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ENERGY AND ATMOSPHERE PREREQUISITE

Energy Efficiency Best

Management Practices

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This prerequisite applies to:
Existing Buildings Hospitality
Schools Warehouses and Distribution Centers

ENERGY EFFICIENCY BEST MANAGEMENT PRACTICES

Retail Multifamily
Data Centers

INTENT

To promote continuity of information to ensure that energy-efficient

operating strategies are maintained and provide a foundation for
training and system analysis.

REQUIREMENTS

ESTABLISHMENT

EXISTING BUILDINGS, SCHOOLS, RETAIL, HOSPITALITY, WAREHOUSES AND DISTRIBUTION CENTERS,

MULTIFAMILY

Conduct an energy audit that meets both the requirements of the ASHRAE preliminary energy use analysis and an
ASHRAE Level 1 walk-through assessment identified in the ASHRAE Procedures for Commercial Building Energy
Audits or equivalent.
Prepare and maintain a current facilities requirements and operations and maintenance plan that contains the
information necessary to operate the building efficiently. The plan must include the following:
· a current sequence of operations for the building;
· the building occupancy schedule;
· equipment run-time schedules;
· setpoints for all HVAC equipment;
· setpoints for lighting levels throughout the building;
· minimum outside air requirements;
· any changes in schedules or setpoints for different seasons, days of the week, and times of day;
· a systems narrative describing the mechanical and electrical systems and equipment in the building; and
· a preventive maintenance plan for building equipment described in the systems narrative.
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DATA CENTERS ONLY

Use the U.S. Department of Energy’s DC PRO Profiling Tool to perform a preliminary assessment of energy
consumption in data center spaces for critical systems.

PERFORMANCE
None.
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BEHIND THE INTENT

This prerequisite provides a foundation for establishing energy-efficient operating strategies and training staff
in system maintenance, monitoring, and evaluation over the life of the building. By developing an operations and
maintenance plan and updating the current facility requirements, operators can see how the building’s current use
relates to its original design and analyze actual and intended operations. These two documents are intended to be
living records of building systems, operations, and maintenance procedures. Regularly recording any changes in
systems, operation, and usage ensures that knowledge can be easily passed from operator to operator and is also
available to support future upgrades, audits, or commissioning activities.
The prerequisite requires an energy audit that complies with the standards outlined in the ASHRAE Procedures
for Commercial Building Energy Audits. An energy auditor gathers energy consumption data for the entire building
so that facilities teams can develop performance indicators and identify no-cost and low-cost energy conservation
measures to improve overall energy performance.

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STEP-BY-STEP GUIDANCE

ENERGY EFFICIENCY BEST MANAGEMENT PRACTICES

STEP 1. DOCUMENT CURRENT FACILITY REQUIREMENTS AND OPERATIONS AND
MAINTENANCE PLANS
Review current facility requirements (CFR) and available operations and maintenance (O&M) plans and
manuals and determine the current operations for the facility.
· Documenting, updating, and confirming the operations will create an overall facility building operating
plan (see Further Explanation, Example 1).
· Current plans may include functional space requirements, operational space requirements, building
plans, system narratives, sequences of operations, and preventive maintenance activities (see Further
Explanation, Current Facility Requirements and O&M Plans and Example 2).

STEP 2. REVIEW ASHRAE PROCEDURES FOR COMMERCIAL BUILDING ENERGY AUDITS

Read the ASHRAE procedures to prepare for a preliminary energy use analysis and an ASHRAE Level 1
walk-through assessment.

STEP 3. IDENTIFY THE ASHRAE LEVEL 1 ENERGY AUDIT TEAM

Determine whether the ASHRAE Level 1 energy audit will be conducted by in-house staff or by a third-
party auditor (see Further Explanation, In-House versus Third-Party Audit).
The energy audit team is likely to have the following members:
· Owner
· General manager or property manager
· Building engineering staff
· Energy auditor
· Controls contractor (if necessary)
Optional team members include mechanical, electrical, and plumbing service providers, plus a testing
and balancing contractor and other maintenance staff.

