ASH RAE Guideline 1.

4-2014

•
roce ures or ar1n
stems

Approved by the ASH RAE Standards Committee on June 28, 2014, and by the ASH RAE Board of Directors on July 2, 2014.

ASHRAE Guidelines are scheduled to be updated on a five-year cycle; the date following the guideline number is the year of
ASHRAE Board of Directors approval. The latest edition of an ASHRAE Guideline may be purchased on 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.

© 2014 ASHRAE ISSN I 049-894X

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 ASHRAE Standing Guideline Project Committee 1.4
Cognizant TC: TC 7.9, Commissioning
SPLS Liaison: Janice C. Peterson
Gerald J. Kettler, Chair* Justin Foster Garner • Jean-Francois Pelletier•
Bradley A. Brooks • Richard D. Hermans Ole Teisen (consultant)
Thomas E. Cappellin • Michael Khaw Shallen Verma •
Charles E. Dorgan• Michael J. King •
Harry J. Enck • Angela M Lewis

*Denotes members of voting status when the document was approved for publication

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. Madera
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. Keen, 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 w riting 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 o f the public in light of available information and
accepted industry practices. However, ASH RAE does not guarantee, certify, or assure the safety or performance o f 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 ADVERTISING 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 1.4-201 4,
Procedures for Preparing Facility Systems Manuals
SECTION PAGE
Foreword ......................................................................................................................................................................................... 2
1 Purpose ................................................................................................................................................................................ 2
2 Scope ................................................................................................................................................................................... 2
3 Definitions ............................................................................................................................................................................. 2
4 Systems Manual Content and Organization ......................................................................................................................... 4
5 Use of the Systems Manual ................................................................................................................................................. 6
6 Predesign- and Planning-Phase Functions .......................................................................................................................... 7
7 Design· and lnvestigation..Phase Functions ......................................................................................................................... 8
8 Construction- and Implementation-Phase Functions............................................................................................................ 9
9 Occupancy- and Operations-Phase Functions ................................................................................................................... 1O
1O Existing Building Functions ................................................................................................................................................. 11
11 Computerization and Interface with Other Programs .......................................................................................................... 12
Informative Annex A-Systems Manual Documentation Flowchart...................... .................................................................... 13
Informative Annex B-Systems Manuals Process Contract Requirements............ .................................................................. 14
Informative Annex C-Roles and Responsibilities.................................................................................................................... 15
Informative Annex D-Systems Manual Executive Summary ................................................................................................. 16
Informative Annex E-Owner's Project Requirements (OPR) and Current Facility Requirements (CFR) ................................ 17
Informative Annex F-Commissioning Plan ............................................................................................................................. 21
Informative Annex G-Basis of Design (BoD) ·························································································································· 23
Informative Annex H-Construction/Project Record Documents Process............ .................................................................... 25
Informative Annex I-Project Documents and Submittal Review Reports............ .................................................................... 26
Informative Annex J-Building and Equipment Specifications ................................................................................................. 29
Informative Annex K-Approved Submittals ............................................................................................................................. 30
Informative Annex L-Manufacturer's Operation and Maintenance (O&M) Data .. ................................................................... 31
Informative Annex M-Warranty Information···························································································································· 32
Informative Annex N-Contractor and Supplier Listing and Contact Information .. ................................................................... 33
Informative Annex 0-Facility Guide········································································································································ 34
Informative Annex P-Facility Operating Plans ........................................................................................................................ 36
Informative Annex Q-Building Operation Schedules and Setpoints ...................... ................................................................. 37
Informative Annex A-Maintenance Plan, Procedures, Checklists, Schedules, and Records················································· 43
Informative Annex S-Ongoing Commissioning and Recordkeeping with the Systems Manual. ............................................. 46
Informative Annex T-Janitorial and Cleaning Plans and Procedures ................. .................................................................... 48
Informative Annex U-Utility Measurement and Reporting, Maintenance and Verification (M&V) Plans ................................. 50
Informative Annex V-Use of Systems Manual in Training ..................................................................................................... 59
Informative Annex W-lssues and Resolution Logs ................................................................................................................. 63
Informative Annex X-Commissioning Process Progress Report and Testing Records and Reports ..................................... 64
Informative Annex Y-lndustry Resources ............................................................................................................................... 66
Informative Annex Z-References ............................................................................................................................................ 67

I
'
NOTE

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

© 2014 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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 (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
A Systerns lvfanual contains inforrnation and docurnentation
on a building 's planning, design, construction, and cornrnis-
sioning, along lvith operational requirernents, rnaintenance
inforrnation, training and testing docurnentation .for the use of
building operations, and rnaintenance and optirnization o_f the
facility over its useful life.
