Comissioning Plan

ANSl/ASHRAE/IES Standard 202-2013
Commissioning Process
for Buildings and Systems
Approved by the ASHRAE Standards Committee on June 22, 2013; by the ASHRAE Board of Directors on June 23, 2013;. by the
IES Board of Directors on June 28, 2013; and by the American National Standards Institute on July I, 2013.
This standard is under continuous maintenance by a Standing Standard Project Committee (SSPC) for which the Standards Com
mittee has established a documented program for regular publication of addenda or revisions, including procedures for timely,
documented, consensus action on requests for change to any part of the standard. The change submittal form, instructions, and
deadlines may be obtained in electronic form from the ASHRAE website (www.ashrae.org) or in paper form from the Manager of
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© 2013 ASHRAE ISSN I 041-2336
� l>l"erican Nationat
•• www.ansi.org
© ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, distribution,
or transmission in either print or digital form Is not permitted without ASHRAE's prior written permission.
ASHRAE Standing Standard Proj ect Committee 202
Cognizant TC: TC 7.9, Building Commissioning
SPLS Liaison: Janice C. Peterson
IES Liaison: Rita M. Harrold
Ge rald J. Kettl e r, Chair* D aniel J. Lemie ux*

Ch arles E. D organ , Vice Chair* Jam e s I. M agee *
Walte r T. Grondzi k , Secretary* Wi l l i am J. McC artney*
M ich ael A m st adt* Je an-Franc oi s Pelleti e r*
Al onz o B. Bl al ock Rod Rabol d *
Bradley A . Brook s* Reinh ard G . Seidl *
Tim othy F. C orbett Kenneth Simp son
H arry J. Enck* Ole Tei sen
Justin F. Garn e r Bri an E. Toeve s
Den n i s E . Jone s* Je ff J. Trayl or*
Earle Kennett T. D avid Unde rw ood
Mich ael Kh aw Stephen R. Wi ggin s*
*Denotes members of voting status when the document was approved for publication
ASHRAE STANDARDS COMMITTEE 2012-2013
Kenneth W. C oope r, Chair Julie M . Ferguson Janice C . Pete rson

Wi lli am F. Walter, Vice-Chair Kri shn an Gow ri H e athe r L. P l att
D ougl ass S . A bram son Cecily M . Grzywacz Ira G. Post on
Karim Am rane Rich ard L. H al l D ougl as T. Reindl
Ch arl e s S . Barn aby Rit a M . H arrold Jam e s R. Tauby
H oy R. Boh an on , Jr. Ad am W. Hin ge Jam e s K. Val l ort
Steven F. Brun i n g De bra H . Ken n oy C rai g P. Wray
D avid R . C on ove r Jay A . Koh l e r Ch arl e s H . C ulp, Il l , BOD ExO
Steven J. Em m e rich Rick A . Larson C on st antin os A. Bal aras, CO
M ark P. M ad e ra
Steph anie C . Rei niche, Manager of Standards
SPECIAL NOTE
This American National Standard (ANS) is a national voluntary consensus standard developed under the auspices of ASHRAE.
Consensus is defined by the American National Standards Institute (ANSI), of which ASHRAE is a member and which has approved this
standard as an ANS, as "substantial agreement reached by directly and materially affected interest categories. This signifies the concurrence
of more than a simple majority, but not necessarily unanimity. Consensus requires that all views and objections be considered, and that an
effort be made toward their resolution:' Compliance with this standard is voluntary until and unless a legal jurisdiction makes compliance
mandatory through legislation.
ASHRAE obtains consensus through participation of its national and international members, associated societies, and public review.
ASHRAE Standards are prepared by a Project Committee appointed specifically for the purpose of writing the Standard. The Project
Committee Chair and Vice-Chair must be members of ASHRAE; while other committee members may or may not be ASHRAE members, all
must be technically qualified in the subject area of the Standard. Every effort is made to balance the concerned interests on all Project
Committees.
The Manager of Standards of ASHRAE should be contacted for:
a. interpretation of the contents of this Standard,
b. participation in the next review of the Standard,
c. offering constructive criticism for improving the Standard, or
d. permission to reprint portions of the Standard.
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ASHRAE uses its best efforts to promulgate Standards and Guidelines for the benefit of the public in light of available information and
accepted industry practices. However, ASHRAE does not guarantee, certify, or assure the safety or performance of any products, components,
or systems tested, installed, or operated in accordance with ASHRAE's Standards or Guidelines or that any tests conducted under its
Standards or Guidelines will be nonhazardous or free from risk.
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or transmission in either print or digital form is not permitted without ASHRAE's prior written permission.
CONTENTS
ANSl/ASHRAE/IES Standard 202-2013, ,
Commissioning Process for Buildings and Systems

SECTION PAGE
Foreword ...................................................................................................................................................................... 2
1 Purpose . . ............................................................................................................ ............................... ................. 3
2 Scope ............. .............................. .................................................................................................. .................... 3
3 Definitions .................................. . . . ...................................................................... ............................................... 3
4 Utilization .............................................................. ...................................................................... ....................... 4
5 Initiating the Commissioning Process ....................................... ................................................................ ......... 5
6 Owner's Project Requirements .......................................................................................................................... 6
7 Commissioning Plan .......................................................................................................................................... 7
8 Basis of Design .................................................................................................................................................. 7
9 Contractor, Supplier, and Manufacturer Commissioning Requirements ............................................................ 7
10 Design Review .......... ......................................................... ................................................................................ 8
11 Commissioning Submittal Review ...................................................................................................................... 8
12 Construction Observation and Testing .................................... ............................................. .............................. 8
13 Issues and Resolutions Documentation ....... ................. . . . ................................... . . ............... .............................. 9
14 Systems Manual ................................................................................................................................................. 9
15 Training . . . ....... ................................................. ................................................................................................. 1O
16 Postoccupancy Operation ............................................................................................................................... 1O
17 Commissioning Report ..................................................................................................................................... 10
Informative Appendix A-Commissioning Process Documentation Matrix ............................................................ 12
Informative Appendix B-Quality Based Sampling Process ......................................................... . . ....................... 15
Informative Appendix C-lnitiating the Commissioning Process .............................. ............................................. 19
Informative Appendix D-Owner's Project Requirements ............. ......................................................................... 21
Informative Appendix E-Commissioning Plan ................................................. ............. ........................................ 23
Informative Appendix F-Basis of Design ........... ................................................................................................... 25
Informative Appendix G-Commissioning Specifications ...................................................................................... 27
Informative Appendix H-Design Review and Report .................................................. .......................................... 29
Informative Appendix I-Submittal Review and Report ..... ........................ .............. .............................................. 31
Informative Appendix J-Construction Observation and Testing Checklists and Reports ..................................... 32
Informative Appendix K-lssues and Resolution Log .......................................... .................................................. 35
Informative Appendix L-Systems Manual ............................. ............................................ ................................... 36
Informative Appendix M-Training Plans and Records ..................... . . ................................................................... 39
Informative Appendix N-End of Warranty Commissioning ..... .................................................................. ............ 43
Informative Appendix 0-Commissioning Report ...................... ............................................................................ 44
Informative Appendix P-Commissioning Resources ......................... ............................ ............... ........................ 46
Informative Appendix Q-References .............................. . . . . . .......... . ......... . . . .............................. ................. ........... 47
NOTE
Approved addenda, errata, or interpretations for this standard can be downloaded free of charge from the ASH RAE Web site at
www.ashrae.org/technology.
© 2013 ASHRAE
1791 Tu llie Ci rcle NE· Atl ant a, GA 30329 · www. ash rae . org ·All ri ght s re se rved .
ASH RAE is a registered trademark of the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.
ANSI is a registered trademark of the American National Standards Institute.
·------ -·--··-------

or transmission Jn either print or digital form is not permitted without ASHRAE's prior written permission.
(This foreword is not part of this standard. It is merely missioning Process detailed in these guidelines is the result of
informative and does not contain requirements necessary experience on projects requiring that systems and assemblies
for conformance to the standard. It has not been workedfrom the first day the project was turned over to the
processed according to the ANSI requirements for a owner. This Commissioning Process is fi1rther based upon
standard and may contain material that has not been experience with projects that met the requirements ofowners,
subject to public review or a consensus process. occupants, users ofprocesses, andfacility operating-mainte
Unresolved objectors on informative material are not nance-service organizations at a high level of satisfaction
offered the right to appeal at ASHRAE or ANSI.) and that reduced the cost to deliver the project.
In 2008, it became evident that a standard with m ini
FOREWORD mum requirements for the Commissioning Process was
The Commissioning Process is a quality-focusedprocess necessary to support many other standards and programs.
for enhancing the delivery of a project. The process focuses Standard 202 presents the minimum requirements for the
upon evaluating and documenting that all of the commissioned Commissioning Process without focusing upon specific
systems and assemblies are planned, designed, installed, building types, systems or assemblies, or on specific proj
tested, operated, and maintained to meet the Owner 's Proj ect sizes. Supplementary technical guidelines have been
ect Requirements (OPR). and continue to be developed to provide specific and
The Commissioning Process assumes that owners, pro detailed information on how to implement the Commis
grammers, designers, contractors, and operations and main sioning Process for each major building/facility, system,
tenance entities arefitlly accountable for the quality of their or assembly, and for various stages offacility develop
work. The Commissioning Team uses methods and tools to ment and operation. The scope and budget for the Com
evaluate that the project is achieving the Owner 's Project missioning Process is set by the owner for each project at
Requirements throughout the delivery of the project. the beginning of the development process.
The Commissioning Process begins at project inception Due to the integration and interdependency offacility
(during predesign) and continues for the life of the facility systems, a performance deficiency in one system can
(through occupancy/operations). Because this standard result in less than optimal performance by other systems.
details a process, it can be applied to both new and renova Implementing the Commissioning Process is intended to
tion projects. The Commissioning Process includes specific reduce the project capital cost through the warranty
tasks to be conducted to evaluate if the design, construction, period and also reduce the life-cycle cost of the facility.
testing, documentation, and training meet the Owner 's Proj Using this integrated process results in a fully functional,
ect Requirements. This standard describes the overall Com fine-tuned facility, with complete documentation of its
missioning Process in order to provide a uniform, integrated, systems and assemblies and trained operations and main
and consistent approach for delivering and operating facili tenance personnel.
ties that meet an owner 's ongoing requirements.
Emphasis is placed on documentation of the Owner 's
Due to the inherent variations in the planning and data
Project Requirements at the inception of the project and
gathering process in existing buildings and ongoing commis
the proper transfer of this information from one party to
sioning, this standard and process is intended for projects
the next. Owners adopt the Commissioning Process to
including construction and renovation (sometimes called
achieve their stated objectives and criteria-starting with
capital projects). During an existing building Commissioning
the inception of a project instead of after a facility is
Process, if the project construction utilized the Commission
occupied.
ing Process, the OPR may transition to the Current Facility
Requirements (CFR) and the Commissioning Plan may tran While circumstances may cause owners to adopt the
sition to an ongoing Commissioning Plan. If these documents Commissioning Process during the Design or Construc
do not exist, an existing building Commissioning Process tion Phase of a project, such later implementation must
would be used to develop the necessary documentation. capture the information that would have been developed
The Commissioning Process is a quality-based had the Commissioning Process begun at project incep
method that is adopted by an owner to achieve successfitl tion. Beginning the Commissioning Process at project
construction and renovation projects. It is not an addi inception will achieve the maximum benefits.
tional layer of construction or project management. In This standard describes the Commissioning Process; the
fact, its purpose is to reduce the cost of delivering con roles of the Commissioning Authority and commissioning
struction projects and increase va,lue to owners, occu specialist; and a fi'ameworkfor developing an OPR, Basis of
pants, and users. This standard has been developed to Design (BoD), Commissioning Plan, specifications, proce
assist those who are adopting or plan to adopt a quality dures, documentation, and reports. This standard also
based and cost-effective process. describes the general requirements for a training program
Development of guidelines for the Commissioning Pro for continued successfiil system and assembly pe1formance.
cess began formally in 1982 when ASHRAE formed a com
mittee to document best practices to provide and operate 1. PURPOSE
facilities that pe1formed according to the Owner's Project
Requirements. ASHRAEpublished its original commissioning The purpose is to identify the minimum acceptable
guideline in 1989 and an updated version in 1996. The Com- Commissioning Process for buildings and systems.
2 ANSI/ASHRAE/IES Standard 202-2013

2. SCOPE Commissioning Team (Cx Team): the individuals and agencies

who, through coordinated actions, are responsible for imple
This standard provides procedures, methods, and,
menting the Commissioning Process.
documentation requirements for each activity for project
delivery from predesign through occupancy/operations, Commissioning Testing (Cx Testing): the Evaluation and
including documentation of the equipment and assemblies delivery
and condition, installation, proper function according to the
a. overview of Commissioning Process Activities, manufacturer's specifications, and project documentation
b. description of each process step's minimum activi to meet the criteria in the Owner's Proj ect Requirements.
ties,
c. minimum documentation requirements, and construction checklist: a form used by the Commissioning
Team to verify that appropriate materials and components are
d. acceptance requirements.
on site, ready for installation, correctly installed, func
tional, and in compliance with the Owner's Proj ect
3. D E F I N ITIONS
Requirements. Also see checklists.
acceptance: a formal action, taken by a person with appro
construction documents: this includes a wide range of
priate authority (which may or may not be contractually
documents, which will vary from project to project, and
defined) to declare that some aspect of the proj ect meets
with the owner's needs and regulations, laws, and jurisdic
defined requirements, thus permitting subsequent activities
tional requirements. Construction documents usually
to proceed.
include the project manual (specifications), plans (draw
Basis of Design (BoD): a document that records the ings), and general terms and conditions of the contract.
concepts, calculations, decisions, and product selections
used to meet the Owner's Proj ect Requirements and to contract documents: this includes a wide range of documents,
satisfy applicable regulatory requirements, standards, and which will vary from project to project and with the owner's
guidelines. The document includes both narrative descrip needs, regulations, laws, and jurisdictional requirements.
tions and lists of individual items that support the design Contract documents frequently include price agreements;
process. construction management process; subcontractor agree
ments or requirements; requirements and procedures for
checklists: project and element-specific checklists that are submittals, changes, and other construction requirements;
developed and used during all phases of the Commissioning timeline for completion; and the construction documents.
Process to verify that the Owner's Project Requirements are
being achieved. Checklists are used for general Evaluation, coordination drawings: drawings showing the work of all
testing, training, and other design and construction require trades to illustrate that equipment can be installed in the space
ments. allocated without compromising equipment function or access for
maintenance and replacement. These drawings graphically
commissioning (Cx): see Commissioning Process. illustrate and dimension manufacturers ' recommended
Commissioning Authority (CxA): an entity identified by
maintenance clearances.
the owner who leads, plans, schedules, and coordinates the Current Facility Requirements (CFR): a written document
Commissioning Team to implement the Commissioning that details the current functional requirements of an existing
Process. facility and the expectations of how it should be used and oper
Commissioning Plan (Cx Plan): a document that outlines ated. This includes goals, measurable performance criteria,
the organization, schedule, allocation of resources, and cost considerations, benchmarks, success criteria, and
documentation requirements of the Commissioning supporting infonnation to meet the requirements of occu
Process. pants, users, and owners of the facility.
Commissioning Process (Cx Process): a quality-focused design checklist: a form developed by the Commissioning
process for enhancing the delivery of a proj ect. The process Team to verify that elements of the design are in compli
focuses upon verifying and documenting that all of the ance with the Owner's Proj ect Requirements. Also see
commissioned systems and assemblies are planned, checklists.
designed, installed, tested, operated, and maintained to
design review (peer): an independent and objective tech
meet the Owner's Proj ect Requirements.
nical review of the design of the proj ect or a part thereof,
Commissioning Process Activities (Cx Process Activi conducted at specified stages of design completion by one
ties): components of the Commissioning Process. or more qualified professionals, for the purpose of enhanc
ing the quality of the design.
Commissioning Progress Report (Cx Progress Report):
a written document that details activities completed as part design review (constructability): the review of effective
of the Commissioning Process and significant findings from and timely integration of construction knowledge into the
those activities, and is continuously updated during the conceptual planning, design, construction, and field oper
course of a project. ation of a project to achieve proj ect objectives efficiently
ANSI/ASHRAE/IES Standard 202-20 1 3 3

and accurately at the most cost-effective levels to reduce or owners for their Commissioning Process Owner's Project
prevent errors, delays, and cost overruns. Requirements.)
design review (code or regulatory): a review ofa document performance test (PT ): performance testing is the process
conducted by staff or designated entity of an authority of verifying that a material, product, assembly, or system
having jurisdiction to determine whether the content of the meets defined performance criteria. The methods and
document complies with regulations, codes, or other stan conditions under which performance is verified are
dards administered by the jurisdiction. described in one or more test protocols.
design review (commissioning): a review of the design recommissioning: an application of the Commissioning
documents to determine compliance with the Owner's Proj Process requirements to a project that has been delivered
ect Requirements, including coordination between systems using the Commissioning Process. (See existing building
and assemblies being commissioned, features and access Commissioning Process.)
for testing, commissioning and maintenance, and other
reviews required by the OPR and Commissioning Plan. retrocommissioning: the Commissioning Process applied
to an existing facility that was not previously commis
Evaluation: the process by which specific documents, compo sioned. (See existing building Commissioning Process.)
nents, equipment, assemblies, systems, and interfaces among
systems and their performance are confirmed with respect to systems manual: a system-focused composite document that
the criteria required in the Owner's Project Requirements. includes the design and construction documentation, facility
guide and operation manual, maintenance information, training
existing building Commissioning Process: a quality information, Commissioning Process records, and additional
focused process for attaining the Current Facility Require information of use to the owner during occupancy/operations.
ments of an existing facility and its systems and assemblies
being commissioned. The process focuses on planning, test procedure: a written protocol that defines methods, person
investigating, implementing, verifying, and documenting nel, and expectations for tests conducted on components, equip
that the facility and/or its systems and assemblies are oper ment, assemblies, systems, and interfaces among systems to
ated and maintained to meet the Cunent Facility Require verify compliance with the Owner's Project Requirements.
ments, with a program to maintain the enhancements for the
remaining life of the facility. training plan: a written document that details the expectations,
schedule, duration and deliverables of Commissioning Process
facility guide: A basic building systems description and Activities related to training of project operating and mainte
operating plan with general procedures and confirmed nance personnel, users, and occupants.
facility operating conditions, setpoints, schedules, and
operating procedures for use by facility operations to prop 4. UTILIZATION
erly operate the facility.
4.1 Introduction. The application of this standard can be for
final Commissioning Report (final Cx Report): a document the delivery of all or selected systems and assemblies in a project.
that records the activities and results of the Commissioning The scope will depend upon how the project will be designed,
Process and is developed from the final Commissioning Plan built, and operated. The scope shall be defined in the Owner's
with all of its attached appendices. Project Requirements and the Cx Plan and performed based on
issues and resolution log: a formal and ongoing record of the extent of commissioning effort defined and procured. The
problems or concerns and their resolutions that have been process described in this standard is written for a generic project
compiled by members of the Commissioning Team during and must be adapted to each project. This standard describes the
the course of the Commissioning Process. Cx Process and can be supplemented by companion technical
documents and guidelines to describe the specific details to
ongoing Commissioning Process (OCx): a continuation of properly implement the Cx Process relative to a specific facility,
the Commissioning Process well into occupancy/operations to system, or assembly. This standard can be applied to both new
continually improve the operation and performance of a facility and renovation projects.
to meet cunent and evolving CFR or Owner's Project Require
ments. Ongoing Commissioning Process Activities occur 4.2 Requirements
throughout the life of the facility; some of these will be close 4.2.1 The requirements of this standard are to
to continuous in implementation, and others will be either
scheduled or unscheduled as needed. a. provide the minimum activities for the application of
the Cx Process in the design, development, construc
Owner's Project Requirements (OPR): a written document
tion, operation, and modification of physical build
that details the requirements of a project and the expectations of
ings, systems, and assemblies,
how it will be used and operated. This includes project goals,
measurable performance criteria, cost considerations, b. establish process activities and sequence of activities, and
benchmarks, success criteria, and supporting information. c. establish deliverables and documentation for the pro
(The term project intent or design intent is used by some cess application.
4 ANSI/ASHRAE/IES Standard 202-20 1 3

