ASH RAE Guideline 0-2013

(Supersedes ASH RAE Guideline 0-2005)

Includes ASH RAE addenda listed in Annex Q

• • •
omm1ss1on1n
rocess

See Annex Q for approval dates by the ASHRAE Standards Committee and the ASHRAE Board of Directors.

This guideline is under continuous maintenance by a Standing Guideline Project Committee (SGPC) for which the Standards Com-
mittee has established a documented program for regular publication of addenda or revisions, including procedures for timely, doc-
umented, consensus action on requests for change to any part of the guideline. The change submittal form, instructions, and
deadlines may be obtained in electronic form from the ASHRAE website (www.ashrae.org) or in paper form from the Manager of
Standards. The latest edition of an ASHRAE Standard or Guideline may be purchased from the ASHRAE website (www.ashrae.org)
or from ASHRAE Customer Service, 1791 Tullie Circle, NE, Atlanta, GA 30329-2305. E-mail: orders@ashrae.org. Fax: 678-539-
2129. Telephone: 404-636-8400 (worldwide), or toll free 1-800-527-4723 (for orders in US and Canada). For reprint permission,
go to www.ashrae.org/permissions.

© 2013 ASHRAE ISSN I 049-894X

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ASHRAE Standing Guideline Project Committee O

Cognizant TC: TC 9.1, Large Building Air-Conditioning Systems
SPLS Liaison: Janice C. Peterson
T imothy F. Corbett, Chair Walter D. Horn
Thomas R. Meyer, Vice-Chair Gerald J. Kettler
M ichael Amstadt, Secretary Kevin K. Knueven
Thomas E. Cappellin Guopeng Liu
Charles E. Dorgan Larry S. Ross
Justin Foster Garner

ASHRAE STANDARDS COMMITTEE 2013- 2014

William F. Walter, Chair David R. Conover Malcolm D. Knight
Richard L. Hall, Vice-Chair John F. Dunlap Rick A. Larson
Karim Amrane James W. Earley, Jr. Mark P. Modera
Joseph R. Anderson Steven J. Emmerich Cyrus H. Nasseri
James Dale Aswegan Julie M. Ferguson Janice C. Peterson
Charles S. Barnaby Krishnan Gowri Heather L. Platt
Steven F. Bruning Cecily M. Grzywacz Douglas T. Reindl
John A. Clark Rita M. Harrold Julia A. Kee n, BOD ExO
Waller S. Clements Adam W. Hinge Thomas E. Werkema, Jr., CO
Debra H. Kennoy

Stephanie C. Reiniche, Manager of Standards

SPECIAL NOTE
This Guideline was developed under the auspices of ASH RAE. ASHRAE Guidelines are developed under a review process, identifying
a guideline for the design, testing, application, or evaluation of a specific product, concept, or practice. As a guideline it is not definitive but
encompasses areas where there may be a variety of approaches, none of which must be precisely correct. ASH RAE Guidelines are written
to assist professionals in the area of concern and expertise of ASHRAE's Technical Committees and Task Groups.
ASHRAE Guidelines are prepared by project committees appointed specifically for the purpose of writing Guidelines. The project
committee chair and vice -chair must be members of ASHRAE ; while other committee members may or may not be ASHRAE members, all
must be technically qualified in the subject area of the Guideline.
Development of ASHRAE Guidelines follows procedures similar to those for ASHRAE Standards except that (a) committee balance is
desired but not required, (b) an effort is made to achieve consensus but consensus is not required, (c) Guidelines are not appealable, and
(d) Guidelines are not submitted to ANSI for approval.
The Manager of Standards of ASHRAE should be contacted for:
a. interpretation of the contents of this Guideline,
b. participation in the next review of the Guideline,
c. offering constructive criticism for improving the Guideline, or
d. permission to reprint portions of the Guideline.

DISCLAIMER
ASHRAE uses its best efforts to promulgate Standards and Guidelines for the benefit of the public in light of available information and
accepted industry practices. However, ASH RAE does not guarantee, certify, or assure the safety or performance of any products, components,
or systems tested, installed, or operated in accordance with ASHRAE's Standards or Guidelines or that any tests conducted under its
Standards or Guidelines will be nonhazardous or free from risk.

ASHRAE INDUSTRIAL ADVERTI SING POLICY ON STANDARDS

ASHRAE Standards and Guidelines are established to assist industry and the public by offering a uniform method of testing for rating
purposes, by suggesting safe practices in designing and installing equipment, by providing proper definitions of this equipment, and by providing
other information that may serve to guide the industry. The creation of ASH RAE Standards and Guidelines is determined by the need for them,
and conformance to them is completely voluntary.
In referring to this Standard or Guideline and in marking of equipment and in advertising, no claim shall be made, either stated or implied,
that the product has been approved by ASHRAE. .. ,, .,., .. ., ., . ., ...

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CONTENTS
ASHRAE Guideline 0-2013,
The Commissioning Process
SECTION PAGE
Foreword ...................................................................................................................... ......... ...... ................................ 2
1 Purpose ............................................................ ...... ............................................ ...... ......................................... 2
2 Scope ............. ......................... ......................... ...... ............................................ ...... ......................................... 2
3 Utilization ........ ...... ............................................ ...... ............................................ ...... ... ...... ................................ 3
4 Definitions ...... ......................... ......................... ...... ............................................ ...... ......................................... 3
5 Predesign Phase ..................... ......................... ...... ............................................ ...... ......................................... 4
6 Design Phase ..................................................................................................... ...... ......................................... 8
7 Construction Phase ................. ......................... ...... ............................................ ...... ... ...... .............................. 12
8 Occupancy/Occupation Phase ......................... ......................... ......................... ............... .............................. 16
Informative Annex A: Guide for Developing Supplementary Technical Guidelines for the
Commissioning Process ..................... ......................... ......................... ............... .............................. 19
Informative Annex B: Commissioning Process Flow Chart ............. ......................... ...... ....................................... 22
Informative Annex C: Cost and Benefits of the Commissioning Process ................. ...... ... ...... .............................. 24
Informative Annex D: Commissioning Process Documentation Matrix ................................................................. 25
Informative Annex E: Commissioning Process Request for Qualifications .............. ...... ....................................... 28
Informative Annex F: Roles and Responsibilities ..................................................... ...... ....................................... 31
Informative Annex G: Commissioning Plan .............................................................. ...... ... ...... ................... ........... 33
Informative Annex H: Acceptance Plan ................................................................................................................. 34
Informative Annex I: Owner's Project Requirements Workshop Guidance .............. ...... ....................................... 36
Informative Annex J: Owner's Project Requirements ...................... ......................... ...... ....................................... 38
Informative Annex K: Basis of Design (BoD) ............................................................ ...... ... ...... .............................. 42
Informative Annex L: Specifications ....................... ...... ............................................ ...... ....................................... 43
Informative Annex M: Construction Checklists ....... ......................... ......................... ...... ....................................... 49
Informative Annex N: Quality-Based Sampling Examples ....................................... ...... ....................................... 54
Informative Annex 0: Systems Manual .................................................................... ...... ... ...... ................... ........... 57
Informative Annex P: Training Manual and Training Needs .................................................................................. 59
Informative Annex Q: Addenda Description Information .......................................... ...... ....................................... 65

NOTE

Approved addenda, errata, or interpretations for this guideline can be downloaded free of charge from the ASHRAE
Web site at www.ashrae.org/technology.

© 2013 ASHRAE
1791 Tullie Circle NE · Atlanta, GA 30329 · www.ashrae.org . All rights reserved.
ASHRAE is a registered trademark of the American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.
ANSI is a registered trademark of the American National Standards Institute.

