fa procedure: commissioning process

FA PROCEDURE: Commissioning Process

of 47Disclaimer: The current version is located on the Facilities website

(https://commons.lbl.gov/display/fac/Operations+and+Maintenance+Procedures+Lookup). Printed or electronically transmitted copies are not official. Users are responsible for working with the latest approved revision.

Effective Date: 6-1-2015Document Number: SOP00011Revision Number: 1.3Next Review Date: 1-2023

1. PROCEDURE PURPOSE1.1. Purpose

The purpose of this document is to establish the minimum requirements and guidance for a systematic approach to commissioning (Cx) for LBNL projects within the scope defined below.

1.1.1 APPLICABILITY

1.1.2. This procedure applies to all small projects performed by the Lawrence Berkeley National Laboratory (LBNL) Facilities Division.

1.1.3. Line Item projects are not subject to this document and are instead subject to the requirements of DOE Order 413.3B.

1.1.4. This document presents the top-level Cx process to be followed. The development and use of numerous detailed sub-processes within and below this top-level process is required to implement this process.

1.1.5. Appendix A provides a process flowchart of the major activities within the Cx process (CxP) and the key entities responsible for those activities. The roles identified are defined under the Roles and Responsibilities section. The specific individual or entity fulfilling a particular role on a project may vary depending on the contractual responsibilities.

Doc ID: f7da8a443d7e4d5164ab360741cd666d85f6a0bb




1.2.Graded Approach

A graded approach to Commissioning requirements is used in response to safety, quality, and reliability risks inherent in each project. Commissioning’s goal is to achieve a safe, efficient, and reliable outcome without performing unnecessary or non-value added testing, witnessing, and documentation.

1.2.2. The CxD and/or iCxA will document graded approach risk level in consideration of safety, reliability, and quality associated with each project in the Cx Plan Checklist.

1.2.3. By reviewing these identified risks, the CxD, iCxA, and PM will come to agreement on which steps of the Cx Process will address these risks in the Cx Checklist for each project. This determination will also guide decisions such as whether an external CxA, an iCxA or both are assigned to a project.

1.2.4. In developing required commissioning tasks for each project, such as testing requirements, the Cx Team will include commissioning tasks that will specifically address inherent project risks. These tasks will be included in the contract specifications.

1.2.5. The Project Manager (PM) shall ensure construction contracts require cooperation and coordination with Cx activities.

2. PROCESS

3.1 Cx Activities by Project Phase

The sequence of Cx activities are best understood through the typical phases of a construction project. Those phases, as defined by the ASHRAE Guideline 1.1-2007 The HVAC Commissioning Process, are Pre-Design, Design, Construction, and Occupancy.

3.1.1 Predesign Phase

3.1.2 PP-1: The CxD attends the FAPRA meetings. As projects are initiated and project teams formed, the CxD will assign an iCxA. The CxD will form a Cx Team with PM, Facilities Engineering and EH&S Fire Life Safety.





3.1.3 PP-2: When the PM and iCxA are in agreement concerning the budget needs for planning, the PM will submit the total planning estimate for funding to the Project Portfolio Manager.

3.1.4 PP-3: The PM will develop an OPR with the owner/client and other stakeholders. Once the draft OPR has been produced, the PM will notify the iCxA.

3.1.5 PP-4: The CxD and iCxA will consider the risks to the project based upon a graded approach. From this risk determination, the Cx activities will be defined on the Cx Plan Checklist.

3.1.6 PP-5: The iCxA will organize a meeting (or multiple meetings) to include the Cx Team to review, edit, and finalize the OPR upon receipt from PM with Owner’s input. The deliverable is a final OPR document signed by the owner/client, the PM, Cx Team members and the iCxA.

3.1.7 PP-6: If a Design Professional begins conceptual design during this phase of the project process, a BOD will be submitted by the design professional following development of the OPR.





3.1.1 Design Phase

Note: If the owner/client’s project requirements change during any stage of the project, the OPR should be revised to include those changes. Major revisions to the OPR require the documented approval of all the OPR signatories impacted by the change. Other documents formulated from the requirements provided in the OPR should also be revised, as needed, to reflect any approved changes to the OPR.

3.1.1.1 DP-1: The PM will hire a Design Professional (DP). The DP produces and then submits a draft BOD. Depending on the complexity of any given project, the PM, Cx Team, and iCxA may allow the draft BOD to be submitted with the first preliminary (T1) design drawings, determined with Cx scope in step PP-2. When this is the case, steps DP-1, DP-2, and DP-3 will occur concurrently.

DP-2: The Cx Team will review the draft BOD. If revisions are needed, the iCxA and Cx Team will return the draft BOD to the PM with comments.

Note: As revisions to the BOD are made during the project, the PM, iCxA, and Cx Team shall provide comments (as needed) and approve of those revisions. Other design documents formulated from the BOD should also be revised, as needed, to reflect any approved revisions.

3.1.1.2 DP-3: With acceptance of the draft BOD the designer will begin work on the preliminary (T1) design drawings. Concurrently, the Cx Team will develop base Cx requirements (i.e. Cx Checklist) to compare with the contract documents in subsequent reviews.

3.1.1.3 DP-4: When the DP submits the 50% preliminary (T1) design drawings and a preliminary specification list, the Cx Team will perform a Cx design review to ensure the design fulfills the OPR and BOD, and that the specifications match the identified project-specific requirements. The Cx design review will also take into account maintenance feasibility. Should any life safety system components be demolished, altered, or added per the design, review and comments from the Fire Marshal or his/her designee must be documented. If any issues are identified, the Cx Team will return the preliminary (T1) design drawings to the PM with comments. The Cx Team will define project-specific Cx activities.





3.1.1.4 DP-5: The Cx budget if requested will be provided to the PM to be included in the initial estimate. Multiple Cx reviews of design may take place prior to final design.

3.1.1.5 DP-6: As part of standard project procedure, PM or Facilities Engineer representative will reserve Maximo asset numbers.

3.1.1.6 DP-7: When the DP has submitted the 90% final (T2) design drawings and contract documents, the Cx Team will review these for accurate project requirements, general document quality, coordination between disciplines, and consistency with the OPR and BOD. Should any life safety system components be demolished, altered, or added per the design, review and comments from the Fire Marshal or his/her designee must be documented. Review comments by the CxD and iCxA must be documented.