STEP 4. CREATE IMPLEMENTATION PLAN FOR ENERGY AUDIT

Determine the schedule for the energy audit, including the preliminary energy use analysis and the
walk-through assessment, and outline the activities necessary to complete the process (see Further
Explanation, ASHRAE Energy Audit and Walk-Through Assessment). The plan should include these major
activities:
· On-site survey of the building to observe any special problems or needs and the functions of each
space
· Review of the current CFR and O&M plans
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STEP 5. PERFORM ASHRAE ENERGY USE ANALYSIS

Using the implementation plan and the expertise of the audit team, complete a preliminary energy use
analysis to establish a baseline for building performance (see Further Explanation, Energy Use Analysis).
Follow the preliminary energy use analysis section of the ASHRAE Procedures for Commercial Building
Energy Audits to complete this analysis.
· Collect at least one but ideally three years of utility bills.
· Examine average and peak utility costs.
· Develop an energy cost index, energy demand index, and energy use index for each fuel or demand
type, and their combined total, including all fuel types and district energy systems, if applicable (see
Further Explanation, Project Type Modifications).

STEP 6. PERFORM ASHRAE LEVEL 1 WALK-THROUGH ASSESSMENT

Use the ASHRAE Procedures for Commercial Building Energy Audits to conduct the audit. This standard
provides guidance on preparing, conducting, and documenting an ASHRAE Level 1 energy audit. The
procedures and forms are standardized for use in a variety of building types but can be tailored to suit
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particular projects.
Identify no- and low-cost improvement opportunities that will improve operations and save energy (see
Further Explanation, No-Cost and Low-Cost Measures).
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STEP 7. PREPARE ASHRAE LEVEL 1 REPORT

Using the information from the ASHRAE Level 1 energy audit, write a report that describes the current
operational parameters and systems, as well as the findings of the analysis. The report must include the
following information, at minimum:
· Comparison of project building with similar building types
· Current energy cost index, energy demand index, energy use index, and reduction goals
· Energy use breakdown by major system types or end uses
· Financial assessment (e.g., return on investment, payback) and maintenance implications of no-cost
and low-cost improvement opportunities.

STEP 8. MODIFY BUILDING PLANS AS NECESSARY

Revisit the CFR and O&M plans and document any changes that were identified during the energy audit
so that the building’s operating documents are accurate and current.

FURTHER EXPLANATION

CURRENT FACILITY REQUIREMENTS AND OPERATIONS AND MAINTENANCE PLANS

Building operators who perform daily operational and preventive maintenance procedures know what systems
are installed in their buildings. However, in many buildings, the CFR and O&M plans are either out-of-date or not
formalized. Project teams must create or maintain the occupancy schedule and system operations information in
standard operating procedures and basic building documentation.
For current facility requirements, prepare and/or maintain the following documents and information:
· Functional space requirements
° Building functions by space type
° Occupancy schedules (by space type as necessary)
° Cleaning schedules
· Operational space requirements
° Required temperature setpoints for occupied spaces
° Required temperature setpoints for process spaces
° Lighting levels
° Humidity setpoints (if applicable)
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· Building drawings, where available

° As-built drawings
° Tenant drawings
° Mechanical schedule
° Electrical schedule
° Plumbing schedule

For operations and maintenance plans, maintain the following documents and information:
· Systems narrative. This summary of building systems and equipment provides a high-level understanding of
the mechanical, electrical, plumbing, and controls design and status of equipment. Include information about
system-specific setpoints, flows, and capacities. This will help the energy auditor complete the required audit
and also help verify outside airflow rates for EQ Prerequisite Minimum Indoor Air Quality.
· Description of building systems. Include modifications that have been made since the original building
design and describe the current state of systems. Cover all major building systems and associated controls,

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including the following:
° HVAC
° Electrical (power and exterior/interior lighting plumbing

ENERGY EFFICIENCY BEST MANAGEMENT PRACTICES

° Building automation system (BAS)
° Process equipment
° Heating and cooling systems for process equipment
° Supplemental heating and cooling systems
· Building operating plan. This document summarizes the intended operation of each system described in the
systems narrative. The plan must address schedules, the mode of operation, and the desired indoor conditions,
such as temperature and humidity setpoints for each schedule or mode. The plan must account for any
differences in needs or desired conditions for different portions of the project building, as well as any seasonal
variations in operations. Include the following items in the plan. All the monitored space conditions used to
control the base systems, such as the following:
° Building occupancy schedule
° Equipment run-time schedule
° Setpoints for HVAC and lighting
° Unoccupied setpoints
° Vacant-space setpoints
° Minimum outside air requirements
° Temperature requirements
° Humidity requirements
° CO2 level requirements
° Seasonal, day of week, and time of day differences