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or transmission in eit her print or digital form is not permitted without ASHRAE's prior written permission.
(This fore\\1ord is not part of this standard. It is merely
informative and does not contain requirements necessary
for conformance to the standard. It has not been pro-
cessed according to the ANSI requirements for a standard
and may contain material that has not been subject to
public revie\\' or a consensus process. Unresolved objec-
tors on informative material are not offered the right to
appeal at ASHRAE or ANSI.)
FOREWORD
The latest version of Guideline Ocontinues in de,nonstrat-
ing best practice principles for applying the ivhole-building
corn,nissioning quality process in .facility elernents. Guideline
0 outlines the process.for achieving, validating, and docu,nent-
ing the perfor111ance offacility elen1e111s in meeting the defined
objectives and criteria o.f the 01,vne,: This quality process
extends through all phases of neiv or ,najor renovation proj-
ects, .fro,n predesign to oivner occupancy and operation, 1vith
tasks during each phase to ensure ver(/ication of'design, con-
struction, and operator training ,neeting the 01vner's Project
Requirements (OPR). Guideline Odescribes the overall co1n-
1nissioning process in providing a uniforrn, integrated, and
consistent approach.for co1n111issioni11gfacilities.
This edition of Guideline O recognizes and addresses
changes in project delivery syste,ns resultingfro111 the evolu-
tion of ,,vhole-building co111111issioning into the life cycle and
sustainable .facilities 1neasure111ent and ver(fication pro-
cesses. Guideline O is a guide to 111ethods in perform.ing,
rneasuring, validating, and docu1nenling infor1nalion in the
design and building processes used in constructing ne,,v
facilities and renovating existing facilities. These corrunis-
sioning processes are applicable to all building elements
used in the construction process.
Guideline Oapplies to all project delivery phases in iden-
tifying and applying the 111hole-building co,nmissioning pro-
cesses, activities, and require111ents .for all building ele111ents
and asse,nblies. This guideline provides thefor,nat that serves
as the pattern.for the Co,n,nissioning Plan for specijicfacility
ele,nents or asse111blies. This com,non content organization
focuses on specific infor,nation in achieving a closely coordi-
nated set of· docu,nents used together in any co,nbination
accorn111odati11g specific OPRs. Varying OPRs and applicable
levels ofcorr1111issio11ing.follow a unifor111 111ethod. Guideline 0
organization also provides .for technical com111issioning
guidelines that avoid repeating general corn1nissioni11g pro-
cesses, activities, and require111ents, ,naking the,n 111ore con-
cise in focusing on their technical subjects.
Guideline Oack1101vledges the integration and interdepen-
dency o.f.facility ele,nents; i.e., a perfor,nance deficiency o.f
one ele,nent can result in less than optimal performance by
other ele,nents. To achieve satisfactory performance of the
far,ility and all ofits ele,nents, the entire.facility should experi-
e,ice corn111issio11ing beginning at the inception o.f the project.
'. This update of Guideline Oe111phasizes the irnportant role
o.f the O,vner in deter,n ining the level and .focus o.f the Com-
m}ssioning Plan. This begins 1vith more e,nphasis on defining
arid clearly documenting the OPR in a Comrnissioning Plan
detailing the 01vner's objectives in the 1vork.
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Clear, concise, cornplete, and correct docu111enting of the
OPR alloivs .fo r e111phasis 011 co111111issio11i11g as an integral
process .for achieving the .facilities 01vner's eXJJectations. The
goal of a Guideline O Corn,nissioning Plan is a .fitlly .func-
tional, fine-tuned facility, including all .facility ele,nents and
asse111blies, cornplete docu,nentation, and a trained operating
and maintenance staf]'at the significant co111pletion milestone.
ft provides a ,nethodology .for i1nple1nenting the conunission-
ing process to building ele,nents and asse,nblies for ne1,v con-
struction, and ,najor renovations to existing facilities at a
level co111patible 1vith Olvner input.
A Guideline O Co,n,nissioning Plan places ernphasis on
docu,nentation that transfers the OPR to the design criteria
and construction docu111ents, and on continuity o.f i11;/or,nation
f'ro,n one party to the next, providing value and the opportu-
nity to i1nprove the ,,vork process. The Guideline O Co,nm.is-
sioning Plan also provides for the .facility operating and
,naintenance personnel training using actual perfor,nance
docu,nentation de,nonstrating the design, installation, and
intent o.f the building ele,nents and assernblies in meeting the
OPR. O,vners can use this process in validating their stated
objectives and criteria .fro,n the significant co,npletion tnile-
stone on1vard. Application of this facility perfor,nance docu-
rnentation provides the 01vner ivith the opportunity to
continue the bene,/its o.f whole-building corrunissioning in
i,nproving facility performance during the post occupancy
phase and beyond.
Annexes to this guideline have been included to assist in
.further understanding the co,nmissioning process. Based on
specific project experiences, annexes suggest 1vays to ilnprove
current practices. Annexes illustrate varying applications o.f
com111issioning processes .for all projects, and can be vieived
as examples ,for ho111 to develop doczunents and to define
oivner's needs, design criteria, basis of design, design con-
cepts, verification and .functional perforrnance testing
require111ents, docu,nentation, and operator training.
The co,n,nissioning process, beginning at project incep-
tion, is a valuable tool to the Olvner in controlling the project
through each 1nilestone. Structuring the phases of a typical
project around the OPR gives the o~vner the advantage o.f
continuously ,nonitoring the progress and the cost o.f the proj-
ect on a real time basis. This includes predesign, design
developrnent, construction docurnents, construction, and
postconstruction phases.
This update of Guideline O describes the total building
corn,nissioning process and the responsibilities of.the Conunis-
sioning Authority and the 01vner. Selecting and developing a
Co,n111issioning Plan _follo,ving Guideline O assures the Oivner
of 1vhole-building co1n1nissioning meeting the OPR, and a sus-
tainable facility at the tirne offinal acceptance o.fthe work.
1. PURPOSE
1.1 The purpose of this guideline is to describe the Co1111nis-
sioning Process capable of verifying that a facility and its sys-
te1ns 1neet the Owner's Project Require1nents (OPR).
2. SCOPE
2.1 The procedures, 1nethods, and doctunentation require-
1nents in this guideline describe each phase of the project
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delivery and the associated Comn1issioning Processes from
predesign through occupancy and operation, ,vithout regard
to specific ele1nents, asse1nblies, or systems, and provide the
following:
a. Overview of Co1nmissioning Process Activities
b. Description of each phase's processes
c. Requiren1ents for acceptance of each phase
d. Require1nents for docu1nentation of each phase
e. Require,nents for training of operation and maintenance
personnel
2.2 These Co1n1n issioning Process guideline procedures
include the Total-Building Co1n1nissioning Process (TBCxP)
as defined by National Institute of Building Sciences (NIBS)
in its Com,nissioning Process Guideline 0.
3. UTILIZATION
3.1 The application of this guideline depends on the Owner's
Project Require1nents and how the project is designed, built, and
operated. The process described in this guideline is written for a
generic project and 1nust be adapted to each project.
3.2 This l:,'llideline describes the Co1n1nissioning Process, and
is supple,nented by co,npanion technical l:,'llidelines. A tech-
nical guideline describes the specific details to properly
i1nple1nent the Co1n1nissioning Process relative to a specific
faci lity syste,n or assembly. Annex A in this guideline pro-
vides the required format for developing technical guidelines
for the Co1n1n issioning Process.
4. DEFINITIONS
acceptance: A fonnal action, taken by a person with appro-
priate authority (which may or may not be contractually
defined) to declare that some aspect of the project meets
defined requirements, thus permitting subsequent activities to
proceed.
Basis of Desig11 (BoD) : A. document that records the con-
cepts, calculations, decisions, and product selections used to
meet the o ,~rner's Project Requirements and to satisfy appli-
ASHRAE Guideline 0- 200 5, The Commissioning Process
(To be used as the foundation of both NIBS and ASHRAETotal Building Commissioning Process)
ASHRAE Guide line 1.1-2007, HVAC&R
Technical Requirements for the
Commissioning Process
FIGURE 1 Relation ship between commissioning guidelines.
..
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cable regulatory requirements, standards, and guidelines. The
docu1nent includes both narrative descriptions and lists of
individual iten1s that support the design process.
clrecklists: Verification checklists that are developed and used
during all phases of the co1nmissioning process to verify that
the Owner 's Project Requirements are being achieved. This
includes checklists for general verification , plus testing, train-
ing, and other specific requirements.
co111111is sio11i11g (Cx): See Conunissioning Process.
Co111111issio11i11g A uthority (CxA): An entity identified by the
Owner who leads, plans, schedules, and coordinates the con1-
1nissioning tean1 to i1nple1nent the Co1n1nissioning Process.
Co,n111issioni11g Pla11 (Cx Pllln): A document that outlines
the organization, schedule, allocation of resources, and docu-
1nentation requirements of the Co1nmissioning Process.
Co111111is sio11i11.g Process (Cx Process) : A quality-focused pro-
cess for enhancing the delivery of a project. The process
focuses on verifying and documenting that the facility and all
of its systems and assemblies are planned, designed, installed,
tested, operated, and maintained to meet the Owner's Project
Requirements.
Co111111issio11i11g Process Activities (Cx Process Activities) :
Co,nponents of the Commissioning Process.
Co11111iissio11i11g Process Progress Report (Cx Process Prog-
ress ReporQ: A docu1nent that details activities co,npleted as
pa,t of the Co1n1nissioning Process and significant findings
fro,n those activities, which is continuously updated during
the course of a project. Usually incorporated into the Co1n-
1nissioning Plan as an ongoing appendix.
Co111missio11i11g Process Report (Cx Process Report): A docu-
n1ent that records the activities and results of the Conunission-
ing Process. Usually developed from the final Con1missioning
Plan with all of its attached annexes.
Co1111nissioni11.g Tean, (Cx Teani): The individuals who
through coordinated actions are responsible for imple,nent-
ing the Com1nissioning Process.
NIBS Guidelines 2- 200X through 14-200X
Other Technical Commissioning Volumes,
such as roofing, lighting, fire, life safety,
interiors, envelopes, and plumbing
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co11structio11 checklist: A fonn used by the contractor to ver-
ify that appropriate co1nponents are on-site, ready for installa-
tion, correctly installed, and functional. Also see checklists.
co11struction docu111e11ts: These include a wide range of doc-
tunents that vary fro1n project to project and with the Owner's
needs and with regulations, laws, and countries. Construction
docu1nents usually include the project 1nanual (specifica-
tions), plans (drawings), and general tenns and conditions of
the contract.
contract docu111e11ts: These include a \.vide range of docu-
rnents that vary fro1n project to project and \.vith the Owner's
needs and v.rith regulations, laws, and countries. Contract doc-
tunents frequently include price agreements, construction
rnanagement process, subcontractor agreements or require-
rnents, requirements and procedw·es for submittals, changes,
and other construction requirernents, tirneline for completion,
and the construction docutnents.
coordi11ation dra,vi11gs: Drawings showing the work of all
trades to illustrate that equipment can be installed in the space
allocated ,~1ithout compromising equip1nent function or
access for 1naintenance and replacement. These dra,vings
giaphically illustrate and dimension manufacturers' recom-
mended 1naintenance clearances.
•
issues and resolution log: A formal and ongoing record of
p~oble1ns or concerns-and their resolution-that have been
raised by n1en1bers of the Com1nissioning Tea1n during the
course of the Comn1issioning Process.
110111i11al group tech11iq11e: A fonnal, stn1ctured brainstonn-
ing process used to obtain the 1naxi1num possible ranked
input frorn a variety of vie,vpoints in a short period of ti,ne.
The typical approach is a workshop session where a question
is presented; the attendees record their responses individually
on a piece of paper; the individual responses are recorded on a
flip cha11 without discussion in a round robin fashion, all of
the responses are discussed; and then the participants rank
their top five responses.
Ongoing Co111.11iissio1ii11.g Process (OCx): A continuation of
the Commissioning Process well into the Occupancy/Opera-
tions Phase to verify that a project continues to meet current
and evolving O,vner's Project Requirements. Ongoing Com-
missioning Process Activities occur throughout the life of the
facility; some of these will be nearly continuous in implemen-
tation, and others will be either scheduled or unscheduled (as
needed).
Owner's Project Req11ire111e11ts (OPR): A document that
details the functional require1nents of a project and the expec-
tations of how it will be used and operated. These include
project goals, 1neasurable perfonnance criteria, cost consider-
ations, benclunarks, success criteria, and supporting infonna-
tion. (The tenn Project Intent is used by so1ne o,vners for their
Con11nissioning Process Owner's Project Requirements.)
quality-based sa111pli11g: A process for evaluating a subset
(sa1nple) of the total population. The sa,nple is based on a
known or esti,nated probability distribution of expected val-
ues; an assu1ned statistical distribution based on data fro1n a
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similar product, asse1nbly, or system; or a random sampling
that has scientific statistical basis. 1• 2• 3
reco111111issioni11g: An application of the Commissioning Pro-
cess require1nents to a project that has been delivered using
the Co1nmissioning Process. This may be a scheduled reco.1n-
1nissioning developed as part of an Ongoing Commissioning
Process, or it may be triggered by use change, operations
proble1ns, or other needs.
retroco111111issio11i11g: The Co1n1nissioning Process applied to
an existing facility that was not previously co,nmissioned.
This guideline does not specifically address retroco,nmission-
ing. However, the same basic process should be followed
fro,n Predesign through Occupancy and Operations to opti-
mize the benefits of implementing the Co,nmissioning Pro-
cess philosophy and practice.
syste111s 111a1111al: A syste,n-focused co1nposite docu1nent that
includes the operation 1nanual, 1naintenance 1nanual, and
additional infonnation of use to the Owner during the Occu-
pancy/Operations Phase.
test procedure: A written protocol that defines methods, per-
sonnel, and expectations for tests conducted on components,
equipment, assemblies, syste1ns, and interfaces a1nong sys-
tems .
training p /a11: A document that details the expectations,
schedule, budget, and deliverables of Com,nissioning Process
Activities related to training of project operating and mainte-
nance personnel, users, and occupants.
verificatio11: The process by which specific doctunents, co1n-
ponents, equip1nent, asse1nblies, syste,ns, and interfaces
a1nong syste1ns are continued to co1nply ,vith the criteria
described in the Owner's Project Require1nents.
5. PREDESIGN PHASE
5.1 Introduction
5.1 .1 Predesign is a preparatory phase of the project delive1y
process in ,vhich the OPR is developed and defined. Jnfonna-
tion about the project is gathered, including progra,n require-
ments, co1n1nunity context, codes and regulations, site and
cli,nate, facility context and function, facility technology, sus-
tainability, cost, schedule, and the client's (including owner,
occupants, operators, and ,naintenance personnel) needs and
capabilities.
5.1.2 This phase is critical to the Cx Process because the
docu1nented OPR fonns the foundation for the design, con-
struction, and occupancy and operation of the facility and are
the basis for the Cx Plan and schedule. Starting the Cx Pro-
cess during the Predesign Phase facilitates project co1n1nuni-
cation by 1nonitoring the OPR fio1n Predesign through
Design, Constn1ction, and Occupancy and Operations and by
verifying decisions in these phases with the written docu-
111ents called the Owner's Project Require1nents and the BoD.
5.1.3 Predesign-Phase Cx Process objectives include the
foll0\\1ing:
a. Developing the OPR
b. Identifying a scope and budget for the Cx Process
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c. Developing the initial Cx Plan
d. Acceptance of Predesign-Phase Cx Process Activities
e. Revie,v and use of lessons-learned inforn1ation fron1 pre-
vious projects
5.2 Predesign-Phase Cx Process Activities
5.2.1 Predesign-Phase Cx Process Responsibilities
5.2.1.1 During the Predesign Phase, a Cx Team is fom1ed
to oversee, implement, and accon1plish the Cx Process Activ-
ities detailed in this guideline. Responsibility for leadership
of the Cx Team should be defined and assigned at the begin-
ning of the Predesign Phase. The term used for the person
with overall responsibility for the Cx Process is "Cx Author-
ity (CxA)." The Cx Team me1nbers must be available for
1neetings, have the qualifications to contribute to the develop-
1nent of the Owner's Project Require1nents, and have the
authority to 1nake decisions binding on the firms/constituen-
cies they represent. Lines of authority and lines of co1nmuni-
cation in determining Cx Tean1 me1nbers' responsibilities
shall be documented. The Cx Tea1n composition must be
based on the scope of the Cx Process services established for
the project.
5.2.1.2 The Owner ,nust assign (or contract for) appropri-
ate representatives to participate on the Cx Tea,n, both fro,n
within and external to their organization. Cx Tea,n responsi-
bilities should be consistent with the agree,nents bet\veen par-
ties involved in the project, and such agree,nents ,nust clearly
address Cx Process responsibilities.
5.2.1.3 Essential tean1 me1nbers during the Predesign
Phase include Owner's representatives, the CxA, predesign
and programming professionals, design professionals, and (if
kno,vn) the construction/program/project 111anagers. The CxA
can assist the O,vner in identifying and selecting these initial
Cx Team 1nembers. O,vner's representatives will include the
project manager, occupants or users, facility 111anager, and
operation and maintenance personnel. Including operation
and 1naintenance personnel on the Cx Tean1 will help ensure
that i1nportant operation and maintenance issues are included
in the O,vner's Project Requirements. The O,vner ,viii gener-
ally need to reconcile conflicting project requirements and
provide feedback on decisions to the Cx Tea1n. The design
tean1 me1nbers and CxA can assist the O,vner in reconciling
conflicting technical requirements.
5.2.l.4 The Cx Tea111 will evolve as a project progresses.
During successive phases, the active membership of the Cx
Tea111 may shift to meet the unique require111ents of each
phase. Contractors and vendors, for example, may join the Cx
Tea111 after they are under contract or after the start of con-
struction .
5.2.1.5 Predesign-Phase Cx Process Activities described
in this section to be perfonned by the design tea1n 1nust be
included in the scope of services described in the "Owner-
Design Professional Service Agree1nent." These Cx Process
Activities 1nay be 1nore than are nonnally required in their
scope of services. The scope of services in the "Owner-
Design Professional Service Agree111ent" should also include
the require1nent to cooperate with the CxA during Predesign,
Design, and Construction phases of the project. This 1nay
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include testing soils, surveying, or other requirements during
Predesign.
5.2.1.6 Responsibilities of the Cx Tean1 during the Prede-
sign Phase include the following:
a. Assist Owner in preparing requests for project services
that outline the roles and responsibilities developed in the
Cx Plan.
b. Facilitate develop1nent and docu1nentation of the OPR.
c. Develop scope and fonnat for project systems ,nanual and
select/designate entity responsible for developing this
,nanual. Add this entity to the Cx Team where appropri-
ate.
d. Develop scope and budget for project-specific Cx Process
Activities.
e. Verify that Cx Process Activities are clearly stated in all
project scopes of ,vork.
f. Integrate the Cx Process Activities into the project sched-
ule.
g. Build and maintain cohesiveness and cooperation among
the project tea111.
h. Coordinate O,vner's representative's participation as
defined in Section 5.2. 1.2.
1. Conduct and document Cx Tea1n meetings.
J. Identify who will accomplish the Cx Process Activities.
k. Reviev.r Predesign-Phase docu1nents for co,npliance with
the OPR.
I. Write the initial Cx Plan.
m. Develop the initial fonnat to be used for Issues and Reso-
lution Logs throughout, and for each phase of, the Cx Pro-
cess.
n. Track and doctunent issues and deviations relating to the
OPR and docwnent resolutions in the Issues and Resolu-
tion Log.
o. Write and revie\.v Cx Process Progress Reports.
5.2.2 Develop OPR
5.2.2.l The OPR forms the basis from which all design,
constn1ction, acceptance, and operational decisions are made.
An effective Cx Process depends on a clear, concise, and
comprehensive OPR docu,nent. It includes information to
help the project tea1n to properly plan, design, constn1ct,
operate, and maintain systems and assemblies.
5.2.2.2 The CxA facilitates the develop,nent of the OPR.
Input ,viii be gathered from all tean1 1nen1bers.
5.2.2.3 Each item of the OPR shall have defined perfor-
1nance and acceptance criteria. Those that can be bench-
111arked should have the benchmark defined in specific tenns
and the ,neans of 1neasure1nent defined.
5.2.2.4 The OPR should include the following:
a. Project schedule and budget.
b. Cx Process scope and budget.
c. Project doctunentation require,nents, including fonnat for
submittals, training 111aterials, reports, and the syste1ns
1nanual. Consideration should be given to use of elec-
tronic fonnat docu1nents and records where appropriate.
d. O,vner directives.
e. Restrictions and li1nitations.
f. User require1nents .
5
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g. Occupancy require1nents and schedules.
h. Training requiren1ents for Owner's personnel.
1. Warranty requirements.
J. Benclunarking requiren1ents.
k. Operation and 1naintenance criteria for the facility that
reflect the Ov.,ner's expectations and capabilities and the
realities of the facility type.
I. Equipment and syste1n maintainability expectations,
including limitations of operating and 1naintenance per-
sonnel.
m. Quality requirements for materials and construction.
n. Allowable tolerance in facility system operations.
o. Energy efficiency goals.
p . Environmental and sustainability goals.
q. Co1nn1unity require1nents.
r. Adaptability for future facility changes and expansion.
s. Syste1ns integration requirements, especially across disci-
plines.
t. Health, hygiene, and indoor environment require1nents.
u . Acoustical requirements.
v. Vibration requirements.
w. Seismic requirements.
x. Accessibility requirements.
y. Security require1nents.
z. Aesthetics requirements.
aa. Constructability require1nents.
ab. Co1nmunication require1nents.
ac. Applicable codes and standards.
(See Table J-1 in Annex J for an exa1nple n1atrix that can
assist in the development of the OPR.)
5.2.2.5 Obtaining the information and criteria for the
OPR doctunent requires input fro1n all key facility users and
operators. The n1ethod used to obtain the inforn1ation should
allo,v the different user groups and operators to interact.
No1ninal group technique workshops, interviews, and surveys
can be used to obtain this input, with decreasing levels of
interaction attained, respectively, for each type. See Annex I
for additional guidance.
5.2.2.6 The OPR beco1nes part of the systems n1anual
documentation .
5.2.2.7 The OPR is a document that evolves through each
project phase. As decisions are made during the Design, Con-
struction, and Occupancy/Operations Phases, this docun1ent
will be updated to reflect the cw-rent project require1nents of
the Owner. It is the pri1nary tool for bench1narking success
and quality at all phases of the project delivery and through-
out the life of the facility.
5.2.2.8 Make reference to the O,vner's Project Require-
1nents in the bidding docu1nents as "infonnation available to
bidders." It must be noted in the contract docu,nents that the
OPR is issued for infonnation only and that this docu1nent
shall not define, nor shall it be used to interpret, the require-
ments of the contract.
.
' 5.2.2.9 Use quality-based sa,npling for verification of
each activity or task to determine ho,v well it n1eets or relates
t9 the OPR in the Predesign Phase. This includes program-
n:ung docu,nents, defined scope-of-design services, special
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reports and workshop outcomes, and other activities in the
Predesign Phase.
5.2.3 Identify the scope and budget for the Cx Process.
5.2.3.1 The scope of the Cx Process will vary fro,n one
project to another. The Cx Team develops the scope for the
Cx Process. The experiences of the programming tea,n, users,
designers, CxA, and the Owner ,vith similar and previous
facilities and projects can aid in establishing a scope for the
Cx Process. Additional insight regarding the scope of the Cx
Process can be obtained fro1n code officials, regulations, pub-
lished infonnation on similar facilities, and information in the
technical Cx Process guidelines.
5.2.3.2 A well-defined scope permits the establishment of
an appropriate budget allocation for the Cx Process. The Cx
Process budget should be realistic, distributed by phase, activ-
ity, and entity (Owner, CxA, design professional, and contrac-
tors), and not subject to reduction v,ithout an express change
in the Cx Plan. Lack of a properly defined and maintained Cx
Process budget will adversely affect the Cx Process and the
success of the facility in n1eeting the OPR.
5.2.3.3 Typically the Owner ,viii focus the Cx Process
efforts on selected syste,ns or asse,nblies based on the budget,
systen1s or assemblies where the Owner has experienced pre-
vious proble,ns, on complex syste,ns and assemblies, or on
the criticality of the syste1n or asse,nbly in providing for the
OPR. The Cx Process can focus on the following:
a. Substn1cture: includes base,nent and foundations
b. Shell: includes superstn1ctw·e, roof, walls, fenestration,
and exterior doors
c. Interiors: includes interior construction, wall, floor, and
ceiling finishes, partitions, interior doors, stairways, hard-
ware, and fitting specialties
d. Services: includes controls, HVAC&R. systems, electrical
systems, fire and life safety systems and assemblies, secu-
rity systems, co1nmunication systems, plumbing systems,
conveying systems, and specialty or technology systems
e. Equipn1ent and furnishings
f. Sitework
g. Landscaping
5.2.4 Develop the Cx Plan
5.2.4.1 The Cx Plan identifies processes and procedures
necessary for a successful Cx Process. The Cx Plan addresses
the OPR and reflects the defined scope and budget for the Cx
Process.
5.2.4.2 The Cx Plan includes a schedule of Cx Process
Activities, individual responsibilities, documentation require-
n1ents, con1munication and reporting protocols, and evalua-
tion procedures. Evaluation procedures include the review
and verification to the OPR of the design docun1ents, contract
docu1nents, construction and test procedures.
5.2.4.3 The Cx Plan is continually updated during the life
of a project to reflect changes in planning, design, constn1c-
tion, and occupancy and operations. DLu-ing the Predesign
Phase, the Cx Plan focuses on the scope of the Cx Process
during the Design Phase. The Constn1ction-Phase and Occu-
pancy/Operations Phases are included, but details are usually
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added during the Design Phase for the Construction and
Occupancy/Operations Phases (see Sections 6.2.3 and 7.2.5).
5.2.4.4 The Cx Plan contains the following information:
a. Overvie\v of the Cx Process developed specifically for the
project.
b. Roles and responsibilities for the Cx Tearn throughout the
project and specifically during the Predesign and Design
Phases. The roles shall differentiate the areas \Vith which
each of the mernbers is involved, and the responsibilities
shall detail the specific tasks that are to be cornpleted by
the individual ,nembers.
c. Docu,nentation of general co1nmunication channels to be
used throughout the project. Design-Phase procedures
should be clearly documented during the Predesign Phase.
d. Detailed description of Cx Process Activities and a sched-
ule of activities during the Predesign and Design Phases.
The milestones should include the Cx Team rneetings,
OPR development, design review periods, and the corn-
pletion of the BoD and the cornmissioning specifications.
e. General description of Cx Process Activities that will
occur during the Construction and Occupancy/Operations
Phases.
f. Guidelines and fonnat that will be used to develop the Cx
Process doctunentation that facilitates cornmunication
a,nong the Cx Team and all other par1ies involved in the
project.
g. Cx Process fonns that will be used during the Predesign
and Design Phases to comrnunicate and track critical Cx
Process information.
h. Project design document verification procedures.
1. The frarnework for procedures to follo\.v whenever Cx
Process verification does not comply \vith the OPR.
J Quality-based sampling procedures for verification of
co1npliance with the OPR during all project phases.
5.2.4.5 If properly developed, the Cx Plan fonns the core
of the Final Cx Process Report.
5.2.5 Establish Issues and Resolution Log Procedures
5.2.5. 1 An Issues and Resolution Log contains detailed
descriptions of design, installation, or performance issues that
are at variance with the OPR. Issues are identified and tracked
as they are encountered during the design, construction, and
operation of a facility. It is reco1nmended that an Issues and
Resolution Log be maintained \.vith the status of all current
and resolved issues. The information outlined in 5.2.5.2 and
5.2.5.3 should be doctunented in the log as a 1nini1nun1.
5.2.5.2 Jnfonnation to be docu1nented at the ti1ne an issue
is identified includes the following:
a. Unique nu1neric or alphanumeric identifier by which the
issue may be tracked
b. Short, descriptive title of the issue
c. Date and time of the identification of the issue
d. Test number of the test being performed at the ti,ne of the
observation, if applicable, for cross-reference
e. Identification of system, equipment, or assembly to which
the issue applies
f. Location of the issue
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g. Description of the observed design, installation, or perfor-
1nance issue, including any infonnation that 1nay be help-
ful in diagnosing or evaluating the issue
h. Reco1nmended corrective action, if apparent
1. Identification of the Cx Tea1n 1ne1nber responsible for res-
olution of the issue, if apparent
J Expected date of correction
k. Nan1e of the person docu1nenting the issue
5.2.5.3 Infonnation to be docu1nented when an issue is
resolved includes the following:
a. Date of con1pletion of resolution.
b. Description of corrective action taken. Include description
of diagnostic steps taken to determine the root cause of
the issue and the value of resolving the Cx Process issue
for the owner, design team, contractor, or occupant.
c. Identification of changes to the OPR or BoD that require
action (if any).
d. State1nent that the correction was co1npleted and the sys-
tem or assembly is ready for retest, if applicable.
e. Nan1e of the person who resolved the issue.
f. Nan1e of person documenting the issue resolution.
5.2.6 Prepare Issues Report
5.2.6.1 On a periodic basis, at least for each Cx Tea1n
1neeting, a report shall be generated for review of outstanding
issues. The following infonnation should be included:
a. Issue nu1nber
b. Short, descriptive title of the issue
c. Date of the identification of the issue
d. Na1ne of the Cx Team mernber assigned responsibility for
resolution
e. Expected date of correction
5.2.7 Prepare Cx Process Progress Reports
5.2.7.1 Cx Process Progress Reports are periodic reports
of the status of Cx Process Activities throughout the project
and become part of the Cx Process Report. Cx Process Prog-
ress Reports should cover the following inforn1ation:
a. Cx Process Activities con1pleted since the last report,
including the current status of Predesign project activities. .
b. Description of changes to the Cx Process schedule (e.g., ':
early completion of or delays in \vork and early or late ;
delivery of items that impact the Cx Process Activities), :
Cx Plan, and design, along with their effect on the OPR. 1
and BoD.
c. Include ne\.v and outstanding issues and list those that
have been resolved since the last Cx Process Progress
Repo11, including a brief description of actions taken to
resolve the issues. Also include planned activities to
resolve outstanding issues expeditiously.
d. Cx Process Activities anticipated during the period before
the next Progress Report.
5.2.7.2 The frequency of Cx Process Progress Reports
depends on the a1nount of work being acco1nplished and
could vary fro111 every two weeks to every six 1nonths. A gen-
7
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era! guide to follo,v is one progress report for every four Cx
Tean1 meetings.
5.3 Predesign-Phase Acceptance Requirements
5.3.l During the Predesign Phase, the Cx Process should
include the formal acceptance by the Owner of the OPR and
the Cx Plan.
5.4 Predesign-Phase Documentation
5.4.1 The Cx Process scope and budget, OPR, Cx Plan,
Issues and Resolution Log and reports, and Cx Process Prog-
ress Reports are the pri1nary doctunentation require1nents for
the Predesign-Phase Cx Process.
5.4.2 The infonnation in the OPR and the Cx Plan is used
throughout subsequent project phases (including Occupancy
and Operations).
5.5 Predesign-Phase Training Identification Requirements
5.5. l Training require1nents for facility, syste1n, and asse1n-
bly operation and 1naintenance are addressed in the OPR.
6. DESIGN PHASE
6.1 Introduction
6.1.1 During the Design Phase of the project delivery pro-
cess, the OPR is applied to the construction documents. A
docu1nent called the BoD is created that clearly conveys the
assumptions made in developing a design solution that fulfills
the intent and criteria in the OPR docu1nent. Narrative
descriptions of facility systems and asse1nblies are developed
and included in the BoD, and the Cx Plan is expanded to
include the details of Construction and Occupancy/Opera-
tions-Phase activities.
6.1.2 Design-Phase Cx Process objectives include the fol-
lowing:
a. Verifying the BoD document ,vith the OPR docu1nent.
b. Updating the Cx Plan to include Construction and Occu-
pancy/Operations-Phase Cx Process Activities.
c. Developing Cx Process require1nents for inclusion in the
constn1ction docu1nents.
d. Developing draft construction checklists.
e. Updating the scope and forn1at of the project systen1s
manual.
f. Defining training require1nents.
g. Perfonn ing co,n missioning-focused design review.
h. Acceptance of Design-Phase Cx Process Activities.
6.1.3 Design-Phase Cx Process Activities described in this
section that are to be perfonned by the design tea1n and spe-
cial consultants 1nust be included in the scope of services
descri bed in the "Ov,ner-Design Professional Service Agree-
1nent." These Cx Process Activities 1nay be 1nore than are
nonnally required in their scope of services. The scope of ser-
vices in the "Owner-Design Professional Service Agree1nent"
should also include the require1n ent to cooperate with the
CxA during Predesign, Design, and Construction phases of
the project. This 1nay include testing soils, evaluating or
checking existing conditions, surveying, or other require-
1nents during Design.
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6.1.4 Use quality-based sa1npling for verification of each
activity or task detennined to be related to the OPR in the
Design Phase.
6.1.5 If the Cx Process on a particular project starts at the
Design Phase, then the Cx Process Activities described for
the Predesign Phase 1nust be co1npleted before the following
Design-Phase activities are begun.
6.2 Design-Phase Cx Process Activities
6.2.l Design-Phase Cx Process Responsibilities
6.2.1.1 During the Design Phase, the Cx Team ,vorks to
verify that the construction documents meet and properly
convey the OPR.
6.2.1.2 Essential team men1bers during the Design Phase
include the Owner's representatives, the CxA, design profes-
sionals, and construction/program/project 1nanagers (if
kI10,vn).
6.2.1.3 Responsibilities of the Cx Tea1n during the
Design Phase include the following:
a. Build and 1naintain cohesiveness and cooperation a,n ong
the project team.
b. Assist Owner in preparing requests for project services
that outline the Cx Process roles and responsibilities
developed in the Cx Plan.
c. Verify that Cx Process Activities are clearly stated in all
project scopes of,vork.
d. Develop the scope and budget for project-specific Cx Pro-
cess Activities.
e. Identify specialists who will be responsible for accom-
plishing the Cx Process Activities for specific syste1ns and
asse1nblies.
f. Conduct and docu1nent Cx Team tneetings.
g. Inform all Cx Team members of decisions that result in
modifications to the OPR.
h. Integrate the Cx Process Activities into the project schedule.
1. Track and docu1nent issues and deviations relating to the
OPR and docu1nent resolutions in the Issues and Resolu-
tion Log.
J. Verify doctunentation and updating of the BoD.
k. Develop constn,ction checklists.
I. Develop Construction and Occupancy/Operations-Phase
test requirements.
111. Develop training progran1 requirements.
n. Docu1nent Cx Process require1nents and integrate the1n
into the contract docutnents.
o. Update the Cx Plan.
p. R.evie,\1 Design-Phase documents for co1npliance with the
OPR.
q. Update the OPR.
r. Write and review Cx Process Progress Reports.
6.2.2 Basis of Design (BoD) Documentation
6.2.2.1 The BoD, developed and updated throughout the
Design Phase, is required with each design subtnission and
should include the following:
a. Syste111 and assembly options
b. Systen1 and asse1nbly selection reasoning
c. Facility, syste1n, and assetnbly perforn1ance assutnptions
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l. Assumptions for calculations/sizing
2. Analytical procedures and tools
3. Environ1nental conditions
4. Li,niting conditions
5. Reference rnake and rnodel
6. Operational assumptions
d. Narrative system and assembly descriptions
e. Codes, standards, guidelines, regulations, and other refer-
ences
f. O,vner guidelines and directives
g. Specific descriptions of systerns and assernblies
h. Consultant, engineering, and architectural guidelines for
design developed by the design tea,n or others
6.2.2.2 The BoD documents how each criterion in the
OPR is implemented in the design. For any criterion that
could not be ,net, documentation detailing what was done, its
impact on the OPR, and ho\.v the QPR was ,nodified shall be
included.
6.2.3 Update Cx Plan
6.2.3.1 The Cx Plan must be updated to reflect changes in
the OPR and include additional information developed during
the Design Phase.
6.2.3.2 During the Design Phase, the following is added
to or updated in the Cx Plan:
a. Systen1s and asse1nblies to be verified and tested
b. Schedule of Construction-Phase and Occupancy/Opera-
tions-Phase Cx Process Activities
c. Roles and responsibilities of ne,v Cx Tea,n me,nbers
d. Construction-Phase and Occupancy/Operations-Phase
doctunentation and repot1ing requirements, including pro-
cedures and formats
e. Construction-Phase and Occupancy/Operations-Phase
communication protocols
f. Construction-Phase and Occupancy/Operations-Phase Cx
Process procedures
6.2.3.3 The milestones to be incorporated in the schedule
should include the prebid 1neeting, preconstruction 1neeting,
Cx Tean1 1neetings, training sessions, shop drawing sub1nit-
tals, syste1ns manual sub1nittal, special tests or code official
inspection and acceptance, tests, test periods, substantial
con1pletion, occupancy, seasonal testing, initial Cx Process
Report submittal, ,varranty revie,v t\vo 1nonths prior to end of
warranty period, lessons-learned 1neeting, and final Cx Pro-
cess Report.
6.2.3.4 The Construction-Phase and Occupancy/Opera-
tions-Phase roles and responsibilities of the individual me1n-
bers of the Cx Team, including any new 1nembers, should be
clearly defined based on the unique experience and knowl-
edge of the tea,n me1nbers. Professional and services agree-
n1ents 1nust be n1odified to reflect the scope of work.
6.2.3.5 The Cx Plan 1nust define the docu,nentation that
will be required as part of the Cx Process during the Con-
struction-Phase and Occupancy/Operations Phase. This
includes the specific fonnats to be used ( electronic/paper,
software progra1n and version), the infonnation to be
included, the frequency of sub,nittal, and the distribution.
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6.2.3.6 The co1nmunication protocols to be used during
the Construction-Phase and Occupancy/Operations Phase
shall be clearly defined in the Cx Plan. This includes ho,v the
flow of information a1nong the tea1n men1bers ,viii be coordi-
nated and distributed.
6.2.3.7 The Cx Process procedures to be implemented
during the Construction-Phase and Occupancy/Operations
Phase must be clearly docu,nented in the Cx Plan. These
include the following:
a. Review of subn1ittals
b. Scheduling and holding of ,neetings
c. Site visit procedures
d. Issues identification, docu1nentation, tracking, and resolu-
tion
e. Construction-Phase test preparation, i1nple1nentation, and
follow-up
f. The responsibilities of each 1ne1nber of the Cx Tea,n
g. Who is responsible for costs related to verification and
testing- including retesting or ve,ification activities
h. Systems manual develop1nent and review
i. Training prograin
j. Occupancy/Operations-Phase test preparation, implemen-
tation, and follow-up
6.2.3.8 The test procedure requiren1ents developed during
the Design Phase are general in nature, structure, and com-
plexity but 1nust clearly convey the level and an1ount of test-
ing (see Section 7.2.9) required by manufacturers and
contractors.
6.2.4 Cx Process Requirements in the Construction
Documents
6.2.4.1 The Cx Process requires that certain quality-
assurance and quality-control procedures, envisioned in the
Cx Plan, be perfonned as part of the construction contract.
6.2.4.2 The OPR should be included in the contract docu-
ments and labeled as for "Inforn1ational Purposes Only" to
differentiate- it fro1n the contractor's contractual obligations.
In addition, as 1nuch BoD information should be included in
the contract docu1nents as possible. This infonnation is
included in the contract docun1ents to aid the contractors in
understanding the design, 1naterial requirements, sustainabil-
ity and energy goals, and the desired use and intent of the
facility. Such information aids in the successful i1nple1nenta-
tion of the Cx Process but does not relate directly to the con-
tract requirements.
6.2.4.3 Specific Cx Process require,nents are included in
the contract specifications. For this guideline, specification
division nu1nbers and section titles consistent with the Con-
struction Specifications Institute MasterFonnat® are used.
T his is done to si,nplify a lengthy list of specification require-
1nents. Cx Process Activities that address syste1ns and asse1n-
blies need to be included in Division I sections and those that
address equip111ent and co1nponents should be included in
Divisions 2 through 16, as described further in the following:
a. T he obligations to perfonn Cx Process Activities ,nust be
docu1nented in the contract between the Owner and con-
tractor.
. . .. .. . .. ·-·-
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b. Detailed scope and responsibilities of the contractor shall
be included in the "Sum1nary of Work" section in Divi-
sion 1.
c. The Cx Process requirements for documentation, training,
and testing facility syste,ns and asse,nblies are integrated
into co1n1nissioning sections in Division I.
d. Specific equipment and component performance docu-
mentation requirements and use of construction checklists
should be integrated into specification sections in Divi-
sions 2 through 16, with appropriate cross-references.
6.2.4.4 The Cx Process Activities to be integrated include
the follo\.ving:
a. Perforn1ance, installation, and operations information
requirements as part of shop drawing sub1nittals in Divi-
sions 2 through 16 sections
b. Completion of construction checklists in Division I and
references to Division I in Divisions 2 through 16 sec-
tions
c. Contractor involven1ent in the Cx Tean1 in Division 1
d. Test require,nents in Division I
e. Training program development and implementation
requirements in Division 1
f. Syste,ns ,nanual require,nents in Division I
6.2.4.5 A guide specification section te1nplate for general
Cx Process requiren1ents in Division 1 is included in Annex L.
6.2.5 Construction Checklists
6.2.5.1 Construction checklists aid the installers by pro-
viding specific infonnation on the OPR for equip1nent and
assen1blies for Jong-term operation. Checklists typically
include the follo,ving:
a. Equipment/assembly verification
b. Preinstallation checks
c. Installation checks
d. Any negative responses
6.2.5.2 The first section of the checklist is equipment/
asse1nbly verification. This section should include vital infor-
mation on the equipment or materials being supplied (specific
listings of vital information are included in the technical
guidelines developed for various facility systems). This sec-
tion contains infonnation on what equipment/material was
specified/submitted and space to document/verify what was
actually delivered to the site.
6.2.5.3 The preinstallation section of the checklist is used
to verify the condition of the equip111ent/1naterial at the site
im111ediately prior to its installation.
6.2.5.4 The installation section of the checklist is used to
verify proper installation. This section focuses on the ability
of the installation to meet the construction documents and the
OPR. For equipment, this section focuses on the physical
installation and its start-up when applicable. For assemblies,
the focus is typically on installation and performance.
6.2.5.5 The negative responses section is a space pro-
vided to docu111ent the reason for any negative responses and
whether any action has been taken to correct the proble111 or
proble111s that led to the negative responses.
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6.2.5.6 When a test data form is required for a specific
systen1 or assembly, there should be an item in the associated
construction checklist for the test data forn1 to be sub1nitted to
the CxA.
6.2.5. 7 Construction checklists should be kept as short as
possible and the questions should be worded clearly so that
the correct answer is typically yes.
6.2.5.8 Construction checklists are used by the Cx Team
to verify that the installation meets the OPR. They can also be
used by the contractors to track progress of construction
against the schedule of values.
6.2.5.9 Annex M contains sa111ple formats for construc-
tion checklists.
6.2.6 Systems Manual
6.2.6.1 The systems manual should provide the infonna-
tion needed to tmderstand, operate, and 111aintain the syste,ns
and assemblies and to inform those not involved in the design
and construction process about the syste,ns and assemblies.
The syste,ns manual should be the repository of infonnation
on updates and corrections to syste,ns and asse,nblies as they
occur during the Occupancy/Operations Phase.
6.2.6.2 The systems manual expands the scope of the tra-
ditional operating and ,naintenance doctunentation to include
the additional infonnation gathered during the Cx Process
and to provide a systems-based organization of infonnation.
6.2.6.3 Contractor doctunentation require,nents for the
systems ,nanual shall be clearly stated in the construction
doctunents.
6.2.6.4 The following should be included in the syste111s
111anual (see Annex O for an exa111ple fonnat):
a. Index of syste111s ,nanual with notation as to content stor-
age location if not in actual 111anual
b. Executive surmnary
c. OPR
d. BoD documents
e. Construction record documents, specifications, and
approved submittals
f. A list of recom1nended operational record-keeping proce-
dures, including sample forms, logs, or other means, and a
rationale for each
g. Ongoing optimization guidance
h. Operations and 111aintenance ,nanuals (includes operating
procedures for all normal, abnormal, and e111ergency
modes of operation; maintenance procedw·es; parts and
recom111ended spare parts list; troubleshooting guide; and
systems schematics (one-line diagrams)
1. Training materials
J. Cx Process Report
6.2.7 Training Requirements .
'
6.2.7.1 During the Design Phase, the tra1n1ng require-
111ents of the operations and 111aintenance personnel and occu- ..
pants are identified relative to the syste111s and asse111blies to
be installed in the facility. It is critical that the operations and
111aintenance personnel have the knowledge and skills
required to operate the facility to 111eet the OPR. The occu-
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pants need to understand their in1pact on the use of the facility
and its ability to meet the OPR.
6.2.7.2 These training require1nents can be obtained
using a no1ninal group technique workshop, interviews, or
surveys. The require1nents are obtained after the syste1ns and
asse,nblies have been decided on, and prior to issuance of the
construction docu1nents, to ensure that the require1nents for
training are clearly conveyed in the construction docwnents.
The results of the workshop, interviews, or surveys should
address the following:
a. The systerns, subsystems, equipment, and assernblies for
\.vhich training will be required.
b. The capabilities and knov.rledge of the occupants and
operations and maintenance personnel.
c. The number and type of training sessions. The training
program should be organized into a series of instn1ctional
modules, each covering a portion of the facility's systems,
equip1nent, and assemblies.
d. Measurable learning objectives and teaching outlines
should be developed to clearly describe the specific skills
and knowledge that the participant is expected to master.
6.2.7.3 The first training session should be general in
nature for the operations and rnaintenance personnel and the
occupants, and it should review the OPR and the BoD. This
provides the background on why the facility is being con-
structed and its lirnitations.
6.2.7.4 The rnajority of training should be planned to be
accornplished during the Construction Phase and prior to sub-
stantial co,npletion.
6.2.7.5 Training during the Occupancy/Operations Phase
may be required for certain systems and assemblies to achieve
or maintain the OPR.
6.2.7.6 The syste1ns 1nanual has a close functional rela-
tionship with personnel training. A meaningful and useful
training progran1 typically includes using the operation and
1naintenance con1ponents of the systen1s 1nanual as the basis
of develop1nent.
6.2.7.7 Reviev.r of docu1nentation during training consists