3.1.1.7 DP-8: When the DP has submitted the 100% final (T2) design drawings and final contract documents, the Cx Team will perform a final check for inclusion of proper Cx specifications. Should any life safety system components be demolished, altered, or added per the design, approval from the Fire Marshal or his/her designee must be documented.

3.1.2 Construction

3.1.2.1 CP-1: At the project pre-bid conference, the iCxA will highlight the Cx requirements.

3.1.2.2 CP-2: When a General Subcontractor is selected, they will submit a construction schedule (and submittal list if applicable) within 30 days of bid award. The Cx Team will verify that Cx activities are appropriately included and scheduled, including site visits. The Cx Team and PM will together review the construction schedule to verify inclusion of Commissioning activities for each equipment/system, per subcontractor submittal during the construction phase.





3.1.2.3 CP-3: Throughout the construction phase, the General Subcontractor will provide submittals, which will be reviewed and accepted by the DP and then by the PM and Cx Team. If time does not allow for sequential reviews, these reviews should occur concurrently. The review will be to check the approved submittals against the submittal list submitted by Subcontractor in accordance with LBNL Master Specifications. Equipment/material submittals should include:

3.1.2.3.1 Contracting company name

3.1.2.3.2 Date of submission

3.1.2.3.3 Contracting company’s contact person name and contact information

3.1.2.3.4 Submittal number

3.1.2.3.5 Material/equipment product number

3.1.2.3.6 Material/equipment product description and specification details (drawing if applicable)

3.1.2.3.7 Code/testing requirements and any reports fulfilling those requirements, as applicable, including factory certifications, calibrations, etc.

3.1.2.3.8 Certification of no counterfeit or suspect materials

3.1.2.3.9 Quantity of material/equipment being supplied

3.1.2.3.10 LBNL Specification section reference number of material/equipment

3.1.2.3.11 Submittal engineering review and acceptance sign-off

3.1.2.3.12 Warranty package, Made in USA certification, or approved variance, as applicable

Within 45 days of when equipment submittals are approved (15 days if construction period is less than 60 days), O&M manuals shall be submitted to PM with distribution to include the Cx Team.





3.1.2.4 CP-4: When O&M manuals are received, the Facilities representative will begin creating preventive maintenance job plans for new assets. The iCxA will verify the handover of these documents from the Project team to the MRO representative and T2O DS.

3.1.2.5 CP-5: Prior to the initiation of construction activities, the Cx Team will perform a review of the OPR and BOD to determine if any changes are needed. If revisions to the OPR or BOD are needed, the PM, owner/client, CxD, iCxA, and Cx Team must approve of those revisions. Any documents formulated from the BOD should also be revised, as needed, to reflect any approved revisions. Updates to the OPR/BOD will be made, as needed, throughout construction.

3.1.2.6 CP-6: At the start of construction activities, membership of the Cx Team may be updated. Members no longer required to successfully complete the Cx Process may be dropped and new members may be added (such as construction managers).

3.1.2.7 CP-7: The CxA develops draft functional performance test procedures (FPT) using the sequence of operations and performance parameters provided by the DP, and provides the draft FPT to the PM and Cx Team for review. The General Contractor, PM and Cx Team should provide input regarding the FPT at this time.

3.1.2.8 CP-8: The Cx Team verifies completion of items indicated in the completed pre-functional checklists submitted by the General Contractor (if applicable).

3.1.2.9 CP-9: The Cx Team finalizes the FPT. The FPTs are reviewed and shall be accepted by the PM, Cx Team, iCxA, CxD, DP, and General Contractor.

3.1.2.10 CP-10: The Cx Team updates the Cx Plan Checklist to include FPT. At this stage the Cx Plan Checklist includes the scope, scale, budget, contractor activities and Cx construction schedule.





3.1.2.11 CP-11: As construction proceeds, the Cx Team will witness Cx testing, including the functional performance tests (FPT). In some cases, MRO and occupant trainings will be scheduled concurrently with these tests. As issues are identified, the Cx Team will update the Cx issues log.

3.1.2.12 CP-12: The T20 DS will verify that MRO and/or occupant equipment and system trainings and demonstrations have been completed (see section VIII, MRO and Occupant Training).

3.1.2.13 CP-13: The Cx Team will review final O&M submittals and verify receipt of the systems manuals, as applicable.

3.1.3 Occupancy

3.1.3.1 OP-1: At occupancy, the PM will execute a walk through to develop punch list items. Completed NFPA documentation, including Fire Marshal occupancy approval, is required prior to occupancy. The iCxA will verify that this documentation has been completed. NFPA 3 Recommended Practice for Commissioning of Fire Protection and Life Safety Systems and NFPA 4 Standard for Integrated Fire Protection and Life Safety System Testing will be followed on all projects.

3.1.3.2 OP-2: Within 15 days of occupancy, the PM shall provide the typed punch list of all outstanding work, test, etc., including work assignments.

3.1.3.3 OP-3: Within 30 days of occupancy, the PM will provide the iCxA with projected dates of completion for all punch list items.

3.1.3.4 OP-4: When the project is ready for final acceptance, full resolution of the issues log and all punch list items shall have been completed. All Cx work, with the exception of seasonal testing, shall be completed including verification of all tests and trainings. The iCxA will verify completed and signed copies of required NFPA documentation, including Fire Marshal occupancy approval if not previously provided. When funded, the PM, or Facilities/Sustainability will schedule enhanced and or continuous Cx activity improvements, as applicable.





3.1.3.4.1 Turnover to the Operations requires sign off on the Turnover to Operations Memorandum by the PM, Operations Team Lead, and T2O DS. This form documents completion of all turnover to operations requirements. Copies of this form will be provided to (as applicable):

3.1.3.4.2 PM team (for inclusion with project file)

3.1.3.4.3 Owner/Client Representative

3.1.3.4.4 Condition Assessment

3.1.3.4.5 Space Management

3.1.3.4.6 Operations Team Lead/MRO Representative

3.1.3.4.7 Procurement Contract Administrator

3.1.3.4.8 EH&S Team Lead

3.1.3.4.9 The T2O DS will retain documentation of distribution of these copies through email, i.e. cc.

3.1.3.5 OP-5: After project final acceptance, the T2O DS will perform an asset transition check to ascertain the effectiveness of the transition to operation process. The T2O DS will provide this information for inclusion with the monthly reported Cx project tracking deliverables.

