TECHNICAL FEATURE

This article was published in ASHRAE Journal, October 2013. Copyright 2013 ASHRAE. Posted at www.ashrae.org. This article may not be copied and/or
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Technical vs. Process Commissioning

Basis of Design
BY VINCE BRIONES, P.E., MEMBER ASHRAE; AND DAVE MCFARLANE, MEMBER ASHRAE

The basis of design (BOD) document provides building designers and engi-
neers with an effective tool they can use to clearly presentto the owner,
commissioning agent (CxA), contractors, suppliers, and any other third
partiesthe decision, assumptions, and specifications that are being used to
develop the construction documents for a project.
The BOD transforms the raw data from the owners project requirements
(OPR) document (the what) into a detailed, technical, actionable plan (the
how) that will meet the owners objectiveswhich will also help avoid the
scope creep that can derail the project schedule and lead to budget overruns.
Understanding the Basis of Design
ASHRAE defines the BOD as a document that records
the major thought processes and assumptions behind
design decisions made to meet the owners project
requirements (OPR). The design team uses the BOD
document to show how their assumptions and specifi-
cations will enable the completed project to satisfy the
requirements listed in the OPR document. The previous
article in this series (ASHRAE Journal, August 2013) noted
that the owner can use a well-crafted OPR document as a
checklist or scorecard to verify project success.
The BOD document needs to be created early on: after
the schematic design is completed, but before creat-
ing the actual design development documents. Thats
because the BOD must explain the decision processes
behind the design, essentially translating the owners graphs. If photos best explain what you want to convey,
*This is the third in a series of articles that explain the technical commissioning process for new
buildings. The series (and the first article) is titled Technical Commissioning: The Commissioning
Process that Works. Some of these articles content is based on ASHRAE Guideline 0-2005, The
Commissioning Process (published 2005) and the National Environmental Balancing Bureau (NEBB)
Whole Building Systems Technical Commissioning Procedural Standards Manual (revised April
2013). In addition, some of the information in this article has been taken from an unpublished NEBB
standard titled NEBB Standard Owners Project Requirements (OPR) Guideline (June 20, 2011). This
article also draws upon an unpublished sample OPR document created by NEBB for the fictional
ABC Headquarters Office Building (Jan. 2, 2011).
vision into practical design criteriaand improving
the communication process between all parties during
the design phase. As noted in the previous article, the
USGBC has made the OPR and BOD documents manda-
tory for all LEED-NC certified projects (LEED 2009).
Unfortunately, the BOD document is too often forgot-
ten until after the design process. Then something is
thrown togetherwhich ends up of no use to anyone.
Without a BOD document, the CxA cannot fully under-
stand and act upon the design teams actual intentions.
Some Practical Considerations
To help ensure easy understandability by the most read-
ers, write your BOD document in laymans terms (when-
ever possible). Use lots of charts, tables, detailed lists, and
include them, along with clear and detailed captions.
Every member of the design team should be a part of
preparing the BOD document and then maintaining it
throughout the design process. Its not a job for a junior-
level designer or intern. Youll also need to involve the
architectural team, as well as the mechanical, plumb-
ing, and electrical engineers. And dont forget specialty

ABOUT THE AUTHORS Vince Briones, P.E., is senior program manager at Atkins in Austin, Texas, and Dave McFarlane is a principal project director at Atkins in Fort Myers, Fla.