of reviewing the content of e1nergency, operation, and 1nainte-
nance infonnation in the syste1ns rnanual, project record doc-
tunents, syste111 and equiprnent identification systerns,
warranties, and 1naintenance service agreernents contained in
the systems rnanual. Training should specifically address:
a. Ernergency instn1ctions and procedures: those required
for operating the facility during various emergencies,
including step-by-step instructions for each type of e,ner-
gency
b. Operation instn1ctions and procedures: the procedures
required for nonnal operation of the facility, including
step-by-step instn1ctions for day-to-day operation
c. Adjustment instructions: infonnation for maintaining
operational para1neters
d. Troubleshooting procedures: instructions for diagnosing
dperating problems and procedures for testing and
inspecting
.
e. Maintenance and inspection procedures
..
.
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f. Repair procedures: instructions for diagnosing proble1ns
and for disassembly, con1ponent removal, replacement,
and reassembly
g. Upkeep of the systems manual and associated n1ainte-
nance documentation and logs
6.2.7.8 In the specifications, as a 1ninimun1, define the
ti1ne requiren1ents for each type of syste1n/asse1nbly that
requires demonstration and training or include an allo,vance
for den1onstration and training capabilities. Also include the
expected experience and kno,vledge of trainer, the nu,nber of
unique training sessions, the need for repeating the training
for multiple shifts, and subn1ittal of training plan, handouts,
record of the training, and electronic recording of on-site
training.
6.2.7.9 Training rnaterials should include or utilize the
following ite111s:
a. Copy of the training plan including schedule, syllabus,
and agenda
b. Syste1ns 1nanual
c. !Vfanufacturers' training 1nanuals
d. Electronic media or videotapes of ,nanufacturers' or ven-
dors' training and service rnaterials
6.2.8 Revie,v of Design Professional Submittals
6.2.8.l Co1nplete targeted design revie,vs at strategic
ti1nes during the Design Phase. All design issues should be
resolved before continuing with design.
6.2.8.2 A. targeted design review is composed of four
tasks:
a. General quality revie,v of the documents, including legi-
bility, consistency, and level of completeness.
b. Coordination between disciplines.
c. Discipline-specific revie,v for achieving the OPR.
d. Specification applicability and consistency with OPR and
BoD.
6.2.8.3 The general quality of the docu,nents is evaluated
by checking for consistent layout and legibility of the design
professional submittal and construction docu1nents. Co1npli-
ance with the OPR along with ease of use and clarity are the
n1ajor issues to check when looking at the co,nplete package.
This revie,v looks for completeness of the drawings and for
ite1ns of concern identified during previous reviews.
6.2.8.4 Sa,nple areas of the facility, I 0-20% of the total
area, are reviewed in detail to evaluate the coordination
accornplished within and a1nong disciplines. This includes
reviewing for constructability and interfaces a1nong disci-
plines. The intent of this review is to detennine if there are
syste1natic errors, not to fully check the drawings. The
responsibility for co1nplete checking of the drawings for coor-
dination and accuracy rernains with the design tea111
6.2.8.5 A discipline-specific review involves a review of
the construction docu1nents along with the BoD, design cal-
culation assu1nptions, and rnethods for cornpliance with the
OPR. A sa,npling strategy of focusing on I 0-20% of the
drawings provides for an in-depth analysis and evaluation of
the ability of the docu1nents to rneet the OPR.
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6.2.8.6 A review of the specifications is performed to
detern1ine co1npleteness and applicability to the project. A
review of 10-20% of the specification is performed in detail
for verification of compliance with the OPR. Items checked
include applicability of the section to the project, Cx Process
requirements, submittal requirements, applicability of equip-
n1ent, training requirements, and coordination with other sec-
tions.
6.2.8.7 See Annex N for additional guidance on how to
accomplish quality-based design reviews.
6.3 Design-Phase Acceptance Requirements
6.3.1 The Cx Process should include the fonnal acceptance
by the o,~1 ner of the BoD and the updated OPR during the
Design Phase, following review and co.1nment by the CxA..
6.4 Design-Phase
. Documentation Requirements
.
6.4'. 1 Construction doctunent co1n1nissioning requiretnents,
updated OPR, updated Cx Plan, the updated Issues and Reso-
lutioH. Log, and the Cx Process Progress Reports are the pri-
mary doctunentation requirements for the Design- Phase Cx
Proc~ss.
6.4.2 The infonnation in these deliverables is used through-
out subsequent project phases (including Occupancy and
Operations).
6.5 Design-Phase Training Identification Requirements
6.5.1 Training require1nents for facility, syste1n, and assetn-
bly operation and 1naintenance are addressed during the
Design Phase by the co1npletion of a training require1nents
identification workshop, develop1nent of the Construction-
Phase and Occupancy/Operations-Phase training progra1n,
and inclusion of the training progra1n require1nents in the Cx
Plan and construction docwnents.
7. CONSTRUCTION PHASE
7.1 Introduction
7.1.1 During the Construction Phase of the project delivery
process, syste1ns and assemblies are installed, inspected,
tested, and placed into service to meet the O\J.rner's Project
Requirements. This phase 1nay also include bidding, negotia-
tion, and contracting activities. The syste1ns manual is deliv-
ered during this phase and training is provided.
7.1.2 Construction-Phase Cx Process objectives include the
following:
a. Updating the OPR
b. Updating the Cx Plan
c. Verifying that submittals ,neet the OPR
d. Developing detailed test procedures and data fonns
e. Verifying that systetns and assetnblies cotnply \.vith the
OPR
f. Delivering the syste1ns 1nanual
g. Verifying training of the Owner's operation and tnainte-
nance personnel and occupants.
h. Acceptance ofConstn1ction-Phase Cx Process Activities
7.1.3 Construction-Phase Cx Process Activities described
in this section that are to be performed by the design tea1n and
special consultants tnust be included in the scope of services
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described in the "Owner-Design Professional Service Agree-
tnent." These Cx Process Activities may be tnore than are
nonnally required in their scope of services. The scope of ser-
vices in the "Owner-Design Professional Service Agreement"
should also include the requirement to cooperate with the
CxA during Predesign, Design, and Construction phases of
the project. This tnay include tnaterial testing, TAB, perfor-
1nance tests, records, photography, outside training, Owner's
furnished equipment vendors, and other require1nents during
the Construction Phase.
7.1.4 If the Cx Process on a particular project starts at the
Constn1ction Phase, Cx Process Activities described for the
Predesign and Design Phases 1nust be cotnpleted before the
follo,ving Construction-Phase activities are begun.
7.2 Construction-Phase Cx Process Activities
7.2.1 Construction-Phase Cx Process Responsibilities
7.2.1.1 During the Construction Phase, the Cx Team
works to verify that syste1ns and assetnblies are installed in a
. manner that ,viii achieve the OPR.
7.2.1.2 Use quality-based sampling for verification of
each task and test detennined to be related to the OPR during
the Construction Phase. (See Annex N for additional guid-
ance.)
7.2.1.3 Conduct and docun1ent regularly scheduled Cx
Teatn meetings to facilitate coordination and cooperation in
delivering a facility that 1neets the OPR.
7.2.1.4 Essential team 1nembers during the Construction
Phase include 0\.vner's representatives, the CxA, design pro-
fessionals, contractors, suppliers/vendors, and construction/
program/project 1nanagers.
7.2.1.5 Responsibilities of the Cx Tea1n during the Con-
struction Phase include the follo,ving:
a. Participate in the prebid conference.
b. Coordinate participation of Owner's representatives.
c. Identify specialists who ,viii be responsible for accom-
plishing the Cx Process Activities for specific systetns and
assemblies.
d. Update the OPR to reflect decisions made during bidding
and constn1ction.
e. Update the Cx Plan.
f. Conduct a preconstruction Cx Process ,neeting.
g. Review the following sub1nittals for co1npliance with the
OPR : coordination dra,vings, shop drawings, product
data, preli1nina1y systems manual, and training progratn.
h. Schedule the Cx Process Activities and integrate the1n
into the project construction schedule.
i. Address schedule changes.
j. Develop and docu1nent test procedures and data fonns.
k. Conduct and docurnent ongoing Cx Teatn tneetings.
I. Monitor co1npliance with the OPR through periodic site
visits.
tn. Verify completion of itetns indicated in the construction
checklists.
n. Witness tests.
o. Verify tests.
p. Verify test data reports.
q. Verify training of operation and maintenance personnel
and occupants according to the OPR.
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r. Identify, diagnose, and track issues and deviations relating
to the OPR and docu,nent resolution of same.
s. Write and revie,v Cx Process Progress Reports.
t. Revie,v construction progress reports.
u. Verify incorporation of new equip1nent and syste,ns into
the n1aintenance 1nanagement progran1.
v. Verify updates to the BoD documentation.
w. Verify updates to the syste1ns ,nanual.
x. All Cx Tea,n members are responsible for keeping the Cx
Tea,n infonned of decisions that result in modifications to
the OPR.
y. Revie,v contract 1nodifications for co1npliance ,vith OPR.
7.2.2 Prebid Conference
7.2.2.l Ti,ne should be allotted during the prebid confer-
ence for the Cx Team to alert bidders to Cx Process require-
1nents \.vith which they ,nay not be familiar.
7.2.3 Coordinate O"•ner's Representatives Participation
7.2.3. 1 Coordinate and schedule participation of Owner's
representatives in Cx Process A.ctivities. Owner representa-
tives ,nay vary fro,n one activity to another, both in ntunber
and in the specific individuals. It is in1portant for Owner's
representatives to participate in Cx Tea1n ,neetings, revie,v of
co1nmissioning process reports, discussions of changes to the
OPR, and staff and occupant training. Other Cx Process
Activities in which Owner's representatives typically partici-
pate include reviewing sub111ittals and witnessing testing.
7.2.4 Update OPR
7.2.4.1 Changes to the OPR during bidding and the Con-
struction Phase may be initiated as the result of o,vner-
directed changes to the OPR or design/constn1ction process-
initiated changes to the constn1ction docwnents.
7.2.4.2 When the Owner initiates a change to the OPR,
the design shall be modified and reviewed as necessary to
meet the change.
7.2.4.3 When the Owner considers changes initiated
through the design/constn1ction process, the Cx Tea,n should
review the proposed changes to detern1ine if they con1promise
the OPR, paying special attention to the fi.mctional itnpacts of
value 1nanage1nent proposals. If the Owner chooses to initiate
a change after reviewing the Cx Team's com.m ents, the OPR.
,nust be updated as necessary to match the change.
7.2.5 Update the Cx Pla n
7.2.5. 1 Update the Cx Plan to include ne,v or revised
descriptions of Cx Process Activities during the Construction
Phase. Incorporate the follo,ving:
a. Test procedures and data fonns developed during the Con-
struction Phase.
b. Refine,nent and integration of Cx Process Activities in the
constn1ction schedule.
c. Roles and responsibilities of the Cx Tean1 during the Con-
stn1ction Phase, including the identification of new tea,n
1ne1nbers.
d. Identification of specialists responsible for acco,nplishing
Cx Process Activities for specific systems and asse111blies.
e. Changes to the co1n1ntu1ication channels and procedtu-es
to be used during the Constn1ction Phase.
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7.2.6 Conduct Preconstruction Cx Process Meeting
7.2.6.1 Early in the Construction Phase, the CxA shall
conduct a preconstruction Cx Process ,neeting with the Cx
Tea,n.
7.2.6.2 During the preconstn1ction n1eeting, the OPR,
BoD, and unique contract docu1nent require1nents are
reviewed. In addition, the specific roles and responsibilities of
the contractors relative to the Cx Process Activities are
reviewed.
7.2.7 Verify S ubmittals
7.2.7.1 It is recommended that a sa1npling strategy ofran-
do1nly selecting 5% to l 0% of the submittal be used to focus
on the quality and ability of the submittal to achieve the OPR.
If deviations are substantial, then review an additional 5% to
l 0%. If substantial deviations still exist, then reject the sub-
1nittal and return it ,vith comments. (See Annex N for addi-
tional guidance.)
7.2.7.2 Concurrent \.vith design team and Owner reviev.r, a
designated Cx Tearn ,nember revie,vs coordination drawings,
shop dra\.vings, and project sub,nittals for cornpliance \.vith
the OPR. Special attention must be paid to substitutions and
proposed deviations fro,n the contract docwnents and the
BoD that could adversely irnpact the OPR.
7.2.7.3 Upon receipt, designated me1nbers of the Cx
Team shall review the systems manual for compliance ,vith
the contract docu,nents and the OPR.
7.2.7.4 R.evie,\1 training program, materials, and sched-
ule, and monitor delivery of training to verify that it meets the
OPR for the preparation of operations and maintenance per-
sonnel.
7.2.7.5 Training records are revie,ved by designated
me,nbers of the Cx Team for proper docwnentation of attend-
ees, rnaterial covered, and associated details.
7.2.8 Schedule Cx Process Activities
7 .2.8.l The objective of scheduling Cx Process Activities
is to integrate and coordinate them with other Constn1ction-
Phase activities and to allow all Cx Team me,nbers to plan
their work to achieve the OPR. Cx Process Activities should
be integrated into the construction schedule. Detailed integra-
tion of commissioning work with the construction schedule is
critical to 1naintaining project schedule milestones.
7.2.8.2 The project schedule needs to include the sta1t
date, duration, description, and entity responsible for cornple-
tion.
7.2.8.3 As a n1ini1num, the following should be included
in the project schedule:
a. Cx Team meetings
b. Start and completion of each Construction Phase
c. Key system and asse,nbly co1npletion and tests
d. Training sessions
e. Substantial completion
f. Warranty start date
g. Occupant move-in
h. Warranty review two tnonths prior to end of warranty
period
1. Lessons-learned 1neeting
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7.2.9 Develop Test Procedures
7.2.9.1 Test procedures define the ,neans and methods to
carry out the tests that are acco,nplished during the Constn1c-
tion-Phase. Test procedures provide the follo\ving:
a. Participants required for the test, ,vhich may include the
pri1nary contractor, secondary contractors, design profes-
sionals, the CxA, operators, the local authority having
jurisdiction, and manufacturers associated ,vith the equip-
1nent, syste1n, or assembly.
b. Prerequisites for the test perfonnance in tenns of co,nple-
tion of syste,ns and asse,nblies and acceptable co,npletion
of other activities.
c. Step-by-step instructions to exercise the specific systems
and assemblies under test. Instructions include ho,v to
configure the system or assembly to start the test and how
to restore the system to normal operation at the conclusion
of the test.
d. List of instrtunentation, tools, and supplies required for
the test. The list should indicate which of the participants
is responsible for each of the ite,ns listed. The list should
be specific as to ,nake, 1nodel, range, capacity, accuracy,
calibration, and other pertinent perfonnance require,nents.
e. An indication, for each step of the procedure, of what
observations or measurements must be recorded and the
range of acceptable results.
7.2.9.2 The Cx Tea,n will develop a range of test verifica-
tion procedures. These procedures include the following:
a. Component test procedures: verify the perfonnance of
co,nponents under a full range of actions, responses to
inputs, and loads.
b. Systeni/assembly test procedures: verify the perfonnance
of subsystems, syste1ns, and assemblies under a full range
of operating conditions (both nonnal and emergency),
responses to inputs, and loads.
c. lntersystem test procedw·es: verify the interactions
between systems and assernblies.
d. OPR test procedures: verify that the various systems and
assen1blies that comprise the facility deliver the intended
OPR at the point of use.
e. Use quality-based sa,npling for verification of each test
detennined to be related to the OPR. (See Annex N for
additional guidance.)
7.2.9.3 In developing the test procedures, special atten-
tion 1nust be paid to issues of personnel safety, equipment/
assembly protection, and 111anufacturer's recom1nendations to
protect the validity of the warranty.
7.2.10 Develop Test Data Records
7.2.10.1 Test data records capture test data, observations,
and measure1nents. Data 1nay be recorded on photographs,
forms, or other means appropriate for the application. The
following mini1num infonnation should be recorded:
a. Test nu,nber.
b. Date and time of the test.
c. Indication of whether the record is for a first test or retest
following correction of a proble,n or issue.
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d. Identification of the syste1n, equipment, or assembly
tmder test. List the location and the construction docu-
ment designation. Include the sampling strategy to be
used for the test.
e. Conditions tmder \vhich the test \.Vas conducted. For
example, when testing, fully describe the arnbient condi-
tions, setpoints, overrides, and the status and operating
condition of devices, systems, and equiptnent that impact
the results of the test.
f. Expected perfonnance of the syste,ns and asse,nblies at
each step of the test.
g. Observed performance of the system, equipment, or
assembly at each step of the test. When data fonns are
used, check boxes generally do not adequately describe
the syste,n perfonnance and therefore should be avoided
in most cases. A blank space in \.vhich the observed or
1neasured performance may be described provides more
information for diagnostics and a future baseline for per-
formance.
h. Notation to indicate whether the observed perforn1ance at
each step ,neets the expected results.
1. Other observations about system performance or test pro-
cedure.
J. Issue nwnber, if any, generated as a result of the test.
k. Dated signatures of the person performing the test and of
the ,vitness, if applicable.
7.2.11 Cx Team Meetings
7.2.11.1 Consistent, periodic Cx Team ,neetings are
essential to maintaining the progress of the project.
7.2.11.2 The schedule of,neetings should be docu,nented
as early as possible during the Construction Phase and
updated as required due to schedule changes. The 1neeting
dates and times should be known a 1nini1n1un of t\.vo weeks in
advance and should be coordinated ,~rith other 1neetings to
1nini1nize travel ti,ne and costs for various attendees.
7.2.11 .3 Team ,nembers represented at the meeting must
be authorized to 111ake conu11illnents and decisions for their
respective organizations to facilitate an effective Cx Tea,n
1neeting.
7.2.11.4 Prior to a n1eeting (usually a 1ninimu1n of three
days) an agenda should be distributed to all invited attendees.
The agenda should include the follo,ving:
a. Meeting location
b. Start ti,ne
c. List of invited attendees
d. List of ite1ns to cover (previous action items, outstanding
issues, schedule review, new issues, and other business)
along \vith defined time allotments for each item
e. End time
f. Attach1nents, if applicable
7.2.11.5 The 1neeting ti,ne and duration should be strictly
adhered to. This will set the tone for other Cx Process Activi-
ties.
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7.2.11.6 Within a reasonable and established period (fre-
quently, three days) after the ,neeting, distribute meeting
notes or minutes. This should include the follo,ving:
a. Date, time, and location of the meeting
b. List of attendees
c. Resolved action ite1ns and issues
d. Outstanding action iten1s and issues, including clear iden-
tification of the responsible party and due dates
e. Date, ti,ne, and location of the next ,neeting
7.2.12 Accomplish Periodic Site Visits to Verify Compli-
ance ,vith the OPR
7.2.12.1 Site visits are the pri,nary ,nethod used during
the Construction Phase to verify that the installed systems and
assemblies comply with the OPR.
7.2.12.2 A clear, concise, and consistent procedure must
be followed for each site visit to properly identify Constn1c-
tion-Phase process problems and issues.
7.2.12.3 The site visit procedure uses statistical sa,npling
techniques for verification of the construction checklists and
record documents. This provides assurance that the verifica-
tion process is not biased and has reliable consistency. The
recomn1ended procedure has the following general steps:
a. Identify the current state of construction to define the
scope of syste,ns and assemblies that can be verified. The
construction checklists completed since the previous site
visit provide one way to define this scope.
b. Rando1nly select bel\veen 2% and 10% of the systems and
asse,nblies identified for verification. This can be acco,n-
plished by rando1nly selecting a starting point and selecting
every tenth ite,n fro,n a list or by auto,natically generating a
randotn sa,nple fro,n a co,nputerized database.
c. Identify Cx Team 1ne1nbers for the site visit.
d. Review OPR.
e. Acco,nplish verification. This task is co,npleted by going
to the selected system or asse,nbly and co,nparing the
installation to the completed (full or partial) construction
checklists. Any negative responses should be reviewed in
detail.
f. Any consistent problems \.vith the installation identified
(typically n1ore than 10°/o of the sample has the sa1ne
issue), including record docu,nents, are docu,nented in
general terms and provided to the contractor for resolu-
tion. The contractor is then responsible for l 00% check-
ing of all affected systems or asse,nblies and ,naking
corrections as required.
g. Any inconsistent problems (one or t\.vo occurrences) are
sent to the contractor, detailing the specific co,nponent,
system, or assembly for resolution.
h. Meet ,vith contractors to discuss any issues identified and
the general progress of the project.
i. Meet ,vith the Owner's representative to review the find-
ings, project schedule, and outstanding issues.
J. Develop a site visit report and distribute to the Cx Team
me,nbers and other interested parties.
k. Update the Issues and Resolution Log.
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7.2.13 Test Execution
7.2.13.1 During test execution there can be witnessing of
tests, verification of tests, or verification of test data reports.
Typically, only one of these is performed by the CxA for a
specific test or series of tests. However, depending on the type
and complexity of the test, it is possible in some cases to ,vit-
ness a portion of the test, verify the test through a rando1n
sa1npling of con1ponents, and verify the test data report
through rando111 sampling of the reported results.
7.2.13.2 Co,npletion of tests should comply with the fol -
lo,ving:
a. Tests shall be perfonned according to approved written
procedures. Results of test perfonnance shall be recorded
on the test data fonns and witnessed.
b. Deviations from the approved procedures, if permitted,
should be docuinented in writing.
c. Test data should be recorded under steady-state and stable
conditions.
d. If an issue is observed during a test, the test should be ter- .
111inated, ,vithin the scope of the contract. An issue report
is created at the ti1ne of observation. If the issue cannot be
resolved ,vithin a reasonable ti1ne period, it may be
required to run the test im1nediately, with the understood
options to run the test later, after all issues are resolved.
e. If an issue is discovered during review of the data, the
issues shall be resolved or the test repeated in its entirety.
f. Upon co1npletion of the test, the technician performing
the test and the witnesses sign the test data record, attest-
ing to the verity of the recorded observations.
7.2.13.3 Generally, the sequence of testing will be exe-
cuted in the order of activities listed:
a. The verification of the construction check lists begins \.vith
equip,nent or asse,nbly delivery and continues through
start-up and testing.
b. Tests verifying syste,n and intersyste,n perfonnance
according to the OPR cannot begin until the construction
checklists have been verified and accepted by the Cx
Team.
c. Other sequencing requiren1ents, depending on the specific
syste1n, may be required to ensure the proper conditions
are present or can be created.
d. A specified test is run according to contract doctunents or
to manufacturer's require,nents.
7.2. 14 Verify Training
7.2.14.1 Within a reasonable period (such as three weeks)
of each training progratn, bet\.veen 5% and I 0% of the train-
ees shall be randomly selected and tested or informally evalu-
ated on the material covered in the specific program. The
intent of this testing is to verify that the trainees \.Vere pro-
vided with the pertinent infonnation to operate and tnaintain
the facility according to the OPR.
7.2.14.2 It is not typically expected that the trainees will
have 1ne1norized everything fro,n the training session but that
they know where the infonnation is, can find it, and under-
stand sufficiently to walk through the key steps to trouble-
shoot a proble1n and resolve it.
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7.2.14.3 Attendee sign-in sheets should be used to verify 7.2.16 Verify Systems Manual Update
that trai ning was delivered to the inte nded people. 7.2.16.1 Verify that the systems 1nanual is updated to
7.2.15 Construction-Phase Cx Process Report incorporate materials gene rated during the Construction
7.2.15.1 The Construction-Phase Cx Process Report is Phase. Materials that should be added are:
the docun1entation of the com1nissioning work and results a. Test procedures and test data records
accomplished during the Construction Phase. The Construc-
b. Training plans
tion-Phase Cx Process Report contains the following:
c. Training records
a. Identification of any systems or assemblies that do not d. Record Drawings
perfonn in accordance with the OPR. For various reasons, e. Subtnittal review reports
the Owner may choose to accept perfonnance that is at f. Updated OPR
variance ,vith the OPR, either permanently or until sched- g. Updated BoD
ule and budget constraints allow for correction. The h. Updated Cx Plan
O,vner's acceptance of these conditions should be docu-
i. Updated Issues and Resolution Log
1nented along with the environmental, health, safety, con1-
j. Cx Process Progress Reports
fort, energy, and operating and maintenance cost impacts.
The OPR 1nust be updated to 1natch the revised expecta- 7.2.17 Verify Update of the BoD
tions. 7.2.17.1 Verify that the BoD is updated to reflect any
b. Evaluations of the operating condition of the syste1ns at changes to the design during the Construction Phase. Verify
the time of test co1n pletion. that design changes co1nply with the OPR. If necessary,
c. Construction checklist completion and verification swn - update the OPR.
mary.
7.3 Cons truction-Phase Acceptance Requirements
d. Results from the Issues and Resolution Log, including the
descriptions of issues and the ,n easures take n to correct 7.3.1 The Cx Process should include the fonnal acceptance
them. The description should assess the importa nce of the by the Owner of the systems manual, verified test reports, and
issues and esti,n ate the value of thei r correction in tenns training reports, consistent ,vith the reco1nmendations of the
of environmental impact, i1nproved health, safety, com- CxA and appropriate other Cx Team 1nembers.
fort, energy consumption, operating and maintenance 7.4 Construction-Phase Documentation Requirements
costs, and the ability of the facility to suppoti its 1n ission.
7 .4.1 The pri1n ary Cx Process require1n ents for docu1nenta-
e. Test procedures and data. This section should incorporate tion during the Construction Phase include the Constn1ction-
the original test procedures and signed data fonns, includ- Phase Cx Process Report and co1n1nissioning ele1n ents of the
ing additional data such as photos, computeri zed docwnen- systems 1n anual.
tation, and other records of the tests. Data should include
the final accepted test, as well as earlier tests that fai led to 7.4.2 The inforn1ation in these deliverables is used through-
meet the specified criteria. This section should also include out the Occupancy/Operations Phase.
a set of blank data fonns for future use in the Ongoing Cx 7.5 Construction-Phase Training Requirements
Process and Recomtn issioning. 7.5. 1 The Cx Process training require,n ents for the Con-
f. Cx Process Progress Reports. Copies of progress reports struction Phase are discussed in Section 7.2. 14.
generated throughout the Cx Process.
g. Deferred tests. Execution of some tests ,nay be deferred 8. OCCUPANCY/OPERATIONS PHASE
until appropriate natural loads, such as occupancy or
8.1 Introduction
design ,veather conditions, are available. For these
deferred tests, the prerequisite conditions and an esti- 8.1. 1 The Occupancy/Operations Phase of the Cx Process
1nated schedule for their completion should be included. begins at substantial con1pletion. As a minin1un1, the Cx Pro-
h. Lessons learned. Evaluation of the Cx Process used and cess Activities begun at this point should continue through the
changes that will improve the delivered project and fonn end of the contractual ,varranty/correction period and ideally
the basis for the Final Cx Process Report developed dur- continue throughout the life of the facility. During the Occu-
ing the Occupancy/Operations Phase. This is essential to pancy/Operations Phase, the ongoing operation, maintenance,
ensure that issues, benefits, and recom1nendations are cap- and modification of the facility systen1s and assemblies, and
tured in a written document while all tean1 me1n bers are their associated docu,nentation, are verified against the
available and infonnation is fresh. updated OPR.
8.1.2 The active involve1nent of the CxA and Cx Tea1n dur-
7.2.15.2 A draft Construction-Phase Cx Process Report
ing the initial portion of the Occupancy/Operations Phase of a
should be submitted for O,vner review. Sub1nittal of the draft
project is an integral aspect of the Cx Process.
Cx Process Report to other Cx Tean1 1nembers may also be
appropriate. 8. 1.3 Occupancy/Operations- Phase Cx Process objectives
include the following :
7.2.15.3 The final Construction-Phase Cx Process Report
should incorporate review co1111n ents fro1n the Owner and, a. Usi ng the CxA's project knowledge and expenence to
optionally, fro1n other Cx Tea,n 1ne1n bers. 1n ini1nize contractor callbacks
.. ·.. .... . .-....... ...
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b. Providing ongoing guidance on operations and 1nainte-
nance to achieve the OPR
c. Completing seasonal testing of facility systerns and
assemblies
d. Docu1nenting lessons learned fro1n applying the Cx Pro-
cess for application to the next project
e. Acceptance of Occupancy/Operations-Phase Cx Process
Activities
8.1.4 Occupancy/Operations-Phase Cx Process Activities
described in this section that are to be performed by the
design team and special consultants that must be included in
the scope of services described in the "O,vner-Design Profes-
sional Service Agreen1ent." These Cx Process Activities may
be 1nore than are norn1ally required in their scope of services.
The scope of services in the "Owner-Design Professional Ser-
vice Agreement" should also include the require1nent to
cooperate with the CxA during Predesign, Design, and Con-
struction Phases of the project. This may include training,
seasonal tests, problem resolution, design evaluation, site vis-
its, updating drawings and specifications, or other require-
1nents performed during the occupancy and initial operations
period defined for the project.
8.1.5 If the Owner adopts the Cx Process on a project at the
Occupancy/Operations Phase, then this process is termed
"retrocornrnissioning" and, while it accomplishes sorne Cx
Process Activities described herein, it is sufficiently different
frorn the Cx Process that it is not \\1ithin the scope of this
guideline.
8.1.6 It is often desirable for the Owner to 1naintain the
benefits of the Cx Process ,veil into the life of the facility.
8.2 Occupancy/Operations-Phase Cx Process Activities
8.2.1 Occupancy/Operations-Phase Cx Process Respon-
sibilities
8.2.1. l During the Occupancy/Operations Phase, the Cx
Tearn \.vorks to verify the ongoing cornpliance ,vith the QPR.
8.2.1.2 Essential tea1n 1nembers during the Occupancy/
Operations Phase include Owner's representatives, the CxA,
design professionals, contractors, and construction/progra1n/
project managers.
8.2.1.3 Responsibilities of the Cx Tearn during the Occu-
pancy/Operations Phase include the following:
a. Coordinate contractor callbacks.
b. Verify seasonal testing of facility systems and assemblies.
c. Verify continuing operation and 1naintenance personnel
training.
d. Verify system and assembly operations rneet updated
OPR.
e. Verify continual updating of the syste1ns 1nanual.
f. Conduct and verify periodic performance evaluations of
facility systerns and assemblies.
g. Convene lessons-learned workshop.
h . Complete the final Cx Process Report for the project.
8.2.2 The CxA should aid in the coordination of the call-
back of contractors during the Occupancy/Operations Phase.
Since the CxA has been involved since the Predesign Phase,
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he/she has the ability to identify which contractors should be
contacted to resolve an issue.
8.2.3 Verification of the perfonnance of all syste1ns and
assemblies being co1nn1issioned should be con1pleted during
the Construction Phase. However, certain ,veather conditions,
load conditions, or occupant interactions are required to con1-
plete so1ne verification activities. Such deferred perforn1ance
verification shall be conducted at an appropriate time, and
under appropriate conditions, as early as possible after occu-
pancy.
8.2.4 Training of the O,vner's operation and 111aintenance
personnel on the funda1nentals of facility and system/asse111-
bly operations and the occupants on facility usage will ideally
occur primarily during the Construction Phase of a project.
Son1e training, ho,vever, is likely to be best deferred until the
O,vner has assumed responsibility for the facility. Such train-
ing will be defined in the Cx Plan and contract documents.
8.2.4.1 Ongoing training is an integral part of an Ongoing
Cx Process. The Owner's operation and maintenance person-
nel and the occupants will be critical 1nembers of the Cx
Team responsible for these periodic efforts.
8.2.5 The final project Cx Process Report will be con1-
pleted during this phase. The requirements for a successful
Cx Process Report are described in Section 7. Content not
available or incon1plete at the end of the Construction Phase
will be added during this phase.
8.2.5.1 Should the Owner choose to implement the Ongo-
ing Cx Process for his/her facility, periodic Cx Process
Reports will be created throughout the Occupancy/Operations
Phase to reflect the Cx Process Activities undertaken.
8.2.6 The final project syste1ns manual will be co1npleted
during this phase. The requirements for a successful syste1ns
111anual are described in Section 7. Content not available or
incomplete at the end of the Construction Phase will be added
during this phase.
8.2.6.1 The syste1ns 1nanual should be updated as
changes are 1nade to the facility throughout the entire Occu-
pancy/Operations Phase. This includes updating the OPR to
reflect current conditions and needs and updating the BoD to
reflect changes to syste1ns and asse1nblies.
8.2.7 Dyna1nic syste1ns and equip1nent, as well as static
syste1ns, assernblies, and co1nponents, tend to 1nigrate fro1n
their as-installed conditions over ti1ne. In addition, the needs
and de1nands of facility users and processes typically change
as a facility is used. To attain opti1nal perfonnance of facility
syste1ns, periodic verification of syste111, assernbly, and con1-
ponent condition and operation is essential. The syste1ns 1nan-
ual provides the tools and docu1nented bench1narks for
evaluation of ongoing perfonnance. Such periodic verifica-
tion is often best done in the context of an Ongoing Cx Pro-
cess.
8.2.8 The Ongoing Cx Process has the following key activ-
ities:
a. Maintaining the OPR to reflect changes in use and opera-
tion of the facility.
•• ., ... , •• .,.,,., •H
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b. Maintaining the BoD to re.fleet changes in systems and
asse1nblies due to renovations or in response to changes in
the OPR.
c. Periodic evaluation of achieving the current OPR and
against previous benchmarks by appropriate tests.
d. Maintaining the syste1ns manual to reflect changes in
OPR, BoD, and systen1s/assemblies.
e. Ongoing training of operations and 1naintenance person-
nel and occupants on current OPR and BoD and changes
in systems and asse1nblies.
8.3 Occupancy/Operations Phase
Acceptance Requirements
8.3.1 The Cx Process should include the formal acceptance
by the CxA and the Owner of any deferred training, the final
project syste1ns manual, and the final Cx Process Report dur-
ing the Occupancy/Operations Phase.
8.4 Occupancy/Operations-Phase Documentation Require-
ments
8.4.1 The final project Cx Process Report and final project
syste1ns n1anual are the pri1naiy docu1nentation requirements
for the Occupancy/Operations-Phase Cx Process. The infor-
.. , , , ... .. .. , .. , . ...
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n1ation in these deliverables is used throughout the life of the
facility.
8.4.2 If periodic pe1formance verification is conducted for
the O\.vner, an Ongoing Cx Process Report and updates (as
necessa1y) to training and the syste,ns manual should be pro-
vided as deliverables.
8.5 Occupancy/Operations-Phase Training Requirements
8.5.1 The Cx Process training requirements for the Occu-
pancy/Operations Phase are discussed in Section 8.2.4.
9. REFERENCES
1. DeVor, R., T. Chang, and J. Sutherland. 1992. Statistical
Quality Control: Conte111porary Concepts and Methods,
Macmillan Publishing Company, New York, Chapter 7.
2. Gitlow, H. and S. Gitlo\v. 1987. The De,ning Guide to Qual-
i~y and Co,npetitive Position, Prentice-Hall, Engle\vood
Cliffs, NJ, Chapter 3.
3. Juran, J.M. (Ed.). 1995. A History of Managing.for Quality:
The Evolution, Trends, and Future Directions o.l i'vfanag-
ing.for Quality, ASQC Quality Press, Milwaukee, WI.
ASHRAE Guideline 0-2013
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(This is a normative annex and is part of this guideline.)
NORMATIVE ANNEX A
GUIDE FOR DEVELOPING SUPPLEMENTARY
TECHNICAL GUIDELINES FOR
THE COMMISSIONING PROCESS
The purpose of this annex is to provide the recornrnended
format and content for Total Building Cx Process supporting
technical guidelines. The objective is to use the same format
for all Cx Process guidelines. The National Institute of Build-
ing Sciences (NIBS) is facilitating the development of a ntun-
ber of technical topic guidelines to support the effective
irnplernentation of the Total Building Cx Process. These
guidelines will be developed by various professional, techni-
cal, and trade organizations. For exarnple, the technical guide-
line for heating, ventilating, air-conditioning, and
refrigeration (HVAC&R) will be developed by ASHRAE.
The technical guidelines are developed to assist the Cx Team
in successfully using the Cx Process for various systems and
assemblies. The goal is to use the process as defined and pro-
vided in Guideline 0, ''The Cx Process." Further, it is desired
that each different syste1n or assernbly involved in the con-
struction, addition to, or rehab of buildings, structures, carn-
puses, or utilities use the Cx Process fro1n Guideline 0-2013
and not redefine it within the respective (topic) technical
guideline.
The objective of both Guideline 0-2013 and the technical
guidelines is to provide information on implementing the Cx
Process. The technical guidelines are not intended to be a
detailed user's guide or provide guide specifications, full
co1nmissioning plans, development of owner's project
requirements, construction checklists, statistical or other
quality tools, or other detailed requiren1ents for implementing
the Cx Process.
The fonnat of the technical guidelines should follow the
sa,ne fonnat used in Guideline 0-2013 . The following is the
general organization to be used in the develop1nent of the
technical guidelines.
A 1. FOREWORD
The Foreword should provide key information on what has
led to success on previous projects, the role of the specific tech-
nology in a successful building or construction project, and
closely related supplementary technical guidelines or topics.
A2. SECTION 1, PURPOSE
The following should be used as the general pw·pose for
each technical guideline:
"The purpose of this guideline is to describe the technical
requirements for the application of the Cx Process described
in ASHRAE Guideline 0-2013 that ,~1il1 verify that the {insert
topic, for exa,nple, .fire systems or envelope asse,nbly ]
achieves the OPR.."
A3. SECTION 2, SCOPE
The following text should be used as the general scope
for each technical guideline:
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"The procedures, n1ethods, and docu1nentation require-
n1ents in this guideline describe the application of the Cx Pro-
cess for each project delivery phase fron1 Predesign through
O,vner Occupancy and Operation for [insert topic] to support
the Cx Process Activities described in ASHRAE Guideline 0-
2013, The Co,nrnissioning Process (also published by NIBS
as Guideline 0, The Total Building Cornrnissioning Process).
This includes requirements for
a. [insert topic] to fully support the Total-Building Con1mis-
sioning Process Activities;
b. verification during each phase of the Cx Process;
c. acceptance at each phase;
d. docu1nentation during each phase;
e. syste1ns 1nanual; and
f. training for operations and 1naintenance personnel and
occupants."
A4. SECTION 3, UTILIZATION
The following paragraphs should be included as the Uti-
lization section:
3.1 The application of this guideline depends on the OPR and
how the project will be designed, buil t, and operated. This
guideline is supplen1ental to the Cx Process detailed in
ASHRAE Guideline 0-2013.
3.2 This guideline describes specific details required to prop-
erly implement the Cx Process relative to (insert topic]. This
includes documentation, test procedures, and checklists.
AS. SECTION 4, DEFINITIONS
Include definitions that are unique to the technical l,'llide-
line. Do not redefine or repeat those in ASHRAE Guideline O;
instead, include a statement referring to the definitions in Sec-
tion 4 of Guideline 0.
A6. SECTION 5, PREDESIGN PHASE
The following should be included in the Predesign-Phase
section for [insert topic]:
a. List of Cx Tea1n mernbers
b. List and description of criteria and items to be included in
the OPR docu1nent
c. List of milestones
d. List of specialists required for implementing the Cx Pro-
cess
e. List of items to focus on during the design reviews
f. List of items to be included in the Cx Plan
g. List of ite1ns to be included as part of the Issues and Reso-
lution Log
h. List of iten1s required for acceptance of Predesign-Phase
co1nm1ss1on1ng
1. List of tests that need to be perfonned
J. Training require1nents
k. Require1nents for the systen1s 1nanual, such as parts lists,
troubleshooting needs, operations and 1naintenance
require1nents, syste1n description, and the level at which
each set of n1aterial needs to be written for clear under-
standing
• + •••
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A7. SECTION 6, DESIGN PHASE
The following should be included in the Design-Phase
section for (topic). This will be the basis for Construction-
Phase doctunents for contractors, vendors, and equiptnent/
assembly ,nanufacturers:
a. List of items required for the BoD
b. Revision review procedure for Cx Team members and
OPR
c. List of coordination require1nents and iten1s provided by
others
d. Key ,nilestones that need to be reviewed
e . Update lists of specialists required to implement the Cx
Process based on the actual design and interrelationship
with other systems and assemblies
f. List of items to be included in the construction docwnents
g . Lists of priority iteins and relate "'henever possible to
safety, health, energy, environmental impact, aesthetics,
operations and maintenance, in addition to the OPR
h. List of constn1ction checklists to be used by the contractor
1. Samples of construction check lists (examples of construc-
tion checklists are included in Annex M to this guideline
and in other annexes in other supplementary technical
guidelines (such as ASHRAE Guideline I. 1-2007,
HVAC&R Technical Require,nents.for the Com,nissioning
Process.)
J. List of items to be included in the syste1ns 1nanual, such as
parts lists, troubleshooting needs, operations and 1nainte-
nance require1nents, syste1n description, and the level at
which each set of ,naterial needs to be written for clear
understanding
k. List of training require,nents, ti,ning, learning outcomes.
I. List of tests that need to be perforn1ed
,n. List of ite,ns required for acceptance of Design-Phase
.
co1nm1ss1on1ng
AS. SECTION 7, CONSTRUCTION PHASE
The following should be included in the Constn1ction-
Phase section for [insert topic]:
a. List of test procedures and data forn1s to verify achieve-
ment of OPR and BoD
b. Samples of test procedures and data fonns (Exa,nples of
these are included in Annex U to other supple,nentary
technical guidelines (such as ASH RAE Guideline 1. 1-
2007, I-IVAC&R Technical Requirements.for the Co,nmis-
sioning Process.)
c. List of coordination require,nents and ite111s provided by
others
d. List of specific ite,ns for the site visit procedures
e. Tests needs and schedule
f. Cx Teatn meetings
g . Issues and Resolution Logs
h. Input into the final Cx Process Report
1. Lessons-learned ,vorkshop schedule during Occupancy/
Operations Phase
J. List of ite111s required for acceptance of Construction-
Phase co1111nissioning
•• .. ... . • + . ...... ...
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A9. SECTION 8, OCCUPANCY/OPERATIONS PHASE
The follov;ing should be included in the Occupancy/
Operations-Phase section for [insert topic]:
a. List of training ite,ns to be accomplished during the first
year of operation
b. List of warranty items to be checked during the first year
of operation
c. List test require1nents during occupancy, including peri-
odic retesting for a successful continuous operation of the
facility.
d. List who should attend the lessons-learned workshop
e. List of criteria to be included in the final Cx Process
R.eport
f. List of items required for acceptance of Occupancy/Oper-
ations-Phase co1nmissioning
A 10. SECTION 9, REFERENCES
Include industry-specific references that support recon1-
1nendations for bench1narking, testing, and other supporting
guidance in the development of the OPR, BoD, tests, and
other Cx Process documents.
A 11 . APPENDICES
Appendices are to be used to provide additional informa-
tion, examples of documentation, exa,nples of specifications,
acceptance procedure details, and other items that are not
required to achieve co,npliance ,vith the technical guideline
but will assist in i1nple1nenting the Cx Process for the specific
technical system or asse,nbly. This is the place to illustrate
best practices and to provide information on ho\.v to achieve
best practice and econo,ny in design. Annex Q, References,
should provide current articles, guides, and other infonnation
on i1nple1nenting the Cx Process for the specific supporting
technical require,nents guidelines.
The desired goal is to have all Cx Process guidelines use
the same annex designation. They should use the same annex
letters as Guideline 0-2013. If an annex is not required, it
should specifically be so noted in each technical guideline-
suggested wording: "This annex is intentionally left blank" or
"There is no supplemental information required for [insert
asse,nbly or systen1] technology." Annex A ,~1ill be empty in
all supplemental guidelines. Annex B is specific to Guideline
0 and should not be changed in supplemental guidelines.
Appendices C through E may require no modification for
1nost supple1nental guidelines.
l11for111ative Note: The list and nun1bering of annexes, to
be in compliance with Guideline 0-2013, 111ust be as follo,vs:
• Annex A--Guide for Developing Supple1nentary Techni-
cal Guidelines for the Cx Process (used only in Guideline
0)
• Annex B-Co1111nissioning (Cx) Process Flowcha11 (used
only in Guideline 0)
• Annex C-Cost and Benefits of the Con1111issioning (Cx)
Process (typically only in Guideline 0)
• Annex D-Co1n1nissioning (Cx) Process Doctunenta-
tion Matrix (typically only in Guideline 0)
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• Annex E-Com1nissioning (Cx) Process Request for
Qualifications (typically only in Guideline 0)
• Annex F-Roles and Responsibilities
• Annex G-Comn1issioning (Cx) Plan
• Annex H-Acceptance Plan
• Annex 1-0PR Workshop Guidance
• Annex J-Owner's Project Requirements (OPR)
• Annex K-Basis of Design (BoD)
• Annex L-Specifications
• Annex M-Construction Checklists
• Annex N-Quality-Based Satnpling Examples
• Annex O-Systen1s Manual
• Annex P-Training Manual and Training Needs
• Appendices Q through X-In addition to the annexes
(above) that are included in Guideline 0-2005, The Co,n-
1nissioning Process, all supplen1ental technical guide-
lines should include the following annexes ,vith specific
technical topic guidance or requirements, as appropriate.
It is the intent to have all technical guidelines use the
same reference letter for each topic. That is, all examples
of checklists would ahvays be included in Annex M. The
technical Cx Process guidelines should include annexes
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ics or should include notes such as "Not used," or "This
annex is intentionally left blank," or "There is no supple-
1nental information required."
• Annex Q-Publications, Articles, R.eferences, Codes,
Regulations, and Standards
• Annex R- lntegration Requirements
• Annex S- Interference and Coordination with Other
Syste1ns and Asse1nblies
• Annex T-Con1munications: What, When, and Who
• Annex U-Test Procedures and Data Forms
• Annex V-Predesign-Phase Commissioning (Cx) Pro-
cess Specific Needs
• Annex W- Design-Phase Co1nmissioning (Cx) Process
Specific Needs
• Annex X-Construction-Phase Co1n1nissioning (Cx)
Process Specific Needs
• Annex Y-Occupancy/Operations-Phase Con1mission-
ing (Cx) Process Specific Needs
• Annex Z (and, if needed, Annex AA and beyond) can be
used as required for other topics that are determined to be
useful for a specific assembly or syste1n.
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mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX B
COMMISSIONING PROCESS FLOW CHART
This annex provides an exa1nple of ho,v to implement
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exan1ple. Practitioners apply-
ing the Cx Process should carefully fo!lo,v Guideline O and
applicable commissioning technical guidelines tailored to
their specific projects.
The flow chart shown in Figure B-1 depicts an exa1nple
for an ov.rner who has adopted the Cx Process frotn project
inception. If the owner adopts the Cx Process after project
inception, then the tasks sho,vn are still acco1nplished in
whatever phase the Cx Process begins. The Ongoing Cx Pro-
cess is sho,vn in the tlo,v chart as ongoing tasks during the
Occupancy/Operations Phase after the last acceptance block.