3.1.3.6 The iCxA will also schedule a 10-month warranty review and end of year review as needed. Additionally, the iCxA will check to confirm submission of final As-Built or Record drawings.

3.1.3.7 OP-6: PM, Facilities, and or Sustainability will coordinate seasonal testing, as applicable.

3.1.3.8 OP-7: iCxA will coordinate a 10-month warranty review, as applicable.

3.1.3.9 OP-8: The iCxA will coordinate a final project review one year after warranty activation. At completion of this review, the Cx process is complete.





3.1.3.10 OP-9: The CxD/iCxA will review the Final Cx Report to monitor Cx performance and develop Lessons Learned where needed for future Cx improvement.

3.2 MRO and Occupant Training

3.2.1 Verification of the Effectiveness of Training

3.2.1.1 The T2O DS, iCxA, and or Cx Team will verify the instructor’s effectiveness of the received training by class room observation to assess the extent to which trainees know where pertinent information is within documents provided, and can find it, and understand the system operation sufficiently to walk through the key steps of troubleshooting a problem to resolution. The T2O DS will ensure that attendee sign-in sheets are collected to verify that training was delivered to the intended people.

3.2.2 Training

3.2.2.1 Referenced in Master Specifications Demonstration and Training Requirements tailored for applicability and effectiveness

3.2.2.2 Normal system operations of the facility, including manual/auto and step-by-step instructions for day-to-day operation

3.2.2.3 Adjustment instructions, including information for maintaining operational parameters

3.2.2.4 Troubleshooting procedures, including instructions for diagnosing operating problems and procedures for testing and inspecting

3.2.2.5 Emergency instructions and procedures, as applicable, including those required for operating the facility during various emergencies, including step-by-step instructions for each type of emergency

3.2.2.6 For the above, verify the delivery of classroom training, videos and/or CDs, and Human Machine Interface (HMI) interface controls training as specified





4. ROLES AND RESPONSIBILITIES

The roles and responsibilities provided below are listed in reference to the Cx process only. It is assumed that other responsibilities exist outside of the Cx process for certain roles listed below.

4.1 LBNL Project Manager (including project team) are responsible for…A Process owner of the Project Management Process,

performed in concert with the Cx Process.

A Attends project initiation meeting.

A Participates as member of Cx Team and participates in Cx Team activities.

A Develops preliminary OPR with owner/client and other stakeholders.

A Gains approval of owner/client Cx Team and iCxA for the project OPR.

A Participates with Cx Team to compare the BOD to the OPR and gains approval of the Cx team, iCxA, and CxD.

A Provides project estimate that includes the Cx budget, gains project plan approval and funding.

A Request equipment asset numbers from Computerized Maintenance Management System (CMMS) for inclusion into the Final design drawings.

A As a member of the Cx team, reviews construction schedule and submittal list for inclusion of Cx activities and gains Cx acceptance of the construction schedule.





A Upon approval of CxD and iCxA, reviews and accepts functional performance test procedures.

A Schedules functional performance tests

A Provides completed NFPA documentation to the iCxA for occupancy approval, as applicable.

A Provides the iCxA a copy of the punch list at occupancy.

A The PM (or designee) shall provide MRO and the Cx T20 Documents Specialist (DS) with all warranty management documentation. The PM shall ensure that the owner/client is informed on how to report warranty-related issues.

A Completes requirements of the Turnover to Operations document and gains approval of the Operations Team Lead and Commissioning T2O DS. Warranty claim process is then followed for warranty-related issues.

A Incorporate Cx issues log within final punchlist and completes outstanding items as part of project.





4.2 Commissioning Director is responsible for ….

A Manager of the Cx process and has authority over Cx activities.

A Provides technical expertise for all participants of the Cx process.

A Attends the FAPRA/Project Initiation & Divisional Assignment PIDA meeting.

A Assigns the iCxA and forms a Cx Team for each project.

A The CxD, in consultation with the PM and iCxA, identifies project risks, and from them the Cx steps are developed within the Cx Plan Checklist.

A Reviews the overall Cx Plan Checklist, including requirements, Cx/T2O budget, and activities, in conjunction with the iCxA and PM to ensure they meet the overall project goals.

A Assists iCxA in reviewing and approving the Cx 90% and 100% Title 2 drawings and specifications.

A Reviews final Cx reports and develops Lessons Learned for future projects when needed.

A Updates Cx-related Master Specifications, as needed.

4.3 Internal Commissioning Authority is responsible for...

A Leads and coordinates the Cx process from end (Cx initiation) to end (Cx closeout).

A Lead for the Cx Team.





A Leads support for revisions/updates to the draft OPR with owner’s performance goals and conducts Cx Team reviews to ensure Cx Team input and final approvals to the final OPR.

A After identification of the risks and the Cx plan checklist requirements, the iCxA develops the design stage Cx budget.

A Compares the BOD to the OPR w/ Cx team to confirm the owner’s requirements are met.

A Ensures the Cx Team develops Cx requirements per the Cx Checklist.

A Participates in Cx 50% preliminary (Title 1 - T1) design review.

A Develops an overall Cx project-specific details activity estimate with requested including Cx/T2O budget and activities. Provides this information to the PM for inclusion with the overall project budget.

A Reviews 90% & 100% final (Title 2 - T2) design drawings and provides approval once acceptable to the OPR.

A Attends the pre-bid conference and highlights the Cx requirements.

A Reviews the construction schedule and submittal list for appropriate inclusion of Cx activities.

A Performs Cx specific review of a subset of equipment and material submittals, in conjunction with the Cx Team (against the submittal checklist if applicable). Updates Cx Team membership at the start of construction.

A Reviews Cx Plan Checklist with CxD and PM for concurrence.





A Verifies development of functional test procedures by the Cx Team, or external CxA, and reviews completed pre-functional checklists.

A Verifies the review and final acceptance of functional performance test (FPT) procedures.

A Witness tests and update issues log.

A Verify review by Cx Team of test results

A Verify occupancy requirements from the PM to verify NFPA and AHJ applicable authorization.

A Verify Final Acceptance requirements from the PM.

A Can participate with seasonal Cx, 10-month warranty review, and end-of-year review meeting.