4.2.2 Commissioning Process Activities and Deliverables 5.1.2 Project Team Selection-Commissioning Process
Providers. The owner is responsible for selecting qualified
Activity Deliverable Cx Process professionals. The CxA directs the Cx Process
Initiate CxProcess Roles and Responsibilities

and shall be an objective advocate of the owner.
5.1.3 Providing Direction and Acceptance. The owner
,I,
shall provide direction, reviews and acceptance as required
Decide Owner's
throughout the project and the Cx Process.
Project Requirements Project Requirements
,I, ,I, 5.2 Commissioning Requirements
Develop Cx
5.2.1 Roles and Responsibilities
CxPlan Process Plan The owner shall include in the design and construction
team's contracts, or roles and responsibilities, the Cx activities
,I,
contained in this standard and the project Cx Plan.
Design Approach Basis
5.2.2 Commissioning Scope. The owner shall determine
to Requirements of Design
the systems and assemblies to be included in the project
,I, ,I,
team's scope.
Set Contractor Cx
5.2.3 Owner's Project Requirements. For new construc
CxRequirements Specifications
tion or major renovations, the owner shall ensure develop
,I, ,I, ment of the OPR as described in Section 6 of this standard
Review Design Design Review prior to development of the architectural program. The owner
to Requirements Report shall require a final updated and approved OPR at substantial
,I, ,I, completion.
Review Submittals Submittal Review Report 5.2.4 The Commissioning Plan. The owner shall require
the development of the Cx Plan as described in Section 7 of
,I,
this standard and associated documents that define the project
Observe Construction Checklists
team's roles and responsibilities, communication protocols,
and Test and Reports
Cx procedures, documentation, activities, and the schedule of
,I, those activities.
Resolve Issues Issues and Resolution Log 5.2.5 Checklists. The owner shall require, by agreement,
,I, the Cx Team including the CxA and design and construction
Assemble Systems Manual Systems Manual
service providers to develop, utilize, and complete Cx proce
dures and written Cx observation and testing checklists in
,I, ,I,
accordance with the Cx Plan.
Conduct Training Training Plans and Records
5.2.6 Basis of Design Documentation. For construction
,I, ,I, or renovation projects requiring design, the owner shall
Postoccupancy Operation End of Warranty Cx Repo1t require, by agreement, the development and updating of the
,I, ,I, Basis of Design by the designers as described in Section 8 of
this standard.
Assemble CxReport CxReport
5.2. 7 Commissioning Specifications. For construction or
renovation projects requiring contract documents, the owner
shall require, by agreement, the design/construction team to
4.3 Acceptance. The process for each activity and deliver include Cx specifications in the project contract documents.
able shall include an acceptance step as defined in the OPR The Cx specification shall include the meeting of all require
and Cx Plan. This step shall formalize the acceptance of the ments defined in the OPR applicable to the contracted parties
commissioning deliverable by the owner or client. Under this and follow the Cx Process contained in the project's Cx Plan
standard, the CxA is not required to accept designer's or con as detailed in Section 9 of this standard.
tractor's work on behalf of the owner or jurisdiction.
5.2.8 Commissioning Design Reviews. For construction
or renovation projects requiring design, the owner shall
5. INITIATING THE COMMISSIONING PROCESS require, by agreement, the design team to review, respond to,
and participate in an issue resolution process to resolve issues
5 .1 General identified during the Cx design review process in Section 10
5.1.1 Introduction. At the initiation of the Cx Process, the of this standard. The owner or designated representative shall
owner is responsible for determining the scope of the Cx Plan review the Cx Process design review comments, participate in
(that is, the systems and assemblies to be included), selecting an issue resolution process, and provide direction to the team
the Cx Process team leader, selecting the Cx Process team for when needed to meet the OPR.
the project, incorporating Cx activities into project team roles 5.2.9 Construction Submittals Review. For construction
and responsibilities, and the establishment of Cx budget. or renovation projects requiring design and/or submittals, the

owner shall require, by agreement, that the construction sub 6.2 Requirements
mittals for systems and assemblies being commissioned be 6.2.1 During predesign, the owner, along with the Cx
reviewed in accordance with Section 1 1 of this standard. Team, shall facilitate development and documentation of
5.2.10 Observation and Testing. The owner shall require, the OPR.
by agreement, that project observation and testing be per 6.2.2 The OPR document shall list and define the sys
formed and documented as required in the Cx Plan and tems and assemblies to be commissioned, including sam
Section 1 2 of this standard. pling strategies accepted by the owner. The systems and
5.2.11 Issues and Resolution Log and Cx Progress assemblies being commissioned shall have defined proj ect
Reports. The owner shall require the development and utili performance and acceptance criteria.
zation of Cx Progress Report and issue and resolution logs as 6.2.3 The OPR document shall address the following
required in the OPR and Section 13 of this standard. The for the commissioned systems:
owner shall review Cx issues log and Cx Progress Reports,
participate in collaborative team resolution, and provide a. Facility obj ectives, size, location, user requirements,
direction when needed. and owner directives
5.2.12 Systems Manual. The owner shall require, by agree b. Environmental, sustainability, and efficiency goals
ment, the development and delivery of a project systems man and benchmarks
ual and that deliverables be provided for the systems manual c. Indoor environment requirements, including tempera
in accordance with Section 1 4 of this standard. The owner ture, humidity, and ventilation
shall ensure that specific entities are designated for the devel
d. Space usage and occupancy/operations schedules
opment and assembly of the systems manual and the facility
e. Cx Process scope and requirements, listing of equip
guide.
ment, systems and assemblies requiring commissioning
5.2.13 Training. The owner shall require, by agreement,
f. Equipment, systems and assemblies requirements,
that the Cx Team, including the design and construction par
expectations, and warranty provisions
ties as applicable, perform training defined in the OPR or Cx
Plan as described in Section 1 5 of this standard. g. Maintainability, access, and operational performance
requirements
5.2.14 Postoccupancy and Initial Operations. The owner
h. Installation Evaluation and testing requirements
shall require, by agreement, that the Cx Process Activities
described in Section 1 6 of this standard be performed. This i. Project documentation and systems manual require
shall include additional training, seasonal tests, problem res ments and formats
olution, site visits, updating drawings and specifications, or j. Training requirements for owner's operation and
other requirements performed during the postoccupancy and maintenance personnel and occupants
initial operations period defined for the project in the OPR k. Applicable codes and standards in addition to local
and Cx Plan. building codes
5.2.15 Warranty Period Commissioning. The owner 1. Project schedules
shall require, by agreement, m. Special project requirements
n. The content, organization, and milestones of BoD
a. CxA performance of Cx during the warranty period, submittals for the design and construction process
b. updating the systems manual based on modifications to o. The number, format, and scheduling of design and
operations to meet the OPR, and submittal reviews
c. updating the OPR to meet changes in the owner's objec p. Sampling procedures, if permitted, for all reviews,
tives and criteria. Evaluations, and testing
q. Cx Progress Report formats and distributed intervals
5.2.16 Commissioning Progress Report. The owner shall
require, by agreement, the development and delivery of a Cx
6.2.4 The OPR shall be included in the contract docu
Progress Report and that deliverables be provided in accor
ments as an information-only attachment or as required by
dance with Section 1 7 of this standard. The owner shall ensure
owner's contract requirements.
that specific entities are designated for the development and
assembly of the Cx Progress Report. 6.2.5 The OPR shall be updated regularly throughout
the proj ect and Cx Process to reflect changes necessitated
6. OWNER'S PROJECT REQUIREMENTS by owner, designer, and construction team decisions,
issues resolutions, and/or operational decisions.
6.1 Introduction. The OPR forms the foundation for the
design, construction, and occupancy and operation of the 6.3 Acceptance
facility and is the basis for the Cx Plan and schedule. The OPR 6.3.1 The OPR shall be reviewed by the CxA and
document evolves throughout each project. It is the primary approved by the owner during predesign. Updates to the
tool for benchmarking success and quality at all phases of OPR made during subsequent project activities shall also
project delivery and throughout the life of the facility. be formally accepted by the owner.

7. COM M ISSIONING PLAN a. Describe in detail the design team's technical approach to
each of the owner's requirements.
7.1 Introduction. The Cx Plan shall be a written docu
b. Provide a platform for the review of the design and
ment and provide organization, documentation require
changes as the project progresses.
ments, and tools to evaluate and document that the design,
c. Coordinate applicable technical and code requirements.
construction, and operation of the project or facility, sys
tems, and assemblies meet the OPR. 8.2.2 The design team shall submit the BoD to the owner
7.2 Requirements and CxA for review at each milestone defined by the OPR and
Cx Plan.
7.2.1 The CxA shall, with input from the owner's proj
8.2.3 The owner and CxA shall evaluate each BoD sub
ect team, develop the initial Cx Plan at the initiation of the
project. The Cx Plan shall be updated and expanded during mittal for the following
design and construction as the proj ect evolves.
a. Design and design assumptions in agreement with the
7 .2.2 A copy of the final Cx Plan shall be included in the OPR
final Cx Report. b. Requirements for updating of the BoD
7.2.3 The Cx Plan shall include the following information: c. Requirements for sustainable design certification when
required
a. Overview of the Cx Process developed specifically d. Consideration of design alternatives at each phase
for the project e. Requirements that systems, assemblies, and equipment
b. Roles and responsibilities for the Cx Team through be located and installed to be commissionable and main
out the project tainable
c. Documentation of general communication channels, f. Opportunities for improved performance
including the distribution of the Cx Plan during the
design and construction process 8.2.4 The CxA shall document and track issues related to
d. Detailed description of Cx Process Activities and a the BoD using the Cx issues and resolution log, including
schedule of activities issues identified by the owner and members of the design
e. Proj ect design documentation Evaluation procedures team.
f. General description of Cx Process Activities that will occur 8.2.5 The design team shall work with the owner and CxA
during construction and occupancy/operations to resolve Cx issues.
g. Guidelines and format that will be used to develop the 8.3 Acceptance
Cx Process documentation, including systems manual
8.3.1Each submission of the BoD shall be fom1ally
and training plans
reviewed and accepted by the owner to facilitate the next step
h. Listing and format for Cx Process Evaluation check in the design process.
lists and testing forms, issues and resolution log, and
Cx Progress Reports that will be used during the proj 9. CONTRACTOR, SUPPLIER, AND
ect to communicate and track critical Cx Process MAN U FACTURER COMMISSIONING
information REQUIREMENTS
i. List of project commissioned systems and assemblies
and description of Evaluation procedures 9.1 Introduction. The responsibilities of the contractors,
The framework for procedures to follow whenever Cx Pro suppliers, and manufacturers, including those contracted
j.
cess Evaluation does not meet the OPR directly to the owner, shall follow the contract documents,
including the Cx Process defined by the Cx specifications.
7.3 Acceptance 9.2 Requirements
7.3.1
The Cx Plan shall be approved by the owner and 9.2.1
Cx specifications shall be developed for all sys
include a process for approval of the subsequent revisions. tems and assemblies being commissioned and included in
the construction documents.
8. BASIS OF DESIGN 9.2.2 The applicable Cx Process specifications and
8.1 Introduction. The BoD is a written document that shall requirements shall be included in all contracts with con
provide detailed information on the design team's approach to tractors, subcontractors, suppliers, service providers, and
meeting the OPR to provide the owner with a better under manufacturers for systems and assemblies being commis
standing of design issues and secure the owner's approval of sioned.
critical design decisions. 9.2.3 Contractors, subcontractors, suppliers, service
providers, and manufacturers shall provide the required
8.2 Requirements documentation as defined in the contract documents.
8.2.1 The BoD shall be developed by the design team in Examples of these include submittals; shop drawings;
accordance with the OPR. The BoD shall be updated and installation, operations, maintenance, and close-out docu
expanded during design and construction as the project ments; code compliance; and existing-conditions docu
evolves. The function of the BoD shall be to mentation.

9.3 Acceptance 11.2.5 In the event that the owner does not retain the
9.3.1 The owner shall approve the Cx Specifications designer for construction administration services, the
included in the construction documents. owner shall do the following:
1 0. DESIGN R EVIEW a. Require the CxA to review the construction submit

tals for the systems being commissioned concurrently
10.1 Introduction. A Cx design document review shall with the owner or owner's representative and provide
be performed to verify compliance with the OPR. comments to the owner or owner representative
10.2 Requirements b. Consider the CxA's comments and provide direction
to the contractor in accordance with the owner's best
1 0.2.1 The CxA shall perform a review of the commis
professional judgment. A copy shall be provided to
sioned systems and assemblies in the design documents to
the CxA.
evaluate compliance with the OPR. Design review shall be
completed prior to the issuing of construction documents
11.2.6 The submittal review report shall include a listing
for systems being commissioned. The OPR and the Cx
of the submittals reviewed, the date reviewed, and a sum
Plan shall define any sampling strategies for design review.
mary of the submitted equipment/material properties that
10.2.2 The CxA shall provide a design review (Cx
appear not to meet the OPR. Any sampling review process
Report) with comments, questions, and observations to the
utilized on the submittals shall conform to the owner
owner and design teams for compliance with the Owner's
approved OPR and Cx Plan.
Project Requirements. This design review (commission
ing) shall not be considered a design review (peer) or a 11.2.7 A copy of the submittal document review
design review (code or regulatory). report(s) and response shall be included in the final Cx
Report.
1 0.2.3 The design team, owner, and/or other responsible
party shall respond to the CxA document review report 11.3 Acceptance
with necessary answers and document modifications for
11.3.1 The CxA shall maintain a record of all Cx submit
the proj ect. Revised documents shall be back-checked by
tal reviews and shall submit a written report to the owner
the CxA. Any unresolved issues shall be reported to the
and design authority. If it is detennined that any reviewed
owner for direction to the design and Cx Team on final dis
submittals do not comply with the OPR, that submittal
position and direction.
shall be provided to the owner to determine ifthe system or
1 0.2.4 A copy of the document review report(s) and
equipment shall be accepted or rejected.
response shall be included in the final Cx Report.
10.3 Acceptance 1 2. CONST R U CTION OBSERVATION

1 0.3.l The owner shall approve the CxA document A N D TEST I N G
review report and the design team's response before the 12.1 Introduction. The proper installation, coordina
start of construction.
tion, Cx Testing, and interaction among commissioned sys
tems and assemblies shall be evaluated.
1 1. COMMISSIONING S U B M ITTAL R EVIEW
12.2 Requirements
11.1 Introduction. For construction or renovation proj
ects requiring contractor or supplier submittals, a submittal 1 2.2.1 The systems and assemblies to be commissioned,
documents review for commissioned systems and assem identified in the OPR and Cx Plan, shall be confirmed to
blies shall be performed to evaluate compliance with the comply with the OPR and with the contract documents.
OPR. The commissioning submittal review does not 1 2.2.2 Checklists and test procedures with necessary
replace the designer of record submittal review. report forms shall be developed before equipment or
assembly installation. All completed checklists and test
11.2 Requirements
reports shall be included in the final Cx Report.
11.2.1 A designated Cx Team member shall review proj
ect submittals for systems and assemblies to be commis a. Proj ect-specific construction checklists and Cx Test
sioned for compliance with the OPR. ing procedures shall be established for review by
1 1.2.2 CxA shall identify construction submittals to be owner and appropriate team members.
provided by the contractor for th e systems being commis b. The test procedures shall list the entities responsible
sioned. for executing each of the tests.
11.2.3 The CxA shall review the construction submittals c. Whenever a test data result is required for a specific
concurrently with the designers and provide comments to system or assembly, there shall be an item in the asso
the designer. ciated construction checklist for the test data to be
11.2.4 The designer shall consider the CxA's comments submitted to the CxA.
and provide direction to the contractor in accordance with d. Sampling procedures shall be utilized if required and
the designer's best professional judgment. A copy shall be defined in the OPR, the Cx Plan, or the Cx Specifica
provided to the CxA. tions.

12.2.3 There shall be a uniform and effective process for 13.2 Requirements
documentation of testing to provide Cx Testing of and inter 1 3.2.1 The CxA and Cx Team shall develop a formal
action between commissioned equipment, systems, and issues and resolutions log with supporting documentation.
assemblies. The term Cx Team shall refer to applicable Cx
13.2.2 The active issues and resolution log will have all
technical resources tailored to their specific projects.
open and continuing items, with status and responsible per
12.2.4 The CxA shall conduct a commissioning kick-off son or organization for resolution.
and scoping meeting with the Cx Team to explain Cx proce
13.2.3 A formal issues and resolutions log shall be main
dures and coordinate commissioning activities at the begin
tained throughout the project until all issues are resolved or
ning of the construction process and at other times as
accepted by the owner.
necessary.
13.2.4 The issues and resolutions logs and Cx Progress
12.2.5 Evaluation of the systems and assemblies by the Cx
Reports shall be distributed to the Cx Team at intervals pre
Team shall include the following:
scribed in the Cx Plan.
a. Vital information on the equipment or materials being 13.3 Acceptance
supplied. Information shall detail what equipment/mate
13.3.1 The owner shall review and accept the final issues
rial was specified and submitted. What was actually
and resolution log. Upon acceptance, this will be included
delivered on the site shall be documented and verified.
in the final Cx Report.
b. The condition of the equipment at the time it is deliv
ered at the site and prior to its installation.
1 4. SYSTEMS MANUAL
c. Proper installation of the systems and assemblies.
Evaluation shall focus on the physical installation of 14.1 Introduction. The systems manual documentation
the systems and assemblies, on their ability to meet shall be provided to the owner for use in building operation
the contract documents requirements, and on accessi and the training of personnel.
bility for Cx, testing, and maintenance operations.
14.2 Requirements
d. Successful Cx Testing results of systems and assem-
blies. 14.2.1 The systems manual shall provide the information
needed to understand, operate, and maintain the building 's
12.2.6 Executing Test Procedures systems and assemblies.
14.2.2 The systems manual is the repository of design,
a. Once construction checklists and test procedures are construction, and testing information, including updates
established, the responsible entities shall execute relevant and corrections to systems and assemblies as they occur
test protocols and repeat testing as necessary until equip during construction. The Cx Team shall be responsible for
ment, systems, or assemblies being tested pass all tests. updating the systems manual during the Cx Process,
b. The CxA directs, witnesses, and documents the tests including design, construction, and operation as required
conducted by the Cx Team as required by the Cx Plan. in the OPR, Cx Plan, and contract documents.
c. Completed test reports shall be submitted to the proj
14.2.3 The following shall be included in the systems
ect team for review and the CxA for Evaluation.
manual:
12.2.7 Any commissioned system or assembly that fails to
Section I-Executive Summary
meet requirements and that cannot be resolved in a timely Section 2-Facility Design and Construction
manner shall be given an issue number and recorded in the 2. 1 Copy of OPR Document
issue and resolution log to facilitate follow-up. 2.2 Copy ofBoD Document
12.2.8 All checklists and test procedure results shall be 2. 3 Copy of Building/Project Design and Record
compiled into the final Cx Report. Documents
Section 3-Building, Systems, and Assemblies Informa
1 2.3 Acceptance tion for Commissioned Systems and Assemblies
12.3.1 A summary of the testing shall be reported to the 3. 1 Copy ofBuilding and Equipment Specifications
owner in a written Cx Progress Report following comple 3.2 Copy of Approved Submittals including Final
tion of the testing or at intervals noted in the Cx Plan. Controls Sequences of Operation
Review of the summary reports shall have a response of 3.3 Copy of Manufacturer 's Operation and Mainte
concurrence or acceptance by the owner. nance (O&M) Data
3. 4 Copy of Warranties
1 3. ISSUES A N D R ESOLUTIONS
3.5 Contractor and Supplier Listing and Contact
DOCUMENTATION
Information
13.1 Introduction. Issues identified during the Cx Pro Section 4-Facility Operations
cess shall be documented and any open or continuing items 4. 1 Facility Guide including: Operating Plan; Building
listed in an issue and resolution log and Cx Progress and Equipment Operating Schedules, Setpoints,
Rep orts. Ranges and Limitations; Commissioned Systems

or transmission In either print or digital form is not permitted without ASHRAE's prior written permission.
Control Sequences of Operation; and Emergency 15.3 Acceptance