.
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' ,.
t ._

,
Project
Inception :,
Pre~Design
Phase
""
lo.. .J

Form
Commissioning
Team
1 • I
Develop Ovmet's Develop lnltlal
Determine
Project
S-Oope & Bodget
e-o Commissioning
Requirements Plan

Acceptance

, •
Design Phase ""
lo.. .J

' + +
Determine
Update Owner's
Project Requirements ,.. Design
Reviews
Determine
Training
Determine
Systems Manual
Consttuction
Checklist
& Basis or Design Requirements 8tructure Requirements

l I
• ' '

Veri~1/•
~

Develop Cx
Requirements tor
& BOD Construction
Oocumeo1s
+
Update ex
Plan
+
Acceptance

, •
Construc1ion
..,
Phase
'-. ..J
•
Update ex
Team

•
Verify
Submittals Resolve
Issue
1' / •
!
' Verily Update Owller·s
De,,;,lop Test
Procedures
Verify
Systems
Manual
Construction
Checldist
Complotenoss
- Project
Requirements &
Oasis of Design
,-.. Update
Issues Log

I
' l I

Direct & Update Rooolve

Vetify Tests Issues Log Issue

•
Acceptance

• .
r ""I Ongoing Commissioning Process
OcCtJpancy and 1 1
Operations Phase
Change or use, Annual
\... ~ or sy!1tem or Be-nchmarking ot
1 ! ! assemtiy facility
Coordinate !
Direct & Verily Coordinate
contractor caJI Evaluate impact ot
Seasonal Tests Warranty Revie,,v
back Ovmer's Project
I I Requirements and
Basis or Design
Update
Issues Log
Resolve
Issue
,- • •' •
Convene
•
Lessons Learned
- Chango Basis
of Design

I
Change Ownefs
Project
RAquirements
I
No Change
-
W0<kshop
1 j
i
Update Reoo,d Update Systems Accomplish
Acceptance Drawings Manual T,aining

FIGURE B-1 Commissioning (Cx) process flow chart.

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(This annex is not part of this guideline. It is merely
info rmative and does not contain requirements necessary
for conformance to the guideline.)
INFORMATIVE ANNEX C
COST AND BENEFITS OF THE
COMMISSIONING PROCESS
This annex provides an example of how to implement
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exatnple. Practitioners apply-
ing the Cx Process should carefully follo,v Guideline O and
applicable com1nissioning technical guidelines tailored to
their specific projects.
C1. OVERVIEW
The Cx Process focuses on producing a quality-based
syste1n that achieves the OPR.
This annex discusses the potential benefits and where
they accrue and quantifies these benefits by providing evi-
dence of potential costs and savings.
C2. DISCUSSION OF NEW COST ITEMS
Ulti1nately, the owner of the facility will detennine the
extent of the Cx Process Activities and ,vho ,viii be responsi-
ble for each phase of work. The intent here is to outline the
scope of work that represents new cost ite1ns rather than to
assign responsibilities for each task. The cost of the Cx Pro-
cess should be considered as a part of the project budget.
C2.1 Design Professional. In addition to the design profes-
sional's typical scope of work, including the preparation of
design drawings and specifications, the Cx Process often
requires that the design professional work with the CxA to
integrate the Cx Process Activities into the project specifica-
tions. These activities typically include the follo,ving:
a. Test require1nents and documentation
b. Operational, n1aintenance, and troubleshooting docu1nen-
tation requirements
c. Construction checklists
d. Systems manual
e. Comprehensive training program for operation and main-
tenance personnel and users
The design professional 1nay also be responsible for
reviewing the Cx Plan at the various phases of the process and
for delivering the BoD in a fonnat specific for the o,vner.
C2.2 CxA. The activities acco1nplished by the CxA as
defined in this guideline require that additional funds be allo-
cated during the Predesign, Design, and Construction Phases.
These funds are allocated fro1n the savings obtained through
fewer change orders and requests for infonnation and through
reduced problerns during stat1-up of the systerns and occu-
pancy of the. facility.
C2.3 Contractors. The con1pletion of some detailed tests is
tmique to the Cx Process. The contractor will have additional
work and costs associated with co1npleting these tests.
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C3. DISCUSSION OF BENEFITS
For convenience and clarity, benefits will be discussed as
they relate to rnajor participants in the Cx Process: the Design
Professional, the contractor, and the o,,.,ner.
C3.1 Benefits to the Design Professional. Potential benefits
include the follovving:
a. Facility vvill achieve the of OPR
b. Reduced risk exposure
c. Improved kno,vledge base for use in future designs and
installation
d. Benefit of other participants' input, leading to the 1nost
cost-effective design and operation
e. Reduced number of interference dravvings during con-
struction due to improved co1nmunication and coordina-
tion throughout the project
C3.2 Benefits to the Contractor. Potential benefits include
the following:
a. Improved planning and coordination through the imple-
1nentation of the Cx Plan
b. Improved coordination between different trades and
reduced likelihood of site interference drawings required
of contractors throughout the project. Reduced nun1ber of
deficiencies at substantial co1npletion. Reduced nu1nber
of callbacks
c. Reduced nutnber of calls for operational guidance due to
participation in training progra1ns for operations and
1naintenance personnel
C3.3 Benefits to the OV\ ner. Potential benefits include the
0
follo,ving:
a. Improved operator knowledge of how to optimize the
facility operation and maintenance due to the early inch1-
sion of operators in the Cx Process
b. Reduced training requirements due to continuously
updated documentation of ho,v systen1s should operate
and be 1naintained; perso1u1el will only need to be trained
with regard to changes
c. Facility perfonnance is in accordance with the Owner's
Project Require1nents
d. Systems rnanual provides an easy reference docurnent for
system and asse1nbly operation and rnaintenance
e. Reduced do,vntime due to better diagnosis of failures
f. Improved ability to provide accurate information to occu-
pants on facility operation and maintenance
g. Lower operating costs due to improved operational tech-
niques
h. Benefits to building occupants, including greater worker
productivity, reduced co1nplaints, and reduced incidence
of absenteeisrn
..
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mative and does not contain requirements necessary for
conformance to the guideline.)

INFORMATIVE ANNEX D
COMMISSIONING PROCESS
DOCUMENTATION MATRIX
This annex provides an exan1ple of ho,v to implement
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exan1ple. Practitioners apply-
ing the Cx Process should carefully follo,v Guideline O and
applicable comn1issioning technical guidelines tailored to
their specific projects.
Table D-1 summarizes the docwnents that are produced
during the implementation of the Cx Process on a project.

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TABLE D-1 Documentation Matrix

Reviewed/
Phase D ocument Input By Provided By Used By Notes
Approved By
O&M, Users,
Design Team
Predesign OPR Capital Projects, CxA or Designer 0,vner CxA, Design Tean,
,nay not be hired yet.
Design Team (?)
Ov,ner, Design CxA, O,vner, Design Tea1n
Conunissioning Plan CxA Owner
Tea1n (?), CxA. Design Tea1n ay not be bj red yet.
Systems 0\vner or May be included in
O&M, CxA Owner Design Team
Manual Outline CxA OPR
Training O&M, Users,
Owner or May be included in
Requiren1ents CxA, Design 0,vner Design Tean,
CxA OPR
Outline Team
Issues and Resolution May be only fonnat
CxA CxA N/A CxA, Design Tean1
Log at this phase
Design Tean,,
Issues Report CxA CxA 01.vner
O\vner
Predesign-Phase
CxA CxA Owner o,vner Close of Phase report
Cx Process Report
O&M, Users,
Design OPR Update Capital Projects, CxA or Designer Owner CxA, Design Tean,
Design Tean1
Design
Basis of Design Design Team 0,vner, CxA Design Tean,, CxA
Tean,
May also be provided
Construction Design Tean1, Design Tea111 or Contractors, CxA,
01.vner by Project Manager/
Specifications for Cx CxA, O,vner CxA Design Tean1
01.vner's Rep.
Design Tean,,
Syste1ns 1nanual Design Tean1 or Design Tean1, Contractor n1ay not
CxA, O&M, Owner, CxA
Outline-Expanded CxA Contractor be hired yet.
Contractor (?)
Trainjng O&M, Users,
Contractor n1ay not
Requirements In CxA, Design OwnerorCxA O,vner Design Tearn
be hired yet
Specifications Tea,n
Design Revie1.v
CxA CxA 01.vner Design Tean1
Co1111nents
Issues and Resolution
CxA CxA NIA CxA, Design Tean,
Log
Design Tearn,
Issues Report CxA CxA Owner
Owner
Design-Phase
CxA CxA Owner Owner Close of Phase report
Cx Process Report
O&M, Users,
CxA, Design
Constru ction OPR Update Capital Projects, CxA or Designer O,vner
Tea1n, Contractors
Design Tearn
Basis of Design
Design Tea111 Design Tea111 CxA, O\\rner Design Tea111, CxA
Update
Design Team, CxA, 01.vner, CxA, Owner,
Cx Plan Update CxA, Owner, CxA Design Teain, Design Tean,,
Contractor Contractor Contractors
Sub.rnittal Revie"''
CxA Design Tea1n Design Tea1n Contractor
Conunents
!Votes:
I. The term "contractor" is understood to refer to any of several entities that provide constniction services. Depending on the project, this could include, among others, tl1e owner's repre-
sentative, constructjon manager, contractors, and subcontractors.
2. Abbreviations: CxA: Commissioning Authority; O&M: operations and maintenance personnel; OPR: Owner's Project Requirements.

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TABLE D-1 Documentation Matrix

Reviewed/
Phase Document Input By Provided By Used By Notes
Approved By
Construction System Coordination Contractor, CxA, Design
Contractor Contractor, CxA
(contd.) Plans Design Team Team
CxA, Contractor, CxA, Design
Inspection Checklists CxA Contractor
Design Team Team
Inspection Reports Contractor CxA CxA, Owner Contractor
CxA, Contr'dctor, CxA, Design
Test Procedures CxA Contractor
Design Tean1 Tean1
Test Data Reports Contractor CxA CxA, 01,vner Contractor
Con11nissioning
Meeting Agendas
CxA CxA All All
and
Minutes
Design Tean1,
Contractor or O&M, Users,
Training Plans CxA, O&M, 01,vner, CxA
CxA Contractor
Contractor
Design Tearn,
Systems Manual CxA, O&M, Contractor Owner, CxA O&M, Users
Contractor
Issues and R.esolution CxA, Design
CxA CxA NIA
Log Tearn, Contractor
01,vner, Design Design Tean1,
Issues Report CxA CxA
Tean1 O,vner, Contractor
Prelin1inary
Construction CxA CxA 01,vner o,vner Prior to Occupancy
Cx Process Report
Final Construction-
Phase Cx Process CxA CxA Owner Owner Close of Phase report
Report
Occupancy and O&M, Users, CxA, Design
OPR Update CxA or Designer Owner
Operations Design Tean1 Tearn, Contractors
Basis of Design
Design Team Design Tean1 CxA, Owner Design Team, CxA
Update
Maintenance O&M,
OwnerorCxA 01,vner, CxA O&M, Users
Prograrn Contractor, CxA
Contractor, CxA,
Design Tearn,
Test Procedures O&M, Design CxA Contractor
CxA
Tearn
Test Data Reports Contractor CxA CxA, Owner Contractor, O&M
CxA, Design
Issues and Resolution
CxA CxA NIA Tea1n, Owner,
Log
Contractors
Design Tean1,
Issues Report CxA CxA 01,vner o,vner,
Contracto.rs
Cx Process Report CxA CxA 01,vner Owner Final report
Recoom1issioning O&M, Users,
CxA or Owner 01,vner o,vner
Plan CxA
J'l'otes:
I. The term "contractor·• is understood to refer to any of several entities that provide constniction services. Depending on the project, this could include, among others, the owner's rcpre-
sentative, construction manager, contractors, and subcontractors.
2. Abbreviations: CxA: Commissioning Authority; O&M: operations and maintenance personnel; OPR: Owner's Project Requirements.