A Develops Cx report or verifies external CxA submittal.

A Finalize and verify the System Manual submittal.

A Uploads Systems Manual to G:drive; Operations_N_Maintenance, Manuals-CX folder.

A Maintains Cx report files.

4.4 Commissioning Team is responsible for…

A Responsible for working together to carry out the Cx process.

A Provides input, reviews and approves the OPR.

A Compare the BOD to the OPR to ensure the owner’s requirements are met.

A Develop Cx requirements during design.





A Review and comment on Cx Plan, Cx Checklist and Cx activities.

A Reviews and/or provides comments on any design and construction documents specified in the project-specific Cx requirements.

A Review construction schedule (and submittal list if applicable) for inclusion of Cx activities. Cx approval is required prior to continuing.

A Performs Cx specific review of a subset of equipment and material submittals, in conjunction with the Cx Team write and/or review functional test procedures and pre-functional checklists.

A Participates in witness tests and reviews FPTs and results. Provides updates to issues log.

A Review and verify tests and training.

A Develop and review systems manual(s).

A At final turn over, Cx team members may be required to approve/accept when Cx requirements have been met.

A Participate in seasonal Cx activities, as applicable.

4.5 Design Professional is responsible for…

A Develops BOD.

A Integrates Cx Specifications.

A Develops preliminary (T1) design drawings and respond to comments, as applicable.





A Develop final (T2) design drawings and contract documents, tracking changes to master specifications. Respond to comments as applicable, including Cx requirements and inspection requirements for the inspector of record.

A Reviews equipment and material submittals.

A Provides sequence of operations and performance parameters.

A Supports Cx as needed and provides resolution to Cx issues.

A Provides As-Built record drawings in accordance with LBNL Construction Details and Design Requirements.

4.6 Owner/Client is responsible for…





A Participates in the development of the OPR and initiates any changes to the OPR during the project.

A Participates in occupant training, as applicable.

A Accepts project results at occupancy and/or final turn over.

4.7 Facilities Representative is responsible for…

A Participates as a member of the Cx Team in all of its activities, including design reviews for maintenance feasibility and maintainability; equipment and document submittal reviews; pre-punch list walkthroughs; punch list site visit. Attends training sessions, Cx meetings, and witnesses OEM demonstration of equipment operation, 10-month Cx warranty reviews.

A Provides CMMS asset numbers and other salient information.

A Prior to acceptance of 100% T2 design, the Facilities representative should check the design drawings to confirm CMMS asset identifications are listed for each piece of equipment and conform to standard LBNL labeling .

A Accepts O&M manuals and develops maintenance job plans.

A Activates assets and preventive maintenance job plans in CMMS.

A Deactivate assets and preventive maintenance job plans for CMMS.

A Manages warranty subcontractors for callbacks with Cx T2O DS assistance. For instances in which no MRO representative is included on the Cx team, the MRO Representative will default to the Maintenance Manager.





A Will notify the PM and Cx T2O DS if and when warranty service is requested. Refer to Warranty Claim Management Work Instructions for more detail.

4.8 Engineering Representative is responsible for…

A Participates as a member of the Cx Team in all of its activities, including design reviews for operational feasibility and sustainability; verifies and validates field conditions/equipment installations are in compliance with contract specification documents; reviews inspection and test records and results; develops (when Engineering performs as PM and accepts responsibility for Cx activities) and reviews construction (pre-startup) checklists, functional tests, functional performance tests, BODs, SOOs and provides system optimization; attends training; witnesses OEM demonstration of equipment operation.

A Provides timely comment on project submittals, equipment and document submittal reviews, as-built record drawings, test results, and Cx reports.

A Attends regular site walks throughout project construction, including pre-punch list and punch list site visits.

A For instances in which no Engineering representatives are included on the Cx team, the Engineering Representative will default to the Engineering Manager.





4.9 Transfer to Operations Document Specialist (Cx T2O DS)

A Verifies Project new warranty submissions as required by Master Specifications for new Assets (see Project Warranty Submission Work Instructions). Records information to MRO files. Reviews for warranty date(s) and complete information necessary for filing warranty claims. Executes entry into Maximo Assets for warranty information. Implements processes for archiving warranty information.

A Executes warranty claim process with WRC, WPC and MRO according to Warrant Claim Management Work Instructions. Collaborates with EH&S in developing SJHA for General Subcontractor and their Subcontractors to perform repairs.

A Receives and reviews O&Ms per Master Specifications from PM and routes to Facilities Engineering for applicability to equipment ordered. Provide O&M information to MRO.

A Receives Overall Training Plan and individual Training Agendas and provides guidance for tailoring requirements. Collaborates Master Planning resources for scheduling training activities with MRO. Attends training, monitors subcontractor’s instructor performance, and verifies attendance.

A Performs an asset transition check for inclusion with the Cx monthly tracking review of project deliverables.

5. DEFINITIONS





TERM DEFINITION

Approval versus Acceptance Approvals in the Cx Process are meant to ensure that requirements have been met for a particular stage prior to continuing to the next step (hold point). An approval will typically require a signature sheet or some other form of verification that an approval has been granted. Acceptance refers to the act of receiving a particular item, whether a document or product.

(Maximo) Asset Number LBNL Assigned Equipment (Asset) Number generated by MRO representative within the Maximo System. An asset is a system, structure, and component that has a life cycle and may require maintenance or service to sustain operations and reliability.

TERM DEFINITION

Basis of Design (BOD) Basis of Design is the Design Professional’s narrative response to the OPR, which details how the design provides the performance and operational requirements of a project and its systems.

Develop a Basis of Design. The Basis of Design (BOD) document records the major thought processes and assumptions behind design decisions made to meet the Owner’s Project Requirements. The Owner’s Project Requirements are intended to capture “what” the owner needs and expects from a project. The Construction Documents detail “how” the Owner’s Project Requirements will be physically achieved. The BOD captures important information linking the “what” and “how”, by the A/E.Content of the Basis





of Design document will vary from project to project and system to system, but in general should address the following:

• Specific codes, standards, and guidelines considered during design of the facility and designer interpretations of such requirements.

• Information regarding ambient conditions (climatic, geologic, structural, existing construction) used during design.

• Assumptions regarding usage of the facility.

