BEST PRACTICES

for
PREVENTING MOLD
in
BUILDINGS
by

Herbert W. Stanford III, PE

2005
 NOTICE

This document was developed by Herbert W. Stanford III, PE, 208 Harbor Drive, Morehead City,
NC 28557 and any questions and/or comments may be directed to Herb Stanford at
hwstanford@stanfordwhite.com

While the author has used his best efforts in preparing this text, he makes no representations or
warranties with respect to the accuracy or completeness of the contents and specifically
disclaims any implied warranties of merchantability or fitness for a particular purpose. The
recommendations, advice, and strategies contained herein may not be suitable to your situation.
You should consult with a professional where appropriate. The author will not be held liable for
any loss of profit or any other commercial damages, including but limited to special, incidental,
consequential, or other damages.

2
 Table of Contents

Section Topic Page

1 Mold in Buildings, From Leviticus to Today………………. 5

1.1 Introduction to Mold………………………………………… 5

1.2 Buildings in Hot, Humid Climates………………………… 6
1.3 Why More Mold Problems Now?………………………… 8
1.4 Health, Legal, and Economic Impacts of Mold
Infestation………………………………………………………… 8
1.5 Purpose of this Text………………………………………... 12

2 Maintenance Requirements to Control Mold……………… 13

2.1 Keeping Water Out…………………………………………. 13

2.2 Respond to Water Intrusion Immediately………………… 16
2.3 Maintain the Building Under Positive Pressure…………. 19
2.4 Maintain HVAC Systems to Provide Humidity Control…. 20
2.5 OSHA Considerations……………………………………… 29
2.6 Maintenance Requirements Checklist……………………. 29

3 Water Intrusion During Construction………………………. 30

3.1 Construction Phase Moisture Control……………………. 30

3.2 Construction Sequencing…………………………………. 31
3.3 Moisture in Building Materials…………………………….. 37
3.4 Water Intrusion During Construction Checklist..………… 39

4 Designing to Prevent Water Intrusion……………………… 41

4.1 Rainwater Intrusion………………………………………… 41

4.1.1 Roofs……………………………………………… 41
4.1.2 Walls ……………………………………………… 46
4.1.3 Fenestration……………………………………… 70
4.1.4 Edges and Intersections………………………… 71
4.2 Groundwater Intrusion…………………………………….. 72
4.2.1 Siting and Grading………………………………. 72
4.2.2 Foundations and Walls Below Grade…………. 72
4.2.3 Slab-on-Grade Construction…………………… 75
4.3 Interior Water Control……………………………………… 77
4.3.1 Interior Water Sources and Their Control…….. 77
4.3.2 Preventing Moisture Wicking…………………… 79
4.4 Designing to Prevent Moisture Vapor Intrusion
Checklist………………………………………………………….. 79

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Section Topic Page

5 Designing to Prevent Moisture Vapor Intrusion………….. 81

5.1 Moisture Migration Through the Building Envelope…….. 81

5.1.1 Exterior Finishes…………………………………. 84
5.1.2 Vapor Retarders…………………………………. 85
5.1.3 Insulation…………………………………………. 87
5.1.4 Interior Finishes………………………………….. 87
5.2 Outdoor Air Infiltration……………………………………… 88
5.2.1 Air Barriers and Seals…………………………… 88
5.2.2 Dealing with Attics and Soffits………………….. 92
5.2.3 Space Planning for Internal Pressurization…… 94
5.3 Designing to Prevent Moisture Vapor Intrusion
Checklist………………………………………………………….. 95

6 HVAC Design to Limit Humidity……………………………... 97

6.1 Basic Humidity Design Criteria for HVAC Systems…….. 97

6.2 Internal Pressurization……………………………………... 98
6.2.1 Maximum Exhaust Air…………………………… 98
6.2.2 Minimum Ventilation Air………………………… 100
6.2.3 Balancing for Positive Pressure……………….. 105
6.2.4 Return Air Systems……………………………… 106
6.3 Air Systems Configuration and Control………………….. 108
6.4 Single Path HVAC Systems Dehumidification………….. 113
6.5 Dual Path HVAC Systems Dehumidification……………. 114
6.6 Unoccupied Period Dehumidification…………………….. 117
6.7 Cooling/Dehumidification Reliability……………………… 118
6.8 Special HVAC Design Considerations………………….. 120
6.8.1 Chilled Water Piping Insulation………………… 120
6.8.2 Supply Air Outlets……………………………….. 123
6.8.3 Using Packaged Heat Pumps for Humidity
Control……………………………………………………. 124
6.8.4 Duct Liner………………………………………… 124
6.8.5 Desiccant Cooling and Dehumidification……… 125
6.9 HVAC Systems Commissioning………………………….. 127
6.10 HVAC Design to Limit Humidity Checklist…………….. 130

7 References and Resources…………………………………... 132

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 Chapter 1

MOLD IN BUILDINGS, FROM LEVITICUS TO TODAY

1.1 Introduction to Mold

Molds are fungi, which are single-celled or multi-celled organisms that cannot move of their own
accord nor make their own food. They rely on other organisms or their environments for
nutrients. They will colonize any carbon-based material that supplies appropriate nutrients and
moisture. Potential substrates for mold growth include wood, paper, and textiles, which are
common in buildings. Some molds will even grown on substrates that provide no nutrients,
such as steel or fiberglass, as long as nutrients and water are present in the air or in dust
settling on the molds.

In general, fungi actively growing indoors can exist as yeasts or molds. Yeasts are single-celled
organisms that reproduce by budding or simple mitosis. Molds are more complex, developing
large colonies (mats or balls) of multi-cellular filaments called “hypae”. Some hypae penetrate
the material that is being used for food, making removal very difficult. Others lie on the surface
and develop reproductive structures when temperature and moisture conditions are appropriate.
Fungi are ubiquitous, occurring in soil, in and on plants and animals and in the ambient air both
indoors and outdoors. Even in buildings without active fungal growth, total fungi spore
concentrations of 3,000-10,000 spores per cubic meter of air are common.

In building construction, any location providing high enough moisture content and a potential
food source will support fungi growth.

Mold will grow on most surfaces if the relative humidity at the surface is above a critical value
and the surface temperature is conducive to growth. The longer the relative humidity remains

5
above the critical value, the more likely is visible mold growth; and the higher the humidity or
temperature, the shorter is the time needed for germination. The surface relative humidity is a
complex function of material moisture content, material properties, and local temperature and
humidity conditions. In addition, mold growth depends on the type of surface. Fully recognizing
the complexity of the issue, the International Energy Agency Annex 14 (1990) nevertheless
established a surface humidity criterion for design purposes: The monthly average surface
relative humidity should remain below 80%. Others have proposed more stringent criteria, the
most stringent requiring that surface relative humidity remain below 70% at all times. Although
there still is no agreement on which criterion is most appropriate, mold can usually be avoided
by limiting surface moisture conditions over 80% to short time periods and 70% for longer
periods (even though some molds will begin to grow at a relative humidity as low as 60%).
These criteria should only be relaxed for nonporous surfaces that are regularly cleaned. Most
molds grow at temperatures above approximately 40°F. Moisture accumulation below 40°F may
not cause mold if the material is allowed to dry below the critical moisture content before the
temperature rises above 40°F.

The most important risk factor for mold growth indoors is excess liquid water in building
materials due to water intrusion during construction or water intrusion from rain and/or water
leaks after the building is occupied. In hot, humid climates (which includes most of the
southeast United States), the second most important risk factor is high humidity, either in the air
or in the substrate material due to infiltration of humid outdoor air and exacerbated by
improperly designed or operated HVAC systems. Each of these topics is addressed in the
following sections.

1.2 Buildings in Hot, Humid Climates

The U.S. Department of Energy (USDOE) has defined climate, as follows:

6
Climate zones 1A, 2A, and 3A are defined as the “hot, humid” regions of the United States.
Based in these definitions, areas generally east and south of I-85 in North Carolina are
considered to have a “hot, humid” climate, as shown in the following figure:

I-85
Alleghany

Cu
Northampton

Ca
Ashe Gates

rr
Surry Rockingham

m
Stokes

itu
Caswell Warren

Pa
Person

de
Granville

ck
sq
Vance

Pe

n
Hertford

uo
rq

ta
Watauga Halifax

uim
Wilkes

Ch

nk
ow
Forsyth

an
Yadkin
M Alamance Orange

s
an
itc Avery Guilford Franklin Bertie
he
ll Durham Nash
Caldwell Davie
Yancey Alexander Edgecombe
Madison Iredell Washington Tyrrell
Davidson Wake Martin
Dare
Burke Randolph Chatham Wilson
McDowell Catawba Rowan
Buncombe Pitt
Haywood Johnston Beaufort Hyde
Swain Lincoln Greene
Lee
Rutherford Cabarrus Harnett
Graham Henderson
Jackson Gaston Moore
Polk Stanly Wayne
Cleveland Montgomery Lenoir
Mecklenburg Craven
Macon Transylvania
Cherokee Pamlico
Clay Richmond Cumberland Sampson
Hoke Jones
Union
Anson Duplin

Scotland Carteret
Onslow
Robeson Bladen

Pender

Columbus
New Hanover

Brunswick

Hot, Humid Climate Counties

The rest of the state, with the exception of a few counties in the northwest mountains, would be
classified as "mixed, humid" climate. Only the northwest mountain counties of Allegeny, Avery,
Ashe, Mitchell, Watauga, and Yancey should be considered "cold" climates.

Too often, buildings in hot, humid or mixed humid areas experience high internal humidity, along
with other moisture and mold problems, simply because designers fail to recognize and
incorporate the special requirements to prevent them. The following photos are representative
of the types of mold problems common in poorly designed and/or constructed buildings in hot,
humid climates:

The keys to preventing these problems are threefold:

1. Maintain each area of the building under positive internal pressure at all times

7
 2. Provide correct envelope construction, including vapor retarder, air barrier, and
rainwater barrier.

3. Design HVAC systems for proper dehumidification (moisture removal).

1.3 Why More Mold Problems Now?

Prior to the 17th century, the dominant building material was wood. After the Great Fire of
London in 1666, rebuilding was done largely in brick, since brick buildings were considered less
susceptible to fire damange. This tradition of using brick and stone masonry in England has
continued in the United States (even if only as veneers) through today.

Early masonry exterior walls in buildings were masonry that served as both a weather barrier
and as a support for floor and roof loads. The exterior wall was a “solid wall bearing masonry”
wall and was a "barrier" type wall, i.e., the shear mass and thickness of the wall kept moisture
from penetrating to the interior. Insulation was not used with this type of wall and the resistance
to air infiltration through the wall and wall openings was minimal (and in fact was necessary to
provide combustion air for the fireplaces that were used for heating). Buildings, obviously, were
not air-conditioned, windows were single glazed and not very tight. Mold was not noticed and
even if it was, nobody considered it as a health problem.

Starting in the 1950’s, in an effort to reduce the time and cost for construction, exterior walls
have become thinner and lighter by the use of curtain wall and cavity wall systems. The sudden
escalation of fuel costs in the 1970’s was the impetus for making buildings more energy
efficient. This required the use of more building insulation and resulted in less air infiltration
that, in turn, created "tighter" buildings. The requirement for developing weather resistance of
the building envelope also led to the development of more responsive elastomeric systems and
better sealants.

By the mid-1950's, air and light wells to provide natural ventilation and daylighting were history.
Building design began to year-around air-conditioning, both heating and cooling, mechanical
ventilation, and artificial lighting only.

Thus, with modern buildings, when a failure in the weather-tight integrity occurs, water enters
the building and its various components, does not dissipate, and mold develops. In hot, humid
climates, the failure of air-conditioning systems to control indoor humidity to low enough levels
contributes further to the mold problem.

1.4 Health, Legal, and Economic Impacts of Mold Infestation

In recent years, the growth of molds in home, school, and office environments has been cited as
the cause of a wide variety of human ailments and disabilities. So-called "toxic mold" has
become a prominent topic in the lay press and is increasingly the basis for litigation when
individuals, families, or building occupants believe they have been harmed by exposure to
indoor molds. The American College of Occupational and Environmental Medicine (ACOEM)
issued a statement in 2003 discussing the state of scientific knowledge as to the nature of
fungal-related illnesses and the possible relationships to indoor environments, as follows:

8
The fungi impacting indoor air quality (IAQ) are eukaryotic, unicellular, or multicellular organisms
that, because they lack chlorophyll, are dependent upon external food sources. Fungi are
ubiquitous in all environments and play a vital role in the Earth's ecology by decomposing
organic matter. Familiar fungi include yeasts, rusts, smuts, mushrooms, puffballs, and bracket
fungi. Many species of fungi live as commensal organisms in or on the surface of the human
body. "Mold" is the common term for multicellular fungi that grow as a mat of intertwined
microscopic filaments (hyphae). Exposure to molds and other fungi and their spores is
unavoidable except when the most stringent of air filtration, isolation, and environmental
sanitation measures are observed, e.g., in clean rooms or organ transplant isolation units.

Mold, unlike asbestos, many volatile organic compounds (VOC's), etc., is not considered to a
pollutant. But, the U.S. Environmental Protection Agency (USEPA) does describe mold as a
biological "contaminant", along with bacteria, viruses, animal dander, house dust, mites,
cockroaches, and pollen.

Molds and other fungi may adversely affect human health through three processes: (1) allergy,
(2) infection, and (3) toxicity. It is estimated that 10-20% of the population has allergic antibodies
to fungal antigens. Only half of these would be expected to show clinical illness. Furthermore,
outdoor molds are generally more abundant and important in airway allergic disease than indoor
molds — leaving the latter with an important, but minor overall role in allergic airway disease.
Allergic responses are most commonly experienced as allergic asthma or allergic rhinitis ("hay
fever"). A rare, but much more serious immune-related condition, hypersensitivity pneumonitis
(HP), may follow exposure (usually occupational) to very high concentrations of fungal (and
other microbial) proteins.

Most fungi generally are not pathogenic to healthy humans. A number of fungi commonly cause
superficial infections involving the feet (tinea pedis), groin (tinea cruris), dry body skin (tinea
corporus), or nails (tinea onchomycosis). A very limited number of pathogenic fungi — such as
Blastomyces, Coccidioides, Cryptococcus, and Histoplasma —infect non-immunocompromised
individuals. In contrast, persons with severely impaired immune function, e.g., cancer patients
receiving chemotherapy, organ transplant patients receiving immunosuppressive drugs, AIDS
patients, and patients with uncontrolled diabetes, are at significant risk for more severe
opportunistic fungal infection.

Some species of fungi, including some molds, are known to be capable of producing secondary
metabolites, or mycotoxins, some of which find a valuable clinical use, e.g., penicillin and
cyclosporine. Serious veterinary and human mycotoxicoses have been documented following
ingestion of foods heavily overgrown with molds. In agricultural settings, inhalation exposure to
high concentrations of mixed organic dusts — which include bacteria, fungi, endotoxins,
glucans, and mycotoxins — is associated with organic dust toxic syndrome, an acute febrile
illness.

The ACOEM states that “the present alarm over human exposure to molds in the indoor
environment derives from a belief that inhalation exposures to mycotoxins cause
numerous and varied, but generally nonspecific, symptoms. Current scientific evidence
does not support the proposition that human health has been adversely affected by
inhaled mycotoxins in the home, school, or office environment.”

The Centers for Disease Control (CDC) currently issues a similar evaluation: "Some people are
sensitive to molds. For these people, exposure to molds can cause symptoms such as nasal
stuffiness, eye irritation, or wheezing. Some people, such as those with serious allergies to

9
molds, may have more severe reactions. Severe reactions may occur among workers exposed
to large amounts of molds in occupational settings, such as farmers working around moldy hay.
Severe reactions may include fever and shortness of breath. People with chronic illnesses, such
as obstructive lung disease, may develop mold infections in their lungs." The CDC, thus, also
implies that there is no danger to healthy persons, child or adult, from mold.

The American Conference of Governmental Industrial Hygienists (ACGIH) statement on TLV’s

for bioaerosols, including mold and fungi in 2003 says, “At present, information relating
culturable or countable bioaerosol concentrations to health effects is generally
insufficient to describe exposure-response relationships.”

Finally, an extensive study performed by Institute of Medicine of the National Academies for the
CDC in 2004 states that there are scientific links between mold and asthma symptoms in some
people with the chronic disorder. The only scientific evidence liking mold to health problems in
generally healthy people is related to "coughing, wheezing, and upper respiratory tract
symptoms"…typically akin to allergic reactions. These symptoms could not be linked to any
serious health problem, but the Institute did find that "excessive interior dampness is a
widespread problem that warrants action at the local, state, and national levels."

Mold, then, in many people, can create an allergic reaction.

Allergen particles such as mold, proteins from pollen, animal dander, etc. penetrate the body by
inhalation, ingestion, injection, or simply skin contact. Antibodies, defenders in the human
immune system, attach to the surface of a "mast" cell and wait for a subsequent contact with an
allergen. Then, allergen proteins that enter the body bind with these antibodies, alerting the
mast cell to react against the intruder. Mast cells, which help the body fight parasitic infections
typically overreact when allergens enter the picture, emitting waves of biochemical defense.

The symptoms of an allergic reaction are caused by the series of chemicals released by the
mast cell. Some act right away…prostalgandins, leukotrienes, and histamine work on the nerve
endings to cause itching and inflammation of tissues and they act on glands to cause mucus
production and vasodilatation, so you clog up. Others act gradually after the first
response…cytokines and chemokines are cell-to-cell communicators that recruit other cells to
battle the allergen, but these slowly increase tissue damage.

The legal ramifications for designers and contractors relative to mold infestation remain
significant, despite the fact that there are no clearly defined health hazards from mold and no
national or state standards that limit the levels of mold or mold spores in a building. The ACGIH
has issued a guideline that suggests that the indoor level of airborne mold spores should be
less than one-third the level found immediately outside the building, but no legal authority
having jurisdiction has yet adopted this suggestion.

Mold claims arising out of water intrusion damage to property have significantly increased in
recent years. So-called “toxic” mold has attracted the attention of the public and the media as
more individuals have started complaining that their illnesses and ailments can be traced to their
exposure to certain molds in their homes or at work. With these individuals seeking legal
redress for property damage and for their ailments, some attorneys think that the rapid
proliferation of mold lawsuits may soon rival the lead paint or asbestos litigation.

Injured parties have sought recovery through first-party claims against their own property or
homeowner insurers and have brought bad faith claims where their insurers have refused to

10
address mold claims. There have also been an increasing number of third-party claims brought
by injured parties and insurers in actions against those responsible for the development of the
mold, including contractors whose construction practices have allowed moisture to seep into
building interiors, architects and engineers for substandard building designs, and even
lumber companies and paint manufacturers for not providing products that resist mold! These
defendants have subsequently sought coverage under their own liability insurance policies.

While the vast majority of these cases have occurred in the residential sector, a growing number
of cases are arising in the commercial and institutional building settings, and, more recently, the
public sector.

Mold claims are brought in two primary areas: health risk (or personal injury) and damage to
property, though there are other potential claim areas relating to fiduciary responsibility, breach
of contract, etc., for designers and contractors:

Health Risk/Personal Injury: Despite the fact that the health risks from mold, “toxic” or
otherwise, appear to be overstated, health risk claims are on the rise and juries are
awarding large sums to plaintiffs who claim damaged health from exposure to mold.
Recently, individuals have alleged that, in severe cases, toxic mold has caused bleeding
lungs, memory loss, and chronic fatigue syndrome. With few published studies
analyzing the extent of toxic mold’s health effects, causation of these more serious
health effects is still a hotly contested issue. In fact, some physicians take the position
that the very term “toxic” when applied to mold is incorrect since all molds can make the
mycotoxins that most plaintiffs claim as the cause of health problems.

Damage to Property: Mold as a property problem has been around as long as mankind
and is even referenced in the Bible:

"On the seventh day the priest shall return to inspect the house. If the mildew has spread
on the walls, he is to order that the contaminated stones be torn out and thrown into an
unclean place outside the town. If the mildew reappears in the house after the stones
have been torn out and the house is scraped and plastered, it is a destructive mildew
and the house is unclean. It must be torn down - its stones, timbers and all the plaster -
and taken out of town." Leviticus, Chapter 14: 39 - 47

Mold can damage the material it grows on and other materials in the area of an
infestation. In extreme cases the mold can become so pervasive throughout a building
that remediation is impossible (or, at least, not worth the cost). In that situation, the
house or building is often razed. (In the state of Oregon, a couple whose home was
infested with mold allowed a local fire department to use their home for a test burn
training exercise for firefighters.)

The designer and/or the contractor may be considered at fault under either or both of these
basis.

Regardless of fault, the economic consequences of mold infestation can be significant. For
example, the impact, remediation, and reconstruction costs for mold infestation at two residence
halls on one state university campus exceeded $7 million, approximately 50% of the original
cost of construction. And, the corrective costs at one assisted living facility exceeded
$60.00/gsf.

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1.5 Purpose of this Text

Mold growth in a building is only a symptom…the real problem is moisture intrusion that
provides the moist environments that support mold growth. This text is prepared to inform
owners, designers, and builders of facilities located in the hot, humid parts of our state of
requirements and recommendations for preventing mold growth in those facilities.

The key elements to preventing mold growth in facilities are as follows:

1. Maintaining existing building envelopes and HVAC systems to meet the moisture
transfer and dehumidification requirements intended by the designer.

2. Eliminating (or at lease severely limiting) the intrusion of water into building materials
during the construction period.

3. Preventing water intrusion into the building after the completion of construction by
eliminating the potential for rainwater and groundwater intrusion and to control interior
water leaks that may occur.

4. Designing the building envelope and the HVAC systems to reduce the amount of
moisture vapor intrusion after construction and to remove that moisture via
dehumidification.

The requirements and recommendations presented here will typically increase the construction
costs for new facilities in hot, humid climates. However, these costs are insignificant when
compared to the costs of remediation and reconstruction if mold growth occurs in a facility.
Designers and owners must be aware of and appreciate that designing and constructing to
prevent mold growth is a necessary expense and, if not done, is truly a case of being "penny
wise and pound foolish".

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 Chapter 2

MAINTENANCE REQUIREMENTS TO CONTROL MOLD

Regular inspections and maintenance are required to minimize the occurrence and growth of
mold in a building.

2.1 Keeping Water Out

The best way to prevent mold growth is to prevent moisture intrusion problems and this process
starts with the roof.

Every facility must develop and implement an aggressive roof-maintenance program. This
program would include periodic inspection of every roof to identify deficiencies. It is best to
perform these inspections in each spring and fall. Inspections should be performed by
individuals capable of determining not only apparent immediate problems, but also conditions
that could become problems in the future. The inspections should concentrate on high-risk
areas such as around roof hatches, drains, mechanical equipment, and high-traffic areas. As
part of these inspections, also include roof flashings and drains, plumbing vents, etc.

In addition to semi-annual inspections, perform inspections after severe storms, repair or

alterations to rooftop equipment, or re-roofing projects in adjacent roof areas. Perform repairs in
a timely manner…once inspectors have identified deficiencies, a qualified roofing mechanic
must make the repairs immediately.

A properly executed roof maintenance program should not only reduce leaks — and minimize
mold development — but also should increase roof longevity.

Aside from the roof, foundations and walls are often the source of water intrusion problems.
Groundwater can be kept out a building if the surrounding grade properly slopes away from the
wall and adequate site drainage is provided (see Chapter 3). However, over time, the residue
from plantings, ground cover (pine straw, mulch, etc.), etc. can build up to block the weep holes
that drain masonry walls or even create a reverse flow condition so that water is trapped against
the wall (ponding). The facility maintenance plan must include regular inspection and corrective
action, as needed, to prevent these conditions from occurring. Each winter, when foliage is
dormant, the exterior condition at the base of the entire perimeter wall should be examined.

Gutters overflow, downspouts become blocked with leaves or trash, and area site drains
become plugged, all of which can cause water to drain down walls or be trapped against the
foundation or walls. These situations provide ready conditions for water intrusion and must be
routinely addressed under the maintenance program, with regular inspections and cleaning of
gutters, downspouts, and site drains.

Caulking will fail due to age, moisture, sunlight, and movement. Every caulk joint should be
inspected annually and repaired as needed to maintain a watertight joint. All caulking has a
finite life, usually 5-15 years, and must be replaced at the end of that life. Therefore, the
maintenance program should establish a caulking replacement schedule for all types of caulk

13
joints in the building (and don't forget the hidden caulking that may be present, such as in
horizontal flashings).

Double-glazed windows also fail. The problem here, aside from the fact that the window
typically becomes "cloudy" and unsightly, is that the window heat transfer resistance is cut in
half (or more!) when the seal around the space between the two glass panes fails and air and
moisture enters this space. Now, surface condensation on the glass surface can become a
problem in the winter if there are high internal moisture loads or if the building humidity level is
kept at 50% or higher. This water condensing on the inside pane then drains downward to the
sill and puddles, forming an ideal growth site for mold. Thus, the maintenance plan must
provide for replacement of failed double glazing when it occurs.

For brick walls, the maintenance plan must include annual inspection to locate and repair cracks
or repair other problems, as follows:

1. Grouting of Mortar Joints: If the mortar joints develop small "hairline" cracks, surface
grouting may be an effective measure in sealing them. One recommended grout mixture
is 1 part Portland cement, 1/3 part hydrated lime and 1 1/3 parts fine sand (passing a
No. 30 sieve). The joints to be grouted should be dampened. To ensure good bond, the
brickwork must absorb all surface water. Clean water is added to the dry ingredients to
obtain a fluid consistency. The grout mixture should be applied to the joints with a stiff
fiber brush to force the grout into the cracks. Two coats are usually required to
effectively reduce moisture penetration. Tooling the joints after the grout application may
help compact and force the grout into the cracks. The use of a template or masking tape
may prove effective in keeping the brick faces clean.

2. Tuck-pointing Mortar Joints: Moisture may penetrate mortar that has softened,
deteriorated or developed visible cracks. When this is the case, tuck-pointing may be
necessary to reduce moisture penetration. Tuck-pointing is a process of cutting out old
mortar to a uniform depth and placing new mortar in the joint.

Prior to undertaking a tuck-pointing project, the following should be considered:

a. Whether or not to use power tools for cutting out old mortar. The use of power
tools may damage the brick units surrounding the mortar being cut out.

b. Any tuck-pointing operation should only be done by a qualified and

experienced tuck-pointing craftsman. An individual who is an excellent
mason/bricklayer may not be a good tuck-pointing craftsman. Skills should be
tested and evaluated prior to the selection of the craftsman.

c. For tuck-pointing for historic preservation purposes, refer to Engineering and

Research Digest, "Tuck-Pointing", Brick Industry Association, June 15, 1983.

The old mortar should be cut out, by means of a toothing chisel or a special pointer's
grinder, to a uniform depth of 3/4 in., or until sound mortar is reached. Care must be
taken not to damage the brick edges. All dust and debris must be removed from the joint
by brushing, blowing with air or rinsing with water.

Tuck-pointing mortar should be carefully selected and properly proportioned. For best
results, the original mortar proportions should be duplicated. If this is not possible, Types

14
N or O mortar should be used as mortars with higher cement contents may not properly
bond to the original mortar.

The tuck-pointing mortar should be pre-hydrated to reduce excessive shrinkage. The

proper pre-hydration process is as follows: All dry ingredients should be thoroughly
mixed. Only enough clean water should be added to the dry mix to produce a damp,
workable consistency that will retain its shape when formed into a ball. The mortar
should stand in this dampened condition for 1 to 1-1/2 hr.

The joints to be tuck-pointed should be dampened, but to ensure a good bond, the
brickwork must absorb all surface water. Water should be added to the pre-hydrated
mortar to bring it to a workable consistency (somewhat drier than conventional mortar).
The mortar should be packed tightly into the joints in thin layers (1/4 in. maximum). Each
layer should become "thumbprint hard" before applying the next layer. The joints should
be tooled to match the original profile after the last layer of mortar is "thumbprint" hard.
As it may be difficult to determine which joints allow moisture to penetrate, it is advisable
to tuck-point all mortar joints in the affected wall area.

3. Opening Weepholes: If the weepholes in a drainage plane or cavity wall are clogged,
they can be cleared by probing with a thin wood dowel or stiff wire. If the weepholes
were not properly spaced, drilling new weepholes may be necessary.

It should be noted that weepholes are placed directly above flashing; therefore, care
must be exercised not to damage the flashing whenever probing or drilling. The use of a
stopper to limit the depth of penetration of the probe or drill bit may be effective in
reducing the possibility of damaging the flashing.

4. Replacement of Brick Units: Moisture may penetrate brick units that are broken or
heavily spalled. When this occurs, replacement of the affected units may be necessary.

A tuck-pointer's toothing chisel should be used to cut out the mortar that surrounds the
affected units. For ease of removal, the units to be removed can be broken. Once the
units are removed, all of the old mortar should be carefully chiseled out, and all dust and
debris should be swept out with a brush (see Fig. 2B). If the units are located in the
exterior wythe of a cavity wall, care must be exercised not to allow debris to fall into the
cavity.

The brick surfaces in the wall should be dampened before new units are placed, but the
masonry should absorb all surface moisture to ensure a good bond. The appropriate
surfaces of the surrounding brickwork and the replacement brick should be buttered with
mortar. The replacement brick should be centered in the opening and pressed into
position. The excess mortar should be removed with a trowel. Pointing around the
replacement brick will help to ensure full head and bed joints. When the mortar becomes
"thumbprint" hard, the joints should be tooled to match the original profile.

5. Installation of a Dampproof Course: Moisture may migrate upward through brickwork

by capillary action. This condition appears as a rising water line or "tide mark" on the
wall.

If dampproofing material on below-grade masonry walls was omitted or improperly

installed, the insertion of a dampproof course at a level above the ground, but below the

15
 first floor, may stop the rising moisture. The installation procedure can take one of two
forms. One form is the injection of a chemical dampproof course directly into the
masonry wall. Holes are drilled into the masonry into which a synthetic material is
inserted. Through a process based on electro-osmosis, the synthetic material forms a
continuous dampproof barrier at this level. The other form of installation is the removal of
an entire brick course. A dampproof material, i.e., plastic, metal or flashing is inserted,
and the brick course is replaced. The brick should be replaced as described in the
preceding section.

6. Installation of Flashing: Flashing that has been omitted, damaged, or improperly

installed may permit moisture to penetrate to the building interior. If this is the case, a
costly procedure of removing brick units, installing flashing, and replacing the units may
be required.

To install continuous flashing in existing walls, alternate sections of masonry in 5 to 10 ft

lengths should be removed. The flashing is installed in these sections and the masonry
is replaced. The replaced masonry should be properly aged (5 to 7 days) before the
intermediate masonry sections are removed. The flashing can then be placed in these
sections. The lengths of flashing should be lapped a minimum of 6 in. and be completely
sealed to function properly. The masonry is then replaced.

2.2 Respond to Water Intrusion Immediately

A plan to respond to water problems and, if required, mold clean-up, must be created so that
water intrusion problems are identified and dealt with within the first 24-48 hours after
occurrence, as follows:

1. Any porous material (such as ceiling tiles, carpets, and sheet rock) that has been wet
longer than 48 hours should be considered a likely source of molds. Some materials,
such as drapes, can be laundered. Materials such as books and paper products may not
be salvageable even if wet less than 48 hours. Carpets wet less than 48 hours need to
be cleaned and thoroughly dried. Removal and reinstallation should be considered, if
necessary. If the carpet is glued to concrete, it will not likely be salvageable. The
underlying concrete retains moisture that is best dried out by removing the carpet and
exposing the concrete to dry air for several days.

2. Removal of standing water is a priority and should occur in the first 24 hours.

3. Dehumidification by air conditioning, where feasible, or by dehumidifiers to remove

absorbed excess water should be ongoing for 72 hours or until the environment is
reduced to less than 50% relative humidity levels. A good target for moisture control is to
control the dew point temperature indoors to between 35°F and 55°F.

4. Sanitizing hard surfaces after water remediation or with mold growth is in evidence
can be done using chlorine bleach mixed at one cup per gallon. Surfaces should be
wiped with the sanitizer and left wet for 20 minutes prior to thorough drying.

In some cases, water damage may be hidden and go on for months prior to discovery (i.e.,
leaking water pipe in a wall, a basement crawl space damp from rain and ground water
seepage, or a roof leak between the ceiling and the upper roof). In these cases significant mold

16
growth may occur and require that the affected areas be closed down, sealed off, and
decontaminated by trained staff.

A complete remediation plan for these situations should be part of the response protocol
created by the interested parties.

Anytime mold is found, clean up and mitigation must begin immediately (within 24-48 hours).
The two following resources are the de facto "standards" for mold mitigation and should be used
to guide mold clean-up activities:

1. Guidelines on Assessment and Remediation of Fungi in Indoor Environments,

available from the New York City Department of Health and Mental Hygiene as a free
download at http://www.NYC.gov/html/doh/html/epi/moldrpt1.shtml.

2. Mold Remediation in Schools and Commercial Buildings, U.S. Environmental

Protection Agency, EPA Publication 402-K-01-001, March 2001, available as a free
download at http://www.epa.gov/mold/mold_remediation.html.

Other mold clean-up information is found at the N.C. Department of Health and Human Services
website at http://www.epi.state.nc.us/epi/oii/mold/cleanup.html. (Note, however, that the
extensive testing recommendations at this website are not required…it is only necessary to
know the extent of the infestation, the type(s) of mold is immaterial.)