Developing the Systems J\fanual encompasses gathering
if!forrnation fro,n the .facility, planning, design, construction,
testing, comrnissioning, and training activities and adding
operations and maintenance if!for,nation to create a usable
if!forrnation resource. This resource includes .final project
documentation, including 01vner's Project Require,nents
(OPR), Basis o_f Design, the final Corn,n issioning Plan, Com-
rnissioning Progress Reports, sub,nittals, ,nanufacturer instal-
lation ,nanuals, 1naniifacturer Operation and Maintenance
(O&J\1) ,nanuals, syste,n sche,natics, record dra,,vings, check-
lists, inspections, testing results, and training and other rele-
vant 1naterials. This infor,nation is edited and organized to
focus on key syste,ns (roofing, ,valls,fire alarm, chilled 1vate1;
hot 111ate1; etc.) in the .facility. Coordination 1vith O&J\1 per-
sonnel in developing standard for,nats and divisions (shops)
is accornplished to si,nplify_future Syste,ns J\1anual revisions.
It is the intent that the Systems Manual be asse,nbled in
electronic .forn1at to facilitate access and reduce storage
require,nents. The electronicjor,nat also reduces the possibil-
ity o_floss o_fparts or all ofthe information. For Systems Man-
uals assen1bled in hardcopy_format, la,ger docu,nents such as
record dra,vings, spec(fications, sub,nittals, and O&M docu-
1nents can be stored in secure locations, 1vith these locations
referenced in the Systems Manual.
Also included in the Syste,ns Manual is the develop,nent
ofperiodic ,naintenance and if!for,nation for insertion into a
co,nputer ,naintenance 1nanage1nent syste,n, including equip-
1nent ,nake and rnodel, checking require,nents, ,naintenance
require,nents, and troubleshooting ite,ns.
ff the Syste,ns Manual is asse,nbled during a co1n1nis-
sioning process, the Co1n1nissioning Authority (CxA) should
be responsible for evaluating the developrnent of· the Syste,ns
Manual. At other ti,nes, the responsible person or agency lvill
be designated by the Olvner.
The entity responsible .for developing the Systerns A1an-
ual should include all ite,ns involved in the project and cap-
ture the systern and assernb~y data in either an electronic or
printed version. In addition, printed operations, service,
rnaintenance, spare parts lists, and repair rnanuals ,nay be
provided. This entity (Olvner, contractor, design professional,
CxA, other) shall have the skills of design, construction, and
operations required to develop a cohesive Systerns Manual.
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For e.xistingfacilities, the Syste,ns Manual lvill have rnul-
tiple sections, depending on the O,,vner 's Current Facility
Requirernents and the nu111ber o_f syste,ns focused on during
the.facility develop,nent, renovation, or repair process.
The for1nat and content ofthe Syste,ns Manual provided
in this guideline can be effectively used in both neiv construc-
tion and .for an existing building, even (f the building is not
com,nissioned.
Systems Manual Documentation Collection
Requirements
The Syste,ns Manual process captures project require,nents,
design docu,nentation, construction details, evaluation and
testing results, and training progra,ns as the i11;for1nation
beco,nes available. Additionally, the reco1n1nended operating
and rnaintenance procedures and ongoing docu1nentation
require,nents are assen1bled and included. Changes to the
,nanuals are expected as the building rnaintenance ~yste,ns
are developed and changes to the Jysterns occur.