• Expectations regarding system operation and maintenance.

• Performance criteria that the system was designed to meet – linked to the Owner’s Project Requirements.

• Specific design methods, techniques, software used in design.

• A narrative statement of design – that verbally describes how the designer intends to meet the Owner’s Project Requirements.

• A narrative statement of operation – that verbally details how the facility is expected to operate under various situations (such as normal operation, extreme event, emergency).

Commissioning Authority (CxA)

A qualified and experienced Cx process person, company, or agency assigned to a specific project, working under the guidance of the internal





LBNL Commissioning Authority (iCxA) or Cx Director (CxD), and the LBNL Project Manager.

Commissioning Director (CxD) The Cx Director manages the Cx Process and supervises the activities of iCxAs. The CxD is accountable for creating project-based Cx Teams, and for capturing, disseminating, and incorporating Cx-related Lessons Learned. The CxD participates in Cx as needed for select projects and provides technical and Cx Process expertise to all participants of the Cx Process.

Commissioning Turnover to Operations Document Specialist

The Cx T2O DS collects documents and manages transfer to operations activities. Manages warranty information, warranty claims, and Project training.

TERM DEFINITION

Commissioning Final Report The documentation package that records the Cx Plan Checklist, test procedures and results of the commissioning process, including the recorded performance of the various systems and components. The final report is available to the PM and MRO for future reference on the Facilities shared drives.

Commissioning Plan Checklist (Cx Plan Checklist)

The document which identifies the deliverables described in the Cx process; such as, OPR, BOD, drawing/specification reviews for Cx requirements, Cx test requirements, occupancy approval requirements, 10-month warranty review, seasonal testing requirements, and lessons learned at the end of the Cx review.

Commissioning Process (CxP)

The quality-focused process for enhancing project delivery. CxP focuses upon verifying and documenting that all project components are planned, designed,





installed, tested, operated, and maintained to meet project requirements.

Commissioning Team (Cx Team)

The Cx Team is made up of the Project Manager, iCxA, Cx T2O Document Specialist, SMEs (such as Engineers, MRO Manager/Supervisor, EH&S, Zone Manager, Design Professional, etc.), and contracted Cx Agents as Cx scope requires. The Cx Team monitors, and documents compliance with the owner’s project requirements and is responsible for working together to carry out the Cx process.

Project Document Reviews per Commissioning Process

Reviews in which specific documents, components, equipment, assemblies, systems, and system interfaces are confirmed to comply with the criteria described in the Owner’s Project Requirements and Basis of Design. Including all modes and sequences of control operation, interlocks, conditional control responses and all specified responses in accordance with design basis requirements.

Component Testing (Pre-functional testing)

The individual pieces of equipment are confirmed to be capable of performing in accordance with the specifications, drawings and manufacturer’s requirements. This is documented in a component test data sheet provided by and completed by the installing contractor/subcontractor, followed by review of the CxA and/or iCxA with Cx team. The information recorded on the data sheet provides baseline data for future re-evaluation of the components or systems.

Functional Test Procedure (FTP)

Written, detailed, step-by-step protocol that defines the means and methods, personnel, and acceptance criteria for conducting tests on components,





equipment, assemblies, systems, and system interfaces. The procedure has provisions for verifying all relevant data, recording the results, and identifying the requirements and responsibility for each test.

TERM DEFINITION

Pre-functional Checklists Checklists developed by the construction General Contractor to verify successful installation of components and equipment prior to the scheduling of functional performance tests.

Design Professional (DP) Architect and/or Engineer providing design services for a given project. The Design Professional can also be referred to as the “Engineer of Record”.

Engineering Representative Engineer(s) in the Facilities Division within the Plant Maintenance and Engineering group that will provide subject matter expertise in a particular discipline as members of the Cx Team

FAPRA/PIDA Meeting

Facilities Project Review and Approval meeting (FAPRA), facilitated by the Project Portfolio Manager. This meeting initiates the Project Management Process and Cx Process. (1-15-2020 – Project Initiation & Divisional Assignment Meeting PIDA)

Functional Performance Test (FPT)

Testing of a component or subsystem against prescribed acceptance criteria, based on the owner’s project requirements, vendor documentation, and/or industry standards to ensure that the structure, systems, and components (SSCs) function and follow a prescribed sequence of operations according to the predetermined design requirements.

General Contractor The construction company subcontracted by LBNL Facilities





Division to execute project-specific deliverables. The General Contractor may, in turn, have secondary and tertiary subcontracts for material and equipment manufacturing, installation, construction activities, etc.

TERM DEFINITION

Graded Approach The approach used to determine Cx requirements by considering specific project risks.

Internal Commissioning Authority (iCxA)

The iCxA provides end-to-end coordination assurance of the Cx process. The iCxA’s responsibilities include ensuring that all Cx Team deliverables are met, is accountable for verification and validation activities, and ensures that all documentation and transition to operations requirements are met.

MRO Representative Point of contact from the Maintenance, Repair and Operations (MRO) group for a particular project who will participate as a member of the Cx Team. This individual will reserve CMMS asset numbers and/or develop preventive maintenance job plans for new equipment. When no MRO representative is assigned to a Cx Team, this individual will default to the Maintenance Manager or his/her designee.

Occupancy Use of a building, structure, or facility by the owner for its intended purpose

Operations and Maintenance (O&M) Manuals

Defines the requirements and procedures for the effective installation, operation, and maintenance of a particular piece of equipment.

Owner’s Project Requirements (OPR)

The OPR document sets the functional goals that the design is judged against and establishes the basis of the criteria used during construction to verify actual performance. The OPR does not





list items that are already required by code. The OPR is generally not a description of what specifically will be included in the project design, but is the more general feature and categorical performance criteria to be met by the design. Where practical and known, the OPR includes measurable indicators used to verify that the performance requirements were met, i.e. Owner’s performance requirements.

Project Portfolio Manager The Project Portfolio Manager administers the portfolio of projects and opportunities, and facilitates the Facilities Project Review and Approval (FAPRA) meetings

Sequence of Operations Detailed written sequences that completely describe the operation for all functional modes (start up, warm-up, auto/normal, maintenance, emergency, alternate energy, power failure, etc.) per each piece of dynamic equipment. The sequences shall be composed in an overview narrative (1, 2 to 3 paragraphs) of the system describing the purpose, components, and function including all interactions and interlocks with other systems to clarify all control strategies with set points: optimization, demand, energy efficiencies, alarming and staging

Small Project A General Plant Project, totaling no more than $5 million

SME Subject Matter Expert

Stakeholders Stakeholders are any persons or groups with an interest or concern with a particular project.