Procedures. 15.3.1 The training plan, the execution of the training
Section 5-Training plan, and the delivery of instruction shall be reviewed for
5. 1 Copy of Training Plan and Materials acceptance by the CxA and owner. The training plan shall
5. 2 Training Records be submitted and accepted prior to the delivery of any
Section 6-Final Commissioning Report instruction. Evaluation or survey of the participants shall
6. 1 Copy ofFinal Cx Process Plan (s) be as defined in the OPR and contract documents.
6. 2 Copy of Commissioning Design and Submittal
Review Reports 1 6. POSTOCCUPANCY O P E RATI O N
6. 3 Copy of Testing and Start-up Reports, Evaluation
16.1 Introduction. Postoccupancy operation commission
Checklists, and Testing Checklists Completed for
ing, including delayed and seasonal testing and warranty
Commissioned Systems and Assemblies
issues, shall be provided, prior to the time of warranty com
6. 4 Copy ofAll Cx Progress Reports pletion, to deliver buildings and construction projects that
6. 5 Copy ofIssues and Resolution Logs meet the owner's needs. The postoccupancy operations activ
6. 6 Item Resolution Plan for Open Items ities of the Cx Process begin at substantial completion.
14.3 Acceptance 16.2 Requirements
14.3.1 The contents of the preliminary systems manual, 1 6.2.1 The Cx Process Activities shall continue through
Sections 2 through 4, shall be reviewed and evaluated by the end of the contractual warranty period.
the CxA prior to training of operational and maintenance
16.2.2 The seasonal, delayed, and incomplete testing of
personnel and occupants in accordance with the OPR.
facility systems and assemblies shall be completed. The CxA
1 4.3.2 The owner shall approve the final systems man shall determine when the Cx Testing shall be performed based
ual for use in building operations. on weather conditions, load conditions, or occupant interac
tions that are required to complete the activities for all sys
1 5. TRAIN I N G tems and assemblies being commissioned.
15.1 Introduction. The O & M personnel and occupants 1 6.2.3 The general contractor or owner shall coordinate
shall be trained on the systems being commissioned, in contractor callbacks to resolve issues identified during the
accordance with the OPR, to operate and maintain the Cx Process and provide written documentation to the CxA
building systems and assemblies. The training plan is that the issues have been resolved and/or the owner has
considered an essential element in designing, preparing, accepted the final conditions.
and delivering the training to the participants. 16.2.4 Additional training shall be performed during the
postoccupancy and operations activities in accordance
15.2 Requirements
with the training and Cx Plans.
15.2.1 The training plan shall include the following items:
16.2.5 During the postoccupancy operations activities,
the operation, maintenance, and modification of the facil
a. Outline of instructional topics related to the sys
ity systems and assemblies, and their associated documen
tems, subsystems, equipment, and assemblies. These
tation, shall be evaluated to comply with the updated OPR.
topics shall address the design, construction, opera
tion, and maintenance of specific systems, assem 16.2.6 By the conclusion of the postoccupancy operation
blies, and equipment commissioning activities, the systems manual, testing doc
b. Learning objectives and training delivery methods umentation, issue and resolution logs, training report, and
for each instructional topic a final Cx Report shall be updated and submitted for accep
tance.
c. The planned location of the training sessions (class
room, on site, and off site) and the minimum dura
1 7. COMM ISSIO N I N G R E PORT
tion of each training session, in hours, to be
completed as required in the OPR, Cx Plan, or con 17.1 Introduction. A Cx Report shall be provided to sum
struction documents marize the Cx Process and the building operation for delivery
d. Instructor's qualifications to the building owner and other required recipients.
e. Training materials requirements to be employed dur
17 .2 Requirements
ing the instructional process
f. Training report, records, and recording requirements 1 7.2.1 Intennediate Cx Progress Reports shall be issued
as required in the OPR, the Cx Plan, and the applicable
15.2.2 Archival of instruction, delivery of instruction, jurisdictional requirements.
and training materials shall be provided as specified in the 17.2.2 The final Cx Report shall include the final Cx Plan
contract documents and per the OPR. A copy of the train and the results of the implementation of that plan. The
ing plan, training materials, and records shall be included report shall include an executive summary describing the
in the final systems manual as shown in Section 14 of this Cx Process and identifying the systems and assemblies
standard. commissioned. The report shall identify the location of the

final OPR and BoD documents or contain a copy if these 5. Copy of all Cx Progress Reports.
documents are not otherwise available. The location of the 6. Copy of all issue and resolution logs including the
proj ect record drawings shall be identified. descriptions of the issues and the measures taken to
correct them. A discussion of systems or assemblies that
1 7.3 The final Cx Process progress report shall include the
do not perform in accordance with the OPR.
following:
7. For all incomplete issues, delayed or seasonal tests
1. Executive summary. including a resolution plan approved by the owner iden
2. Copy of the final Cx Process plans. tifying who is responsible for resolution.
3. Copy o f design and submittals review reports.
4. Completed copy of the approved supplier, contractor, and 17.4 Acceptance
CxA Evaluations, and Cx start-up and test forms, includ 17 .4.1 The CxA shall submit the Cx Report to the owner
ing those utilized during the occupancy and operations and others as required by the OPR and jurisdictional require
activity. ments for review and acceptance.
ANSI/ASHRAE/IES Standard 202-20 1 3 II

This appendix is not a mandatory part of this standard. It is I N FO R MATIVE A P P ENDIX A

merely informative and does not contain requirements C O M MISSIONING PROCESS
necessary for conformance to the standard. It has not been D O C U M E N TATIO N MATRIX
l
processed according to the ANSI requirements for a ASHRAE Guideline 0-2005 Q contains flow charts
standard and may contain material that has not been that are graphical representations of the building develop
subject to public review or a consensus process. ment and parallel Cx Process. These show relationships and
Unresolved objectors on informative material are not processes that may be beyond the requirements of this stan
offered the right to appeal at ASHRAE or ANSI. dard but are referenced here to provide a more complete
understanding of the Cx Process and its potential .
Table A l summarizes the documents that are produced
during the implementation of the Cx Process on a proj ect.
The participants shown are options and need to reflect the
needs of the owner and the specific proj ect.
TABLE A1 Commissioning Process Documentation Matrix
Reviewed/
Activity Document Input By Provided By Used By Notes
Approved By
Project Owner's Project Requirements Owner, CxA, O&M, Owner, CxA, or Owner CxA, Design Team Design Team may
Initiation Users, Design Team Design Team not be hired yet.
Initial CxPlan Owner, Owner or CxA Owner CxA, Owner, Design Team may
Design Team, CxA Design Team, not be hired yet.
Construction Team
Systems Manual Outline Owner, O&M, CxA Owner or CxA Owner Design Team, May be included in
Construction Team OPR
Training Requirements Owner, O&M, Users, Owner or CxA Owner, CxA Design Team, May be included in
Outline CxA, Design Team Construction Team OPR
Issues and Resolution Owner, CxA Owner or CxA Owner CxA, Design Team May be only
Log Format format at this time
Cx Report Format Owner, CxA CxA Owner Design Team,

Owner
Owner's Project Owner, CxA, O&M, CxA or Designer Owner CxA, Design Team
Requirements Update Users, Design Team
Design Basis Of Design Design Team Design Team Owner, CxA Design Team, CxA
Construction Specifications Design Team, CxA, Design Team or Owner Contractors, CxA, May also be
for Cx Owner CxA Design Team provided by project
manager/owner's
representative
Systems Manual Design Team, CxA, Design Team or Owner, CxA Design Team, Contractor may not
Outline (Expanded) O&M, Contractor CxA Contractor be hired yet.
Training Requirements Owner, CxA O&M, Owner, CxA, Owner Design Team Contractor input
Users, O&M
Requirements in Specifications CxA, Design Team, Owner Design Team

Design Team CxA
DesignReview Comments CxA CxA Design Team, Design Team

Owner
Issues and Resolution Log CxA CxA NIA CxA, Design Team
Note: The term contractor is understood to refer to any of several entities that provide construction services. Depending upon the project, this could include, among others, the owner's _
representative, construction manager, contractors, and subcontractors. Abbreviations: CxA: Commissioning Authority; O&M: operations and maintenance; OPR: Owner's Project Require
ments.

TABLE A1 Commissioning Process Documentation Matrix (Continued)
Reviewed/
Approved By
Issues Report CxA CxA Owner Design Team,

Owner
Design Cx CxA CxA Owner Owner

Process Report
Owner's Project Owner, O&M, CxA or Designer Owner CxA,

Requirements Update Users, Design Team, Design Team,
Construction Team Contractors
Basis ofDesign Update Design Team Design Team CxA, Owner Design Team, CxA
Cx Plan Update Design Team, CxA, CxA CxA, Owner, CxA, Owner,
Owner, Contractor Design Team, Design Team,
Contractor Contractors
Submittal Review C01mnents CxA Design Team Design Team Contractor
System Coordination Plans Contractor, Contractor CxA, Contractor, CxA

Design Team Design Team
Evaluation Checklists CxA, Contractor, CxA CxA, Contractor

Evaluation Reports Contractor CxA CxA, Owner Contractor
Test Procedures CxA, Contractor, CxA CxA, Contractor

Construction
Test Data Repo1is, Test Contractor CxA CxA, Owner Contractor

and Balance Report
Cx Meeting Agendas and CxA CxA All All

Minutes
Training Plans Design Team, CxA, Contractor or Owner, CxA O&M, Users,
O&M, Contractor CxA Contractor
Systems Manual Design Team, CxA, Contractor Owner, CxA O&M, Users
O&M, Contractor
Issues and Resolution Log CxA CxA NIA CxA,

Design Team,
Contractor
Issues Rep01i CxA CxA Owner, Design Team,

Design Team Owner,
Contractor
Preliminary Construction Cx CxA CxA Owner Owner Prior to occupancy

Report
Final Construction CxA CxA Owner Owner

Cx Report
Note: The term contractor is understood to refer to any of several entities that provide construction services. Depending upon the project, this could include, among others, the owner's
representative, construction manager, contractors, and subcontractors. Abbreviations: CxA: CommissioningAuthority; O&M: operations andmaintenance; OPR: Owner's Project Require-
ments.

TABLE A1 Commissioning Process Documentation Matrix (Continued)
Reviewed/
Approved By
Owner's Project Owner, O&M, CxA or Designer Owner CxA,

Requirements Update Users, Design Team Design Team,
Contractors
Basis of Design Update Design Team Design Team CxA, O wner Design Team, CxA
Maintenance Program Owner, O&M, Owner or CxA Owner, CxA O&M, Users
Contractor, CxA
Test Procedures Contractor, CxA Design Team, Contractor

CxA, O&M, CxA
Design Team
Occupancy/
Operations Test Data Reports Contractor CxA CxA, O wner Contractor, O&M
Issues and Resolution Log CxA CxA NIA CxA,

Design Team,
Owner Contractors
Issues Report CxA CxA Owner Design Team,

Owner,
Contractors
Cx Report CxA CxA Owner Owner Final report
Recommissioning Plan O&M, Users, CxA CxA or Owner Owner Owner
Note: The term contractor is understood to refer to any of several entities that provide constrnction services. Depending upon the project, this could include, among others, the owner's
representative, construction manager, contractors, and subcontractors. Abbreviations: CxA: ConnnissioningAuthority; O&M: operations and maintenance; OPR: Owner's Project Require-
ments.
14 ANSJ/ASHRAE/IES Standard 202-20 1 3

This appendix is not a mandatory part of this standard. It is achieved; i t i s not to relieve the design professional o f his
merely informative and does not contain requirements or her responsibility that the submittals meet the contract
necessary for conformance to the standard. It has not been document requirements. Therefore, the CxA accomplishes
processed according to the ANSI requirements for a a two-part review of submittals-one to evaluate the
standard and may contain material that has not been contractor's submittal development process to verify OPR
subject to public review or a consensus process. achievement and one to evaluate the design professional's
Unresolved objectors on informative material are not submittal review process to verify OPR achievement.
offered the right to appeal at ASHRAE or ANSI. These reviews can be accomplished utilizing a random
sampling approach of the submittals as directed by the OPR and
INFORMATIVE APPENDIX B Cx Plan. Random (quality-based) sampling is utilized because
QUALITY BASED SAMPLING PROCESS it is a way to accomplish effective, unbiased Evaluations of
This appendix provides an example of how to implement a materials against given criteria. The random sampling approach
sampling process for Standard 202 if directed by the owner. It is for a specific submittal varies based upon the number of attri
not intended to be a comprehensive representation or a best butes and components contained in the submittal and upon the
practice example. Practitioners applying the Commissioning importance to the OPR. This process includes randomly
Process should carefully follow ASHRAE Guideline 0-2005 sampling the attributes and components (when there are multi
and applicable commissioning technical resources tailored to ple attributes and components to sample from). In addition, the
their specific projects. CxA may select submittals to review from a random sample of
all submittals, especially on projects with a large number of
B1 . USE OF SAMPLING submittals as required by the OPR and Cx Plan.
The process to be followed by the CxA in evaluating
The use of sampling in the design and construction review
the contractor's submittal creation procedures is
processes must be defined in the Owner's Project Require
ments (OPR). Sampling processes should be used only as 1. Review OPR
defined in the OPR and/or with the specific agreement of the 2. Review construction documents and Basis ofDesign (BoD)
owner. The Cx Plan can also add requirements and infonna 3. Identify key criteria
tion to the design review process and procedures. 4. Determine sampling rate as defined in the OPR
The owner's understanding of quality-based sampling
5. Accomplish review
and level of assurance desired will typically have the greatest
6. Document results (provide timely comments to the
influence on the sampling rates utilized (see Note 2 in the
design team)
tables provided).
The CxA's understanding of quality-based sampling and The first three steps in the submittal review process
the Cx Process also impacts the sampling rate (see Note 3 in should be accomplished prior to receiving submittals since
the tables provided). this will significantly reduce the turnaround time for
submittal reviews by the CxA.
B2. DESIGN SUBMISSIONS
B4.1 Review OPR. The CxA should review the cmTent
A critical step in the Cx Process is the review ofthe design OPR to ensure understanding of the project success criteria.
submissions from the design professionals. It is important to Specific attention should be given to those criteria that could
remember that the role of the CxA is to verify that the OPR are be adversely impacted by the HVAC&R equipment perfor
met and that the system is designed in a quality manner. There mance, the system performance (including parameters such as
are three distinct reviews that are completed on a drawing set comfort and energy efficiency), and the ease of operation and
general, coordination, and field specific. A review of the spec maintenance in the submittals being reviewed.
ifications is also required.
B4.2 Review Construction Documents and BoD. There is
B3. CONSTRUCTION R EVIEW SAMPLING typically significant OPR information in the project specifi
cations, plans, and the BoD for equipment, assemblies, and
There are three primary areas relating to systems and systems. Therefore, it is important to review the appropriate
assemblies where quality-based sampling is utilized for the ongo specification section(s) and plans prior to reviewing the sub
ing verification of achieving the OPR. mittal, with particular attention given to those items which
These are could adversely impact achievement of the OPR.
submittal reviews, B4.3 Identify Key Criteria. From the OPR and construc
factory testing if required, tion document reviews, the key criteria that will be used in
site visits-construction Evaluation, and reviewing the submittal should be identified and defined.
final Cx Process testing.
B4.4 Determine Sampling Rate. The actual sampling rate
to be utilized is based upon multiple factors. For components,
B4. SUBMITTAL REVIEWS
in addition to specific requirements listed in the OPR, BoD,
The role of the CxA and the Cx Team in the review of and construction documents, the impact on energy efficiency,
submittals is for ongoing verification that the OPR is being maintenance, operability, comfort, indoor air quality, life of

TABLE 81 Sample Rate Determination-Submittals
Sample Rate
Factor Guidance
(o/o of Components or o/o of Pages)
Complexity Components of greater complexity typically require additional 10%-20% for low complexity
maintenance space and access points, as well as have a greater 20%--40%formediumcomplexity
likelihood of involving multiple QPR criteria. Therefore, with greater 40o/o-100% for high complexity
complexity, the rate of sampling typically increases.
1 1'.'
1 1 , Criticality As the criticality of a component increases, relative to achieving the 5%-25% for low criticality
QPR, the sampling rate increases to provide a higher level of assurance 100%-600% for high criticality (See Note 1)
that the QPR will be achieved. For example, in a data processing center
where any downtime results in the loss of significant revenue, there is
an obvious need for increased review, compared to a retail clothing
store.
Length A submittal that has very little information (length) 100% for less than 3 pages
will typically result in a high sampling rate, whereas one with hundreds 75% to 100% for 4 to 1 0 pages
of pages will typically result in a low sampling rate of the submittal 25o/o to 75°/o for 1 1 to 100 pages
document. For noncritical components, a random subset of the 5%-25% for greater than 100 pages
Evaluation criteria may be used.
Notes·
l. For sampling rates greater than 100% (e.g., extremely critical laboratory equipment that results in loss oflifc ifitfails), the approach is that two independent reviewers using different
instrumcntat10n accomplish their Evaluation followmg the documented test procedures. Therefore, if a 400% review is warranted, then there would be four independentreviewers.
2. Itis important to understand that even if the sampling rate is l 00% or greater, the approach to be taken is still one ofrandom sampling. For example, for a facility that has 40 rooms,
the test to verify the comfort OPR would use a random approach of first checking rooms 100, 105, 110, 115, then rooms 101, 106, 1 1 1, 1 16, elc. This random approach enables
an unbiased Evaluation of the comfort1hroughout the facility relative to the OPR. Ifissues arc identified early m the testing process (e.g., after a 20% testing, systemic issues have
been identified), then there is no reason to accomplish the other 80% of the tcstmg, as it has been shown !hat the system docs not achieve the QPR and something needs to be
changed.
3. Because the final Cx Process tests to verify QPRachievement, it should focus on specific QPR criteria, an<l the skills ofthe CxA m developing appropriate, tailored tests will greatly
impact the samplmg rate required to determine QPR achievement.
I
.I
the component, and the relationship to other systems are cri design professional's work relative to OPR achievement. It is
teria for evaluating the submittals. There may also be key code important to a successful Cx Process to keep co1nplete records
II and standards issues. All the criteria for Evaluation of submit of the review findings for both items that meet the criteria
tals can be developed and listed in table format to be randomly (especially QPR) and items where the deficiencies are noted
sampled for Evaluation. throughout the whole review process.
Although data and Evaluation of construction has not
'I
B4.6 Document Results. The recommended approach to
I been fully confirmed, the use of random samples in
ii documenting the results of the CxA's review is as follows:
' concrete and other construction products has been success
fully verified. The success ofsampling is due to the fact that
1. Clearly state what was observed during the review.
there is only a given amount of resources available to
'
2. Clearly state which QPR criteria was violated in the
1 ! . accomplish review during the design, construction, and
sub1nittal.
operation of the project. For a given hour, the quality-based
3. Clearly state your recommendation for achieving
sampling approach allows for a more thorough, in-depth
I compliance with the QPR.
review of a portion of the submittal against the OPR,
whereas the 100% review is more of an overview trying to
Each comment needs to have space for the design
find errors. Because the purpose of the Cx Process is to
professional to reply to the CxA on the disposition of the
evaluate OPR achievement (both positives and negatives),
comment.
the quality-based sampling approach enables an acceptable
The process to be followed by the CxA in evaluating
Evaluation and improved results. For further information
i' i on sampling, refer to the references listed in Section 9 of

the design professional 's submittal review procedures is as
follows:
i
!I ,i
:I
ASHRAE Guideline 0-2005.
, •·,
B4.5 Accomplish Review. With the Evaluation criteria and 1. Review responses to CxA input.
sample rate established, the submittal review is accomplished. 2. Identify QPR concerns.
Since the sample rate directly impacts the level of effort 3. Document results.
' required by the CxA, the sample rate needs to be determined
1 ·. during scope negotiation between the owner and CxA. During B4.7 Review Responses to CxA Input. For each comment,
these negotiations, it is important to ren1ember that it is the the CxA reviews the reply from the design professional. For
contractor's duty to create 100% of the required submittals, those comments where the design professional incorporated
and it is the design professional's duty to review 100% ofthe the CxA's input, follow up with additional contractor submit
submittals. It is the CxA's role to evaluate the contractor's and tals or as required.
,,,,
16 ANSI/ASHRAEIIES Standard 202-2013
·" '
-
or transmission in either print or dig Ital form is not permitted without ASHRAE's prior written permission.
TABLE B2 Sample Rate Determination-Construction Verification
Sample Rate
Factor Guidance
(0/o of Components or o/o of Pages)
First Completed It is recommended that for the first construction checklist to be 100%
Construction Checklist completed by the contractor for a particular component type, it
should be verified and reviewed with the contractor to improve
their understanding of the impo11ance of completing all checklists
as the work progresses and to eliminate systemic issues before they
become problen1s. This is recommended, even though it will be
included in the preconstruction Cx Process session
Pace of Construction When the pace of construction is slow and there have been few 40%-100% for slow pace
construction checklists completed since the previous site visit, the 20% to 60% for medium
sampling rate increases. When the pace is fast and many checklists 5%-30% for fast pace
have been completed, the sampling rate decreases.
Number of Components If there is only one instance of a component, the rate of sampling is 100% for a single or few
typically 1 OOo/o, and where there are many similar components the components
sampling rate decreases. 5%-75% for several to many
Noter
1. For sampling rates greater than 100% (e.g., extremely critical laboratory equipment thatresults in loss oflife llitfails), the approach is that two independent reviewers using drfferent
instrumentation accomplish their Evaluation following the documented test procedures. Therefore, ifa 400% review is warranted, then there would be four independent reviewers.
2. It is importantto understand that even ifthe sampling rate is I 00% or greater, the approach to be taken is still one ofrandom sampling. For example, for a facility that has 40 rooms,
the test to verify the comfort OPR would use a random approach of first checking rooms JOO, 105, 110, 115, then rooms 101, 106, 1 1 1 , 1 16, etc. This random approach enables
an unbiased Evaluation of the comfurt throughout the fucility relative to the OPR. If issues are rdcnttfied early in the testing process (e.g., after a 20% testing, systemic issues have
been identified), then there is no reason to accomplish the other 80% of the testing, as it has been shown that the system does not achieve the QPR and something needs to be
changed
3. Because the final Cx Process tests to verify OPRachievement, it should focus on specific OPR cntena, and the skills ofthe CxA in developing appropriate, tailored tests will greatly
impact the sampling rate required to determine OPR achievement.
B4.8 Identify OPR Concerns. For those comments where construction checklists for accuracy, completeness, and
the design professional did not incorporate the CxA's input, any negative responses that require follow-up and resolu
review the potential adverse impact on achievement of the tion, as each section is a completed component. This
QPR. sampling process is based upon the contractor completing
all checklists and upon the fact that sampling a random
B4.9 Document Results. Document any adverse impacts
on achieving the OPR and work with the design professional quantity will verify the quality of the contractor's action.
and owner in resolving the issue--either by changing the The construction checklists verify components frotn
QPR to match the new conditions or by getting the design pro
delivery through start-up . An individual component may be
fessional to incorporate comments into the sub1nittal review
seen by the CxA several times throughout its installation.
response. This Should be accomplished in a timely manner to
Quality-based sampling allows for unbiased Evaluation of
avoid disruption of the construction process.
QPR achievement at anytime during construction.
BS. SITE VISITS The sampling rate to be utilized during a particular site
visit varies depending upon the factors in Table B2. The
The contractor is responsible for installing and starting
table provides general guidance for components. This may
up 100% ofthe building system and assemblies. The design
not apply to assemblies and systems that support all
professional is responsible for verifying adherence to the
systems or assemblies if they are not part of the Cx Process
proj ect design and specifications. It is the CxA's responsi
scope. For example, if the envelope is not included in the
bility to accomplish ongoing verification that the contrac
tor's work achieves the OPR. This is best accomplished scope of the Cx Process for a specific building, there will
through quality-based sampling ofthe completed construc not be any checklists for the envelope components, and this
tion checklists. will be included in the site visits as an item to be checked
The intent of quality-based sampling of the construc to evaluate the quality of the envelope as it itnpacts the
tion checklists is that the CxA reviews the completed performance of the other systems or assemblies.
ANSI/ASHRAE/IES Standard 202-2013 17