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mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX E
COMMISSIONING PROCESS REQUEST
FOR QUALIFICATIONS
This annex provides an example of how to i1np le1n ent
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exa1nple. Practitioners apply-
ing the Cx Process should carefully follov.r Guideline O and
applicable com1nissioning technical guidelines tailored to
their specific projects.
E1. BACKGROUND
_ _ _ _ _ _ _ _ _ _ _ _ _ _ (Ov.rner) is seeking
the services of a qualified CxA for
_ _ _ _ _ _ _ _ _ _ _. The project is a _ _ _ _ __
g ross ft2 , _ stoty, Class _ [type] _ _ _ _ _ bui )ding in
[city & state] _ _ _ _ _, _ _ _ _, with a project bud-
get of$ _ _ _ tnillion. The facility is expected to be coin-
posed of _ _% [space type], __% [space type], and
_ _% [space type].
The project is currently in the early predesign phase. The
expected schedule is to start design by _ _ _ _ _ _ _,
start construction by _ _ _ _ _ _ , and occupy by
The 1nanage1nent structure is traditional design/ bid/ build
with full design doctunents and specifications being devel-
oped by an architectural/engineering firm. The construction
doctunents will be let out to bid and a general contractor will
be hired to complete the construction. The Owner's pri1nary
constn1ction representative on site will be provided by the
separately contracted services of a construction ,nanager. The
CxA will be hired by and report directly to the Owner.
E2. SCOPE OF WORK
The O,vner has adopted the Cx Process as his/her quality
process to plan, design, constn1ct, and operate this facility. As
with any quality process, the Cx Process provides tools to
enable everyone involved in the construction of the facility to
verify that the final facility ,n eets the OPR.
The following is a su1nmary of the Cx Process that the
Ov.rner intends to i1nple1nent on this project. The proposer is
free to suggest changes and improve,nents to this process.
However, for this proposal the following process will be
assu,ned.
E2.1 Cx Process During the Predesign Phase. The Cx Pro-
cess Activities co,npleted by the CxA during the Predesign
Phase include the following:
• Developing and docun1enting the OPR
• Identifying a scope and budget for the Cx Process
• Developing the initial Cx Plan
• Acceptance of Predesign-Phase Cx Process Activities
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E2.2 Cx Process During the Design Phase. The Cx Process
Activities completed by the CxA during the Design Phase
include the following:
• Working vvith the Cx Tea,n to doctun ent the OPR for the
facility
• Working ,~1ith the design professionals in docu1nenting
the BoD
• Verifying the BoD with regard to the OPR
• Developing a Cx Plan enco,npassing the Design, Con-
struction, Occupancy/Operations Phases
• Detenn ining the com,nissioning require,nents and activi-
ties to include in the construction documents, with
review by the design team, for integration into the proj-
ect's construction specifications
• Reviewing the in-depth design docu,nentation developed
by the design professionals
• Performing statistically based quality design revie,v at
35%, 50%, 95°/o, and 100% completion of the drawings
and specifications
E2.3 Cx Process During the Construction Phase. The Cx
Process Activities acco,nplished by the CxA during the Con-
struction Phase include the follo,~ring:
• Organizing the Cx Process co,nponents and conducts a
prebid and preconstruction n1eeting where the Cx Pro-
cess require1nents are reviewed with the Cx Tea,n
• Organizing and conducts periodic Cx Tean1 n1eetings
necessary to plan, develop the scope of, coordinate, and ·
schedule activities and resolve problems
• Reviewing submittals concurrent with the design profes-
sional's review
• Working with contractors in completing constn1ction
checklists and tracking of checklist con1pletion
• Statistically sampling co1npletion of construction check-
lists on a periodic basis to verify that contractor's quality
process is achieving the Ovvner's Project Requirements
• Developing specific test procedures. The contractors
review the procedures
• Directing the execution of the tests by the contractors
• Documenting the results of the tests
• Documenting the correction and retesting of nonco1npli-
ance ite1ns by the contractor
• Reviewing the syste1ns manual for achieving the OPR
• Reviewing, preapproving, and verifying the training pro-
vided bv the contractors
•
-
Verifying delivery of the systems manual
E2.4 Cx Process During the Occupancy/Operations
Phase. The Cx Process Activities accomplished by the CxA.
during the Occupancy/Operations Phase include the follo,v-
1ng:
• Scheduling and verifying deferred and seasonal testing
by the contractor
• Verifying continuing training
• Reviewing warranties ,vith the operations and mainte-
nance staff two 1n onths prior to expiration of warranty
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• Scheduling, organizing, and attending a lessons-learned
workshop. The workshop is facilitated by an independent
member of the CxA.' s firm
• Co1npleting the final Cx Process Report
E3. LIMIT OF RESPONSIBILITIES
The CxA is not responsible for design concept, design
criteria, compliance ,vith codes, design or general construc-
tion scheduling, cost esti1nating, or construction 1nanagen1ent.
The CxA may assist \vith proble,n-solving or resolving non-
conforn1ance or deficiencies, but ulti1nately that responsibility
resides with the general contractor and design professionals.
E4. FOCUS OF THE ex PROCESS
The follov,ing syste1ns and asse1nblies are the focus of
the Cx Process:
• [Insert list ofsyste,ns and assernblies]
ES. DESIRED QUALIFICATIONS
It is desired that the person designated as the CxA satisfy
as ,nany of the following require,nents as possible:
a. Has acted as the principal CxA for at least three projects
during the past year. (Note that the size of the project
should be accounted for. Whereas one proposer n1ay have
done ten projects all s1nall in size, another proposer that
acco,nplished one large and complex project rnay have
equal credentials].
b. Experienced in quality processes.
c. Knowledgeable in building operation and 1naintenance
training.
d. Excellent verbal and written co,nmunication skills.
Highly organized and able to ,vork with both rnanagement
and trade contractors.
e. A bachelor's degree in [insert discipline] is strongly pre-
ferred and [insert type] certification or professional
license is desired.
f. The CxA's finn will demonstrate depth of experienced
personnel and capability to sustain loss of assigned per-
sonnel without co1npro1nising quality and ti,neliness of
performance.
g. The CxA will be an independent contractor and not an
employee or subcontractor of the general contractor or
any other subcontractor on this project, including the
design professionals.
h. [Insert any qualifications or Jpecial requirernents for a
specific syste,n or assernb~y].
require that this individual be co,nmitted to the project for
its duration.
b. Provide project and professional references and experi-
ence for three to five com,nissioning projects for which
the proposer was the principal CxA in the last three years.
Include a description of the projects, identify when the
proposer ca1ne into the projects, and describe the involve-
ment of each individual on the proposer's tea,n in the proj-
ects. For each project, attach a sheet that includes the
na,ne and telephone nu1nber of the Owner's project 1nan-
ager, constn1ction manager, facility administrator of the
building, the design professionals, and the contractors.
c. Describe any experience of the proposer's tea,n in the fol-
lowing areas. List each party's involvement.
l . Qua Iity process experience.
2. Operation and maintenance experience.
3. Design experience.
4. Life-cycle costing.
5. [Insert other syste,n or asse,nbly specific experience
requirernents].
d. Describe your proposed approach to managing the project
expertly and efficiently, including your team participation.
Describe what approach you will take to integrate the Cx
Process into the nonnal design and constn1ction process
in order to ,nake it "business as usual."
e. Describe what you will do to foster team,~1ork and cooper- :
ation fro,n contractors and designers and what you ,viii do :'
to ,ninimize adversarial relationships.
f. Describe how your work ,viii facilitate the use of your :
product as a prototype that may be subsequently used by ·
the Owner in future projects, including access to the elec-
tronic versions of all documents and forms.
g. As an attachment, provide the following work products
that 1ne1nbers of the proposer's tea,n ,vrote:
l . Cx Plan that was executed
2. Integrated commissioning specifications
3. Electronic Issues and Resolution Log
4. Construction checklists
5. Test procedure that was executed
h. [Insert any other desired instructions].
E7. SELECTION CRITERIA
The submitted proposals ,viii be reviewed and ranked
according to the follo,ving (ite1ns fro,n the above nu,nbered
list):

E6. INSTRUCTIONS TO PROPOSERS a. Key individual experience 20 points

A proposer 1nust propose to execute all phases of the Cx b. Staff experience I 5 points
Process in a single proposal. The proposal 1nust be signed by c. Similar project experience 20 points
an officer of your firm with the authority to con1mit the firm d. Tea111 experience in related skill areas I 5 points
and must include the following infonnation: e. Manage,nent approach 20 points
f. Work exa,nples I Opoints
a. List the key individual who ,viii be the CxA for this con-
100 points
tract and describe his or her relevant qualifications and
experience. This information is required in addition to any Reference checks will not be scored individually but ,nay
detailed resu1nes the proposer sub,nits. The contract will be used to supple,nent all categories. The Owner reserves the

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right to elin1inate or change the weight of extre1nely high or E9. LIMITATIONS AND PROVISIONS
extre,n ely lo\.v fee proposals. [Insert 1vording on right to reject, to seek clarifications,
to negotiate a final contract; cost ofproposal preparation not
ES. SUBMISSION AND SELECTION rei1nbursable; prirnary contact for questions; other necessary
legal language, etc.]
Consultants \viii sub,nit [quantity_ _ _ _ _ ] copies of
the written proposal, to be received in the Owner's office at E10. MINIMUM REQUIREMENTS FOR CONTRACT
[address_ _ _ _ _ _ _ _ _]_ by [date and EXECUTION
time_ _ _ _ _ _ _ _ _ _ _ _ _ ]. Late proposals will
not be accepted. ElO.l General Conditions. Miscellaneous as required ...
El0.2 Insurance. The CxA's firm shall obtain, at the firm's
Review and selection process ...
expense, and keep in effect during the term of the project,
Require1nent of personal interview for finalists ... $[list required insurance a,nount].

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(This annex is not part of this guideline. It is merely infor- c. Verify that the Cx Process Activities are clearly stated in
mative and does not contain requirements necessary for all scopes of work.
conformance to the guideline.) d. Integrate the Cx Process Activities into the project sched-
ule.
INFORMATIVE ANNEX F e. Prepare a Cx Plan that describes the extent of the Cx Pro-
ROLES AND RESPONSIBILITIES cess to meet the O,vner's Project Require1nents. Update
This annex provides an exa,nple of ho,v to implement the Cx Plan during each phase of the project to incorpo-
part of Guideline 0. It is not intended to be a co1nprehensive rate changes and additional information.
representation or a best practice exa1nple. Practitioners apply- f. Revie,v and comn1ent on the ability of the design docu-
ing the Cx Process should carefully follo,v Guideline O and 1nents to achieve the OPR for the comtnissioned syste1ns
applicable cornmissioning technical l:,'1lidelines tailored to and asse111blies.
their specific projects. g. Prepare the Cx Process Activities to be included as part of
Understanding and defining the role of each participant is the project specification. Include a list of all individual
vital to the success of the Cx Process. This annex provides an trade contractor responsibilities for all the Cx Process
example of the responsibilities of each participant in a co1n- Activities (list contractors by na,ne, finn, and trade spe-
prehensive Cx Process. These responsibilities shall be docu- cialty if known).
mented in the contracts between the owner and the h. Execute the Cx Process through the writing and review of
contractor(s) and the o,vner and the design professionals. The Cx Process Reports, organization of all Cx Tea,n meet-
responsibilities of each participant should be included in the ings, tests, den1onstrations, and training events described
contract docun1ents. in the contract docwnents and approved Cx Plan. Organi-
The responsibilities of the owner, CxA, design profes- zational responsibilities include preparation of agendas,
sionals, construction rnanager, contractors, and rnanufactw·ers attendance lists, arrange1nents for facilities, and ti,nely
are detailed below. notification to participants for each Cx Process activity.
The CxA shall act as chair at all com1nissioning events
F1. OWNER and ensure execution of all agenda items. The CxA shall
prepare 1ninutes of every Cx Process activity and send
a. Include a staternent regarding design professional com- copies to all Cx Tea1n 1ne1nbers and attendees ,vithin five
missioning responsibilities and scope in the request for
workdays of the event.
design services.
1. Revie,v the plans and specifications ( during the Predesign
b. Develop and co1nmit to the O,vner's Project R.equirements
and Design Phases) ,vith respect to their co,npleteness in
for the facility and its use.
all areas relating to the Cx Process. This includes verify-
c. Assign operations and rnaintenance personnel and sched- ing that the OPR has been ,net, and that there are adequate
ule them to participate in the various meetings, training devices included in the design to properly test the syste,ns
sessions, and observations/ inspections as follows: and asse1nblies and to docun1ent the perforn1ance of each
I. Design-Phase coordination meetings piece of equipment, system, or asse,nbly.
2. Construction-Phase coordination rneetings j. Schedule all docu,nent review coordination meetings.
3. Initial o,vner-training session at initial placement of k. Attend the project's prebid ,neeting to detail the design
rnajor equipment professional or contractor Cx Process require,nents.
4. Maintenance orientation and inspection I. Schedule the predesign and preconstruction Cx Process
meeting \.vithin 60 days of the award of the contract at
5. Syste1n testing verification 1neetings
some convenient location and at a time suitable to the
6. Procedures meeting for testing systems attendees. This ,neeting will be for the purpose of review-
7. Owner's training session ing the co1nplete Cx Process and establishing tentative
8. Verification demonstrations schedules for the Design-Phase and Construction-Phase
9. Svstems
, and assemblies tests commissioning activities.
10. Final review at acceptance 1neeting 111. Develop the initial format to be used for Issues and Reso-
lution Logs throughout and for each phase of the Cx Pro-
d. Revie,~1 and approve any changes made to OPR..
cess.
e. Revie,v and approve the construction documents.
n. Schedule the initial owner training session so that it will
f. Provide qualified personnel for videotaping and editing of
be held i1n1nediately before the contractor training. This
training sessions.
session ,viii be attended by the owner's O&M personnel,
g. Videotape construction progress.
the design professionals, the contractor, and the CxA. The
h. Review and con11nent on the CxA's Cx Process Progress
CxA will revie,v the OPR and the design professional(s)
Reports.
will review the BoD.
1. Revie,v and comn1ent on the CxA's verification reports.
o. Review proposed contractor-provided training progra,n to
J. Review and accept the CxA's Cx Process Report. verify that the OPR is met.
p. Attend a portion of the contractor-provided training ses-
COMMISSIONING AUTHORITY
sions to verify that the OPR is ,net.
a. Organize and lead the Cx Tea111. q. Receive and revie,v the systems manual as subn1itted by
b. Facilitate and docu1nent the OPR. the contractor. Verify that it 1neets the OPR. Insert sys-
•• .. .,.. + • ., . . . . . . ..

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terns descriptions as provided by the design profes-
sional(s) in the systems ,nanual.
r. Witness systen1 and assembly testing. Verify the results
and include a su1n1nary of deficiencies.
s. Supervise the Cx Team 1nembers in completion of tests.
The test data will be part of the Cx Process Report.
t. Periodically review record drawings for accuracy with
respect to the installed syste1ns. Request revisions to
achieve accuracy.
u. Verify that the systems 111anual and all other design and
construction records have been updated to include all
modifications made during the Construction Phase.
v. Repeat imple,nenting of tests to acco1n1nodate seasonal
tests or to correct any performance deficiencies. Revise
and resubn1it the Cx Process Report.
w. Prepare the final Cx Process Report.
x. Asse,nble the final docu1nentation, which includes the Cx
Process Repo,t, the syste,ns ,nanual, and all record docu-
1nents. Sub1nit this docun1entation to the owner for review
and acceptance.
y. Reco1nn1end acceptance of the individual syste1ns and
asse1nblies to the owner (in accord with the defined proj-
ect requirements).
F2. DESIGN PROFESSIONAL
a. Participate and assist in the documentation of the initial
OPR.
b. Document revisions to the OPR and obtain approval from
the owner.
c. Document the BoD.
d. Prepare contract docu1nents, including the integration of
the Cx Process requirements and activities provided by
the Cx A.
e. Prepare contract documents that coordinate required inter-
'· faces between Systems and Assemblies.
f. ; Attend the Predesign and Design-Phase coordination and
· review meetings.
•
g. , Respond to Cx Tea1n design sub1nission review co1n1nents
: and other issues in a timely manner.
h. ; Attend the prebid and preconstruction meetings as sched-
uled by the CxA.
1. Specify and verify that the operation and maintenance of
the systems and assemblies has been adequately detailed
in the construction documents.
J. Review and inco,porate as appropriate the CxA's com-
ments from submittal reviews.
k. Participate in the initial operation and ,naintenance per-
sonnel and occupant training session by presenting the
project BoD.
I. Participate in other training as detailed in the training pro-
gram.
m. Reviev.r test procedw·es subtnitted by the contractor.
n. Revie,v and con1111ent on the CxA's periodic Cx Process
Progress Reports and Issues and Resolution Log repo,ts.
o. Revie,v and accept record docu,nents as required by con-
tract docwnents.
p. Revie,v and comment on the final Cx Process Report.
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q. Recon1mend final acceptance of the systems to the owner.
F3. CONSTRUCTION MANAGER
a. Include costs for Cx Process Activities 111 the contract
pnce.
b. Include Cx Process Activities and require,nents in all con-
tractors' contracts.
c. Provide adequate accessibility as required to properly
operate and maintain the facility.
d. Provide acceptable representation with the ,neans and
authority to prepare and coordinate i1nple1nentation of the
Cx Process as detailed in the contract docu1nents.
e. Issue a state1nent certifying that all work has been com-
pleted and that the facility is operational, in accordance
with contract documents.
f. Issue the appropriate final repo1ts to the design profes-
sionals for review and acceptance.
g. Re,nedy deficiencies identified by the CxA during verifi-
cation of the installation or testing.
h. Revie\.v and com,nent on the final Cx Process Report.
F4. CONTRACTOR
a. Include costs for Cx Process Activities in the contract
pnce.
b. Include Cx Process Activities and require1nents in each
purchase order or subcontract written.
c. Obtain cooperation and participation of all subcontractors
and manufactw·ers.
d. Attend the preconstruction and Cx Team 111eetings.
e. Include Cx Process milestones in the project schedule.
f. hnple,nent the training program as detailed in the contract
documents.
g. Provide sub,nittals to the o\.vner, design professionals, and
the CxA.
h. Notify the CxA \.vhen syste,ns and asse,nblies are ready
for testing.
i. Demonstrate the performance of asse,nblies and/or opera-
tion of syste1ns to the CxA.
j. Complete the constn1ction check Iists as the ,vork is
accomplished. Provide the co1npleted construction check-
lists to the CxA.
k. Continuously maintain the record dra,vings and submit as
detailed in the contract documents.
F5. MANUFACTURERS
a. Provide all information required for the operation and
1naintenance of the syste1n or asse1nbly as part of the ini-
tial submittal.
b. Provide the require1nents to 1naintain the warranty as part
of the initial submittal.
c. Coordinate and acco,nplish factory tests as detailed in the
contract documents.
d. Provide training as detailed in the training progra,n con-
tained in the contract documents.
e. Demonstrate operation and pe,formance of the system or
assembly as detailed in the contract docu,nents.
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(This annex is not part of this guideline. It is merely infor- Accornplish Design Revietvs
mative and does not contain requirements necessary for Develop Com,nissioning Process Contract Dociunent
conformance to the guideline.) Requirements
Prebid Meeting
INFORMATIVE ANNEX G CONSTRUCTION PHASE
COMMISSIONING PLAN Conduct .? reconstruction Meeting
This annex provides an exa1nple of ho,v to implement Contractor Subrnittal Revielv
part of Guideline 0. It is not intended to be a comprehensive Construction checklists
representation or a best practice exan1ple. Practitioners apply- Delivery Book
ing the Cx Process should carefully follo,v Guideline O and Preinstallation Checks
applicable comn1issioning technical guidelines tailored to Installation and Start-Up Checks
their specific projects. Training
The following is an exan1ple outline for a Cx Plan. The Testing
basic structure of this exa1nple is such that each phase of the OCCUPANCY/OPERATIONS PHASE
plan has its own section detailing what activities will be Final Com111issioning Process Report
accomplished and guidance on who accomplishes them and Seasonal Testing
ho,v they are completed. The results from each activity are Ongoing Training
then included in an appendix. The intent of this format is for Warranty Revietv
the Cx Plan to become the Final Cx Process Report at the end Lessons-Learned Meeting
of the. project by filling in the results as the project progresses. CONTACT INFORMATION
Depending on the size and scope of the Cx Process SCHEDULE REQUIREMENTS
Activities, it may be beneficial to have three Cx Plans: one for APPENDIX A-OWNER'S PROJECT REQUIREMENTS
the Predesign Phase, one for the Design Phase, and one for APPENDIX B- BASIS OF DESIGN (BOD)
the Construction Phase. If separate Cx Plans are used, then APPENDIX C- PROJECT SPECIFICATIONS
care must be taken to inforn1 those that are involved in only a APPENDIX D-COMMUNICATION STRUCTURES
portion of the process of the previous 111aterial. APPENDIX E-ROLES AND RESPONSIBILITIES
APPENDIX F-COMMISSIONED SYSTEMS
G1. SAMPLE TABLE OF CONTENTS [listing of syste1ns and asse111blies]
COMMISSIONING PLAN OVERVIEW APPENDIX G-COMMISSIONING PROCESS SCHEDULE
COMMISSIONING PROCESS DESCRIPTION APPEN DIX H- PREBID MEETING
PREDESIGN PHASE APPENDIX 1-PRECONSTRUCTION MEETING
Develop OPR APPENDIX J-SUBMITTAL REVIEW
Develop Initial Cx Plan APPENDIX K- COMMISSIONING PROCESS ISSUES
Cx Process Issues APPENDIX L- CONSTRUCTION CHECKLISTS
Step I-Identify and Record Issues APPENDIX M-TESTS
Step 2-Calculate Avoided Costs APPENDIX N-TRAINING
Step 3-Evaluate Range of Avoided Costs APPENDIX 0 -SYSTEMS MANUAL
DESIGN PHASE APPENDIX P- MEETING MINUTES
Revie1-v and Modify Project Specifications APPENDIX Q- CORRESPONDENCE
Verify BoD APPENDIX R-WARR.ANTY REVIEW
Update Co,nrnissioning Plan APPENDIX S-LESSONS LEARNED

.. .. .... .- .· .... . .. ...