TERM DEFINITIONStructure An element or a collection of elements

to provide support or enclosure such as a building, free-standing tank, basin,





dikes, or stacks.System A collection of components assembled

to perform a function such as piping, cable trays, conduits, or HVAC.

Component An item of equipment such as a pump, valve, or relay, or an element of a larger array such as a length of pipe, elbow, or reducer.

Substantial Completion The date at which a building project, or a designated portion of a building project is sufficiently complete, in accordance with the construction contract documents.

Systems Manual The Systems Manual provides the information to understand the operation of the systems and assemblies, and informs those not involved in the design and construction process about the systems and assemblies.

Preliminary Design Drawings Project drawings that describe the complete design intent of a specific scope of work. Includes a preliminary specification list. Also referred to as “Title 1” drawings.

Final Design Drawings Completed Project drawings and specifications issued for estimating, bidding and/or construction. Also referred to as “Title 2” drawings.

Turnover Turnover refers to the official and documented project turnover to Operations for maintenance and warranty management. The turnover memorandum is the document that defines the deliverables required for acceptance and completion. Turnover requires acceptance and sign-off by the Operations Team Lead (as designated by the Department Head of Operations) and Project Commissioning Team Lead (iCxA). Official sign-off is implemented through the Project Turnover to Operations Memorandum. The iCxA





6. REFERENCES

6. 1 Source Requirements Documents

Requirement ID Title

ASHRAE 0-2019 ASHRAE Guideline: The Commissioning Process

ASHRAE 1.1-2007 ASHRAE Guideline: The HVAC Commissioning Process

NFPA 3 Recommended Practice for Commissioning of Fire Protection and Life Safety Systems

NFPA 4 Standard for Integrated Fire Protection and Life Safety System Testing

NIBS 3-2012 Building Enclosure Commissioning Process BECX

USGBC and LEED US Green Building Council’s Leadership in Energy and Environmental Design

DOE O 414.1D Order on Quality Assurance

also validates that other Facilities groups, such as space management and condition assessment, have received the information they need from projects.





6. 2 Related Implementing Documents

Document Number Title

PUB 3000 LBNL Health and Safety Manual

PUB 3111 LBNL Quality Assurance Program

04.03.001.000 LBNL Quality Assurance Policy

LBNL Master Specifications

LBNL Design and Construction Guidelines

Warranty Claim Management Work Instructions

7. PROCESS MAP





8. METRICS

8.1 Purpose: The implementation of LBNL’s Commissioning Process is meant to provide integrated quality assurance and quality control for projects. With respect to Cx, quality projects should meet the owner/client’s requirements and be designed to be functional and constructible. Projects should also, to the extent possible, meet budget and timeliness goals. Further, the final products produced through projects should be reliable and maintainable. Cx assists with these objectives early during project development by proceduralizing the creation of a formal OPR and BOD, and by ensuring their comparison. By encouraging clarity of project scope through all aspects of the





project, Cx can have a significant positive impact on a project’s success. The identification of commissioning activities early in the project schedule encourages timely action and proactive error resolution.

8.2 Measurable Outcomes:

8.2.01 Days from Occupancy to Project Closeout

Cx will monitor the effect of the new process on the time between occupancy and project close-out. The expectation is that the new Cx process will support timely project completion.

8.2.02 Number of Outstanding punch list items at Occupancy

Cx will monitor the number of punch list items at Occupancy. The expectation is that the new Cx process will support early resolution of issues.

8.2.03 Asset Transition to Maintenance

Cx will track the number of asset transition errors occurring during the transition to operations. The T2O DS will cross check the equipment list, the Maximo LBNL Assigned Equipment (Asset) Numbers list, and the physical assets to identify the percentage accuracy for any given project. As errors are identified, T2O DS will ensure their resolution in collaboration with PM and Facilities Representative. The expectation is that the Cx process will support a more accurate transition to operations.

9. CONTACT

Rev Effective Date

Procedure Owner and Contact Names

Summary of Changes





1.3 Current Dennis Nielsen (Owner)

R. Steven Alford (Contact)

Katherine Eidson (Contact)

Administrative (minor) revision to be consistent with Standard Operation Procedures document formatting. No significant impacts to process other than clarification.

10. REVISION HISTORY LOG

REVISIONNUMBER

REVISIONDATE

BRIEF DESCRIPTIONOF CHANGES MADE

NAME OF PERSONMAKING CHANGE

1.3

2-21-20

Administrative (minor) revision to be consistent with Standard Operation Procedures document formatting. No significant impacts to process Dennis Nielsen

1.2

9-30-15

Administrative (minor) revision to be consistent with Standard Operation Procedures document formatting. No significant impacts to process

1.1

5-31-15

Administrative (minor) revision to provide clarification of responsibilities, activities, and rigor with flow. No significant impacts to process.

1

6-28-13

Revision following control phase (administrative edits throughout the document)

05-14-13 Document development

11. PROCEDURE APPROVALS

REVIEWERAPPROVERAUTHOR TITLE NAME SIGNATURE DATE

Authors CxD, T20 Doc Specialist, ICxA

Dennis Nielsen

Katherine Eidson

R. Steven Alford

02 / 24 / 2020

02 / 23 / 2020

02 / 21 / 2020





Reviewer T20 Document Specialist Katherine Eidson

Reviewer ICxA R. Steven Alford

Approver CxD Dennis Nielsen

12 APPENDICES

02 / 24 / 2020

02 / 23 / 2020

02 / 21 / 2020





ATTACHMENT(S)

12.1 Project Commissioning Plan Checklist

The “Project Commissioning Plan Checklist” is intended as both a roadmap and a quality assurance tool for successfully executing the Facilities Division’s Commissioning Process, as described in the Commissioning Process: Standard Operating Procedure. This checklist provides the Project Manager (PM), the Internal Commissioning Authority (iCxA), and other interested parties the status of commissioning activities for any given project, whether active or archived. Additionally, it serves as a mechanism for collating project-specific commissioning-related documentation for future review.

