.

14.2.2 The systems manual is the repository of design, construction, and testing information, including updates and corrections to systems and assemblies as they occur during construction. The Cx Team shall be responsible for updating the systems manual during the Cx Process, including design, construction, and operation as required in the OPR, Cx Plan, and contract documents.

14.2.3 The following shall be included in the systems

manual:

Section 1—Executive Summary Section 2—Facility Design and Construction

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 Informa-tion for Commissioned Systems and Assemblies

3.1 Copy of Building and Equipment Specifications

3.2 Copy of Approved Submittals including Final

Controls Sequences of Operation

3.3 Copy of Manufacturer’s Operation and Mainte-

nance (O&M) Data

3.4 Copy of Warranties

3.5 Contractor and Supplier Listing and Contact

Information Section 4—Facility Operations

4.1 Facility Guide including: Operating Plan; Building

and Equipment Operating Schedules, Setpoints, Ranges and Limitations; Commissioned Systems…