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(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX H
ACCEPTANCE PLAN
This annex provides an exa1nple of how to i1nple1nent
part of Guideline 0. It is not intended to be a co1nprehensive
representation or a best practice exa1nple. Practitioners apply-
ing the Cx Process should carefully follow Guideline O and
applicable co1111nissioning technical guidelines tailored to
their specific projects.
Developing and documenting the acceptance procedures
in an acceptance plan is an important task for the successful
i1nple1nentation of the Cx Process. The acceptance plan
details the key Cx Process Activities that must be acco,n-
plished at the end of each phase in a project in order to ,nove
on to the next phase.
The following provides a description of the details that
should be included in the acceptance plan and de,nonstrates a
format that could be used.
H1. PREDESIGN PHASE
The OPR and the Cx Plan are formally accepted by the
O,vner during the Predesign Phase, after review and com1nent
by the CxA. The general process for accepting these docu-
ments is:
a. The CxA develops a draft of each document and provides
it to the Cx Team.
b. The Cx Tea1n provides co1nments on the draft documents.
c. The CxA works with the Cx Tea,n to resolve any issues.
d. The CxA reco1n1nends acceptance of the docwnents to the
Owner and provides copies for review.
e. The Owner reviews the ,nodified docwnents and accepts.
H2. DESIGN PHASE
The updated OPR, updated Cx Plan, BoD, and contract
documents are fonnally accepted by the O,vner during the
Design Phase. The OPR and the Cx Plan follo,v the same pro-
cess as detailed in the Predesign Phase.
The general process for accepting the BoD is as follows:
a. Tl}e Cx A provides a list of information required and the
fonnat for the BoD to the design professionals prior to the
stArt of design.
b. Tlie design professionals gather and organize the infonna-
ti6n during the creation of the design.
c. The design professionals sub1nit the BoD to the Owner
and CxA for review and co1n1nent with each design sub-
1nittal.
d. Upon correction and resub,nittal, the 0\.vner accepts the
BoD based on the reco1n1nendation of the CxA.
The general process for accepting the contract documents
is as follows:
a. The design professionals submit the final package to the
Owner and CxA for review.
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b. The CxA evaluates the contract documents using random
sampling to detennine their ability to achieve the OPR.
c. The CxA 1neets \.vith the design professionals to discuss
and resolve con1ments.
d. Upon resolution of co,nments, the CxA reco1n1nends to
the Owner acceptance of the docwnents.
e. Owner reviews the con11nents, their resolution, and
accepts the contract docwnents.
H3. CONSTRUCTION PHASE
The updated OPR, updated Cx Plan, updated BoD, sys-
te,ns manual, training progra,n, and a preli,ninary and a final
Construction-Phase Cx Process Report are formally accepted
by the Owner during the Construction Phase. The OPR, Cx
Plan, and BoD follow the same process as previously
detailed.
The general process for accepting the systems manual is
as follows:
a. The CxA tracks the contractor submittals for the required
documentation.
b. Within XX days of sub1nittal acceptance for a systen1 or
assen1bly, the contractor subn1its a draft syste1ns manual
to the O,vner, CxA, and design professionals.
c. The CxA consolidates the revie,vs and meets ,vith the
design professionals to discuss and resolve.
d. The contractor sub,nits to the CxA changes to the
accepted sub1nittals throughout constn1ction.
e. XX days prior to the first training session, the contractor
sub,nits the final syste1ns ,nanual to the Owner, CxA, and
design professionals.
f. The O,,;ner accepts the final syste,ns ,nanual based on the
reco,nmendation of the CxA.
The general process for accepting the training program is
as follows:
a. The CxA provides the training agendas to the contractor.
b. The contractor develops the training program, including
identifying the trainer, the schedule of sessions, and the
material to be developed. This information is submitted to
the Owner, CxA, and design professionals for review and
comment.
c. Based on the recom1nendation of the CxA, the O,vner
accepts the training program.
d. The contractor then develops the training 1naterial and
submits it to the Owner, CxA, and design professionals
for review and co1nment XX days before the first training
session.
e. Based on the recom1nendation of the CxA, the O,vner
accepts the training ,naterials.
f. The contractor i1nple1nents the training progra,n.
g. The CxA randomly quizzes the trainees two ,,.,eeks after
the completion of a session.
h. The contractor sub,nits copies of all training materials and
edited videotapes of the sessions.
1. The CxA reco1n1nends acceptance of the completed train-
ing program to the 0\.vner.
The general process for accepting the facility is as fol-
lows:
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a. Throughout construction the CxA randomly samples the
completion of the construction checklists for 1neeting the
OPR.
b. The CxA directs the completion of system and asse,nbly
testing by the contractor and documents the results.
c. The CxA works with the contractor in resolving any
issues identified during testing.
d. The CxA. verifies that all system documentation is
received from the contractor.
e. The CxA presents a preli,ninary Construction-Phase Cx
Process Report prior to occupancy that provides an evalu-
ation of 1neeting each ele1nent of the OPR, including rec-
01n1nendations to the Ov,rner for acceptance/rejection of
the facility.
f. The CxA provides a final Construction-Phase Cx Process
Report with details on the Cx Process Activities com-
pleted during the Constn1ction Phase.
H4. OCCUPANCY/OPERATIONS PHASE
The updated OPR, updated BoD, updated syste1ns man-
ual, seasonal test results, and Cx Process Report are formally
accepted by the Owner during the Occupancy/Operations
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Phase. The OPR, BoD, and systen1s manual follow the sa1ne
process as previously detailed.
The general process for accepting the seasonal test
results is as follows:
a. The CxA directs the completion of seasonal systen1 and
assen1bly testing by the contractor and docu1nents the
results.
b. The CxA works with the contractor in resolving any
issues identified during testing.
c. The CxA verifies that all updated system docu1nentation
is received from the contractor.
d. The CxA reco1111nends to the Owner acceptance of the
seasonal testing results.
The general process for accepting the Cx Process Report
is as follows:
a. The CxA provides the Cx Process Report to the Owner,
design professionals, and contractor for review and con1-
1nent.
b. The CxA incorporates co1nrnents and provides a final
copy to the Cx Tean1 n1en1bers.
c. The Owner accepts the Cx Process Report, ending the
CxA's responsibilities.
35
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or transmission in either print or digita l form is not perm itted without ASHRAE's prior written permission.
(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX I
OWNER'S PROJECT REQUIREMENTS WORKSHOP
GUIDANCE
This annex provides an exatnple of how to implement
part of Guideline 0. It is not intended to be a con1prehensive
representation or a best practice exa,nple. Practitioners apply-
ing the Cx Process should carefully follov.r Guideline O and
applicable cominissioning technical guidelines tailored to
their specific projects.
The QPR is considered the heart and soul of the Cx Pro-
cess. When the QPR is not developed, the o,vner, designer,
contractors, and operation and ,naintenance (Q&M) person-
nel each interpret the building require1nents, including their
individual responsibilities, from the standpoint of their own
specific needs. This often creates a range of diverse vie,vs of
the constructed project's needs. Unfortunately, while critical
for a successfhl project, the QPR is rarely developed. Devel-
oping QPR that reflects the actual needs of the owner, the
users or occupants, service and operating units, and some-
times the com,nunity is one of the, if not the, most important
aspects for successful implementation of the Cx Process.
The following sections detail an exa1nple format to fol-
low in developing the OPR and a discussion of ho,v to obtain
the required infonnation. Note that historically the QPR has
often been referred to as "design intent" or "project intent."
11. FORMAT
While there have been many formats used for presenting
criteria for the QPR, the QPR \.vorkshop is one that has been
well received by owners, designers, contractors, and Q&M
personnel. The workshop initially addresses general needs/
require,nents and progresses to specific require,nents (i.e.,
1noves from project needs to system/equip1nent/control
needs). lt is organized around and focuses on asse,nblies and
syste1ns that have been identified as targets of the Cx Process.
The ,vorkshop needs to be well organized, and it is very desir-
able to have the results fonnatted for i1runediate input into a
co1nputer analysis program for rapid feedback on consensus
of the group.
Jnfonnation fro,n the workshop is only one of various
resources from which the OPR docu1nent is developed. Fol-
lowing is a description of some of the information that can be
included in an QPR doctunent.
Key sections of the QPR doctunent are:
a. Background- A narrative description to provide context
about the project.
b. Objectives-For any project there are goals that must be
achieved for the project to be successful. Goals can range
fro,n first cost, to ti,ne schedule, to ntunber of change
orders, or to life-cycle cost. Regardless of \\1hich goals are
identified, they ,nust be sutntnarized up front to ensure
everyone is on the same page.
c. Green building concepts-This is an optional section for
owners ,vho \.vish to focus on the sustainability aspects of
their building.
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d. Functional uses and requirements-In addition to general
doctunentation produced by the architect on fi.mctional
uses of the building (office, storage, kitchen, etc.), the spe-
cific requirements for each functional area 1nust be docu-
1nented. This can include such items as security, safety,
co1nfort, energy, 1naintainability, and indoor air quality.
e. Lifespan, cost, and quality- It is important to clearly doc-
u1nent the owner's expectations for lifespan of 1naterials,
cost of construction, and the level of quality desired. By
providing this infonnation, unrealistic expectations are
identified and eliminated.
f. Perfonnance criteria-Often the 1nost difficult to define,
performance criteria detail 1ninimun1 acceptable perfor-
1nance benchtnarks for various aspects of the facility.
g. Maintenance requirements-The n1aintenance require-
ments are a ,nixture of the level of knowledge of the cur-
rent O&M staff (what can they maintain) and the expected
complexity of the proposed systems (what they can learn).
If there is a significant gap between the two, no ,natter
ho,v well the building is constructed, it will not be main-
tained or operated properly.
The following are examples of QPR elen1ents that are
com,non to most of the Technical Cx Process Guideline top-
ics:
a. Bench,narks for performance-Specific criteria for the
functional use of each space, asse,nbly, and system ,nust
be defined. These include temperature, hu1nidity, airflow,
light, noise, durability, aesthetics (1naterials and colors),
service life, reliability, redundancy, and the like. Typi-
cally, upper and lo\.ver limits are provided for general
spaces, with exceptions noted as required.
b. Proble1ns to avoid-Because occupant/user/operator coin-
plaints are co1n1non, it is i,nportant to identify and docu-
1nent those proble1ns that have caused co1nplaints in the
past. If these proble,ns are not documented and the situa-
tion recurs, the occupants often consider the entire project
as a failure .
c. Specific occupant require,nents- Specific ite,ns that are
deemed important to the various occupants in a building
,nust be identified and docutnented. In speculatively built
buildings, this section would detail the limits to ,vhich
occupants can make use of their spaces. For exa,nple, a
che,nical laboratory cannot be put in a space designed and
constructed for general office use without significant
changes to the systems and possibly to the building as a
whole.
12. OBTAINING THE INFORMATION
While it ,nay be easy to obtain the infonnation related to
develop1nent of the QPR, it is difficult to obtain quality infor-
1nation that the ov.rner, O&M staff, service contractors, cus-
to,ners (i.e., students, patients, retail custo,ners, renters),
visitors, subtenants, occupants, and the com1nunity all agree
on. In quality-based processes, it is critical that input be
obtained fro111 all the users (the various user groups) and that
the consensus of and differences between the groups be docu-
1nented. There usually are require,nents for which users do
not all agree. These ,nust be docwnented as unresolved ite1ns.
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Nonnally, the owner will make final decisions on what the
priority order of elements will be. However, the owner and the
rest of the Cx Tean11nust be aware of all requiren1ents so that
the final product will include as many individual group
requirements as are deemed appropriate and within the bud-
get.
A sin1ple three-step process is recomn1ended for develop-
ing the OPR:
1. OPR workshop
2. OPR documentation (report)
3. Project team approval of the. OPR
12.1 OPR Workshop. The OPR workshop is typically facili-
tated by the CxA, who elicits the primary concerns of the
project tea111. The workshop is organized to encourage identi-
fication of all requirements, to encourage interaction and dis-
cussion a1nong all team members, and to arrive at group
consensus of priorities for the OPR. This is accomplished
through the presentation of 111ultiple questions in an ordered
structure. A typical process uses a modified no1ninal group
technique ,vorkshop format. This is a formal means of gather-
ing the highest level of consensus that approaches the real
needs of the group. The procedure consists of the following
steps:
a. Provide each question or open concept to each individual
. participating in the workshop.
1:i. Allow three to five 1ninutes of quiet writing time for each
individual to respond ,vith as many ans,vers and ideas as
.. he/she can.
c. Record individual responses in a round-robin fashion-no
discussion at this point, just record the responses on a
visual flipchart, overhead, chalkboard, or multicomputer
link to all participants.
d. Revie,v all responses, consolidate similar ones, and clarify
so all in the group have the same understanding of all
responses.
e. Have individuals rank the responses for importance (1
through 5).
f. Detennine a group ranking fron1 individual rankings.
g. A rediscussion of the top 10 ite1ns-and any responses
ranked 1nost important-is desired, followed by a second
round of individual and group co1nbined rating/ranking.
The questions asked during this workshop 1nust be broad
in nature, elicit discussion, result in a variety of viewpoints,
and 1nust not leave the ,vorkshop. The questions should not
focus on such iten1s as "at what temperature are you co1nfort-
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able?" but should be broader, such as "how do you de.fine
co1nfort?" or "how ,viii you n1easure the cost success of this
project?" (versus a broader question, such as "how will you
detern1ine if this was a successful project?").
12.2 OPR Documentation. The OPR workshop will identify
key items and priorities important to the project teatn, the
o\.vner, users, and the Cx Tea,n. However, it does not provide
specific values. For exa,nple, the number one ite,n in the OPR
may be good air circulation in the rooms. It is the responsibil-
ity of the CxA to take the individual requiretnents developed
by the project tea,n and translate thetn into physical proper-
ties that can be measured, designed, and doctunented.
This transfonnation of the OPR often requires input fro1n
a variety of sources, including the design tea1n, contractors,
specialists, standards, and guidelines. Typically, the CxA has
sufficient experience in the planning, design, construction, and
operation of facilities to provide the oversight ofsuch a task. If
not, then expe1ts should be retained to aid in the develop1nent
of the OPR.
12.3 Project Team Approval of the OPR. After several iter-
ations and revie,\rs of the OPR by the project and design
teams, the requirements must be approved to provide the
design team adequate direction for their design. It is impor-
tant to distinguish development of the OPR from the tradi-
tional role of the architect in the planning or program,ning
process. The OPR define the criteria required for success,
whereas the architect's document may only address specific
space size and occupant flow requirements. Where the OPR.
,nay state that the functional use of the facility is X, Y, and Z,
the architect's document may specify the locations of, the size
of, and the flow of people through X, Y, and Z .
13. SUMMARY
The OPR workshop is one means to provide consistency
in the implementation of the Cx Process fro1n project to proj-
ect. It should be a topic addressed in the lessons-learned
workshop during the Occupancy/Operations Phase of the Cx
Process. Other techniques for developing the OPR, such as
interviews and surveys, do not allo,v interaction bet\veen the
user groups. Further, it has been shown that the results or
answers are biased by the beliefs of the expert who develops
the questions for the interviews or surveys. Frequently, using
such techniques the questions can be analyzed and the con-
clusions predetermined ,vhether the interviews or surveys are
co1npleted or not.
37
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(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX J
OWNER'S PROJECT REQUIREMENTS
This annex provides an exa1nple of how to i1nple1nent
part of Guideline 0. It is not intended to be a co1nprehensive
representation or a best practice exa1nple. Practitioners apply-
ing the Cx Process should carefully follov.r Guideline O and
applicable co1n1nissioning technical guidelines tailored to
their specific projects.
A general format for an OPR document is presented in
this annex. The structure provided is intended to encornpass
the facil ity requirements and enable the addition of sections
depending on the systems and assernblies to be constructed.
a. Introduction- Includes an overview of the project and
the general reasons why the project is being undertaken. A
description of the owner's processes (Cx Process) is typi-
cally contained in this section.
b. Key OPR Items-Includes a listing of the key OPR that
the Cx Process will focus on and that the o,vner (Cx
Tea1n) has determined are critical to the success of the
project.
c. General Project Description-The size and scope of the
project are included in this section.
d. Objectives- The objectives for acco1nplishing this proj-
ect are detailed in this section.
e. Functional Uses-The expected functional uses (spaces)
for the facility are detailed in this section. A short descrip-
tion of each functional use is included to provide the con-
text in which it was detailed.
.. .. , ., . . . .... . , . ...
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f. Occupancy Requirements-Includes the number of
occupants (users and visitors) and the schedule of occu-
pancy, including all special conditions.
g. Budget Considerations and Limitations-The expected
budgetary restrictions and considerations are contained in
this section.
h. Performance Criteria-The perforn1ance criteria on
which the project will be evaluated by the Cx Tea1n are
included in this section. Each perfonnance criterion
should be 1neasurable and verifiable. Include the follow-
ing subsections as appropriate to organize and explain the
criteria:
l. General
2. Econo1nic
3. User Require1nents
4. Construction Process
5. Operations
6. Syste1ns
7. Assemblies
1. OPR Version History-Includes a sum1nary of the
changes 111ade throughout the Predesign, Design, Con-
struction, and Occupancy/Operations Phases. This infor-
1nation is critical to understand and docu1nent the trade-
offs made over time and the resulting impact on the proj-
ect.
Table J-1 ,viii assist in the development of the OPR
docu1nent in accordance ,vith Section 5.2.2.4 using the
forn1at presented in this annex. The table is also applica-
ble for those developing technical supporting guidelines
as described in Annex A. Inclusion of specific criteria
(such as the entries in this example matrix) will depend on
the project and the o,vner's needs. The Key OPR Section
should e1nphasize those OPR items that are essential to
the success of the project.
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TABLE J-1 Example Matrix for Developing OPR

OPR Section

Key Owner's General

Guideline 0-201 3
Project Project Functional O ccupancy Budget Considerations
S ubclause 5.2.2.4 Criteria
Introduction Requirements Description Objectives Uses Requirements and Limitations

I 2 3 4 s 6 7

(a) Proj ect schedule and budget Schedu le Budget

(b) Cx Process scope and budget Scope Budget

(c) Proj ect documentation

requirements, including fonnat
for submittals, training
materia ls, reports, and the X
systems manual. Consideration
should be given to use of
electronic format documents
and records where appropriate

(d) Owner directives X

(e) Restrictions and limitations X

(t) User requirements X

(g) Occupancy requirements and X X

schedules

(h) Training requirements for X

Owner's personnel

(i) Warranty requirements X

(j) Benchmarking requirements X

(k) Operation and maintenance

criteria for the facility that
reflect the Owner's expectations X .
•
and capabi lities and the rea lities
of the facility type

(I) &1uipment and system

maintainability expectations,
including limitations of X X
operating and maintenance
personnel

(m) Quality requirements for X

materia ls and construction

(n) Allowable tolerance in faci lity X

system operations

(o) Energy efficiency goals X X

(p) Environmental and X X

sustainabi lity goals

(q) Community requirements X

(r) Adaptability for future facility X X X

changes and expansion

(s) Systems integration

requ irements, especially across X
disciplines

(t) Health, hygiene, and indoor X X

environment requirements

(u) Acoustical requirements X

(v) Vibration requ irements X

(w) Seism ic requirements X

(x) Accessibility requirements X

(y) Security requirements X

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TABLE J-1 Example Matrix for Developing QPR (Continued)

OPR Section

General
Guideline 0-201 3
Project Functional Occupancy Budget Considerations
S ubclause 5.2.2.4 Criteria
Introduction KeyOPR Description Obj ectives Uses Requirements and Limitations

I 2 3 4 s 6 7

(z) Aesthetics requirements X

(aa) Constructabi lity requirements X

(bb) Communication requirements X

(cc) Applicable codes and standards X

OPR Section

Performance Criteria
OPR
Guideline OBody User Construction Version
General Economic Requirements Process Operations Systems Assemblies History

8 9 10 11 12 13 14 IS
(a) Project schedule and budget

(b) Cx Process scope and budget

(c) Proj ect documentation

requirements, including fo1mat
for subm ittals, training
materia ls, reports, and the
systems manual. Consideration
should be given to use of
electronic format documents
and records where appropriate

(d) o,vner directives

(e) Restrictions and limitations

(t) User requirements X

(g) Occupancy requirements and

schedules

(h) Training requirements for X X

Owner's personnel

(i) Warranty requirements X

(j) Benchmarking requirements X X X X

(k) Operation and maintenance

criteria for the facility that
reflect the Owner's expectations X X X
and capabi lities and the rea lities
of the facility type

(I) &1uipment and system

maintainability expectations,
including limitations of X X X
operating and maintenance
personnel

(m) Quality requirements for X X X X

materia ls and construction

(n) Allowable tolerance in faci lity X X

system operations

(o) Energy efficiency goals X X X X

(p) Environmental and X

sustainabi lity goals

(q) Community requirements X

(r) Adaptability for future facility X X X X

changes and expansion

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TABLE J-1 Example Matrix for Developing QPR (Continued)

OPR Section

Performance Criteria
OPR
Guideline OBody User Construction Version
General Economic Requirements Process Operations Systems Assemblies History

8 9 10 11 12 13 14 IS
(s) Systems integration
requirements, especially across X X
disciplines

(t) Health, hygiene, and indoor X

environment requirements

(u) Acoustical requirements X X X

(v) Vibration requirements X X

(w) Seism ic requirements X X

(x) Accessibility requirements X X X X

(y) Security requirements X X X

(z) Aesthetics requirements X X X

(aa) Constructability requirements X X

(bb) Communication requirements X X X

(cc) Applicable codes and standards

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or transmission in eit her print or digital form is not perm itted without ASHRAE's prior written permission.
(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX K
BASIS OF DESIGN (BoD)
This annex provides an exa1nple of how to i1n ple1n ent
part of Guideline 0. It is not intended to be a co1n prehensive
representation or a best practice exa1nple. Practitioners apply-
ing the Cx Process should carefully follow Guideline O and
applicable co1111nissioning technical guidelines tailored to
their specific projects.
The BoD records the 1najor thought processes and
assumptions behind design decisions made to 1neet the OPR.
The OPR is intended to capture "what" the owner needs and
expects fro1n a project. The construction documents detail
"ho,\1" the OPR will be physically achieved. The BoD cap-
tures important information I inking the "what" and "how."
BoD docu1nentation is distinct fro1n the construction
docu1nents, is seldo1n included in drawings and specifica-
tions, and is generally not needed by the contractor to 1neet
his/her obligations. It is exceptionally valuable to the Cx
Tea1n, however, when evaluating the ability of a design and its
co1nponents to 1neet the OPR.
The objective of specifically documenting BoD informa-
tion is to provide the parties involved ,vith a project, at each
phase in the process, an understanding of the underlying
thinking that led to the selection of specific components,
assen1blies, syste1ns, and system integrations. A design narra-
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tive that provides an overview of assemblies and systems in
verbal forn1at is usually an integral elen1ent of the BoD.
The BoD will typically be developed incrementally as
work on a project 1noves from Predesign, to Design, and into
the Construction Phase. Changes to the BoD that often occur
as a design evolves must be documented.
Content of the BoD will vary from project to project and
systen1 to systen1, but in general it should address the follow-
ing:
a. Specific codes, standards, and guidelines considered dur-
ing design of the facility and designer interpretations of
such requiren1ents.
b. Infonnation regarding a1nbient conditions (clin1atic, geo-
logic, structural, existing construction) used during
design.
c. Assu1nptions regarding usage of the facility.
d. Expectations regarding syste1n operation and n1ainte-
nance.
e. Perfonnance criteria that the system ,vas designed to
1neet-linked to the OPR.
f. Specific design n1ethods, techniques, sofuvare used in
design.
g. A narrative state1nent of design that describes ho,v the
designer intends to 1neet the OPR.
h. A narrative statement of operation that details ho,v the
facility is expected to operate under various situations
(such as normal operation, extren1e event, emergency).
1. A listing of specific n1anufacturer makes and models used
as the basis for dra,vings and specifications.
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(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX L
SPECIFICATIONS
This annex provides an exarnple of ho,v to implement
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exa1nple. Practitioners apply-
ing the Cx Process should carefully follo,v Guideline O and
applicable com1n issioning technical guidelines tailored to
their specific projects.
L 1. SPECIFICATIONS FOR THE Cx PROCESS
LI.I This annex provides guidance on writing specifications
for Co,nmissioning (Cx) Process Activities to be performed
by construction contractors. A l:,'llide specification is included
with the assu,nption that the construction contractor is
involved only dw·ing the constn1ction phase and for the cor-
rection and warranty period.
Ll.2 Cx is a quality-oriented process for achieving, verify-
ing, and documenting that the performance of facility systems
and assemblies 1neets defined objectives and criteria. The Cx
Process begins at project inception during the Predesign
Phase and continues for the life of the facility through the
Occupancy/Operations Phase. During the Predesign Phase,
the OPR (OPR) are determined and documented by the Cx
Tea1n , ,vhich includes the Owner, Cx Authority (CxA), design
professionals, operation and maintenance personnel, occu-
pants, and users. Throughout each phase of the project, deliv-
erables ( drawings, specifications, sub1nittals, construction,
training, documentation, etc.) are verified against the OPR.
LI .3 An i,nportant docu1nent created during the Cx Process
is the Basis of Design docwnent or report (BoD). The design
professionals create this docu1nent or report during the design
phase. The BoD records the concepts, calculations, decisions,
and product selections to 1neet the OPR and to satisfy applica-
ble regulatory require,nents, standards, and guidelines. It can
include energy, environ1nental, sustainability, and other certi-
fication criteria, both fonn al and infonnal. The BoD includes
both narrative descriptions and lists of individual ite1ns that
support the design process.
LI.4 ASHRAE or NI BS Guideline O provides guidance on
content and basic fonn at. While the OPR is O,vner-developed
criteria, few Owners have the resources to develop the OPR.
Owners without these resources depend on the Cx Tea,n (see
a definition and discussion of the tenn Cx Tea,n in this guide-
line) to assist them in developing the OPR.
Ll.5 The OPR and BoD must be included or referenced in
the construction contract documents for informational pur-
poses only.
LI.6 The constn1ction contractor's obligation is to construct
the building and its syste,ns and asse,nblies according to the
requirements prescribed in the contract docu1nents. There
nonnally are no perfonnance require1nents relating to the
OPR stated in the contract docu1nents. The exceptions to this
include situations ,vhere contractors are required to provide
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designs for syste1ns or asse1nblies to be signed and sealed by
licensed professionals.
L2. THE COMMISSIONING AUTHORITY (CXA)
L2.1 The primary role of the CxA is to verify achievement of
the OPR throughout the project, from Predesign Phase
through Occupancy/Operations Phase. The O,vner should
perform this role.
L2.2 When the Owner cannot perform the CxA duties with
qualified personnel, then the CxA should have a separate pro-
fessional services agreement with the Owner, as this avoids
conflicts of interest and provides independence fro1n the other
parties (the O,vner's project manager, designers of record,
construction managers, suppliers, and construction contrac-
tors). This professional services agreen1ent defines the duties,
rights, and responsi bilities of the CxA for each phase of the
project. This separate relationship allows the CxA to act inde-
pendently as director of Cx Process Activities, to focus on
achieving the OPR, and to com1nunicate directly with the
o,vner.
L2.3 The CxA is a group of personnel with expertise and
experience in the design, construction, and operations of the
various syste,ns and asse,n blies included in the project. These
personnel are led by an individual who has expertise and
experience in successfully implementing the Cx Process.
L2.4 If the CxA is an employee, associate, or partner of the
same organization as the designer of record or construction
1nanagement firm , there is a conflict of interest. While not a
recom1nended approach, in these instances the CxA. must
have a separate professional services agreement, be organiza-
tionally separate from the design team or construction 1nan-
agement team, and define and manage the conflicts of interest
to provide the Owner with the independence required for the
Cx Process to be successful.
L2.5 The CxA does not perfonn testing; it directs the process
and directs the recording of the results. The CxA plans,
schedules, and supervises Cx Process Activities to verify
achieve,nent of the OPR. The contractor co,npletes constn1c-
tion checklists, perfonns tests, and acco1nplishes other Cx
Process Activities.
L3. ORGANIZATIONAL STRATEGY FOR INCLUSION
OF COMMISSIONING ACTIVITIES IN THE
SPECIFICATIONS
L3.1 Specifications (as a part of the construction contract
docu1nents) should include only the Cx Process Activities the
contractors perform during the life of the construction con-
tract, including the work required during the correction period
and for ,varranties.
L3.2 Supplernentary Conditions: Modify the general condi-
tions of the contract for construction in a doctunent titled
"Supple1nentary Conditions." A1nong other provisions, define
the CxA and include the CxA's duties, rights, responsibilities,
and li1nits of authority and additional require1nents for sub-
stantial co,n pletion. AJA Docu1nent A5 I I, "Guide for Sup-
ple1nentary Conditions," provides guidance about how to
write supple1nentary conditions.
43
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TABLE L-1 Description of Specification Sections

Section
Document/Section List of Contents Scope of Contents
Number
01100 SUMMARY Work covered by contract Describe Cx Process Activities as a part of the project.
documents
Alert the contractor that the Owner has contracted for
Identification of separate prime commissioning with a separate CxA.
contractors
Delineate scope ofCx Process.
01290 PAYMENT PROCEDURES No special Cx Process requi ren,ents.
01310 PROJECTMANAGEMENT AND Provisions about coordination of A.dd require,nents to include Cx.A in coordination
COORDINATION Cx Process Activities arnong rneetings (particularly "Preconstruction Meeting").
contractors and subcontractors; Coordination of rneetings and conferences.
project 1neetings.
01330 SUBMITTAL PROCEDURES Procedures for subm.ittals Submittal requirements for Cx Process Activity Reports
and schedules should be specified in Sections 01811 to
01819.
Add requirements here for additional copies fro1n
contractor to CxA and for approved subn1ittals to be
distributed to CxA.
01400 QUALITY REQUIREMENTS Coordinate wi th Cx Process Activities, witnessing of
tests, and test reports.
01500 TEMPORARY FACILITIES AND Include office space for CxA and utility services for Cx
CONTROLS Process Activities.
01600 PRODUCT REQUIREMENTS No special Cx Process requi ren,ents.
01731 CUTTING AND PATCHING No special Cx Process requirernents.
01770 CLOSEOUTPROCEDURES Include key Cx Process milestones to achieve
substantial completion and closeout.

01782 OPERATION AND Include requiren,ents for CxA to review and

MAINTENANCE DATA recon1111end approval of systen1s tnanual.
San,e procedures as described for Section 0133~
Subn1ittals.
01810 GENERAL COMNITSSIONING General administrative and procedural requiren1ents
REQUIREMENTS \Vithout regard to specific systen1s and assen1blies.
0I 8I I BUILDING ASSEMBLY Substructure Lists of construction checklists
ex REQU IREMENTS Superstructure Prerequisites to testing
Building Shell Syste111 or assen,bly test requi ren,ents
Exterior \Vall Assen,blies Test reports
Roof Assen,blies
Building Interior
Separations
Paths of Egress
01812 CONVEYING SYSTEM Elevators and Lifts Lists of construction check.lists
ex REQUIREMENTS Escalators and Moving Walks Prerequisites to testi og
Systern or assernbly test requi rernents
Test reports
01813 PROTECTIVE SYSTEM Fire Suppression (including Lists of construction checklists
ex REQUIREMENTS pumps, sprinkler and standpipe Prerequisites to testing
piping, and terminal devices) System or assembly test requirements
Detection and Alarms (including Test reports
fire, smoke, gas, and leak)
Lightning Protection (this is not
part of electrical distribution)
Cathodic Protection (this is not
part of electrical distri bution)

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TABLE L-1 Description of Specification Sections (Continued)

Section
Document/Section List of Contents Scope of Contents
Number
01814 PLUMBING SYSTEM Water Distribution Lists of construction checklists
COMMISSIONING Sanitary \\Taste Prerequisites to testing
REQUIREMENTS Storn1 Drainage Systen1 or assen1bly test requiren1ents
Other Plu1nbing Systen1s Test reports
01815 HVAC&R SYSTEM Heat Generation (including central Lists of construction checklists
COMMISSIONING equipn1ent, distribution systen1s, Prerequisites to testing
R.E QUIREMENTS and tenninal devices) System or assen1bly test require1nents
Refrigeration (including central Test reports
equipn1ent, distribution systen1s,
and tenninal devices)
Ventilation (including central
equipn1ent, distribution systen1s,
and tenninal devices)
HVAC Control Systen1s (including
central equip1nent, distribution
systen1s, and tenninal devices)
01816 ELECTRICAL SYSTEM Power Distribution (including Lists of construction checklists
COMMISSIONING central equip111ent, distribution Prerequisites to testing
REQUIREMENTS circuits, and tenninal devices) Systen1 or assen1bly test requiren1ents
Lighting (includes fixtures and Test reports
controls)
01817 COMMUNICATIONS SYSTEMS Voice and Data Lists of construction checklists
COMMISSIONING Sound and Video Prerequisites to testing
REQUIREMENTS Systen1 or assen1bly test requiren1ents
Test reports
01818 Security Access, Perin1eter Lists of construction checklisls
ELECTRONIC SAFETY AND Security, Intrusion Detection, Prerequisites to testing
SECURITY SYSTEMS Alarn1 and Detection Systems Systen1 or assen1bly test requiren1ents
Cx REQUIREMENTS (including fire and s1noke and leak Test reports
detection)
01820 DEMONSTRATION Coordination requiren1enls \vith the CxA
fNDIVIDUAL SECTIONS fN Field Quali ty Control Tests A statement requiring syste1n, subsystem, or equipment
DIVISIONS 2 THROUGH 16 Adjusting and Balancing to be con1n1issioned as a part of ils parent systen1.
Cleaning A statement requiring contractor to complete
Den1onstration construction checklisls and perfonn tests.

L3.3 General Requirernents for the Cx Process: Specifica-
tions in Division I include the general requirements for con-
tractors relating to Cx Process Activities. The "Sum1nary"
Section describes, in general, how the contractors, separate
contractors (if there is 1nore than one prin1e contractor), or the
construction 1nanager must interact with the CxA. Adtninis-
trative procedures for the Cx Process are specified in the Divi-
sion I Section "Cormnissioning."
L3.3.I The remainder of the specification language, \Vith
the exception of Division I sections for temporary facilities
and controls, should be mute on the subject of who rnust per-
form the work.
table of contents because section nun1bers and titles n1ay have
changed.
L3.3.3 Extent o_f Testing: The contractor's involvement in
Cx Process tests must be clearly defined. The extent of this
testing is detennined by the Cx Team during the Design
Phase based on the OPR.
L3.4 Component Cx Process Specifications: Sections in
Divisions 2 through 16 should specify testing and reporting
require,nents for products and equipment that are part of a
system or assembly and then be referenced to the appropriate
Cx Process sections in Division I for the overall system or
assernbly requirements.