12.1.1 General Instructions:

12.1.1.1 As projects are initiated, section 1 of the template “Project Commissioning Plan Checklist” is completed with the assigned individuals. The document is then “saved as” in the shared G-drive within the “Commissioning” folder, under “active projects” with the appropriate project name in the document title.

12.1.1.2 As projects proceed and the commissioning process is followed, the table rows in section 2 are completed by the iCxA utilizing track changes. As the iCxA verifies the completion of those items, the iCxA initials the far right column utilizing track changes. Should any process steps not be required (as determined in step 2) on a specific project due to a commissioning rigor determination or lack of applicability, the iCxA will use the highlight function to “grey out” that row and enter “N/A” in each cell.

12.1.1.3 Process steps that require documentation are delineated as such with an asterisk in the column titled “Commissioning Process Step”. Documentation can either be inserted into the “Project Commissioning Plan Checklist” directly in section 3, or the iCxA may list the shared folder where the document is permanently stored.





12.1.2 Column definitions as applicable to the Project Commissioning Plan Checklist

12.1.2.1 Commissioning Process Step: describes a distinct action to be followed as part of the overall commissioning process. Each distinct action is comprised of specific requirement(s) or deliverable(s).

12.1.2.2 Process Step Requirements/Deliverables: describes output(s) necessary for completion of a specific process step. Often (but not always) these outputs will be accompanied by specific documentation.

12.1.2.3 Responsible Individual: describes one specific individual responsible for ensuring completion of a requirement or deliverable.

12.1.2.4 Date Completed: the specific date a process step and all its associated requirements or deliverables were completed. March, 20, 2013 should be completed as 03/20/2013.

12.1.2.5 PM Certification Initials: a PM will type their initials into these cells each time a process step and all its associated requirements have been fulfilled.

12.1.2.6 iCxA Verifying Initials: the iCxA is tasked with verification and validation of all applicable commissioning process steps and their associated requirements and deliverables. As process steps and their associated requirements and deliverables are completed, the iCxA will type their initials into the cells within this column.

Section 1:

Project Title: Sample Project



______________________________________________________________________________________LAWRENCE BERKELEY NATIONAL LABORATORYFacilities Division / MS: 76R0225

Project Manager: John/Jane Doe

Cx Director: Dennis Nielsen

iCx Authority: Steve Alford

Project Location: 076-0235




Section 2:

*Documentation attached below table or found in designated electronic folder.

Commissioning Process Step

Process Step Requirements/Deliverables

Responsible

Individual

Date Complete

iCxAVerifyingInitials

Insert Hyperlink

to Documen

ts

1 Form Cx Team

2 Cx Task Determination per Cx Checklist*

☐ Attach list of perceived risks☐ Project risk level lowLife safety systems

Insert Link

3 OPR Meeting Attendees are:

4 Signed OPR* OPR & Signature SheetNeeded Approvals: Owner, PM, CxD, Cx Team, stakeholders.

Insert Link

5 Preliminary Cx Scope* ☐ Systems/tasks table☐ Scale Cx Requirements & Checklist

Insert Link

6 Cx Planning Budget* Attach budget Insert Link

7 Review and approval of BOD*

☐ BOD☐ Signature sheetNeeded Approvals: PM, iCxA, CxD, Cx Team

8 Develop base Cx Requirements (specifications)

9 50% T1 Cx Design Review*

Attach Fire Marshal, Cx Team Comments

Insert Link

10 Cx Budget Estimate* Approval email or signature sheetNeeded Approval: PM

Insert Link

11 100% T1 Cx Design Review*


Insert Link

12 Maximo Asset Reservation Check




13 50% T2 – Cx Design Review*


Insert Link

14 90% T2 - Cx Design Review*


Insert Link

15 100% T2 & Contract Specifications - Cx Review*

Approval email or signature sheet☐ Fire Marshal or designee approvalNeeded Approvals: CxD, iCxA, Fire Marshal

Insert Link

16 Pre-bid conference* Insert Link

17 Construction schedule review*

Approval email:Needed Approvals: PM, iCxA, Cx Team

Insert Link

18 Submittal Review ☐ Submittal LogReviewers are:

19 Transfer of Draft O&M Manuals to MRO

☐ Forward to SMEs for review, comment, and/or approval

20 Pre-construction Cx Review of OPR/BOD

21 Update Cx Team (as needed)

22 Develop draft Functional Test Procedures and provide to Project Team for review*

Approval email or signature sheetNeeded Approval: PM

Insert Link

23 Pre-functional checklist review*

Attach draft test sheets Insert Link

24 Finalize Functional Test Procedures and PM Acceptance*

Signature sheetNeeded Approvals: PM, CxD, iCxA, Cx Team, DP, GC

Insert Link

25 Occupant & MRO Training

26 Witness Cx Testing* Attach the following documentation☐ Completed pre-functional checklists

Insert Link




☐ Equipment datasheets☐ OEM start-up plan/list☐ IO Checklists☐ Function Tests☐ Functional Performance Tests

27 Issues Log Development ☐ Developed☐ Completed

28 Verify Occupant & MRO Training*

Attach documentation (sign-in sheets, etc.)

Insert Link

29 Finalize System Manuals*

Attach System Manual☐ BOD narrative☐ As-built EMCS control drawings and Sequence of Operations ☐ Set-points and reset schedule matrix and change implications☐ Operating instructions for integrated building systems☐ Instructions for energy savings operations and available strategies☐ Recommended schedule for calibrating sensors, actuators and other control components☐ Recommended schedule for re-commissioning, by system and equipment type☐ Recommended standard trend logs and description of analysis☐ Functional test procedures, blank, from Cx Plan

Insert Link

30 Fire Marshal Occupancy Approval & Required NFPA Documentation*

☐ Emergency lighting preventive maintenance work orders☐ Fire alarm vendor documentation (including asset list)☐ Documentation of occupancy approval from Authority Having Jurisdiction

Insert Link




31 iCxA Occupancy Approval*

Approval email or signature sheet Insert Link

32 Initial Occupancy Punch list submitted by PM*

☐ Inspector of Record walkthrough☐ LBNL In-house SME walkthrough☐ Initial Occupancy Punch list submitted within 15 days of occupancy

Insert Link

33 Punch list including projected completion dates*

☐ Punch list with projected completion dates within 30 days of occupancy (attach)☐ Record number of punch list items at occupancy.