76 A S H R A E J O U R N A L a s h r a e . o r g O CT O B E R 2 0 1 3

disciplines or consultants such as
TABLE 1 
fire protection, security, and audio/
visual providers.
You should factor BOD mainte-
nance into your project schedule.
Then update the document at regu-
lar milestones, such as the 30%, 60%,
90%, and 100% stages of submitting
construction documents.
A Case in Point
Misunderstanding a projects design
intent is one of todays most common
construction-related challenges. And
one of the greatest benefits of the BOD
document is that its clear presenta-
tion of the owners design intent helps
protect the owner, the design team,
the engineers, and the contractors HVAC Noise Duct velocities for systems of 2 in. of pressure and lower shall not exceed 1,200 fpm;
Limitations
from confusion, misunderstandings,
and lost revenue.
We once worked on a museum
project for which the primary exhib-
its were to be marble sculptures.
Equipment Shutoff valves shall be provided at each coil.
Early in the design phaseand after Servicing and Equipment mounting. All floor-mounted equipment shall rest on a 3-in.-thick (minimum)
much debatethe owners autho- Access
rized representative approved a wet-
pipe sprinkler system to save money.
The discussion and the decisions Smoke
approval were noted in the BOD. Detection Control standards. Smoke detection and emergency automatic controls shall conform to
and Fire
But shortly before the proj- Prevention
ect went out for bid, one of the
museums user groups protested that future exhibits
could require a dry-pipe fire protection system. The
group also cited the museums own design-standards
documents, which mandated dry-pipe fire protection.
The use group further maintained that the fire protec-
tion engineer should have known about the dry-pipe
mandate, and should have included such a system as
standard practice. But no one could recall why a wet-
pipe system had been specified.
Good news: Because the project had a thorough BOD
document that clearly identified the wet-pipe system
change during the design, the fire protection engineer
was able to clearly show the owner how the wet-pipe
decision was made. The owner then authorized the
return to a dry-pipe system, and agreed that the design
team should not be expected to eat the change. As a
TECHNICAL FEATURE
Sample HVAC design criteria.
ITEM DESIGN CRITERIA
Minimum ventilation rates shall be 5 cfm per person and 0.06 cfm/ft2 of building surface;
the ventilation rate for the entire building shall be 3,000 cfm. Building ventilation rate shall
meet the minimum requirements of the latest version of ASHRAE Standard 62.1.
Inside pressure. Ventilation and air conditioning systems shall maintain a positive pressure
of 0.02 in. inside the building (compared to the exterior) to minimize air and dirt infiltration.
The volume of fresh air shall be sufficient to maintain positive pressure inside the facility
(compared to outside).
Infiltration/exfiltration offset. An additional amount of conditioned air shall be included to
offset the effects of infiltration and exfiltration. The allowable leakage rate at 50 Pa shall be
Building 0.2 cfm/ft2 of building surface; maximum infiltration wind speed shall be 15 mph.
Ventilation Air filtration. Air-handling units shall include two stages of filtration: The pre-filter shall
have a maximum efficiency reporting value (MERV) of 8 (per ASHRAE Standard 52.2-2007),
and the final filter shall have a value of MERV 13. Units shall be sized and selected with
respect to the dirty filter condition. Filters shall be of medium efficiency (30%), as defined
by the latest version of ASHRAE Standard 52.2. There shall also be adequate space for filter
removal and replacement.
Outside air intakes shall be a minimum of 10 ft above the ground and a minimum of 15
ft away from any exhaust-air discharge openings or plumbing vents. Intakes shall be sized
so free-air velocities fall below 500 fpm. Intakes shall be equipped bird screens, and with
weatherproof and sand-removing louvers.
Noise levels. HVAC-generated noise shall not exceed NC 45 in the data center, NC 35 in
circulation areas, and NC 30 in open offices, private offices, and conference rooms.
velocities for systems greater than 2 in. shall not exceed 2,400 fpm.
Fluid flow and pipe velocities shall be less than 6 fps for pipes less than 4 in. in diameter;
for pipes larger than 4 in., velocities shall be less than 8 fps.
Minimal service interruption. The design shall enable the buildings main HVAC
equipment to be serviced, maintained, and repaired with minimal interruption to building
functions.
concrete housekeeping pad. The design shall employ vibration-isolating elastomeric pads to
reduce transmitted vibration.
Accessibility. There shall be 3 ft of access space around each piece of mechanical equip-
ment, as well as enough space to allow coils to be to be removed and replaced.
the latest National Electrical Code (NEC) NFPA 90A and NFPA 72 standards.
result, the designers were able to charge a fair price for
the required redesign services.
Different Needs, Different Documents
Sometimes architects and engineers confuse the BOD
document with the narratives they create during project
pursuit. Design professionals sometimes say, We dont
need to produce an additional document. Weve already
provided the owner with an RFP-based narrative that
describes our design plan.
Its essential to understand that the RFP, the early
design narratives, the OPR, and the BOD are all differ-
ent documents that serve different purposes. Without this
understanding, the design team can be well into the
design process before the owner realizes the project has
taken a turn that deviates from his or her requirements.
O CT O B E R 2 0 1 3 a s h r a e . o r g A S H R A E J O U R N A L 77
TECHNICAL FEATURE