L3.3.2 Other Division 1 Cx Sections should describe the
testing requirements for systems and assemblies.
L3.3.2.1 References in Table L-1 are to MASTERSPEC®
section nu111bers and titles existing at the ti1ne this annex was
written. Refer to the current MASTERSPEC consolidated
L3.4.1 During construction, the CxA verifies that contrac-
tor activities, such as installation and start-up; testing; de1non-
stration and training of the Owner's operator and 1naintenance
personnel; and syste,ns ,nanual, 1neet the OPR. Coordinating
activities by the contractor in support of the CxA should be
specified within the section where the co1nponent is specified

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(i.e., in individual sections in Divisions 2 through I 6) if spe-
cial require1nents are necessary. The following are examples
of require1nents to include in individual sections in Divisions
2 through 16:
L3.4.1.1 Installation and Start-Up: Include requirements
for involvement of factory-authorized service representative
in individual sections and for the co1npletion of construction
checklists.
L3.4.1.2 Testing: Include require1nents to support the
CxA in verifying test results, ranging fro1n coordinating test-
ing, to witnessing the test, to utilizing contractor personnel
and test equip1nent to verify the test report.
L3.4.1.3 De,nonstration and Training: Include special
require1nents unique to the co1nponent within its own section.
L3.4.1.4 Operation and Maintenance Data: Include
unique require1nents for the type of infonnation required
(e.g., particular require1nents about parts lists, service sched-
ules, preventive 1naintenance lists, and e1nergency operations)
for long-term 1naintenance of the OPR.
L3.4.2 In each section include an article under "General"
that refers to Division I for Cx Process Activities for system
or assernbly require1nents. An exatnple is as follov.rs:
I .XX Cx Process Activities
A. The roofing rnaterials specified in this Section
are included in the Cx Process as a part of the
building envelope systern and roofing subsystern
and integrated with flashing, coping, and insula-
tion.
B. Complete the construction checklists and per-
form tests specified in the Division 1 Section
"Building Assemblies Co1nmissioning Require-
ments."
L4. INTRODUCTION TO GUIDE SPECIFICATIONS
This Specification Section was written in cooperation with
Architectural Computer Services, Inc. (ARCOM), who are the
exclusive publishers and distributors ofMASTERSPEC, a prod-
uct of the American Institute of Architects. IvfASTERSPEC
Section OI 9113-General Commissioning Requirements-is
included in Guideline Oby special agreen1ent between ASHRAE
andARCOM.
L4.1 The section includes boxed notes that are instructions to
guide specifiers during editing of the specifications for a project.
L4.2 The section includes optional text in boldface font and
square brackets (e.g., [optional text]). These optional text
ite1ns include text that often occurs and provides an easy way
to include these require1nents in the 1naster for consideration
for each project.
L4.3 The section includes insert instructions in boldface font
and angle brackets ( e.g., <Insert instructions>). These
instructions are placed ,vhere text 1nust be inserted and pro-
vide so1ne guidance about the nature of the text that 1nust be
inserted. Insert instructions are used when there are an infinite
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[Optional text] impractical.
© 2004 The A111erican Institute of Architects (AIA)
ExclL~sively published and distributed by Architectural
Co111puter Services, Inc. (AR COM) for the AIA
This MASTERSPEC Section is licensed by ARCOM for
li111ited distribution by ASHRAE as a part of"ASHRAE Guideline
0 - The Con1111issioning Process," Annex L, "Specifications." The
MASTERSPEC Section n1ay be updated before Guideline O is
updated. For inforn1ation about the latest edition of this MASTER-
SPEC Section, contact ARCOM at (800) 424-5080.
SECTION 01 9113
GENERAL COMMISSIONING REQUIREMENTS
This Section uses the tern, "Architect." Change this tenn to
n,atch that used to identify the design professional as defined in the
General and Supple111entary Conditions.
Throughout the Section, the optional text "(each )" is
included with the tenn "contractor." Retain "each" for projects that
include 111ultiple prin1e contractors; delete for projects that have a
single prin1e contractor.
\Terify that Section titles referenced in th is Section are correct
for this Project's Specifications; Section titles ,nay have changed.
PART 1-GENERAL
I .1 RELATED DOCUMENTS
A. Drawings and general provisions of the Contract, includ-
ing General and Supplementary Conditions and other
Division OI Specification Sections, apply to this Section.
Docu,nents referenced in paragraph belO\v should be
prepared during sche111atic design phase or earlier and updated as
design progresses. They should be provided to contractor when the
con1n1issioning process is in1plen1ented on Project.
B. OPR and BoD doctunentation are included by reference
for infonnation only.
1.2 SUMMARY
A. This Section includes general requirements that apply to
implementation of the comn1issioning process without
regard to specific systems, assemblies, and components.
B. Related Sections include the following:
List belo,v only requirements that the reader might expect to
find in this Section but are specified else,vbere. The first four and
the last three subparagraphs are not yet available in MASTER-
SPEC but should be written and included if total building co,runis-
sioning is implemented.
1. Division 01 Section "Facility Substructure Co1runission-
ing" for co1n1nissioning process activities for foundations
and base1nent syste1ns and asse1nblies.
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2. Division OI Section "Facility Shell Co1nmissioning" for
co1nmissioning process activities for superstructure, exte-
rior enclosure, and roofing syste1ns and assemblies.
3 . Division 01 Section "Interiors Com1nissioning" for
commissioning process activities for interior construction,
stair,vays, and interior finishes systems and assemblies.
4. Division 14 Section "Commissioning of Conveying
Equipment" for commissioning process activities for
dumb,vaiters, elevators, escalators and moving walks,
lifts, turntables, and scaffolding systems, assemblies,
equipment, and coinponents.
5. Division 21 Section "Co1n1nissioning of Fire Suppres-
sion" for com1nissioning process activities for fire
suppression syste1ns, asse1nblies, equiptnent, and cotnpo-
nents.
6. Division 22 Section "Comtnissioning of Phunbing" for
cotnmissioning process activities for plumbing syste,ns,
asse,nblies, equip1nent, and components.
7. Division 23 Section "Co1runissioning of HVAC&R" for
co1n1nissioning process activities for co1n1nissioning heat-
ing, ventilating, air-conditioning, and refrigeration
syste1ns, asse,nblies, equip,nent and co,nponents.
8. Division 25 Section "Co1n1nissioning of Integrated Auto-
1nation" for co1runissioning process activities for co1runis-
sioning integrated auto1nation syste1ns, asse1nblies,
equip1nent and co1nponents.
9. Division 26 Section "Con11nissioning of Electrical" for
co1nmissioning process activities for electrical systen1s,
assen1blies, equip1nent, and co1nponents.
I 0. Division 27 Section "Corrunissioning of Co1nmunica-
tions" for commissioning process activities for communi-
cation syste1ns, assemblies, equipn1ent, and co1nponents.
I I. Division 28 Section "Con11nissioning of Electronic Safety
and Security" for com111issioning process activities for
electronic safety and security syste1ns, assen1blies, equip-
1nent, and components.
I 2. Division 33 Section "Commissioning of Utilities" for
commissioning process activities for water, wells, sanitary
sewerage, storm drainage, fuel distribution, hydronic and
steam energy, electrical, and co1nmunications utilities
systems, assemblies, equipment, and co1nponents.
1.3 DEFINITIONS
Retain acronyn1s, abbreviations, and tenns belovv that remain
after this Section has been edited.
A. BoD: Basis of Design. A doctunent, prepared by Archi-
tect, that records concepts, calculations, decisions, and
product selections used to meet the OPR and to satisfy
applicable regulatory require,nents, standards, and 1:,11.1ide-
lines. The document includes both narrative descriptions
and lists of individual ite,ns that suppo1t the design pro-
cess.
B. Cx Plan: A doctunent, prepared by CxA, that outlines the
organization, schedule, allocation of resources, and docu-
rnentation require1nents of the co1n1nissioning process.
C. CxA: Co1n1nissioning Authority.
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D. OPR: 0\vner's Project Requirements. A document, pre-
pared by Owner, that details the functional requirements
of Project and expectations of how it \viii be used and
operated. This document includes Project goals, measur-
able perforn1ance criteria, cost considerations, bench-
1narks, success criteria, and supporting infonnation.
E. Syste1ns, Asse1nblies, Equipment, and Components:
Where these tenns are used together or separately, they
shall ,nean "as-built" systems, asse,nblies, equipment,
and components.
I .4 COMMISSIONING TEAM
A. Members Appointed by Contractor(s): Individuals, each
having authority to act on behalf of the entity he or she
represents, explicitly organized to implement the co1nmis-
sioning process through coordinated actions. The co1nmis-
sioning tea1n shall consist of, but not be limited to,
representatives of [each ]contractor, including Project
superintendent and subcontractors, installers, suppliers,
and specialists dee1ned appropriate by the CxA.
B. Me1nbers Appointed by Owner:
I. CxA: An entity identified by the Owner \vho leads,
plans, schedules, and coordinates the co1nmissioning
tea,n to in1plen1ent the con1missioning process.
Owner \viii engage the CxA under a separate contract.
2. Representatives of the facility user and operation and
1naintenance personnel.
3. Architect and engineering design professionals.
1.5 OWNER 'S RESPONSIBILITIES
A. Provide the OPR doctunentation to the CxA and
[each ]contractor for infonnation and use.
B. Assign operation and n1aintenance personnel and sched-
ule the1n to participate in co1nmissioning tean1 activities.
Coordinate activities specified in paragraph below with
Owner-Architect and Architect-Consultant agreen1ents.
C. Provide the BoD doctunents, prepared by Architect and
approved by 0\vner, to the CxA and [each ]contractor for
use in developing the commissioning plan, syste,ns ,nan-
ual, and operation and ,naintenance training plan.
I .6 [EACH]CONTRACTOR'S RESPONSIBILITIES
Coordinate this Article vvith require,nents specified in Divi-
sion O1 Section "Su,n,nary of Multiple Contracts" for Project
Coordinator's responsibilities.
A. [Each ]contractor and their subcontractors shall assign
representatives \Vith expertise and authority to act on their
behalf and schedule them to participate in and perform
comm1ss1on1ng process activities including, but not
li1nited to, the following:
I. Evaluate perfonnance deficiencies identified in test
reports and, in collaboration with entity responsible
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for syste1n and equip1nent installation, reco1111nend
corrective action.
2. Cooperate ,vith the CxA for resolution of issues
recorded in "Issues and Resolution Log."
3. Attend and participate in co1nrnissioning tea1n meet-
ings held [\\ eekly] [bi\\'eekly] [monthly] [variable]
1
<Insert frequency> .
4. Integrate and coordinate con1mission1ng process
activities with construction schedule.
5. Revie,v and accept construction checklists provided
by the comn1issioning authority.
6. Con1plete [paper] [electronic] construction check-
lists as Work is con1pleted and provide to the con1mis-
sioning authority on a [daily] [\\'eekly],<Insert
frequency> . basis.
7. Revie,v and accept co1nrnissioning process test proce-
dures provided by the co1nrnissioning authority.
8. Acco1nplish con11nissioning process test procedures.
1.7 CxA'S RESPONSIBILITIES
Include CxA responsibilities in th is Article that have i1npact
on contractor activities and responsibilities.
A. Organize and lead the co1111nissioning team.
B. Provide co1nrnissioning plan.
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C. Convene co1nrnissioning team n1eetings.
D. Provide project-specific constn1ction checklists and com-
tnissioning process test procedw·es.
E. Verify the execution of commissioning process activities
using random sampling. The sampling rate may vary
from 1 to I 00 percent. Verification will include, but is not
limited to, equip1nent sub1nittals, construction checklists,
training, operating and maintenance data, tests, and test
reports to verify compliance with the OPR.. When a ran-
dom sa1nple does not 1neet the requirement, CxA ,~1ill
report the failure in the "Issues and Resolution Log."
F. Prepare and 1naintain issues log.
G. Prepare and maintain completed constn,ction checklist
log.
H. Witness syste,ns, asse,nblies, equip,nent, and co,nponent
startup.
I. Compile test data, inspection reports, and ce11ificates and
include the,n in the systems manual and co1n1nissioning
process report.
PART 2-PRODUCTS (NOT USED)
PART 3-EXECUTION (NOT USED)
END OF SECTION 01 9113
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(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX M
CONSTRUCTION CHECKLISTS
This annex provides an exa1nple of ho,v to implement
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exan1ple. Practitioners apply-
ing the Cx Process should carefully follo,v Guideline O and
applicable comn1issioning technical guidelines tailored to
their specific projects.
M1 . OVERVIEW
Construction checklists consist of two types:
a. Component/Equipment Based. These construction
checklists are used for co1nponents and pieces of equip-
1nent that are delivered, installed, and started up during
construction. There is an individual checklist for each
individual component or piece of equipment.
b. System/Assembly Based. These construction checklists
are used for systems and asse1nblies ,vhere separate
checklists cannot be applied to subco1nponents of the sys-
tem or assembly. There is a single checklist for the entire
syste1n.
The following provides a generic structure to follow for the
development of construction checklists for any equipment,
co1nponent, syste1n, or assembly.

[INSERT EQUIPMENT/ COMPONENT NAME] CHECKLIST

TAG ID: _ __

GENERAL INSTRUCTIONS:
l . This fonn is to be completed as the work is completed on [insert equipment/component name].
2. Co1nplete Section I-Model verification on delivery of equip1nent/component to either the job site or storage location.
3. Co1nplete Section 2-Preinstallation checks just prior to initial installation.
4. Co1nplete Section 3- Installation as installation progresses.
5. Fill in data, circle item, and initial as indicated.

1. [INSERT EQUIPMENT/ COMPONENT NAME] MODEL VERIFICATION

Specified Submitted Installed

[list ite111s to check, such as 1nake, 111odel, and size]

2. PREINSTALLATION CHECKS
The following 1nust be co1npleted on delivery of equip1nent/co1nponent to the work site.

Contractor Initial CxA

2A Physical Checks
[insert physical checks to be verified prior to installation, Yes/No
such as "free of dainage" and cleanliness]
Yes/No
Yes/No
Yes/No
2B Component Verification
[insert con1ponent checks to be verified prior to installation, Yes/No
such as location and type of con1ponents]
Yes/No
Yes/No
Yes/No

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3. INSTALLATI ON
The following ite1ns need to be verified during installation. Fill in blanks with check, specific information, or circle "yes" or
"no." For any negative responses, complete Section 4.

Contractor Initials CxA

3A [insert title of major installation step]
[insert iten1s to verify as installation step is accon1plished] Yes / No
Yes / No
Yes / No
Yes / No
3B [insert title of major installation step]
[insert iten1s to verify as installation step is accon1plished] Yes / No
Yes / No
Yes / No
Yes / No
3C [insert title of major installation step]
[insert iten1s to verify as installation step is accon1plished] Yes / No
Yes / No
Yes / No
Yes / No
3D [insert title of major installation step]
[insert iten1s to verify as installation step is accon1plished] Yes / No
Yes / No
Yes / No
Yes / No
3E [insert title of major installation step]
[insert iten1s to verify as installation step is accon1plished] Yes / No
Yes / No
Yes / No
Yes / No

4. NEGATIVE RESPONSES (ATTACH SHEETS AS NECESSARY)

Item Reason for Negative Response Resolution

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[INSERT SYSTEM/ ASSEMBLY NAME] INSTALLATION CHECKLIST

GENERAL INSTRUCTIONS
1. This form is to be con1pleted daily by each [insert system/assen1bly nan1e] work crew at the end of its shift.
2. Date and describe work completed in the appropriate section (I for preinstallation and 2 for installation).
3. Verify achieven1ent of quality requirements by circling "Yes" or "No." For negative responses, complete Section 3.
4. Initial.

1. [INSERT SYSTEM/ASSEMBLY NAME] PREINSTALLATION CHECKS

Description of Items (see descriptions below)

\.Vork Percent
D ate Perfo1·med [I nse11 Title A J [Inse11 Title BJ [Insert Title CJ [Insert Title DJ [Insert Title E) Complete Initial

Yes / No Yes / No Yes / No Yes / No Yes / No

Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
Yes / No Yes / No Yes / No Yes / No Yes / No
.
: Yes / No Yes / No Yes / No Yes / No Yes / No
:
' Yes / No Yes / No Yes / No Yes / No Yes / No
.
:
:
Yes / No Yes / No Yes / No Yes / No Yes / No
.
.
:
Yes / No Yes / No Yes / No Yes / No Yes / No

(INSERT TITLE A): [INSERT DESCRIPTION OF TITLE A]

(INSERT TITLE Bj: [INSERT DESCRIPTION OF TITLE B]

(INSERT TITLE CJ: [INSERT DESCRIPTION OF TITLE C]

(INSERT TITLE Dj: [INSERT DESCRIPTION OF TITLE D]

(INSERT TITLE Ej: [INSERT DESCRIPTION OF TITLE E]

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2. [INSERT SYSTEM/ ASSEMBLY NAME] INSTALLATION CHECKS

Description of Items (see descriptions belon')

Work Dran·ings Pe1·cent
Date Performed [I nse11 Title F] [insert Title G) [insert Title HJ [insert Title IJ Updated? Complete Initial

Yes / No Yes/No Yes / No Yes / No Yes / No

Yes / No Yes/No Yes / No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes/No Yes/No Yes / No Yes / No
Yes / No Yes / No Yes /No Yes/No Yes /No
Yes / No Yes / No Yes /No Yes/No Yes /No
Yes / No Yes / No Yes /No Yes/No Yes /No

(INSERT TITLE F): [INSERT DESCRIPTION OF TITLE F)

(INSERT TITLE G): [INSERT DESCRIPTION OF TITLE G)

(INSERT TITLE H): [INSERT DESCRIPTION OF TITLE H)

(INSERT TITLE I): [INSERT DESCRIPTION OF TITLE I)

DRAWINGS UPDATED: THE INSTALLED SYSTEM IS SHOWN ON THE RECORD DRAWINGS.

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3. CONFLICTS (ATTACH SHEETS AS NECESSARY)

Date Description of Conflict Suggested Resolution Resolved?

Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No
Yes / No

+4 • • • .,. . . . . . . . . . .

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(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX N
QUALITY-BASED SAMPLING EXAMPLES
This annex provides an exa1nple of how to i1nple1nent
part of Guideline 0. It is not intended to be a co1nprehensive
representation or a best practice exa1nple. Practitioners apply-
ing the Cx Process should carefully follow Guideline O and
applicable co1111nissioning technical guidelines tailored to
their specific projects.
N1. DESIGN-PHASE SUBMISSIONS
A critical step in the Cx Process is the revie,v of the
design sub1nissions from the design professionals. It is i1npor-
tant to re1ne1nber that the role of the CxA is to verify that the
OPR is met and that the system is designed in a quality rnan-
ner. There are three distinct reviews that are cornpleted on a
drawing set: general, coordination, and field specific. A
review of the specifications is also required. The general steps
of cornpleting a dra,ving revie,v are as follo\,vs:
Nl.l General Revie"'
a. Reviei,v the OPR: Since the drawing revie,,., is to verify
that the OPR is met, prior to the review, the OPR should
be reviewed to familiarize the revie\,ver with the key crite-
ria of the facility.
b. Docu,nent the General Revielv Criteria: The criteria from
which to acco1nplish the general review of the sub1nission
must be docu1nented. The criteria should be based on gen-
eral quality characteristics and specific OPR criteria. The
general quality characteristics should include ite1ns such
as the following:
1. Continuation of items (ductwork, pipes, etc.) from
page to page
2. Labeling, including correct roo1n nu1nbering
3. Details corresponding to actual components
4. Schedules including BoD information
5. All information legible (not hidden by crossing lines
or text)
6. OPR information is included on dra,,vings
c. Acco111plish Quick General Revie1v: The general revie\v is
intended to familiarize the revie,ver with the sub1nission.
If, during this revie,v, significant iten1s are identified as of
poor quality, then the revie,v process should be stopped
and the design professionals contacted to discuss the qual-
ity concen1s. If the general quality is good, 1nove on to the
Coordination Review.
Nl.2 Coordination Revie,v
a. Deter,nine Sa,npling Areas: For each floor plan area (i.e.,
if there are five sheets for each floor, then there are five
'' floor plan areas for each floor) select a single I O x I O in.
:.(250 x 250 nun) square rando1nly. A si1nple way to do this
: is to divide the drawing sheet into 15 squares (5 x 3) and
.' select square nun1ber 3 on the first sheet (area) and then 5,
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7, etc., for each remaining area. This selection is accon1-
plished typically using the architectural sheets.
b. Select RevieH' Sa,nples on Dra1vings: Using the sampling
strategy chosen in Step I, mark the san1ple areas to be
reviewed in each area. This should be acco1nplished for
each trade (landscaping, architectural, structural, plun1b-
ing, mechanical, electrical, etc.).
c. Acco111plish Coordination Revie1,v: For each area, co1npare
the squares between each discipline. The intent of this
review is to identify coordination proble1ns with the
placen1ent and installation of co1nponents. Iten1s of spe-
cific interest include the follo,ving:
l. Place1nent of 1nultiple pieces of equipn1ent/co1npo-
nents in the same location
2. Accessibility to equipment/components for n1ainte-
nance/replacen1ent
3. Use of consistent terminology (e.g., room nu1nbers)
4. Elevations provided where multiple syste1ns are
placed in the same area
5. Other trade duties clearly identified (e.g., electric wir-
ing for HVAC equip1nent, holes for sinks)
If significant coordination problems are identified, stop
the review and contact the design professionals to discuss. If
the coordination is good, continue on ,vith the Field-Specific
Review.
Nl .3 Field-Specific Revien,
a. Deter,nine the Revie,,v Sa,npling Procedure: Use rando1n
srunpling that selects every xth square on the drawings to
be verified. Squares that are co1npletely blank (no walls,
equip1nent, etc.) are not included in the counting. For
exa1nple, if there are l O pages of drawings and each draw-
ing is split into 15 grids (5 x 3), there will be 150 potential
grids to review. If a 20% sa1nple rate is desired, then 30
grids would be reviewed, or every 5 grids. The starting
grid should be chosen using a rando1n selection process
(die, 1-6 in a hat, etc.).
b. Docu,nent Revielv Criteria: The criteria fro1n which to
review the drawings should be based on specific OPR cri-
teria. This typically includes ite1ns such as accessibility,
1naintainability, 1neeting sustainability goals, co1nfort con-
ditions, docu1nentation of OPR and BoD, and operating
details.
c. Select Reviei,v Sa,nples on Draivings: Using the sa1npling
strategy chosen in Step I, 1nark the sa1nple areas to be
reviewed.
d. Acco,nplish Detailed Statistical Revieiv: Using the review
criteria fro1n Step 2 and the selections fro1n Step 3,
accomplish a detailed review of the drawings. This
includes verifying that the specifications 1natch those
shown on the drawings (see below for specification review
details). For exa1nple, if a VAV box is in the selected
square, the steps in acco1nplishing the detailed review
1night include the following:
I. Revie,,., design calculation inputs for 1natching archi-
tectural assu1nptions and the OPR .
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2. Co1npare calculation results with the total airflow of
the diffusers downstrea,n of the VAY box and with the
VAY box schedule.
3. Co1npare location of VAY box with n1aintenance
requirements of the selected make and model (BoD).
4. Co1npare VAY box location on dra,vings with require-
ments in the specifications.
5. Revie,v the OPR for other issues that the VAY box
could impact.
e. Docu,nent Concerns: During the review of the dra,vings
keep detailed notes of problems found or concerns with
certain items. AJso, at the end of the review, a general
sum1nary of the quality of the drawings should be devel-
oped. A. letter detailing the quality of the drawings should
then be sent to the design professionals and the o,\1ner
with specific recomn1endations and directions given.
f. Revie1v the Dra111ing Reviei,v Procedure: After the dra,ving
review is completed, this document should be reviewed
and modified to improve the process for the next time.
Nl.4 Specification Revie"'
a. Detertnine the Revie1v Sa,npling Procedure: The purpose
of this revie\.v is to detennine the general quality of the
specifications. During the Field-Specific Review, the
actual details are checked. The satnpling procedure should
check approxirnately I 0% of the specifications. The easi-
est way of doing this is to check every xth page of the
specifications (i.e., if there are I 00 pages, check every
I 0th page).
b. A.cco,nplish General Revie1-v: The revie,¥ should focus on
the quality of the specification, specifically as follo,¥s:
I . Are there extraneous sections that do not pertain to the
project (i.e., medical gas in an office building, 15 types
of valves when only 2 used, etc.)?
2. If a rnanufacturer has been listed, has the engineer
checked to verify that the OPR is met?
3. Are there any "or as equals"? ("As equal" should
ahvays be defined)
4. Are the directions clear and concise?
c. Develop Sumtnaty qf Reviei-v-Develop a surnmary of the
revie\.v. If there are problerns with the specifications, con-
tact the design professionals and discuss.
Nl .5 Design Professional Actions. Comtnents provided by
the CxA should be formally replied to by the design profes-
sionals. If systemic issues are identified during the CxA's
review, the design process should be stopped and the issues
resolved. It is expected at the next subtnission that the CxA
will again use rando1n sa1npling that will result in a review of
different areas on the drawings and the specifications and that
will identify whether the syste1nic issue has been resolved.
Back-checking of the specific ite,ns ,nay be appropriate, but
not as the sole 1neans of verifying resolution of the issue.
N2. CONTRACTOR PHASE SUBMISSIONS
The focus of the review of contractor sub1nittals by the
CxA during construction is different frotn that accotnplished
by the design professional. Whereas the design professional
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reviews all subn1ittals against the contract docu1nents (specifi-
cations), the CxA con1pares a sample (typically 5%-10%) of
a submittal against the OPR and BoD. This different approach
is due to the fact that the con11nissioning process role is to
verify achieve1nent of the OPR using quality tools.
The following are general guidelines for implementing
quality based sa,npling on contractor submittals:
a. Sub1nittal Received: Verify submittal falls ,vithin co1nmis-
s1on1ng process scope.
b. Select Sample for .Review
I. Single/Few (< I 0) Components: Choose every xth patt
of the submittal- for example, for a I 0-page subtnit-
tal, to get a I 0% sample, divide each page into 6 parts
and select evety I 0th block (resulting in 6 blocks to
check).
2. Multiple Co,nponents: choose every yth co1nponent
(typically 20%- 30% of co1nponents) and then divide
and select blocks as detailed above for "Single/Few
(< I 0) Co1nponents."
c. Acco,nplish Review: For each sa,nple block, review infor-
1nation contained against the OPR and BoD. Identify dis-
continuities.
d. Results: Docu,nent results of the review. Typically, if con-
sistent issues are identified, the general quality of the sub-
tnittal to achieve the OPR is lacking and the
reco1n1nendation provided to the design professional
should be to reject the sub1nittal. In the CxA write-up, it is
i1nportant to state that a sa1npling approach was used to
avoid having the design professional or others assun1e that
the CxA reviewed everything.
N3. CONSTRUCTION-PHASE TESTS
AND VERIFICATIONS
The role of accomplishing site visits and com1nissioning
process tests is the ongoing verification of OPR achievement.
Because the contractor is responsible for 100% construction
and checking of work, the co1nmissioning process utilizes a
sampling strategy in accomplishing verifications and tests.
a. Construction Checklist Verifications: Dw·ing site visits,
the cotnpleted constn1ction checklists are verified (typi-
cally 2o/o -l 0%). The follo\ving is general guidance for
selecting and verifying constn1ction checklists.
I. Identify completed construction checklists: Identify
the constn1ction checklists that have been cornpleted
since the last site visit.
2. Select Sa1nple: Depending on the pace of construction
and the size of the project, the ntunber of new con-
stn1ction checklists can vary widely. The following is
a general guide for sa1nple rates based on the nuinber
of ne,,., construction checklists. Please note that this is
not 1neant to be used directly for your project due to
the 1nany variables in detennining acceptable sa,nple
rates and owner input. Rando1nly select the constn1c-
tion checklists to be verified. Note that you often want
to sa1nple si,nilar co1nponents as a group so that if
there is only I or 2 of a particular component, it is not
1nissed. Because the sa1npling rate is lo,,.,er for these
55
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# Nen· Constru ction Cbecklists Overall Sample Rate Component Sample Rate

1-10 100% 70%-100%

11-20 80% 50°/cr-70°/o

21-50 50% 30o/cr-50%

51-100 30% 15°/cr-30%

> 100 2-20% 2%-10%

than for other components, you can con1pare results
between sin1ilar con1ponents more easily.
3. Accomplish Verification: For the chosen sa1nple, coin-
pare the completed construction checklist to the actual
installation. Pay particular attention to con11non OPR,
such as accessibility, maintainability and future instal-
lation steps. Also, verify the record drawings ,vith the
actual installation.
b. Cx Process Tests: The preparation for the Cx Process
Tests includes all of the activities co1npleted during Prede-
sign, Design, and Construction Phases, including design
reviews, submittal reviews, construction checklist verifi-
cations, and verification of contractor co1npleted tests and
syste1n startup. Therefore, the role of the Cx Process tests
is to provide the final report card for the project, ,vith the
expectation of getting an A+.
This process approach then utilizes san1pling to bet-
ter evaluate achieven1ent of the OPR as the sampling
allows for 1nore in-depth testing as well as analysis of the
results.
The same sampling approach used for construction
checklists can be used for Cx Process tests. The differ-
ence is that instead of using completed construction
checklists as the sampling group, the focus of the test is
the selection group. For exa,nple, the following are
potential selection groups for their OPR:
1. Con1fort: The individual roo1ns/spaces in the building
2. Exterior Enclosure: The individual components or
assembly types, or each interface bet\,veen compo-
nents/assemblies
..
3. Energy: Energy-using con1ponents