Basic guidelines for remediation of water-damaged and/or mold infested materials after 48
hours, as recommended by Mold Remediation in Schools and Commercial Buildings, U.S.
Environmental Protection Agency, are summarized by the following table:

17
Clean-up Methods:

Method 1: Wet vacuum (in the case of porous materials, some mold spores/fragments
will remain in the material but will not grow if the material is completely dried). Steam
cleaning may be an alternative for carpets and some upholstered furniture.

Method 2: Damp-wipe surfaces with plain water or with water and detergent solution
(except wood —use wood floor cleaner); scrub as needed.

18
 Method 3: High-efficiency particulate air (HEPA) vacuum after the material has been
thoroughly dried. Dispose of the contents of the HEPA vacuum in well-sealed plastic
bags.

Method 4: Discard – remove water-damaged materials and seal in plastic bags while
inside of containment, if present. Dispose of as normal waste. HEPA vacuum area after
it is dried.

These remediation guidelines are based on the size of the affected area to make it easier for
remediators to select appropriate techniques, not on the basis of health effects or research
showing there is a specific method appropriate at a certain number of square feet. The
guidelines have been designed to help construct a remediation plan. The owner must then use
professional judgment and experience to adapt the guidelines to particular situations.

2.3 Maintain the Building under Positive Pressure

As discussed in Chapter 6, a key to preventing high humidity in a building is to eliminate outside

air infiltration by maintaining the building under a positive pressure. Is it imperative that the
existing HVAC systems be adjusted annually to provide sufficient ventilation air through each
air-handling system to offset the exhaust in the area served by that system. To keep costs to a
minimum, this can be done by the building staff, as follows:

1. Purchase an airflow measurement hood to use to balance the existing air

supply and exhaust systems. An analog measurement flow hood costs $1,800-
$2,500, but this investment is small compared to the $10,000 or more that would be
required to retain a professional air balance firm to accomplish this task. Also, having an
airflow hood available onsite will provide staff with the means to test airflows and make
adjustments in the future as needed without having to again call in a professional firm

Manufacturers of portable air balance flow hoods are Alnor Instruments

(www.alnor.com/vent/balometer.htm); Mannix/Interstate, whose hoods are available
through Professional Equipment, Inc. (www.professionalequipment. com); and
Shortridge Instruments, Inc. (480/991-6744).

2. Adjust exhaust systems to minimize the amount of exhaust, thus minimizing the
amount of outdoor air that must be introduced. With the flow hood, test each
exhaust inlet and compare that data to the design requirements. Then, adjust each inlet
to achieve the design exhaust airflow (+/- 10%). Where there are no dampers for
adjusting airflows, new “spin-in” flexible duct connectors with integral balancing dampers
can be purchased from almost any HVAC or sheet metal supply house and installed on
the existing trunk duct in the attic. As an alternative, existing exhaust grilles can be
replaced with new ones that also have a balancing damper.

3. Once an exhaust system is balanced and the amount of exhaust airflow is

know, the amount of outdoor ventilation air introduced through the associated
supply system can be adjusted. First, it is necessary to use the flow hood to measure
the supply airflow from each supply diffuser and sum these flows to determine the total
airflow provided by the air-handler. To maintain positive pressure, the amount of
outdoor air introduced through an air-handler should be at least 10% greater than the

19
 exhaust airflow from the area served by that air-handler. Thus, the ratio of outdoor air,
X, can be set as follows:

X = (1.1 x exhaust airflow) / (air-handler total supply airflow)

For example if the total exhaust airflow required in an area is 240 cfm and the air-
handler serving that area is determined to have a total airflow of 1,600 cfm, the required
outdoor airflow ratio is computed as follows:

X = (1.1 x 240) / 1600

= 264 / 1600

= 0.165 (or 16.5%)

To adjust the air-handler to achieve this ratio of outdoor air, there temperatures must be
measured: the outdoor temperature Toa, the room or return air temperature Tr, and the
air-handler supply temperature Ts when the unit is operating in a “fan only” mode, i.e.,
not heating or cooling. The outside air damper can be adjusted until Ts is the required
value, computed as follows:

Ts = XToa + (1-X)Tr

Thus, in the previous example, if the outdoor temperature is 50°F and the room
temperature is 75°F, the required Ts for an outdoor air ratio of 0.165 is computed as
follows:

Ts = (0.165)(50) + (1.0 - 0.165)(75)

= (0.165)(50) + (0.835)(75)

= 8.25 + 62.625

= 70.875 (say, 71°F)

Obviously, it is best to perform this work when the difference between the indoor
temperature and the outdoor temperature is as great as possible (at least 25-30°F).

Once the proper Ts is achieved, the minimum outdoor air damper should be locked in
position and that position clearly marked for future reference.

2.4 Maintain HVAC Systems to Provide Humidity Control

To properly dehumidify the air, HVAC cooling coils must maintain heat transfer efficiency and be
supplied with primary refrigerant at low enough saturated suction temperature or chilled water at
low enough supply temperature to provide both sensible and latent cooling to maintain the air
dewpoint temperature at 55°F or lower at all times. This implies that the cooling coils must be
clean, the refrigeration system must operate as designed, and the controls must function
correctly. All of these components, then, require good routine and preventative maintenance.

20
Air-handling unit coils may be cleaned with a vacuum cleaner, washed out with water, blown out
with low-pressure compressed air (40 psig or lower), or brushed…do not use a wire brush. Use
a flashlight to determine if dirt or debris has collected in the coils and to evaluate the
effectiveness of the coil cleaning.

To prevent microbiological fouling of the coils, the drain pans should be cleaned in both July and
October to eliminate mold and algae growth that may occur.

To maintain the refrigeration system in reliable working order, the following minimum routine
and preventative maintenance procedures are required:

Condensing Units/Heat Pump Outdoor Units:

Every 6 Months

1. Test high and low pressure switches, replace as necessary.

2. Check refrigerant pressures and charge system as needed. (If the system is
low on refrigerant for two consecutive tests, run leak tests and repair as
necessary.)

3. Clean outdoor coils. (These coils may be cleaned with a vacuum cleaner,
washed out with water, blown out with low-pressure compressed air, or
brushed…do not use a wire brush. Use a flashlight to determine if dirt or debris
has collected in the coils and to evaluate the effectiveness of the coil cleaning.)

4. Test/calibrate controls. (Maximum 3-degree throttling range should be

obtained. Test SST and SDT for proper conditions.)

Motors, Electric: Integral horsepower electric motors on HVAC fans, pumps, etc. must
be relubricated regularly to replace grease that has deteriorated, leaked away, or
become contaminated, as follows:

Ambient Motor Relubrication

Temperature (F) RPM Frequency
(weeks)
100 Up to 1800 26
150 13
200 4
100 1801-3600 17
150 9
200 3

Motors up to 3600 rpm in ambient environments up to 200°F may be relubricated with

any heavy-consistency grease, such as lithium grease or polyurea grease.

21
Chilled Water and Condenser Water Pumps:

Weekly

1. Check pump discharge and suction pressure for variation from normal.

2. Check pump seals for leaks.

Every 6 Months

1. Check electric motor, motor bearings, and pump bearings by feel for
overheating.

2. Check pump coupling for alignment and/or vibration. Replace as required.

3. Lubricate pump bearings in accordance with manufacturer's requirements.

4. Check and tighten all pump casing bolts and mounting bolts.

5. Using 40 psig compressed air, blow dust and dirt from motor windings.

Water Chillers, Air-Cooled: Routine and preventative maintenance as recommended

by the chiller manufacturer, but not less than the following:

Quarterly

1. Check the high side and low side refrigerant pressures, water and refrigerant
temperatures, and current drawn by each compressor. Analyze and compare
with design values, adjust as necessary.

2. Test operation of compressor(s) crankcase heater(s).

3. Test all refrigerant piping for leaks.

4. Check operation of all operating and safety controls.

5. Check for abnormal vibration or noise by compressors or condenser fan(s).

Every 6 Months

1. Check the approach temperature (Condensing Temperature minus Outdoor

DB Temperature) to determine if condenser coils need cleaning by comparing
the measured value to the design value. (Coils will usually require cleaning
every 1-3 years, depending on location. These coils may be cleaned with a
vacuum cleaner, washed out with water, blown out with low-pressure
compressed air, or brushed…do not use a wire brush. Use a flashlight to
determine if dirt or debris has collected in the coils and to evaluate the
effectiveness of the coil cleaning.)

2. Check and clean contacts in starters and control relays with a dry cloth or
other nonabrasive material. Replace pitted or burned contacts.

22
Every Year

1. Test sample of lubricant in each refrigerant circuit to evaluate moisture

content, oil acidity, and metals or metal oxides.

2. Test relief valves, both refrigerant and water. If there are problems, replace
the valve, do not attempt to clean or repair it.

Every 5 Years (From Date of Start-up)

1. Perform dielectric motor test on each compressor to evaluate motor winding

condition. Replace compressor(s) as required.

2. Clean evaporator tubes in accordance with manufacturer's recommendations.

3. Eddy current (electromagnetic) test evaporator tubes. Replace tubes or entire

tube bundle as required.

Water Chillers, Water-Cooled, Electric-Drive: Routine maintenance requirements for

electric-drive vapor compression cycle water chillers fall into four categories: continual
monitoring, periodic checks, scheduled maintenance, and long-term maintenance, as
follows:

Continual monitoring/visual inspection: The majority of chiller operating problems and

maintenance needs are discovered by visual inspection and the monitoring of equipment
operating parameters. Perform a visual inspection and collect operating data every two-
four hours during the day. This data will give a complete “snapshot” of the running
conditions of the chiller and variations in data between observations can be a prime
indicator of operating problems. Over the long term, this data can be used to predict
maintenance requirements. This data, along with the data collected during periodic
checks and routine maintenance procedures, can be plotted against time so that a trend
or change in conditions can be identified. A decision on maintenance can then be made
from the trend.

Periodic checks: Periodic checks are specific tests that are performed annually (or more
frequently) to evaluate some aspect of the chiller performance and include the following:

1. Leak testing (via the pressure method).

2. Purge operation (low pressure systems).

3. System dryness.

4. Lubricant level.

5. Lubricant filter pressure drop.

6. Refrigerant quantity or level.

23
 7. Water flow rates. (Adjust the pumps to provide design flow and measuring the
pressure drop across the evaporator and condenser. Compare these values
to the manufacturer’s data to determine if internal scaling is occurring.)

8. Expansion valve operation (for reciprocating compressor systems).

Regularly scheduled maintenance:

1. Condenser and lubricant cooler cleaning should be done at the beginning of

the cooling season or every six months if the chiller is in use year around.
This process has become more difficult since the heat exchanger tubes in
newer chillers have internal fins. (To facilitate this cleaning, piping
connections at the chiller should be flanged or use grooved piping
connections and the insulation be designed for removal and replacement.
The piping must be configured so as to not interfere with the tube cleaning
space.)

2. Evaporator cleaning on open systems is required for applications using air

washers. Here, the chilled water system is “open”, just as the condenser
water system is open, and the evaporator tubes should be cleaned at the
same time the condenser tubes are cleaned.

3. Calibration of pressure, temperature, and flow controls should be done

quarterly.

4. Inspect starter wiring connections, contracts, and action. Power connections

on newly installed starters may relax and loosen after a month or so of
operation. Tighten and recheck annually thereafter.

5. Safety interlocks devices, such as flow switches and pump starter auxiliary
contracts, should be checked annually for proper operation.

6. Dielectric motor testing should be done annually. This test will identify
failures in motor winding insulation. Other motor tests should include test for
imbalance of electrical resistance among windings, imbalance of total
inductance with phase inductances, power factor, capacitance imbalance,
and running amperage vs. nameplate amperage.

7. Tightness of hot gas valve (as applicable) should be checked annually. If the
valve is does provide tight shutoff, replace it.

8. Lubricant filter and drier should be changed annually.

9. Laboratory analysis of lubricant should be performed annually during the first

ten years of chiller life and every six months thereafter. This oil analysis will
define the moisture content (not to exceed 50 ppm), oil acidity (maximum 1
ppm) that may indicated oil oxidation and/or refrigerant degradation due to
high temperatures, and metals or metal oxides that indicate chiller component
wear and/or moisture in the oil.

24
 10. Vibration levels for open drive chillers should be performed annually.
Hermetic chillers should be tested every 3-5 years, more frequently as the
chiller ages. Vibration analysis is useful for detecting compressor/motor
alignment problems for open drive chillers and to evaluate bearing wear, gear
misalignment, and other dynamic problems in any chiller. There are several
different methods of vibration testing. In general accelerometers are suitable
for gear box and bearing tests, while a velocity type sensor is necessary to
measure the low frequency vibration associated with compressor motor
imbalance, drive misalignment, and sleeve bearing wear.

11. Valve and bearing inspection in accordance with manufacturer’s

recommendation.

12. Relief valves (both refrigerant and water) should be checked annually.
Disconnect the vent piping at the valve outlet and visually inspect the valve
body and mechanism for corrosion, dirt, or leakage. If there are problems,
replace the valve, do not attempt to clean or repair it.

Extended (long term) maintenance checks:

1. Eddy current (electromagnetic) testing of heat exchanger tubes should be

performed every 5 years (or more frequently as the chiller ages). This testing
will typically detect tube pits, cracks, and tube wear (thinning). Any tube that
is replaced as result of this testing should be examined and cross-sections
cut so the cause of the defects can be evaluated.

2. Compressor teardown and inspection of rotating components should be

performed every five years. Visually inspect the compressor impeller
(centrifugal compressor) or rotors (screw compressor), capacity control
devices and linkage, and bearings. Replace seals and gaskets during
reassembly. (Keep detailed records of these inspections and use this
information to define future repair or replacement needs.)

3. Other components must be serviced, inspected, and/or replaced at the

intervals recommended by the chiller manufacturer.

Water Chillers, Water-Cooled, Engine- Drive The maintenance requirements for

engine-drive vapor compression cycle chillers are much the same as for electric-drive
chillers except that the significant maintenance requirements for the engine must be
added to the program. Depending on the type of engine and fuel, the manufacturer’s
maintenance program must be strictly followed to endure reliable engine operation and
to attain the expected engine life.

Water Chillers, Water-Cooled, Absorption Type: Absorption water chillers have three
significant maintenance elements:

Mechanical components: Absorption chillers have refrigerant and solution pumps and a
purge unit that must be maintained. The pumps are usually hermetically sealed and are
cooled and lubricated by the refrigerant. On an annual basis, these pumps and motors
must be inspected and tested to insure continued operation. Every 3 years, the pump
seals and bearings will require inspection and, as indicated, replacement.

25
On a routine (daily) basis, the operation of the purge unit must be checked for both
proper operation and excess operation, indicating an air leak. Air leakage into an
absorption chiller can produce serious problems due to corrosion, contamination of the
absorbent solution, and reduction in efficiency and capacity.

Heat transfer components: Annually, the condenser and absorber heat exchanger tubes
must be cleaned. The lithium bromide solution must be analyzed annually for
contamination, pH, corrosion-inhibitor level, and performance additive (octyl alcohol) and
the solution adjusted as necessary.

Leak testing, using the pressure method, is required annually.

Eddy current testing of the absorber, condenser, generator, and evaporator should be
done every 3-5 years.

Absorption chillers have a number of service valves that contain rubber diaphragms.
These diaphragms should be replaced every 3 years (which requires that the lithium
bromide/water solution from the chiller).

Controls: Proper operation of controls is critical in preventing performance problems with

absorption chillers. Test the controls for proper operation at the beginning of the cooling
season. Clean and tighten all connections, including field sensor connections. Vacuum
control cabinets to remove dirt and dust. With microprocessor controls, have the factory
service technicians test calibration and operation and ensure that the latest version of
operating software is loaded.

For direct-fired absorption chillers, the burner must also be maintained and serviced to
ensure efficient, reliable operation. The following is a summary of basic burner
maintenance requirements:

Annually:

1. Inspect and repair stack/breeching

2. Clean heating surfaces

3. Check combustion air intakes

4. Test all safety controls, operating levels, etc.

5. Test relief or safety valve for operation and setpoint

Routine maintenance: Run efficiency test and adjust air/fuel ration at least twice each
year (more often for larger burners)

Cooling Towers: Routine inspection and maintenance must be done to ensure proper
tower operation (and to obtain the expected service life of the equipment). The required
maintenance can be broken into two areas: water treatment and mechanical
maintenance.

26
Water Treatment Management: Water treatment programs to prevent corrosion,
deposition, and biological fouling in condenser water systems is required and, as a
routine matter, the tower owner must ensure that this requirement is being met
effectively by his water treatment contractor. To this end, the following procedure is
recommended:

1. Require and evaluate regular and frequent reports by the water treatment
contractor, first to ensure that regular water treatment is being done and, second,
to “track” the various treatment parameters such as pH, TDS, chemical types and
quantities used, etc.

2. At least twice each year, send a water sample to an independent laboratory

for analysis and compare the results with the most recent monthly report from the
water service contractor.

3. During shutdown periods, the maintenance staff should inspect the tower and
as much piping as possible for scaling or fouling that is being inadequately
addressed by the water treatment program.

4. Track chiller and tower performance on a routine basis to determine if the

system is remaining free of deposition or fouling. Tower operating data should
be logged on a regular basis (at least once per day or once per shift) and the
relationships between load, temperature difference, and power input tracked. If
the relationships between these values change appreciably, this could indicate
chiller fouling, tower fouling, or other performance problems.

Mechanical Maintenance: When the tower is to be started after being shutdown for a
lengthy period of time, it must be thoroughly inspected and repaired, as follows:

1. Check drift eliminators for proper position, being clean, etc.

2. Check fans, bearings, motors, and drives for proper lubrication.

3. Rotate fan shaft(s) by hand to make sure they turn freely.

4. Check fan motors for proper rotation and adjust belt tension for belt drives.

5. Fill basin with fresh water and check operation of level controller.

6. Start condenser pump and check wet deck for proper distribution.

15. Check fill for fouling and/or clogging and clean or replace if necessary.

8. Check access door gaskets and replace as necessary.

9. Thoroughly inspect all metal surfaces for corrosion, scale or fouling, or sludge.
Clean as required and any damaged metal should be cleaned down to bare
metal and refinished with a cold zinc coating.

10. Operate tower and look for and repair any water or air leaks from the basin,
casing, or piping.

27
During the cooling season (which may be all year for some buildings), regular inspection
and maintenance of the tower is required to ensure proper operation, as follows:

Weekly

1. Clean basin strainer

2. Check blow down valve and make-up water valves to make sure they’re
working properly

3. Test water and adjust chemical treatment as necessary

4. Check/fill gear drive oil reservoir

Monthly

1. Clean and flush basin (This may be required more often for towers located
adjacent to highways, industrial sites, etc. with high particulate emissions)

2. Check operating level in basin and adjust as necessary

3. Check water distribution system and sprays

4. Check drift eliminators for proper position

5. Check belts or gearbox and adjust as necessary

6. Check fans, inlet screens, and louvers for dirt and debris. Clean as
necessary.

7. Check keys and set screws

Regularly

1. Lubricate fan shaft bearings every 1000 hours or 3 months

2. Check gear drive in accordance with mfgr’s instructions

3. Blowdown condenser water pump strainer

Yearly

1. Clean and touch-up paint or other protective finish as necessary (including

grillage)

2. Dismantle and clean condenser water pump strainer

28
2.5 OSHA Considerations

The U.S. Occupational Safety and Health Administration (OSHA) has issued a safety and health
information bulletin (SHIB 03-10-10) on mold, entitled A Brief Guide to Mold in the Workplace.
The bulletin is not a standard or regulation, and it creates no new legal obligations. The bulletin
is advisory in nature, informational in content, and is intended to assist building managers,
custodians, and others who are responsible for building maintenance.

The Occupational Safety and Health Act requires employers to comply with hazard-specific
safety and health standards as issued and enforced by either the Federal (OSHA), or an OSHA-
approved State Plan. In addition, Section 5(a)(1), the General Duty Clause, requires employers
to provide their employees with a workplace free from recognized hazards likely to cause death
or serious physical harm. Employers can be cited for violating the General Duty Clause if there
is such a recognized hazard and they do not take reasonable steps to prevent or abate the
hazard. However, failure to implement OSHA "guidelines" is not, in itself, a violation of the
General Duty Clause. Citations can only be based on standards, regulations, and the General
Duty Clause.

This OSHA bulletin generally parrots the same information and guidelines presented in the New
York City and USEPA publications, but should be reviewed by facility managers to ensure that
the recommendations contained in it are included in mold remediation plans and, thus, avoid
any potential OSHA enforcement activity.

2.6 Maintenance Requirements to Control Mold Checklist

Design Component Requirement/

Element Criterion
Keeping water out Roof Regular inspections and repairs
Site drainage Remove landscaping buildup around
walls
Keep drains and wall weeps clear
Clean gutters and downspounts
Caulking Annual inspections and repairs
Windows Replace failed double glazing
Masonry walls Grout hairline cracks
Tuck-point mortar joints
Check/open weeps
Replace broken/spalled bricks
Check/repair dampproofing
Inspect/repair flashing
Respond to water Porous materials Clean or remove within 48 hours
intrusion Standing water Remove within 24 hours
Dehumidification Maintain 50% RH or lower for 72 hours
Remediation Follow NYC or USEPA guidelines
Building positive Airflows Check all airflows annually
pressure Exhaust air Adjust to minimum levels
Ventilation air Adjust annually
Humidity control HVAC equipment Routine/preventative maintenance
Work place safety Remediation Follow OSHA mold guide

29
 Chapter 3

WATER INTRUSION DURING CONSTRUCTION

3.1 Construction Phase Moisture Control

The starting point for keeping mold out of a building is to keep out or dry out construction-related
moisture. Building HVAC systems simply are not designed to dry out this moisture since the
moisture load from wet materials may simply be too large and the drying tasks too complex for
systems intended for comfort air conditioning. The better plan is to prevent moisture from
entering materials at all and, in the event they get wet through nature or human error, to apply
aggressive methods to quickly dry them. Since mold growth can begin with 24-48 hours, this is
the maximum timeframe available in which to dry or remove materials to prevent mold
germinating and growing.

In soaked materials, moisture will be supplied to the surface mold from inside the material rather
than through adsorption from the surrounding air. Therefore, after actual wetting, the challenge
is to remove excess moisture from inside the material, as well as from its surface. This requires
a combination of air movement across all wetted surfaces, combined with very low humidity
over an extended period (usually below 30% RH for several days, up to a week). The tools to
accomplish this task include portable desiccant dehumidifiers or, in hot weather, refrigeration-
based dehumidifiers. During this drying process, the air must be contained by temporary
enclosures constructed of wood framing and 6 mil polyethylene sheeting.

Rainy weather is a problem for both masonry and GWB. Masonry is a very porous material and
water will be rapidly absorbed into it from falling rain. Thus, it becomes very important to cover
masonry construction whenever rain is expected and, if covering fails, to dry the material with
dehumidifiers.

GWB joints dry slowly during rainy, humid conditions and the gypsum can absorb moisture, so it
becomes necessary (and cost-effective) to used dry air during the interior wall installation
process to maintain the construction schedule and ensure that moisture is not absorbed by the
GWB. Here, many contractors think it is time to start the HVAC systems to maintain dry interior
conditions. But, there are inherent problems with this concept and the use of portable heaters
and/or dehumidifiers is a much better solution.

Concrete floor slabs, even when not externally wetted, contain large quantities of moisture even
after the concrete “comes to strength” and drying may be required.

To ensure dry materials during construction, the designer should specify that the contractor
shall:

1. Take all necessary measures to prevent, or at least minimize, the potential for
rainwater and groundwater intrusion during the construction process.

2. Use desiccant drying or other techniques to the extent necessary to keep the ambient
moisture in all or any identified portions of the interior below specified levels at specified
times.

30
 3. Install specific materials that the designer has determined to be more resistant to mold
in all or any portion of the building.

4. Respond to any water found standing inside or adjacent to the building in a prescribed
manner.

Designers should note that if the contract documents do not require special efforts to manage
the risk of a mold infestation, the contractor will assume that the owner only expects what would
normally be considered necessary to avoid direct water damage to stored or installed
materials…not including potential mold damage.

3.2 Construction Sequencing

The contractor normally creates the schedule for the construction of the building, determining
the sequence in which the contractor and its subcontractors will perform each of the various
construction tasks. That schedule must fit within the parameters the designer has set. Those
parameters include the date when work may commence, the deadline for completion, and the
materials and systems that the design and specifications require the contractor to utilize.

Those parameters drive much of everything else. And for that reason, the designer should
consider them carefully. Among other things, the designer should identify and discuss the costs
and benefits of allowing either more or less time for the actual construction of the building. What
would it cost to give the contractor the time necessary to seal the building envelope and to dry
out the interior before beginning to install the drywall and other finishes? What could be the
ultimate risk and cost associated with setting an aggressive schedule that requires the
contractor to load drywall into the building, and to start installing the finishes, while the interior is
still exposed to the elements?

In fact, the schedule is something on which all of the parties must collaborate! The owner and
designer may be able to see many of the ways that their decisions will affect the schedule and
sequence of construction activity, but the contractor may be able to see things that the owner
and designer have missed. Collectively, the three may find that they can accomplish several
things. They may be able to schedule certain activities for certain times of the year, when they
can expect better weather. They may be able to identify unique ways to protect the materials
that will go into the building, or to coordinate the interior finishing with the building dry-in.

In general, the earlier the schedule requires the contractor to begin finishing the interior, the
greater the risk of permitting water to enter or accumulate in places or materials that will
accommodate mold. The more complete the building envelope before beginning the installation
of interior finishes, the lower the risk will be.

If an aggressive construction schedule is required, particularly serious consideration must be

given to ways of mitigating the risk of mold reaching unacceptable levels. For example, if the
deadline for substantial completion will require the contractor to begin finishing the interior well
before the envelope is sealed, then the designer should pay particularly close attention to the
finishes selected. The risks involved in selecting special materials that have long lead times, or
take longer to install, may delay the completion of the envelope and must be evaluated.

31
The actual construction process has three relatively distinct phases. The first is the phase when
all work is “exposed.” The second begins when the contractor completes the roof and at least
much of the envelope, when the building is “partially enclosed.” The third begins when the
contractor completes the envelope and moisture intrusion can actually be “controlled”…in effect,
the building can be kept dry.

During the first of these three phases, the foundation, the frame and everything else is exposed
to the elements. During the second phase, the contractor will normally begin to rough in the
interior and may install some of the finishes. The third normally includes final installation of
interior elements and finishes and the start-up of building systems.

Exposed Phase of Construction: Microscopic mold spores have a natural tendency to

hang or float in the air. Indeed, they are as ambient as the moisture noticed on a humid
day. During the “exposed” phase of the construction process, they can easily come to
rest on building materials and components, whether installed or simply stored. Add water
from any natural or other source, and at least theoretically, these spores may begin to
grow. Concrete, steel, and many of the other materials normally used and installed
during this phase of construction are, however, less than ideal substrates for mold. In
addition, natural ventilation and exposure to sunlight will normally dry out any materials
that do get wet. The contractor should keep everything dry, or quickly dry out anything
that does get wet, during this early phase of construction.

Water gets its first opportunity to enter and accumulate in the structure when the
contractor excavates the foundation. Unfortunately, many things can disrupt the normal
sequence of the work below grade, which would include the footings, the underground
utilities, the slab on grade and waterproofing. In some instances, the contractor does not
have the guidance that it needs to complete the utilities and slab on grade. In fast-track
construction, the design may not be complete enough to permit the contractor to lay out
and install the utilities.

Preliminary site grading should be accomplished to allow quick drainage of rainwater

and to prevent groundwater intrusion into foundations, basements, and first floors.
Temporary damming or additional retention basins may be required.

Concrete often lies at the heart of this first phase of most construction. Concrete resists
the flow of water but does allow wicking via capillary action. Depending on the
circumstances, it may be reasonable to expect a contractor to keep porous organic
materials from coming into prolonged contact with concrete, prior to its installation. To
the extent necessary to protect such materials from water damage, it would be
reasonable to expect a contractor to remove standing water from slabs, and to keep
openings covered or dammed. It would be similarly reasonable to expect contractors to
use dunnage to create space between concrete slabs and any materials stored on them.

Partially Enclosed Phase of Construction: The second phase of construction has much
in common with the first. During this phase, building materials and components normally
have some protection from the elements, but that protection is far from complete.
Naturally ambient mold spores can still come to rest on building materials and
components.

Rain remains a threat and ambient moisture is still impossible to control during this
phase. Materials and components used and installed during this phase may be more

32
porous, or have more organic content, than the materials and components used and
installed during the exposed phase of construction (e.g., fireproofing, insulation, etc.)
Masonry walls should be covered at night or when rain threatens (see Section 4.1.2).
The contractor should not load or install drywall or any other porous materials or
components, or anything that has a high organic content, into a building that is only
partially enclosed unless specific measures are implemented to protect these materials
form water and/or excess humidity.

“Dried-In” Phase of Construction: If the goal is to minimize the risk of a mold problem,
then the single most important point in the construction schedule may well be the point
at which the contractor completes and seals the building envelope. At that point, the
construction process enters the phase in which direct water intrusion is eliminated and
the contractor need only address potential high ambient humidity as a threat as they
begin to install drywall and other finishes. Ambient moisture remains a significant risk
and mold growth prevention depends on how well the contractor can control the
moisture and humidity inside the building.

During this phase of the work, one of the greatest risks is condensation. The root
causes of condensation are temperature and ambient moisture. But many things can
and do affect these factors. These things include wall coverings (which may be
impermeable), negative air pressures and cold spots that result from the incomplete
insulation of the building.

Contractors should utilize desiccant dehumidifiers or indirect fired heaters to dry areas
where they are installing or applying certain finishes to control temperature and/or
ambient moisture…building HVAC systems should never be considered as more than a
potential aid in the construction sequencing and should never be operated until they
have fully installed, checked, started, and balanced, with all controls operational.

Historically, contractors want the building HVAC systems operational during this phase
to attempt to control temperature and humidity in the building and support interior
construction activities. Unfortunately, studies have clearly shown that HVAC systems
designed for comfort conditioning and, typically, to only high limit humidity control are
woefully inadequate for maintaining partially completed buildings at anywhere near
acceptable temperature and humidity conditions, especially if the HVAC system
installation is incomplete. Worse, premature operation of the HVAC systems can result
in permanent damage to them.

Guidelines published by the Sheet Metal and Air-Conditioning Contractors National

Association (SMACNA) in 2006 states that owners contemplating the use of temporary
heat should understand the short and long term risks of using the permanent HVAC
system for temporary heat.

Permanent HVAC systems are specifically designed to provide comfortable, clean air
conditioning for a tightly enclosed, soundly constructed building and not buildings under
construction and, with rare exception, it is not in the best interest of the building’s owner
to operate permanent HVAC system for temporary heating or cooling purposes during
construction.

The risks to the building’s owner when using the permanent HVAC system for temporary
heat include:

33
1. Misuse of permanent HVAC systems to heat out (bake out) open areas under
construction because such operations exceed design specifications. The filter systems -
even with the addition of construction or pre-filters – are also incapable of providing the
dust holding capacity required to protect permanent HVAC equipment and duct system.
Construction filters cannot sufficiently protect the permanent HVAC system from
excessive amounts of construction dust, particularly the most common source, dust
created from sheet rock sanding.

2. Use of the permanent HVAC system in an attempt to dry wet surfaces, such as drying
recently poured concrete floors to permit or expedite the installation of carpet or wooden
floors. Permanent HVAC systems are not designed or constructed to perform in such a
manner. Indeed such activities may result in subsequent IAQ problems associated with
mold and other related airborne contaminants.

3. Initiation of the HVAC equipment warranty period when the equipment is started. Early
startup of the permanent HVAC system for temporary heating, cooling, dehumidification,
or for other reasons may also void the warranty on that system’s equipment.

4. Early startup of the permanently installed HVAC system will result in reduced
equipment life, operating efficiencies, and potential equipment damage. Understand, for
example that:

• Motors typically used in HVAC applications have open windings and the
accumulation of construction dust raises the operating temperature and leaches
oil away from bearings.

• Coils are manufactured under very clean conditions, but have, by design,
residual oil on the heat exchanger surfaces, which cause dust not captured by
filters to tightly adhere to the surface. This reduces the efficiency of the energy
exchange, especially when cooling coils condense moisture causing certain
types of dust (from gypsum wallboard and plaster) to harden.

5. There is increased potential for tenant complaints and claims. Dust and particulates in
HVAC ductwork is increased exponentially when the permanently installed HVAC
system is used for temporary heating, cooling or dehumidification during the construction
process. In such circumstances, the stage is set for potential mold related conditions and
consequent tenant complaints.

6. Energy costs will generally be higher than the cost to use temporary heating, cooling
and dehumidification equipment readily available in the market place. For a permanent
HVAC system to have any beneficial effect in heating or cooling a construction site
requires continuous operation at maximum capacity. In contrast temporary heating and
moisture removal equipment use energy directed to exactly where it is needed and the
total energy costs are usually less.

Field reports and years of industry experience with the detrimental effects of the misuse
of permanent HVAC systems when used for temporary activities or tasks during
construction should compel owners and their agents to choose the less risky path of
using the proper temporary equipment to condition projects under construction.

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Designers must include specification requirements to accomplish two things: keep moisture out
of the building during construction and prevent the use of building HVAC systems to aid in
general construction activities. The following is a sample specification that can be included in
Division 1, General Requirements:

Protection Of Building Materials From Water Damage

General: The General Contractor shall be responsible for protecting the Work from
moisture intrusion and for controlling moisture release from construction process in order
to prevent growth of fungi, bacteria, or other biological contaminants.

Existing and New Building Construction:

1. Refer to Technical Specifications for materials and installation of weatherproof

enclosures.

2. Remove and replace all construction that becomes wet and has been wet for
24 hours or more or which shows evidence of biological growth due to the
presence of moisture.