The time-of-day schedules for each system must address each of the eight day types: Monday through Sunday plus
holidays and must account for seasonal variations, where applicable. The mode of operation must address each
system when it is running (e.g., occupied versus unoccupied, day versus night). For the desired indoor conditions,
note differences in setpoints and schedules for spaces with special operating conditions, including vacant spaces.
· Sequences of operations. Also known as the controls sequences, these are the prescribed processes by which
building systems respond to external conditions (e.g., temperature, humidity) and commands (e.g., on, off,
modulate). These sequences are typically available in buildings with building automation systems and may be
documented in one or more of the following formats:
° Narrative and/or controls drawings created by the original design engineer
° Narrative and/or controls drawings created by the current building controls contractor
° Code contained in the BAS programming
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· Preventive maintenance plan. This is a schedule of preventive maintenance activities for all building systems
and equipment described in the systems narrative. The plan must provide detail regarding the tasks associated
with each activity. It may also list responsible parties and discuss the following:
° Daily, weekly, monthly, quarterly, and annual tasks, based on manufacturers’ specifications, vendor
requirements, industry knowledge, or an automated work order system
° Commonly overlooked systems like tenant lighting, domestic hot water, and building automation systems
° Building systems that are maintained by a third party and the current status of the maintenance contracts

IN-HOUSE VERSUS THIRD-PARTY AUDIT

A Level 1 energy audit is commonly performed by a qualified third-party consultant; however, knowledgeable in-
house staff can also conduct the audit. Determine whether staff have the interest, knowledge, and time to complete
the audit. If an auditor will be used, ask for work samples from similar project types and determine whether his or her
experience meets the goals and intent of the energy audit team. Table 1 lists benefits and drawbacks for
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each approach.
If the analysis will be performed in-house, closely review the ASHRAE Procedures for Commercial Building
Energy Audits to ensure that staff collects the correct data during the building walk-through. The checklists in this
document guide users through the auditing process but do not provide a complete ASHRAE Level 1 analysis report.
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TABLE 1. In-house staff versus third-party auditor

Benefits Drawbacks

In-house • Is aware of age and condition of building equipment • May be distracted from normal duties and responsibilities
staff • Understands operation of building systems • May lack ability to objectively and critically review
• Knows building operational issues system operations

• Is likely less expensive • May not have proper measurement and assessment tools
for required energy and cost analysis
• May lack experience with ASHRAE Level 1 energy audits

Third-party • Should have proven experience with completing ASHRAE • Is likely more expensive than in-house staff
auditor Level 1 energy audits • Will require some in-house staff time for walk-through
• Can objectively and critically review system operations and survey
• May have broader range of experience in reviewing • Does not have experience with project building
system operation and making energy conservation
measure recommendations
• Has proper measurement and assessment tools for
required energy and cost analysis

Regardless of who performs the energy audit, interview building operators before the audit to gain insights that
management staff or owners may not have. The role of the energy auditor is to act as an owner’s advocate and reduce
energy consumption. Engaging with building engineering staff is an important part of meeting these objectives.
Once the audit is complete, discuss the report’s details with the operating staff, particularly if the audit was
conducted by a third party auditor who would not necessarily know the details of the building. Discussing the
audit findings with building operating staff helps ensure that building systems and operations are adequately and
accurately assessed.

ASHRAE LEVEL 1 ENERGY AUDIT AND WALK-THROUGH ASSESSMENT

The ASHRAE Level 1 energy audit involves examining utility records and mechanical, electrical (including lighting),
and plumbing systems to identify opportunities to reduce building energy consumption and operating costs. It also
involves evaluating a building’s energy performance and energy consumption by analyzing building energy bills and
conducting a brief visual survey.
Understanding and visually inspecting the facility by undertaking a walk-through is important to gaining a full
understanding of the property and what operational items need to be addressed. In conjunction with the walk-
through, the team should review facility design, operations, and function (or document these items as part of the
building operating conditions or basis of operation and systems narrative) and take note of the following:
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· Building age
· Building upgrades
· Space usage types and locations
· Age and type of HVAC equipment, electrical, and plumbing systems
· Quantity and size of HVAC equipment, electrical, and plumbing systems
· Nontypical HVAC, electrical, and plumbing systems
· Control or automation system age and functionality
· Differences between the HVAC, electrical, and occupancy schedules
· Location of HVAC equipment, electrical, and plumbing systems

The final outcome of the walk-through is a list of improvement measures to be implemented. Simply by compiling
the basic building information and developing the O&M plans, teams may discover many no- and low-cost
opportunities. These should be included in the improvement opportunities list.

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Although it is not required for prerequisite documentation, this list of potential capital improvements can be
analyzed to estimate potential costs and savings. This step, if applicable, may require the assistance of an energy
engineer or local utility provider (see EA Credit Existing Building Commissioning—Analysis). The referenced
document also provides guidance.