The arrangement o_f the Syste,ns Manual sholvn in Sec-
tion 4 is based on collection o_f docu,nentation during the nor-
1nal construction process. It is also acceptable to arrange the
documentation by syste1n if that is the 01vner's preference.
This systern arrange,nent ,nay require substantial additional
titne and docu,nentation ejfiJrt to rearrange the i11;formation
and should be spec(fied at the titne o_f OPR development.
1. PURPOSE
This guideline provides procedures for producing a Systems
Manual as a resource for training, operations, 1naintenance,
and upgrading of facilities .
·,
2. SCOPE
This guideline applies to information fro1n planning, co1nmis-
sioning, design, construction, testing, and training activities,
and operations planning for new, renovated, and existing
facilities, equipn1ent, and assemblies.
3. DEFINITIONS
acceptance: a formal action, taken by a person \Vith appropri-
ate authority (\vhich may or ,nay not be contractually defined)
to declare that so,ne aspect of the project ,neets defined
require,nents, thus permitting subsequent activities to pro-
ceed.
Bllsis ofDesig11 (BoD): a docu1nent that records the concepts,
calculations, decisions, and product selections used to meet
the Owner's Project Requirements (OPR) and to satisfy appli-
cable regulatory requiren1ents, standards, and guidelines. The
docu1nent includes both narrative descriptions and lists of
individual items that support the design process.
checklists: project- and ele,nent-specific checklists that are
developed and used during all phases of the Co,nmissioning
Process to verify that the OPR is being achieved. Checklists
are used for general evaluation, testing, training, and other
design and construction require,nents.
co111111issio11i11g (Cx): see Co,nrnissioning Process.
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 Con1111issio11i11g Authority (CxA): an entity identified by the
Owner v,,ho leads, plans, schedules, and coordinates the co1n-
1nissioning team to i1nple1nent the Co1n1nissioning Process.
Co111111issio11.ing Pl,111 (Cx Plan): a docu,nent that outlines the
organization, schedule, allocation of resources, and docwnen-
tation require1nents of the Com1nissioning Process.
Con1111issio11i11g Process (Cx Process): a quality-focused pro-
cess for enhancing the delivery of a project. The process
focuses on verifying and docu,nenting that all of the co1nmis-
sioned systems and assemblies are planned, designed,
installed, tested, operated, and 1naintained to 1neet the OPR or
Cw-rent Facility Requiretnents (CFR).
Con1111issio11.b1g Process Activilies (Cx Process Activities):
co1nponents of the Co1nmissioning Process.
Con1111issio11i11g Process Progress Report (Cx Process Prog-
ress Report): a \.vritten doctunent that details activities com-
pleted as part of the Co1nmissioning Process and significant
findings fro1n those activities and is continuously updated
during the course of a project.
Con1111issio11i11g Tea,n (Cx Tea,n): the individuals and agen-
cies ,vho, through coordinated actions, are responsible for
implementing the Co1nmissioning Process.
co111111issio11i11g testing: the evaluation and docu1nentation of
the equiptnent and assemblies, delivery and condition, instal-
lation, proper function according to the manufacturer's speci-
fications, and project documentation to 1neet the criteria in the
O,vner's Project Requirements.
co11str11ctio11 checklist: a fonn used by the comtnissioning
team to verify that appropriate 1naterials and components are
on-site, ready for installation, correctly installed, functional,
and in con1pliance with the OPR. See also, checklists.
co11str11ctio11 docu111e11ts: includes a wide range of docu-
ments, which \.viii vary frotn project to project and with the
O,vner's needs and regulations, laws, and jurisdictional
requirements. Construction documents usually include the
project 1nanual (specifications), plans (drawings), and general
terms and conditions of the contract.