3. Poured-in-place concrete shall be dried using ventilation, heat, and/or

microwave devices.

Stored Construction Materials:

1. Take precautions to prevent porous materials such as gypsum board,

insulation, ceiling tile, wood, and other hygroscopic products from becoming wet.

2. Discard construction material which becomes wet, or which shows evidence of

biological growth due to the presence of moisture.

Humidity Control: After the building is "dried-in", provide control humidity within
construction areas using temporary dehumidification equipment and/or drying
techniques. Relative humidity within the building enclosure shall be maintained at no
greater than 35% RH while drying out the building and 60% RH thereafter.

The term "dried-in" shall mean that the building interior is protected from wind-driven rain
by the final building construction and/or temporary weatherproof enclosures.

The building HVAC systems may not be utilized for temperature or humidity control until
the HVAC system installation is complete, tested, adjusted, balanced, and
commissioned as specified in Division 15. No dust-producing construction activities
shall be undertaken once the building HVAC systems have been placed into service.

Procedures for Drying Construction Materials:

1. In the case that an unanticipated event permits the entry of water into new or
existing construction, the Contractor shall perform procedures to dry out
construction, within 24 hours, to a degree that will not support biological growth,
using restoration drying techniques.

35
 2. Identify wet materials and remediate in accordance with the following
publication: United States Environmental Protection Agency, 2001, “Mold
Remediation in Schools and Commercial Buildings”. See:http://www.epa.gov/
mold/mold_remediation.html or http://www.epa.gov/mold/images/
moldremediation.pdf.

3. Construction that is not adequately dried, or which shows evidence of

biological growth, shall be removed immediately from the construction area and
disposed of legally.

4. Wetting by contaminated water and subsequent cleaning and

decontamination shall be supervised by a qualified company approved by the
Owner.

Proper construction sequencing requires that Contractors pay attention to the way they procure
materials, schedule their delivery, and then store them, particularly on the construction site. The
contractor may, for example, establish procedures for checking materials for any water damage
before accepting their delivery. The contractor should also have procedures for keeping drywall,
ceiling tiles, insulation and other porous materials dry and for dealing with any porous materials
that do get wet. Such materials must be protected from ambient moisture and other sources of
water.

Gypsum board must be kept dry to prevent the growth of mold, as follows:

1. Transportation and Receiving

a. Gypsum board must be protected during transit with a weather-tight cover in

good condition.

b. Plastic shipping bags are intended to provide protection during transit only and
must be promptly removed upon arrival of the load. Failure to remove the
shipping bag can increase the likelihood of developing conditions favorable to the
growth of mold.

2. Storage and handling

a. Gypsum board must be stored in an area that protects it from adverse weather
conditions, condensation, and other forms of moisture.

b. Job site conditions that can expose gypsum board to water or moisture must
be avoided.

c. Gypsum board must be delivered to the job site as near to the time it will be
used as possible.

3. Application

a. Provisions must be made to keep gypsum board dry throughout application.

36
 b. Gypsum board that has visible mold growth must not be used.

c. Gypsum board must not be applied over other building materials where
conditions exist that are favorable to mold growth.

Contractors may also need to think about the sequencing of work that requires water as part of
the construction process. As water-based materials dry, where will the water go? The
contractor should not permit new or additional work to cover or enclose any fireproofing,
insulation or other porous materials that are clearly wet.

The contractor should also have some kind of protocol for dealing with any large and
unexpected water intrusion into any completed portion of the building. Such a protocol could
include procedures for investigating its cause and effects, and for dealing with both.

Contractors can not ignore visible signs of mold or other fungi growing on any stored or installed
materials. Any identified mold must be immediately (within 24 hours of occurrence) cleaned. If
cleaning is not feasible, the infested materials must be replaced.

3.3 Moisture in Building Materials

Designers must specify specific moisture limits to be maintained by the contractor.

The moisture content of all masonry walls must be measured and documented by the contractor
and no GWB shall be hung on these walls until the moisture content measures the same as
identical masonry stored in a dry location.

The moisture content of GWB must be measured and documented by the contractor at two
locations: the bottom edge and halfway between the floor and ceiling. The interior finish shall
not be applied until the moisture content is below 0.4% on a gypsum moisture meter or below
12% on a wood meter.

The moisture content of concrete floor slabs must be measured as soon as the building is dried-
in and the slab temperature reaches 65-75°F. Test for moisture using the Calcium Chloride
Test Method or with a "concrete moisture encounter" meter. The acceptable moisture limit for
concrete that is to be covered with a moisture sensitive finish (wood, carpet, VCT, etc.) is a
maximum of 4.5 pounds per thousand square feet per 24 hours using the Calcium Chloride Test
or a maximum of 4.5 on the concrete moisture encounter meter.

If the the moisture content exceeds the maximum moisture level required by the flooring
manufacturer, the floor must be dried and/or sealed. Even if sealing is the desired option, the
contractor must still remove the moisture that exceeds allowable levels required by the sealing
manufacturer.

Moisture is removed most quickly with the right combination of air movement, temperature, and
humidity:

1. It is important to ensure adequate air circulation in all drying applications. As moisture

comes to the surface, air movement at the surface will carry it away and promote further
evaporation. Evaporation rates will triple with a 5 mph wind velocity and increase

37
 another 60 percent at 10 mph. A 20 mph, wind velocity at the surface of the drying
concrete will promote evaporation at a rate 8.5 times that of a dead air space.

2. Heat is another integral drying condition. Evaporation is accelerated as the air

temperature increases in, as well as above, the concrete. Heat mobilizes the water in
solid materials, allowing it to move to the surface and evaporate more readily. Most
often, forced air heating is used to heat the space above the concrete and, through
convection, heat the concrete. Good air circulation will also aid in convection. A common
mistake is to use direct-fired heaters to heat the space. Since moisture is a product of
combustion, and a direct-fired heater introduces the combustion product into the heated
air stream, the dew point temperature in the space is increased. This increase can be
counter-productive, causing condensation on the concrete surface or the ceiling above.

Radiant heat can be useful to raise the temperature of the concrete in small applications.
In Europe, small microwave heaters have also been used to spot dry concrete surfaces
by warming the material.

3. For significant drying, the dew point temperature above the surface must be low
enough for the water to migrate from the concrete into the drier air. In many instances,
displacing the moisture-laden air with drier, outside air will be very effective in lowering
the dew point temperature. In freezing temperatures, dew point temperatures are also
very low. For example, if the outside air is 30°F dry bulb and 70% RH, the dew point
temperature is just above 22°F.

Bringing in outside air can be effective if one or more of the following conditions exist:

a. The dew point temperature of the outside air is lower than the dew point
temperature of the air in the building and lower than the temperature of the
concrete.

b. The outside dry bulb air temperature is below 40°F and the outside air can be
heated.

c. A longer period of time is available for drying. Using outside air to dry concrete
becomes less effective when ambient dew point temperatures are very high
(above 50° F), if dry bulb temperatures are low and cannot be heated, or if air
flow and air circulation are limited.

When ambient conditions are not present for the effective use of ventilation, the moisture in the
space will have to be removed. Dehumidification equipment has been used to remove the
moisture from the air space. Desiccant dehumidifiers will return air to the space at a very low
dew point and a higher temperature. When combined with good air movement across the
concrete surface, this equipment can provide the right combination of circulation, heat, and dry
air needed for the fastest practical drying.

Through the process of drying the air above the concrete, the moisture is removed as a vapor,
not a liquid. Therefore, this technique will be effective at any dry bulb temperature, achieving
consistent results regardless of weather conditions. (This technology is used extensively and
very effectively in the water damage restoration industry.) Buildings of all types of construction
are completely dried with desiccant dehumidifiers after they have been flooded. These

38
machines will lower the dew point temperature in the building to a point where the moisture in
the walls and insulation migrates readily to the surrounding air.

Combinations of desiccant dehumidification and cooling equipment can be used to provide

temperature control for occupied buildings during the drying process.

In summary, the drying process includes four major components, listed below in order of
importance.

1. Lower the dew point temperature of the air above the concrete.

2. Promote rapid air movement across the surface.

3. Raise the temperature of the concrete.

4. Raise the temperature of the air around the concrete.

These components can be used alone or in combination.

Structural wood should have a moisture content of 15% or less, as determined by a wood
moisture meter, and no surface wetness prior to installation.

Pressure-treated wood is typically air-dryed and then treated, often arriving at the job site in a
"waterlogged" condition. To prevent this from happening, designers should specify that
pressure-treated wood be kiln dried after treatment and meet the 15% maximum moisture
content specified for untreated dimension lumber.

3.4 Water Intrusion During Construction Checklist

Design Component Requirement/

Element Criterion
Construction phase Keep water out Store materials to keep them dry
moisture control Remove any water or water-damaged
materials within 24 hours
Construction Construction Schedule installation of finish materials or
sequencing schedule other hygroscopic materials only after
moisture, including ambient humidity, can
be controlled
Exposed phase Preliminary site grading to stop
groundwater intrusion
Remove any water or water-damaged
materials within 24 hours
Partially enclosed Cover partially completed construction,
phase especially masonry, at night or when rain
threatens
Install no GWB or other hygroscopic
materials
Remove any water or water-damaged
materials within 24 hours

39
 Design Component Requirement/
Element Criterion
Dried-in phase Use only indirect-fired heaters to provide
heat
Avoid surface condensation by covering
materials
Use desiccant drying or other techniques to
reduce ambient humidity, especially for
GWB and concrete slabs
Make sure concrete slabs are cured or
sealed before installing GWB
Don't use building HVAC systems to aid
drying…ineffective and can produce other
problems
Moisture in building Masonry Compare and match dry-stored sample
materials GWB Max. 0.4% moisture content measured by
GWB moisture meter
Concrete Max. 4.5 reading by Calcium Chloride Test
Dry concrete using air circulation, heating,
and/or lower surface dewpoint temperature
by desiccant or mechanical refrigeration
dehumidification
Wood Max. 15% moisture content measured by
wood moisture meter

40
 Chapter 4

DESIGNING TO PREVENT WATER INTRUSION

Moisture, in liquid form as water, is the most common cause of mold growth in any facility.

4.1 Rainwater Intrusion

Rainwater intrusion through the building envelope…roofs, walls, windows, doors, etc…is the
greatest cause of mold growth in buildings. The designer, therefore, must take care these
elements are properly designed and detailed.

4.1.1 Roofs

For roofs, three great truisms hold:

1. All roofs will leak…it is just a matter of when. Pitched or high-sloped roofs
shed water better than flat or “low-slope” roofs (roofs with less than 3:12 slope)
simply because gravity always works and roof design and construction may not.
Roof slope should never be less than 1:50 (approximately 1/4” per foot) and the
slope must be uniform to prevent ponding. A roof slope of at least 3:12 is highly
recommended and low slope roofs should be used only after careful
consideration and owner approval.

High slope roofs (with pitch greater than 3:12) have the advantage of shedding
rainwater and reducing the potential of roof leaks into buildings since the roof
doesn't actually have to be a water barrier. However, the attics they create
increase the potential of infiltration and, unlike low slope roofs, the roof
membrane itself does not form a vapor barrier. Therefore, the designer must
address these elements, including careful consideration of the soffit and
wall/soffit intersection, particularly if the roof is ventilated (which is not
recommended in hot, humid climates).

2. Keep the number of roof penetrations to a minimum…each is a potential

source for leaks. Where possible, group plumbing vents. Avoid designs that
incorporate rooftop fans, HVAC equipment, etc., since this tends to impose
additional stresses on the roof and generates serious roof penetration conditions.

3. Any joint between the different roof planes or between any roof plane and a
vertical wall plane creates a potential leak and very special care must be taken to
minimize that potential.

The primary reference for roof design for public facilities is the Roofing Criteria published
by the State Construction Office. Other important references that the designer should
review include ASTM Manual 18, Moisture Control in Buildings and the NCRA Roofing
and Waterproofing Manual. Roofs for metal buildings and architectural sloped metal
roofs should be designed in accordance with the latest edition of Structural

41
Considerations for Metal Roofing, U.S. Army Corps of Engineers, Technical Instructions
TI-809-29.

Roof Slope: When low slope roofs must be used, the slope must be formed by the roof
structure, not by tapering roof insulation. Level valleys must be eliminated with crickets
of tapered insulation.

Adhere the top layer of insulation with appropriate adhesive when installed under a loose
laid single-ply membrane.

Create a sump in the insulation at each drain.

And, no matter what the roof slope, crickets must be used on all curbs and penetrations
to smoothly direct water flow around obstructions.

Ponding is defined as standing water on roofs for more than 24 hours and is the frequent
source of leaks and the cause of premature failure of low slope roof systems. Roof
system manufacturers recognize the seriousness of this common problem and generally
exclude leaks or failure caused by ponding water from their warranties.

Ponding is not acceptable and the designer, through design details, specification, and
inspection during the construction period must avoid this condition.

Rooftop Equipment: If the installation of rooftop equipment can not be eliminated, then
the following criteria must apply.

Consider locating the equipment inside penthouses. If equipment is located outside on

the roof, a platform or continuous roof curb is required.

1. Platforms should be structural steel frames above the roof surface. Pipe
columns through the deck to the structural frame are the simplest to flash.
Clearance below the equipment should be sufficient to allow for roofing service
and repairs. Structural roof penetrations must be sealed, flashed, and counter-
flashed to prevent water intrusion.

2. Cubs must be full perimeter type, designed for the type of roof. Curbs must
extend a minimum of 8” above the roof surface or above the height of any
emergency overflow pipe or scupper, whichever is higher. Curbs must be fully
flashed and have detachable secondary counter-flashing around all four sides.

Provide walkpads to and around any equipment requiring routine service or inspection.

Piping and ductwork routed across the roof must be supported from engineered roof rails
with the roof membrane extending up under a metal counter-flashing. Rails must extend
a minimum of 8” above the roof surface or above the height of any emergency overflow
pipe or scupper, whichever is higher.

Vapor Retarders: Again, all low slope roofs must be designed to stop water from
entering the building by forming a water barrier. But, since all roofs fail, the roof design
must also provide for drying toward the interior of the building. For low slope roofs, this
means that careful analysis of the need for a vapor retarder and selection of the type of
deck (solid or perforated) is required.

42
A vapor retarder is a low slope roof component designed to restrict migration of water
vapor molecules from areas of high pressure to areas of low pressure. In a cold climate,
this vapor migration is in an upward direction. In a hot, humid climate, the vapor
migration is reversed and is in a downward direction, i.e, into the building.

For a material to qualify as a roof vapor retarder, its vapor permeance rating should not
exceed 0.1 perms. Materials qualify as vapor retarders include polyethylene film, PVC
(polyvinyl chloride) sheets, aluminum foil, coated kraft paper or laminated kraft paper with
bitumen filler, saturated felts (2-plies) with two or three asphalt moppings, and coated
base sheet with one or two asphalt moppings.

There are advantages to having a vapor retarder:

1. A vapor retarder can ensure the continual thermal resistance of insulation

sandwiched between the vapor barrier and built-up membrane.

2. A vapor retarder is a good safeguard against vapor migration if a building's

use changes from "dry" to a "wet" use. (Typically "dry" is defined as an interior
winter relative humidity under 20 percent, which almost never happens in hot,
humid climates, while "wet" is defined as an interior winter relative humidity over
45 percent, which is common in hot, humid climates.)

3. A vapor retarder is advisable over wet decks (poured gypsum and lightweight
insulating concrete) to prevent vapor flow upward into the insulation. For this
purpose, the vapor retarder should be a venting base sheet, with mineral granule
underside surfacing, mechanically fastened to the decks.

And, there are disadvantages:

1. The vapor retarder, together with a roofing membrane, inevitably seals trapped
moisture within the roof "sandwich", which can eventually destroy the insulation,
split or wrinkle the built-up membrane, or in gaseous form, blister it.

2. In the event of a roof leak through the membrane, the vapor retarder traps the
water below the insulation and releases it through punctures that may be some
lateral distance from the leak, making the leak difficult to locate. A large area of
insulation may be saturated before the punctured membrane can be repaired.

3. A vapor retarder is a disadvantage in summer, when vapor migration is

generally downward through the roof. Hot, humid air can infiltrate the roofing
sandwich through the vents, or by diffusion through the membrane. It may also
condense on the vapor retarder itself.

4. A vapor retarder may be the weakest horizontal shear plane in the roofing
sandwich. Failure at the vapor retarder-insulation interface can split the
membrane. The vapor retarder introduces an additional component where shear
resistance may be critical to the membrane integrity.

When should a vapor retarder be used?

43
The old school of thought was: "If in doubt, include a vapor retarder." However, modern
policy is: "If in doubt, omit the vapor retarder." ASTM Manual 18, Moisture Control in
Buildings, recommends, based on research by the Army’s Civil Engineering Research
Laboratories, consideration of a vapor retarder on any roof in North Carolina where the
indoor winter relative humidity at 68°F exceeds approximately 60% RH (ranging from
55% RH in the western counties to 70% RH in the extreme southeastern counties). At
72°F indoor temperature, a more typical winter condition, this criteria is equivalent to a
70% RH. Facilities with such high indoor winter humidity levels may include some
research facilities, laundries, cafeteria/kitchens, natatoriums, athletic facilities, “process”
plants, dorm shower areas, etc. But, in general, our goal is maintain indoor humidity
60% RH or lower and this criterion is almost never met.

When a vapor retarder is not needed, it should not be used since it is expensive and,
more importantly, will allow “cancers” of wet insulation to grow within a compact roof
system having membrane or flashing flaws. Flawed roofs without vapor retarders tend to
leak water into the building sooner, which often reduces the lateral extent of wet
insulation. And, typically, little guidance is provided to designers as to how to seal vapor
retarders at flashings and penetrations. If a vapor retarder is required, the designer must
research and carefully detail these conditions.

Research shows that roofing insulation, once wet, takes a year or more to dry if there is
no vapor retarder. This insulation never dries if there is a vapor retarder to trap the
moisture.

If roofing insulation gets wet, and if it is the type of insulation whose thermal performance
degrades with moisture content (fiberglass, mineral wool, etc.), conditions are such that
condensation in or on the bottom of the roof can occur. This will allow both mold growth
and condensation that can drip onto ceiling structure, tiles, ducts, and pipes below to
contribute to mold growth there.

To limit this condition, two roofing design criteria should be applied to low slope roofs:

1. Use only insulation materials that do not absorb water or whose thermal
performance does not degrade as a function of moisture content (such as cellular
glass or polyisocyanurate).

2. Do not use a vapor retarder unless it is clearly needed as indicated by a

dewpoint temperature analysis (or the new moisture control strategy developed at
Oak Ridge National Laboratory www.ornl.gov/sci/
roofs+walls/articles/wetroof/wetroof02.html).

Other vapor retarder design considerations should be incorporated:

1. A built-up roof application does not require a vapor retarder, as the roof
membrane serves a dual function as water barrier and vapor barrier.

2. If a single-ply roof application requires a vapor retarder, it should be located

between the insulation and membrane. If a single-ply roof application is installed
over an existing built-up roof, a vapor retarder is not required, as the existing
built-up roof will serve as the vapor retarder.

44
Blocking: Roofs and flashings normally require "blocking" for vertical and/or horizontal
alignment or for close off. Typically, the blocking specified is treated wood. Alkaline
copper quat (ACQ-D) and copper azole (CA-B) are the two primary preservatives that
replaced chromated copper arsenate (CCA) in pressure-treated wood products. Recent
research shows that these new preservatives are 2-5 times more corrosive to galvanized
steel fasteners, because of their high concentrations of copper, due to galvanic reaction.
Highly galvanized (G-185) hot-dipped fasteners and connectors should be used to
prevent premature connector failures that result in roof leaks.

Flashing: Flashing design should comply with Architectural Sheet Metal Manual, Fifth
Edition, Sheet Metal and Air Conditioning Contractors National Association (SMACNA).
The minimum ASTM recommendations for flashing metals are as follows:
Copper: ASTM B 370, temper H00 (cold rolled), 20 oz when not fully supported.
All joints are formed mechanical joints or are soldered.
Lead-Coated Copper: 16 and 20 oz copper as stated above with minimum 1.92-
oz lead coating (total weight of lead on both sides). SMACNA recommends 3.2
oz of lead coating in industrial applications and in polluted urban environments;
this recommendation would likely apply to work immediately adjacent to
chimneys, flues, fume hood exhausts, and other localized polluted environments.
Sheet Aluminum: ASTM B 209; alloy 3003, temper H14. For highly visible work
such as fascias, 0.050 in. is minimum with 0.063 in. preferred. For concealed
work, 0.040 in. is minimum with 0.050 in. preferred. Since aluminum cannot be
soldered, other methods of seaming and jointing must be used. Most commonly,
lapped joints with back sealing is specified. But, this type of joint may not offer
long-term protection against weather, particularly if poorly installed. Mechanically
formed joints, designed to allow for thermal movement, but be watertight, are
much preferred.
Sheet Lead: ASTM B 749, type L51121, minimum 4 lb/ft2 (0.0625-in. thick). All
joints must be soldered.
Flexible Sheet Membrane: 60 mil in thickness complying with the following:
Shore A Hardness: ASTM D 2240, 50 to 70
Tensile Strength: ASTM D 412, 1200 psi
Tear Resistance: ASTM D 624 Die C, 20 lb per linear in.
Ultimate Elongation: ASTM D 412, 250%
Low Temperature Brittleness:ASTM D 746, -30 °F
Resistance to Ozone Aging: ASTM D 1149
Resistance to Heat Aging: ASTM D 573
All joints must be lapped and fusion-welded.
Galvanized steel flashing, unless hot-dipped galvanized after fabrication, should
not be used in hot, humid climates because of problems with corrosion
(especially with treated wood blocking or near salt water) and painting.

Roof Drainage: For low slope roofs, an interior roof drainage system, in accordance
with the North Carolina Building Code and the North Carolina Plumbing Code, is

45
required. Typical practice is to utilize 6" pipe size roof drains and leaders, providing a
roof drain for approximately every 7,500 sf of roof area. However, for hot, humid climate
regions, the coverage of a single 6" drain should not exceed 7,000 sf. Roof drains must
be located in the center of the roof's structural "grid" since, due to natural structural
deflection, this will always be the "low point" for drainage.

Note that the North Carolina Plumbing Code requires secondary (emergency) roof drains
if the roof perimeter construction is such that water can pond on the roof if a primary
drain becomes clogged. However, the use of roof scuppers as emergency drains is not
recommended. Scuppers dump collected rainwater onto exterior walls and the ground
adjacent to the building, setting up the potential for water intrusion into the building.

Since collected rainwater may be at a temperature below the indoor ambient dewpoint
temperature, insulation is required to avoid surface condensation and potential mold
conditions. The underside of the drain body and the roof drainage piping between the
roof drain and the vertical leader (and including the turned-down ell at the vertical leader)
should be insulated with a 2" of cellular glass insulation with a vapor barrier jacket.

For high slope roofs, an exterior gutter and downspout system, in accordance with
Chapter 11 of the North Carolina Plumbing Code is required, and must be designed for
at least 1% slope. Internal or roof-recessed gutters shall not be used.

For both interior and exterior roof drainage systems, all collected rainwater must be
piped and connected to the site drainage system so that it is conveyed away from the
building.

4.1.2 Walls

The wall is the next greatest source of rainwater intrusion.

Rain is a particularly severe mechanism of moisture transport in hot, humid climates.

When rain wets the exterior of a building, the exterior surfaces typically absorb the
rainwater. Masonry cladding, in particular, is a powerful rainwater "sponge". Recall that
moisture flow is from warm to cold. When wet masonry is warmed by the sun, a
significant temperature differential (and resulting vapor pressure difference) is created.
The sun serves to "drive" rainwater into a building envelope. If the interior space is also
cooled, the air temperature and humidity difference serves to "suck" the rain water
inward.

The effect of incident solar radiation on a rain-saturated cladding is dramatic. Consider

that a brick veneer or stucco coating can be readily warmed by the sun to well above
120°F. The air contained in an airspace behind a brick veneer can be similarly warmed
and can be considered to be at saturated conditions (vapor pressure of 11.74 kPa). This
results in an increase of almost 500 percent in the effective exterior vapor pressure (as
shown in the following figure). Solar radiation is a powerful force that drives moisture in
rain-saturated cladding inwards. This force can be ten times greater than the vapor
diffusion driving moisture outwards under the most hostile conditions experienced in
heating climates.

46
Exterior landscaping sprinklers can exacerbate problems by wetting exterior claddings
on a regular basis. Sprinkler systems must be carefully designed to prevent over-spray
onto building walls, even on windy days.

The fundamental concept in rainwater control is to shed water by layering materials in

such a way that water is directed downward and out of the building. Gravity is the
driving force behind water drainage. The “down” direction harnesses the force of gravity
and the “out” direction gets the water away from the building. In general, the sooner the
water is directed out, the better.

There are two fundamental approaches to wall design, as for roofs. The first approach is
to make the wall a “perfect barrier” wall, designed to prevent the intrusion of moisture
beyond the exterior finish. EFIS, originally, was an attempt at a perfect barrier wall, with
the synthetic stucco acting as the surface water barrier. In practice, building design and
construction is simply not perfect…a condition required if the wall is truly to act as a
perfect rain barrier. Thus, each wall design must be based on the assumption that water
can penetrate the exterior finish or cladding and enter the wall.

Every wall, therefore, must have a rain or water barrier immediately behind the exterior
cladding and be installed in such as way as to allow water to drain to the exterior of the
building. For masonry veneer walls (with stud or masonry backing), a cavity or “drainage
plane”, with proper through-wall flashing and drain or “weep” holes, is always necessary.

Water that penetrates through to the inner masonry surface, then, will fall by gravity
down the drainage cavity and drain to the outside.

A water barrier must be applied to the outside surface of the backing wall to ensure that
wind-driven rainwater does not penetrate the inner wythe of the wall.

The following figure illustrates a typical brick-and-block veneer wall installation with
cavity drainage:

47
Stucco exterior finish, with traditional masonry stucco or the synthetic stucco used in
EFIS, must also have a drainage cavity to the exterior of the water barrier, as shown in
the following figure:

Water barriers (often referred to as "weather barriers") are building materials that
prevent liquid water from penetrating to the underlying substrate material, i.e., to a
greater or lesser extent they shed water. Sheet materials (paper-based barriers, felt-
based barriers, and polymeric-based barriers) are rated in terms of grades A through D
in accordance with the following table:

Minimum Water
Grade Resistance (Hours)
A 24
B 16
C 8
D 1/6 (10 minutes)

48
"Building paper" or "felt" typically falls within the Grade D category, with a water
resistance rating of only 10-60 minutes when dry. When wet, it has little or no water
resistance at all. Designers should always select Grade A or B water barriers for
masonry cavity walls. Grade C may be used behind shedding-type cladding materials.
(The minimum requirements defined by Section 1204.2 of the North Carolina Building
Code are inadequate in hot, humid climates, especially for masonry cavity walls.)

Liquid coatings, particularly bitumen-based products, form very good water barriers. The
water resistance properties of bitumen depend upon the degree of impermeability and
water absorption inherent in specific bitumen-based product. But, typically, even a very
thin layer (1/64 inch) in a continuous film provides an excellent water barrier. In practical
applications the degree of impermeability will be affected by the nature of the filling
materials and the continuity of the bituminous coating. To ensure proper water
resistance performance, fabrics or felts should be used to build up a membrane to
provide and maintain continuous waterproofing films.

For stud-framed walls, sheathing materials should be selected to enhance the water
barrier function. Treated plywood, expanded polystyrene, etc., with tongue-and-groove
or taped butt joints can provide an acceptable water barrier.

Masonry Cladding: Brick, concrete, and stone masonry cavity walls are more common
with buildings having mold problems than other types of exterior finish.

With brick, the most common masonry cladding, the best design and detailing combined
with the best quality materials will not compensate for poor construction practices and
workmanship. Proper construction practices, including preparation of materials and
workmanship, are essential in attaining a water-resistant brick masonry wall. Therefore,
specific construction procedures, recommended by the Brick Industry Association (BIA),
must be specified by the designer and followed by the contractor to ensure quality
masonry construction and avoid water problems:

Storage of Materials: All materials at the jobsite should be properly stored to

avoid water contamination and/or corrosion. If possible, materials should be
stored inside an enclosure. When stored outside, all masonry units, mortar
materials, ties and reinforcing should be stored on platforms, preferably in a high,
dry location. In addition, all materials should be covered to protect them from the
elements.

Mixing of Mortar and Grout: A high water content in the mortar is necessary to
obtain complete and strong bond between mortar and brick units. Therefore, the
mortar should be mixed with the maximum amount of water that it is possible to
use and still produce a workable mortar. It is recommended that all cementitious
materials and aggregates be mixed for at least 3 min and not more than 5 min in
a mechanical batch mixer. If, after initial mixing, the mortar stiffens due to the
loss of water by evaporation, additional water can be added and the mortar
remixed. All mortar and grout should be used within 2-1/2 hr of initial mixing and
no mortar or grout should be used after it has begun to set.

One of the most common problems with mortar is oversanding. Oversanded

mortar is harsh, unworkable and leads to a weak bond between mortar and brick,

49
thus inviting water penetration problems. The cause of the oversanding is
frequently due to the use of the shovel method of measuring the sand. The
amount of sand that a shovel will hold varies, depending on the moisture content
of the sand, the person doing the shoveling and the different size of shovels used
on the jobsite. To alleviate this problem, proper batching methods must be used.
Measurement of sand by shovel should not be permitted.

Brick Units: Brick with suction greater than 30 gm/min/30 sq. in tend to draw
more moisture from the mortar during bonding. As a result, construction
practices should be altered to achieve strong, watertight masonry. A rough, but
effective, test for determining whether construction needs adjusting consists of
drawing, with a wax pencil, a circle 1 in. in diameter on the surface of the unit
which will be in contact with the mortar, using a quarter as a guide. With a
medicine dropper, place 20 drops of water inside this circle and measure the time
required for the water to be absorbed. If the time exceeds 1-1/2 minutes, the unit
does not need special handling; if less than 1-1/2 minutes, adjustments to typical
construction practice is recommended.

The traditional approach is to wet the units prior to laying to reduce their initial
rate of absorption to an acceptable level to achieve proper bond of mortar to
brick. The method of wetting is very important. Sprinkling or dipping the brick in
a bucket of water just before laying may not be sufficient. The units should be
nominally saturated, but surface dry at the time of laying.

A satisfactory procedure for wetting the brick consists of letting water run on the
pile or pallets of brick. This should be done the previous day, or not later than
several hours before the units will be used so that the surfaces have an
opportunity to dry before the brick are laid. Wetting of low-absorption brick units
or excessive wetting of other brick units may result in saturation and can cause
"bleeding" of the mortar joints and "floating" of the brick units. When the interior
and exterior wythes of brick have widely different absorption rates, such as with
an extremely dense and hard-burned facing brick backed up with a relatively
porous building brick, it is important to maintain the correct water content in the
two types of brick.

The use of admixtures designed to increase mortar retentivity is one alternative

to wetting. Only admixtures with test data showing no deleterious effects should
be used. Another choice is to mix the mortar with the maximum amount of water
to achieve a high flow mix consistent with good construction practice.

Filling Mortar Joints: To obtain good masonry construction, there is no substitute

for the complete filling of all mortar joints. Partially filled mortar joints result in
leaky walls, reduce wall strength, and may contribute to disintegration and
cracking due to water penetration and subsequent freezing and thawing.
Therefore, all joints to receive mortar should be completely filled as the brick are
laid. Spread a uniform bed of mortar over only a few brick. Furrow only lightly, if
at all. Place plenty of mortar on the end of the brick to be placed. Brick is then
shoved into place so that mortar is squeezed out of top of head joint. After
placing, mortar squeezed out of bed joint is cut off to prevent staining the wall.

50
When placing closures, place plenty of mortar on ends of brick in place and on
ends of brick to be placed. Shove closure into place without disturbing brick on
either side.

Collar Joints: The vertical, longitudinal joint between wythes of masonry is called
a collar joint. The manner in which these joints are filled is very important.
Grouting is the most effective method of ensuring that collar joints are completely
filled. However, grouting spaces less than ¾ in. is not recommended. In these
instances, the face of the inner masonry wythe should be parged and the back of
brick in the exterior wythe buttered in order to fill the collar joint.

"Slushing" of collar joints, “throwing” mortar into the cavity with the edge of a
trowel, is not effective since it is difficult to completely fill all voids in the joints.
Frequently, the mortar is caught and held before it reaches the bottom of the
narrow crevice, leaving openings between the face brick and the backup units.
Even when this space is filled, there is no way to compact the mortar. The
mortar does not bond with the brick over its entire surface. Channels are left
between the mortar and the brick, through which water can trickle down behind
the face brick until it finds a path along which it can travel to reach the back of the
wall. A properly constructed collar joint is completely filled with grout or mortar.
Slushing does not completely fill the space between the face brick and the back-
up work.

Parging: Parging (pargeting) is the process of applying a coat of cement mortar

to masonry. Since the cement slows the transfer of moisture, parging the
backside of the exterior wythe is not recommended for drainage type walls. It
may inhibit the drainage of water, keeping the brick in a saturated condition for
longer periods of time; or fall into the cavity during application causing blockage
of weep holes. Parging the back side of the exterior wythe may also disturb
newly laid masonry, breaking the initial bond between brick and mortar and
resulting in increased water penetration of the brick wythe.

Parging the outside face of the inner wythe of masonry cavity walls may provide
benefits. It can reduce air leakage and provide a smooth surface for water-
repellent coatings or membranes, If parging alone is to resist water penetration,
proper curing is necessary to reduce shrinkage cracks.