Final Commissioning Process Testing
The sampling rate for the final Cx Process tests to verify

OPR achievement is based on the information in Table B3.
TABLE 83 Sample Rate Determination-Final Process Testing
Sample Rate
Factor Guidance
(% of Components or % of Pages)
Complexity The greater the complexity ofHVAC&R system and interaction of QPR 5% to 1 0% for low complexity
between multiple components, typically, the more additional Evaluation 1 Oo/o-20% for medium complexity
and testing is required to verify QPR achievement. Therefore, w ith 20%--40% for high complexity
greater complexity, the rate of sampling typically increases.
Criticality As the criticality of component increases, relative to achieving the QPR, 1 0%-20% for low criticality
the sampling rate increases to provide a higher level of assurance that 1 00%-600% for high criticality
the 1 0%-20% for low criticality QPR will be achieved. For example, a (See Note 1 )
data processing center where any downtime results in the loss of
significant revenue, there is an obvious need for increased testing,
compared to a retail clothing store.
Notes:
I. For sampling rates greater than I 00% (e.g., extremely critical laboratory equipment that results i n loss oflife i f it fails), the approach is that two independent reviewers using different
instrwnentation accomplish their Evaluation following the docwnented test procedures. Therefore, if a 400% review is warranted, then there would be four independent reviewers.
2. It is important to understand that even ifthe sampling rate is I 00% or greater. the approach to be taken is still one ofrandom sampling. For example, for a facility that has 40 rooms,
the test to verify the comfort OPR would use a random approach of first checking rooms 1 00, 1 05, 1 10, 1 1 5, then rooms I O I , 1 06, 1 1 1 , 1 1 6, etc. This random approach enables
an unbiased Evaluation ofthe comfort throughout the facility relative to the OPR. Ifissues are identified early in the testing process (e.g., after a 20% testing, systemic issues have
been identified), then there is no reason to accomplish the other 80% of the testing, as it has been shown that the system does not achieve the OPR and something needs to be
changed.
3. Because the final Cx Process tests to verify OPR achievement, it should focus on specific OPR criteria, and the skills ofthe CxA in developing appropriate, tailored tests will greatly
impact the sampling rate required to determine OPR achievement.
18 ANSI/ASHRAE/JES Standard 202-2 0 1 3

This appendix is not a mandatory part of this standard. It is ment that clearly expresses the owner's requirements prior to
merely informative and does not contain requirements the start of the design process. The Cx Team should update the
necessary for conformance to the standard. It has not been OPR as directed by the owner throughout the Cx Process.
processed according to the ANSI requirements for a
C2.2 The Cx Plan. The CxA should develop a Cx Plan that
standard and may contain material that has not been
subject to public review or a consensus process. outlines the project's organizational structure and defines the
Unresolved objectors on informative material are not team's roles and responsibilities, deliverables, communica
offered the right to appeal at ASHRAE or ANSI.
tion protocol, and schedule of activities.
C2.3 Basis of Design Documentation. Design profession

INFORMATIVE APPENDIX C
als should provide BoD documentation as part of their
INITIATING THE COMMISSIONING PROCESS
required design submittals defined in owner/designer agree
Cx is a team effort, and the entire project team is part of ments. The BoD documentations should contain the
the Cx Process. The Cx Plan defines the project team's roles designer's narratives of their intent, assumptions, calcula
and responsibilities, communication protocols, Cx activities, tions, and product cut sheets used in development of their
and the schedule of those activities. Success is dependent on design. The BoD should be updated as design decisions are
each team member's understanding of what is expected of made using a change tracking system (such as Track Changes
them and obtaining their buy-in. That is why it is essential that in Microsoft Word®) to delineate modifications as the design
the owner clearly define, contractually, each team member's progresses through its phases to completion of the project.
role and responsibility and their part in the Cx Process and
C2.4 Cx Specifications. Develop Cx specifications to meet
achievement of the defined objectives and criteria defined by
the OPR which clearly define activities during construction
the OPR.
and warranty periods for inclusion in the construction docu
The owner is head of the project and should be engaged
ments project manual. Cx specifications should include con
in defining the team's goals and objectives, verifying they are
tractor scope of commissioning work, construction
clearly documented in the OPR documents and requirements
checklists, testing, training, and system manual deliverables.
the Cx provider uses to implement the Cx Process for the
owner's benefit. C2.5 Cx Design Review
The owner should require the update of the OPR as Designers should participate in the Cx Process by
defined objectives and criteria contained in the document are following the Commissioning Plan, which includes
changed as the project progresses. design review and issue resolution; updating the
The owner should mediate and provide direction to the BoD; commissioning specifications in project man
project team for Cx issues identified but irresolvable among ual; reviewing and considering comments from the
the team as part of the issue resolution process to resolve Cx Team; and keeping the CxP informed of supple
disposition of issues identified through the Cx Process. The mental instructions, RFI responses, and modifica
owner should approve, in writing, the resolution directed by tions directed by the design team.
the owner.
CxA should perform focused reviews for the pur
pose of verifying that the design drawings and spec
C1 . COMMISSIONING PROCESS PROVIDER
ifications meet the OPR at completion of schematic
REQU EST FOR QUALIFICATIONS
design, 1 00% design development, and 95% con
ASHRAE Guideline 0-2005, Appendix E, outlines a struction documents. CxA should perform a back
recommended process for obtaining and contracting with a Cx check of all design issues discovered against 1 00%
Process provider. construction document completion prior to bid date.
Maintain a record of all issues and recommenda
C2. SETTING CONTRACTUAL REQUIREMENTS tions, including the status and outcome of each.
This appendix provides suggested examples of how to C2.6 Construction Submittals Review. Designer should
implement the process contracting activity of Standard 202. It is require by specification that the contractor provide construc
not intended to be a comprehensive representation or a best prac tion submittals to the CxA and designers concurrently. The
tice example. Owners and practitioners applying the Cx Process CxA should provide review comments to the designer prior to
should carefully follow Standard 202 and applicable Cx techni designer approval of the submittals with a copy to the owner.
cal resources tailored to their specific projects. Designers should review and consider comments received
Suggested contract language must be developed for before giving approval of the submittals. CxA should review
each activity applicable to a specific project or building contractor submittals for the systems and assemblies being
such as: commissioned for compliance with the OPR.
C2.1 Owner's Project Requirements. Assist the owner by C2.7 Observation and Testing
developing the OPR in accordance with ASHRAE Standard CxA should maintain and distribute a master
202-20 1 3 . The commissioning provider (CxP) should con issues and resolution log that documents issues
duct workshops necessary to determine owner's objectives, discovered through the Cx Process, recommenda
criteria, and sustainability goals and provide a written docu- tions for correction, and the outcomes of each

issue. Include issues identified through observa log that summarizes the issues and the disposition of each
tions and testing which do not meet the OPR. issue until resolved.
CxA should develop and distribute specific C2.9 Systems Manual
acceptance testing procedures for commissioned The commissioning specifications should include
systems and assemblies for review and approval contractor deliverables as defined in the OPR.
by the designers and contractors . The CxA These deliverables become a part of the system
should also coordinate, direct, witness, and docu manual assembled by the Cx Team. The specifi
ment performance tests performed by the install cations should also define the format and infor
ing contractors and coordinate retesting as mation required in the submittal.
necessary until satisfactory performance is Designer should provide B oD information in
achieved. The acceptance testing should verify CxA-defined format for inclusion in systems
the achievement of the design intent and the manual.
OPR, i.e., equipment testing should include oper
ating the system and components through each of C2.10 Training. The Cx Team should include in the demon
the written sequences of operation and other sig stration and training section of the commissioning specifica
nificant modes and sequences, including start-up, tions the training required by the OPR. The demonstration
shutdown, unoccupied mode, manual mode, stag and training specifications should specifically define training
ing, miscellaneous alarms, power failure, secu to be provided, hours per topic, level of training, the training
rity alarm when impacted, and interlocks with approval process, and documentation requirements.
other systems or equipment. System sensors and C2.11 End of Warranty Cx Report. The CxA should pro
actuators calibration should be checked during vide a final Cx Report two months prior to the end of the war
testing by the installing contractors and spot ranty period.
checked by the Cx Team.
C2.12 Cx Process Report. The CxA should provide Cx
C2.8 Issues and Resolution Log and Field Report. CxA Progress Reports at the end of each month (or at intervals des
should document issues in field reports for each site visit per ignated by the owner) during the project, including Design,
formed by the Cx Team and maintain an issues and resolution Construction, and Wa1rnnty Phases.

This appendix is not a mandatory part of this standard. It is Objectives: For any project, there are goals that must be
merely informative and does not contain requirements achieved for the project to be successful. Goals can range
necessary for conformance to the standard. It has not been from first cost, to time schedule, to number of change
processed according to the ANSI requirements for a orders, to life-cycle cost. Regardless of which goals are
standard and may contain material that has not been identified, they must be summarized up front to ensure
subject to public review or a consensus process. everyone is on the same page.
Unresolved objectors on informative material are not
Green building concepts: This is an optional section for
owners who wish to focus upon the sustainability aspects
of their building.
INFORMATIVE APPENDIX D
OWNER'S PROJECT REQUIREMENTS Functional uses and requirements: In addition to general
documentation produced by the architect on functional
This appendix provides an example of how to implement uses of the building (office, storage, kitchen, etc.), the
part of Standard 202-2013. It is not intended to be a comprehen specific requirements for each functional area must be doc
sive representation or a best practice example. Practitioners umented. This can include such items as security, safety,
applying the Cx Process should carefully follow ASHRAE comfort, energy, maintainability, and indoor air quality.
Standard 202-2013 and applicable Cx technical resources tai
Lifespan, cost, and quality: It is imp01iant to clearly docu
lored to their specific projects.
ment the owner's expectations for lifespan of materials,
The Owner's Project Requirements (OPR) is developed
cost of construction, and the level of quality desired. By
and defined in the beginning of the project delivery process.
providing this information, unrealistic expectations are
Information about the project is gathered, including program
identified and eliminated.
requirements, community context, codes and regulations, site
and climate, facility context and function, facility technology, Performance criteria: Often the most difficult to define, per
sustainability, cost, schedule, and the client's (including formance criteria detail minimum acceptable performance
owner, occupants, operators, and maintenance personnel) benchmarks for various aspects of the facility.
needs and capabilities. The OPR provides the basis from Maintenance requirements: The maintenance require
which all design, construction, acceptance, and operational ments are a mixture of the level of knowledge of the cur
decisions are made. An effective Cx Process depends upon a rent O&M staff (what can they maintain) and the
clear, concise, and comprehensive OPR document, which expected complexity of the proposed systems (what they
includes information to help the project team properly plan, can learn). If there is a significant gap between the two,
design, construct, operate, and maintain systems and assem no matter how well the building is constructed, it will
blies. The OPR is often developed in an OPR workshop that is not be maintained or operated properly.
described in ASHRAE Guideline 0-2005.
The owner is encouraged to provide a minimum of five The following are examples of OPR elements that are
participants that equably represent the various groups associ common to most of the technical Cx Process resources topics.
ated with the owner's existing building(s) or future project.
The OPR are considered the heart and soul of the Cx Benchmarks for performance: Specific criteria for the
Process. When the OPR are not developed, the owner, functional use of each space, assembly, and system must
designer, contractors, and operation and maintenance be defined. These include temperature, humidity, air
(O&M) personnel each interpret the proj ect requirements, flow, light, noise, durability, aesthetics (materials and
including their individual responsibilities, from the stand colors), service life, reliability, redundancy, and the like.
point of their own specific needs. This often creates a range Typically, upper and lower limits are provided for gen
of diverse views of the constructed proj ect's needs. The eral spaces, with exceptions noted as required.
OPR reflect the actual needs of the owner, the users or occu
pants, service and operating units, and sometimes the Problems to avoid: Since occupant/user/operator com
community. Developing the OPR is one of the, if not the, plaints are common, it is important to identify and docu
most difficult and important aspects for successful imple ment those problems that have caused complaints in the
mentation of the Cx Process. past. If these problems are not documented and the situ
ation recurs, the occupants often consider the entire
The following sections detail an example format to follow
project as a failure.
in developing the OPR and a discussion of how to obtain the
required infotmation. Note that historically, the OPRhas often Specific occupant requirements: Specific items that are
been referred to as design intent or project intent. deemed important to the various occupants in a building
must be identified and documented. In speculative-built
01 . FORMAT buildings, this section would detail the limits to which
occupants can make use of their spaces. For example, a
Key sections of the OPR document are: chemical laboratory cannot be put in a space designed
and constructed for general office use without signifi
Background: A narrative description to provide context cant changes to the systems and possibly to the building
about the project. as a whole.

© ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, disWbution, .
.
or transmission in either print or digital form is not permitted without ASHRAE's prior wntten perm1ss1on.
02. OBTAINING THE INFORMATION and that the owner (Cx Team) has determined are critical to the
success of the project.
While it may be easy to obtain the basic information General Project Description: The size and scope of the
related to development of the OPR, it is difficult to obtain proj ect are included in this section.
quality information that the owner, O&M staff, service Objectives: The objectives for accomplishing this project
contractors, customers (e.g. , students, patients, retail are detailed in this section.
customers, renters), visitors, subtenants, occupants, and the Functional Uses: The expected functional uses for the
community all agree upon. In quality-based processes, it is spaces in the facility are detailed in this section. A short
critical that input be obtained from all the users (the various description of each functional use should be included.
user groups) and that the consensus of and differences Occupancy Requirements: Includes the number of
between the groups are documented. There usually are occupants (users and visitors) and the schedule of occupancy,
requirements for which users do not all agree. These must including all special conditions.
be documented as unresolved items. Normally, the owner Budget Considerations and Limitations: The expected
will make final decisions on what the priority order of OPR budgetary restrictions and considerations are contained in this
will be. However, the owner and the rest of the Cx Team section.
must be aware of all requirements so that the final product Performance Criteria: The performance criteria upon
will include as many individual group requirements as are which the project will be evaluated by the Cx Team are
deemed appropriate and within the budget. included in this section. Each system and assembly perfor
A simple, three-step process is recommended for devel mance criterion should be measurable and verifiable. Include
oping the OPR: subsections as appropriate to organize and explain the criteria:
1. OPR workshop Commissioning Program Requirements

2. OPR documentation (report) Economic and Efficiency Requirements
3. Project team approval of the OPR Environmental and Sustainability Goals
Environmental Requirements Construction Process
03. OPR DOCUMENT Maintainability and Maintenance Program Require
ments
A general format for an OPR document is presented
Operations Training Requirements
below. The structure provided is intended to encompass the
Benchmarks
facility requirements and enable the addition of sections
Documentation and Format Requirements, Including the
depending upon the systems and assemblies to be constructed
Systems Manual
and commissioned.
Introduction: Includes an overview ofthe project and the Owner 's Project Requirements Version History:
general reasons why the project is being undertaken. A Includes a summary of the changes made throughout the
description of the owner's processes (Cx Process) is typically predesign, design, construction, and occupancy/operations
contained in this section. activities. This information is critical to understand and
Key Owner's Requirements: Includes a listing of the document the trade-offs made over time and the resulting
key owner's requirements that the Cx Process will focus upon impact on the proj ect.

This appendix is not a mandatory part of this standard. It is Step 2 : Record issues, schedules, budgets, and
merely informative and does not contain requirements expectations.
necessary for conformance to the standard. It has not been Step 3 : Provide documentation and training
processed according to the ANSI requirements for a requirements
standard and may contain material that has not been DESIGN ACTIVITIES
subject to public review or a consensus process. Develop and Update Basis of Design
Unresolved objectors on informative material are not Update Commissioning Plan
offered the right to appeal at ASHRAE or ANSI. Develop Commissioning Process
Develop Contract Documents
INFORMATIVE APPENDIX E Develop and Review Proj ect Specifications
COM MISSI O N I N G P LAN
Accomplish Design Reviews
This appendix provides an example of how to implement a Prebid Meeting
Cx Plan from project initiation through occupancy. It is not CONSTRUCTION ACTIVITIES
intended to be a comprehensive representation or a best practice Conduct Preconstruction Meeting
example. Practitioners applying the Cx Process should care Contractor Submittal Review
fully follow ASHRAE Standard 202-201 3 and applicable Cx Construction Checklists
technical resources tailored to their specific projects. Delivery Process
The following is an example outline for a Cx Plan. The Preinstallation Checks
basic structure of this example is such that each phase of the Installation and Start-Up Checks
plan has its own section detailing what activities will be accom Performance and Coordination Checks
plished and guidance on who accomplishes that section and Testing
how the deliverable is completed. The deliverables for each Documentation
activity are included in an appendix. Each section of the plan Systems Manual
will have a description ofthe requirements for that subject. The Training
intent of this fmmat is for the Cx Plan to become the final Cx Preliminary Commissioning Report
Process report at the end of the project by updating the plan OCCUPANCY/OPERATIONS ACTIVITIES
and filling in the results for each section as the project Seasonal Testing
progresses.
Ongoing Training
Depending upon the size and scope of the Cx Process Warranty Review
Activities, it may be beneficial to have three Cx Plans: one Lessons-Learned Meeting and Report
for the Predesign Phase, one for the Design P, and one for the
Final Commissioning Report
Construction Phase. If separate Cx Plans are used, then care
CONTACT AND RESPONSIBILITY INFORMATION
must be taken to inform those that are involved in only a portion
SCHEDULE REQUIREMENTS
of the process of the previous material.
Provide a detailed description of Cx Process Activities
Checklists are often developed for the Cx Plan and used
and a schedule of activities. The design milestones should
for listing criteria, process requirements, and performance
include the Cx Team meetings, OPR development, design
testing. Checklists are, by definition, a list of items to be
reviews, and the completion of the BoD and the Cx speci
noted, checked, or remembered and are used in the context
fications. For construction and renovation activities, the
of this standard for general Evaluation, testing, training,
additional milestones should include the Cx Team meet
and other design and construction requirements. Checklists
ings, submittals, installation checklists completion, start
should not be considered a detailed or exhaustive list of all
up plan start and finish, performance testing, owner move
items that may require further review and Evaluation to
in, training, O&M and record drawing completion, deferred
ensure compliance with the OPR and BoD. The skills and
seasonal testing, warranty review, and final Cx Process
experience of the CxA and Cx Specialists are needed in
report.
each commissioning activity to interpret and apply the
Appendices in the initiation and design stages of the
listed items.
project will state the requirements and responsibilities for
the required deliverable. The final results and documenta
COMMISSIONING P LAN
tion for each item will be inserted in the final report.
Table of Contents It is not necessary to include copies of documents
included in the systems manual in the final Cx Report ifthat
OVERVIEW Cx Report is included in the systems manual, but the loca
COMMISSIONING PROCESS DESCRIPTION tion of the document(s) should be noted.
PREDESIGN ACTIVITIES APPENDIX A-OWNER' S PROJECT REQUIRE
Develop Owner's Project Requirements MENTS
Develop Initial Commissioning Plan APPENDIX B-BASIS OF DESIGN
Commissioning Process Issues APPENDIX C-PROJECT SPECIFICATIONS
Step 1 : Identify systems and assemblies to be APPENDIX D-COMMUNICATION STRUCTURES
commissioned. APPENDIX E-ROLES AND RESPONSIBILITIES