TABLE 2 
Sample indoor design criteria.
PRESSURE CO 2 ABOVE LIGHT
SUMMER TEMP HUMIDITY WINTER TEMP SOUND LEVEL VIBRATION LEVEL
SPACE TYPE RELATIONSHIP AMBIENT LEVEL
(F DRY BULB) (SUMMER/WINTER) (F DRY BULB) (NC) (IN./SEC)
(PSI) (PPM) (FC)

All Spaces (Except 30 in Offices &

Occupied: 75 Occupied: 70
Utility Spaces And 40%/Float +0.01 to Hall 350 Conference Room 0.016 40
Night Setback: 81 Night Setback: 63
Data Center) 30 in Open Cubicles
Utility Spaces (Such
as Electrical & 10 Above Ambient 50% 63 +0.01 to Hall 350 40 0.032 30
Mechanical)
72 72
35% (Summer &
Data Center (No Night Winter) (No Night +0.01 to Hall 350 45 0.008 30
Setback) Setback)
[Adapted from NEBBs unpublished sample OPR document (Jan. 2, 2011), p. 14. Vibration values based on Sound and Vibration Design and Analysis; NEBB, 1st Edition (1994).]

And the later in the design phase

TABLE 3 
Sample lighting and electrical design criteria.
that the owner calls for changes,
the more expansive they become ITEM DESIGN CRITERIA