Bed Joints: A bed joint is the horizontal layer of mortar on which a masonry unit
is laid. Bed joints should be constructed without deep furrowing of the mortar, as
full bed joints are an inherent requirement for water-resistant brick masonry
construction. The length of time between the placing of the mortar on the bed
joint and the laying of the succeeding brick units has an influence on the resulting
bond. If too long a time elapses, poor bond will result. Brick units should be laid
within 1 minute or so after the mortar is placed.

Head Joints: A head joint, sometimes called a cross joint, is the vertical mortar
joint between ends of masonry units. As with bed joints, it is important that head
joints also be completely filled. The best head joints are formed by completely
buttering the ends of the brick with mortar and shoving the brick into place
against previously laid brick. "Slushing" of the interior headspace between
individual brick in a course of brick is not effective.

51
Keeping Air Spaces Clean: In a drainage wall system, such as a cavity wall or
an anchored veneer wall, it is essential that the air space between the wythes be
kept clean. If it is not, and mortar droppings and protrusions span the air space
or clog the weep holes, water penetration to the interior can occur. In cavity wall
construction, mortar droppings should not be permitted to fall into the cavity. An
aid in preventing this is to bevel the bed joint away from the cavity, since brick
laid on a beveled bed joint result in only a minimum of mortar being squeezed out
of the joint.

An effective approach, also, is to install a mortar mesh, in the cavity about 8"
above the top of the through flashing (see below). Any loose mortar falling in the
cavity is trapped by the mesh before it can block webs of dam-up the flashing.

Flashing: The proper detailing and installation of flashing is critical. A masonry

wall’s longevity can be drastically compromised if standard methods and
procedures are not applied. Lack of flashing or the use of unconventional flashing
methods can produce detrimental results, such as: efflorescence, mortar
deterioration, masonry spalding, excessive wall movement and, most importantly,
interior moisture damage.

After a complete examination of the wall system, a designer must consider

flashing in five common areas, as follows:

1. Above wall openings.

2. Below wall openings. (window sills, etc)

3. On shelf angles.

4. At the wall base, or where the wall structure rests upon the foundation.

5. At the top of the wall / parapet.

There are two common flashing failures:

1. For step flashing, failure to form an end dam essentially destroys the
effectiveness of the flashing.

2. Through-wall flashing must be truly "though-wall" and should extend

through the outer masonry cladding for at least 1/2" and be turned down
with a 45° drip lip.

Disturbance of Newly Laid Masonry: Newly laid masonry units should never be
pushed, shoved, tapped or otherwise disturbed once they are laid in their final
position and the mortar has begun to set. Any disturbance at this point will break
the bond and may lead to a leak. If adjustments are necessary, the incorrectly
placed unit should be completely removed and re-laid in fresh mortar.

Tooling of Mortar Joints: Weathertightness and textural effect are the basic
considerations for mortar joint finish selection and execution. Proper "striking" or

52
 "tooling" of the joints helps the mortar and brick units bond together and seals the
wall surface against moisture penetration. Mortar joints should be tooled when
they are “thumbprint” hard, (that is, pressing the thumb into the mortar leaves an
indentation, but no moisture is transferred to the thumb.) It is important that joints
are tooled at the appropriate time as this affects both their effectiveness and
appearance. Joints that are tooled too early often smear and result in rough
joints, while the surface of joints that re too dry crumbles when tooled. Each
portion of the completed brickwork should be allowed to set for the same amount
of time before tooling in order to ensure uniform mortar shade. Early tooling often
results in joints of a lighter color. Tooling of the mortar joints resulting darker
shades as the mortar hardens.

Only the concave, V, and compacted grapevine joints are recommended for
exterior use. Concave or V joints have the best weather resistance and,
therefore, are recommended.

Compression of the mortar produces a more dense mortar at the surface, and
the most weathertight joint, as the mortar is pressed against the brick. When
mortar becomes thumbprint hard, tool with steel jointer slightly larger than the
mortar joint.

Covering Tops of Walls: Proper covering of masonry walls each night, and
especially in time of inclement weather, is essential for satisfactory performance.
Covering of unfinished walls with tarpaulins or other water-resistant material,
securely tied or weighted in position, should be rigorously enforced. Mortar
boards, scaffold planks and light plastic sheets weighted with brick should not be
accepted as suitable cover. Metal clamps, similar to bicycle clips, are
commercially available in a variety of sizes to meet various wall thickness.
These are used in conjunction with plastic sheets or water-repellent tarpaulin
material and offer excellent protection for extended periods of time. In many
cases, after the mason finishes his portion of the work, tops of walls are left for
several weeks or even months with inadequate or ineffective protective coverings
prior to the attachment of permanent coping or cap. Metal clamps with proper
covering materials should remain in place until permanent coping or parapet cap
is installed.

"Rain Screen" Masonry Walls: One highly recommended way to provide better
moisture penetration resistance for exterior masonry cladding is the use of the “rain
screen principle” described in the BIA Technical Notes 27 (August 1994). This concept
introduces air into the cavity of conventional drainage type walls to provide pressure
equalization so that the cavity works in resisting wind-driven moisture penetration. (A
technique than can be used with any type of exterior cladding.)

The critical features of the rain screen principle are:

1. An exterior barrier (rain screen) containing protected openings that permit the
passage of air but not water.

2. A confined cavity behind the rain screen in which air pressure is essentially the
same as the external air pressure.

53
 3. Insulation fixed to the outer face of the interior wall system, if provided in
design.

4. An interior barrier (wall) which substantially limits the passage of air and water
vapor and is capable of withstanding all required design loads (e.g. wind and
earthquake forces).

Drainage wall types, such as anchored brick veneers and cavity walls, which provide a
space for drainage of moisture that has penetrated the exterior wythe, are often
confused with rain screen walls.

The term “pressure equalized rain screen wall” should be used in lieu of simply "rain
screen" to emphasizes the difference with the more common drainage type wall. The
pressure equalization in the cavity behind the exterior wythe is the major difference
between a rain screen wall and a drainage wall. A pressure equalized rain screen wall
provides the best means of resisting water penetration, and, as such, it should be used
on projects located in areas which receive high volumes of wind-driven rain and when
resistance to water penetration is of prime concern (i.e., in hot, humid climates).

A rain screen wall is composed of two layers of materials separated by a cavity as

shown in the following figure:

The exterior cladding most commonly used for this type of wall is a brick or masonry,
though the concept can be applied to any cavity wall system. The interior wall or inner
layer can be either the backing of an anchored brick veneer wall or the inner wythe of a
cavity wall. When wind loads are imposed on the wall assembly, a pressure difference
between the exterior wythe and the cavity space is created. This pressure difference
forces water on the surface of the exterior cladding to penetrate any openings through
the wall. If the exterior cladding has sufficient openings to permit air to flow to the cavity

54
behind the cladding, the pressure in the cavity increases until it equals the pressure
resulting from the wind load being applied. This is the phenomenon of pressure
equalization design. To affect this air pressure transfer, the inner layer of the wall
assembly must be airtight. This is achieved by applying an air retarder at some location
on the backing or inner wythe. The air barrier seal at this location should last longer
because it is not exposed to the exterior elements. Since the interior wall will be airtight,
stack effect and mechanical ventilation generated inside the building are effectively
controlled. Rain penetration through the exterior cladding should be reduced as the
pressure difference on the exterior cladding that drives rain into the cavity is reduced.
The resultant wind load will be imposed on the air barrier and interior wall.

Clear Water-Repellent Coatings for Masonry Cladding: Clear water-repellent

coatings are sometimes specified to reduce water absorption and reduce the amount of
water that penetrates the exterior brick masonry wythe of walls. Research indicates the
varied effectiveness of clear water repellents in reducing water leakage through a brick
masonry wythe. Change in the absorption properties of masonry may have no effect on
water penetration of a masonry wall system. Clear water repellents can seldom stop
water penetration through cracks over 0.02 in. in size. Clear water repellents cannot stop
water penetration through incompletely filled mortar joints or from sources such as
ineffective sills, caps or copings. Their effectiveness under conditions of wind-driven rain
is questionable. As a result, the use of clear water repellent coatings to eliminate water
penetration in a wall with existing defects is often futile. Clear water repellents are most
effective at reducing the amount of water absorbed by the brick masonry. Thus, they can
help reduce staining and efflorescence caused by moisture absorption, particularly on
highly absorptive masonry.

Clear water repellents are sometimes specified for newly constructed brick masonry as
an "insurance measure" against water penetration and related problems. The thinking is
that clear water repellents will prevent water penetration that would have otherwise
occurred due to imperfections in construction. Such thinking should be discouraged,
because clear water repellents cannot compensate for poor construction or design. As
discussed, their effectiveness in stopping water penetration has limitations. Furthermore,
most brick masonry wall systems do not require a clear water repellent to remain
impervious to rainwater. For these reasons, the use of clear water repellents on newly
constructed drainage walls is not recommended.

The most common reason for application of a clear water-repellent coating is to reduce
or eliminate water penetration in a building experiencing water penetration problems,
particularly if these problems are due to excess moisture absorption by the masonry
exterior wythe (most commonly with blowing rain).

When a clear water repellent is being considered as a means to eliminate water

penetration in a brick masonry wall, several items must be addressed prior to application
of a coating. First, the source of water penetration must be determined. The application
of a clear water repellent in lieu of ascertainable repairs is not recommended. Common
repairs that may be necessary and should be completed before considering a clear
water repellent include:

1. Removal of defective sealant and cleaning, priming and replacement with a

good grade of elastomeric sealant at all windows, copings, sills, expansion joints
between brick masonry and other materials;

55
 2. Repointing of incompletely filled, cracked or disintegrated mortar joints;

3. Removal and replacement of spalded or cracked brick;

4. Surface grouting of separations between the brick units and mortar.

5. Clearing mortar blockage from weep holes and the interior drainage system;

6. Removal and replacement of damaged, omitted or improperly installed

flashing.

Clear water repellents are never a permanent solution and will require reapplication
every 3-5 years.

Steel panels, using pre-finished single thickness formed sections, have successfully
applied over existing masonry walls that were performing poorly, Panels are installed on
hat channels and serve as rain barriers to eliminate the direct impingement of blowing
rain onto the masonry. This approach can be a low coast, though limited life, solution to
leaky masonry wall problems.

Opaque Masonry Wall Coatings for Masonry Cladding: Another short-term (5-10
year) solution to deteriorating or poorly designed or construction masonry walls is to
apply an "elastomeric acrylic or silicone masonry coating". These opaque coatings, with
an applied thickness of 8-12 mils (about 50-100 sq. feet/gallon), are applied by rolling or
spraying to form a flexible, textured or smooth finish.

Elastomeric wall coatings are formulated to stretch and bridge cracks (assuming proper
crack preparation and sealing) that may form due to movement. When the wall contracts
as temperatures drop and the cracks expand, the elastomeric wall coating stretches and
resists cracking itself. When the temperature rises and the cracks become smaller, the
coating returns to its original shape without wrinkling or leaving ridges. This crack
bridging capability results in a long lasting, uniform finish.

To achieve the balance of properties required to make a top quality elastomeric wall
coating, manufacturers use acrylic binders that are designed specifically for this use.
Using these acrylic binders provides the coating with a high degree of flexibility and
elasticity, while exhibiting appropriate tensile strength, and superior alkali resistance and
dirt resistance, which are important considerations. Elastomeric wall coatings cure to a
smooth, non tacky, high dirt resistant finish which will resist cracking and wrinkling.

Good surface preparation is critical for a good coating. With masonry, certain aspects
need special attention, such as alkalinity, porosity, and the tendency to form
efflorescence. The Paint Quality Institute (PQI) advises that one must be certain that the
masonry substrate is clean and sound, so that the coating can adhere properly to the
surface. This requires water blasting or sand blasting to remove any dust, dirt, flaking
paint, or other loose material. If the surface was previously painted, mildew or mold may
be present. These contaminants should be removed with a common bleach solution
(three parts water to one part household bleach). In all cases, after performing any
surface preparation procedures, the surface should be rinsed well with clean water.

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Once the surface is clean, cracks greater than 1/16 inch should be sealed with a top
quality water based acrylic or silicon-acrylic caulk or sealant. Furthermore, if the surface
remains somewhat chalky or is porous, a water- or solvent-based masonry sealer must
be applied before applying coating. If the surface tends to form efflorescence, or is new
and highly alkaline, a masonry sealer or primer is required to protect the textured coating
elastomeric topcoat.

New, cast masonry surfaces, including tilt-up construction, must be thoroughly cleaned.
Often forms used for casting masonry are coated with a release agent to keep the
concrete from sticking to the form. The release agent may be oily in nature, and thus
interfere with the adhesion of the coating, resulting in a non-uniform appearance, or
even gross adhesion failure. To ensure that the surface is completely free of form
release agents, power washing, followed by a through rinsing, is recommended.

Textured coating elastomeric wall coatings will perform well only when applied in thick
films. PQI suggests that the manufacturer's application rates be followed in regards to
film in order to provide the best crack bridging capability. The typical application
procedure is to use either an airless spray followed by back rolling, or a long nap roller.
A 1-1/2" to 4" brush works well for smaller areas.

Properly formulated coating elastomeric wall coatings have a satin finish. They can
generally be tinted and while white is most popular, soft pastels and subtle earth tones
are often chosen as decorative options.

Ideally, once a textured or smooth coating elastomeric coating is applied, it should be

allowed to weather for at least one year before a non-elastomeric coating is applied over
it. Even then, surfaces with coating elastomeric coatings should be repainted only with a
water-based topcoat, since oil-based coatings are much less flexible, and can crack
severely if applied over the elastomeric coating.

Another, somewhat maligned, product that can be successfully applied to masonry walls
is EFIS to seal them. In fact, EFIS was originally developed in Europe specifically to be
used on masonry construction. (It was only after being widely, and poorly, applied to
wood frame construction in the United States that the water problems with EFIS became
evident.)

Drainage plane EFIS, properly applied over masonry, can be a permanent (30 year)
solution to wall moisture intrusion problems. However, the designer must take care to
ensure the following potential problem areas are addressed:

1. Ensure that existing caulking and flashing is properly installed or, if not, is
properly repaired.

2. Detail all EFIS intersections…roof overhangs, windows and doors, grade

level, etc.

3. Ensure that the installer is licensed and trained by the EFIS manufacturer and
that he uses only that manufacturer's products and installs them properly.

Wood Cladding: Wood-based siding (lapped wood siding, plywood siding, and wood-
composite siding) is expected to shed water, but it is usually not expected to act as a

57
perfect barrier. Individual pieces of siding in good condition resist water penetration, but
water can potentially enter between pieces, where siding meets trim or window or door
casing, at penetrations through walls, and at intersections of walls with roofs and decks.
In addition, when horizontal lap or shingle siding is exposed to rain, water can be
expected to rise up the back of siding as a result of capillary flow and wind-driven rain.
Water that is absorbed into siding or that wets the back of siding through capillary rise or
minor leaks will eventually evaporate. However, evaporation is not immediate—the
siding will retain the water temporarily. A continuous water-resistant material such as
building felt or synthetic fiber membrane is required as a secondary barrier to prevent
liquid water that gets past the siding from moving further into the wall; the water stays on
the barrier material until it evaporates or drains off. Water drainage can occur at the laps
of horizontal lap siding. It can also occur if “weepage” paths are designed into the siding
system. Finally, water can drain off the secondary barrier to the base of the wall,
especially if the siding is installed over furring strips or a synthetic drainage mat.

The performance of film-forming finishes such as paint on wood is influenced by the

moisture content of the wood. Water absorption through the end grain is a common
cause of finish failure. Sealing the end grain with a water repellent is a proven method of
extending the service life of a film-forming finish. Sealing joints with caulk can also limit
water absorption and thereby improve performance of the paint. This strategy depends
on the caulk seal remaining intact, in part because caulk can slow drying. If a leak
occurs at a failed caulk seal, the caulk then retards drying. Therefore, when caulk seals
are used to protect siding, trim, or casing from water absorption, they must be installed
carefully (and maintained properly).

The interface of wood-based siding with window or door (fenestration) casings is a

potential entry point for water. This is particularly true at window and door heads. Head
casing should slope to the exterior, extend beyond the siding and fenestration unit, and
have a drip edge. In lap siding installations (horizontal lap and shingle), incorporation of
metal head flashing, which is integrated shingle-fashion with the secondary barrier, is a
common and often effective method. Metal head flashing should not be caulked. Any
failure between the caulk and the siding above will serve as a water entry point, and the
caulk will then serve as a dam, preventing water drainage. The dammed water may then
spill off the ends of the head flashing, along (and perhaps behind) the vertical casing.
Improperly detailed or nonfunctioning head flashing can result in substantial water
leakage. Window units themselves may leak water and are sometimes designed to
accommodate leakage. These “draining” windows must be installed to allow a drainage
pathway and caulk must not block this pathway. Blocking drainage pathways with caulk
will cause leakage into the wall.

Water entry through the interface between vertical trim and siding is not likely to be
significant, except when siding is installed diagonally. Nevertheless, water entry at this
interface is possible. Provided that these joints do not function as drainage paths, caulk
seals at these locations will most likely be beneficial. However, they will not be beneficial
if they fail. If the caulk seals fail, they may admit water and are likely to impede drying,
possibly enough to cause problems at ends of siding, in sheathing, and in window units.
Manufacturers of wood composition siding usually prescribe caulking of these interfaces.
Caulk should always be applied carefully and maintained properly, as described later.

Penetrations through walls and intersections of walls with roofs and decks can be

58
leakage points. These areas require well-designed and installed flashing. Penetration of
exterior walls by framing members (for example, cantilevered decks) is particularly
troublesome. Such a design, if attempted, requires use of complicated soldered metal
flashing (caulk by itself is inadequate). Small penetrations, such as hose spigots, are an
exception. It is appropriate to caulk such areas, although they rarely leak significantly
even if not caulked.

Special problems arise with diagonally (or vertically) installed board siding. For such
siding, the potential for water leakage at vertical trim is substantial. Lumber trade
associations recommend that if siding is to be installed diagonally, then the project must
be designed to accommodate the direction of runoff (water can be expected to follow
board edges). Caulk seals at vertical trim cannot prevent this runoff from wetting board
ends or from leaking into the wall and this type of installation requires the use of flashing
and provision for drainage at vertical trim.

Large panel siding poses its own set of questions in regard to the management of
rainwater. This kind of siding is frequently installed to liquid water. Installation
instructions from the manufacturer usually specify that all joints in the siding or between
the siding and trim be made waterproof (caulked) and typically further specify that all cut
edges be painted. The U.S. Forest Service Forest Products Laboratory recommends
painting all edges and following manufacturer’s caulking recommendations, except
where a caulk joint would be likely to prevent water shedding or drainage from behind
siding.

Care is needed for the design and application of caulk seals in difficult-to-reach areas.
On single story buildings, where caulk seals are easily accessible for inspection and
repair, a good quality acrylic–latex caulk can be used for caulking vertical trim to siding
joints. For joints that are less accessible or where water sealing is critical (such as joints
at window before the window and door units are installed; that is, fenestration units are
installed over the siding.

When this is the case, metal flashing cannot be used at window and door heads. Water
management in this situation depends on the use of sloped drip caps and high quality
caulk joints. An advantage of this type of window installation is that “draining” windows
are less likely to be installed improperly than when siding is installed after windows are
in place. Providing for window drainage outside the panel face is fairly easy, although it
may still be possible to block drainage paths if caulk is used carelessly.

Large-panel siding is most often intended for vertical application, with vertical grooving,
shiplapped vertical edges, and square-cut ends. Sheets of this kind of siding are typically
8 or 9 ft. long. On buildings with higher exterior walls, siding installation needs to
incorporate a horizontal joint. This may be done by shimming out the upper panels to
allow a shingle-style overlap, or more commonly, by using Z-shaped metal flashing.
Caulking should not be attempted at the Z-shaped flashing. Any failure in caulk
adhesion to the bottom edge of the upper panel will cause the caulk to act as a dam,
thereby preventing drainage off the surface of the flashing. The upper panel must not
rest directly on the Z-flashing, as shown in the following figure:

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Wood composition siding (hardboard and oriented strandboard) is subject to irreversible
thickness swelling if the edges are exposed to liquid water or if the fasteners penetrate
the outer "skin" of the siding. The problems with this type of cladding are well
documented and thus it should not be used. An acceptable alternative is cement-board
siding with fully concealed fasteners. But, even with this material, any butt joints must
be carefully caulked to prevent water leakage.

Monolithic and Sheet Cladding: Monolithic and sheet cladding includes EFIS, cement
plaster stucco, prefabricated sheet panels constructed of metal or vinyl, and curtain and
window wall systems, al of which are normally considered as "barrier" claddings.

EFIS: While giving the appearance of stucco, EIFS is actually a multi-layered wall
system that consists of the following components:

Insulation Board: Made of expanded polystyrene (or similar, non-hygroscopic

material) which is secured to the exterior wall surface.

Base Coat: Applied on top of the insulation and reinforced with fiber mesh.

Finish Coat: Applied on top of the base coat giving a durable, crack-resistant
finish.

The first half of the acronym, "Exterior Insulation" is derived from the fact that the first
component installed is a foam insulation board. The foam board is mechanically and/or
adhesively attached to the exterior sheathing of the home. In this respect the foam board
serves as an exterior insulating layer. Over this foam board is applied a synthetic base-
coat material in which is embedded a fiberglass reinforcing mesh. This is typically
referred to as the "base-coat". On top of the base coat is applied one or more "finish
coats". This is the exterior layer that gives the product its stucco-like appearance. Hence
the second part of the acronym "Finish Systems".

Most early EIFS employed a "face seal" or "perfect barrier" approach to rainwater
management and was, thus, very susceptible to failure. Because of these early

60
problems, most EIFS now incorporates some sort of a drainage plane to allow for
moisture drainage.

However, due to the nature of the product and the realities of the construction process,
even newer drainage EIFS systems can experience problems:

1. “Short-cuts” are often taken in the application of EIFS systems, causing the
primary face seal moisture barrier to fail and leak (lack of proper caulking,
flashing, etc.).

2. The integrity of the second line of defense is highly dependent on correct

detailing by the designer and proper installation by the builder and his
subcontractors. Very often, flashings, air and vapor barriers, windows, doors,
etc., are improperly installed.

3. EIFS does not breathe and will not allow trapped moisture to evaporate easily,
which can cause great damage over time. Because EIFS relies on a perfect seal
at the exterior surfaces, they are susceptible to entrapment of moisture inside the
system. Water can enter the system where seams and seals fail, where moisture
migrates from inside the building and where punched openings (windows, doors,
etc.) are present. Because of the low vapor permeability of the finish, water
trapped behind the EIFS cannot dry out quickly toward the outside of the wall.
Depending on the rest of the wall system design and installation, there may also
be limited drying potential to the inside. Limited drying potential in combination
with high leakage potential can lead to moisture buildup inside the wall, and
eventually to mold growth and structural decay.

Thus, if EFIS is to be used as the exterior cladding of the building, a water barrier must
be installed behind the EFIS to effectively stop water intrusion and the EFIS must be
installed to provide a drainage plane so that water impacting on the interior water barrier
is directed downward and outward to the exterior. For state buildings, EFIS should only
be used as an exterior cladding system over masonry walls with a carefully applied
secondary water barrier. EFIS installed over a wood or metal stud framed wall is not
good, long term design, and is adequate only for buildings with a short (15-year of less)
design life.

Prefabricated Sheet Panels: Prefabricated metal panels constructed of steel, aluminum,

vinyl, or fiberglass single wall or double wall (insulated), are sometimes used as
cladding, usually as spandrel elements in curtain wall systems or as closure pieces
above and/or below windows in other types of wall cladding systems.

All of these panel systems are typically designed to be "perfect" water barriers. But, as
already discussed, water barrier designs tend to fail over time and it is necessary,
therefore, that the designer design these panels with a drainage plane behind them.
The drainage plane must include a secondary water barrier, drainage spaces, and
weeps to allow any water that penetrates to be directed downward and outward to the
exterior.

Curtain Wall Systems: "Curtain wall" comprises a complete cladding and exterior wall
system with the exception of the indoor finishes. It is generally assembled from
aluminum frames, vision glass and spandrel glass (or metal) panels to enclose a building

61
from grade to the roof. It is available in three system types to include the stick built
system, the unitized (or panel) system and the structural glazing system (capless vertical
joints). The glass and aluminum curtain wall is designed to resist wind and earthquake
loads, to limit air leakage, control vapor diffusion, prevent rain penetration, and prevent
surface.

Stick-Built System: The oldest curtain wall type is the stick built system. It is a
cladding and exterior wall system that is hung on the building structure from floor
to floor. It is assembled from various components to include steel or aluminum
anchors, mullions (vertical tubes), rails (horizontal mullions), vision glass,
spandrel glass or panels, insulation, and metal back pans. In addition, there are
various hardware components to include anchors, aluminum connectors, setting
blocks, corner blocks, pressure plates, caps, gaskets, and sealants.
GLASS AND ALUMINUM CURTAIN WALL SYSTEMS
The stick-built system is installed by hanging the vertical mullion from a floor
edge with a steel angle, while sliding the lower end of the vertical mullion over an
insert anchor in the vertical mullion attached below. The joint between the vertical
mullions is also an expansion joint for the floor-to-floor live load deflections or
concrete structure creep movements, as well as a thermal expansion joint for
curtain wall components.

The rails (horizontal mullions) are then attached to the vertical mullions to create
frame openings, one frame opening for the vision area to receive an insulating
glass unit (IGU) and one frame opening for the spandrel area) to receive the
spandrel panel cover (to hide the floor edge, perimeter heating equipment and
ceiling plenum areas).

Vision IGUs are installed in the frame openings between floors. They are always
placed in the frame opening on two setting blocks (usually silicone, EPDM or
neoprene) spaced about 1/4 of the rail span from each end. The IGU may be air
sealed on the inside to the shoulders of the aluminum frame with a gasket (dry
seal) or a preshimmed tape and sealant (wet seal). For performance and
durability of the IGU, the glazing method of choice is a wet seal inside and a dry
gasket outside.

The spandrel areas are usually enclosed with a metal backpan to form an air and
vapor barrier, with high-density glass fiber or mineral fiber insulation within the
backpan. The backpan is then fastened and sealed to the aluminum frame. The
spandrel glass is usually monolithic heat strengthened glass with a colored
coating and polyester film to make the spandrel glass opaque and to closely
approximate the color or tint of the vision units.

The stick built system can be constructed very air tight and resistant to water
penetration. When the aluminum frames are assembled, a corner block is
installed at the junction of the vertical mullion and rail. This corner block
separates the glazing cavity of the sealed units from the glazing cavity of the
spandrel area. It acts both to divert water into the sill cavity of the rail and as a
compartment seal for pressure equalization performance. It is important to seal
the corner block to the vertical mullion and rail and that it fit tightly behind the
pressure plate to prevent water from draining to the IGU or spandrel cavity
below.

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 Unitized Curtain Wall: A glass and aluminum curtain wall fabricated and installed
as a panel system is referred to as a unitized curtain wall system. A unitized
curtain wall will have the same components as a stick built curtain wall system.
However, instead of assembling the glass and aluminum curtain wall in the field,
most of the system components are assembled in a plant under controlled
working conditions.

The unitized system is assembled on the building as panels. The mullions and
rails are fabricated as half sections instead of tubular sections, which mate at
assembly time to form the curtain wall system. The panels are installed in shingle
fashion, starting from the bottom of the building and going around each floor and
up the building.

In a stick built system, there are two joints along every mullion and rail. In a
unitized system, there are three joints along every mullion and rail. These include
the two glass-to-aluminum joints and a third joint at the junction between the half
mullions and half rails. Three joints instead of two increases the potential air and
water leaks by 50% over a stick built system.

Should an air or water leak develop at the third joint, there is usually no practical
method of accessing the in-between panel joint for repair unless the
manufacturer has provided a serviceable joint system design. In a unitized
system, the manufacturer must rely on qualified installers to ensure that the air
seals are properly installed between the split mullions.

Structural Glazing System: A structural glazing curtain wall system uses the
same aluminum mullion components as the stick-built curtain wall except that the
mullion nose (neck) of the verticals is omitted to create a capless vertical joint
system. The vertical joints between the IGUs are sealed on the outside with
silicone sealant for a flush exterior appearance. The horizontal mullions are
constructed with standard pressure plates and caps.

To hold the IGU against the aluminum of the vertical mullion, the inner light of the
IGU is held apart from the aluminum mullion with a gasket or spacer tape and a
structural silicone sealant is applied between the glass and the aluminum. The
structural silicone sealant forms a strong adhesive bond having a minimum
strength of 20 psi. When the shop drawings are submitted to a silicone
manufacturer, they must warranty an application for twenty years if it is
determined that all materials are compatible by testing.

Silicone sealant is vapor permeable. In hot, humid climates, the silicone may
require a cap bead of moisture resistant sealant (butyl) to minimize the diffusion
of humidity into the structural silicone glazed joint.

To perform satisfactorily, a cladding an exterior curtain wall system must meet several
performance requirements. These include air leakage control (the air barrier function),
vapor diffusion control (the vapor barrier function), and rainwater penetration control.

Rain will penetrate a curtain wall that is not air tight and sealed correctly. When wind
and rain impinge on a facade, rainwater is pushed through imperfections in the outside
seals and into glazing cavities by the difference in wind pressure between the outside

63
and the glazing cavity pressure. The rain may accumulate in a cavity until it overflows
into the building to appear at a floor, window head or ceiling.

Generally, an aluminum curtain wall is airtight. In a typical stick built curtain wall section,
the air barrier plane is continuous and structurally supported. Specifically, the air barrier
planes the glass of the IGU, the seal between the glass and the aluminum mullion, the
aluminum of the mullion, the seal between the aluminum mullion shoulder and the
backpan, the metal liner of the backpan, the seal between the bottom of the metal pan
and the shoulder of the mullion below which connects with the glass of the sealed unit
below. In a unitized system, the mullions are split and therefore include an additional air
barrier joint between the half mullions. Careful design and detailing of all of these
elements is required by the designer.

Because a modern curtain wall, whether stick, unitized, or structural glazing type, has
components which are resistant to vapor diffusion (aluminum extrusions, glass, sheet
metal panels, gaskets), cavity moisture due to diffusion is not a concern, except for
silicone sealants which can be protected with a butyl cap sealant.

To enhance the rain penetration control of a glass and aluminum curtain wall system, the
rainscreen principle is applied. The rainscreen principle incorporates various features to
control direct entry of rainwater. In a stick built system, resistance to the direct entry of
rainwater penetration is provided by the outside seal or gasket at the glass-to-cap joints.
However, should a minor amount of rain or melt water penetrate through the head, jamb
or sill gasket or seal of the vision glass, it is channeled sideways and downwards via the
jamb cavity to the sill glazing cavity below. The rainwater is then diverted horizontally by
the corner blocks to the drain holes in the pressure plates and into the curtain wall snap
caps to drain to the outside.
GLASS AND ALUMINUM CURTAIN WALL SYSTEMS
The IGU support blocks may impede the drainage of rainwater and a third drain hole in
the center of the pressure plate is required to drain incidental moisture that may have
entered the glazing cavity along the sill between the setting blocks. It is important that
the drain holes in the pressure plates be no higher than the bottom of the drainage cavity
and that they be unobstructed by debris or excessive sealant.

To support pressure equalization, the glazing cavity must be air sealed on the inside. Air
sealing is provided by a wet seal between the glass and aluminum surface on the inside.
To further enhance the pressure equalization effect, the glazing cavity must also be
compartmented. Compartmenting is accomplished by the neck of the vertical and
horizontal mullions and the corner blocks. Properly sealed corner blocks preserve the
equalization of pressure for each glazing and spandrel cavity.

The spandrel cavity of must also be a pressure-equalized system. The metal backpans
perform the task of the air barrier to contain the wind pressure for pressure equalization.
Spandrel cavities are usually vented at the top and bottom to allow for convective drying
of the insulation. However, while research has shown that the size of the drains and
vents in the pressure plates and the holes in the snap caps are adequate for the volume
of the glazing cavity, they are inadequate for the dynamic (wind gusts) pressure
equalization of the spandrel cavity area. The volume of the spandrel cavity is hundreds
of times larger than the glazing cavity, and it is flexible and therefore requires larger vent
openings to allow pressure equalization to occur with similar effectiveness. This means

64
that the pressure plate and snap cap drain and vent openings into the spandrel cavity
should be larger than the drain and vent openings into the glazing cavity.

Window-Wall or Storefront Systems: Unlike traditional curtain wall systems that span
floor to floor with attachments outboard of the slab edge, the traditional window-wall
system is designed to bear on the slab edge and extend up to the underside of the slab
edge above. In some systems, a slab band cover is provided to give an appearance
similar to curtain wall. Although there are many variations, the typical window-wall
system is defined by the following features:

1. Window extrusions used to span from floor to floor in a premanufactured

unitized system typically up to two meters in width.

2. A coupler connecting the vertical mullions of each window-wall unit, either as a

male-female coupler integral to the vertical mullions or as an independent
coupler.

3. Window-wall systems bear on the slab edge at the floor level and are
anchored to a retaining track fastened into the slab.

4. The head of the window-wall system is slotted into a deflection header

fastened to the underside of the floor slab, spandrel beam, or structural wall and
anchored to the structure with deflection straps.

5. Horizontal mullions dividing the window-wall unit into panels of vision glass
units, glazed from either the exterior or interior, and glass or metal opaque
panels mounted from the exterior.

6. Operable units, typically awning or casement windows, swing doors, and

sliding doors, mounted within the frame of the window-wall system.

