the commissioning process

COMMISSIONING PROCESS

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

by David J. MacKay LEED AP, CPMPApplied Energy Solutions

Building Science Consultations

APPLIED ENERGY SOLUTIONS

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

• Commissioning Defined

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

• Ongoing Commissioning

• Commissioning Keys to Success

COMMISSIONING FRAMEWORK

Total Building Commissioning Process

ASHRAE Guideline 0-2005: The Commissioning Process (Used

as a foundation for ASHRAE Guideline 1, NIBS Guideline 3,

and other Total Building Commissioning Process

technical guidelines

ASHRAE Guideline 1-2007: HVAC&R Technical

Requirements for the Commissioning Process

NIBS Guideline 3-2006: Exterior Enclosure Technical

Requirements for the Commissioning Process

Guidelines 2-200X & 4-200X through 14-200X: Technical commissioning guidelines

dealing with structure, electrical, lighting, interiors,

plumbing, etc.

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

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

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

• Total building Commissioning (Cx) guidelines are in the works:

– Guideline X Plumbing (ASPE)

– Guideline Y Lighting (IESNA)

– Guideline 1.2 Existing HVAC&R (ASHRAE)

– Guideline 1.3 Operator Training (ASHRAE)

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

COMMISSIONING DEFINED

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

– Communication– Documentation– Verification

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

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

• It is a Team sport—for successful commissioning, everyone must buy in to and participate in the process

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

* ASHRAE Guideline 0-2005: 4. Definitions

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

• Must address quality as well as quantity

• Must include verifiable benchmarks (criteria)

• OPR is completed during pre-design

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

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

• The Commissioning Team uses methods and tools to verify that the project is achieving the Owner’s Project Requirements throughout the delivery of the project.

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


PRE-DESIGN PHASE

• Develop the Owner’s Project Requirements (OPR)

• Review lessons from previous projects

• Identify Cx scope and budget

• Develop initial Cx Plan

• Owner acceptance of pre-design Cx activities

* ASHRAE Guideline 0-2005: 6.1.2… Objectives

• To get the process off on the right foot

• Ensure development of a thorough OPR document

• The Commissioning Authority (CxA)

• The Cx Team

• Pre-Design Cx Documents

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

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

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

• THE CXA WILL NOT SINGLE-HANDEDLY COMMISSION A PROJECT

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

• Should have a background and experience to match project expectations

• Will act in the best interests of the owner

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

• Will lead the Cx Team and team meetings

• Should have outstanding people skills


• The Commissioning Team


• Includes many members:– CxA– Programming Consultants– Owner’s representatives

• Users• Maintenance Staff

– Design Team representatives– Contractor representatives (if possible)

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

• The team is led by the CxA

• The team will complete a variety of tasks

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

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


• The Commissioning Team


• OPR

• Cx/design service contract integration

• Cx Plan

• Issues Log

• Systems Manual

Project Inception

Pre-Design Phase

Form Building Development Team

Project Review

Meeting

Develop Design/Constructio

n Mgmt. Plans

Other Pre-design Services

Owner Acceptance of Pre-Design Products

To Design Phase

Develop Overall Building Budget

Develop Building Program

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

Participate in Project Review Meeting-S5.2

Develop Owner’s Project

Requirements-S5.2.2

Determine Commissioning

Scope & Budget-S5.2.2[c]

Develop Initial Commissioning

Plan-5.2.4

Owner Acceptance of Cx Products

To Design Phase

Building Development Process

Commissioning Process


DESIGN PHASE

• Update the Commissioning Plan

• Verify the Basis of Design

• Develop commissioning process requirements for the Construction Documents

• Develop draft Construction Checklists

• Develop draft Test Procedures

• Define training requirements

• Perform OPR-based design preview

• Update OPR


• Prepare for construction phase Cx activities

• Verify design decisions and documentation match OPR

• The Cx Team

• Design Phase Cx Documents

• Ensuring the Contractor is on Board

• Design Phase Verifications

• CxA

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

• Design team representatives (including specialty consultants)

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

• Major equipment/assembly manufacturer representatives

• The Cx Team




• Basis of Design (BOD)

– This is considered a formal Cx process document that captures—in a usable format—key design influencing assumptions, methods, selections, and decisions

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

– Construction Documents show WHAT was selected but not WHY

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

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

• BOD document typically includes:

– Codes, standards, guidelines used

– Basis for system/assembly selection

– System and assembly options considered

– Calculation/analysis methods used

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

– Narrative descriptions of system/assembly operations

– Narrative descriptions of system/assembly control sequences

– Equipment/products used as a basis of design

• Cx Plan

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

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

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

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

• Construction Checklists

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

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

– Typically will be completed in stages as construction progresses

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

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

• Test Procedures

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

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

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

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

• Systems Manual

– A critical document for the owner

– Requires input from:• Design team- need for input called out during pre-design and product verified

during design phase• Contractor- responsibilities must be included in the contract documents during

design phase• CxA

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

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

• Issues Log

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

– It should be easy to access and use

– It should be helpful (not litigious)