contract doc11111e11ts: a wide range of documents, which will
vary from project to project and with the Owner's needs, reg-
ulations, laws, and jurisdictional requiretnents. Contract doc-
tunents frequently include price agree,nents, construction
management process, subcontractor agreernents or require-
ments, requirements and procedures for submittals, changes,
and other construction require1nents, ti1neline for co1npletion,
and the construction docu1nents.
coordi11atio11 drawi11gs: drawings showing the work of all
trades to illustrate that equipment can be installed in the space
allocated ,vithout compro1nising equip1nent function or
access for 111aintenance and replace1nent. These dra,vings
graphically illustrate and di1nension 1nanufacturers' recotn-
mended maintenance clearances.
Current Facility Req11iren1e11ts (CFR): a written docun1ent
that details the current functional requirements of an existing
facility and the expectations of how it should be used and
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operated. This includes goals, 1neasurable perfonnance crite-
ria, cost considerations, bench1narks, success criteria, and
supporting information to rneet the requirernents of occu-
pants, users, and owners of the facility.
design checklist: a fonn developed by the Cornrnissioning
Team to verify that elements of the design are in compliance
with the Owner's Project Requirements (OPR). See also,
checklists.
design review
desig11 revieJv, code or regullltory: a revie,v of a docu-
1nent conducted by staff or designated entity of an
Authority Having Jurisdiction (AHJ) to determine
whether the content of the document complies with regu-
lations, codes, or other standards administered by the
jurisdiction.
design revieH', co111missio11i11g: a review of the design
docu1nents to detennine co1npliance with the Owner's
Project Requirements (OPR), including coordination
between syste1ns and assernblies being co,nmissioned,
features and access for testing, com1nissioning and main-
tenance, and other revie,vs required by the OPR and
Co1n1nissioning Plan.
design revie•v, constructability: the review of effective
and tirnely integration of constn1ction kno\.vledge into the
conceptual planning, design, constntction, and field oper-
ation of a project to achieve project objectives efficiently
and accurately and at the 111ost cost-effective levels to
reduce or prevent errors, delays, and cost overruns.
design revie•v, peer: an independent and objective tech-
nical review of the design of the project or a part thereof,
conducted at specified stages of design cornpletion by
one or more qualified professionals for the purpose of
enhancing the quality of the design.
evlli1tlltio11: the process by which specific docu1nents, con1po-
nents, equiptnent, assetnblies, syste1ns, and interfaces a1nong
systems and their perfonnance are confirmed with respect to
the criteria required in the Owner's Project Requirernents
(OPR).
existing buildi11g Co111111.issio11i11g Process (existing building
Cx Proces!.): a quality-focused process for attaining the Cur-
rent Facility Requiren1ents (CFR) of an existing facility and
its syste1ns and assetnblies being co1n1nissioned. The process
focuses on planning, investigating, irnplernenting, verifying,
and documenting that the facility and/or its syste1ns and
assemblies are operated and 1naintained to meet the CFR,
with a program to 111aintain the enhancen1ents for the remain-
ing life of the facility.
facility guide: a basic building syste1n 's description and oper-
ating plan with general procedures and confirmed facility
operating conditions, setpoints, schedules, and operating pro-
cedures for use by facility operations to properly operate the
facility.
ji.11lll Co111n1issio11ing Report {finlll Cx Repo,1): a document
that records the activities and results of the Co1n1nissioning
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 Process and is developed from the final Com1nissioning Plan
with all of its attached appendices.
issues and resolution log: a formal and ongoing record of
proble1ns or concerns and their resolutions that have been
raised by n1en1bers of the Com1nissioning Tea1n during the
course of the Co1n1nissioning Process.
011goi11.g Co111111.issio11i11g Process (OCx Process): a continu-
ation of the Con1n1issioning Process well into occupancy and
operations to continually i1n prove the operation and perfor-
1nance of a faci lity to meet current and evolving CFR or OPR.