7. A slab band cover spanning the depth of the slab that can be installed either
independent of the window-wall system or as an extension of the window-wall
frame.

Early window-wall systems typically used a face sealed approach to their design with
respect to water tightness, relying on the continuity of the primary exterior seal to
prevent water infiltration. Many of these systems have experienced chronic water
infiltration problems as the result of deficiencies in the primary exterior seal. These were
often aggravated by air leakage that emphasized the deficiencies in the primary exterior
seal under differential pressure. Once the water is past the exterior seal, it often
accumulated within the frame, as there was no provision to contain this water or to drain
the interstitial cavities. Eventually, the accumulating water overflowed to the interior.

These frequent water ingress problems has led to the adoption in recent years of rain-
screen design concepts. The adaptation of rain-screen concepts to window-wall systems
was twofold. In the first instance, a second line of protection against water penetration
was provided inboard of the original primary exterior seal. Different assemblies within a
typical window-wall system require different approaches to providing an effective second
line of protection, including

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 1. Installation of a secondary seal for the vision units, typically provided by a heel
bead of sealant applied between the inside light of glass and the frame of the
window-wall system for interior glazed units;

2. Installation of a metal back-pan sealed to the frame of the window-wall system

behind all opaque panels to act as a secondary seal;

3. Installation of a waterproof membrane at the level of the floor slab extending

from the vertical leg of the mounting track down the face of the slab and onto the
deflection header.

The primary intent of these measures is to provide redundancy within the system. The
seals forming the secondary line of protection are typically better defense from exposure
and temperature extremes than the primary exterior seals and can be expected to have
a longer service life. In the second instance, means of draining the interstitial spaces
created between the primary and secondary seals are provided so that any water
making its way past the primary exterior seal would not accumulate within the window-
wall system but would be redirected to the exterior. To reduce the risk of water
accumulation within the system, designers must ensure that each element of the
window-wall is provided with means of draining, including

1. Drainage of the glazing cavity and back-pans, either directly to the exterior by
way of drain holes through the horizontal mullions or down to the deflection
header by means of drain holes in the vertical mullions;

2. Drainage of the cavity between the primary and secondary gaskets on

operable units;

3. Drainage of the horizontal mullions directly to the exterior;

4. Drainage of the window-wall system at the level of each deflection header.

An additional advantage of this twofold approach is that it creates a series of

compartmentalized cavities that provide for some measure of pressure moderation
across the primary exterior seal. Reducing the pressure across the exterior seal reduces
the amount of water that can be driven through the minor imperfections likely to be
present in the exterior seal. The compartmentalization the window-wall system also
makes it easier to isolate any eventual leaks. With the earlier window-wall systems,
water might find its way down a few stories from its point of entry before any sign of
water ingress was visible on the interior. With a compartmentalized system, it is unlikely
that water can travel far from its point of entry.

Concrete Panel Cladding: Significant research and testing in Canada over the last 40
years has resulted in a better design for precast concrete panel walls. Conventional
design calls upon a monolithic precast panel to form the external facade and serve as a
watertight and airtight barrier. The panel supports all other components of the wall
(windows, doors, architectural elements, etc.) and carries wind loads, but in most cases
it does not form part of the structural framing system of the building.

66
In trying to fulfil these various functions, conventional designs often encounter problems
that are inherent to the basic concept and which stem from a failure to control moisture
intrusion:

1. One requirement is that the wall have both an air barrier and a vapor retarder
to prevent infiltration and moisture vapor penetration. To meet energy code
requirements, the panel walls must be insulated and both the air barrier and
vapor retarder must be located outboard of the insulation (see Chapter 5).

2. To prevent rain penetration, it is necessary to control the forces that move

water from the face into the wall. Thus, at any line of potential leakage, such as a
joint between panels, it is necessary to control water penetration. This can be
done most readily by providing an air chamber behind the wetted face and
ensuring that the air pressure in this chamber is always equal to that on the face
of the wall. (See previous "Rain-Screen Masonry Walls" discussion.) For this
balance of pressures to occur, it is essential that there is a good air seal on the
building side of the chamber and suitable openings to the outside. In addition to
controlling wind forces, which move water into the wall, this air chamber will stop
capillary movement by providing a space larger than capillary size. Gravity flow
inward is usually checked by a suitable overlapping of components, but should
there be an unintentional path permitting water to enter the wall the space
provides a path for drainage. Water entry caused by the momentum of the
raindrop can be prevented by a baffle, which does not have to be watertight since
the other forces have been controlled.

Using a concrete panel as the inner component of the wall, with insulation and an
external cladding applied on its outer face, makes it possible to meet these
requirements. The following figure illustrates one potential configuration of the better
precast concrete panel wall construction:

67
The concrete panel itself forms a good air (and vapor) barrier so that air and water
leakage is confined to the joints. As the panels are now on the thermally stable side of

68
the insulation movements between them will be minimized. The sealant material or
gaskets will also be warm and will be able to respond more readily to such movements
as do take place, making it easier to achieve and maintain the necessary air barrier.

It remains for an external cladding to shed the rain, to protect the insulation, and to give
a satisfactory aesthetic treatment to the wall. This cladding can be made of any of a
wide range of materials and the choice can be based very largely upon aesthetic
requirements coupled, as always, with economics. There are, however, some technical
features that must be considered and these will often simplify the design.

1. The cladding panels can be made relatively thin since they do not have to be
designed to carry the full wind load. Equalization of the air pressure in the space
behind the cladding, with wind pressure on the face, relieves the cladding of all
major wind loads. Only where the wind pressure varies across the face of one
panel is special consideration needed. Corners of buildings and projections that
deflect wind blowing at an angle to the wall will produce such differences in
pressure between adjacent points. These conditions will make complete pressure
equalization difficult, induce airflows behind the cladding, and subject the
cladding to some measure of wind load. Much can be done to control these
effects, however, by suitably dividing the air space and reducing the size of the
panel.

2. Relieved of all major loads other than the weight of the panel and related
seismic loads, the connections that secure the cladding panel to the main inner
panel can be relatively light. Allowance must be made for the considerable
expansion and contraction of the cladding, for it will be subjected to a full range
of air temperatures plus the effect of solar radiation. With this design, this
movement can easily be accommodated because a perfect seal is not needed at
joints and a connection need be provided at only one point for each external
panel. If more than one connection is used, suitable allowance for movement
must be made.

Caulking: In any exterior wall, every caulked joint is a potential point for water intrusion.
To minimize the potential for water intrusion, three steps are required. First, designers
must minimize the need for caulking by designing wall cladding with the minimum
number of joints. Second, designers must specify caulking materials and installation
procedures that result in good, long-lived caulk joints. Finally, contractors must carefully
follow the specifications and the caulking materials manufacturer's installation
instructions.

The dependability of caulk seals is ensured by five generally recognized practices:

1. Assure that the caulk adheres well to the surfaces on both sides of the joint.
Clean away any dirt or loose (poorly adhered) materials on the surfaces. Caulk
may not adhere well to materials that have been treated with water repellent.
Test the caulk on a piece of cladding material that has been treated with water
repellent to ensure that it will adhere. Caulk adhesion can be enhanced by a
priming material; information supplied by the caulk vendor will indicate whether
priming is necessary.

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 2. Avoid three-sided adhesion. The caulk should adhere to only the two surfaces
that make the crack in the surface plane, not to any rigid substrate behind the
crack. Caulk backer rod is a flexible closed-cell foam material that is formed into
long, narrow lengths, generally of circular cross-section. Backer rod is inserted
into gaps where caulk seals are to be made; the rod is then caulked over. Backer
rod limits the depth of the caulk seal. Depth of caulk seals should not exceed
their width. Backer rod can also prevent three-sided adhesion. Where the depth
of a crack is shallow and backer rod cannot be used, bond-breaker tape is can
be used to prevent three-sided adhesion.

3. Use flexible caulk that will remain flexible throughout its service life. The
surfaces that are being bridged by the caulk can be expected to move somewhat
in service. Such movement can be accommodated by a flexible caulk.
Conformance with ASTM Specification C920 Class 25 indicates that a caulk has
high flexibility and is resistant to weathering.

4. Do not use caulk that has been stored for excessive periods. The caulk
manufacturer may indicate shelf life. If it is difficult to force the caulk from the
tube, the shelf life has probably been exceeded. However, the ease of
dispensing caulk from the tube does not necessarily indicate freshness. Some
caulks that have exceeded their shelf life may be pumped easily from the tube
but fail to cure. Latex caulk that has been frozen in storage should be discarded.

5. Apply the caulk at the proper temperature. A range of acceptable application

temperatures will be indicated by the manufacturer. In some cases, the choice of
caulk will be determined by temperature at application. Be aware of caulk drying
times and do not apply caulk when the drying period will be damp or rainy.

4.1.3 Fenestration

Windows represent "holes in the wall" that have great potential for allowing water leaks
into the wall interior.

Both the tops and bottoms of windows must be flashed. For cavity masonry walls, the
top flashing consists of through wall flashing with appropriate weeps. For other types of
construction, flashing over the window top trim may be required (See section 4.1.2). In
all cases, windows should be recessed in the wall to provide a drip edge along the top
and/or provided with a specifically designed drip edge.

Pan flashing, as shown in the following figure, is a highly recommended method for
creating an under-window “gutter" to redirect any leaking water to the exterior.

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 END DAM REQUIRED

Window detailing is critical to ensuring that moisture is not admitted around the window
and that infiltration is also minimized. While caulking is not a permanent solution to
these problems, judicious application of caulking as a final crack seal is normally
required.

4.1.4 Edges and Intersections

The next most important aspect of rainwater control requires careful attention to where
the roof and the wall meet. With pitched roofs (pitch of 3:12 or greater), the roof
overhang has traditionally been used to "shelter" the roof/wall joint and to help keep
rainwater off of the wall. A roof overhang of 24" or greater will reduce the water load on
the wall below by as much as 50% (and water intrusion problems by as much as 70%),
as shown in the following figure:

This represents another advantage of pitched roofed over low slope roofs.

With low slope roofs, the wall/roof intersection can simply be an "edge" or can
incorporate a "parapet". In both cases, carefully attention to the intersection is required
to prevent water intrusion.

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4.2 Groundwater Intrusion

Groundwater, including surface water, must be routed away from any building. First, exterior
grading must be arranged to drain all surface water away for the building using sloping ground
and/or swales. If this cannot be done, a second, and less desirable, choice is to install swales,
area drains, and a well-designed storm water piping system.

4.2.1 Siting, Grading, and Drainage

All exterior grades should provide at least 5% slope away from any building. The use of
swales, severe grade setbacks, retaining walls, etc. allow this to occur.

The site drainage must be designed to carry runoff without erosion of soils on site and
must not subject the facility to flooding at any time.

When an overland emergency flow route is provided that will not subject the facility to
any flooding hazard, a storm return frequency of 10 years can be used for basis of the
design. If an emergency flow route is not provided, a storm return frequency of
100 years should be used.

4.2.2 Foundations and Walls Below Grade

There are several common causes of water intrusion into floors, crawlspaces, and floors
below grade:

1. Rainwater, either flowing from the ground or draining from the roof, can flow
into the side of the foundation and then into the crawl space or floor below grade.

2. Rainwater can enter the ground and flow through soil to an area under the
building.

3. Groundwater levels can rise and fall seasonally, including rising to the
surface.

4. Groundwater below the level of the floor or foundation can wick upward
through the soil by capillary action. (In very fine soils or clays, this capillary rise
can be as much as eight feet above normal groundwater level.)

5. During construction, landscaping, or remodeling over time the footing drain

system becomes clogged with dirt or tree roots or is broken or crushed.
Subsequent water backup can cause water intrusion through foundations or
below grade walls.

Expansive soils are soils that are clays that absorb moisture within each fine particle
and, in the process, expand with enough force to crack or move below grade
foundations or walls. Cracks then provide a direct path for water intrusion (in addition to
increasing the potential for structural failure). Expansive soils, identified by borings and
soils analysis during the schematic design phase, should be removed and replaced with
soil or gravel that does not expand when wet.

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A footing drain is one of the essential elements of all types of foundations and must be
installed around the perimeter of the foundation at its lowest level and discharge well
away from the building, as shown in the following figure:

Wall

Concrete slab

8”min
Finished Grade
5+% slope

Fabric filter
Coarse Gravel

4”

4” min. perforated
drainpipe

To install a footing drain, the following steps are required:

1. Excavate for the footing and after the footing is in place, install a geotextile
fabric on the bottom of the excavation outside of the footing.

2. Cover with 4" of one-size, clean, 3/4” crushed stone or gravel.

3. Place a minimum 4” diameter perforated drainpipe over the gravel if the soil is
clay. Increase the drain size to 6” if the soil is sandy. Install the drain level along
the footing with the perforations oriented downward.

4. Connect the drain to drainage piping to carry collected water away from the
foundation. Building foundation drains should have their point(s) of outfall
explicitly shown the site drawings. Catchall phrases like “run to daylight” or
“connect to nearest storm sewer” are not acceptable.

5. Cover the drain with about 6” of clean gravel and then cover with the
geotextile fabric before backfilling.

For crawlspace construction, the foundation is composed of a separate perimeter footing

plus concrete or masonry walls. The unfinished floor of the crawl space should be at or
above the adjacent outside grade elevation…never below it. Through-wall penetrations
should be minimized and be carefully sealed to prevent rainwater intrusion.

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Cover the crawlspace floor with 6-mil polyethylene, overlapping separate sheets by at
least 6”. Seal all edges with tape or adhesive and seal the poly to the foundation walls
at the mud plate.

For residential and light commercial occupancies, the use of a ventilated crawlspace is
equally open to evaluation in hot, humid climates. Even with code-mandated floor
insulation, it is not unusual for the crawlspace surface of the floor insulation to be at a
temperature that is below the outside air dewpoint temperature at least part of the time.
This results in surface condensation and, over time, moisture "wicking" into fiberglass
insulation and coming into contact with floor framing and flooring materials. Mold is
typically the result. This problem is exacerbated if HVAC supply ductwork is in installed
in the crawlspace and leaks cool supply air. These air leaks, in effect, reduce the
crawlspace temperature and extend the length of time at which surface temperatures
may be below the outside air dewpoint temperature.

There is significant evidence today to recommend that the crawlspace walls be insulated
and the crawlspace conditioned by the HVAC system to avoid condensation and mold
problems.

For full basements (i.e., walls below grade), special care is required to design a wall that
will not leak, as shown in the following figure.

5+% slope

Finished Grade Concrete foundation wall

Low
permeability
soil Isolation joint with sealant
Drainage mat
Concrete slab

Granular
backfill

Fabric filter
Coarse Gravel

4”

Concrete footing
4” min. perforated
drainpipe

Basement walls must be constructed of poured-in-place concrete, vibrated into place to

prevent the formation of voids or cold joints that will, over time, open and leak. Walls
must be designed with adequate reinforcing to prevent wall movement or cracking.
Through-wall penetrations must be minimized and, if absolutely required, waterproof
sealing methods (such as “Link Seal” for piping and conduit) must be used.

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Waterproofing of the wall exterior is required. Again, to reduce the below grade wall’s
porosity, use a low water/cement ratio concrete mix with a high cement content and
super-plasticizer additive for the actual wall construction to minimize porosity. Then,
coat the wall exterior with a quality waterproofing system extending to (or even just
above) finished grade level.

Materials available for waterproofing below grade walls include sheet membranes, fluid-
applied elastomers, cementitious waterproofing, and organic gels (bentonite clay).

Membrane Waterproofing: Sheet membranes have the advantage of protecting

the wall from mechanical damage during backfill or as differential settlement
occurs over time. They have the disadvantage in that the limited size of the
membranes results in numerous seams and terminations that must adequately
sealed to prevent moisture intrusion, something that is totally dependent on the
installers' training, experience, and workmanship. Once moisture penetrates the
membrane, it can migrate long distances, which in turn makes repair very
difficult.

Fluid-Applied Waterproofing: Fluid-applied waterproofing materials, typically cold-

applied, have the advantage of penetrating the uneven surfaces of below grade
walls and providing excellent coverage. If a breach in the covering does occur,
the water cannot readily travel or migrated under the waterproofing and, if the
wall itself is relatively nonporous and free from cracks, little water intrusion into
the building is possible. However, fluid-applied waterproofing materials are
particularly sensitive to substrate preparation and cleanliness, attributes that are
difficult to maintain in a construction excavation, and require expert workmanship
to achieve good results. Fluid-applied waterproofing materials are subject to
mechanical damage during backfill or from differential settlement over time.

Thus, the best approach to waterproofing below grade walls is to first coat the wall with a
fluid-applied waterproofing material and then cover it with a membrane waterproofing
material. While this does increase cost, this approach provides the best possible
insurance for preventing water intrusion.

As an alternative to waterproofing the basement wall, the use of secondary retaining

walls and drained areaways should be considered. This approach has the advantage of
removing direct contact between the ground and the basement wall. With adequate
drainage from the areaways, the basement wall can be then treated as any exterior wall
to prevent rainwater intrusion without having to consider groundwater also.

4.2.3 Slab-On-Grade Construction

Water penetrates and migrates upward through concrete slabs on grade via three
different methods:

1. Capillary Action: Force by which tiny cracks and voids absorb moisture into a
concrete slab or wall. The smaller the width of a crack, the greater the capillary
force and suction height, but the slower the penetration time. The greater the
width of a crack, the smaller the capillary force and suction height, but the faster
the penetration time.

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 2. Porosity Of Concrete: The greater the cement factor which is completely
hydrated, the less porous the concrete and the more dense and watertight.

3. Water Vapor Transmission: Water vapor transmission is the migration of

hydrogen molecules from a higher pressure to a lower pressure. This vapor
transmission or vapor drive will continue until these pressures are equalized.
Vapor drives travel from an area of high relative humidity to low relative humidity.
In most normal use air-conditioned / heated facilities, the higher the temperatures
the lower the humidity, and the lower the temperatures the higher the humidity.
Outdoors this will vary depending on the proximity to large bodies of water.

For slab-on-grade construction, either as the ground floor or as a basement floor, a

vapor barrier (with a perm rating of 0.0 perm-inches) is required for buildings in hot,
humid climates.

A report of the American Concrete Institute (ACI) Committee 302, "Guide for Concrete
Floor and Slab Construction (ACI 302.1R-96)" states in section 4.1.5 that "if a vapor
barrier…is required, these products should be placed under a minimum of 4 inches of
trimable, compactable, granular fill (not sand)". But, ACI Committee 302 (Construction
of Concrete Floors) and Committee 360 (Design of Slabs on Ground) have found
examples where this approach may have contributed to floor covering problems.

Based on the review of the details of problem installations, it became clear that the fill
course above the vapor retarder can take on water from rain, wet curing, wet-grinding or
cutting, and cleaning. Unable to drain, the wet or saturated fill provides an additional
source of water that contributes to moisture-vapor emission rates from the slab well in
excess of the rates recommended by floor covering manufacturers (typically 3 to 5
lb/1000 ft2/24 hr).

As a result of these experiences, and the difficulty in adequately protecting the fill course
from water during the construction process, caution is advised as to the use of the
granular fill layer when moisture-sensitive finishes are to be applied to the slab surface.

The ACI committees believe that when the use of a vapor barrier is required, the
decision whether to locate the material in direct contact with the slab or beneath a layer
of granular fill should be made on a case-by-case basis, in accordance with the following
figure:

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 For slabs in hot, humid climates, Figures 2 and 3 are the only choices, based solely on
when the roof membrane is installed relative to the slab installation. Since most floor
slabs are poured before the building is dried-in, Fig. 2 is the most commonly required
approach. Fig. 3 should be used only when the building is fully dried-in before the floor
slabs are poured.

4.3 Interior Water Control

4.3.1 Interior Water Sources and Their Control

Water is piped through buildings to serve plumbing fixtures. HVAC hot water, chilled
water, and/or condenser water systems may be present. Steam and condensate
systems are common in at least parts of many facilities. And, the use of wet-pipe
sprinkler systems is common. All of the these systems, particularly plumbing piping
systems, present ample opportunity for releasing water into the building and instigating a
potential mold problem.

However, aside from leaking pipes and/or plumbing fixtures, the most significant problem
with interior water intrusion and mold growth arises from "loose" water in toilets,
showers, bathrooms, locker rooms, kitchens, etc. In some instances, floor cleaning or
mopping methods can generate loose water.

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In any area in with loose water is a potential, the floors and walls up to 12" above the
level of the highest plumbing fixture rim, must be constructed with a water barrier behind
the interior finished floor or wall. The finish materials themselves must be selected for a
wet environment. Standard GWB should not be used in these areas, even for ceilings.
Water-resistant GWB ("green board") may be used if covered with a low perm finish (tile,
oil-based paint, fiberglass panels, synthetic marble, etc.)

Floors in any area where loose water is a potential must have at least one floor drain
and the floor itself sloped (minimum 1/4" per foot) to the drain to prevent water from
ponding.

Ceramic (or other) tile floors are typically designed or specified to provide a waterproof
installation in areas that may have the potential for loose water. Unfortunately, much of
this work fails because the specifications—and resulting installation—are inadequate.

Every designer and tile installer must have a reasonable grasp of the ANSI Standard A-
108, Specifications for the Installation of Tile and the Handbook for Ceramic Tile
Installation published by the Tile Council of America (www.tileusa.com). Architects and
installers often refer to the methods found in the TCA Handbook as TCA "Standards",
but, in fact, the TCA methods merely describe, in a user-friendly way, the most common
tile installations, along with the most appropriate ANSI A-108 section as reference.

Page 12 of the TCA Handbook (41st edition) provides a helpful guide that can be the
foundation of any tile design or specification because it routes the reader to the most
appropriate methods for a variety of uses ranging from residential to extra-heavy duty.

By invoking a specific ANSI number, along with a TCA method reference, a designer can
include and impose technical tolerances on all the tile and materials used for a particular
installation. The designer must also address surface preparation issues: how flat, how
sloped, and how level. If the setting bed surface is not going to be provided by the tile
installer, a concrete slab or a plywood subfloor, for example, a tolerance of 1/4-inch in 10
feet needs to be imposed for tiles 10 inches square or less. Closer tolerances (1/8-inch
in 10 feet for tiles up to 14 inches, 1/16-inch in 10 feet for tiles up to 18 inches, and 1/32-
inch in 10 feet for tiles up to 24 inches) are an absolute requirement if lippage is to be
minimized.

Deflection is a major issue with ceramic tile and grows more critical with some stone tiles
and as tiles (ceramic or otherwise) increase above 10 inches in size. A maximum,
uniform deflection of 1/360th of the span is allowed for ceramic tiles under 10 inches:
this amounts to approximately 1 inch for a 30-foot span, or about 3/64ths-inch between
joists spaced at 16-inch (maximum) centers.
Waterproofing membranes need to flex and yield to normal structural movement without
disintegrating. Manufactured sheet systems contain an integral reinforcing fabric, while
liquid-applied systems rely on reinforcing fabric installed on-site, where it is embedded in
liquid or paste. The membrane reinforcing must be continuous at upturns, or at other
changes in direction, or cracks are likely to occur when movement tugs at the
membrane.

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 4.3.2 Preventing Moisture Wicking

Many construction materials, particularly gypsum wallboard (GWB) and masonry, readily
absorb water with which they come into contact. Therefore, care must be taken to
prevent opportunities of this from occurring.

All GWB must be installed with a 3/8” bead of waterproof fire sealant between the floor
and the bottom edged of the board. This eliminates the common problem of absorption
of loose water from spills or floor cleaning, or simply from drying concrete floor slabs,
from “wicking” up into the wall to support mold growth behind base moldings. (The
sealant also helps seal the wall from air and noise leaks.)

Fiberglass, mineral fiber, and other hygroscopic insulation materials should not be
placed against wet surfaces as they too readily absorb water with which come into
contact.

4.4 Designing to Prevent Water Intrusion Checklist

Design Component Requirement/

Element Criterion
Rainwater intrusion Roofs (General) Utilize high slope roofs (3:12 pitch or greater)
Minimize roof penetrations
Carefully detail all roof intersections to
drainage
Low slope roofs Use only when absolutely required
Use structure to form slope of 1:50 or greater,
not tapered insulation
Create a sump at each roof drain
Design to avoid ponding
Minimize use of rooftop equipment: use
penthouses, elevated platforms, or full curbs
Provide pedestrian traffic walkpads
Use roof rails to support piping or conduit
Don use a vapor retarder unless clearly
required by dewpoint analysis
Use non-hygroscopic insulation (cellar glass
or polyisocyanurate)
Use G-185 (or greater) hot dipped galvanized
fasteners for treated wood blocking
Don't use galvanized steel for flashings
Locate roof drains at low points
Provide roof drain for not more than 7,000 sf
of roof area
Don't use roof scuppers as roof drains
Walls Use drainage plane design with a water
barrier and layer materials to direct water
downward and outward
Consider use of rain screen principal,
particularly with masonry walls

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 Design Component Requirement/
Element Criterion
Carefully detail and specify masonry wall
construction
Don't use clear water repellents to "fix" leaky
masonry walls
Do consider opaque acrylic or silicone
coatings as temporary "fix" for leaky masonry
walls
Wood siding: seal end grains and install with
drain plane
Use only drainage plane EFIS and then only
over masonry substrate
Use stick-built curtain wall system with wet
seal inside and dry seal outside
Use only rain screen type window-walls
Use rain screen design for concrete panel
wall systems
Minimize caulk joints
Design caulk joints to avoid three-sided
adhesion
Carefully specify caulking materials and
installation methods, including use of backer
rods
Fenestration Flash tops and bottoms of all windows
Edges and Use 24" or greater roof overhang to shield
intersections walls
Carefully detail wall/roof intersection to
prevent water or air intrusion
Groundwater intrusion Siting, grading, and Slope grade at least 5% away from walls
drainage Provide good sit drainage system, designed
for 100 year flood
Foundations and Always incorporate footing drains
walls below grade Seal crawlspaces and install minimum 6-mil
poly vapor retarder
Use poured-in-place concrete for basement
walls
Use 2-layer waterproofing system: membrane
layer over fluid-applied layer
Slab on grade Install vapor barrier (perm = 0.0) below slab
construction in accordance with ACI requirements
Interior water control Toilets, kitchens, etc. must have floor and
wall water barrier up to 12" above highest
plumbing fixture rim
Slope floors at least 1/4" per foot to floor
drain
Prevent GWB moisture wicking by installing
3/8" bead of fire sealant along bottom edge of
board

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 Chapter 5

DESIGNING TO PREVENT MOISTURE VAPOR INTRUSION

5.1 Moisture Migration through the Building Envelope

The roof water barrier on a low slope roof, typically, serves also as both an air barrier and vapor
barrier, preventing moisture vapor from entering the building by either infiltration or diffusion
through the roof. For pitched roofs, walls, and all other envelope elements, however, the
building must be carefully designed and constructed to prevent moisture migration into the
building by either vapor diffusion or air infiltration.

The general moisture control strategy for building envelopes in hot, humid climates is quite
straightforward: make it difficult for moisture to enter the building envelope from the exterior and
make it easy for moisture to leave the building envelope to the interior.

In hot, humid climates, moisture, in the form of vapor or gas, flows from the exterior to the
interior, i.e., from the warm to the cold. If the rate of moisture entry into the building envelope
from the exterior is greater than the rate of moisture removal from the building envelope into the
conditioned space, accumulation occurs with building envelope cavities and serious problems
result.

Moisture as a vapor enters building envelopes from the exterior in two major ways:

1. Air leakage (infiltration)

2. Vapor diffusion

Air leakage of outdoor, humid air into air-conditioned building envelopes is a major cause of
mold problems in hot, humid climates. For outdoor air to be a problem in a building envelope,
three conditions must be present:

1. Moisture must be in the air (which is always the case in hot, humid climates);

2. Holes, openings, or pathways for air movement must exist; and

3. A pressure difference must exist.

Holes, openings and pathways will almost always be present because it is simply not possible to
ensure perfect workmanship and perfect materials are not available.

Thus, the only method of controlling air leakage is controlling the air pressure differences across
building envelopes and within building cavities. Where mold problems have occurred, it has
been common that interior conditioned spaces have been at a negative air pressure relative to
the exterior and/or building cavities have been at a negative air pressure relative to the exterior.

Infiltrating humid air will carry moisture into wall and building assemblies. Whether moisture is
deposited within the assemblies depends on the moisture content of the air and the surface
temperature of each material in the wall assembly.

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Diffusion takes place when there is a difference between the water vapor pressure of the
outdoor air and the building interior. Occupancy and comfort requirements make it undesirable
to try to control diffusion by adjusting indoor temperature or humidity conditions. Therefore, the
designer's only option for limiting and controlling moisture diffusion is to increase the building
envelope's resistance to water vapor diffusion by use of a vapor retarder. Placement of the
vapor retarder, however, is strongly influenced by climate and wall thermal resistance.

An assessment of the moisture performance of a wall must first consider the thermal resistance
(R-values) of the wall elements to determine the temperature distribution within the wall. The
saturation pressures for the temperatures in the wall can then be compared with the vapor
pressure distribution calculated from the vapor permeance of the wall elements. The potential
for diffusion to cause a condensation problem in the wall can then be determined. Simplified
calculation procedures can be used for these estimates, as described in the 2001 ASHRAE
Handbook of Fundamentals. More sophisticated, software-based analysis methods, such as
"Moist 3.0", are also available.

The moisture performance of a material is defined in terms of its "perm rating" (based on the
"dry cup" measurement method), which is a measure of the ability of a material of specific
thickness to transmit moisture. It’s expressed in terms of the amount of moisture transmitted per
unit time for a specified area and differential pressure. Dry cup perm rating is expressed in
grains/hr/sf/inches of Hg. Permeance is typically measured by using ASTM Standard E96. The
closer the dry cup perm rating is to zero, the better the vapor retarder. Permeability is
permeance of a material of a specified unit length (perm/inch). Materials can be separated into
three general classes based on their permeance:

Vapor impermeable:

0.0 perms: vapor barrier

0.1 perms or less: Class I vapor retarders
1.0 perms or less: Class II vapor retarders

Vapor semi-permeable

10 perms or less: Class III vapor retarders

Vapor permeable or "breathable"

more than 10 perms

Materials that are generally classed as impermeable to water vapor are rubber membranes,
polyethylene film (at least 4 mils thick), glass, aluminum foil, sheet metal, oil-based paints, vinyl
wallcoverings, and foil-faced insulating sheathings. Materials that are generally classed as
vapor semi-permeable to water vapor are plywood (exterior glue), OSB, unfaced expanded
polystyrene (extruded), fiberfaced isocyanurate, heavy asphalt impregnated building papers
(Grade D), the paper and bitumen facing on most fiberglass batt insulation, and latex paints.
Materials that are generally classed as permeable to water vapor are unpainted gypsum board
and plaster, unfaced fiberglass insulation, cellulose insulation, unpainted stucco (unless water
resistant additives are used), lightweight asphalt impregnated building papers, asphalt
impregnated fiberboard, exterior gypsum sheathings, cement sheathings, and “housewraps”
(such as Tyvek, Rwrap, etc.)

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In accordance with the 2006 North Carolina State Building Code, Section 1403.3, a vapor
retarder is always required in exterior walls. The only variable is the location of the retarder in
the wall construction, a function of the climate and the wall's thermal resistance.

For hot, humid climates, vapor retarders must always be installed at or near the exterior of
building envelopes. No vapor retarder should ever be installed on the interior of building
envelopes in hot, humid climates. Many wallcoverings, particularly vinyl wallcoverings, are vapor
diffusion retarders and should not be installed on exterior walls or on interior walls whose tops
are open or exposed to a ventilated attic or other unconditioned space (see following figure).

As shown in the figure above, moisture will accumulate at the interface of the wallcovering and
the gypsum board. Mold and other biological growth can occur under these conditions.
Excretions of enzymes from some forms of mold can react with vinyl wallcoverings adhesives,
resulting in pink "blotches" that show through the finished surfaces.

The area essentially west and north of I-85 in North Carolina is classified as a mixed, humid
climate and the placement of the vapor barrier requires more analysis by the designer. In this
type of climate, the vapor retarder should be installed roughly in the "thermal middle” of the wall
assembly. For simple frame construction, this can be accomplished by installing impermeable or
semi-permeable insulating sheathing on the exterior. For example, 1.5 in. of foil-backed
insulating sheathing (approximately R 10) can be installed on the exterior of a 2 x 6 frame cavity
wall insulated with unfaced fiberglass batt insulation (approximately R 19). The vapor barrier is
the interior face of the exterior impermeable insulating sheathing. With a total wall thermal resis-
tance of R 29 (R 19 plus R 10), the location of the vapor barrier is 66% of the way (thermally)
towards the exterior (19/29 = 0.66). Again, this approach requires both building pressurization
and HVAC systems that provide interior humidity control during the cooling season by keeping
the indoor dewpoint temperature to 55°F or less.

An interior vapor barrier would be detrimental, as it would prevent the wall assembly from drying
towards the interior during cooling periods. The wall assembly is more forgiving without the
interior vapor barrier than if one were installed.

In mixed, humid climates, hospitals, laboratories, etc. where humidification is provided during
the winter and the indoor dewpoint temperature remains above 40°F, detailed analysis of the
vapor retarder placement is required using the "Moist 3.0" computer program to establish the
correct vapor retarder location.

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In cold climates (which, in North Carolina, is limited to the six counties in the northwest corner of
the state bordering Tennessee), the vapor retarder should be installed at the wall interior since
indoor moisture levels tend to be higher than outdoor levels, year around.