ENERGY EFFICIENCY BEST MANAGEMENT PRACTICES

Completing the audit early in the LEED project schedule is recommended, to allow enough time for
implementing any energy improvements and capturing their energy savings. Ideally, at least 12 months of improved
energy consumption data should be collected to determine the energy savings associated with the improvements.
Take photos during the walk-through to document current conditions and opportunities for upgrades to
mechanical equipment. Including these photos in the audit report may help make the case to building owners and
operators to implement improvements. See EA Credit Existing Building Commissioning—Implementation.
Research opportunities for rebates or incentives to perform energy audits at the project building. Power utilities
often offer rebate programs for companies that improve energy efficiency. However, the reports associated with
these types of audits may not meet the minimum documentation requirements outlined in this prerequisite.
If an ASHRAE Level 1 audit has been conducted within the past five years, there is no need to repeat the
procedure during the performance period. Submit an updated audit report that describes any significant changes
in operating procedures or building systems, as well as any new energy conservation measures observed during the
walk-through.

ENERGY USE ANALYSIS

Energy use analysis, an important step in preparing for the energy audit, will affect the validity of the audit results.
The energy auditor should manage this process and obtain information and details from the audit team.
If the building is eligible for ENERGY STAR, this program’s Portfolio Manager can be used to compare it with
similar buildings. ENERGY STAR scores buildings on an energy efficiency scale of 1 to 100. See EA Prerequisite
Minimum Energy Performance for more information on using the Portfolio Manager tool.
If the project building is not ENERGY STAR eligible because of its space type, use an alternative comparison for
the required assessment. The Commercial Buildings Energy Consumption Survey (CBECS) and Labs21 can be used
where applicable.
Establish target indices related to energy and cost reduction goals with the owner and operating staff. These
goals can be used in conjunction with the recommendations that come from the audit process. The energy use
intensity (EUI) tool of ENERGY STAR’s Portfolio Manager can help teams establish target goals, regardless of the
project building’s ENERGY STAR eligibility.
Determine the approximate breakdown of energy use for major end-use categories. This breakdown must include
all fuel sources. Examples of common end-use categories include heating, cooling, ventilation, lighting, plug loads,
and miscellaneous sources; tailor the list to the project building and its systems.
Use engineering calculations, installed submeters, and spot submetering to determine the breakdown. Teams
can also use CBECS values for a typical breakdown according to space types, if building-specific information cannot
be obtained. The breakdown provides a direction for energy conservation recommendations. EA Credit Existing
Building Commissioning—Analysis requires a more precise breakdown of energy use that may be used to document
compliance with this prerequisite.
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EXAMPLES
Example 1. Example building operating plan

TABLE 2. Sample building operating plan

Typical
Typical for Building Building Conference Computer,
Requirements building Notes
building lobby atrium rooms data rooms
AHUs

Air temperature requirements

for cooling and heating seasons

Humidity

Dehumidification
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Pressure relationship
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Filtration

Ventilation

Outside air

Sound and noise level

Weekly operating hours

(occupied)

Weekend schedule

Holiday schedule

Process and office equipment

status during evening and night
hours

Process and office equipment

status during holiday hours

Process and office equipment

status during scheduled
maintenance shutdowns

Cleaning schedule

Lighting levels

Other: parking garage lighting

Example 2. Sequence of operations

Temperature-Controlled Exhaust Fan

System Description
· Individual constant-volume fan
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· Normally closed, spring return, exhaust air motorized damper

· Electronic actuator with travel switch
· Wall-mount temperature sensor

System Setpoints
· Space temperature set point: 75°F [23.9°C ] (adjustable)
· Alarm generation: 5°F [2.8°C] above setpoint (adjustable)

Sequence of Operation
· Fan start-stop. Fan shall be cycled on and off by BAS to maintain space temperature setpoint.
· Start. Motorized damper shall open when space temperature rises 1°F [0.5°C ] (adjustable) above space
temperature setpoint. Fan shall start when damper travel switch reaches 50% open.
· Stop. Stop fan when space temperature drops 2°F [1.1°C] (adjustable) below setpoint. Close motorized
damper.

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Alarms
· Monitor space temperature and generate alarm when temperature is 5°F [3°C] (adjustable) above setpoint.
· Fan failure alarm shall be generated at operator workstation (OWS) whenever run status of fan does not match

ENERGY EFFICIENCY BEST MANAGEMENT PRACTICES

current command state. Failure alarm shall occur when run status of fan shows no operation and fan has been
commanded to be on.
· Advisory alarm shall occur when run status of fan shows operation and fan has been commanded to be off.
· Each alarm shall be recorded in alarm event log. Each alarm shall require operator acknowledgment at OWS.
Provide time delay (5 seconds, adjustable) before generating alarm.
· Each alarm shall automatically return to normal when status and command conditions match. Return to
normal status shall be recorded in alarm event log. No operator acknowledgment shall be required on return to
normal.