OCx Process activities occur throughout the life of the faci lity;
some of these will be close to continuous i1nplementation and
others will be either scheduled or unscheduled as needed.
Opera.tiou and Mai11ten,u1ce (O&M) Manual: the doctunen-
tation, usually in generic form, that the manufacturers provide
to install, operate, and/or 111aintain a specific piece of equip-
1nent or specific assembly.
Owner's Project Require111e11ts (OPR): a \.Vritten docrnnent
that detaiIs the requirements of a project and the expectations of
how it will be used and operated. This includes project goals,
111easurable perfonnance criteria, cost considerations,
benchrnarks, success criteria, and supporting information.
(The tenn prqject intent or design intent is used by some
Owners for their Cornmissioning Process OPR.)
p erfor111ance test (P1): the process used to verify that a 1nate-
rial, product, assernbly, or syste1n meets defined performance
criteria. The methods and conditions under which perfor-
1nance is verified are described in one or 111ore test protocols.
reco111111issio11i11g: an application of the Comtnissioning Pro-
cess requirements to a project that has been delivered using the
Com1nissioning Process. (See existing building Co1111nission-
ing Process.)
retroco111111issioni11g: the Comtn issioning Process applied to
an existing fac ility that was not previously commissioned.
(See e.xisting building Co1111nissioning Process.)
Syste111s Manual: a system-focused co,nposite doctunent that
includes the design and construction docrnnentation, facil ity
guide and operation manual, 111aintenance infonnation, training
information, Com1nissioning Process records, and additional
infonnation of use to the Ov;ner during occupancy and opera-
tions.
test procedure: a ,vritten protocol that defines 111ethods, person-
nel, and expectations for tests conducted on components,
equipment, assemblies, syste,ns, and interfaces among sys-
te,ns to verify cornpliance with the Owner's Project Require-
n1ents (OPR).
training plan: a written docu111ent that details the expecta-
tions, schedule, duration, and deliverables of Com,nissioning
Process activities related to training of project operating and
111aintenance personnel, users, and occupants.
4. SYSTEMS MANUAL CONTENT AND
ORGANIZATION
4.1 Introduction. The Systen1s Manual contains information
on the Owner's initial and current facility and project require-
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111ents, and docun1entation of building design and construc-
tion, along with testing and training docrnnentation,
operational requirements, and maintenance infonnation for
the use of building occupants, operators, and maintenance
staff, and for optimization of the facility perfonnance over its
useful life.
The fonnat and content of the Syste,ns Manual provided
in this guideline can be effectively used in both new construc-
tion and for asse1nbling a Systen1s Manual for an existing
building, even if the building is not con1n1issioned.
4.2 Systems Manual Content Preparation. The Syste111s
Manual is intended to
a. provide necessary infonnation to the facility occupants
and operating staff, and the 111aintenance function to
understand the design and construction of the facility
(new or existing) and how to operate and ,naintain the
building;
b. asse111ble the facility planning, design, constn1ction, and
testing results for building syste,ns in one set of docu-
1nents and provide the fonnat for the updating of this
information;
c. provide a docun1entation source to be used in training
111aterials ·, and
d. provide docu1nentation for building perfonnance
improve1nent and ongoing com1nissioning.
4.3 Systems Manual Documentation Organization
4.3. 1 The Syste,ns Manual process captures project
requirements, design and construction documentation, evalu-
ation and testing results, and training programs as the infor-
1nation bec.0111es available. Additionally, the reco111111ended
operating and ,naintenance procedures and ongoing docu-
mentation requirements are assembled and included. Changes
to the manuals are expected as the building maintenance sys-
tems are developed and changes to the systen1s occur.
4.3.2 The Syste,ns Manual should be organized as follows.
The six major docrnnentation assembly subjects are labeled
as "Parts" of the Systems Manual in this guideline. These
headings may also be called sections, chapters, divisions or
another tenn that is cotnpatible with the project docu111enta-
tion requirements.