and the more frustrated the owner Controls. The entire facility shall be on a timed lighting control system with photocells.
Lighting shall also be controlled manually by local switches that have motion-controlled
becomes. occupancy sensors.
Lighting fixtures in offices, cubicles, conference rooms, break rooms, utility rooms, the
Building the Document lunchroom, and the data center shall be recessed, high-efficiency linear fluorescents with
energy-saving, low-mercury lamps. Lobby lighting shall use metal-halide lamps, LED (light-
To ensure the BOD meets all of Interior emitting diode) downlights, and LED accent lights. Restrooms shall have LED downlights.
the owners needs and desires, it Lighting Exit signage and emergency lighting shall be equipped with a 90-minute emergency
battery pack. Exit signs shall use LED illumination.
should address in detail the design Light levels setpoints (in foot-candles) shall be 40 fc; except in the data center and
elements identified in both the RFP mechanical, electrical, and storage rooms, which shall be 30 fc.
Lighting heat gain. The heat gain from lighting fixtures shall be obtained from the lighting
and the OPR. Hopefully, the OPR power density factors defined in the latest version of ANSI/ASHRAE/IES Standard 90.1, and
captured all of the owner require- shall be based on the actual lighting installed in the building.
ments in the RFP, but its a good idea Lighting elements/power density. All exterior lighting shall employ LED lamps, and shall
to review the OPR against the RFP. be designed to use less than at least 25% of the allowable lighting-power density based upon
the latest version of ANSI/ASHRAE/IES Standard 90.1.
Project description. As noted in Exterior Zones of illumination. All site lighting shall have minimal trespass over the property line. All
the previous article, the OPR must Lighting exterior lighting shall comply with LZ3 zone requirements as defined by the latest version of
IESNA RP-33L.
serve as the source document for Fixtures shall be either pole- or wall-mounted, with angled shade to reduce light pollution.
the BOD. So the first major section Total lumens above 90 degrees from nadir shall be less than 5%.
of the BOD should be a restatement Design codes. The electrical design shall comply with the Minnesota Building Code, all
of the OPRs project descriptionan applicable local codes, and the requirements of the latest version of NFPA 70.
Electrical Building utilization voltage shall be 277/480 volt, 3-phase, 4-wire. The calculated service
overview of the buildings purpose Requirements size shall be 1,250 amperes.
and essential functions.Be sure to Grounding shall be in accordance with the latest version of NFPA 70, article 250. Raceway
systems shall be concealed, except in mechanical and utility areas.
include the data from the key charts
and tables in the OPR that will drive
the design teams efforts, such as the space utilization purposeful intent to preserve the owners requirements
table, the outdoor design criteria table, the indoor in its design efforts.
design considerations table, and the complete, updated Codes, standards, and specifications. Like the OPR,
list of all authorized vendors, suppliers, and contractors. the BOD states that the building must comply with all
Youll also need to include an updated project sched- applicable federal, state, regional, county, city, and local
ule in the BOD, and this section of the document is a codes, standards, and specifications.
good place to display it. By capturing the overall project But unlike the more general statements in the OPR doc-
description and key related information from the OPR ument, the BOD must include specific details for all of the
document, the design team demonstrates not only its applicable codes and specifications that must be satisfied
clear understanding of the projects purposebut its by every project disciplinethat way both the design and
78 A S H R A E J O U R N A L a s h r a e . o r g O CT O B E R 2 0 1 3
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TECHNICAL FEATURE
the construction teams can take them TABLE 4 
Sample building envelope design criteria.
all into consideration. The sample ITEM
HVAC criteria here are based on stan-
dards adopted by Minneapolis.
While the OPR might generally
Windows
state that the building will meet
all applicable ASHRAE standards,
the BOD must be more specificso
the designers know exactly which
Walls
code to follow in their designs. As a
result, the BOD might state that the
building shall meet or exceed ANSI/
ASHRAE Standard 62.1-2010.
Roof
By specifying the exact codes and
standards required, the BOD identi-
fies how the design team will meet the
owners requirements. In addition, a
careful delineation of codes and standards not only helps
prevent cutting corners, but also helps answer questions
about why something was designed in a certain manner.
HVAC design. The BOD must explain how the build-
ings HVAC systems will be designed in accordance
with the project RFP, the OPR, and all applicable codes,
standards, and regulationsas well as any other essen-
tial design criteria (which should also be described in
the BOD). For example, the sample OPR in the previous
article called for total energy consumption of less than
70 kBtu/ft2 per year. The BOD must explain how the
components will meet this requirement (Table 1).
Indoor and outdoor design. The OPR should include
detailed charts that describe the owners expectations
for the buildings interior and exterior environments
(temperature, humidity, CO2 levels, etc.). The BOD must OPRwill provide a starting point for whatever monitoring
restate those considerations and refine them as needed. tool the owner wants to use to track resource consumption.
For this series were assuming our sample building
is being constructed in Minneapolis; so its indoor and
outdoor design criteria are based on ASHRAE data for
Minneapolis (see Table 2, Page 78, for sample criteria).
Lighting and electrical systems. The previous article
made little mention of owners lighting expectations; but
those specifications must be thoroughly documented in
the OPR and BOD. Certainly, the building owner wants
to maximize light output for occupant comfort. But the
owner also wants to minimize energy use and mainte-
nance requirements. So the BOD must give the design
team the needed data to translate the owners desires into
actionable design (see Table 3, Page 78, for sample criteria).
Building envelope. While the building envelope was
80 A S H R A E J O U R N A L a s h r a e . o r g O CT O B E R 2 0 1 3
DESIGN CRITERIA
Fenestration percentage. The percentage of glass on the buildings exterior shall be 40%.
Window specifications. All exterior windows shall be specified to help prevent unwanted solar
heat gain in summer, while still harnessing direct solar radiation in winter. Visible light transmit-
tance (VLT) shall be at least 0.75.
Insulating value. The U-value of all exterior windows shall be at least 0.55.
The solar heat gain coefficient (SHGC) of all exterior windows shall be 0.40.
Interior wall panels shall be 5/8-in.-thick gypsum board over metal framing (16 in. on
center).
Exterior curtain wall assemblies shall be double-pane insulated and fully climate-appropriate.
Insulating value. The maximum U-value of all exterior walls shall be 0.032.
Framing. The roof shall be metal-framed.
Overlayment material shall be -in.-thick protection board.
Moisture barrier shall be either white thermoplastic polyolefin (TPO) membrane or Gal-
valum deck.
Insulation shall be entirely above deck with continuous layers of open-cell foam as needed to
achieve a minimum rating of R-30.
only minimally addressed in the previous article, that
doesnt mean it shouldnt be a key element of the BOD.
As with every aspect of the BOD, defining the envelope
criteria must be a team effort. For example, a key enve-
lope design element is establishing the sealing levels
that will achieve the owners desired infiltration rate
which is data that should come from the architect. Although a
mechanical engineer or energy modeler can evaluate
the performance of various building materials, they may
not understand the physical or budgetary impacts of (for
example) changing a roofs insulation specification from
R-20 to R-40 (see Table 4 for sample criteria).
Utility baselines. The BOD should include projected
monthly utility baselines for electrical, gas, and water
usage. These baselineswhich you can extract from the
Additional energy-usage factors. The BOD must also
address any other systems or equipment that will affect
the buildings energy use, such as loads for occupants,
miscellaneous equipment, and any specialty areas such
as kitchens, fitness rooms, and server rooms.
Sustainability goals. A key element of the BOD is a
description of the owners sustainability goals. Typically,
this includes the owner-mandated LEED rating, as well
as the version of LEED to be used in the project. The
description should include specific details, such as:
The facility is required to achieve LEED-NC Gold rating
under LEED Version 3.0.
LEED certification is not the sole responsibility of the
design teamevery party and person involved in the project