Where air movement and vapor diffusion both occur, air movement tends to dominate over
vapor diffusion and has a significantly greater effect on moisture transfer into building
assemblies than vapor diffusion alone. The following figure illustrates the effect of infiltrating air
through an electrical outlet box in a concrete masonry block wall assembly. The effect of air
leakage on the wetting of the wall assembly is significantly magnified as a result of rain wetting
the exterior cladding. The rain-saturated building elements "humidify" the infiltrating air as it
passes through, over, or around them.

Problems with air barrier and vapor retarder systems are often attributed to field conditions,
such as the materials used, methods of construction, and the quality of workmanship. But, while
these are important, the evidence suggests that many problems originate earlier in the building
process, during the design and specification phases.
One reason for problems is the confusion that is common regarding the function of air barriers
versus vapor retarders and the unique performance constraints imposed upon each. A single
barrier is often used to serve both functions. While this can be appropriate in certain
applications, if the materials and conditions of use are not considered for each application, the
entire design can be rendered ineffective or even damaging. A clear understanding of these
differences is essential to the successful design and construction of air leakage and
condensation control measures.

5.1.1 Exterior Finishes

Materials commonly used as exterior finishes in construction include stucco, wood

siding, concrete or masonry or brick veneer, and proprietary external finish systems that
combine insulation and finish coatings (such as EIFS). In selecting the exterior finish
material, the design team needs to consider the effects of moisture penetration and
vapor and air migration, as well as aesthetics, to ensure consistency with the design
intent. Consideration of porous materials such as concrete or masonry should include
the ability of these materials to limit moisture and vapor migration into and out of the wall
system, as well as their ability to act as air barriers. Often the aesthetic exterior finish of
a concrete or masonry wall system is a paint or stucco type of application. These
exterior finishes, as well as the structural concrete or masonry substrate, may be

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effective weather barriers but are ineffective vapor retarders and only partially effective
air barriers.

Concrete block walls can have a permeance of 2 to 3 perms, whereas painted stucco
finishes can have a permeance as high as 25 perms. Exterior paint systems with 1- to 3-
mil dry-film thickness, such as commercial latex paints, can range from 5 to 10 perms.
Paint systems are good examples of how requirements for temperate and hot, humid
climates differ. In most parts of the country, exterior paint systems have high permeance
ratings and interior paint systems have lower permeance ratings. In hot, humid climates,
wall finish design requirements are just the opposite: exterior systems should have lower
permeance ratings than interior paint systems.

5.1.2 Vapor Retarders

The vapor retarder and the air barrier may or may not be the same material. If a single
material is used to serve both functions, then it must be able to meet the requirements of
both air tightness and vapor diffusion control. If different materials are used to provide
separate air barrier and vapor retarder systems, then each need only satisfy the
requirements of its particular function.

Dozens of companies market many building products that function as air barriers and/or
vapor retarders. Proper selection, detailing and installation are essential to achieve
desired results. Typical vapor retarder materials are as follows:

Material Thickness (in.) Permeance

Structural Materials:
Concrete 1" 3.2
Brick masonry 4" 0.8
Concrete masonry unit 8" 2.4
Gypsum wallboard 1/8" 50.0
Exterior glue plywood 1/2" 0.35
Gypsum sheathing 1/2" 27
Gypsum sheathing, Type X 5/8" 25
DensGlass Gold sheathing 1/2" 23
Thermal Insulation:
Air space (still) 1" 120.0
Extruded polystyrene 1" 0.4-1.2
Polisocyanurate 1" 26.0
Polisocyanurate (foil-faced) 1" 0.05

Plastic Films and Metal Foils:

Aluminum foil 1 mil 0.0
Polyethylene film 4 mil 0.08
Polyethylene film 6 mil 0.06
Building Paper and Felts:
Building paper (any grade) 1.0
House wraps 50.0-90.0
Paints:
Primer + oil-based paint 1.6-3.0
Primer + vinyl-acrylic enamel 6.0-8.0

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Two vapor retarders on opposite sides of a single wall can trap water vapor between
them and create moisture-related problems in core materials. Consequently, water-
resistant (W/R) gypsum panels may function as a base for ceramic tile and as such must
not be installed over a vapor retarder. Doing so could trap moisture in the gypsum core
since the tile membrane finish may act as a vapor retarder (if set in a mastic adhesive).

A common error in buildings with suspended ceilings is to neglect treatment of drywall

surfaces within the ceiling plenum on exterior walls. Since the plenum is not visible, care
should be taken to make sure that this area is not overlooked. The drywall application
and joint treatment should be carried all the way to the spandrel beam or floor structure
above and this intersection joint must be carefully sealed. Exterior ceilings and soffits are
other areas that may be forgotten. Ceilings, soffits and cutouts for pipe, conduit, knee
braces and vent penetrations should be carefully treated to avoid compromising the
effectiveness of the vapor retarder and/or air barrier.

Penetrations in the exterior wall for windows, doors, outlets, HVAC, and other fixtures or
devices must be closed tight with sealant or tape. A good rule is to treat the exterior wall
with the same detailing as that used for acoustical isolation.

Exterior walls that employ foil-faced insulation should also use foil tape to close joints,
penetrations and damaged areas. If applied in a furred exterior wall without sheathing or
backing, insulation must be adequately fixed to the framing so it won't be dislodged by
air movement in the wall cavity. In this instance, do not rely on a friction fit.

Typical safewall insulation and fire/smoke sealing compounds not only provide a
fire/smoke barrier at the floor intersection with curtain walls, but also reduce vertical
movement of air due to the stack effect.

Exterior walls of wood or steel stud construction should be sheathed to protect the stud
cavity. An overlayment of Tyvek and/or 15-lb felt provides an effective air barrier.
Particular attention should be given to provide a tight interface at windows and doors
using appropriate sealant or tape and flashing details.

Control joints required for exterior finishes are by definition a location for planned
movement of the surface. They should also be recognized as points of potential air and
water infiltration. Accordingly, the control joint should be flashed and/or sealed to prevent
infiltration.

When a polyethylene film vapor retarder is used behind gypsum panel ceilings under
cold conditions (e.g., canopies, window eyebrows, etc.), ceiling insulation (batts, loose fill
or blown in) should be installed at the same time or immediately after the vapor retarder
and ceiling are installed. Also, the plenum space should be properly vented, but care to
prevent infiltration into adjacent indoor ceilings is also required.

Finally, while vapor retarders (and air barrier details) are often handled adequately by
designers for flat, visible surfaces, the designs frequently fail because proper
consideration was not given to maintaining the integrity and continuity of these systems
at intersections and hidden penetrations. Details for floor/wall and roof/wall connections
are the most difficult and important design challenges. Special attention and care should

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thus be given to intersections of assemblies and penetrations to insure their integrity of
air tightness, vapor diffusion and thermal resistance.

5.1.3 Insulation

Using closed-cell, non-hygroscopic insulation can help minimize the high moisture levels
that can develop in wall systems in hot, humid climates. Insulation should be installed
next to and immediately inside of the vapor retarder in hot, humid climates so that the
vapor retarder does not reach the outdoor dewpoint during operation of the building
HVAC system. This effectively places the insulation near the wall exterior.

To avoid moisture problems, the designer must consider how direct contact with
moisture-laden air affects wall structures. Thermal bridges that allow the structures to
cool below the dewpoint of the ambient air may cause local condensation on the
structural materials. For example, a metal stud framing system in a framed wall system
can act as a thermal short-circuit or bridge, allowing condensation to occur on interior
portions of the metal stud even though the wall may be well insulated.

5.1.4 Interior Finishes

Interior finish selection is a critical consideration in hot, humid climate design. The
contribution of the interior finish to severe moisture and mold problems in buildings is
well documented. Using an impermeable interior wall finish without full consideration of
infiltration, outdoor dewpoint temperatures, and the possibility of condensation at the
primary vapor retarder location will often result in moisture entrapment and mildew
problems.

Vinyl wallcovering is a commonly used interior finish and normally has a low permeance
(or a very high resistance) to water vapor migration through a wall system. A problem
can develop, however, when outside air infiltrates a wall cavity, contacts a cooler
surface, condenses, and cannot dry. (Vinyl wallcovering’s high vapor retarder
characteristic prevents the condensation from drying.) The condensation will degrade
the finish substrate, usually gypsum board, providing an excellent growth medium for
mold and mildew.

Consequently, vinyl wallcovering should be limited to areas where moist air is unlikely to
infiltrate (that is, interior walls) or in buildings where positive building pressurization can
be ensured. However, even with interior walls, if the top of the wall is exposed to a
ventilated attic or other unconditioned space, air leakage through openings in the top
plate can be sufficient to induce unconditioned air into the wall cavity, setting up the
potential for condensation behind the vinyl wallcovering.

In general, the permeance of the interior finish material should be significantly higher
than the permeance of the other components in the wall system. This difference will
allow moisture vapor that enters the wall system to migrate into the conditioned space,
where the vapor eventually will be removed by the HVAC system. To ensure success, all
portions of the wall system located inwardly from thermal insulation must be more
permeable than components external to the thermal insulation.

Another potential interior finish problem is carpet or wood flooring installed over a

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 concrete slab, particularly in any building that may have poor maintenance. Wicking of
moisture through the slab and into the carpet is a common cause of mold growth in
buildings in hot, humid climates. If carpet must be used, the slab must be sealed, carpet
squares should be installed so that routine replacement can be done (like lay-in ceiling
tiles), and the routine maintenance to keep the carpet clean and dry must be performed.

To improve the maintainability of acoustical tile ceilings in entry areas and corridors,
ceiling tiles in these areas should be rated for high humidity (90% RH). These tiles are
available as a standard product from all acoustical ceiling manufacturers and cost only
about 15-20% more than standard tiles that sag when humidity conditions exceed 60%
RH.

5.2 Outdoor Air Infiltration

Infiltration is defined as "the uncontrolled flow of outdoor air into or through an element of
the building envelope".

5.2.1 Air Barriers and Seals

The air barrier's function is to stop outside air from entering or infiltrating the building
through the wall and inside air from exfiltrating. To do this, the air barrier must seal the
openings in the building envelope and be strong enough to withstand the physical
buffeting of the air pressures acting on it. Installation quality of the air barrier is critical to
its successful performance. While the effectiveness of a vapor retarder diminishes
linearly as the number of penetrations increases, the effectiveness of an air barrier
diminishes exponentially as the number of joints, cracks, and crevices increases. Thus,
the performance of an air barrier depends on its being as penetration-free as possible.

Three primary effects contribute to the total air pressure acting on an air barrier. The first
is stack effect, also known as "chimney effect", which results from the thermal buoyancy
of air due to changes in density with temperature in buildings three or more stories in
height. During winter, the warm air inside a building rises and exits near the top. This, in
turn, draws in cooler air at the bottom of the building. This effect produces an outward
pressure over the top half of the building and a suction force at the bottom. During
summer, air conditioning causes the pressures and flow directions to be reversed.

The second driving mechanism is wind pressure. Airflow around and over a building
creates a positive pressure on the windward side driving infiltration. Suction pressures
cause exfiltration on the leeward side. The pressure differences vary rapidly with time
due to turbulence and changes in wind direction. Since wind speeds increase with
height, wind-driven pressure differences across the building envelope also increase with
height.

The third source of air pressure differences comes from mechanical exhaust and/or
ventilation provided by fans. These produce pressure differences that are distributed
rather uniformly over the envelope area. Being a sustained load, however, even small
fan pressures can have a significant effect upon the air barrier by forcing some materials
out at joints or to come apart at seams.

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An air barrier system must meet four (4) requirements. These are continuity, air
impermeability, strength and durability.

1. Continuity requires that the air barrier of a wall must be continuous with the
air barrier system of the roof and windows. This continuity need not be achieved
by the same materials throughout, but each material involved in the control of air
leakage must be connected to the others into a continuous plane of air tightness.
For example, the air barrier of the roof at the perimeter must connect to the air
barrier of the exterior wall, as shown in the following figure:

2. Air Impermeability means the air barrier materials and system must be
virtually airtight. Typically an air barrier system should not leak in excess of 0.02
CFM/sf at 0.30" wg air pressure difference. To achieve this level of performance,
a designer must choose materials with air permeability ratings of less this value.

Canada Mortgage and Housing Corporation undertook several studies to develop

a test method and to obtain the air permeability of various construction materials.
Forty to fifty typical construction materials were conditioned at a standard
temperature and humidity. The amount of air leakage that resulted was
converted into air permeability ratings, as summarized in the following table,
where "Rate" is tabulated in terms of CFM/sf at 0.30" wg and where "NML"
indicates "No Measurable Leakage":

Material Rate
Smooth surfaced roofing, 2 mm NML
Modified torch-on membrane (glass matt) NML
Modified torch-on membrane (polyester matt) NML
Modified peel and stick membrane, 1.3 mm NML

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 Material Rate
Polyethylene film, (6 mil ) NML
Aluminum foil NML
Plywood sheathing, 3/8 in. NMl
Foil backed gypsum board NML
Extruded polystyrene insulation, 1 in. NML
Foil backed urethane insulation, NML
Cement board, 1/2 in. NML
Gypsum board, (FB), 1/2 in. NML
THERMOLITE Insulation 0.00071
TYVEK HomeWrap 0.00077
Plywood sheathing, 1/4" 0.00132
Gypsum board, (MR), 1/2" 0.00179
ISOCLAD insulation 0.00224
Spunbonded olefin film 0.00256
Particle board, 1/2" 0.00305
Gypsum wallboard, 1/2" 0.00386
TYVEK CommercialWrap 0.00098
Expanded polystyrene insulation, type II 0.02337
Roofing felt, 30 lb. 0.03687
Non-perforated asphalt felt, 15 lb. 0.05327
Expanded polystyrene insulation, type I 2.409
Tongue and groove planks 3.763
Glass-fiber insulation 7.231

Note: Ratings for board materials are based on taped butt joints, both
horizontal and vertical. Tape must be metallic foil type with air leakage
rating of NML.

3. Strength means the air barrier system must be attached to a supporting

structure and it must resist excessive deflection, cracking, rupture or pull through
at fasteners. The air barrier system must withstand the highest expected air
pressure load, usually wind, inward or outward, without detaching from its
support. It must also resist peak wind loads, a sustained stack effect or a
sustained pressurization load without exhibiting creep load failure (gradual
unbonding of a membrane from its support).

4. Durability requires that an air barrier system and its components be designed
and constructed to perform their intended function for the life of the building but
more particularly the life of the building envelope. It must be made of strong and
robust materials with adequate resistance to various environmental loads.
Alternately, it must be positioned in the building envelope so that it may be
serviced as required or maintained at a reasonable cost.

Polyethylene film is not suitable as a air barrier material for state buildings that are
typically constructed with noncombustible materials such as concrete, steel, glass and
aluminum. Polyethylene is too fragile, continuity is difficult to achieve at penetrations and
joints, and, most importantly, there is inadequate structural support of the membrane
against wind pressure deformations.

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An air barrier system for the building envelope is not an option. It is a mandatory
requirement for the building envelope to limit uncontrolled air leakage, despite the fact
that an air barrier is not required by the 2006 North Carolina Building Code.

Air barrier systems covering the entire building envelope have been required in Canada
for nearly two decades. The first in the U.S. to pay attention was Wisconsin, which in
1985 laid out an air barrier requirement for state-owned projects. In 2001,
Massachusetts became the first state to require them by code, which became effective
July 2001. One year after that, Wisconsin amended its version of the International
Building Code (IBC) to include air barriers.

Today, many other states are considering air barrier requirements for their respective
building codes, according to the Air Barrier Association of America (ABAA). ABAA
predicts a national code requirement within five-ten years.

In all climates, the air barrier should be located outboard of the vapor barrier, inboard of
the rain barrier. An intact and functioning air barrier prevents the vapor retarder from
having to resist pressure loads. Since the pressure field around the building is constantly
changing, the air barrier must be designed to withstand both positive and suction
pressures at all points. Methods of attachment to the building require close scrutiny to
insure that they are adequate for the job. Likewise, if a flexible material is used it must
be properly supported on both sides. If the air barrier or its attachment system is unable
to resist the peak air pressure loads, it will be damaged or displaced and thus rendered
inoperable.

An air barrier in a wall system, however, should never be viewed as an adequate

envelope seal to offset a depressurized interior building space and prevent internally
induced infiltration. The building envelope must work with the HVAC system to establish
a pressurized building. Because cavities that may exist within a wall system provide
potential pathways for outside air, maintaining proper pressurization is crucial to avoiding
infiltration of outside air into these spaces.

The performance of the air barrier is critical to reducing infiltration levels and the
moisture vapor entering the building to manageable levels. Therefore, commissioning
the air barrier system is important in the design and construction of all buildings in hot,
humid climates. (And, for buildings at risk from terrorist attack, unless the building
enclosure is designed and constructed as tightly as possible and the air barrier system
commissioned, it would be impossible to pressurize the building adequately to reduce
the likelihood of exposing the interior environment to chemical, biological or radiological
agents.) An adequate budget needs to be assigned early in the project process to fund
the commissioning activities needed to ensure a successful outcome that meets the
owner’s project expectations for a tight building enclosure. The cost of testing a
commercial building can vary from $1,000 to $15,000 depending on complexity and size.

Assemblies of opaque walls, curtain walls and windows can be tested in the lab in
accordance with NFRC 400 or ASTM E 283 (air infiltration), ASTM E 331 (water
penetration under static pressure), AAMA test procedure 501.1 (water penetration under
dynamic pressure) ASTM E 330 (structural adequacy), NFRC 500 or AAMA 1502.7
(condensation resistance factor or CRF), NFRC 100 or AAMA 1503.1 (thermal transmit-
tance), NFRC 200 (solar heat gain coefficient), NFRC 300 (solar optical properties of
glazing products).

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Another test for air barrier assemblies is ASTM E1677. This is a test for low-rise
residential buildings and includes an 8 ft by 8 ft panel that has panel joints, a blanked-off
window, a duct penetration, an electric outlet, etc. The maximum test pressure
suggested in this test may be too low to simulate wind loads for most building locations
and for taller buildings, so a test pressure more representative of design wind and gust
pressures at the project site (plus a safety factor) should be required by the designer.
Infiltration is reported with this test as cfm/ft2 at 0.3 in. w.g. (equivalent to a approximately
15 mph wind pressure).

Testing whole commercial buildings is rarely done in the U.S., it is common in Canada
and has become a requirement for building acceptance in the U.K. since 2002. Testing
standards include:

1. Whole building, floors, or suites, ASTM E 779, Determining Airtightness of a

Building’s Air Leakage Rate by Single Zone Air Pressurization.

2. CAN/CGSB 1986 Standard 149.10, Determination of the Airtightness of

Building Enclosures by the Fan Depressurization Method; and

3. CAN/CGSB 1996 Standard 149.15, Determination of the Overall Enclosure

Airtightness of Office Buildings by the Fan Depressurization Method Using the
Building’s Air Handling System.

Trailer-mounted fans (with large blower doors) for testing large buildings, delivering up to
55,000 cfm at 0.3 in. w.g. or larger are available from at least one U.S. source. Several
of these may be required to test a large, leaky, building, although inaccuracies are
introduced with the use of multiple fans. In testing a whole building, all the “intentional
holes” such as ventilation air intakes, exhaust fan outlets and louvers, elevator shaft
smoke exhaust, flues, etc. have to be sealed, usually with polyethylene and tape. Low
wind conditions, lower than 8.5 mph and only a small temperature differential between
indoor and out (outdoor temperature between 40°F and 95°F) helps reduce the influence
of wind and stack effects.

Interior doors need to be open so the building is turned into a single zone. The volume of
air being moved is recorded at the pressure differential; this is done for several different
pressures in steps of 0.05 to 0.3 in. w.g. If the building is too large to test with a single
fan, multiple fans can be used, or the building’s air handlers can be used instead; the
fans need to be evaluated for cfm output; the test can then proceed and the fans
progressively turned on to pressurize the building with pressure measurements taken at
each step.

5.2.2 Dealing with Attics and Soffits

With high slope roofs, attics are formed. Dealing with attics, roof overhangs, and soffits
is an important part of keeping air and moisture infiltration low. The treatment of attic
spaces is a subject of some controversy, and because building codes requiring attic
ventilation are based on studies and evaluations made in the 1930's through the early
1970's in cold climates and where insulation levels were significantly lower than required
today. Thus, the designer is faced with the need to carefully evaluate the design of
these spaces in hot, humid climates.

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The 2001 ASHRAE Fundamentals Handbook (page 24.8) states:

"The commonly stated rules for attic and cathedral ceiling construction —
ventilation and vapor retarder toward the inside—pertain to cold climates and not
to warm, humid climates with indoor air conditioning. Common sense suggests
that venting with relatively humid outdoor air means higher levels of moisture in
the attic or cathedral ceiling. Higher moisture levels in vented attics in hot, humid
climates do not lead to moisture damage in sheathing or framing. However,
higher moisture levels in attic cavities may affect chilled surfaces of the ceiling
and cold surfaces of mechanical equipment. When cooling ducts are located in
the attic space, attic ventilation with humid outdoor air may increase the chance
of condensation on the ducts.

"As in all climates, airtight construction is desirable. In warm, humid climates,

airtight construction usually reduces the latent load. Insulation and interior
finishes should be selected and installed with an understanding that vapor
diffusion is primarily inward."

Based on this, there are two basic scenarios for attic design and the placement of air
barriers and vapor retarders in them:

Case 1, The Ventilated Attic: If the attic is to be ventilated to reduce summer

attic temperatures and, perhaps, help prolog roofing materials life, the insulation
is installed on the ceiling (between the ceiling joints for conventional wood
framing). To control infiltration and moisture migration in hot, humid climates, a
vapor retarder is required on the attic side of the insulation. The air barrier, then,
should be installed on the ceiling side of insulation.

Since the integrity of the air barrier is critical, if is located on the attic side of the
vapor retarder is becomes the exposed surface in the attic and is subject to
mechanical damage after installation, particularly if HVAC equipment is located
within the attic. Thus, for this type of installation, the equipment must be located
in a floored area and floored access routes provided, or the entire attic must be
floored.

Typically, attic ventilation is provided by a combination of soffit vents (incoming

air) and ridge or gable vents (exiting air) and the ventilation rate is dependent on
air buoyancy as the air warms in the attic. To ensure that attic temperatures do
not exceed 105°F, the recommended maximum temperature, mechanical
ventilation may be required.

In either case, the installation of the insulation, vapor retarder, and air barrier at
the outer perimeter or edges of the attic must be carefully developed and
detailed. First, the insulation should extend over the building wall, but not over
the ventilation openings in the soffit, so an insulation "dam" or "stop", aligned with
the outer wall surface, is required. The vapor retarder and air barrier must be
terminated and sealed at the insulation stop, also.

For ventilated attics, all the tops of all interior walls must be sealed to prevent air
infiltration from the attic. The simplest way to achieve this is to terminate the

93
 walls below the ceiling and extend the ceiling over the top of the walls. The attic
air barrier, then, effectively seals the tops of the walls, also. If walls extend
above the ceiling, but do not extend all the way to the roof, a means of sealing
the top of the wall must be detailed by the designer.

Case 2, The Unventilated Attic: In this case, the insulation is installed at the
sloped roof, between the roof joists. The vapor retarder is installed to the outside
of the insulation and the air barrier to the inside so that, in effect, the roof
"layering" mirrors that recommended for exterior walls, with the roofing material
forming the required exterior water barrier.

Any gable walls must be constructed with insulation, vapor retarder, and air
barrier as recommended for exterior walls.

In this case, the attic becomes an "unconditioned space" within the building. If
this is undesirable (for example the ceilings below are lay-in tiles and heat gain or
loss is a concern), the attic can be heated and cooled to any extent desired.
(Typically, this does not increase total heating and cooling loads significantly
since the roof load is simply addressed directly rather than as a component of the
individual room loads and indoor design temperatures are less stringent.) The
HVAC design, in this case, should also include additional outdoor air in order to
pressurize the attic volume.

5.2.3 Space Planning for Internal Pressurization

Infiltration has been identified as an important source of moisture to consider in

designing buildings for hot, humid climates. The contribution of this particular source of
moisture to moisture problems in hot, humid climates surpasses even rainwater leaks,
because liquid water is subject to, and generally obeys, the laws of gravity. By contrast,
air movement can enter a building from any direction. Thus, while making a building
watertight is a formidable task, making it airtight is an impossible one.

Maintaining positive pressurization in a building is the best tool available to designers in

preventing uncontrolled airflows. However, building layout significantly affects the ability
of the system to achieve adequate pressurization. The uniformity of the layout from floor
to floor, space usage, and construction style (atrium lobby areas or continuous slabs
between all floors) will affect the HVAC system distribution and degree of pressurization
required. Consequently, the building layout should be analyzed both vertically and
horizontally for its effects on the pressurization. For example, a medical or research
building might have certain areas under localized depressurization, such as laboratory
spaces or areas with infectious disease control concerns. If these areas are placed on
the perimeter of a building, infiltration through the building envelope and moisture
problems are likely to result. If certain areas must be under localized negative pressures,
they should be placed in the center of the building floor plan so that air travels from a
conditioned adjacent space. In this manner, the air traveling to the depressurized space
is conditioned and the HVAC system has a better chance of maintaining overall positive
building depressurization.

An HVAC system should induce a slight positive pressure on a building, since this
prevents infiltration through small cracks and openings (see Section 6.2). A positive
pressure will cause air always to flow out of a building through joints and cracks such as

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 those found at windows and closed doors.

However, even a well-pressurized building cannot prevent infiltration through large

openings like door entrances and open windows. Unless an outward airflow velocity of at
least 150 fpm can be achieved through these large openings, wind-induced air leakage
into the building can be expected. For example, an open window with an area of 12 sf
would require an over-pressurization of 1,800 cubic feet per minute (cfm) to achieve
airflow at 150 fpm…which is impossible to achieve with conventional HVAC systems!
Consequently, the use of operable windows must be restricted to minimum building code
requirements in hot, humid climates.

Certain architectural design can help minimize air leakage through entrance and exit
openings:

Vestibules: A double-door vestibule reduces the chance that a large direct

opening exists at any given time. However, to be effective, the length of the
vestibule must be sufficiently long that the outer door(s) close before the inner
door(s) open. A minimum distance of 15-20 feet is typically required.

Entrance Orientation: To reduce the amount of airflow through open door exterior
doors, they should be oriented away from the prevailing wind.

Tunnels: Entrances made of tunnel-like enclosures reduce wind counterflow

through a building opening.

Curtains: In auxiliary or back-of-house areas, plastic strip curtains or fan air

curtains help minimize wind-induced air leakage.

5.3 Designing to Prevent Moisture Vapor Intrusion Checklist

Design Component Requirement/

Element Criterion
Moisture migration Air leakage Reduce/seal openings, cracks, and
(infiltration) other pathways
Maintain building at a positive pressure
relative to the outdoors
Vapor diffusion Incorporate a vapor retarder in all
envelope elements
Install vapor retarder at or near the
exterior
Never use a vapor retarder or vapor
retarding material on the interior
Exterior finishes Select for low permeance ratings
Vapor retarders Select for permeance rating of less
than 1.0
Vapor retarder in walls must also
protect ceiling plenum
Seal retarders at windows, doors,
outlets, etc.

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 Design Component Requirement/
Element Criterion
Detail all conditions of vapor retarder
installation to ensure integrity of
moisture protection
Insulation Install next to and immediately indoors
of vapor retarder
Avoid thermal bridges
Interior finishes Avoid use vinyl wallcoverings (which is
a good vapor retarder)
Use only highly permeable finishes
Limit use of carpet or wood on
concrete slab-on-grade subfloors
Select acoustical tile ceilings for 90%
RH humidity rating
Infiltration Air barriers and seals Locate air barrier to the outside of the
vapor retarder
Installation must be as near perfect as
possible to be effective
Attics and soffits Don't use ventilated attics and soffits:
seal and condition
Space planning for Maintain building at a positive pressure
pressurization relative to the outdoors
Incorporate double door vestibules at
major entrances
Orient entrances away from prevailing
winds
Minimize the use of operable windows
Use air barriers or air curtains at
loading docks and other openings

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 Chapter 6

HVAC DESIGN TO LIMIT HUMIDITY

6.1 Basic Humidity Design Criteria for HVAC Systems

Indoor design conditions for “comfort air-conditioning” are typically 75 F dry bulb temperature
and 50% RH (corresponding to a 62°F wet bulb temperature and 55°F dewpoint temperature).
As indoor humidity levels exceed 60% RH, occupants no longer are comfortable, and at 65%
RH and higher, humidity levels support the growth of algae, mold, and mildew. In many
buildings in hot, humid climates, indoor temperatures of 72-75 F are easily maintained, but
humidity conditions are often 60-70% RH or higher.

ASHRAE Standard 62.1-2004 requires that occupied space relative humidity be limited to 65%
or less at either of the two following design conditions: (1) at the peak outdoor dewpoint design
conditions and at the peak indoor design latent load or (2) at the lowest space sensible heat
ratio expected to occur and the concurrent (simultaneous) outdoor condition. In actual practice,
indoor relative humidity should be limited to 65% or less at all times! This requirement becomes
very important for buildings located in hot, humid climates since, at humidity conditions above
60% RH, mold (fungi) growth, as well as other indoor air quality problems, are exacerbated, as
shown the following figure:

Decrease in bar width

indicates decrease in effect

Bacteria

Viruses

Fungi

Mites

Respiratory
Infections

Allergic Rhinitis
and Asthma
Chemical
Interactions

Ozone Production

10 20 30 40 50 60 70 80 90
Percent Relative Humidity

The failure of the HVAC systems to satisfy the imposed latent cooling loads (i.e., provide
dehumidification) and control humidity in occupied spaces to 60% RH or less is typically

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a result of poor system selection and sizing and/or the limitations of operation and control by
certain types of HVAC systems.

Accurate cooling load calculations are required to (1) prevent oversizing of HVAC systems and
(2) to ensure that sufficient latent cooling capacity is provided. To meet this second criterion, it
must be understood that the ASHRAE load calculation procedures predict sensible cooling
loads rather well, but may not accurately predict peak latent cooling loads. To avoid problems
with underestimating latent loads, two sets of cooling calculations are required: one for the peak
outdoor dry bulb temperature and coincident wet bulb temperature condition and one for the
peak wet bulb temperature and coincident dry bulb temperature condition. In hot, humid
climates, the HVAC system must satisfy the peak latent cooling load regardless of the
corresponding sensible cooling load.

6.2 Internal Pressurization

Infiltration of hot, humid outdoor air into each area of the building must be eliminated by
maintaining positive pressure in all building areas at all times.

Infiltration is defined as the “uncontrolled” introduction of outdoor air into a building. One
obvious source of infiltration is through open doors, but infiltration can also occur through walls,
through the cracks around windows and other wall openings, through roofs, etc. For the HVAC
designer, it is very difficult to address infiltration load because the load is widely dispersed and
changes as a function of the speed and direction of the prevailing wind. Thus, most designers
attempt to eliminate infiltration as a consideration by designing a building for a “positive”
pressure condition.

For internal pressurization to be effective in eliminating infiltration, the building pressure must
equal or exceed the pressure due to wind velocity. At an average wind speed during the cooling
months of 10 mph (typical for eastern North Carolina), an internal pressure in all areas of the
building of at least 0.009 psi (0.25” wg) would be required.

Because of the vagaries of construction, it is impossible to compute the exact amount of outdoor
air that must be introduced to maintain exactly 0.25” wg positive pressure in the building. Thus,
the most common approach used by designers is to determine the exhaust requirement in each
area and then introduce enough outdoor air in that area to offset the exhaust, plus an additional
10-20% (or more) as a “safety factor”. At all times, when an exterior door is opened, air should
exfiltrate from the building.

The key to pressurization is to (1) evaluate exhaust systems to minimize the amount of exhaust
air required, (2) evaluate ventilation air requirements to minimize the amount of outdoor air
required, since it is expensive to heat or cool this air, but (3), most importantly, ensure that the
amount of ventilation airflow exceeds the exhaust airflow in all areas at all times. Ventilation
and exhaust air systems must be controlled together so that exhaust systems are not operated
when ventilation air is not provided. VAV systems must be designed to provide the required
minimum ventilation airflow, regardless of the cooling load imposed on the air system.

6.2.1 Maximum Exhaust Airflow

Exhaust systems provide general exhaust (toilets, janitor closets, etc.) as necessary to
meet specific exhaust requirements or to meet minimum air change requirements in

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negative pressure spaces (such as laboratories or dirty linen rooms in hospitals).
Specific exhaust is required for hoods in kitchens, laboratories, etc.

The first step in reducing the potential for infiltration in a building is to minimize the total
exhaust airflow. The designer must determine the required exhaust airflow in each
space and not over-exhaust.

The second step is to ensure the exhaust system is effective and this starts with making
sure that exhaust ducts are sealed. Air leakage rates in unsealed low pressure, low
velocity exhaust ducts can approach 50%. This means that localized infiltration may be
much higher than any designer would estimate.

Exhaust ducts must be specified to be sealed in accordance HVAC Duct Leakage Test
Manual, SMACNA, 1st Edition, 1985, as follows:

Duct Construction Class Leakage Class

- 1" W.G. 12
- 2" W.G. 6
- 3" W.G. 6
Less than - 3" W.G. 3

Exhaust ductwork must be tested, section by section, in accordance with HVAC Duct
Leakage Test Manual. If any ductwork section fails to meet specified leakage level, the
contractor must modify it to bring into compliance and then retest it until allowable
leakage is demonstrated.

"Localized" exhaust systems are better than large, central exhaust systems. Localized
systems are easier to control and the amount of potentially "leaky" ductwork is reduced.
Also, with less ductwork, balancing of localized exhaust systems is easier and more
accurate.