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(This annex is not part of this guideline. It is merely infor-
mative and does not contain requirements necessary for
conformance to the guideline.)
INFORMATIVE ANNEX 0
SYSTEMS MANUAL
This annex provides an exan1ple of ho,v to implement
part of Guideline 0. It is not intended to be a comprehensive
representation or a best practice exatnple. Practitioners apply-
ing the Cx Process should carefully follow Guideline O and
applicable comn1issioning technical guidelines tailored to
their specific projects.
Developing the systems manual encompasses gathering
all of the infonnation related to the syste1ns, assetnblies, and
the Cx Process and incorporating it into a usable information
resource with indexes and cross-references. This resource
shall include the final OPR, BoD, the final Cx Plan, Cx Pro-
cess Report, 1nanufacturer installation rnanuals, manufacturer
operations and 1naintenance rnanuals, system schetnatics, ver-
ified record drawings, and test results. This infonnation is
edited and organized to focus on the key systems (roofing,
walls, fire alarm, chilled ,vater, hot ,vater, etc.) in the building.
Coordination with operations and 1naintenance personnel in
developing standard fonnats and divisions (shops) is accotn-
plished to si1nplify future syste1ns 1nanual development.
Also included in the systems 1nanual is the develop1nent
of periodic maintenance and information for insertion into a
computer maintenance management systetn (CMMS), includ-
ing equip1nent 1nake and 1nodel infonnation, checking
requirements, 1naintenance requirements, and troubleshooting
ite1ns.
The CxA shall be responsible for verifying the develop-
1nent of the syste1ns 1nanual.
The entity responsible for developing the syste1ns 1nanual
shall include all items involved in the project and capture the
system and assembly data in either an electronic or printed
version. In addition, printed operations, service, 1naintenance,
spare parts list, and repair 1nanuals 1nay be provided. This
entity ( owner, contractor, design professional, other) shall
have the skills of design, construction, and operations
required to develop a cohesive systems manual.
The required details for a full systems manual are
enhanced in each of the technical Cx Process guidelines. The
syste1ns 1nanual will have 1nultiple sections depending on the
nu,nber of syste1ns focused on during the Cx Process. The
systems manual ,viii include a detailed table of contents ,vith
a notation as to resource storage location if not in the actual
manual. The follo\.ving outline is a recomtnended fonnat:
a. General
l. Executive summary (facility level). This section
includes an overall description of the building and its
systems, including a listing of 1najor capabilities and
li1nitations i1nposed by the design or building code.
The description should include type of facility, general
description (number of floors, gross area, net area,
type of occupancy, etc.), and general system descrip-
tions. A list of contractors, subcontractors, suppliers,
architects, and engineers involved in the project along
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with their contact infonnation should be included in
this section.
2. OPR (facility level). A copy of the final OPR for the
facility is included in this section. This docurnent ,vas
initially developed during the Predesign Phase and
was updated throughout the project by the Owner,
CxA, or design professionals.
3. Basis of Design (facility level). This section includes
the final BoD document at a facility level. This docu-
ment is \.vritten by the design professionals during the
Design Phase and is updated by the1n to include any
changes during the Construction Phase.
4. Construction record documents and specifications
(not included in specific systems sections). This sec-
tion includes eletnents of the record set of construction
docurnents (including specifications) that are not cov-
ered under specific syste1ns -updated to reflect the
final installation.
5. Approved submittals (not included in specific sys-
tem sections). This section includes a copy of the
approved submittals (not included under specific sys-
te1ns) with all field modifications and accessories
clearly 1narked. In addition, the co1n1nents frotn origi-
nal sub1nittals shall be included.
6. Facility operating procedures for all normal,
abnormal, and emergency modes of operation
(facility level). This section includes detailed operat-
ing procedures for the facility during nonnal, abnor-
1nal, and etnergency ,nodes of operation. This is not
intended to be auto1natic control sequences, but gen-
eral operating procedures. This would include items
such as building access during various situations (nor-
mal operation, after-hours operation, fire alann, civil
disturbance operation, emergency power operations,
etc.).
7. A list of recommended operational record keeping
procedures at the facility level, including sample
fo rms, trend logs, or others, and a rationale tor each.
This section includes direction to the operation and
maintenance personnel as to ,vhat infonnation needs to
be documented and kept on the operation of the facility
and why these records are important or will benefit the
Owner or operations and maintenance personnel in the
future.
8. Maintenance procedures, schedules, and recom-
mendations (facility level). This section includes the
n1anufacturer's recon1mendations for n1aintenance pro-
cedures and ,vhen maintenance should be perfonned
on syste1ns not included in specific system sections.
9. Ongoing optimization (facility level). This section
includes guidance for the ongoing opti1nization of the
facility. Included in the section are schedules of peri-
odic benchmarking using checklists and tests devel-
oped for the original construction, procedures for
maintaining the OPR and BoD doctunents, and l,'llid-
ance on what to do when the OPR is not met.
I 0. Attachments. Cx docu1nents listing and storage loca-
tion.
.. ,. , ... .. .. ..... ...
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[The jol/01ving section is co,npleted for each syste111 or
asse111bly requiring operation and 111aintenance.}
b. xxx System/Assembly
l. Executive summary (xxx System/Assembly). This
section includes a description of the systems/asse1n-
blies covered in this section, including a listing of
capabilities and lin1itations imposed by the design or
building code. The description should include type of
system/asse1nbly, general description, and schemat-
ics. A list of contractors, subcontractors, suppliers,
and design professionals involved with this system
along with their contact infonnation should be
included.
2. OPR (xxx System/Assembly level). A copy of the
final OPR dealing with thjs system/assembly is
included in this section. This document was initially
developed during the Predesign Phase and was updated
throughout the project by the O,vner, CxA, or design
professionals.
3. Basis of Design (xxx System/Assembly level) . This
section includes the final BoD (including the design
intent) as related to the specific syste1n s included in
this section. This docu1n ent is typically written by the
design professionals during the Design Phase and is
updated by the1n to include any changes during the
Constn1ction Phase.
4. Construction record documents and specifications
· (xxx System/ Assembly). This section includes the
: record set of construction documents (including speci-
fications) that has been updated to reflect the final
installation of the specific system/asse1nbly included
in this section.
5. Approved submittals (xxx System/Assembly). This
section includes a copy of the approved sub1nittals for
the components associated with the system/asse1nbly
,vith all field 1nodifications and accessories clearly
1narked. In addition, the com1nents fro1n original sub-
1nittals shall be included.
6. Operating procedures for all normal, abnormal,
and emergency modes of operation (xxx System/
Assembly) . This section includes detailed operating
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procedures for xxx syste1ns/asse1nblies during normal,
abnorn1al, and e1nergency 1nodes of operation. This is
not intended to be automatic control sequences, but
general operating procedures.
7. A list of recommended ope1·ational record-keeping
procedures, including sample forms, trend logs, or
others, and a rationale for each (xxx System/
Assembly). This section includes direction to the
operations and maintenance personnel as to ,vhat
infom1ation needs to be docwnented and kept on the
operation of the syste1ns and why these records are
important or will benefit the Owner or operations and
maintenance personnel in the future .
8. Maintenance procedures, schedules, and recom-
mendations (xxx System/Assembly). This section
includes the manufacturer's recom1nendations for
maintenance procedures and ,vhen 111aintenance
should be perfonned.
9. Ongoing optimization (xxx System/Assembly). This
section includes guidance for the ongoing opti1niza-
tion of the systen1/asse1nbly. Included in the section
are schedules of periodic benchmarking using check-
lists and tests developed for the original construction,
procedures for 1naintaining the OPR and BoD docu-
ments, and guidance on ,vhat to do when the OPR is
not achieved.
I 0. Operations and maintenance manuals (xxx System/
Assembly). This section includes the manufacturer's
printed operations and 111aintenance 1nanuals for the
specific equipment/con1ponents provided for the xxx
systen1/assen1bly. Also included is a parts and recon1-
n1ended spare parts list, a troubleshooting guide for
comn1on situations, and one-line diagrams for each
applicable syste1n.
11. Training records (xxx System/ Assembly). This sec-
tion includes infonnation on training provided and
attendees. In addition, infonnation on ongoing train-
ing shall be provided.
12. Cx Process Report for xxx System/Assembly. This
section includes the final Cx Process Report for the
xxx syste1n/assen1bly, including all test procedures,
test results, and blank test forn1s .
ASHRAE Guideline 0-2013
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 © ASHRAE (www.ashrae.org). For persona l use only. Add itional reproduction, distribution,
or transmission in either print or digita l form is not perm itted without ASHRAE's prior written permission.

(This annex is not part of this guideline. It is merely infor- A receipt ackno,vledging co1npletion of each ite1n of
mative and does not contain requirements necessary for instruction will be secured.
conformance to the guideline.) The training will be evaluated based on the criteria in the
attached evaluation fonn.
INFORMATIVE ANNEX P
PI .3 Electrical Systems. The training shall include the fol -
TRAINING MANUAL AND TRAINING NEEDS
lowing:
This annex provides an exarnple of ho,v to implement
a. General familiarization and operating procedures for the
part of Guideline 0. It is not intended to be a co1nprehensive
entire electrical installation
representation or a best practice exatnple. Practitioners apply-
ing the Cx Process should carefully follo,v Guideline O and b. Routine 1naintenance procedures for equip1nent
applicable cornmissioning technical guidelines tailored to c. Specific operating and maintenance procedures for the
their specific projects. following:
This annex is a collection of various require1nents for I . Switchboards
training and identifies needs for the training manual. The
2. E1nergency po,ver supply syste1n
training manual includes the training plan, which is co1nposed
of the training syllabus and agenda that are provided to the 3. Fire alann system
contractor by the Owner with help from the CxA.. The train- Factory-trained technicians will provide operating and
ing 1nanual also contains the results of training, including the 1naintenance instn1ctions on the following:
training rnaterial and training evaluations completed by the
contractor. It is an exa1nple to provide direction, in that train-
ing needs vary substantially for each construction project or System/Equip1nent Mini,num Session Duration, h
ne,v building. The following is an exarnple of a training man-
En1ergency power supply system X
ual outline or syllabus ,vith a focus on electrical and n1echani-
cal systerns.
Fire a!ann systen1 X

P1. TRAINING SYLLABUS Lighting control systen1s X

Pl.l Overvie,v. This syllabus describes the objectives of the

various sessions, lectures, and detnonstrations that form a part
of the training progran1 developed for the Do-It-Right Building.
PI .2 Sessions. There are two 1nain sessions on the electrical
systerns and hvo rnain sessions on the mechanical systems
that ,viii provide training to the OK Service personnel. The
first session ,viii be conducted at the tirne of start-up and
check-out and the second session ,viii be about two 1nonths
later. Sessions will be a 1nini1nwn ofhvo days duration for the
basics in each systetn and be conducted as specified below.
The sessions will be conducted at the site.
All training sessions will be visually recorded using
either videotape (VHS format) or standard compact disk (CD)
in PC format. The CD forn1at is desired for longevity and key-
word searching. The sessions can be recorded on videotape
and then transferred to CDs.
A training agenda in the fonnat enclosed will be provided
for each session. This will be subtnitted three weeks prior to
the scheduled training session. All listed o,vner's representa-
tives will sign this prior to proceeding with the training.
A list of training topics that are appropriate for consider-
ation are listed in the attached Training Agenda Topics list.
The Comtnissioning Authority (CxA) will be notified of
the scheduled training time and provided with a copy of the
training 1naterial fifteen days prior to each training session.
The CxA will review the material and share com1nents with
the Owner and the design professionals. If any aspects do not
meet the requirernents of the specifications, this will be cotn-
municated through the design professionals. The CxA will
attend 25% or 1nore of the training sessions.
.. .. .... . . .. .. . ......
.
S,vitchboards X
Medium voltage pad-mounted
s,vi tchgear X
Pl.4 Mechanical Systems. The training shall include the
following:
a. General fa1niliarization \vith and operating procedures for
the entire plumbing, laboratory gas, pure water, coin-
pressed air, fuel, HVAC&R, and fire protection syste1ns
installation.
b. Routine rnaintenance procedures for equiptnent.
c. Specific operating and 1naintenance procedures for the
following :
I. Hot-water syste1n consisting of boilers, putnps, con-
trols, and hydronic specialties
2. Chilled-water systems consisting of chillers, cooling
towers, pwnps, controls, and hydronic Specialties
3. Auto1natic te1nperature control syste1n consisting of
all associated hard,vare, software, and progratn logic,
arranged by systems
4. Laboratory air-side control systen1 consisting of sup-
ply, hood, and general exhaust valves, reheat coils, and
room control panel
5. Clean agent fire suppression systerns, including emer-
gency procedures, abort functions, and safety require-
ments
6. Laboratory hood exhaust air syste1n

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Factory-trained technicians \viii give instruction on the Pl.5 DDC System. There will be 1:\vo fonnal training ses-
following specialty systems and equipment: sions on the DDC system. Each of the sessions \viii be con-
ducted by factory-trained personnel for a n1ini1num duration
ofxx 8-hour days. Materials and training will be provided for
System/Equiprnent l\llinimurn Session Duration, h up to xx operators per session (selected by the 0 \vner).
There will be a separate training course provided on the
Variable-speed drives X
DDC syste1n for supervisory personnel. This training will
Chillers X briefly cover the material of the operator training session but
will be focused on the 1nore advanced features of the system
Automatic temperature X with e1nphasis on the energy conservation strategies and
controls reporting capabilities of the systen1 and how to implement
\Vater treatment systems X them. The training session will be conducted by factory-
trained personnel for a minin1u1n duration of xx 8-hour days,
Laboratory control systems X
for a total ofxx training hours. Materials and training will be
provided for up to xx persons selected by the Owner.

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Project: Do-It-R.igh t-\Vonderful Sk-y Building

Systems 1nanual; Evaluation Fonns; Record Forn1s; Specification Sections, Miscellaneous

Training JV[ate1·ial:
Manufacturer's Docu,nentation, Field Equipn1ent (for den1onstrations)

SECTION 1. AUDIENCE AND GENERAL SCOPE

0 O&M Staff, 0 Supe rvisory Personnel
Intended audience type:
0 Laboratory Users 0 ________

General scope of tra in ing: D A . Overv ie,v 0 B . Intern1ediate 0 C. Deta iled

SECTION 2. INSTRUCTORS
ID Instructor (Factory Trained) Company
1) -------------------------------------
2) -------------------------------------
3) -------------------------------------
4)
5) -------------------------------------

SECTION 3. AGENDA

SESSION A-ELECTRICAL AND FIRE PROTECTION SYSTEMS

Duration Instructor
Lectures/Demonsh ·ations Dates Location (h x freq*) ID(s)

Al En1ergency power supply syste n1 8x2

A2 F ire alann systen1 8x2
A3 Lighting control 4 x2
A4 s,.vitchboards 4 x2
AS Mediun1 voltage pad-1nounted S\vitchgear 4 x2
O&M procedures for clean agent fire s uppression systen1s,
A6 including e,nergency procedures, abort functions, and safety 4v2
requiren1ents

Total duration of training (h) ..........................................................................> 64

SESSION B-MECHANICAL AND PLUMBING SYSTEMS

Duration Instructo1·
Lectures/Demonstrations Dates Location (h x freq *) ID(s)

BI Variable speed drives 4 x2

B2 Chillers 4 x2
General fa1niliarization and operating procedures for plun1bing
B3 3x2
equiptnent

B4 \Yater treatn1e nt systen1s 2x2

Tota l dura tion of training (h) ·········································································> 26

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SESSION C-CONTROL SYSTEM

Duration Instructor
L ectures/Demonstrations Dates Location (h x freq*) ID(s)
Cl Laboratory control syste1ns 8 X 2*
C2 Auton1atic ten1perature controls IQ X 2*
C3 DDC systen1 operations (for up to xx operators) 32 X 2*
DDC systen1 e1nphasis on advanced features of systen1, energy
C4 conservation strategies, and reporting capabilities and ho1.v to 16 x I
in1plen1ent then, (for up to xx supervisors)

Total duration of training (h) ...........................................................................>

I 116
I
• Frequency is 2 formal training sessions as per spec. sections 15900, pg. 16, Part 2.1 , and 16800, pg. 5, Part 7.3. The first session shall be conducted at the
time of sta11-up and check-out and the second session shall be approximately 2 months later.

SECTION 4. APPROVALS
This Training Progran1 has been approved by the follo1.ving individuals, subject to any additions and clarifications noted.
(This is not an approval of training con1pletion.)

Do-It-Right, Inc. Representative Date

Cx Authority
Date

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TRAINING AGENDA TOPICS

(Suggested Genera l Topics to Be Included)

Requested by
Desired
Suggested List of Subjects D-1-R, Inc.
Duration, h
(-')
1. Overview and description of the purposes of the syste111

Syste111 troubleshooting: description of diagnostic s tep-by-step procedures for detennining the source
2.
of problems on the syste111 level; review technical service n1anual in detail

Co1nponent 1naintenance: instruction of required procedures for weekly, 111onthly, and annual
3.
preventive checks and ti1nely repairs to preserve sys ten1 integrity

Con1ponent troubleshooting: description of d iagnostic procedures for determining the source of

4.
proble1ns on the con1ponent level

5. Revie,.v of control drawings and schen1atics (have copies for attendees)

Startup, loading, norn1al operation, unloading, shutdo,vn, unoccupied operation, seasonal changeover,
6.
etc., as applicable

7. Integral controls (packaged): progran11n ing, troubleshooting, alanns, 111anual operation

Build ing auton1ation systen1 (BAS) controls: progran11ning, troubles hooting, alanns, 111anual
8.
operation, interface with integral controls

9. Interactions with other systen1s, operation during power outage and fire

I 0. Relevant health and safety issues and concerns and special safety features

I I. Energy-conserving operation and strategies

12. Any special issues to 1naintain warranty

Con1111on troubleshooting issues and 111ethods, control syste111 1.varnings and error 1nessages, including
13.
using the control systen1 for diagnostics

14. Special requiren1ents of tenants for this equip1nent's function

15. Service, 1naintenance, and preventive 111aintenance (sources, spare parts inventory, special tools, etc.)

16. Question and answer period

Total hours requested

Total hours required by specifications

.. ·.. .... .·.- ....... ...

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Training Evaluation
Session: _ _ _ _ _ _ _ _ _ _ _ _ _ __
Date: - - - - - - Location: _ _ _ _ _ _ _ _ _ __
Purpose: This fonn is used to evaluate each tra ining session. Based on this evaluation, later sessions can be i1nproved. This fonn ,.viii be
con1pleted by the CxA and one D-I-R e1np loyee in the training session after each session.
Every attendee fills out one copy of this fonn. Mark questions that are not app licable v,ith NIA.
I = \'ery \\'ell to 5 = not at all
I. Hovv 1.vere the obj ectives of th is training session ,net? 1 2 3 4 5 NIA
2. Do you know 1.vhere. the co1nponents/syste1ns are located? 1 2 3 4 5 NIA
~
.) . Do you know 1,vhat area the con1ponentslsysten1s are serving? 1 2 3 4 5 NIA
4. Do you understand the various types and purpose of these con1ponentslsyste1ns? 1 2 3 4 5 NIA
Do you understand/kno\v how to syste,natically troubleshoot con1n1on problen1s with
5. 1 2 3 4 5 NIA
these con1ponents/syste1ns?
6. Do you know how the co1nponents/syste1ns operate under all nonnal ,nodes? 1 2 3 4 5 NIA
Hovv ,.veil do you understand the i,nportance of 1neeting the design intent for the systems
7. 1 2 3 4 5 NIA
covered?
Are you able to efficiently find the relevant infonnation in the systen1s ,nanual to operate
8. 1 2 3 4 5 NIA
and 1naintain the syste1ns/co1nponents you \Vere tra ined for in thi s session?
Do you know how to perfonn the needed 1naintenance on the eq uip1nent and/or do you
9. 1 2 3 4 5 NIA
kno\v to get the infonnation you need?
10 Do you know ho\v to get updated technical service infonnation for the co1nponents/
1 2 3 4 5 NIA
syste1ns?
Explain 1.vhy any questions got very low or very high ratings fro,n you:

What topics 1.vould you des ire to be covered that were absent fro,n th is training session?

You ,nay provide other co1n1nents concerning anything about th is training session (e.g., infonnation prior to training, con ten t):

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(This appendix is not part of this guideline. It is merely informative and does not contain requirements necessary for con-
formance to the guideline. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE.)

INFORMATIVE ANNEX Q
ADDENDA DESCRIPTION INFORMATION
ASHRAE Guideline 0-2013 incorporates ASHRAE Guideline 0-2005 and Addenda a, b, c, and d into ASHRAE Guideline
0-2013. Table Q-1 lists each addendum and describes the ,vay in ,vhich the guideline is affected by the change. It also lists the
ASHRAE approval dates for each addendum.

TABLE Q-1 Addenda to ASHRAE Guideline 0-2005

App1·oval Dates:
Addendum Section(s) Affected Description of Changes• • Standards Committee
•ASHRAE BOD

This addendtun corrects an oversight in the guideline in that

Section 7.2.1.2 requires that a sa1npling approach be utilized for
January 23, 20 10
a Sections 7 .2.9.1 and 7.2.10.1 the Con1n1issioning Process Tests, but it was not referenced in
.'' January 27, 20 10
7 .2.9.1 or 7.2.10.1. The added sentence in iten1 "d" directs the user
to include the san1pling strategy.

This addendun1 clarifies the n1ean ing of Section 7.2.12.3, ite1n a.

b Section 7 .2.12.3
The current wording has caused confusion regarding what defin ing
the scope in this section entails, specifically v,hen the
January 23, 20 10
Co1nn1ission ing Process is not being applied to an entire project.
January 27, 20 10
The revi sion clarifies how to define the scope of systems and
assen1bl ies that can be verified ,vhen the Co1n1nissioning Process
is not being applied to an entire project.

This addendun1 clarifies iten1 "b" of Section 7 .2.12.3. The current

January 23, 20 10
C Section 7 .2.12.3 wording i1nplies that you rando1nly select fro1n all sys ten1s, not
January 27, 20 10
just those that were identified in ite1n "a" of7.2. 12.3.

This addendun1 clarifies ,vhat the guideline 1neans by "qua lity-

based san1pling." Currently, Annex N only provides guidance for
the completion of design revie,.vs and does not address the other
Sections 7.2. 1.2, 7.2.7. 1, quality-based san1pling referenced in the n1ain body of the January 23, 20 10
d
7.2.9.2, and Annex N guideline. The changes described in this addendtun provide better January 27, 20 I 0
guidance on jttst what quality-based san1pling is in order to avoid
confusion by practitioners and owners and to avoid i1nproper
application of the guideline.
• These descriptions may not be complete and are provided for infonnation only.

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H • • • . .. • + • • • • • • • +•+

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NOTICE

INSTRUCTIONS FOR SUBMITTING A PROPOSED CHANGE TO

THIS GUIDELINE UNDER CONTINUOUS MAINTENANCE

This guideline is maintained under continuous ,naintenance procedures by a Standing Guideline Project Co,n,nittee (SGPC)
for \vhich the Standards Committee has established a documented progra,n for regular publication of addenda or revisions,
including procedw·es for ti,nely, docutnented, consensus action on requests for change to any part of the guideline. SGPC con-
sideration will be given to proposed changes within 13 months of receipt by the manager of standards (MOS).

Proposed changes must be submitted to the MOS in the latest published format available from the MOS. However, the MOS
n1ay accept proposed changes in an earlier published forn1at if the MOS concludes that the differences are in1material to the
proposed change submittal. If the MOS concludes that a current form must be utilized, the proposer n1ay be given up to
20 additional days to resub1nit the proposed changes in the current format.

ELECTRONIC PREPARATION/SUBMISSION OF FORM

FOR PROPOSING CHANGES

An electronic version of each change, which ,nust co,nply with the instn1ctions in the Notice and the Fonn, is the prefe1Ted
fonn of sub,nittal to ASHRAE Headquarters at the address shown below. The electronic fonnat facilitates both paper-based
and co1nputer-based processing. Sub1nittal in paper fonn is acceptable. The following instn1ctions apply to change proposals
sub1nitted in electronic fonn.

Use the appropriate file fonnat for your v,ord processor and save the file in either a recent version of Microsoft Word (pre-
ferred) or another co,runonly used word-processing progran1. Please save each change proposal file with a different na,ne (for
exa,nple, "propOl.doc," "prop02.doc," etc.). If supple1nental background docu1nents to support changes sub1nitted are
included, it is preferred that they also be in electronic fonn as word-processed or scanned docu1nents.

For files submitted attached to an e-mail, ASHRAE will accept an electronic signature (as a picture; * .tif, or * .wpg) on the
change submittal fonn as equivalent to the signature required on the change subn1ittal form to convey non-
exclusive copyright.

Submit an e-mail containing the change proposal files to:

change.proposal@ashrae.org

Alternatively, mail paper versions to:

ASHRAE
Manager of Standards
I 791 Tullie Circle, NE
Atlanta, GA 30329-2305

Or fax them to:

.A.ttn: Manager of Standards
404-321-5478

The form and instructions for electronic sub,nittal ,nay be obtained fro1n the Standards section of ASHRAE's l-Io,ne
Page, www.ashrae.org, or by contacting a Standards Secretary via phone ( 404-636-8400), fax (404-321-5478), e-1nail
(standards.section@ashrae.org), or ,nail (I 791 Tullie Circle, NE, Atlanta, GA 30329-2305).

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FORM FOR SUBMITTAL OF PROPOSED CHANGE TO AN

ASHRAE GUIDELINE UNDER CONTINUOUS MAINTENANCE

NOTE: Use a separate fonn for each com,nent. Sub,nittals (Microsoft Word preferred) may be attached to e-mail (preferred)
or submitted in paper by ,nail or fax to ASHRAE, Manager of Standards, 1791 Tullie Circle, NE, Atlanta, GA 30329-2305.
E-,nail: change.proposal@ ashrae.org. Fax: +1-404/321 -5478.

1. Submitter:

Affiliation:

Address: City: State: Zip: Country:

Telephone: Fax: E-Mail:

I hereby grant ASH RAE the non-exclusive royalty rights, including non-exclusive rights in copyright, in ,ny proposals. I
understand that I acquire no rights in publication of the guideline in which my proposals in this or other analogous form is
used. 1 hereby attest that I have the authority and a,n empowered to grant this copyright release.

Sub,nitter's signature: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Date: _ _ _ _ _ _ _ _ _ _ _ __

All electro11ic subn,ittals 11111st have the jollo,vi11g state111e11t co111pleted:

I {insert na,ne) , through this electronic signature, hereby grant

ASHRAE the non-exclusive royalty rights, including non-exclusive rights in copyright, in 1ny proposals. I understand that I
acquire no rights in publication of the l,'llideline in which my proposals in this or other analogous fonn is used. I hereby attest
that I have the authority and am etnpowered to grant this copyright release.

2. Number and year of guideline:

3. Page number and clause (section), subclause, or paragraph number:

4. I propose to: [ ] Change to read as follows [ ] Delete and substitute as follov.,s

(check one) [ ] Add ne\v text as follO\VS [ ] Delete without substitution

Use underscores to show material to be added (added) and strike through material to be deleted (Eleleled) . Use additional pages if needed.

5. Proposed change:

6. Reason and substantiation: ..

.
I

7. Will the proposed change increase the cost of engineering or construction? If yes, provide a brief explanation as
to ,vhy the increase is justified.

[ ] Check if additional pages are attached. N u1nber of additional pages: _ __

[ ] Check if attachtnents or referenced 1naterials cited in this proposal accompany this proposed change. Please verify that all
attach1nents and references are relevant, current, and clearly labeled to avoid processing and review delays. Please list your
attachments here:

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POLICY STATEMENT DEFINING ASHRAE'S CONCERN

FOR THE ENVIRONMENTAL IMPACT OF ITS ACTIVITIES

ASHRAE is concerned with the impact of its members' activities on both the indoor and outdoor environment. ASHRAE's
members will strive to minimize any possible deleterious effect on the indoor and outdoor environment of the systems and
components in their responsibility while maximizing the beneficial effects these systems provide, consistent with accepted
standards and the practical state of the art.
ASHRAE's short-range goal is to ensure that the systems and components within its scope do not impact the indoor and
outdoor environment to a greater extent than specified by the standards and guidelines as established by itself and other
responsible bodies.
As an ongoing goal, ASHRAE will, through its Standards Committee and extensive technical committee structure,
continue to generate up-to-date standards and guidelines where appropriate and adopt, recommend, and promote those new
and revised standards developed by other responsible organizations.
Through its Handbook, appropriate chapters will contain up-to-date standards and design considerations as the material is
systematically revised.
ASHRAE will take the lead with respect to dissemination of environmental information of its primary interest and will seek
out and disseminate information from other responsible organizations that is pertinent, as guides to updating standards and
guidelines.
The effects of the design and selection of equipment and systems will be considered within the scope of the system's
intended use and expected misuse. The disposal of hazardous materials, if any, will also be considered.
ASHRAE's primary concern for environmental impact will be at the site where equipment within ASHRAE's scope
operates. However, energy source selection and the possible environmental impact due to the energy source and energy
transportation will be considered where possible. Recommendations concerning energy source selection should be made by
its members.

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About ASHRAE
ASHRAE, founded in 1894, is an international building technology society with more than 50,000 members worldwide.
The Society and its members focus on building systems, energy efficiency, indoor air quality, refrigeration, and
sustainability. Through research, standards writing, publishing, certification and continuing education, ASHRAE shapes
tomorrow's built environment today.

For more information or to become a member of ASHRAE, visit www.ashrae.org.

To stay current with this and other ASHRAE standards and guidelines, visit www.ashrae.org/standards.

Visit the ASHRAE Bookstore

ASHRAE offers its standards and guidelines in print, as immediately downloadable PDFs, on CD-ROM, and via ASHRAE
Digital Collections, which provides online access with automatic updates as well as historical versions of publications.
Selected standards are also offered in redline versions that indicate the changes made between the active standard and
its previous version. For more information, visit the Standards and Guidelines section of the ASHRAE Bookstore at
www.ash rae.org/bookstore.

IMPORTANT NOTICES ABOUTTHIS STANDARD

To ensure that you have all of the approved addenda, errata, and interpretations for this '
'
'
standard, visit www.ashrae.org/standards to download them free of charge.
.
'
'
Addenda, errata, and interpretations for ASHRAE standards and guidelines are no
longer distributed with copies of the standards and guidelines. ASHRAE provides
these addenda, errata, and interpretations only in electronic form to promote
more sustainable use of resources.

Product code: 86821 1/14

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