APPENDIX F-COMMISSIONED SYSTEMS [listing of APPENDIX M-TESTS AND DOCUMENTATION

systems and assemblies] APPENDIX N-SYSTEMS MANUAL ASSEMBLY
APPENDIX G-COMMISSIONING PROCESS SCHED- APPENDIX 0-TRAINING
ULE
APPENDIX P-MEETING MINUTES
APPENDIX H-PREBID MEETING
APPENDIX Q-CORRESPONDENCE
APPENDIX I-PRECONSTRUCTION MEETING
APPENDIX J-SUBMITTAL REVIEW APPENDIX R-WARRANTY REVIEW
APPENDIX K-COMMISSIONING PROCESS ISSUES APPENDIX S-OPEN I S SUES
APPENDIX L-CONSTRUCTION CHECKLISTS APPENDIX T-LESSONS LEARNED

This appendix is not a mandatory part of this standard. It Additional design requirements (LEED and energy
is merely informative and does not contain requirements goals, other special requirements)
necessary for conformance to the standard. It has not Sustainable code requirements
been processed according to the ANSI requirements for a Design narrative, including description of how each
standard and may contain material that has not been sustainable design requirement is met
subject to public review or a consensus process. Controls system narrative
Unresolved objectors on informative material are not Renewable energy systems narrative
Optional
INFORMATIVE APPENDIX F
BASIS OF DESIGN Design narrative (system options described in suffi
cient detail for energy modeling)
The Basis of Design should be reviewed and updated as Ventilation calculations for each above system
part of each design submission during development of the
option
design, after issue of supplementary instructions during the
construction process, prior to occupancy, and after completion Design Development
of acceptance testing.
Preliminary energy modeling report
F1 . SAMPLE BASIS OF DESIGN REQUIREMENTS Ventilation optimization narrative
TO BE CONTAINED IN OWNER'S PROJ ECT ASHRAE Standard 62. 1 -20 1 0 calculations
REQUIREMENTS Heating and cooling loads calculations (input and
output files)
Introduction: The BoD is a written document that should
Equipment cut sheets (equipment around which the
detail the design team's approach to the OPR.
design was based)
Basis of Design Development Process: The OPR should
Control schematics, database, points list,
provide a list ofrequired information and the format for the BoD sequences, alarm conditions, and operator inter
to the design team prior to the start of design. face elements
The design team should gather and organize the informa
tion during the creation of the design. Construction Documents
The design team should submit the BoD to the owner Any modifications to design development BoD
and CxA for review and comment with each design docu
ment submittal. Lighting
The BoD should be updated by the design team to Schematic Design
provide increasing levels of detail as the design evolves to
reflect changes to design criteria and systems during the Design power capacity, W/ft2 (W/m2)
subsequent phase of the project and the reason for those Design illumination levels, footcandle (lux)
changes. Lighting perfo1mance goals and standards
Lighting and lighting control narrative
The design team should work with the owner and CxA
to resolve review comments. Anticipated lighting power density (LPD) for each
space type
The BoD should include signature blocks and require
acceptance by the owner and CxA.
Design Development
Fl.1 Basis of Design Content. The following BoD con
tents will be edited for each project based on discussions Lighting calculations
between the owner, CxA, or other parties. Ideally, the require Power load calculations
ments for the BoD, third party Cx, sustainable rating certifi Lighting control zoning diagrams
cations, measurement and verification, energy modeling, and Lighting system control information distributed to
other nontraditional design elements are identified prior to potential suppliers
receiving proposals for services from the design team.
Optional
Short-circuit study
HVAC
Schematic Design
Construction Documents (CD)
Ensure lighting controls CDs include:
Occupancy schedule (time and number of people)
Climatic design criteria Finalized specification language
Indoor design criteria, including tolerances (allow Dimension locations of ceiling-mounted sensors
able temperature and humidity ranges) Controls initial calibration criteria
Design diversity per system Definition of the timing of final calibration (for
Redundancies daylighting controls) after partitions/furniture in
Applicable building codes place

Definition of initial scheduling or time clock ment Phase, and 50%, 95%, and 100% contract
requirements documents.
Identification of interface coordination require 3. The BoD should reflect the progression o fthe design
ments within a single document. Sections previously
Definition of any other programming such as submitted should not be modified, but rather be
scenes, overrides, or special events addressed, as necessary, in the new section related to
the current submittal.
Other Systems
4. Nonnarrative type information should generally be
Develop similar scope BoD requirements for other
provided in a BoD appendix for each submittal and
systems as required by the OPR.
be referenced in the narrative.
Format and Organization 5. The main body of the BoD should be concise,
The format and organization of the BoD includes the providing the reader with concise descriptions of
detail design response to the OPR requirements as systems and later modifications and detail on those
follows: systems.
6. The BoD should not duplicate information provided
1. Major sections should include <edit as appropriate in plans and specifications, but should reference that
for each project> Envelope Systems, Interior information as appropriate.
Systems, Electrical and Lighting Systems, HVAC 7. The BoD should address how the OPR are imple
Systems, Renewable Energy Systems, and Plumbing mented into the design. For any criterion of the OPR
and Service Hot Water (SHW) Systems. Within each that could not be met, documentation detailing what
major section should be subsections labeled for each was done, its impact on the OPR, and how the OPR
required design submittal ("Schematic Design," was modified should be included. It is not intended
"Design Development," etc). that the BoD repeat the text of the OPR with
2. An updated BoD should be required to be submitted comments addressing each individual OPR criterion,
with each design submittal. Updates should include but rather that the BoD remain a concise, readable
descriptions of changes to the design since the previ document that is useful throughout the design and
ous submittal, the reasons for those changes, and construction processes and into occupancy.
additional detailed information that becomes avail
able as the design progresses. Design submittals for Acceptance
this project include <edit as appropriate for each The BoD should include signature blocks for acceptance
project> Schematic Design Phase, Design Develop- by the owner and CxA of each BoD submittal.

in either print or digital form is not permitted without ASHRAE's prior written permission.
part of this standard. It Gl.5 The OPR and BoD must be included or referenced in
is merely informative and does not contain requirements the construction contract documents for informational pur
necessary for conformance to the standard. It has not poses only.
been processed according to the ANSI requirements for a
Gl.6 The construction contractor's obligation is to con
struct the building and its systems and assemblies according
subject to public review or a consensus process.
to the requirements prescribed in the contract documents.
There normally are no performance requirements relating to
the OPR stated in the contract documents. The exceptions to
this include situations where contractors are required to pro
INFORMATIVE APPENDIX G
vide designs for systems or assemblies to be signed and sealed
COM M ISSIONING SPECIFICATIONS
by licensed professionals.
This appendix provides an example of how to imple
ment part of Standard 202-20 1 3 . It is not intended to be a G2. THE COMMISSIONING AUTHORITY
comprehensive representation or a best practice example.
G2.1 The primary role of the CxA is to verify achievement
Practitioners applying the Cx Process should carefully fol
of the OPR throughout the project, from Predesign Phase
low applicable Cx technical resources tailored to their spe
through Occupancy/Operations Phase. The owner could
cific proj ects.
perform the CxA role.
It is acceptable but not required by this Standard for the
CxA to provide drafts ofthese Cx specifications forthe design/ G2.2 When the owner's organization cannot perform the
construction team to consider for including in their construc CxA duties with qualified personnel, then the CxA should
tion or contract documents. have a separate professional services agreement with the
owner, as this avoids conflicts of interest and provides inde
pendence from the other parties (the owner's project manager,
G1 . SPECIFICATIONS
FOR THE COMMISSIONING PROCESS
designers ofrecord, construction managers, suppliers, and con
struction contractors). This professional services agreement
Gl.1 This appendix provides guidance on writing specifica defines the duties, rights, and responsibilities of the CxA for
tions for Cx Process Activities to be performed by construc each phase of the project. This separate relationship allows the
tion contractors. CxA to act independently as director of Cx Process Activities, to
focus on achieving the OPR, and to communicate directly
Gl.2 Cx is a quality-01iented process for achieving, verify with the owner.
ing, and documenting that the performance of facility systems
and assemblies meet defined obj ectives and criteria. The Cx G2.3 The CxA is a group of personnel with expertise and
Process begins at project inception and continues for the life experience in the design, construction, and operations of the
of the facility through occupancy/operations. During prede various systems and assemblies included in the project. These
sign, the OPR are determined and documented by the Cx personnel are led by an individual who has expertise and experi
Team, which includes the owner, CxA, design professionals, ence in successfully implementing the Cx Process.
operation and maintenance personnel, occupants, and users. G2.4 If the CxA is an employee, associate, or partner of the
Throughout each phase ofthe project, deliverables (drawings, same organization as the designer of record or construction
specifications, submittals, construction, training, documenta management firm, there is a conflict of interest. While not a
tion, etc.), are verified against the OPR. recommended approach, in these instances, the CxA must
have a separate professional services agreement, be organiza
Gl.3 An important document created during the Cx Process
tionally separate from the design team or construction man
is the BoD document or report. The design professionals cre
agement team, and define and manage the conflicts of interest
ate this document or report during the Design Phase. The BoD
to provide the owner with the independence required for the
records the concepts, calculations, decisions, and product
Cx Process to be successful.
selections to meet the OPR and to satisfy applicable regula
tory requirements, standards, and guidelines. It can include G2.5 The CxA does not perform testing; they direct the pro
energy, environmental, sustainability, and other certification cess and the recording of the results. The CxA plans, sched
criteria, both formal and infonnal. The BoD includes both ules, and supervises Cx Process Activities to verify
narrative descriptions and lists of individual items that sup achievement of the OPR. The contractor completes construc
port the design process. tion checklists, performs tests, and accomplishes other Cx
Process Activities.
Gl.4 ASHRAE Standard 202-20 1 3 provides guidance on
content and basic format. While the OPR are owner-devel
G3. ORGANIZATIONAL STRATEGY
oped criteria, few owners have the resources to develop the
FOR INCLUSION OF COMMISSIONING ACTIVITIES
OPR. Owners without these resources depend on the Cx Team
IN THE SPECIFICATIONS
(see a definition and discussion of the term Cx Team in
ASHRAE Gui deline 0-2005) to assist them in developing the G3.1 Specifications (as a part of the construction contract
OPR. documents) should include only the Cx Process Activities the

or transmission in either print or digital forrh is not permitted without ASHRAE's prior written permission.
contractors perform during the life of the construction con G3.4.1 During construction, the CxA verifies that con
tract, including the work required during the correction period tractor activities, such as installation and start-up, testing,
and for warranties. demonstration and training of the owner's O&M personnel,
and systems manual, achieve the OPR. Coordinating activi
G3.2 For supplementary conditions, modify the general
ties by the contractor in support of the CxA should be speci
conditions of the contract for construction in a document
fied within the section where the component is specified if
titled "Supplementary Conditions." Among other provisions,
special requirements are necessary. The following are exam
define the CxA and include the CxA's duties, rights, respon
ples of requirements to include in individual sections:
sibilities and limits of authority, and additional requirements
for substantial completion. AIA Document A5 l 1 , Guide for G3.4.1.1 For "Installation and Start-up" include require
Supplementary ConditionsQ2 provides guidance about how to ments for involvement of factory-authorized service represen
write "Supplementary Conditions." tative in individual sections and for the completion of
construction checklists.
G3.3 In "General Requirements" for the Cx Process, for
G3.4.1.2 For "Testing" include requirements to support
Specifications in Division 1 , include the general requirements
the CxA in verifying test results, ranging from coordinating
for contractors relating to Cx Process Activities. The "Sum
testing, to witnessing the test, to utilizing contractor personnel
mary" Section describes, in general, how the contractors, sep
and test equipment, and to verify the test report.
arate contractors (if there is more than one prime contractor),
G3.4.1.3 For "Demonstration and Training" include spe
or the construction manager must interact with the CxA.
Administrative procedures for the Cx Process are specified in cial requirements unique to the component within its own sec
Division 1 section "Commissioning." tion.
G3.3.1The remainder of the specification language, with G3.4.1.4 In "Operation and Maintenance Data" include
the exception of Division 1 sections for temporary facilities unique requirements for the type of information required
and controls, should be mute on the subject of who must per (e.g., particular requirements about parts lists, service sched
form the work. ules, preventive maintenance lists, and emergency operations)
for long-term maintenance of the OPR.
G3.3.2 Other Division 1 Cx sections should describe the
testing requirements for systems and assemblies. G3.4.2 In each section include an article under "General"
that refers to Division 1 for Cx Process Activities for system
G3.3.3 For "Extent of Testing," the contractor's involve
or assembly requirements. An example is as follows:
ment in the Cx Process tests must be clearly defined. The
1.XX COMMISSIONING PROCESS ACTMTIES
extent of this testing is determined by the Cx Team during the
Design Phase based upon the OPR.
A. The roofing materials specified in this section are
G3.4 In "Component Cx Process Specifications," the sec included in the Cx Process as a part of the building enve
tions should specify testing and reporting requirements for lope system and roofing subsystem and integrated with
products and equipment that are part of a system or assembly flashing, coping, and insulation.
and then should be referenced to the appropriate Cx Process B. Complete the construction checklists and perform tests
sections in Division 1 for the overall system or assembly specified in Division 1 section "Building Assemblies
requirements. Commissioning Requirements."
28 ANSI/ASHRAE/IES Standard 202-20 13

This appendix is not a mandatory part of this standard. It and the design professionals contacted to discuss the
is merely informative and does not contain requirements quality concerns. If the general quality is good, move on
necessary for conformance to the standard. It has not to the coordination review.
been processed according to the ANSI requirements for a
standard and may contain material that has not been H3. COORDINATION REVIEW
Unresolved objectors on informative material are not H3.1 Determine Sampling Areas: for each floor plan area
offered the right to appeal at ASHRAE or ANSI. (i.e.: ifthere are five sheets for each floor, then there are five
floor plan areas for each floor) select a single building area
INFORMATIVE APPENDIX H randomly. A simple way to do this is to divide the drawing
DESIGN REVIEW AND REPORT sheet into 1 5 squares (5 by 3) and select square number 3 on
This appendix provides an example of how to imple the first sheet (area) and then 5, 7, etc., for each remaining
ment a sampling process for Standard 202-201 3 if directed area. This selection is accomplished typically using the archi
by the owner. It is not intended to be a comprehensive repre tectural sheets.
sentation or a best practice example. Practitioners applying
H3.2 Select Review Samples on Drawings: using the sam
the Cx Process should carefully follow ASHRAE Standard
pling strategy chosen in Step H3 . l , mark the sample areas to
202-20 1 3 and applicable Cx technical resources tailored to
be reviewed in each area. This should be accomplished for
their specific projects.
each trade (landscaping, architectural, structural, plumbing,
mechanical, electrical, etc.).
H 1 . DESIGN SUBMISSIONS
H3.3 Accomplish Coordination Review: for each area,
A critical step in the Cx Process is the review of the design
submissions from the design professionals. It is important to compare the squares between each discipline. The intent of
this review is to identify coordination problems with the
remember that the role ofthe CxA is to verify that the OPR are
met and that the system is designed in a quality manner. There placement and installation of components. Items of specific
interest include the following:
are three distinct types of reviews that can be completed on a
drawing set-general, coordination, and field specific. A Placement of multiple pieces of equipment/compo
review of the specifications is also required. nents in the same location
The use of sampling in the design review and the sampling Accessibility to equipment/components for com
process must be defined in the OPR. The Cx Plan can also add missioning, maintenance and replacement
requirements and infonnation to the design review process and Use of consistent terminology (e.g., room numbers)
procedures.
Elevations provided where multiple systems are
placed in the same area
H2. G ENERAL REVIEW
Other trade duties clearly identified (e.g., window
The general steps of completing a drawing review are as assemblies, roof drains, electric wiring for HVAC
follows: equipment, holes for sinks)
If significant coordination problems are identified, stop
1. Review the OPR: since the drawing review is to verify the
the review and contact the design professionals to discuss. If
OPR were met, prior to the review, the OPR should be
the coordination is good, continue on with the field-specific
reviewed to familiarize the reviewer with the key criteria
review.
of the facility.
2. Document the general review criteria: the criteria from
which to accomplish the general review of the submission H4. FIELD-SPECIFIC R EVIEW
must be documented. The criteria should be based on
H4.1 Determine the review sampling procedure as defined
general quality characteristics and specific OPR criteria. in the project OPR and Cx Plan: Use random sampling that
The general quality characteristics should include items selects every x111 square on the drawings to be verified.
such as the following:
Squares that are completely blank (no walls, equipment, etc.),
Continuation of items (ductwork, pipes, walls, elec are not included in the counting. For example, if there are 1 0
trical wiring, etc.) from page to page pages of drawings and each drawing i s split into 1 5 grids (5 x
Labeling, including correct room numbering 3), there will be 1 50 potential grids to review. If a 20% sample
Details corresponding to actual components rate is desired, then 30 grids would be reviewed, or every 5
Schedules include BoD information grids. The starting grid should be chosen using a random
All information is legible (not hidden by crossing selection process (die, drawing numbers 1-6 from a hat, etc.).
lines or text)
OPR information is included on documents H4.2 Document Review Criteria: The criteria from which to
3. Accomplish quick general review: the general review is review the drawings should be based on specific OPR criteria.
intended to familiarize the reviewer with the submission. This typically includes items such as accessibility, maintain
If during this review significant items are identified as ability, meeting sustainability goals, comfort conditions, doc
poor quality, then the review process should be stopped umentation of OPR and BoD, and operating details.
ANSI/ASHRAE/lES Standard 202-20 1 3 29

H4.3 Select Review Samples on Drawings: Using the sam 2. Accomplish General Review: the review should focus on
pling strategy chosen in Step 1 , mark the sample areas to be the quality of the specification, specifically:
reviewed.
Are there extraneous sections that do not pe1iain to
H4.4 Accomplish Detailed Statistical Review: Using the the project (i.e., medical gas in an office building,
review criteria from Step 2 and the selections from Step 3, 1 5 types of valves when only 2 used, etc.)?
accomplish a detailed review of the drawings. This includes If a manufacturer has been listed, has the engineer
verifying that the specifications match that shown on the draw checked to verify that the OPR are met?
ings (see below for specification review details). For exam Are there any "or as equals?" ("As equal" should
ple, if an air terminal box is in the selected square, the steps always be defined.)
in accomplishing the detailed review might include the fol Are the directions clear and concise?
lowing: 3. Develop Summary of Review: develop a summary ofthe
review. If there are problems with the specifications,
a. Review design calculation inputs for matching archi
contact the design professionals and discuss.
tectural assumptions and the OPR.
b. Compare calculation results with the total airflow H6. DESIGN PROFESSIONAL ACTIONS
of the diffusers downstream of the air terminal box
and with the terminal box schedule. Comments provided by the CxA need to be formally
c. Compare location of air tenninal box with mainte replied to by the design professionals. If systemic issues are
nance requirements of the selected make and model identified during the CxA's review, the design process should
(BoD). be resolved. Backchecking ofthe specific items may be appro
d. Compare air terminal box location on drawings priate, but not as the sole means of verifying resolution of the
with requirements in the specifications. issue.
e. Review the OPR for other issues that the air termi
nal box could impact. H7. DESIGN R EVIEW REPORT
The design review report should contain the following

1. Document Concerns: during the review o fthe draw information:
ings, keep detailed notes of problems found or
concerns with certain items. Also, at the end of the Report page header: Project title, number, and date of review
review, a general summary of the quality of the Contents:
drawings should be developed. A letter detailing the
quality of the drawings should then be sent to the 1. Executive Summary: Include a summary of the process
design professionals and the owner with specific used for the review and for processing the comments and
recommendations and directions given. responses.
2. Review the Drawing Review Procedure: after the 2. List of Documents Reviewed by Title and Issue
drawing review is completed, this document should Number or Date: Include a list of all the documents
be reviewed and modified to improve the process for reviewed.
the next time. 3. Issues, Comments, and Variances from OPR: Include
copies of all reviews, distribution lists, and responses.
HS. SPECI FICATION REVIEW 4. Coordination of Drawings and Systems: Include a
copy of the reviews on drawings and systems coordina
1. Determine the Review Sampling Procedure: the purpose tion.
of this review is to determine the general quality of the 5. Access, Constructability, and Maintainability Ques
specifications. During the field-specific review, the actual tions and Recommendations: Include a copy of the
details are checked. The sampling procedure should reviews on systems and assemblies access, constructabil
check approximately 1 0% of the specifications. ity, and maintainability.
30 ANSI/ASHRAE/IES Standard 202-2 0 1 3

This appendix is not a mandatory part of this standard. It process and procedures. See Appendix B i n this standard
is merely informative and does not contain requirements for additional information on review sampling.
necessary for conformance to the standard. It has not The submittal review report should contain the following
been processed according to the ANSI requirements for a information:
subject to public review or a consensus process. 1. Project T itle, Number, and Date of Review
Unresolved objectors on informative material are not 2. Executive Summary: Include a summary of the process
offered the right to appeal at ASHRAE or ANSI. used for the review and for processing the comments and
responses.
INFORMATIVE APPENDIX I 3. Descriptive Outline of Submittals Reviewed: Include a
SUBMITTAL REVIEW AND REPORT list of all the documents reviewed.
The review of the manufacturer's and contractor's 4. Issues, Comments, and Variances from OPR: Include
submittals is intended to verify conformance to the project copies of all reviews, distribution lists, and responses.
OPR and gather information for the testing and Cx of the 5. Coordination with Project Systems: Include a copy of
equipment and system. the reviews on submittals and systems coordination.
The use of sampling in the submittal review and the 6. Conformance to Functional Requirements and Main
sampling process must be defined in the OPR. The Cx Plan tainability: Include a copy of the reviews on systems and
can also add requirements and information to the review assemblies access, constructability, and maintainability.