must actively support the owners efforts toward LEED
certification. LEED certification is definitely a chain that
is only as strong as its weakest link.
Maintenance staff training. The requirements for the
owners staff training that are defined in the OPR must
be included in the BOD. Be sure to include details that
show the amount of time that will be spent on training
and the types and methods of training that are planned.
Project delivery, budget, and milestones. Its impor-
tant to describe the project delivery method the owner
intends. This could be a bid plan and specification,
design-build, gross maximum pricing, or other method.
Also include descriptions of the budget, all known
required meetings, and project milestonesall of which
should be obtainable from the OPR document.
Additional design concerns. Many other design
concerns must be captured in the BOD. Space doesnt
permit us to mention them all, but be sure to describe
any BIM requirements, all specialized software (such as
simulation tools for energy modeling), coordination of
work between the various engineering disciplines, any
desired measurement and verification programs, and
any QC or QA processes the owner wants.
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TECHNICAL FEATURE
Commissioning requirements. If the building isnt
properly commissioned, you probably wont end up with
a truly satisfied owner. So capture and update all of the
commissioning requirements, and build the CxAs build-
ing-specific requirements into the BOD. The commission-
ing scope of work table and the commissioning phases
and responsibilities table should be key parts of the BOD.
To ensure the buildings ongoing optimal performance,
consider adding to the project plan a comprehensive
annual commissioning check-up.
Conclusion
Like the OPR, the BOD is an interactive tool that must
be revised as the owner and design team make decisions.
Especially as the project evolves, and budget and time
constraints enter the picture, youll need to adjust the OPR
and the BOD documents. Remember, the owners require-
ments drive the basis of design; not the other way around!
So dont view the BOD as a burden. View it as a key ele-
ment in an effective communication processthe kind
of process that will help ensure that the owners voice is
heard accuratelywhich is how the owner will end up
with a building that meets expectations.
O CT O B E R 2 0 1 3 a s h r a e . o r g A S H R A E J O U R N A L 81