NO-COST AND LOW-COST MEASURES

The ASHRAE Level 1 report must include a list of no-cost and low-cost improvement opportunities. Table 3 is an
example, and the listed costs should not be considered to define low cost for project teams. Project teams and
owners will need to determine their own cost constraints (see Further Explanation, Implementing Identified No-
and Low-Cost Measures).

TABLE 3. Example summary of no- and low-cost measures

Implementation Total annual savings Simply payback

Measure Complete?
cost ($) ($) period (years)

No-cost or low-cost (less than $7,500)

Modify fan controls $2,400 $7,797 0.3 Complete

Add pipe insulation $650 $1,173 0.6 Complete

Install LEDs on all exit signs $2,500 $1,175 2.1 Complete

Chiller maintenance $0 $5,528 0.0 Complete

Pump balancing $0 $1,848 0.0 Complete

Pump maintenance $7,400 $2,503 3.0 Complete

Install light occupancy sensors in

$3,150 $5,649 0.6 Complete
mechanical rooms and lobby

AHU sensor calibration issues $600 $6,174 0.1 Complete

AHU damper, economizer cycle issues $2,800 $3,638 0.8 Complete

Adjust tenant lighting controls $7,200 $10,471 0.7 Complete

Total $26,700 $45,956 0.6  

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RATING SYSTEM VARIATIONS

Data Centers
A preliminary assessment using the web-based DC Pro Profiling Tool is required. Specific to data centers, this tool
helps identify potential energy savings using basic inputs, such as utility bills and system characteristics, and is the
basis for further assessment in EA Credit Existing Building Commissioning—Analysis.

PROJECT TYPE VARIATIONS

District Energy Systems
If all or part of the energy used by the facility comes from a district energy system (DES), ensure that the
documentation adequately addresses applicable building systems. Specifically, all downstream equipment is
included in the scope of this prerequisite. Downstream equipment includes heat exchangers, steam pressure
reduction stations, pumps, valves, pipes, building electrical services, and controls. All upstream equipment is
excluded.
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CAMPUS
Group Approach
All buildings in the group may be documented as one.
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Campus Approach
Ineligible. Each LEED project may pursue the credit individually.

REQUIRED DOCUMENTATION
All projects (except
Documentation Data Centers
Data Centers)

Summary of ASHRAE preliminary energy use analysis X

Summary of results of ASHRAE Level 1 walk-through X

Output from DC Pro Profiling Tool X

Current facility requirements and operations and maintenance plan X

RELATED CREDIT TIPS

EA Credit Existing Building Commissioning—Analysis. The same team may undertake the Level 1 analysis for
this prerequisite and the Level 2 analysis for the related credit simultaneously. The ASHRAE Level 1 report for this
prerequisite may include a list of potential energy conservation measures that could be evaluated in more detail in
the related credit.

EA Credit Existing Building Commissioning—Implementation. Recommendations arising from the ASHRAE

Level 1 audit (for this prerequisite) and either the Level 2 audit or the retrocommissioning process (for EA Credit
Existing Building Commissioning—Analysis) will be implemented under the related credit.

EA Credit Ongoing Commissioning. Teams that pursue the related credit should review the credit requirements
while preparing the documentation for this prerequisite to ensure that all necessary elements are present and the
foundation is set for credit achievement.

EA Prerequisite Minimum Energy Performance. Recommendations from the energy audit can produce savings
that support achievement of the related prerequisite.
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EA Credit Demand Response. Use the Level 1 audit done for this prerequisite as an opportunity to undertake a
parallel evaluation of demand response opportunities. Consider how equipment and controls must be incorporated
into the development of the operations and maintenance plan.

CHANGES FROM LEED 2009

Specific requirements for Data Center projects are now included.

REFERENCED STANDARDS
ASHRAE Procedures for Commercial Building Energy Audits, 2nd edition: ashrae.org

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EXEMPLARY PERFORMANCE

ENERGY EFFICIENCY BEST MANAGEMENT PRACTICES

Not available.

DEFINITIONS
current facilities requirements (CFR) the implementation of the owner’s project requirements, developed to
confirm the owner’s current operational needs and requirements

operations and maintenance (O&M) plan a plan that specifies major system operating parameters and limits,
maintenance procedures and schedules, and documentation methods necessary to demonstrate proper operation
and maintenance of an approved emissions control device or system