This appendix is not a mandatory part of this standard. It the occurrence of response states over a passage of time
is merely informative and does not contain requirements without operator interaction. The test description includes
necessary for conformance to the standard. It has not the record of a starting state, expected response states, and
been processed according to the ANSI requirements for a describes the amount of time required to elapse before test
standard and may contain material that has not been completion, as well as the type of monitoring and data
subject to public review or a consensus process. recording required. During execution of the test, the actual
Unresolved objectors on informative material are not response states are recorded.
J2. PERFORMANCE
I N FORMATIVE APPENDIX J
These definitions shown above apply to all types of
CONSTRUCTION OBSERVATION
systems and assemblies and are not tied to any particular disci
AND TESTING CHECKLISTS AND REPORTS
pline in the construction process. Performance as a generic
tenn can be identified to include all physical (and physically
J1 . OVERVIEW
measurable) performance parameters such as leak tightness,
Testing ensures that systems and assemblies meet the electrical efficiency, solar absorption efficiency, vibration
performance criteria for which they were designed. isolation, and the like.
Test procedures should be repeatable and should Note that color, weight, or size are not performance
provide set up conditions, step-by-step instructions and parameters. They are physical properties of the system and
expected or required outcomes. The procedures form or assembly, and as such, are not performance tested. These prop
another form should document the test results. When neces erties will affect the performance.
sary to verify performance, test procedures should include For example, the color of a solar collector will influence
monitoring performance parameters over time. its conversion efficiency, but the resulting efficiency is the
Observation focuses mostly on the visual inspection of performance parameter that is tested, not the color.
whether a particular system or assembly is installed as speci Next to these measurable parameters, there are also logi
fied, whether the correct components were selected and cal or operational parameters that can be tested.
installed without damage, and whether the installation meets The correct reaction of a security system that responds
the criteria set forth in the OPR in terms of maintainability, to an access key card being swiped at a door is a logical per
access, and the like. formance test. The perfonnance being tested is the control
A test is substantially different from an observation in that system response rather than the physical operation of the
the performance of the system or assembly is verified rather door lock itself.
than observing that it physically exists.
Testing for performance frequently means altering the J3. LEVELS OF COMPLEXITY
operation of the system or assembly to evaluate responses To test systems and assemblies in a systematic manner, it
against expectations. To clarify the different types of test is important to initiate testing at a low level of system or
ing that can be employed, the following definitions may be assembly complexity, and work up to the highest level. This
used: concept is difficult to define exactly since the definition and
performance test (PT): perfonnance testing is the process of meaning of terms such as component, system, and assembly
verifying that a material, product, assembly, or system meets changes depending on the viewpoint of the observer:
defined performance criteria. The methods and conditions As an example, the security system test described above
under which performance is verified are described in one or could proceed in several steps: the lowest level of complexity
more test protocols. tests whether a door lock mechanism operates when power is
applied and correctly manages to lock/unlock the door as
performance test protocol: a performance test protocol is a desired. A follow-up step might be a test that examines the
written collection of tests that, when executed in the test interaction of one door/card reader combination and verifies
process, allow verification of the performance of a system or whether the door lock is triggered by the introduction of the
assembly. card. A higher level test still would be the verification of
multiple access cards with different access rights linked to
performance test (active test): execution of an active test
schedules (for example, card A is allowed entry 24/7, card B
forces the system or assembly from one operating state to
is only allowed access from 8 a.m. to 5 p.m.).
another through operator interaction. The test description
For every system or assembly, testing can thus be
includes the definition of a starting state and an expected
conducted by defining what levels of complexity are to be
response state. The test description also includes the oper
addressed, what actions are taken to challenge a system, and
ator interaction required to force the system into the
what responses are expected. The definition of levels of
expected state and the type of monitoring and data record
complexity and levels of systems depends largely on the
ing required.
expertise of the author of test protocols and the wishes of the
performance test (passive test): execution of a passive test owner as expressed in the OPR.
records the starting state or if necessary, places the system As an example of system definitions, a test protocol
or assembly into a predefined starting state and monitors could be based on using a chiller as a component in a chiller
32 ANSl/ASHRAE/IES Standard 202-20 1 3

plant. The system in this case is the plant, components are the level o f complexity i s proportional to the number of
chillers and pumps. Low-level tests would examine whether components and physical or logical interactions between
the chiller operates when commanded to do so; higher-level components. For purposes of Cx, only those physical or logi
tests would examine whether multiple chillers stage cor cal interactions which are captured in test protocols determine
rectly in response to load. the relative complexity of the system or assembly; in other
However, if additional attention to detail was desired, words, complicated "black box" systems or assemblies are
each chiller itself could also be defined as a system consisting relatively simple from the point of view of the Cx agent, even
of multiple compressors, variable-speed drives and on-board though they may be complex from the manufacturer's or
controls with potentially far more complexity than a chiller contractor's point of view. The definition of what physical or
plant consisting of two chillers and two pumps. The response logical interactions are captured in test protocols is the respon
of the chiller system to sudden load changes without freezing sibility of the owner, with substantial support from the CxA
could thus be tested or the ability to maintain a steady chilled and related technical experts on the Cx Team.
water temperature within tight tolerances or the ability to
restart quickly after a power outage. J4. ACTIVE VS. PASSIVE TESTING
The reverse could also be true-in a case where multiple,
existing chiller plants are interlocked as part of a new project Most of the examples given above relate to active testing.
to provide additional redundancy, neither the testing of an This involves purposefully changing the operating state of an
individual chiller nor even the testing of each chiller plant may assembly or system to evoke a response and comparing the
be required; instead, the interaction of the various available response to the expectation shown in the test protocol. Usually,
chiller plants on campus and their ability to correctly respond this is done by physically being present at the system or assem
to failures of one plant by increasing the capacity of another bly and observing the responses as they occur.
plant may be appropriate. Active test example: all openings (doors, windows) in a
Thus, the number oflevels of complexity and the number building are closed, and the building is pressurized with a
of levels of systems versus components or subsystems is blower assembly. The air passing through the blower/fan is
entirely project dependent. The clarification of testing levels measured, and the result is converted into an envelope leak
should be provided by the author of the tests, and the owner rate for the building.
should make a decision concerning the level to which such Active test example: a person enters a room, and the
possible testing should be conducted. lights tum on in response to the occupancy sensor. The per
Typically, a fairly high level of expertise is required to son leaves the room and lights tum off again after the timer
understand not just the available test methods and cost, but has elapsed.
also to make an appropriate selection of which type oftest will It is possible to capture a large degree of functionality in
best verify whether the actual owner's needs will be met: the this manner, but typically not possible to verify all the perfor
mental step of translating the owner's wishes (as expressed mance that was desired in the OPR. To augment these tests,
through the OPR) into performance criteria that can be tested which rely on intentional interaction with systems and assem
and verifying that test protocols encompass all ofthose perfor blies in the field, a second type oftest is required. This type of
mance criteria is not trivial. Care should be taken to ensure that test is a passive test, in which the performance of systems and
those accepting test protocols before their execution, such as assemblies is evaluated without intentional interaction by test
the owner, are assisted by technical personnel able to provide personnel. In many cases, this type of testing involves more
background information and plain-text explanations of what long-term results that are not practically obtainable in the
tests are required, why they are required, what costs associated field.
with different levels of testing make sense, and what risks are Passive test example: the actual efficiency of solar pan
associated with testing. els on a daily cycle is tested for comparison against manu
As a final example linked to the previous chiller plant, facturer data and expectations upon which the design is
an owner may not require a high degree of business continu based. Irradiation meters record the solar intensity over a
ity because they do not have a critical facility, such as a data period of several weeks, and the power output of the panels
center. In this case, creating test protocols that examine the is measured using a power meter with the ability to commu
chiller's ability to restart quickly is entirely possible, but it nicate with the building management system or with its own
adds little value. Conversely, failing to include a test protocol data logging capabilities. Several weeks of data are exam
for quick restart in a data center project may fall short of ined, and the panel performance is evaluated for sunny and
meeting the owner's needs-thus, all tests could be written cloudy conditions.
and perfectly executed while still failing to meet the desired Passive test example: the scheduling system in a build
level of perfmmance. ing is examined after tum-over to the customer. Using data
Despite the difficulty in describing the boundaries of loggers or the building control system, the status of selected
systems and assemblies exactly, a general description of the lighting, security, mechanical, and electrical systems is
execution of tests in order of complexity is as follows: tests recorded to detennine whether systems shut off as desired
should be conducted in order of complexity, starting with the when schedules command and whether the use of local over
simplest systems or assemblies. Tests of simpler systems and rides and adjustments by tenants causes unintended interac
assemblies should be passed successfully before tests of more tions that result in systems remaining in operation. Several
complex systems and assemblies are undertaken. In general, weeks of operation, including changes between weekdays
ANSI/ ASHRAE/IES Standard 202-20 1 3 33

and weekends, can be examined to verify overall perfor measurements. Data may be recorded on photographs, forms,
mance. or other means appropriate for the application. The following
As the examples above illustrate, the methods employed information should be recorded:
in executing an active and a passive test are substantially
different, and they require different tools. The types of perfor 1. Test number
mance that can be measured with active and passive tests may 2. Date and time of the test
overlap but are often complementary. Both types of tests are 3. Indication of whether the record is for a first test or retest
usually required to comprehensively address the ability of following correction of a problem or issue
systems and assemblies to meet owner's requirements. 4. Identification of the system, equipment, or assembly
under test (list the location and the construction docu
J5. CONSTRUCTION OBSERVATION A N D ment designation)
TESTING CH ECKLISTS AND REPORT 5. Conditions under which the test was conducted
6. Expected performance of the systems and assemblies at
OVERVIEW
each step of the test
Checklists are often developed for testing and used for 7. Observed performance of the system, equipment, or
listing criteria, process requirements, and performance test assembly at each step of the test
ing. Checklists are, by definition, a list of items to be noted, 8. Issue number, if any, generated as a result of the test
checked, or remembered and are used in the context of this
9. Dated signatures of the person performing the test and of
standard for general Evaluation, testing, training, and other
the witness, if applicable
design and construction requirements. · Checklists should not
be considered a detailed or exhaustive list of all items that may SAMPLE [INSERT EQUIPMENT/COMPONENT
require further review and Evaluation to ensure compliance NAME] CHECKLIST
with the OPR and BoD. The skills and experience of the CxA
and Cx Specialists are needed in each commissioning activity Tag ID: Location: Date:
to interpret and apply the listed items. General Instructions:
Construction checklists consist of two general types:
Component/Equipment Based: These construction 1. This form is to be completed as the work is completed.
checklists are utilized for components and pieces of equip 2. Section 1 -Model verification upon delivery of equip
ment that are delivered, installed, and started up during ment/component to either the job site or storage location.
construction. There is an individual checklist for each individ 3. Section 2-Preinstallation checks just prior to initial
ual component or piece of equipment. installation.
System/Assembly Based: These construction checklists 4. Section 3-Installation as installation progresses.
are utilized for systems and assemblies where separate check 5. Section 4-Fill in performance data and initial.
lists cannot be applied to sub-components of the system or
assembly. There is a single checklist for the entire system, There are a number of websites of testing and Cx organi
often assembled around the sequence of operation. zations (see Appendix P of this standard) and agencies that
For each test procedure, test data records should be devel have inspection and testing forms that can be adapted for
oped. Test data records capture test data, observations, and specific needs and projects.
34 ANSI/ASHRAE/JES Standard 202-20 1 3

© ASHRAE (www.ashrae.org) . For personal use only. Additional reproduction, distribution,
This appendix is not a mandatory part of this standard. It visit reports that include routine reporting information that
is merely informative and does not contain requirements does not require further actions.
necessary for conformance to the standard. It has not The following items can be included in an effective
been processed according to the ANSI requirements for a issues log:
subject to public review or a consensus process. Project title
Unresolved objectors on informative material are not Project location
offered the right to appeal at ASHRAE or ANSI. Name of CxA managing issues and resolution log with
e-mail address and phone number
INFORMATIVE APPENDIX K
Issue number
ISSUES AND RESOLUTION LOG
Issue description
The issues and resolutions log is the ongoing l isting of Pictures of item if available and appropriate
issues and questions on a project that needs to be commu
Date issue discovered
nicated to the project team for resolution or action. These
Issue found by name
are often shown in table format and supplemented with
Effects of issue on project or building operation
pictures and drawings where necessary.
The requirements for and format of the issues and reso Possible cause of issue or problem
lution log should be included in the proj ect OPR and supple Recommendation for resolution if available
mented in the Cx Plan. The log should be updated and Person(s) assigned to resolve issue
distributed as often as required based on project progress Actions taken
and installation quality. It can also be supplemented by site Approvals of issue resolution
·��-----
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...._
This appendix is not a mandatory part of this standard. It will have multiple sections depending upon the number of
is merely informative and does not contain requirements systems focused up<;m during the Cx Process.
necessary for conformance to the standard. It has not The systems manual contains information on the OPR
been processed according to the ANSI requirements for a and documentation of building design and construction,
standard and may contain material that has not been along with operational requirements, maintenance infor
subject to public review or a consensus process. mation, training and testing documentation for the use of
Unresolved objectors on informative material are not building operations, and maintenance and optimization of
offered the right to appeal at ASHRAE or ANSI. the facility over its useful life.
The format and content of the systems manual
INFORMATIVE APPENDIX L provided in this standard can be effectively used in both
SYSTEMS MANUAL new construction and for assembling a systems manual for
This appendix provides an example of how to imple an existing building renovation.
ment part of Standard 202-20 1 3 . It is not intended to be a
comprehensive representation or a best practice example. L1 . SYSTEMS MANUAL PREPARATION
Practitioners applying the Cx Process should carefully OBJ ECTIVES
follow ASHRAE Standard 202-20 1 3 and applicable Cx
The objectives of the systems manual are to:
technical resources tailored to their specific proj ects.
Developing the systems manual encompasses gather
1. provide the necessary information to the facility operat
ing all of the information related to the facility systems,
ing staff and the maintenance staff to understand the
assemblies, and the Cx Process and incorporating it into a design and construction of the building and how to oper
usable information resource, with indexes and cross refer
ate and maintain the building,
ences. This resource should include the final OPR, BoD, the
2. assemble the building design, construction, and testing
final Cx Plan, Cx Process report, manufacturer installation
results by system in one set of documents,
manuals, manufacturer O&M manuals, system schematics,
3. provide a documentation source to be used in training
record drawings, training information, and test results. This
materials, and
information is edited and organized to focus upon the key
4. provide documentation for building performance
systems (roofing, walls, fire alarm, chilled water, hot water,
improvement and ongoing commissioning.
etc.), in the building. Coordination with O&M personnel in
developing standard formats and divisions (shops) is
L2. SYSTEMS MANUAL DOCUM ENTATION
accomplished to simplify future systems manual develop
REQUIREM E NTS
ment and updating.
It is the intent that the systems manual be assembled in The systems manual process captures proj ect require
electronic format to facilitate access and reduce storage ments, design documentation, construction details, Evalu
requirements. The electronic format will also reduce the ation and testing results, and training programs as the
possibility of loss for parts or all of the information. For information becomes available. Additionally, the recom
systems manuals assembled in hard copy format, the larger mended operating and maintenance procedures and ongo
documents such as record drawings, specifications, submit ing documentation requirements are assembled and
tals, and O&M documents can be stored in secure locations included. Changes to the manuals are expected as the build
with these locations referenced in the systems manual. ing maintenance systems are developed and changes to the
Also included in the systems manual is the develop systems occur.
ment of periodic maintenance and information for insertion The systems manual contains the following sections in the
into a computer maintenance management system order of availability and usage:
(CMMS), including equipment make and model informa Section I-Executive Summary
tion, checking requirements, maintenance requirements, The executive summary contains an overview of the
and troubleshooting items. building design, construction, and operational require
The CxA should be responsible for evaluating the ments. The information is intended to provide general guid
development of the systems manual. ance on the intended operation, pe1formance, and
The entity responsible for developing the systems maintenance ofthe building in conformance to the Owner 's
manual should include all assemblies and systems informa Project Requirements.
tion listed in the OPR and Cx Plan as included in the project The design team, along with contact information, is
systems manual and capture the system and assembly data
also provided to facilitate information transfer on original
in either an electronic or printed version. In addition, designs and maintenance and optimization.
printed operations, service, maintenance, spare parts list,
Section 2-Facility Design and Construction
and repair manuals may be provided. This entity (owner,
contractor, design professional, other) should have the 2. 1 Owner 's Project Requirements (OPR). Insert final
skills of design, construction, and operations required to copy of OPR developed and revised during the Commission
develop a cohesive systems manual. ing Process. This provides the operations and maintenance
The required details for a full systems manual are staff, as well asfuture owners, the information on the original
enhanced in the technical Cx Process. The systems manual intentfor the design and use of the building.

2.2 Basis of Design (BoD). Insert .final copy ofBoD docu 4.3 Maintenance Schedules. Include recommended main
ment developed during the Commissioning Process. This pro tenance schedules for systems and equipment along with
vides the operations and maintenance staff, as well as future update requirements.
owners, the information on the design of the building.
4.4 Ongoing Commissioning Operational and Mainte
2.3 Construction/Project Record Documents. Insert final nance Record Keeping. Include ongoing commissioning and
program and design documents, and insert or describe loca optimization procedures and documentation to monitor and
tions ofrecord drawings. Digitized systems manuals can also improve the pe1formance offacility systems.
contain copies of the record documents. This process mini
4. 5 Janitorial and Cleaning Plans and Procedures. Insert
mizes the loss of these documents.
a copy offacility cleaning andjanitorialplan with procedures
Section 3-Building, Systems, and Assemblies Information and intended chemicals and equipment.
3.1 Specifications. Insert final copy offacility and equip 4. 6 Utility Measurement and Reporting
ment design specifications.
Include description of utility metering and monitoring
3.2 Approved Submittals. Insert final copy of specific systems.
approved submittals by specification section sequence includ Provide document formats and procedures for tracking
ing a copy offinal approved and commissioned sequences of utility usage and reporting this infonnation to meet
operation for equipment and systems, along with limitations owner 's andjurisdictional requirements.
to operation. Section 5-Training
3.3 Manufacturer's Operation and Maintenance Data. 5.1 Training Plans and Materials
Insert manufacturer-provided installation and O&M manuals
that have been verified and localized to the installed building Include instructions and procedures for the use of
system or equipment by specification section sequence. appropriate sections of the systems manualfor training
for building operations and maintenance.
3.4 Warranties. Insert system and equipment warranties Insert copy oftraining plans usedfor each type ofequip
arranged by spec(fication section sequence. ment along with session syllabus used.
3.5 Contractor/Supplier Listing and Contact Information. Insert training materials used arranged in specification
Insert a listing ofall contractors and major suppliers, includ sequence. Describe location or sources of available
ing address, phone, and e-mail to facilitate repairs and additional training.
replacements.
5.2 Training Records. Insert records oftraining, schedules,
Section 4-Facility Operations. Items 4.2 through 4. 6
sign in sheets, etc. Include copy of training documentation
should be added to the systems manual when required by the
and training recordings on the operation ofthe systems and
Owner's Project Requirements or are available.
equipment, along with appropriate troubleshooting instruc
4.1 Facility Guide, Including: Operating Plan; Building tion.
and Equipment Operating Schedules, Setpoints, Ranges Section 6-Commissioning Report (Further Information
and Limitations; Commissioned Control Sequences of Shown in Appendix 0)
Operation; and Emergency Shut Down Actions 6. 1 Executive Summmy and Introduction
Insert a copy of the completed facility operating plan 6.2 Commissioning Process Plan(s). Insert the.final Com
with explanations of the intended use and operation of missioning Process plan
the facility. 6.3 Commissioning Design and Submittal Review
Insert a copy of final commissioned setpoints of all Reports. Insert a copy ofthe Cx design and submittal reports
equipment with operational adjustments. Include the
setpoint normal intended ranges and limitations. 6.4 Testing Reports
Insert a copy of the final sequences of operation for all Insert completed Commissioning Process report with
operating equipment. documents and verification and testing forms and
Insert a copy of routine building operations mainte records for each building and system and assembly
nance requirements. included in the Cx Process
Insert a copy of emergency procedures and locations of Insert copies of all relevant mamifacturers and install
applicable controls. ers testing reports. This creates a unified record of all
required testing pe1for111ed during purchasing and
4.2 Maintenance Procedures, Checklists, and Records. installation.
Insert procedures, forms, and checklistsforfacility operation Insert copies of installers and commissioning authori
and maintenance. Include updating requirements. Describe ties completed validation checklists. This provides a
inspections and testing required on a routine basis and stan record of installation checks and observations forfitture
dardforms required. reference.
ANSI/ASHRAE/lES Standard 202-20 1 3 37

Insert copies of installers and Commissioning Authori 6. 6 Issue and Resolution Logs. Insert a copy of all issue
ties completed functional performance checklists of and resolution logs with resolution or status ofeach item. This
assemblies, equipment, and integrated system. This pro provides a record ofproblems and issues found and resolved
vides a record ofperformance checks and observations during the design and construction process for fitture refer
forjilfure reference. ence.
6.5 Cx Progress Reports. Insert a copy of all Cx Progress 6. 7 Resolution Plan for the Open Items. Insert a list ofany
Reports open items and seasonal or additional testing required.