The operation of exhaust fans must be controlled in sequence with the air-handling
system(s) serving the area being exhausted. Exhaust fans should not be operated
unless (1) the associated air-handling system(s) are energized and (2) the ventilation air
damper(s) is open. Often, during start-up periods and off-hours cycling, air-handling
units are operated with the outside air dampers closed. Under these conditions, exhaust
fans must be "off".

Kitchen exhaust represents a special case. Kitchen hoods should be stainless steel
manufacturer-engineered, UL-labeled type with at least 80% supplemental make-up air
delivered through (1) low velocity perforated ceiling diffusers at the hood perimeter or (2)
through rear discharges (“back supply”), as shown in the following figures. Short circuit
(internal make-up), air curtain, and face discharge type hoods are never acceptable.

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To reduce exhaust air requirements, kitchens should be designed to use wall-mounted
canopy hoods (preferably with side panels to eliminate side drafts) rather than island
hoods. For the same hood face area, exhaust airflow can be reduced by 25-33%.

Kitchen hood exhaust and make-up air fans must be hardwire-interlocked so that the
exhaust fans cannot operate unless the make-up air fans also operate. (The designer
should also ensure that the status of both exhaust and make-up air fans is monitored by
the HVAC control system so that fan failure can be quickly identified and corrected.)

6.2.2 Minimum Ventilation Airflow

The next step is to provide enough outdoor air to (1) meet ventilation airflow
requirements and (2) exceed the exhaust airflow in the area. However, to minimize the
energy impact of heating and cooling over ventilation beyond that needed to meet these
tow requirements should be avoided.

Dilution ventilation is a process by which some percentage of “dirty” indoor air is

continuously replaced by “clean” outdoor air. When evaluating indoor air quality, the
litmus test is how close to outdoor ambient air standards it comes.

Establishing design values and methods of controlling minimum ventilation airflow in

HVAC systems is becoming more and more complex, particularly for VAV systems. In
North Carolina, there are numerous codes and/or standards that apply to establishing
and controlling ventilation rates:

ASHRAE Standard 62.1-2004

ASHRAE/IESNA Standard 90.1-2004
North Carolina Mechanical Code (2006 Edition)
North Carolina Energy Code (2006 Edition)
North Carolina Building Code (2006 Edition)
ASTM Standard D6245-98, Standard Guide for Using Indoor Carbon Dioxide
Concentrations to Evaluate Indoor Air Quality and Ventilation

The ventilation rates established in these standards and codes are based on normal
building occupancy that contain the specified occupant density and activities that can

100
normally be expected to take place. Whenever building materials, cleaning and
maintenance materials, or specialized human activities introduce large quantities of
specific contaminants into the building atmosphere, there may be occupant complaints
and special ventilation measures should be considered to alleviate them.

Under the 2006 North Carolina Mechanical Code, required minimum outdoor air
ventilation rates are defined by Table 403.3. This table, for the most part, defines
occupancy-based ventilation rates in terms of “cfm/person” for each type of space use
and is based on ASHRAE Standard 62-2001. The number of occupants in a space for
application with Table 403.3 is defined as the “estimated maximum occupant load”. But,
Table 1002.2.2 of the 2006 North Carolina Building Code should also be reviewed and
the greater of the two values used to establish the “estimated maximum occupant load”.

An exception to using the “estimated maximum occupant load” are allowed by the 2006
North Carolina Mechanical Code: Section 403.3 states that a different value may be
used for “estimated maximum occupant load” when “approved statistical data document
the accuracy of an alternative occupant density”. Section 403.3.1 requires that the
minimum ventilation airflow be based on the “rate per person indicated in Table 403.3
and the actual number of occupants present”.

Air systems “zoning” based on ventilation is critical, since any air system serving multiple
spaces with differing ventilation rate requirements and/or different occupancy levels
must be designed on the basis of (1) the “critical space” that requires the highest outdoor
air percentage or (2) Equation 4-1 from the North Carolina Mechanical Code.

Equation 4-1 is presented as follows:

Y = X / (1 + X – Z)

where

Y = Vot / Vst Corrected fraction of outdoor air in system supply

X = Von / Vst Uncorrected fraction of outdoor air in system supply

Z = Voc / Vsc Fraction of outdoor air in critical space

Vot = Corrected total outdoor airflow rate (cfm)

Vst = Total system supply airflow rate (cfm)

Von = Sum of minimum required outdoor airflow rate (cfm)

in all zones (spaces) served by system

Voc = Minimum required outdoor airflow rate (cfm) in

critical zone (space)

Vsc = Total supply airflow rate (cfm) in critical zone (space)

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The “multiple spaces” procedure defined by Equation 4-1 recognizes that the ratio of
unvitiated ventilation air (ventilation air that is not contaminated) to the total supply air of
a system must equal the ratio of ventilation air to supply air for the most critical zone.
Since this almost always means that the noncritical zones are over-ventilated, the
excess ventilation air in the return air can be credited as unvitiated outdoor air at the
AHU. As a result, the ratio of outdoor air drawn directly into the AHU through the outside
air dampers is always less than the ratio of outdoor air required in the critical zone. But,
even with this “credit” for recirculated ventilation air, the amount of outdoor air drawn
directly into the AHU typically exceeds the product of cfm/person times the number of
occupants.

For example, consider a 10,000 cfm air-handler serving three spaces, as follows:

Space Supply Maximum Ventilation Required Ventilation/

Airflow Number of Rate Ventilation Supply Air
(cfm) Occupants (cfm/person) Air (cfm) Ratio
1 4,000 100 15 1,500 0.375
2 3,000 25 15 375 0.125
3 3,000 50 15 750 0.250
Total 10,000 175 15 2,625 0.265

The first option is to design the air-handler to provide a ventilation rate to satisfy the
critical zone, No.1, and deliver 37.5% outdoor air to each zone. This results in a total
ventilation airflow of 3,750 cfm, or 1,125 cfm greater than the minimum required.

The second option is to utilize Equation 4-1 from the 2006 North Carolina Mechanical
Code. For this example, the corrected fraction of outdoor air in the system computed via
Equation 4-1 is 0.2958. This results in a total ventilation airflow of 2,958 cfm, or 333 cfm
greater than the minimum required. Better, but still resulting in over-ventilation.

In both cases, the amount of ventilation airflow is greater than would be required by
properly zoning the spaces on the basis of ventilation ratio and arranging air-handling
systems accordingly. Over-ventilation results in higher energy costs, so the first step in
air system design is to arrange air systems so that only spaces with similar ventilation
ratios are served by the same system. For the example above, three smaller systems,
each serving a single space, will result in the correct minimum outdoor airflow in each
space, reduce the imposed heating and cooling loads, and (probably) result in better
comfort control.

The 2006 North Carolina Mechanical Code is overtly silent on the issue of reducing
ventilation airflow as a function of occupancy via demand control ventilation (DCV).
However, Section 403.3.1 of the Code states that “the minimum flow rate of outdoor air
…must be…based on the rate per person indicated in Table 403.3 and the actual
number of occupants present”. This seems to allow DCV as part of a ventilation scheme
and the Engineering Division of the N.C. Department of Insurance confirms this
interpretation.

The DCV strategy is aimed at verifiably meeting minimum required ventilation rates
(cfm/person) while minimizing the energy utilized to heat or cool the ventilation and the

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“Indoor Air Quality Procedure” of ASHRAE Standard 62-2001 (Section 6.2) specifically
allows this control approach.

The most common DCV strategy is to use CO2 concentration level as the criteria for
ventilation airflow control. In accordance with interpretation IC 62-1989-27, DCV can be
used if the following conditions are met:

1. The provisions of Section 6.1.2.4 are not applied to lower the estimated
maximum occupancy for the purpose of reducing the design ventilation rate.

2. CO2 is not removed by methods other than dilution ventilation (such as gas
phase sorption filtration).

3. There is no presumption that lag ventilation will result in acceptable indoor air
quality, but there has been consideration of the potential for “appreciable buildup
of contaminants during unoccupied hours”, for instance from materials or
machines in the building, microbiologically contaminated areas, or activities of
maintenance personnel.

4. Where required, the “multiple spaces” requirements [Equation 4-1, 2006 North
Carolina Mechanical Code] are used to determine the system outdoor air quantity
using the corrected fraction of outdoor air.

5. Sensor location and setpoints are selected on the basis of achieving minimum
required ventilation rates (cfm/person).

6. Method of demand control of outdoor air intake is properly implemented.

The proper implementation required by condition “6” includes the following:

1. The ventilation airflow may not be reduced to zero. Some industry sources
define 20% of design as minimum. But, while ASHRAE is silent on what the
minimum ventilation airflow may be, the discussion in Section 6.1.2.4 of ASHRAE
Standard 62-2001 sets a value of 50% of design for reduced occupancy
ventilation. Therefore, lacking better data, it is recommended that the minimum
ventilation airflow with DCV should not fall below 50% of the design ventilation
airflow.

2. Designs must take into account the need to ensure increased outdoor intake
within the maximum permissible ventilation lag time as shown in Fig. 4 of
ASHRAE Standard 62-2001, as follows:

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ASHRAE defines 700 ppm differential between indoor and outdoor CO2 concentration
levels as the condition at which “comfort (odor) criteria related to human bioeffluents are
likely to be satisfied” and ASTM considers a 700 ppm differential as indicative of a
ventilation rate of 15 cfm/person. Therefore, this differential may be applied for control
of DCV. With a 700 ppm differential as maximum and using a proportional or
proportional+integral control mode, the control setpoint should be 400 ppm with a ±300
ppm throttling range. Thus, space CO2 concentration levels are allowed to range from
100 to 700 ppm above outdoor levels. However, NIOSH has recommended that total
concentration levels in any area not exceed 1000 ppm and this value must used as the
upper limit control setpoint.

CO2 is not considered by ASHRAE to be a pollutant or to be used as sole proof of

compliance with ASHRAE Standard 62-2001. Other potential contaminants must be
considered and evaluated. Appendix C of ASHRAE Standard 62-2001 should be
reviewed and evaluated for each design.

The use of DCV is normally an option for the designer. However, Chapter 7 of the 2006
North Carolina Energy Code, requires that new “commercial buildings” (as defined by
the Code) be designed to comply with ASHRAE/IESNA 90.1-2001 and Section 6.2.2.9 of
that Standard requires DCV for “high occupancy” systems, defined as follows:

1. Minimum total ventilation airflow of 3,000 cfm.

2. Maximum occupant density exceeding 100 people per 1,000 sf (typically

churches, sports arenas, convention centers, and other assembly-type buildings).

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Applying DCV to constant volume air systems is relatively straightforward: a CO2 sensor
is required to monitor (1) the outdoor air and (2) each space served by the air-handling
system. Based on the differential between outdoor and indoor CO2 concentration levels
setpoint, the outdoor, return, and relief dampers are modulated to maintain setpoint in
the space with the highest CO2 concentration level (old fashioned “discriminator
control”).

Note that airside economizers are generally required by ASHRAE/IESNA Standard 90.1-
1999, even in hot, humid climates, and the DCV control must be suspended whenever
the outdoor temperature is at or below the air-handler discharge air temperature setpoint
and the economizer cycle is in use.

CO2 sensor location is critical to DCV control. Duct sensors should not be used except
for single zone systems. Wall-mounted sensors should not be located near doors, air
inlets or outlets, open windows, or near where people may congregate for any period of
time.

[2010 Update: While the North Carolina code still uses the cfm/person criteria from
ASHRAE Standard 62-2001, ASHRAE has supplanted this documents with Standard
62.1 which introduces a significantly modified approach to defining ventilation air
requirements.]

6.2.3 Balancing for Positive Pressure

The control of ventilation airflow and its balance with the exhaust airflow in each area of
the building is critical to maintaining positive internal pressure throughout the building.
The designer must ensure that ventilation airflow in each area of the building exceeds
the exhaust airflow in that area, creating positive pressure.

For constant volume supply air systems to maintain positive pressure, it is only
necessary to design and adjust these systems so that the minimum ventilation airflow
rate always exceeds the maximum exhaust airflow rate. However, for variable air
volume systems, the problem becomes more complex.

Variable air volume (VAV) systems are required by the North Carolina Mechanical Code
to be provided with “controls to regulate the flow of outdoor air…and maintain the flow of
outdoor at a rate not less than that required by Section 403 over the entire range of
supply air…rates”. This means that airflow monitoring and airflow-tracking control is
required for all VAV systems, both to satisfy the code requirement and to maintain
building pressurization.

With VAV systems without airflow tracking, as the supply volume decreases with load,
the amount of ventilation air also decreases proportionally. This creates two potential
problems:

1. The amount of ventilation airflow is reduced to below the minimum required

for acceptable indoor air quality.

2. Since any constant volume exhaust systems will remain in operation, the
make-up/exhaust air balance will disappear and the building will have an

105
 increasing negative pressure condition, increasing infiltration and, potentially,
the potential for moisture intrusion.

To solve this problem, control of the outdoor airflow rate must be maintained at a more
or less constant setpoint by modulating the outdoor air, return air, and relief air dampers
to maintain a fixed flow differential between the supply fan and return fan(s) or control
the operation of relief fans to maintain the required minimum ventilation airflow. For
systems with return fans, this control method requires that airflow sensors be installed in
the discharge of each fan and a controller utilize the airflow signal (as indicated by
velocity pressure) to modulate the dampers. Note that while return airflow can go to
zero, the minimum supply airflow can never be less than the minimum ventilation rate
required and this flow, in effect, is the supply airflow low limit setpoint. For systems with
relief fans, the control requirements are more complex (see Section 6.2.4).

An alternative control approach is utilize an airflow monitoring station in the minimum

outdoor air intake and controlling the return fan speed to maintain a fixed outdoor airflow
rate setpoint condition. However, because of minimum velocity requirements for airflow
monitoring stations (about 300 fpm), sizing of the outdoor air intake and the airflow
monitoring station is critical to maintain accurate results.

While it is fairly easy to maintain the total air system ventilation rate as required, the next
problem that must be addressed is the actual ventilation rate in each space, since the
typical case for almost any VAV system is to supply air to multiple spaces.

Equation 4-1 from the 2006 North Carolina Mechanical Code is used to establish the
system design corrected minimum ventilation air ratio. When all VAV terminal units are
at full load (i.e., maximum airflow), each space receives its required ventilation airflow.
The minimum airflow percentage through each VAV terminal unit cannot be less that the
design corrected minimum ventilation ratio for the air system. Thus, when all terminal
units are delivering minimum airflow, the air system is also delivering minimum airflow
and that airflow is 100% outdoor air. Thus, each space receives its required ventilation
airflow.

DCV can be applied to a VAV system. To implement DCV, a CO2 sensor is required to
monitor (1) the outdoor air and (2) each space served by a VAV terminal unit. Based on
a maximum 700 ppm differential between outdoor and indoor CO2 concentration levels
as setpoint, the outdoor, return, and relief dampers of the air-handling unit are
modulated (via proportional or proportional+integral control modes) to maintain setpoint
in the space with the highest CO2 concentration level (again, old fashioned discriminator
control). The minimum airflow rate for each VAV terminal unit cannot be less that the
design corrected minimum ventilation ratio for the air system.

6.2.4 Return Air Systems

It is common to utilize ceiling plenums for return air transport. However, that means that
the return air plenum will always be under a negative pressure and any air leaks through
the wall above the ceiling line will produce excess infiltration and resulting high humidity
conditions above the ceiling.

If a ceiling plenum return is desired (since the cost of a return air duct system can be
avoided), it is better to avoid the use of a return air fan and to balance the air system so

106
that the "zero pressure" condition occurs in the return system downstream of the ceiling
plenum. This, in turn, places the ceiling plenum under positive pressure as the supply
fan pressurizes both the occupied space and the ceiling plenum in order to "push" the
return air back through the system.

For small systems that would not be designed with an airside economizer cycle, this is
the normal system configuration. However, for larger air systems, airside economizer
cycles are routinely utilized to reduce annual cooling costs and may, in fact, be required
by the 2006 North Carolina Energy Code. In this configuration, relief air fans should be
used to discharge excess return air when the supply system is utilizing outdoor air for
cooling. Thus, selection of the relief air fan(s) and its control becomes critical in the
HVAC design.

There are three basic methods of controlling relief airflow in this configuration:

1. Install multiple propeller fans that are controlled in "stages" to relieve excess
outdoor air and prevent over-pressurization of the building.

2. Use a single relief fan with a variable frequency drive that is controlled to
relieve excess outdoor air and prevent over-pressurization of the building.

3. Utilize barometric (gravity) relief air dampers that open to relieve excess
plenum pressure.

For options 1 and 2, the "basis of control" must be established. Designers over the
years have attempted to control relief fan airflow on the basis of building pressure.
Generally, this has not been successful because of the many variables that affect
building pressure…indoor temperature, outdoor temperature, wind pressure, sensor(s)
location, stack effect, elevator "pumping", etc. Thus, the better approach is to use
"airflow tracking". With airflow tracking, airflow monitoring stations are installed in the
supply air and the outside air airstreams and the relief air fan(s) is controlled to maintain
a more or less fixed difference between the two (i.e., the relief airflow).

Option 3 is limited to smaller, single story buildings. Another major drawback to Option 3
is that the resulting wall or roof penetrations for relief dampers are potential points of
water intrusion and/or air infiltration. Gravity dampers are fairly lightly constructed and,
over time, they deteriorate and allow both air and water leakage into the building.
Therefore, for most facilities, Option 3 is not acceptable.

When a ducted return is necessary (in laboratories, hospitals, etc.), it is necessary that
the designer evaluate both relief air and return air fan configurations. If the return air
pressure loss is fairly low (0.5" wg or less), it is typically better to include that loss on the
supply fan and utilize a relief air fan for economizer control. If the return air pressure
loss is high, a return fan is the better option.

With a ducted return, the ceiling plenum is now under neutral pressure (unless, or
course, the return and exhaust ducts running through the plenum are not well-sealed,
which can result in a negative pressure in the plenum). In every installation, the supply
air distribution system should be designed to deliver a small amount of supply air into the
plenum to create a positive pressure condition in this area.

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6.3 Air Systems Configuration and Control

Variable air volume (VAV) systems with reheat in a single path configuration can meet
temperature control needs, operate efficiently (meeting the reheat limits of the North Carolina
Energy Code), and limit the maximum humidity in conditioned spaced to 50-55% RH. Since all
of the supply air (including all ventilation air) is cooled to the design temperature discharge air
setpoint that is low enough to offset the peak latent cooling load at all times, the system will
maintain acceptably low indoor air humidity as long as the system is designed correctly and
discharge air temperature reset is not applied.

In the design of VAV systems, though, the designer must address two potential humidity control
problems:

1. Required minimum ventilation airflow must be maintained at all times, either by using
“fan tracking” control to maintain a fixed differential airflow between the supply and
return fans or by use of demand control ventilation (see Section 6.2.2). Another
approach to consider is the use of a dedicated outdoor air system (see Section 6.4).

2. The minimum airflow to any space must be the greater of the minimum required
ventilation airflow or the airflow required to meet the imposed latent cooling load,
computed as follows:

V = LCL / [4840 (W r – W s)]

where

LCL = Latent Cooling Load (Btu/Hr)

V= Volumetric Airflow Rate (CFM)
Wr = Room Air Humidity Ratio (Lb moisture/lb of dry air)
Ws = Supply Air Humidity Ratio (Lb moisture/lb of dry air)

Single zone cooling systems using chilled water maintain space temperature at the setpoint
condition by having a room temperature sensor or thermostat modulate the control valve to vary
the water flow and, thus, vary the supply air temperature. At full cooling load condition, the
control valve is wide open and the supply air temperature will be (typically) 50-55°F. With a
room sensible heat ratio of approximately 0.85-0.90, the resulting room humidity condition will
be 50% RH. Then, as the room cooling load decreases, the valve modulates closed (or to
bypass for 3-way valves), raising the supply air temperature to satisfy the sensible requirement.
But, since the latent load remains unchanged, the room humidity level increases.

The single zone system problem is even greater with the "on/off" control of packaged direct
expansion (DX) systems or with chilled water coils equipped with 2-position control valves. For
DX systems at full load, the compressor runs for long periods and produces low temperature
supply air that satisfies both the sensible and latent cooling loads. However, as the sensible
load is reduced, the DX compressor will ”cycle” on for short periods to meet the sensible load,
but will not remain on long enough to satisfy the latent cooling load so as to "dehumidify" and,
thus, the room humidity level increases. This problem is illustrated in the following figure:

108
 1

Cooling-coil sensible heat ratio

0.9


Constant fan

0.8
  Cycling fan

0.7

0.6

0.5
0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

Compressor run-time fraction

Obviously, as the run-time fraction decreases with the decrease in sensible in cooling load, the
ability of these systems to dehumidify decreases. The problem is much more severe with
constant fan operation, usually required in all but residential occupancies due to the need to
provide ventilation air.

If DX systems must be used (due to project size and loads, zoning requirements, and/or owner’s
inability to maintain more complex chilled water systems), the designer must consider the
following to improve latent cooling ability:

1. "Judicious" undersizing of equipment will reduce cycling. Since comfort cooling

systems will operate for far more hours at part load than at peak load, it may be better to
have short periods when the design temperature condition cannot be maintained than
have long periods when the design humidity condition cannot be maintained.

2. Design for higher temperature rise, which has the effect of lowering the discharge air
dewpoint temperature and reducing air flow velocity across the cooling coil, both of
which improve the coil's latent cooling capacity.

3. Utilize fan cycling or, better yet, use VAV supply airflow control. (Packaged DX VAV
systems with vendor-installed controls typically work well.) Note that with both of these
options, special attention to providing required ventilation airflow is required (see Section
6.2.2).

4. Use multiple compressors with multiple refrigerant circuits and a common evaporator
coil with any system 5 tons or larger. To maximize latent cooling capacity, use fully
intertwined coil configurations. Split face coils offer enhanced part load dehumidification
control with return air applications, but the inactive circuits of a split face coil can bypass
excessive humidity when applied in high outside airflow applications.

5. Provide multiple systems to serve each large space (a common technique in Europe
and Asia). Thus, a 5-ton load might be met with three or four 1-1/2 ton systems, all
controlled from a single multi-stage thermostat, rather than with one 5-ton system. At

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 part load conditions, one or more smaller units will operate at full load and provide
improved latent cooling.

6. Use heat pipe or "run-around" heat recovery cycle coils to "wrap" the DX cooling coil.
This has the effect of using DX discharge air to "precool" the air entering the DX coil,
effectively shifting DX capacity from sensible cooling to latent cooling. (This will require
increased airflow and higher fan static pressure that must be taken into account.)

CONVENTIONAL DX COOLING

DX Coil
80.0° FDB 57.4° FDB
Return Supply
67.0° FWB 56.6° FWB
air air
60.4° FDP 56.0° FDP

DX COOLING WITH “WRAP-AROUND”

HEAT RECOVERY

80.0° FDB 67.8° FDB 53.0° FDB 65.1° FDB

HX Coil

DX Coil

HX Coil
Return Supply
67.0° FWB 63.0° FWB 52.6° FWB 57.5° FWB
air air
60.4° FDP 60.4° FDP 52.3° FDP 52.3° FDP

7. Evaluate the use of pulse width modulation expansion valves in lieu of thermal
expansion valves. Pulse wide modulation expansion valves, with the proper electronic
controller and proportional sensors, can provide more precise control and less need for
compressor cycling.

8. Utilize reheat. To reduce operating the operating costs associated with reheat,
manufacturers are now offering packaged units with integral hot gas reheat and separate
liquid line control so that dehumidification and cooling can be controlled independently.

9. Use "dual path" dehumidification (see Section 6.5)

For chilled water systems with two-position control valves (fan coil units, etc.), the operating
results and poor humidity control are exactly the same as for DX systems with on-off control,
since the "open-close" operation of the chilled water control valve mimics the "on-off' control of a
compressor in a DX system. Thus, two-position control valves should never be used for control
of a chilled water coil.

110
System sizing is very important in hot, humid climates since oversizing of single zone systems
can result in severe humidity problems. The designer must select design conditions and
evaluate cooling, particularly latent cooling loads, very carefully to avoid this oversizing of
airflows and/or cooling coil capacity.

To provide better moisture control, air handling units should be selected for blow through
configuration (i.e., the fan is upstream of the cooling coil). This configuration has two
advantages: (1) the drain pan condensate removal is enhanced due to the positive supply fan
pressure and (2) the discharge air temperature does not require subcooling to compensate for
the fan heat. These two factors reduce the potential for poor condensate removal and high
discharge air temperatures.

Cooling coil moisture carryover must be avoided. In hot, humid climates with high ventilation air
rates, the latent load on the cooling coil may be 25-50% of the total load. The resulting
condensate on the coil fins tends to "pile up" at the bottom of the coil and can carryover with the
supply air if the velocity it too high. The maximum cooling coil airflow velocity should be
selected on the following basis:

Maximum Coil Face

Percent Outdoor Air Velocity (FPM)
≤ 20% 400-500
20-60 % 350
61-80% 300
81% + 200-250

Moisture removed by latent cooling must be collected and removed from the air-handling unit
drain pan and not be allowed to re-evaporate into the supply air stream. In a blow-through
configuration, an air-handling unit creates a positive pressure condition at the cooling coil and
condensate drain pan. The condensate drain, therefore, must be provided with an air seal (a
“trap”) of sufficient height to account for the positive static pressure condition that occurs under
normal operating conditions. This pressure is typically equal to the downstream duct, box, and
air distribution losses, plus any plenum losses in the air-handling unit. As a safety factor, add
an additional 1” to this total.

If a draw-through configuration is used, the air-handling unit creates a negative pressure

condition at the cooling coil and condensate drain pan. The condensate drain, therefore, must
be provided with a air seal (a “trap”) of sufficient height to account for the negative static
pressure condition that occurs under “worst case” conditions. This pressure is typically equal to
the sum of the air-handling unit losses with dirty filters (including damper, coil, filter, and air-
handling unit losses).

The amount of condensate produced will range from 0.005 to 0.0167 gpm/ton, based on the
amount of outdoor air and the climatic conditions that exist. There is no “scientific” method for
sizing condensate drain lines, but the following recommended pipe sizes has been developed
from experience over the years:

Drain Maximum Coil Load

Size (Tons)
¾” 2
1” 5
1-1/4” 30

111
 Drain Maximum Coil Load
Size (Tons)
1-1/2” 50
2” 160
3” 300
4” 430
6” 1000

Proper condensate drain design calls for a properly sized drain line and a trap, as shown in the
following figure, configured specifically for the pressure condition in the air-handling unit.

However, improper use and maintenance of the trap can cause condensate drainage problems
and excess moisture in the air-handling unit:

1. The trap must be cleaned periodically (least once per year at the beginning of the
cooling season) to avoid blockage by algae formation, sediment, etc. in the line.

2. It is common for the water seal to evaporate during the non-cooling season. It is
typically necessary for the trap to be manually filled at the beginning of the cooling
season.

112
Filtration of the intake air provides the best means of preventing airborne mold spores from
entering a building, although spores may still be tracked or carried in by other means. Filtration
of return air can also control indoor airborne levels, but if spores are being generated indoors
then this problem should perhaps be dealt with at the source.

Typical dust filters may be insufficient to intercepting fungal spores since the most common
ones tend to be in the 1– 6 micron size range. Excellent removal rates can be attained with
filtration. For example, a filter with an MERV of 7 will remove 57% of Aspergillus (3.5 microns
diameter) and 83% of Stachybotris (5.7 microns diameter) spores at normal air change rates (4-
6 ac/hr). Increasing the MERV to 13 will result in near 90% removal of all mold spores.

6.4 Single Path HVAC Systems Dehumidification

For most buildings, the largest latent cooling load component and source of moisture is the
ventilation airflow. Dealing with this latent cooling (dehumidification) requirement must be a
primary goal for the HVAC systems designer.

Typically, return air and outdoor ventilation air are brought together in a mixing section of the
air-handler and then pass through the cooling coil. This configuration is referred to as "single
path" since both the conditioned return air and the unconditioned outdoor air follow the same
path through the air-handler.

For single path air handling systems, the only way of simultaneously controlling temperature
and humidity in a space under widely varying cooling load conditions is to (1) precondition the
outdoor air and essentially eliminate the need for latent cooling by the main air-handling system
or (2) use “reheat”. With reheat, simultaneous heating and cooling by the AHU is required. The
heating coil must be located downstream of the cooling coil, as shown in the following figure,
and two control sensors are required, a temperature sensor for controlling room temperature
and a humidity sensor to control room humidity.

Return
air

N.C.
S
~ ~

R
Supply
fan Heating
Outside coil To
air Room
Manual
damper
N.O.
Cooling S
~ ~

Filter
coil
R

113
With reheat, at full load, the cooling coil control valve is modulated open under control of the
room thermostat. As the sensible load decreases, the cooling coil control valve modulates
toward closed, raising the discharge air temperature to satisfy the sensible requirement.
However, if the room humidity level rises above the room humidity sensor setpoint, the cooling
coil valve remains open and the heating coil valve modulates open to heat the supply air to the
required discharge air temperature to maintain the room temperature setpoint. Thus, the
cooling coil meets the imposed latent load, while the reheat coil prevents the space from
becoming too cold.

To avoid the need for constant cooling and dehumidification with reheat, preconditioning of the
ventilation air is a viable and more energy efficient option. Under this option, the discharge air
dewpoint temperature from a ventilation air cooling coil is always maintained low enough that
the outdoor airflow rate and humidity ratio will always satisfy the indoor latent cooling loads.
This means that the ventilation air conditioning is always independent of the space conditions
and loads and, for the most part, latent cooling is not required by the main air-handler cooling
coil. Thus, reheat is not needed until the cooling capacity of the ventilation air exceeds the
imposed cooling load.

With the preconditioning system, changeover control can be used to switch the pre-conditioning
coil from cooling to heating once the outdoor air temperature falls below the required space
dewpoint temperature. One preconditioning system design option is to use DX cooling with hot
gas reheat. With this option, a specialized unit (typically designed for indoor swimming pool
applications) can be used. This option eliminates the need for any "new energy" reheat.

Preconditioning of ventilation air is the recommended option for use with multiple small single
zone systems (such a fan coil units) and especially when multiple, small packaged DX units are
used.

For variable volume reheat systems, the configuration is ideal for humidity control. The air-
handler discharge air temperature is maintained at a low enough setpoint to meet (and even
exceed) the imposed latent cooling loads at any time. As the supply air volume reduces in any
control zone as the sensible cooling load falls, a humidity sensor can limit the volume reduction
to maintain the humidity setpoint in the zone. Any overcooling that results is then offset by the
thermostat responding and providing heat via the zone heating/reheating coil. (In fact, buildings
with properly designed and operated VAV/reheat systems rarely exhibit mold problems in hot,
humid climates.)

6.5 Dual Path HVAC Systems Dehumidification

Since reheat (sometimes called “air tempering” when used for humidity control) can increase
energy consumption and the current energy codes place limits on the use of reheat for
temperature control, a more energy efficient approach to direct humidity control is to “de-couple”
conditioning of the ventilation air from the conditioning of the room air.

Preconditioning of ventilation air in a single path air-handling systems is one approach, but
another approach is to use dedicated outdoor air systems (DOAS) condition the outdoor
ventilation make-up air separately from the return air from the conditioned space, as illustrated
by the following figure:

114
 TE = 750F
WE = 0.0093
General exhaust
~ from toilets,
storage, etc.
Exhaust Filter
fan(s)

~S Heating
~ R coil TV = 750F
W V = 0.0066

Supply
Filter fan Cooling ~S
Heat recovery coil
~R
element

T T T

Zone 1 Zone 2 Zone 3

Air
TR = 750F
Volume
W R= 0.0093
Damper
N.C.
Relief (Typical)
air
Reheat
Return Coil (Typical)
fan
N.O. VFD

N.C. Cooling
damper coil
Filter TS = 580F
(2 position)
WS = 0.0093

N.C. Supply ~S
damper fan ~R
VFD
(modulating)

This method of handling ventilation air results in superior humidity control by dealing with the
primary source of humidity in most buildings…ambient humidity carried by ventilation air
directly into the space(s).

Handling the treatment and distribution of ventilation air and of return air from the occupied
space with separate, parallel systems offers a number of potential advantages over
conventional VAV systems that help to overcome the problems discussed above. Many of these
advantages directly result in significant energy savings:

1. The ventilation make-up air system can be sized and operated to provide the
ventilation air flow rate required by ASHRAE Standard 62 and provide this flow rate
regardless of the interior temperature, without any need to oversize the ventilation rate.
The ventilation rate can be constant, or it can be varied based on the building
operating/occupancy schedule or in response to the actual occupancy (on a real time
basis). Moreover, a DOAS allows easy verification that the system supplied the minimum
OA quantities to different portions of a building. Energy recovery heat exchange between
the make-up air and exhaust is readily implemented in this configuration, reducing peak
cooling and heating loads to condition make-up air.

2. The predominant humidity load in most buildings in hot, humid climates is the humidity
brought in with the ventilation make-up air in hot weather. Consequently, the entire
humidity load for the building can be handled efficiently by separately conditioning the
make-up air so that excess ambient humidity is removed, along with an additional
amount to offset internal moisture gain.

115
 3. With the ventilation air separately conditioned, and with the entire building humidity
load handled in the process, the main air-conditioning system can be operated to
maintain temperature control by addressing sensible cooling loads only. Consequently,
the cooling system can be operated at a higher than normal evaporating temperature
(approximately 55°F evaporator temperature vs. 40-45°F for the typical DX system),
increasing the compressor COP.