Part 1. Executive Summary
Part 2. Facility Design and Construction
2. 1 Owner's Project Require111ents
2.2 Basis of Design R.equire1nent
2.3 Facility/Project Design and Record Docu1nents
(or directions to their location)
Part 3. Building, Systems, and Assemblies
Information
3.1 Facility and Equip,nent Specifications
3.2 Approved Submittals
3.3 Coordination Dra,vings
3.4 Manufacturer's Operation and Maintenance
(O&M) Data
3.5 Warranties
3.6 Contractor/Supplier Listing and
Contact lnfonnation
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 Part 4. Facility Operations
4.1 Facility Guide (including Operating Plan; Facil-
ity and Equip,n ent Operating Schedules; Set-
points, Ranges, and Limitations; Systems
Operation Control Sequences of Operation; and
E,nergency Procedures)
4.2 Maintenance Plans, Procedures, Checklists, and
Records
4.3 Maintenance Schedules
4.4 Ongoing Con11nissioning Operational and
Maintenance Record Keeping
4.5 Janitorial and Cleaning Plans and Procedures
4.6 Utility Measure1nent and Reporting
Part 5. Training
5.1 Training Plans and Materials
5.2 Training Records
5.3 Syste1n Manual Maintenance and Documenta-
tion, including Operator's Ongoing Documenta-
tion of Modifications and Adjust1n ents to the
Facility Systems and Asse,n blies
Part 6. Commissioning (Cx) Process Report
6.1 Executive Stunmary
6.2 Cx Plan(s)
6.3 Cx Design and Sub,nittal Review Reports
6.4 Testing and Start-Up Reports, Permits, Inspec-
tions, Evaluation Checklists, and Testing
Checklists Co1npleted for Co1n1nissioned Sys-
te1ns and Asse1nblies
6.5 Cx Process Progress Reports
6.6 Issues and Resolution Logs
6.7 Ite1n Resolution Plan for Open Items
4.4 Sources and Content of the Documents
in the Systems Manual
Part 1. Executive Summary
The executive sum1na1y contains an overview of
the building design, construction, and opera-
tional requirements. The inforn1ation is intended
to provide general guidance on the intended
operation, perfonnance, and 111aintenance of the
building in confonnance to the Owner's Project
R.equire111ents and/or Current Facility Require-
111ents (CFR).
Part 2. Facility Design and Construction
2.1 Otvner 's Project Require,nents (OPR)/ Current
Facility Require,nents (CFR): Insert final copy
of OPR/CFR developed and revised during the
project and Cx Process. This provides the opera-
tions and 111.aintenance (O&M) staff, as well as
future o,vners, the inforn1ation on the original
intent for the design and use of the facility.
2.2 Basis o_f Design (BoD): Insert final copy of BoD
document and any other design information
developed during the project and Cx Process.
This provides the O&M staff, as well as future
owners, the infonnation on the design of the
faci lity.
2.3 Construction/Project Record Docu,nents: Insert
final progra111 and design docu111ents, and insert
Provided by IHS~~~m!#Ml-U.e I .
.A14~1W1ifing
Ame~can Sociely_..o)..);le?tina.,.B~ger<11.i.rJ:9 and
:u
Engineers, Inc.
No rep1oduciion or networking permitted wilhout license from IH S
or describe locations of record drawings and
documents. Digitized Systen1s Manuals can also
contain copies of the record documents and 111in-
imize the loss of these doctunents.
Part 3. Facility, Systems, and Assemblies
Information
3.1 Specifications: Insert final copy of facility and
equip1nent design specifications.
3.2 Approved Sub,nittals: Insert final copy of spe-
cific approved sub1nittals by specification sec-
tion sequence, including a copy of final
approved and comn1issioned sequences of oper-
ation for equip111ent and syste111s, along with
limitations to operation.
3.3 Coordination Dralvings: Insert a copy, or desig-
nate the location of, the system installation
coordination dra,vings and related information.