T his appendix is not a mandatory part of this standard. It <lures as facility systems and components age and
is merely informative and does not contain requirements degrade in performance levels.
necessary for conformance to the standard. It has not Provide clear understanding of the OPR for training
been processed according to the ANSI requirements for a material, training sessions (schedule), and trained per
standard and may contain material that has not been sonnel necessary, prior to and after occupancy by the
subject to public review or a consensus process. owner.
offered the right to appeal at ASHRAE or ANSI. Training responsibilities and the position or person
assigned these responsibilities must be clearly defined in the
I N FORMATIVE APPENDIX M QPR and reviewed before moving into design. This is of
TRAI NING PLANS AND RECORDS extreme importance when essential equipment or systems are
provided by the owner.
M1 . PREDESIGN
The design needs to satisfy the operating personnel for the
Training requirements and implementation begin at proj following OPR topic areas, including consideration of training
ect inception and are part of the OPR. At the implementation required to continuously achieve the benefits of designs that
stage, the owner needs to address the source of operating optimize each requirement.
personnel, in-house or out-sourced labor and services, and the
level of responsibility assigned to the facilities/project Repairability
manager for the site. OPR requirements for extended warranty Interchangeability
and service agreements with the contractor or original equip Accessibility
ment manufacturer (OEM) need to be addressed at the time of
Replaceability
project inception.
Maintainability
In the implementation stage, beginning with assigned
individual roles and responsibilities, the OPR for training are Expandability
considered in a manner similar to choosing any of the varied Adaptability
systems, components, and assemblies that establish the level Life-cycle replacement sequence
of quality and performance expectations expressed by the Cost analysis of component servicing and maintenance
owner in the OPR. cycles
The criteria used to determine the minimum level of
Complexity of the OEM and systems m day-to-day
acceptance required by the training OPR will guide the devel
operation.
opment and coordination of the training of personnel who are
assigned responsibilities of maintaining the facility systems
Controls at the system and component level are essential for
performance in the OPR. This includes, for example, energy,
all systems and assemblies. There must be special effort directed
HVAC, electrical, plumbing, fire protection, life safety, indoor
at the training requirements as the design develops, versus consid
environment, and occupant comfort requirements that are
ering the training afterward as a result of the controls design.
related to the commissioned facility systems. During prede
Beyond mechanical maintenance, the skill set required at
sign, the initial training agenda needs to be developed to a level
each level of the operating hierarchy for direct digital control
that reflects the training required to meet the OPR. This
(DDC) systems needs to be defined in the OPR. These DDC
provides the initial guidance to the design team. It includes the
following: systems have various levels of control and hierarchy; some
levels require computer programming skills that are beyond
Establish development requirements for the training plan. the means of an owner to support. At a minimum, the OPR
should define the responsibilities and training necessary for
Identify essential components or systems requiring formal
in-house and outsourced contractors (service plan) of site
training and the estimated time designated for training by
DDC systems. The level of interoperability and any additions
hours (unit cost).
to interoperability not currently used at the site or organization
Determine skill level requirements for staff meeting the
requires additional training for the systems to be successful.
OPR levels of performance.
Issues addressed in the OPR should include the following:
Create checklists of training requirements necessary to
maintain warranty conditions and service life.
DDC in-house engineering, operations, and mainte
Specify requirements for acceptable organization and
nance (equipment original manufacturer) requirements
implementation of the OEM training requirements prior to
occupancy. DDC service plans and warranty requirements
Clearly identify the training requirements of contrac Procedures for maintaining record documents and ser
tor's workforce for the equipment maintaining the inte vice records of DDC systems
rior environment during the Construction Phase. Training and certifications requirements for in-house
Develop training methods that meet the OPR, including and service contractor personnel
incorporating OEM training with service bulletins, Written training matrix updated to each level in the
recalls, and implantation of changes in operating proce- DDC hierarchy.
,NSI/A SHRAE/IES Standard 202-20 l 3 39

M2. DESIGN and valid accreditation documents for the organization or indi
vidual issuing the certification. The role of the CxA in verifi
During design, the design professional, following the
cation of proper training for certification is to randomly check
OPR, will define the training requirements and implementa
the documentation necessaiy to demonstrate compliance with
tion schedule for the project in the contract documents. Some
the OPR. The requirement for ensuring that the proper docu
times this may require specific needs for each installing
mentation is valid remains with either the design team,
contractor and for in-house maintenance and outsourced
owner's project, or construction manager.
service personnel. The performance of these training services
is verified both as part of the submittal review process and as
M4. CONSTRUCTION PERIOD TRAINING
the training sessions occur. There will be additional training
requirements that continue to evolve during design and There should be an initial training session during the
construction of the project. It is recommended to have "needs construction period and prior to contractor training for the
development" workshops or sessions during design and owner's EOM and users by the design team on the OPR and
construction. These need to be defined in the specifications. BoD, including system limitations. This is especially required
Special note should be given to the training and service for all mechanical and electrical systems that are critical to the
requirements of equipment and systems not provided by the success of the facility.
project contractor. This is usually owner-provided equipment The CxA should hold a training development workshop
or systems that are provided and installed outside the project with the EOM (including any service contractors) several
main construction contract. In some cases, there may be two months before the final training sessions are scheduled and the
or more construction projects with separate contractors or in scope of training sessions content is set. This workshop is for
house construction. This requires coordination of training gathering information from the EOM staff to determine the
needs to prevent duplication of training efforts and promote actual training requirements based upon the approved equip
acceptable scheduling of trainers and trainees. ment, assemblies, and systems for the building; upon a walk
Procedure training on spare parts availability and service through of the building; and upon the review of final plans and
response times should be clearly defined by the design profes specifications. This may require an increase or decrease in
sional and verified in the submittal process. actual training requirements than the requirement included in
During design, the design professional should clearly the contract documents. This is frequently related to the final
define all special requirements for storage of equipment or equipment, components, and HVAC&R systems selected by
systems prior to installation. Training necessary to maintain the owner, design team, and contractor.
the equipment prior to owner acceptance is identified and Systems manuals need to be complete before owner's
monitored by proper application of the contractor's quality personnel are provided training and used in the training
assurance/quality control program. Special training of sessions.
contractor personnel handling equipment with special require Training on the use and updating of the systems manuals
ments should be monitored by the CxA, demonstrating train should be a combined training effort ofthe design team, the Cx
ing and competence meeting the OPR during all periods that Process team, and the contractor.
the equipment and systems are operated during construction
The CxA should review the contractor's schedule for all
and warranty. Equipment must be maintained to prevent any
required training. Resources and time for training can place
degradation prior to turnover to the owner for operations.
great demand on the contractor, EOM, and service firm
personnel at the end of the construction period. Building oper
M3. CONTRACTOR SPECIAL TRAINING,
ating systems are especially impacted because of a high level
LICENSING, AND CERTIFICATION
of training required. Early training must be scheduled for proj
(CONSTRUCTION PERIOD)
ect success. The CxA must document that training and the
After the notice to proceed, the contractor is required to required level of competence learned in the training meets the
provide initial submittals in the stated period of time. One of OPR.
the initial submittals usually required is the contractor's QA/ The contractor is responsible for start-up, testing, adjust
QC program. This program outlines the methods used by the ing, balancing, providing systems manual documentation, and
contractor to assure his personnel have the proper training, training for all systems and equipment prior to the functional
licensing, and certifications to perform assigned tasks. In addi testing or measurement and verification of these systems and
tion, the criteria necessary to maintaining the project-specific equipment. The Cx Team must verify through assembled
OPR are identified in the contractor QA/QC program. On a documentation that the contractor personnel are trained and
frequent basis, the CxA should verify and note compliance by competent to perform these activities.
the contractor to required training, licensing, and certification The contractor must begin early training on any major
requirements or activities and other quality checks identified changes in the automated preventive maintenance and service
in the contractor's QA/QC program or required by the program that is included by systems installed and required by
contract. the contract.
Certification training for procedures in the use of unique Testing and Evaluation demonstrating compliance of
equipment or assemblies should be required at locations other systems and equipment to the OPR should be witnessed by the
than the actual job site. In such cases, the design professional owner's O&M staff as part of contractor's training plan. The
may require verification ofcurrent and up-to-date certification CxA facilitates the monitoring of functional and Cx tests by

designated owner personnel performed as part of the general responsibility o fthe owner's facility chief engineer and build
contractor's acceptance plan. The benefit to the owner in ing manager. The CxA/chief engineer/building manager rela
monitoring these tests are lessons learned and corrective tionship in this phase will determine the coordination of the
review of O&M procedures prior to substantial completion training requirements to implement and optimize the perfor
and operation of the systems by the owner. Using the infor mance of the following:
mation developed in this Start-up Phase, the owner and the
CxA should evaluate the abilities of in-house personnel to Existing service and outsourcing of service plans and
perform the O&M necessary for successful operation of vari programs
ous systems and to prevent future warranty issues. A value Organization and training of O&M staff
analysis of OEM service programs and maintenance by the Qualification of training requirements of staff positions
CxA during this period is useful information for the owner's Warranty/guaranty implementation and enforcement
consideration. Documentation gathered by the CxA during Service call-up or callback tracking and Evaluation
this Monitoring Phase is useful to the training program and in Systems and equipment performance in:
the Acceptance Phase. Measurement
The majority of the systems and assemblies training Verification
should occur during construction, prior to substantial comple Analysis (benchmarking and life-cycle)
tion. The initial training is developed at a level to ensure that Optimization
the owner's O&M personnel are competent in the proper oper Recommissioning cycle
ation of the systems and equipment during occupancy. The Optimization
training prior to final acceptance takes place after the facility Seasonal transition of equipment and tracking impact of
has been occupied during the warranty period between weather cycles and systems performance
substantial completion and final acceptance. This allows for Spare parts inventory and response times for service
training in seasonal operation and site-specific issues to be Equipment or systems service bulletins and training
addressed in the training program. Using a two-step training updating
program, the CxA will facilitate the coordination of site Life-cycle and maintenance budget planning
specific issues: Modification of preventative and predictive maintenance
procedures to meet site-specific conditions
WarrantyIguaranty
Service call-up or callback The facility/building manager will assess the benefits and
Systems and equipment performance costs of maintaining a training cycle that represents the inter
Seasonal transition of equipment ests of the owner. The CxA can be of great benefit to the build
Spare parts inventory ing manager in the initial organization of construction
Equipment or systems service bulletins documents, providing a method to keep training up-to-date
Life-cycle analysis with the cycle of changes in equipment and use of the building
Modified preventative and predictive maintenance pro throughout the life cycle.
cedures.
M7. Summary
M5. Construction Close Out
The processes of training and systems optimization will
As systems are completed, the contractor may be required remain a responsibility ofthe chiefengineer and facility/build
to or may elect to use these systems to maintain an environ ing manager for the life of the facility. To ensure the continu
ment at the work site meeting specified requirements in ation of training and understanding of systems and O&M, a
executing the construction process. Prior to turnover, these paper trail ofthe learning process is essential to the continuing
systems operated by the contractor need to be evaluated for success of site operations. The CxA is an essential part in
proper O&M by contractor personnel. The Evaluation of oper getting this process off the ground, and, with continuing Cx
ating equipment at turnover must include documentation that efforts, provides the guidelines to optimize the training
the contractor personnel were properly trained in both opera process through the life ofthe building. The documentation of
tion and maintenance of the system and that the equipment the training process coordinates the following:
maintenance schedule was maintained during the period of
contractor operation. Lessons learned and information gath Coordination and organization of responsibilities for
ered on the operations of the systems during start-up and oper training assigned to a position
ations are valuable to the owner and must be included in the Evaluation of understanding and competence in what
turnover training of the owner's operating staff and coordi was learned in training and O&M
nated by the CxA before the owner assumes these responsi Proper application of preventative and predictive main
bilities. tenance of systems
Organization of application of service bulletins and
M6. Occupancy/Operations OEM callbacks
At substantial completion and owner occupancy/opera Clear application of system perfo1mance and degrada
tions, the major training responsibilities become the respon tion infonnation
sibility of the owner. Specifically, it will become the Optimal benefits from lessons learned

Coordination of personnel changes and mentoring for a 4.Skills related to the operation and mainte
position nance of systems, subsystems, equipment,
a. Instructors qualified to train on the specific topic and assemblies
areas for each training session are to include the fol b. Training materials employed during the instruc-
lowing: tional process should be provided.
1 . Systems manual infmmation
1. Specific experience o f the systems, equip
2. Handouts and written information
ment, and/or project knowledge that relate to
3. Vendor and manufacturer information
the instructional topics
4. Visual aids
2. Experience related to the systems, subsys c. Training agenda
tems, equipment, and assemblies 1 . Training participant Evaluation form
3. Formal education and factory training 2. Training acceptance Evaluation form
---- -----
This appendix is not a mandatory part of this standard. It is should include additional training, seasonal tests, problem
merely informative and does not contain requirements resolution, design Evaluation, site visits, updating drawings
necessary for conformance to the standard. It has not been and specifications, and other requirements performed during
processed according to the ANSI requirements for a the postoccupancy and initial operations period defined for the
standard and may contain material that has not been project.
subject to public review or a consensus process. During the postoccupancy operations, the Cx Team works
Unresolved objectors on informative material are not to verify the ongoing compliance with the OPR.
offered the right to appeal at ASHRAE or ANSI. Essential team members during the postoccupancy and
operations include owner's representatives, the CxA, design
I N FORMATIVE APPENDIX N professionals, contractors, and construction/program/project
END OF WARRANTY COMMISSIONING managers.
Postoccupancy operations Cx Process objectives include Responsibilities of the Cx Team during the Postoccu
the following: pancy and Operations Phase should include the following:
a. Using the CxA's project knowledge and experience to a. The CxA should aid in the coordination of the callback of
minimize contractor callbacks contractors during postoccupancy operations.
b. Providing ongoing guidance on O&M to achieve the b. Evaluation of the performance of all systems and assem
OPR blies being commissioned should be completed during
c. Completion of seasonal testing of facility systems and postoccupancy operations. The CxA should determine
assemblies when this Evaluation should be performed based on
d. Documenting lessons learned from applying the Cx Pro weather conditions, load conditions, or occupant inter
cess for application to the next project actions that are required to complete the activities.
e. Acceptance of postoccupancy operations Cx Process c. Additional training should be performed during postoc
Activities cupancy and operations following the deferred Evalua
tion of these systems.
Postoccupancy operations Cx Process Activities that are d. Determination that the system and assembly operations
to be performed by the design team and special consultants, meet updated OPR.
should be included in the scope of services described in the e. Evaluation that the systems manual is updated following
"Owner/Design Professional Service Agreements." This completion of all seasonal and deferred testing.
SI!ASHRAE/IES Standard 202-20 1 43

3
This appendix is not a mandatory part of this standard. It A preliminary Cx Progress Report should be submitted
is merely informative and does not contain requirements for owner review. Submittal of the preliminary Cx Report to
necessary for conformance to the standard. It has not other Cx Team members or for jurisdictional requirements
been processed according to the ANSI requirements for a may also be appropriate.
standard and may contain material that has not been The final Cx Progress Report should incorporate review
subject to public review or a consensus process. comments from the owner, and, optionally, from other Cx
Unresolved objectors on informative material are not Team members.
offered the right to appeal at ASHRAE or ANSI. The following is an example outline for a Cx Progress
Report. The basic structure of this example is such that each
I N FORMATIVE APPENDIX 0 phase of the plan has its own section detailing what activities
COMMISSIONING REPORT were accomplished and who accomplished it and how it was
The Cx Progress Report is the documentation of the Cx completed. The deliverables for each activity are included in
work and results accomplished during construction. The Cx an appendix. Each section of the report will have a description
Progress Report contains the following: of the results for that subject. The intent of this format is for
the Cx Plan to become the final Cx Progress Report at the end
a. Identify of any systems or assemblies that do not perform of the project by updating the plan and filling in the results for
in accordance with the OPR. For various reasons, the each section as the project progresses.
owner may choose to accept performance that is at vari
ance with the OPR, either permanently or until schedule COMMISSIONING PROCESS REPORT
and budget constraints allow for correction. The owner's
acceptance of these conditions should be documented Table of Contents
along with the environmental, health, safety, comfort,
energy, and operating and maintenance cost impacts. The 1. Executive Summary
OPR must be updated to match the revised expectations. 2. Commissioning Process Description and Plan(s). Insert
b. Evaluate the operating condition of the systems at the the final Commissioning Process plan
time of test completion. 3. Commissioning Design Summary and Design and
c. Complete construction checklists and Evaluation Submittal Review Reports. Insert a copy of the Cx
summary. design and submittal reports
d. Evaluate the results from the issues log, including the 4. Testing Reports
descriptions of issues and the measures taken to correct
them. The description should assess the importance of Insert completed Commissioning Process report with
the issues and estimate the value of their correction in documents, testingforms, and records for each building,
terms of environmental impact, improved health, safety, system, and assembly included in the Cx Process in the
comfort, energy, operating and maintenance costs, and Appendices es below.
the ability of the facility to support its mission. Insert copies of all relevant manufacturers and install
e. Test procedures and data summaries should incorporate ers testing reports in appropriate appendix. This creates
the original test procedures and signed data forms, a unified record ofall required testing performed during
including additional data such as photos, computerized purchasing and installation.
documentation, and other records of the tests. Data Insert copies of installers and Commissioning Authori
should include the final accepted test, as well as earlier ties completed verification checklists in appendix beloYlc
tests that failed to meet the specified criteria. This section This provides a record of installation checks and obser
should also include a set of blank data forms for future vations forfuture reference.
use in the ongoing Cx Process and recommissioning. Insert copies of installers and Commissioning Authori
f. Cx Progress Reports should include copies of progress ties completed pe1formance checklists of assemblies,
reports generated throughout the Cx Process. equipment, and integrated system in appendix below.
g. Execution of some tests may be deferred until appropri This provides a record of pe1formance checks and
ate natural loads, such as occupancy or design weather observations for future reference.
conditions, are available. For these deferred tests, the
prerequisite conditions and an estimated schedule for 5. Cx Progress Reports. Insert a copy of all Cx Progress
their completion should be included. Reports and documents in appendix below.
h. The lessons-learned Evaluation of the Cx Process used 6. Issue and Resolution Logs. Insert a copy ofall issue and
will improve the delivered project and form the basis for resolution logs with resolution or status of each item in
the final Cx Process report developed during occu appendix below. This provides a record ofproblems and
pancy/operations. This is essential to ensure that issues, issues found and resolved during the design and
benefits, and recommendations are captured in a written construction process for future reference.
document while all team members are available and 7. Resolution Plan for Open Items. Insert a list ofany open
information is fresh. items and seasonal or additional testing required.