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

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

• Training Plan

– Constitutes a defined section of the Cx Plan

– Lays out training needs and expectations

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

– Outlines training verification

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

– Will likely require involvement of design team members

Document Responsibility

Basis of Design Design Team

Cx Requirements for Construction Documents

Design Team & CxA/Cx Team

Construction Checklists Design Team & CxA/CxTeam

Test Procedures CxA/Cx Team

Training Plan CxA/Cx Team

Systems Manual-Content and Contract Document Requirements

Design team

Issues Log CxA/Cx Team

Cx Plan CxA

• The Cx Team




• Communicating commissioning process requirements to the contractor

– Specifications

• General Conditions requirements

– Participation in activities

– Ramifications for non-compliance

• Section specific requirements

– Construction Checklists

– Test Procedures

– Training

– Provide a clear picture of responsibilities

– Allow for a reasonable bid to be prepared

– Permit impacts on schedule to be reasonably estimated

• The Cx Team




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

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

• Sampling of design documents is highly recommended as a procedure

• The owner possesses ultimate acceptance authority

From Pre-Design Phase-S5

Design Phase: Schematic Design

S6

Project Objectives Meeting

Select Systems

Prepare Schematic Design Documents


Owner Acceptance of Schematic Design

Products

To Design Development Phase

Identify Macro System Options

Participate in Project Objectives Meeting

S6.2.9.1

Prepare BOD Document S6.1.1& S6.2.2.1

Update Cx Plan

S6.2.3.1(a)

Final Objectives Review for Phase S6.2.9.2

Owner Acceptance of Cx Products S6.3

To Design Development Phase

Update OPR

S6.2.8.1Reviews of Design Documents S6.2.8

Determine Systems Manual Structure S6.2.6

Determine Training Requirements S6.2.7

Update Cx Team S6.2.1

Evaluate Options



From Design Phase: Schematic Design S6

Design Phase: Design

Development S6


Prepare Design

Development Documents


Owner Acceptance of Design Development Products

To Design Phase: Construction Documents

S6

Identify & Evaluate Micro System Options

Participate in Project Objectives Meeting

S6.2.9.1

Design Reviews S6.2.8

Update Cx Plan

S6.2.3.1(b)

Participate in Project Objectives Meeting S6.2.9.2

Owner Acceptance of Cx Products S6.3

To Design Phase: Construction Documents S6

Update Training Requirements

S6.2.7

Update Systems Manual S6.2.6

Update BOD S6.2.2.2 Update OPR S6.2.2.2

Update Cx Team S6.2.1

Refine Design of Systems



From Design Phase: Design Development S6

Design Phase: Construction Documents


Prepare Construction Documents


Owner Acceptance of Construction Documents

To Construction Phase

Identify Outstanding

Enclosure Issues

Participate in Project Objectives Meeting S6.2.9.1

Cx Reviews of Design Docs. S6.2.8

Construction Checklists S6.2.5


Acceptance Requirements S6.3

Final Objectives Meeting for Phase S6.2.9.2

Owner Acceptance of CxProducts S6.3

To Construction Phase

Training Requirements S6.2.7 & S6.5

Develop Cx Process Req. for Const. Documents S6.2.4

Update Cx Plan S6.2.3.1(b)

Review @ 20% of systems re BOD S6.2.8.4

Develop Cx Req. for Constr. Documents S6.4

Update OPR S6.2.2.2 Update BOD S6.2.2.2




CONSTRUCTION PHASE

• Verify that submittals meet the OPR

• Finalize Construction Checklists and Test Procedures

• Verify that systems and assemblies meet the OPR

• Verify training of owner’s personnel

• Verify the Systems Manual

• Update the OPR and Cx Plan


• To verify construction activities

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

• Meetings and Communications

• Updating Cx Documents

• Submittal Reviews

• Construction Checklists and Test Procedures

• Training

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

• Cx Team Members:– CxA– Owner’s representatives

• PM • O&M staff

– Design team representatives (including specialty consultants)– Contractor representatives

• Subs• TAB• Controls

– Major equipment/assembly manufacturer representatives





• Training

Document Action Responsibility

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

Design team

OPR update Update as required by owner change orders and contractor substitutions

Cx Team (w/owner explicit agreement)

Construction Checklists

Finalize and implement Used by contractor, verified by Cx Team

Test Procedures

Finalize and implement Used by contractor, verified by Cx Team

Systems Manual

Complete and verify Completed by assigned party, verified by Cx Team

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

Issues Log Use Used by Cx Team

Cx Plan Update and expand CxA





• Training

• Principles:

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

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

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

to approach this. • Spell out sampling % in RFP

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

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

• Quandaries:

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

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

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

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

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

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

• Implementations:

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

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

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

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



• Submittal Verification Reviews


• Training

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

• The verification process is seeking systemic problems

• Minor deviations would be addressed via the Issues Log

• Major deviations might require concerted action from the Cx Team

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

Example Construction Checklist

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





Example Test Procedure

ASHRAE Guideline 1.1-2007



• Submittal Verification Reviews


• Training

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





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





From Design Phase: Construction Documents

Construction Phase S7

Pre-Bid Conference

Receive Submittals

Laboratory Testing

Field Mockups

Sample Testing

Participate in Pre-Bid Conference S7.2.2

Verify & Coordinate Submittals S7.2.7

QA/QC Plan & Site Specific Testing Plan

Pre-Installation Meeting for Mock-Ups

Verify Lab Performance

Update OPR & BOD S7.2.4

Verify Sample

Verify Mockup Performance

Update Issues Log

Verify Systems Manual and Const. Checklist S7.2.16

Update Cx Team S7.2.1.2



From Construction Phase Part 1

Construction Phase Part 2 S7

Pre-Construction Meetings

Install/Construct Exterior Enclosure Components &

Systems

Owner Accepts Substantial Completion

of Exterior Enclosure

To Occupancy and Operations Phase S8

Pre-Construction CxProcess Meetings S7.2.6

Verify Construction Checklist Completeness S7.2.15(c)

Direct & Verify Tests S7.2.13

Update Cx Plan S7.2.5

Owner Acceptance of CxProducts S7.3

To Occupancy and Operations Phase

Provide Training & Update Requirements

S7.5

Update Issues Log S7.2.16(i)

Resolve Issue

Update OPR & BOD S7.2.16.1(f) & S7.2.16.1(g)

Update Issues Log S7.2.16.1(i)

Resolve Issue



From Construction Phase

Occupancy and Operations Phase S8

Substantial Completion Meeting

Owner Begins Beneficial Use

Ongoing Operation, Maintenance, and Modification of the Building

Systems, Assemblies and Components, and their Associated

Documentation

Owner Final Acceptance of

Constructed Building

End of Typical Building Development Contract

Contractual Warranty/Correction

Period Begins

Participate in Substantial Completion Meeting S8.1

Update Owner’s Project Requirements S8.1.1

Direct & Verify Seasonal Tests S8.2.1.3(b)


Resolve Issue

Docum. Req. S8.4

Owner Acceptance of CxProducts

Acceptance Req. S8.35 Training Req S8.5

Coordinate Contractor Callback S8.2.2

Performance Verification S8.2.3




OCCUPANCY & OPERATIONS PHASE

• Complete seasonal or deferred testing

• Minimize contractor callbacks

• Document lessons learned

• Assist with any warranty issues

• Provide assistance with ongoing facility operations to meet the OPR

• Close out the process via formal owner acceptance


• Close out the (initial) commissioning process

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

• The Cx Team


• Lessons-Learned Workshop

• Final Cx Report

• CxA

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

• Design team representatives (as required)

• Contractor representatives (including subs)

• Major equipment/assembly manufacturer representatives (as required)

• The Cx Team



• Final Cx Report

Document Action Responsibility

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

Design team

OPR update Update as required by owner change orders and contractor substitutions

Cx Team (w/owner explicit agreement)

Systems Manual

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

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

Issues Log Close out Cx Team

Cx Plan Develop and deliver CxA

• The Cx Team



• Final Cx Report

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

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

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

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

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

• The Cx Team



• Final Cx Report

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

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

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

• System performance benchmarks

• Lessons Learned

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


ONGOING COMMISSIONING

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

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

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

From End of Typical Building Development Contract

Ongoing Operation, Maintenance, and Modification of the Building Systems, Assemblies, Components, and their

Associated Documentation

Continue

Update Owner’s Project Requirements

S8.6.1

Direct & Verify Periodic Tests and Benchmarks S8.6.1

Maintain Systems Manual S8.6.1

Whole Building Performance

Verification S8.6.2

Resolve Issues

Continue

Ongoing Building Operations



KEYS TO SUCCESS

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

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

“who” and “if-then”

• Enforcement of Cx related contract provisions

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

• Well reasoned clarity of purpose

• Verification by Cx Team of all key elements against OPR

• Serious owner buy-in and support

• Owner Acceptance of all Deliverables/Products

QUESTIONS?

the commissioning process

Documents

owner explicit orders

including specialty consultants

require concerted action

contractor substitutions agreement

cx products s6

owners project requirements

commissioning team pre

cx team pre