Insert Link

34 Completion of all tests

35 Punch list items complete*

☐ Completed punch list

36 Schedule Seasonal Training and 10-month warranty review (as applicable)

37 All Final O&M Manuals Turned Over to MRO

☐ Final O&Ms transferred to MRO

38 Completion and distribution of Turnover to Operation Memorandum*

Attach signed form and email distribution☐ iCxA to record days from occupancy to project closeout for metrics.

Insert Link

39 Warranty Information Provided to T2O DS for MRO?

☐ Yes☐ No

40.

As-Built Drawings Supplied to Plant Engineering & Space Management (within 60 day post acceptance)

☐ Plant Engineering☐ Space Management

41 Asset Transition Check* ☐ Preventive Maintenance work orders activatedAttach results within 45 days of final acceptance and update metrics.

Insert Link




42 Seasonal testing (as applicable)*

Attach documentation Insert Link

43 10-Month Warranty Review*

Attendees: ☐ Review emergency maintenance and corrective maintenance performance☐ Review warranty calls - number and type☐ Trends per equipment and system performance in accordance with sequence of operationsAttach documentation concerning any action items

Insert Link

44 Final Cx Report Review Insert Link

Section 3:

2. Cx Risk level determination

1. Interrupted Operations/Institution/Science research due to equipment/system failure and deficiencies resulting from lack of QA/QC associated with applied commissioning.

2. Safety equipment/life safety systems e.g. EPO, EEWS, flam cabinet or fume hood, fire detection, protection and notification, not tested per applicable codes and standards could result in interrupted operations/research, non-functioning, inoperable or malfunctioning system(s) that may present hazards to occupants.




3. Personnel safety if smoke damper-detector/ventilation, pressure system does not operate effectively to protect occupants, neighbor occupants or building spaces where potentially exposed during occupancy, access or egress.

See Pub 3111 attachment Quality Assurance Program: Graded approach to application of Controls: Risk impact determination: {Low, Moderate, High}

4. OPR

(insert)

5. Preliminary Cx Equipment/System Scope

(insert)System Equipment Check for

ApplicabilityMRO maintained?

Mechanical System Chillers

Pumps

Cooling tower

Boilers

Piping systems

Ductwork

Variable frequency drives

Air handlers

Packaged AC units

Packaged HP units

Terminal units

Unit heaters

Heat exchangers

Computer room cooling units

Fume hoods

Lab room pressures

Exhaust fans

Chemical treatment systems

HVAC control system

Fire and smoke dampers




Electrical System Sweep or scheduled lighting controls

Daylight dimming controls

Lighting occupancy sensors

Power quality

Emergency power system

UPS systems

Low Voltage Distribution Cable

Distribution Panel Circuit Breakers

Ground Fault Detection

Automatic Transfer Switch

Security system

Communications system

Public address/paging systems

Life Safety System Fire and smoke alarm systems

Fire protection systems

Laser/Radiation secured systemSystem Equipment Check for

ApplicabilityCommunications Public Address Speakers

Amplifiers

Microphones

Other Domestic Hot Water heaters

Refrigeration/Monitoring systems

Kitchen Equipment

Elevator

Walk-in Cooler

Walk-Fume HoodReverse Osmosis/De-ionized systemsGlove Box

Laboratory Process Gas

Eye/Face Wash




Clean Room

6. Cx Planning Budget

(insert)

7. Approved BOD

(insert)

9. 50% T1 Cx Design Review

(insert)

10. Cx Budget Estimate

(insert)


(insert)


(insert)


(insert)

15. 100% T2 & Contract Specifications - Cx Review

(insert)

16. Pre-bid conference

(insert)

17. Construction schedule review

(insert)

22. Develop draft Functional Test Procedures and provide to Project Team for review




(insert)

23. Pre-functional checklist review

(insert)

24. Finalize Functional Test Procedures and PM Acceptance

(insert)

26. Witness Cx Testing

(insert)

28. Verify Occupant & MRO Training

(insert)

29. Finalize System Manuals

(insert)

30. Fire Marshal Occupancy Approval & Required NFPA Documentation

(insert)

31. iCxA Occupancy Approval

(insert)

32. Initial Occupancy Punch list submitted by PM

(insert)

33. Punch list including projected completion dates

(insert)

35. Punch list items complete

(insert)

38. Completion and distribution of Turnover to Operation Memorandum

(insert)




41. Asset Transition Check

(insert)

42. Seasonal Testing

(insert)

43. 10-Month Warranty Review

(insert)


Audit Trail

Title

File Name

Document ID

Audit Trail Date Format

Status

Commissioning Process SOP 00011 Rev 1.3

Commissioning Pro...0011 Rev 1.3.docx

f7da8a443d7e4d5164ab360741cd666d85f6a0bb

MM / DD / YYYY

Completed

02 / 21 / 2020

23:55:51 UTC

Sent for signature to Dennis Nielsen ([email protected]), R.

Steven Alford ([email protected]) and Katherine Eidson

([email protected]) from [email protected]

IP: 131.243.223.147

02 / 21 / 2020

23:58:36 UTC

Viewed by R. Steven Alford ([email protected])

IP: 131.243.96.52

02 / 23 / 2020

18:30:59 UTC

Viewed by Katherine Eidson ([email protected])

IP: 107.77.212.115

02 / 24 / 2020

16:32:48 UTC

Viewed by Dennis Nielsen ([email protected])

IP: 131.243.98.254

02 / 21 / 2020

23:59:09 UTC

Signed by R. Steven Alford ([email protected])

IP: 131.243.96.52

Audit Trail

Title

File Name

Document ID

Audit Trail Date Format

Status

02 / 23 / 2020

18:31:49 UTC

Signed by Katherine Eidson ([email protected])

IP: 107.77.212.115

02 / 24 / 2020

16:34:01 UTC

Signed by Dennis Nielsen ([email protected])

IP: 131.243.98.254

The document has been completed.02 / 24 / 2020

16:34:01 UTC

Commissioning Process SOP 00011 Rev 1.3

Commissioning Pro...0011 Rev 1.3.docx

f7da8a443d7e4d5164ab360741cd666d85f6a0bb

MM / DD / YYYY

Completed