In addition to providing independent temperature and humidity control, DOAS is ideal for use
with VAV air-conditioning systems. The conditioned airflow rate is varied in proportion to the net
cooling or heating load, saving significant amounts of fan power during the large proportion of
the year when full heating or cooling capacity is not required. Meanwhile, the parallel ventilation
air system continues to deliver the appropriate amount of air to each space for IAQ purposes.

These advantages can be realized in either a single zone or a multiple zone HVAC system
configuration. Zoned HVAC systems divide a building into multiple areas, or zones, and actively
control the environment in each zone per the need of each zone. Typically, the HVAC system
designer will delineate the zones based upon differences in location, occupancy, and use. This
approach delivers heating, cooling and ventilation to areas as needed, reducing the unneeded
conditioning of unoccupied zones and over-heating or over-cooling of occupied zones. DOAS
can realize further efficiency gains by greatly reducing the introduction of excess outdoor air
required to achieve minimum outside air levels in a multi-zone system, thus reducing the
amount of outside air conditioning (both heating and cooling) required.

But, DOAS has its disadvantages:

1. An additional duct system is required, which may present serious space limitation
problems and will certainly increase costs.

2. For the ventilation air to offset each individual zone’s latent cooling requirements, the
zonal distribution of latent loads must be essentially the same as the distribution of
ventilation airflows. This will be the case when the only source of latent loads in the
building are people. But, in zones where there are latent loads from process equipment
or other sources, ventilation airflow may be insufficient to offset the moisture gains and
these zones will develop high humidity.

3. High aspiration diffusers are required to distribute ventilation air in each space. A
diffuser design with a high aspiration ratio induces room air toward the supply diffuser,
providing good mixing with relative low airflow through the diffuser. If standard diffusers
are used, air velocities will be too low and drafts or dumping will result.

4. Ventilation air dewpoint temperatures of 40-45°F are normally required for the
ventilation air to offset all building latent cooling loads. This will result in a cooling coil
sensible heat ratio of 0.30-0.40, which is impossible to achieve with DX equipment.
Therefore, chilled water and/or desiccant dehumidification is typically required.

A less expensive alternative method of providing a dual path configuration to separate the
conditioning of ventilation air and return air is to arrange each air system as a dual path air-
handler, as shown in the following figure:

116
 OA

SA RA

In this configuration, the outdoor air is directed to a separate cooling coil where it is cooled and
dehumidified independently of the return air (which is directed to the normal air-handler cooling
coil). The discharge air dewpoint temperature from the ventilation air cooling coil is always
maintained low enough that the outdoor airflow rate and humidity ratio will always satisfy the
indoor latent cooling loads. This means that the ventilation air conditioning is always
independent of the space conditions and loads and, for the most part, latent cooling is not
required by the main air-handler cooling coil.

There is the potential that the amount of cold outdoor will have a cooling capacity that exceeds
the space sensible cooling load, resulting in over-cooling of the space. Therefor, reheat must
be provided in the ventilation air path, controlled by the space thermostat (the "key space when
then multiple spaces are served).

When the outdoor air temperature drops to below the minimum required dewpoint temperature,
the ventilation air path coil can be switched to heating or the reheat coil can be used for heating
the ventilation air.

6.6 Unoccupied Period Dehumidification

Many facilities are not occupied around the clock. Therefore, the HVAC designer must address
unoccupied periods, ranging from overnight to weekends to summer vacations, in order to
prevent high humidity conditions during these periods.

The recommended approach is to establish both high limit temperature and high limit humidity
unoccupied space setpoints, monitored by space temperature and humidity sensors, that will
cause the HVAC controls to cycle the HVAC systems "on" to maintain these setpoints. Ideally,
this would be done for each air-handler. But, because central chiller and boiler plants may have
a minimum load requirement, care must be taken by the designer to ensure that enough
systems are cycled on to provide this minimum load…or there is no benefit to the unoccupied
period control.

Since there are no people in the building during these unoccupied periods, ventilation air is not
required and the outdoor air dampers should be closed (which eliminates the majority of the
moisture load imposed on the building, anyway). But, to prevent building negative pressure
conditions, the building exhaust systems must be "off".

117
6.7 Cooling/Dehumidification Reliability

The reliability of the primary cooling/dehumidification system(s) in any building is critical to

maintaining indoor humidity at a level required to reduce the potential for mold growth. To
ensure this reliability, the designer must select reliable refrigeration equipment and configure
cooling systems to minimize the impact of failures when they do occur.

The first step in design is to select cooling systems with high, inherent reliability:

DX Systems: Direct expansion cooling is typically provided by air-cooled equipment

ranging from 1.5 tons (packaged and split systems) to as much as 40-50 tons in
packaged rooftop units. Refrigeration compressors used in DX systems consist primarily
of the scroll type in capacities up to about 15 tons and the reciprocating type in larger
capacities up to about 60 tons.

To ensure cooling/dehumidification reliability, the use of multiple scroll type

compressors, with multiple independent refrigeration circuits is recommend for any
system 10 tons and larger. Scroll compressors are much simpler to build and maintain
than reciprocating compressors and are inherently less prone to failure. When a
compressor does fail, the use of multiple compressors, each with its own refrigeration
circuit, means that the remaining compressors remain in operation at least some cooling
is still provided.

The evaporator coils with multiple compressors should always be arranged for a
serpentine or row-split refrigerant flow configuration. This will ensure uniform cooling
across the entire coil face, which results in all of the air being cooled and dehumidified.
(A face-split configuration results in unconditioned air being by-passed through sections
of the coil that provide no cooling/dehumidification.)

Since the majority of DX systems utilize air-cooling for condensing, the reliability of the
condenser side of the system must also be examined. Coastal areas, where blowing
salt from the ocean is a routine condition, have problems with the life of aluminum
fins…life expectancy may be as low as 4-5 years for outdoor coils because of aluminum
fin corrosion. For smaller systems, the outdoor coils should be specified to have epoxy
fin coating. For larger systems, the fins should be copper.

High condensing pressures due to high condensing temperatures reduce cooling

capacity and shorten the life of DX compressors. While air-cooled condensers can be
selected for 95°F ambient temperature when installed on the ground in landscaped
areas, condensers installed on rooftops or in confined, sunny areas should always be
selected for at least 105°F condensing temperature. To reduce this temperature (and
save energy), designers should consider the use of evaporative condensers or the use
of after-market evaporative precooling pads for standard air-cooled condensers.

Electric-Drive Water Chillers: Electric-drive chillers come in three basic configurations:

1. Multiple scroll or reciprocating compressors (up to about 200 tons total

capacity).

2. Rotary screw compressors (from about 150 tons to over 800 tons)

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 3. Rotary centrifugal compressors (from about 150 tons to over 10,000 tons)

As long as chillers using multiple scroll or reciprocating compressors met the same
requirements recommended for DX units, all electric-drive chillers that are maintained
properly are very reliable, with "mean time between failures" measured in months (for
air-cooled condensing) or even years (for water-cooled condensing.

Water-cooled systems are more efficient and usually more reliable than air-cooled
systems. If air-cooled chillers are used in coastal locations, the fins should be copper
(though epoxy-coated aluminum is usually acceptable for smaller units).

Steam- and Direct-Fired Absorption Chillers: Since about 1990, two-stage steam-
and direct-fired absorption chillers, utilizing electronic digital controls, have found
application in larger, multiple chiller applications where the absorption chillers are
operated during the summer months to offset the peak electrical demand charges that
would be imposed on electric-drive chillers. Historically, these machines, if properly
maintained, have been quite reliable.

Engine-Drive Water Chillers: Natural gas and propane fueled spark ignition engines
have been applied to rotary compressor systems. The full-load cooling COP’s for
engine-driven chillers are approximately 1.0 for reciprocating compressors, 1.3-1.9 for
screw compressors, and 1.9 for centrifugal compressors. These relatively poor COP’s
can be improved if the engine water jacket heat and exhaust heat can be recovered to
heat service hot water or for other uses.

Engine-drive chillers have been around for many years, but their application, most
typically utilizing natural gas for fuel, has been limited by a number of factors:

1. Higher first cost.

2. Air quality regulations.
3. Much higher maintenance requirements.
4. Short engine life.
5. Noise.
6. Larger physical size.
7. Lack of integration between engine and refrigeration subsystems.

Manufacturers have worked very hard to reduce these negatives with more compact
designs, emissions control systems, noise abatement measures, basic engine
improvements, and development of overall systems controls using microprocessors, but
relatively fee significant improvements have been made.

Currently, the engines used for chillers are either spark-ignition engines based on
automotive blocks, heads, and moving components (below about 400 tons capacity) or
spark-ignition engines using diesel blocks and moving components (for larger chillers).
While the automotive-derivative engines are advertised to have a 20,000 hour useful life,
the real life may be much shorter, requiring an engine replacement every 2-4 years. The
diesel-derivative engines require an overhaul every 10-12,000 hours (equivalent to a
diesel truck traveling 500,000 miles at 50 mph).

The maintenance requirements for engine-drive chillers remain high (typically, adding
about $0.02/ton hour to the chiller operating cost). The owner must be capable of

119
 providing and funding the required maintenance since failure to do so can quickly reduce
the reliability of these systems zero. Therefore, the designer should consider engine-
drive chillers only when the owner has the staffing, skills, and other resources needed to
support the required maintenance program.

Engine-drive chillers should never be used in hot, humid climates unless there is at least
100% capacity redundancy. Given their high maintenance cost, and the inability of many
owners to fund or provide the required maintenance, the reliability of engine-drive
chillers is relatively poor. The typical "mean time between failures" for individual engine-
drive chillers ranges from a few days to a few weeks and this it far too unreliable to
ensure that cooling for dehumidification is available.

Next, every cooling system should be arranged to provide redundancy to ensure that adequate
cooling capacity is always available. Ideally, every cooling system should be provided with three
compressors or chillers, each sized for 50% of the peak cooling load. Thus, even with the
failure of one unit, 100% cooling capacity is still available to the building.

For buildings with central chilled water systems, this criterion is relatively easy to meet.
For buildings that utilize packaged or split system DX cooling, this is not really possible, simply
because units with the required multiple compressor configuration are not manufactured. Thus,
it is recommended that any building with a total peak cooling load exceeding 100 tons be
designed utilizing a central chilled water system…reducing the use of DX cooling makes
humidity and mold control much easier.

Water-cooled refrigeration equipment tends to be both more efficient and more reliable than air-
cooled equipment. However, the use of cooling towers or evaporative condensers introduces
significant maintenance requirements, especially water treatment, that the owner must be
capable of meeting. Failure to provide necessary maintenance can quickly reduce the reliability
of the cooling systems. Therefore, the design should utilize water-cooled refrigeration
equipment only where the owner has the staffing, skills, and other resources needed to support
the required maintenance program (see Chapter 2).

Cooling reliability can be adversely affected by some control schemes. For example, discharge
air or chilled water supply temperature reset schemes can cause air system discharge air
temperatures to rise above the space dewpoint temperature, eliminating the system's ability to
provide dehumidification. For systems that utilize reheat, shutting down boilers on the basis of
outdoor air temperature destroys humidity control effectiveness because spaces simply get too
cold and space relative humidity actually increases. There are numerous other control
schemes, often implemented to reduce energy consumption, that negatively impact humidity
control and exacerbate potential mold problems and designers must carefully balance the need
for humidity control with the desire to minimize energy cost.

6.8 Special HVAC Design Considerations

6.8.1 Chilled Water Piping Insulation

Some building owners located in hot, humid climates, including the Veterans
Administration, East Carolina University, Carteret County Schools, etc., have begun to
ban the use of fiberglass insulation on chilled water piping because of the almost

120
universal occurrence of mold on installed insulation surfaces, as shown in the following
figure:

Mineral fiber insulating materials, including fiberglass, are open-structured materials that
rely largely on entrapped still air for much of their insulating properties. They have little
long-term resistance to water and no resistance to vapor flow. Thus, the potential for
moisture absorption can be very high if the factory applied vapor barrier is either
damaged or inadequately sealed.

Research has been undertaken into the effect of moisture on mineral fiber insulants by
Achtziger and Cammerer of FIW in Germany. Their research concluded that 1%
moisture content by volume could increase the thermal conductivity of the material by
36-107% with 4 of the 5 samples tested falling within the 95-107% increase range.
(Forschungsvorhaben Nr. 815-80.01.83-4 contained within CEN TC 88 WG 4 - N484).
Tests by the National Insulation Manufacturers Association (NIMA) in 2000 showed that
fiberglass insulation with ASJ can gain as much as 50% in weight from water absorption
when installed in high humidity locations.

Thus, the key to keeping fiberglass efficient is keeping it dry.

The typical all-service jacket (ASJ) vapor barrier used on HVAC piping insulation has a
rated permeance of 0.02 perm-inches, which is very low. Some tests have shown that
the ASJ material may have an actual perm rating as high as 0.13 perm-inches, but even
this rating is very acceptable. However, all of these ratings are based on testing samples
of ASJ in the laboratory and there is no data that defines ASJ performance as installed
by the typical insulation contractor in the field.

There are numerous opportunities for the contractor to fail in the installation of ASJ.
First, the longitudinal sealing strip must be kept clean and be carefully aligned to provide
a vapor tight seal. The butt joints of the jacket must be carefully lapped and sealed with
vapor barrier mastic and all joints at fittings, valves, equipment, wall penetrations, etc.
must also be 100% sealed with vapor barrier mastic or tape. At hangers, rigid insulation
inserts and sheet metal shields must be installed to protect the integrity of the vapor
barrier. The chances of all of this happening on the typical project is very poor. Thus,

121
every chilled water system insulated with fiberglass offers opportunities for vapor
diffusion and the introduction of low level moisture content.

The conventional wisdom for selecting the thickness of insulation on chilled water piping
is to (1) prevent surface condensation and/or (2) maintain heat gain to a fixed maximum
(usually 8-10 Btu/hr-sf). Tables provided by fiberglass insulation manufacturers show
that the minimum thickness required to prevent surface condensation is typically 1".

Mold will grow on most surfaces if the relative humidity at the surface is above a critical
value and the surface temperature is conducive to growth (above about 40°F). The
longer the relative humidity remains above the critical value, the more likely visible mold
growth; and the higher the humidity or temperature, the shorter is the time needed for
germination. The surface relative humidity is a complex function of material moisture
content, material properties, and local temperature and humidity conditions. In addition,
mold growth depends on the type of surface. Fully recognizing the complexity of the
issue, the International Energy Agency Annex 14 (1990), nevertheless, established a
surface humidity criterion for design purposes: the monthly average surface relative
humidity should remain below 80% RH. Others have proposed more stringent criteria,
the most stringent requiring that surface relative humidity remain below 70% RH at all
times. Although there still is no agreement on which criterion is most appropriate, mold
can usually be avoided by limiting surface moisture conditions over 80% RH to short
time periods and 70% RH for longer periods (even though some molds will begin to grow
at a relative humidity as low as 60% RH).

Based on the maximum 70% RH criterion, as opposed to the condensation or dewpoint

temperature criterion, and using the analysis methods outlined on pages 23.20-23.21 of
the 2001 ASHRAE Fundamentals Handbook, the minimum required fiberglass insulation
thickness is 2" for pipe smaller than 2" and 1-1/2" for larger pipe, assuming dry
insulation. If 1% moisture content, by volume, has diffused into to the insulation due to
poor ASJ installation or damage to the ASJ over time, the insulation thermal conductivity
increases by 100% and the required minimum insulation thickness also increases by
100% to 3-4" for all pipe sizes. No designer currently requires 3-4" thickness of
fiberglass insulation on chilled water piping and, thus, mold growth on chilled water
piping in hot, humid climates is almost universal.

The performance of the vapor barrier is so important that one fiberglass pipe insulation
manufacturer recommends that the ASJ be covered with a second, welded PVC vapor
retarding outer jacket and that every fourth joint of fiberglass insulation be sealed with
vapor barrier mastic when installed on chilled water piping in hot, humid climates.

Fiberglass insulation that is of insufficient thickness allows a boundary layer of high

humidity air is to be created and mold immediately begins to grow on the surface. If the
ASJ does allow moisture to invade, as time goes by the insulation moisture content rises
to a level where the thermal conductivity increases enough to allow the surface
temperature to drop to or below the ambient dewpoint and surface condensation forms.
This liquid water further augments mold growth on the insulation surface and
condensation that drips onto ceiling and wall materials below to create additional
habitats for mold growth.

While secondary vapor barriers (usually welded PVC jacket or vapor-proof mastic
coatings) can be added to ASJ/fiberglass insulation, the only real solution to this

122
condition is to avoid the use of fiberglass insulation and use a non-hydroscopic
insulation, insulation that will not absorb moisture, on chilled water piping in lieu of
fiberglass. The insulation effectiveness, then, is not dependent on the quality of the
installation the ASJ vapor barrier to maintain a surface temperature that results in
humidity below 70% RH.

For indoor chilled water applications, cellular glass is the recommended material for
insulating chilled water systems since this material has a perm rating of less than 0.005
perm-inches.

For exterior applications, polyisocyanurate or expanded polystyrene can be used, also.

But, because both of materials are combustible, their use indoors should be avoided
(and can be a building code violation). Recommended thickness of cellular glass
insulation installed indoors is 2” thick for pipe sizes up to and including 3”, 2-1/2” thick for pipe
sizes 4”-10”, and 3” thick for pipe sizes 12” and larger. (For outdoor applications, the cellular
glass insulation thickness should be increased by 1" simply to reduce heat gain.) The
recommended thickness for polyisocyanurate or polystyrene insulation is 3" for all pipe
sizes installed outdoors.

For renovation of existing systems, improving the existing installation is the key and,
typically, the following steps are required:

1. Shut down the chilled water system.

2. Remove all existing ASJ and inspect the underlying fiberglass insulation.

3. If it is wet to the touch, it can be allowed to dry, but the drying time can be
from weeks to months. If the chilled water system can remain out of service over
a winter, there is a good chance the insulation will dry and can be salvaged. If
this long drying time is not feasible, the only option is remove the existing
insulation and reinsulate the system with cellular glass, after cleaning the pipe of
scale and rust.

4. If the insulation feels dry to the touch, test it with a moisture meter and allow it
dry until the moisture content drops to below 2%. Then, add additional cellular
glass pipe insulation, with ASJ, to achieve a final total insulation thickness as
recommended above.

5. Typically, it will always be necessary to remove insulation at fittings, valves,

etc. and re-insulate these components with cellular glass.

6. At each hanger, crushed fiberglass insulation, wood blocks, etc. should be

removed and a section of cellular glass insulation, as long as the insulation
shield, installed to support the piping.

6.8.2 Air Supply Outlets

A typical problem in buildings using DX cooling systems (or chilled water cooling
systems with 2-position control valves) is surface condensation and rusting on steel
supply outlets. Since the supply air temperature is always cold when the system is
running, the supply outlet will also be cold and can be colder than the dewpoint

123
temperature of the air in the room, particularly at low load conditions when the indoor
humidity level may be somewhat elevated. Therefore, surface condensation results.

It is essentially impossible to prevent condensation from occurring, but the rusting can
be stopped by simply by using aluminum supply outlets.

6.8.3 Using Packaged Heat Pumps for Humidity Control

Since heat pump system always require a source of supplemental heat, typically an
electric heating coil located downstream of the cooling coil, this system is inherently
configured for humidity control simply by modifying the controls as shown by the
following figure:

H G
24V AC

Auto changeover
O Y1 space thermostat,
O W2 2-stage heating,
O W1
1-stage cooling

O G
O R
DR/1 Fan relay
FR

HR1
Heating relays
DR/2
HR2

CR1

DR/3 Cooling relays

O I N.O. space high

limit humidistat
O O set at 60% RH

Dehumidification relay
DR

The first stage of cooling control energizes the compressor (and starts the indoor fan).
This sequence is controlled by two devices, a room thermostat and a room humidistat,
either of which can start the compressor to maintain its setpoint. If the humidistat starts
the compressor, the second stage heating contactor of the room thermostat can be used
to energize the supplemental heating coil to provide reheat, preventing over-cooling of
the space. Thus, both temperature and (high limit) humidity control is provided.

6.8.4 Duct Liner

DON'T USE DUCT LINER! Some engineers want to justify the use of interior duct liner
(or even ductboard) based on acoustical considerations. But, these are the same
engineers who simply don't know how to select fans, pick air outlets, and design

124
ductwork to avoid noise problems. Where noise control is critical, good HVAC systems
design is required, not simple noise attenuation with duct liner.

On the discharge side of any cooling coil, lined ductwork will be maintained at high
humidity conditions simply because the discharge air will be at or near 100% RH
(saturation). Thus, the liner, with its rough texture, typically becomes an ideal breeding
ground for mold. On the return side of the system, if the space humidity is not being
maintained correctly, the humidity in the duct is also high, again creating an ideal
breeding ground for mold.

Duct liner cannot be cleaned…the only choice for removing mold contamination is to
remove the liner. More often, though, it is simply easier and less expensive to replace
the ductwork in its entirety.

Terminal units, which must utilize internal insulation, should meet the following
specification: "Enclosures shall be internally insulated with minimum 1” thickness of rigid
fiberglass board in accordance with ASTM C 612, 3 lb/cf density, with kraft paper and foil
vapor barrier jacket, in accordance with ASTM C 921,Type 1, on the airstream side. All
leading and trailing edges shall be protected from airstream contact by the enclosure".

This same specification should be used for fan coil units, blower coil units, and smaller
air-handlers. However, it is recommended that larger air-handlers (6,000 cfm and larger)
be specified with 2" thick double wall construction.

6.8.5 Desiccant Cooling And Dehumidification

In the typical HVAC system, dehumidification is part of the cooling process, i.e.,
mechanical refrigeration is used to cool air to below its dewpoint temperature (where
condensation occurs), removing moisture from the air. While this is an effective
dehumidification method, every pound of water removed requires that about 1040 Btu/hr
of heat be removed. Thus, the input energy required to produce this cooling effect
ranges from 0.052-0.104 kW/ lb of water removed, depending on the type of cooling
equipment utilized.

To reduce this energy consumption, desiccant dehumidification can be used.

Desiccants are chemicals, either liquids or solids, that are hygroscopic, i.e., have an
affinity for water. There are two basic processes: liquid desiccants are defined as
absorbers since they chemically combine with the water, while solid desiccants are
adsorbers where the water is trapped on the surface of the desiccant material.

In HVAC applications, desiccant dehumidifiers can be used to remove moisture from

high humidity ventilation air streams without expending energy for mechanical
refrigeration. Thus, these systems can be readily applied to dual path air systems or
single path systems with ventilation air preconditioning. However, the moisture that is
removed must be eliminated from the desiccant so it can be recycled for continued use
within a closed cycle system. These systems are defined as regenerative, since the
water removal process “regenerates” or “reactivates” the desiccant, making it usable
again to remove moisture.

Typical materials used in regenerative systems include silica or alumina gel, activated
alumina, lithium chloride salt or salt solution, or glycol solution.

125
Desiccant systems are best applied where (1) ventilation rates are high and/or (2) very
dry air is required. It is generally not economical to install a desiccant system in facilities
where the requirement for indoor air dew point is higher than 50°F or where the latent to
total cooling load ratio is less than 25%. Another way to express this is that desiccant
systems are most effective in facilities where the indoor air needs to be dry, such as a
library, or where a lot of internal moisture is generated, such as a health club or a marine
laboratory.

Desiccants can reduce cooling loads and peak demand by as much as 50% in some
applications by reducing the latent cooling loads imposed on mechanical refrigeration
systems.. Estimating energy savings in specific applications is difficult because of the
complexity in modeling annual performance and humidity. A sophisticated hourly
building analysis program should be used. Regeneration requires heat input that is
roughly 80% to 90% of the latent heat of the moisture removed. If regeneration is done
with waste heat, this process has little cost; otherwise, heating fuel costs can be high.

Maintenance of desiccant systems consists of changing air filters to protect the

desiccant media and periodic lubrication of shaft bearings for heat exchanger wheels.
No regular maintenance is needed for the desiccant material, which can last up to
100,000 hours if it is protected by well-maintained filtration. Annual maintenance costs
should be equal to or less than that for the equivalent mechanical refrigeration
equipment for the cooling load.

While there are numerous configurations of desiccant systems, a common system for
ventilation air dehumidification is the “two wheel system”, as illustrated in the following
figure:

Compared to the use of mechanical refrigeration, desiccant cooling can save 0.052-
0.104 kWh/pound of moisture removed. However, the cost of heat for

126
 regeneration/reactivation must be carefully evaluated, along with the fan energy
penalties associated with these systems, in order to determine actual cost savings.

6.9 HVAC Systems Commissioning

Once HVAC systems (especially cooling/dehumidification systems) are designed and installed,
they must be properly commissioned to ensure that they function in accordance with the design
intent and provide the intended level of reliability for cooling/dehumidification control.

There are seven basics elements that must be included in a specification by the designer for
proper HVAC systems commissioning:

1. Establish the Commissioning Team: HVAC systems commissioning must be

performed by a commissioning “team”, consisting of the installing personnel, the controls
subcontractor, and the testing, adjusting, and balancing (TAB) subcontractor(s) and
must include the following:

a. Systematically evaluating all pieces of HVAC equipment, subsystems, and

systems to ensure that they are working according to specifications and the
design intent. This includes measuring temperatures and flow rates from all
HVAC devices and calibrating all sensors to a known standard.

b. Reviewing the sequence of operations to verify that the controls are providing
the correct interaction between equipment, subsystems, and systems.

c. Performing verification procedures, functional performance tests, and

validation, with appropriate documentation, to demonstrate proper HVAC
systems operation.

d. Providing operations and maintenance documentation and owner training.

2. Operations and Maintenance (O&M) Documentation: Maintenance and Operating

(O & M) Manuals, bound in suitable covers, must be furnished to the owner. Manuals
should be prepared in accordance with ASHRAE Guideline 4.

3. Owner Instructions and Training: After installation has been completed, equipment
has been tested, systems have been placed in permanent operation, and all adjustments
have been made, a competent start-up technician must be provided as required to
instruct the owner's designated operating personnel in the operation and maintenance of
the equipment. Arrange for each installer of equipment that requires regular
maintenance to meet with the owner's designated personnel to provide proper operation
and maintenance. An overall plan and schedule for these meetings must be submitted
for review and agreement by the owner. Instructions and training must, as a minimum,
consist of classroom instruction and "hands on" instruction of approximately equal
duration, addressing the following elements:

Theory of operation

Proper start-up and shut-down procedures

127
 Proper handling of emergency situations

Safety considerations

Controls
Routine maintenance

Preventive maintenance

4. HVAC Design Intent and Basis Of Design: The designer must provide a detailed
description of the design intent and basis of design for the HVAC systems, including the
objectives of each HVAC system and its functional use, sequences of operations, control
setpoints and operating parameters, and performance criteria required of each HVAC
component.

5. Systems Start-Up: Start-up checklists for each type of equipment and system must
be must be developed by the designer and/or the commissioning team to include the
following (as applicable):

Project specific designation, location and service

Pertinent nameplate data

Indication of the party performing the test

Place for signature of the start up technician along with the date

Clear explanation of the inspection, test, measurement etc with a pass/fail

indication a record of measure parameters

Include a checklist item indicating all O&M instructions, warranties, record

documents have been completed and submitted.

Include a checklist item for proper maintenance clearances maintained

Include a checklist item indicating that special tools and/or spare tools required
were turned over to the Owner.

6. Testing, Adjusting, And Balancing: The extent of testing, adjusting, and balancing
(TAB) work must include all HVAC components, sub-systems, and systems installed as
part of this Project. After systems have been started up and initially adjusted, the TAB
subcontractor must perform tests and accomplish the balancing, in accordance with
Chapter 37 of the 2003 ASHRAE HVAC Applications Handbook or ASHRAE Standard
111, necessary to provide the air and water flows within -5% to +10% of those indicated
on the contract documents.

Reports must be certified by the test and balance agency and must be certified proof
that the systems have been tested, adjusted, and balanced in accordance with the
referenced standards; accurately represent how the systems have been installed; define
how the systems are operating at completion of the TAB procedures; and record all final
quantities measured to establish normal operating values of the systems.

128
Fume hood performance then must be tested utilizing a manikin and tracer gas in strict
accordance with ASHRAE Standard 110 with the fume hood sash at the 100%, 50%,
and 25% open positions. Fume hood testing must be performed and certified by an
individual or firm that is a member of the International Air Filtration Certifiers Association
(IAFCA) and who has passed IAFCA’s examination for Certification of Chemical Fume
Hoods.

Hoods other than fume hoods must be tested by measuring the hood face velocity and
hood capture velocity via a swinging vane anemometer in accordance with Figure 9-3,
Industrial Ventilation: A Manual of Recommended Practice, American Conference of
Governmental Industrial Hygienists, latest edition.

Instruments used for testing and balancing of HVAC systems and components must
have been calibrated within a period of six months prior to balancing and tested for
accuracy prior to start of work.

7. Functional Performance Tests and Certification: The designer must specify

functional performance tests to prove all modes of the sequences of operation and to
verify all other relevant contract requirements. Tests must begin with equipment or
components and must progress through subsystems to complete systems. Upon failure
of any functional performance test checklist item, the Contractor must correct all
deficiencies in accordance with the applicable contract requirements. The checklist must
then be repeated until it has been completed with no errors.

A major part of these tests includes testing of the controls system(s) operation. To the
maximum extent possible, all potential operating modes must be tested and evaluated.

Based on these functional performance test checklists, the commissioning team must
prepare standardized reporting forms for each item of equipment, subsystem, and
system to document the required functional performance tests. Each test must be
certified with the following statement and the signature and date of signing by each
member of the commissioning team:

“We the undersigned have witnessed the above functional performance tests and
certify that the item tested has met the performance requirements in this section
of the specifications.

“Signature and Date:

Mechanical Contractor’s Representative

__________________________________________________________

Testing, Adjusting and Balancing Representative

__________________________________________________________

Contractor's Controls Representative

__________________________________________________________”

129
 6.10 HVAC Design to Limit Humidity Checklist

Design Component Requirement/

Element Criterion
Humidity design Indoor design RH 60% RH maximum, 30% RH minimum
conditions Load calculations Accurately evaluate peak latent cooling
load regardless of corresponding sensible
cooling load
Internal pressurization Infiltration Reduce infiltration by providing 10-20%
excess ventilation airflow to each area of
the building
Exhaust airflow Minimize total exhaust airflow
Require that exhaust ducts be sealed in
accordance with SMACNA criteria
Test exhaust duct for leakage compliance
Use multiple local exhaust systems rather
than one central exhaust system
Interlock exhaust fans and outdoor air
dampers to prevent negative pressure
conditions
Do not use short circuit, air curtain, or face
discharge kitchen hoods
Avoid use of island type kitchen hoods
Interlock kitchen hood exhaust and make-
up air fans
Ventilation airflow Provide at least minimum ventilation airflow
to meet code requirements, plus additional
ventilation air to offset excess exhaust by at
least 10%
Zone air systems on basis of ventilation
requirements
Consider use of demand ventilation control,
particularly with VAV systems
Balancing for positive Maintain positive internal pressure in each
pressure area of the building
Use airflow monitoring and fan tracking
control for VAV systems
Return air systems Avoid the use of ceiling return plenums
If ceiling return plenums are used, use relief
air fans for economizer control
For ducted return systems, evaluate relief
vs. return fan application

Air systems configuration VAV systems Ensure that minimum supply airflow will
and control satisfy latent cooling load
Single Zone systems Avoid use of DX cooling unless fan cycling
control can be applied
Don't use 2-position (on/off) control valves
with chilled water cooling coils

130
 Design Component Requirement/
Element Criterion
Cooling coil moisture Avoid cooling coil moisture carryover by
reducing face velocity with increasing
percentage of ventilation airflow
Air-handler Unless the system requires "final filters" or
configuration is configured as a dual path air-handler, use
blow-through unit configuration
Condensate drainage Size, trap, and slope drains to properly
remove condensate from drain pans
Single path Reheat option Incorporate humidistat and control cooling
dehumidification coil to maintain humidity setpoint; use
reheat to control temperature setpoint
Ventilation air reduce ventilation air dewpoint temperature
preconditioning to dehumidify ventilation air and offset
option internal latent cooling load
Dual path Dedicated outdoor air Dehumidify and distribute ventilation air via
dehumidification system option a separate air systems
Dual path air-handler Provide separate paths for outdoor air and
option return air and condition independently
Unoccupied period High limit humidity Cycle HVAC systems "on" to maintain high
dehumidification control limit humidity setpoint of 60% RH
Cooling/dehumidification DX cooling systems Select units with multiple compressors and
reliability multiple independent refrigerant circuits
Cooling coils should be serpentine or row-
split configuration
Specify epoxy coating on condenser coil
fins in coastal areas
Use evaporative condensing
Electric-drive water Use multiple chillers with parallel pumping
chillers arrangements
Engine-drive water Don't use unless there is 100% capacity
chillers redundancy via electric-drive chillers
Special HVAC Chilled water piping Don’t use fiberglass insulation; use cellular
considerations insulation glass indoors, polyisocyanurate outdoors
Supply air outlets Specify aluminum grilles and diffusers
Packaged heat Incorporate humidistat and high limit
pumps humidity control using supplemental heater
for reheat
Duct liner Don’t use; insulate ductwork externally
Desiccant cooling Consider when ventilation rates are high
and dehumidification and/or very low humidity is required
HVAC systems Establish commissioning team
commissioning Prepare detailed O&M manuals
Provide owner instructions and training
Thoroughly test, adjust, and balance all
elements of the system, especially controls
Perform and certify functional performance
tests

131
 Chapter 7

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HVAC Design

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III, PE (Prentice-Hall, Inc. Englewood Cliffs, NJ 07632), 1988

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