onal reproduction, distribution,
. For personal use only. Additi
© ASHRAE (www.ashrae.org)
is not permitted without ASHR
AE's prior written permission.
print or digita l form
or transmission in either
IEW RECORDS
copies of documents APPENDIX I-S UBMITTAL REV
It is not necessa1y to include PROCESS ISSUES AND
in the fina l Cx Progress Report APPENDIX K-COMMISSIONING
included in the systems manual RESOL UTION RESULTS
the syst ems man ual.
if that report is included in L-CONSTR UCTION
CHECKLISTS
APPENDIX
T REQUIREMENTS COMPLETED
APPENDIXA-OWNER 'S PROJEC AND DO CUMENTATION
APPENDIX M-TESTS
APPENDIX B-BASIS OF DESIGN
SPECIFICA TIONS COMPLETED
APPENDIX C-FINAL PROJECT
N STRUCTURES UAL ASSEMBLY PROCESS
APPENDIX D-COMMU NICATIO APPENDIX N-SYSTEMS MAN
SIBILITIES ORDS
APPENDIX E-ROLES AND RESPON APPENDIX 0-TRAINING REC
SYS TEMS [listing of UTES and CORRESPON-
APPENDIX F-COM MISSIONED APPENDIX P-MEETING MIN
systems and assemblies} DENCE
PROCESS SCHED ULE O REPORTS
APPENDIX G-COMMISSIONING APPENDIX Q-CX PR GRESS
ARR ANT Y REV IEW AND STATUS
RESULTS APPENDIX R- W
RECORDS
APPENDIX H-PREBID MEE TING APPENDIX S-OPEN ISSUES
I-PRECONSTRU CTIO N MEE TING
APPENDIX D REPORT
APPENDIX T-LESSONS LEARNE
RECORDS
45
ANSI/ASHRAE/IES Standard 202-20 1 3

This appendix is not a mandatory part of this standard. It is 1 R3, http://www.csa. ca/cm/calenlstandards and search
merely informative and does not contain requirements for 2320- 1 1 Building Commissioning.
necessary for conformance to the standard. It has not been Chartered Institution of Building Services Engineers
processed according to the ANSI requirements for a (CIBSE), 222 Balham High Road, London, SW 1 2 9BS,
standard and may contain material that has not been http:l!www.cibseknowledgeportal. co. uldcibse-commis
subject to public review or a consensus process. sioning-codes.
Unresolved objectors on informative material are not Energy Systems Laboratory, TAMU, College Station, Texas,
offered the right to appeal at ASHRAE or ANSI. http://www. esl. tamu. edu/continuous-commissioning.
Illuminating Engineering Society of North America
INFORMATIVE APPENDIX P
(IESNA) 1 20 Wall Street, 1 7th floor, New York, NY
COMMISSIONING RESOURCES
1 0005, http :l!www. iesna. orglstore/product/the-commis
These can provide additional guidance on the commis sion ing-process-applied-to-lighting-and-con trol-sys
sioning process: tems-1251 .cfm.
International Code Council (ICC), 500 New Jersey Ave.
ASHRAE. Guideline 0-2005, The Commissioning Process.
NW 6th Floor, Washington, DC 2000 1 , http://
,
Atlanta: ASHRAE.
www. shop. iccsafe. orglicc-G4-2012-guideline-for
ASHRAE. Guideline 1 . 1 -2007, HVA C&R Technical
commissioning-1 . html.
Requirements for The Commissioning Process. Atlanta:
International Energy Agency (IES), Energy Conservation in
ASHRAE.
Buildings and Community Systems (ECBCS) Pro
ASHRAE. Guideline 1 .5-20 12, The Commissioning Process
gramme, 9, me de la Federation, 75739 Paris Cedex 1 5,
for Smoke Control Systems. Atlanta: ASHRAE.
Franee, http :/!www. ecbcs. orglannexes/annex40. htm and
ASHRAE. 201 1 . ASHRAE Handbook-HVA C Applications,
http://www.ecbcs.org/annexes/annex47.htm.
Chapter 43, HVAC Commissioning. Atlanta: ASHRAE.
The following guidelines are being developed by ASHRAE National Environmental Balance Bureau (NEBB), 8575
to support the commissioning process: Grovemont Circle, Gaithersburg, MD 20877, http://
ASHRAE. Guideline 0.2-20 1 X, Commissioning Process for www.nebb.org/resources/standards/.
Existing Buildings and Systems. Atlanta: ASHRAE. National Fire Protection Association (NFPA), 1 Battery
ASHRAE. Guideline l .2-20 1 X, Commissioning Process for march Park, Quincy, MA 82 1 69, http://njpa.org/codes.
Existing HVAC&R Systems. Atlanta: ASHRAE. National Institute of Building Science (NIBS) 1 090 Vermont
ASHRAE. Guideline l .3-20 1 X, Building Operation and Ave, Suite 700, Washington, DC, 20005, http://
Maintenance Trainingfor the HVA C&R Commissioning www.nibs.org and http://www. wbdg.org/project!build
Process. Atlanta: ASHRAE. ingcomm.php.
ASHRAE. Guideline 1 .4-20 l X, Systems Manual for Facili Portland Energy Conservation Incorporated (PECI) 1 00 SW
ties. Atlanta: ASHRAE. Main Street, Suite 1 600, Poretland, OR 97204, http://
peci. org/resources.
Organizations Sheet Metal and Air Conditioning Contractors National
The following organization and agencies have produced Association (SMACNA) 420 1 Lafayette Center Drive,
publications and resources relating to the Commissioning Chantilly, VA, 20 1 5 1 , http://www.smacna. org/techni
Process that are available from the publishing organization. cal.
These publications and resources may or may not conform to The State of Minnesota, Sustainable Building Guidelines,
the requirements of ASHRAE Standard 202-2 0 1 3 . This list is Design & Construction Phase Commissioning Plan
provided as a resource for those using and providing commis Template, http://www. msbg.umn. edu.
sioning services. Since publications can change frequently, University of Michigan,
the organization websites are the best source of current docu http://www.plantext. bfum ich. edu(f01'. archs/com. html.
ments. University of Wisconsin - Madison, http://www. epd
web. eng1: wise. edu.
AABC Commissioning Group (ACG), 1 5 1 8 K Street, NW ,
United States Department of Veterans Affairs (VA),

Suite 503, Washington DC,
www. cfin. va.gov/tillcommissioning/CxManual.PDF and
http://www.commissioning.org/commissioningguideline.
www. virtualcx. com/blog/201 11311 7I
ASTM International, 1 00 Bar Harbor Drive, PO Box C700,
whole-building-commissioning-process-manual-depart
West Conshohocken, PA, 1 9428-2959 E28 1 3- 1 2, http://
ment-of-ve.html.
www.astm.org/DlGlTAL_LIBRARY/index.shtml.
Building Commissioning Association (BCA), 1 600 NW United States Army Corps of Engineers, www. wbdg. org/
Compton Drive, Suite 200, Beaverton, OR 97006, http:/ projectlbuildingcomm.php.
/www. bcxa. org/knowledge-center/. United States Department of Energy (USDOE),
California Commissioning Collaborative (CCC), http:// http ://www. eere. energy.gov(femp/reconstructionguide/
www.cacx. org/resources/index. html. comm_process. html.
Canadian Standards Association, CSA Group Head Office, United States General Services Administration, (GSA),
1 78 Rexdale Blvd., Toronto, Ontario, Canada M9W http ://www.gsa.gov/portal/category/21 064.

This appendix is not a mandatory part of this standard. It is

merely informative and does not contain requirements
necessary for conformance to the standard. It has not been
processed according to the ANSI requirements for a
I N FORMATIVE APPENDIX Q
REFERENCES
Q l . ASHRAE. Guideline 0-2005, The Commissioning Pro

cess. Atlanta: ASHRAE.
Q2. AIA Document AS I l - 1 999, Guide for Supplementary
Conditions. Washington, DC: American Institute of
Architects.

© ASHRAE (www. ashrae.org). For personal use only. Additional reproduction, distribution,
NOTICE
INSTRUCTIONS FOR SUBMITTING A PROPOSED CHANGE TO

THIS STANDARD UNDER CONTINUOUS MAINTENANCE
This standard is maintained under continuous maintenance procedures by a Standing Standard Project Committee (SSPC) for
which the Standards Committee has established a documented program for regular publication of addenda or revisions, includ
ing procedures for timely, documented, consensus action on requests for change to any part of the standard. SSPC consider
ation will be given to proposed changes within 1 3 months of receipt by the manager of standards (MOS).
Proposed changes must be submitted to the MOS in the latest published format available from the MOS. However, the MOS
may accept proposed changes in an earlier published format if the MOS concludes that the differences are immaterial to the
proposed change submittal. If the MOS concludes that a current form must be utilized, the proposer may be given up to
20 additional days to resubmit the proposed changes in the current fonnat.
ELECTRONIC PREPARATION/SUBMISSION OF FORM

FOR PROPOSING CHANGES
An electronic version of each change, which must comply with the instructions in the Notice and the Form, is the preferred
form of submittal to ASHRAE Headquarters at the address shown below. The electronic format facilitates both paper-based
and computer-based processing. Submittal in paper form is acceptable. The following instructions apply to change proposals
submitted in electronic fonn.
Use the appropriate file format for your word processor and save the file in either a recent version of Microsoft Word (pre
ferred) or another commonly used word-processing program. Please save each change proposal file with a different name (for
example, "propO l .doc," "prop02.doc," etc.). If supplemental background documents to support changes submitted are
included, it is preferred that they also be in electronic form as word-processed or scanned documents.
For files submitted attached to an e-mail, ASHRAE will accept an electronic signature (as a picture; *.tif, or * .wpg) on the
change submittal form as equivalent to the signature required on the change submittal form to convey non
exclusive copyright.
Submit an e-mail containing the change proposal files to:

change.proposal@ashrae.org
Alternatively, mail paper versions to:

ASHRAE
Manager of Standards
1 79 1 Tullie Circle, NE
Atlanta, GA 30329-2305
Or fax them to:

Attn: Manager of Standards
404-32 1-5478
The form and instructions for electronic submittal may be obtained from the Standards section of ASHRAE's Home
Page, www.ashrae.org, or by contacting a Standards Secretary via phone (404-636-8400), fax (404-321 -5478), e-mail
(standards.section@ashrae.org), or mail ( 1 7 9 1 Tullie Circle, NE, Atlanta, GA 30329-2305).
FORM FOR SUBMITTAL OF PROPOSED CHANGE TO AN

ASE9 ASHRAE STANDARD UNDER CONTINUOUS MAINTENANCE
NOTE: Use a separate form for each comment. Submittals (Microsoft Word preferred) may be attached to e-mail (preferred),
or submitted in paper by mail or fax to ASHRAE, Manager of Standards, 1 7 9 1 Tullie Circle, NE, Atlanta, GA 30329-2305.
E-mail: change.proposal@ashrae.org. Fax: + 1 -404/3 2 1 -5478.
1. Submitter:
Affiliation:
Address: City: State: Zip: Country:
Telephone: Fax: E-Mail:
I hereby grant ASHRAE the non-exclusive royalty rights, including non-exclusive rights in copyright, in my proposals. I
understand that I acquire no rights in publication of the standard in which my proposals in this or other analogous form is used.
I hereby attest that I have the authority and am empowered to grant this copyright release.
Submitter's signature: _______ Date: _____________
All electronic submittals must have the following statement completed:
I (insert name) , through this electronic signature, hereby grant

ASHRAE the non-exclusive royalty rights, including non-exclusive rights in copyright, in my proposals. I understand that I
acquire no rights in publication of the standard in which my proposals in this or other analogous form is used. I hereby attest
that I have the authority and am empowered to grant this copyright release.
2. Number and year of standard:
3. Page number and clause (section), subclause, or paragraph number:
4. I propose to: [ ] Change to read as follows [ ] Delete and substitute as follows

(check one) [ ] Add new text as follows [ ] Delete without substitution
Use underscores to show material to be added (added) and strike through material to be deleted (�). Use additional pages if needed.
5. Proposed change:
6. Reason and substantiation:
7. Will the proposed change increase the cost of engineering or construction? If yes, provide a brief explanation as
to why the increase is justifie d.
[ ] Check if additional pages are attached. Number of additional pages: ___
[ ] Check if attachments or referenced materials cited in this proposal accompany this proposed change. Please verify that all
attachments and references are relevant, current, and clearly labeled to avoid processing and review delays. Please list your
attachments here:
Rev. 1 -7-201 3
POLICY STATEMENT DE FINING ASHRAE'S CONCERN

FOR T HE ENVIRONMENTAL IMPACT OF ITS ACT IVI TIES
ASH RAE is concerned with the impact of its members' activities on both the indoor and outdoor environment. ASHRAE's
members will strive to minimize any possible deleterious effect on the indoor and outdoor environment of the systems and
components in their responsibility while maximizing the beneficial effects these systems provide, consistent with accepted
standards and the practical state of the art.
ASHRAE's short-range goal is to ensure that the systems and components within its scope do not impact the indoor and
outdoor environment to a g reater extent than specified by the standards and guidelines as established by itself and othe r
responsible bodies.
As an ongoing goal, ASH RAE will, through its Standards Committee and extensive technical committee structu re,
continue to generate up-to-date standards and guidelines where appropriate and adopt, recommend, and promote those new
and revised standards developed by other responsible organizations.
Through its Handbook, appropriate chapters will contain up-to-date standards and design considerations as the material is
systematically revised.
ASHRAE will take the lead with respect to dissem ination of environmental information of its primary interest and will seek
out and disseminate information from other responsible organizations that is pertinent, as guides to updating standards and
guidelines.
The effects of the design and selection of equipment and systems will be considered within the scope of the system's
intended use and expected misuse. The disposal of hazardous materials, if any, will also be considered.
ASH RAE's primary concern for environmental impact will be at the site where equipment within ASH RAE's scope
operates. However, energy sou rce selection and the possible environmental impact due to the energy source and energ y
transportation will be considered where possible. Recommendations concerning energy source selection should be made b y
its mem bers.
© ASHRAE (www. ashrae.org). For personal use only. Additional reproduction, distribution,
POLICY STATEMENT DEFINING ASHRAE'S CONCERN

FOR T HE ENVIRONMENTAL IMPACT OF ITS ACTIVITIES
ASH RAE is concerned with the impact of its members' activities on both the indoor and outdoor environment. ASH RAE's
members will strive to minimize any possible deleterious effect on the indoor and outdoor environment of the systems and
components in their responsibility while maximizing the beneficial effects these systems provide, consistent with accepted
standards and the practical state of the art.
ASH RAE's short-range goal is to ensure that the systems and components within its scope do not impact the indoor and
outdoor environment to a g reater extent than specified by the standards and g uidelines as established by itself and other
responsible bodies.
As an ongoing goal, ASH RAE will, through its Standards Committee and extensive technical committee structure,
contin u e to generate up-to-date standards and guidelines where appropriate and adopt, recommend, and promote those new
and revised standards developed by other responsible organizations.
Through its Handbook, appropriate chapters will contain up-to-date standards and design considerations as the material is
system atically revised.
ASHRAE will take the lead with respect to dissemination of environmental information of its primary interest and will seek
out and disseminate information from other responsible organizations that is pertinent, as g uides to updating standards and
guidelines.
The effects of the design and selection of equipment and systems will be considered within the scope of the system's
intended use and expected misuse. The disposal of hazardous materials, if any, will also be considered.
ASH RAE's primary concern for environmental impact will be at the site where equipment within ASH RAE's scope
operates. However, energy source selection and the possible environmental impact due to the energy source and energy
transportation will be considered where possible. Recommendations concerning energy sou rce selection should be made by
its members.
� . ......._
�-------- ----------......
ASHRA E . 1791 Tullie Circle NE · A tlanta, GA 30329 · www.ashrae.org
About ASHRA E
AS H RAE, founded in 1 894, is an international organization of some 50,000 members. ASH RAE fulfills its mission of
advancing heating, ventilation, air conditioning, and refrigeration to serve humanity and promote a sustainable world
through research , standards writing, publishing, and continuing education.
For more information or to become a member of AS H RAE, visit www.ashrae .org.
To stay current with this and other ASH RAE standards and guidelines, visit www. ashrae.o rg/standards.
ASH RAE also offers its standards and guidelines on C D - R O M or via an online-access subscription that provides
automatic updates as well as historical versions of these pub lications. For more information, visit the Standards and
G u idelines section of the ASH RAE Online Store at www.ashrae.o rg/bookstore.
About IES
The Illumi nating Engineering Society of North America ( I ES) seeks to improve the lighted environment by bringing
together those with lighting knowledge and by translating that knowledge into actions that benefit the public.
IES is the recognized technical authority on illu mination. For over 1 00 years its objective has been to communicate
information on all aspects of good lighting practice to its members, to the lighting commu nity, and to consumers, through a
variety of programs, publications, and services.
IM PORTANT NOTICES ABOUT THIS STANDARD
To ensure that you have all of the approved addenda, errata, and interpretations for this
standard, visit www.ashrae.org/standards to download them free of charge.
Addenda, errata, and interpretations for ASHRAE standards and guidelines will no
longer be distributed with copies of the standards and guidelines. ASHRAE p rovides
these addenda, errata, and interpretations only in electronic form in order to promote
more sustainable use of resou rces.
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ANSl/ASHRAE/IES Standard 202-2013

© 2013 ASHRAE ISSN I 041-2336

Ge rald J. Kettl e r, Chair* D aniel J. Lemie ux*

ASHRAE STANDARDS COMMITTEE 2012-2013

Kenneth W. C oope r, Chair Julie M . Ferguson Janice C . Pete rson

ASHRAE INDUSTRIAL ADVERTISING POLICY ON STANDARDS

Commissioning Process for Buildings and Systems

Informative Appendix 0-Commissioning Report ...................... ............................................................................ 44

Informative Appendix P-Commissioning Resources ......................... ............................ ............... ........................ 46

Informative Appendix Q-References .............................. . . . . . .......... . ......... . . . .............................. ................. ........... 47

© ASHRAE (www.ashrae.org). For personal use only. Additional reproduction, distribution,

2 ANSI/ASHRAE/IES Standard 202-2013

2. SCOPE Commissioning Team (Cx Team): the individuals and agencies

ANSI/ASHRAE/IES Standard 202-20 1 3 3

4 ANSI/ASHRAE/IES Standard 202-20 1 3

Initiate CxProcess Roles and Responsibilities

,I, ,I, 5.2 Commissioning Requirements

ANSI/ASHRAE/IES Standard 202-20 1 3 5

6 ANSI/ASHRAE/IES Standard 202-20 1 3

ANSI/ASHRAE/IES Standard 202-20 1 3 7

1 0. DESIGN R EVIEW a. Require the CxA to review the construction submit­

10.3 Acceptance 1 2. CONST R U CTION OBSERVATION

8 ANSI/ASHRAE/IES Standard 202-20 1 3

ANSI/ASHRAE/IES Standard 202-20 1 3 9

Control Sequences of Operation; and Emergency 15.3 Acceptance

10 ANSI/ASHRAE/IES Standard 202-20 1 3

ANSI/ASHRAE/IES Standard 202-20 1 3 II

This appendix is not a mandatory part of this standard. It is I N FO R MATIVE A P P ENDIX A

TABLE A1 Commissioning Process Documentation Matrix

Cx Report Format Owner, CxA CxA Owner Design Team,

Requirements in Specifications CxA, Design Team, Owner Design Team

DesignReview Comments CxA CxA Design Team, Design Team

12 ANSI/ASHRAE/IES Standard 202-20 1 3

TABLE A1 Commissioning Process Documentation Matrix (Continued)

Issues Report CxA CxA Owner Design Team,

Design Cx CxA CxA Owner Owner

Owner's Project Owner, O&M, CxA or Designer Owner CxA,

Submittal Review C01mnents CxA Design Team Design Team Contractor

System Coordination Plans Contractor, Contractor CxA, Contractor, CxA

Evaluation Checklists CxA, Contractor, CxA CxA, Contractor

Evaluation Reports Contractor CxA CxA, Owner Contractor

Test Procedures CxA, Contractor, CxA CxA, Contractor

Test Data Repo1is, Test Contractor CxA CxA, Owner Contractor

Cx Meeting Agendas and CxA CxA All All

Issues and Resolution Log CxA CxA NIA CxA,

Issues Rep01i CxA CxA Owner, Design Team,

Preliminary Construction Cx CxA CxA Owner Owner Prior to occupancy

Final Construction CxA CxA Owner Owner

ANSI/ASHRAE/IES Standard 202-20 1 3 13

TABLE A1 Commissioning Process Documentation Matrix (Continued)

Owner's Project Owner, O&M, CxA or Designer Owner CxA,

Test Procedures Contractor, CxA Design Team, Contractor

Issues and Resolution Log CxA CxA NIA CxA,

Issues Report CxA CxA Owner Design Team,

Cx Report CxA CxA Owner Owner Final report

Recommissioning Plan O&M, Users, CxA CxA or Owner Owner Owner

14 ANSJ/ASHRAE/IES Standard 202-20 1 3

ANSI/ASHRAE/IES Standard 202-20 1 3 15

TABLE 81 Sample Rate Determination-Submittals

i' i on sampling, refer to the references listed in Section 9 of

TABLE B2 Sample Rate Determination-Construction Verification

ANSI/ASHRAE/IES Standard 202-2013 17

Final Commissioning Process Testing

The sampling rate for the final Cx Process tests to verify

1 0. DESIGN R EVIEW a. Require the CxA to review the construction submit

C2.3 Basis of Design Documentation. Design profession

Q l . ASHRAE. Guideline 0-2005, The Commissioning Pro

Submitter's signature: _ Date: _______