3.4 Manufacturer's Operation and Maintenance
Data: Insert manufacturer provided installation
and O&M 111anuals that have been verified and
localized to the installed building syste111 or
equip1nent by specification section sequence.
3.5 Warranties: Insert syste111 and equip111ent warran-
ties arranged by specification section sequence.
3.6 Contractor/Supplier listing and Contact lnfor-
1nation: Insert a listing of all contractors and
,najor suppliers, including address, phone, and
e-mail to facilitate repairs and replacements.
Insert the design tea111 111e111bers listing along
with contact infonnation to facilitate informa-
tion transfer on original designs and mainte-
nance and optimization.
Part 4. Facility Operations
4.1 Facility Guide (Operating Plan, Building and
Equip,nent Operating Schedules, Setpoints and
Ranges, Sequences of· Operation, Li,nitations,
and Ernergency Procedures Actions)
• Insert a copy of the completed facility operating
plan v,rith explanations of the intended use and
operation of the faci Iity.
• Inse1t a copy of the final co1nmissioned sequences
of operation for all operating equip1nent.
• Insert a copy of final co1n1nissioned setpoints of
all equip,nent with operational adjustments.
Include the setpoint nonnal intended ranges and
Iin1itations.
• Insert a copy of routine 111aintenance require-
111ents.
• Insert a copy of e111ergency procedures and loca-
tions of applicable controls.
4.2 Maintenance Procedures, Checklists, and
Records: Insert procedures, fonns, and check-
lists for facility operation and 1naintenance.
Include updating require1nents. Describe inspec-
tions and testing required on a routine basis and
standard fonns required.
+4 . . . ........ .. . .• . ... . ..
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5
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 4.3 Maintenance Schedules: Include recon11nended
1naintenance schedules for syste1ns and equip-
1nent along ,vith update require1nents.
4.4 Ongoing Cx Operational and Maintenance
Record Keeping: Include ongoing Cx and opti-
1nization procedures and documentation to
1nonitor and in1prove the performance of facility
syste1ns.
4.5 Janitorial and Cleaning Plans and Procedures:
Insert a copy of facility cleaning and janitorial
plan with procedures and intended che1nicals
and equip1nent.
4.6 Utility A1easure,nent and Reporting
• Include description of utility mete ring and mon-
itoring syste1ns.
• Provide docutnent fonnats and procedures for
tracking utility use and reporting this infonna-
.'' tion to 1neet Owner's and jurisdictional require-
ments.
• Include a copy of the facility 1neasurement and
verification (M&V) plan if available.
' •
Part 5. Training
5.1 Training Plans and Materials
• Include instructions and procedures for the use
of appropriate sections of the Syste1ns Manual
for training of building O&M personnel and
occupants.
• Insert copy of training plans used for each type
of equip1nent along with session syllabus used.
• lnse1i training 1naterials used, arranged in speci-
fication seque nce. Describe location or sources
of available additional training.
5.2 Training Records: Insert records of training,
schedules, s ign-in sheets, etc. Include copy of
training docwnentation and training recordings
on the operation of the systetns and equipment
along with appropriate trouble shooting instn1c-
tion.
5.3 Training/or Ongoing Syste,n Manual Updating
• Include training and documentation on the updat-
ing and continued use of the Systems Manual.
• Insert copy and updates of operator's ongoing
docu1nentation of 1nodifications and adjust-
1nents to the facility systen1s and assemblies.
These docu1nents are updated as changes are
1nade to keep the Systems Manual current and
relevant.
Part 6. Commissioning (Cx) Process Progress Report
6.1 Executive Surn1na1y
6.2 Cx Plan(s): Insert the final Cx plan and com-
pleted Cx report with evaluation and testing
forms and records for each building and syste1n.
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6.3 Cx Design and Sub,nittal Revietv Reports:
Insert a copy of the Cx design and submittal
review reports.
6.4 Testing Reports, Per,nits, Inspections
• Insert co1npleted Cx Process Progress R.eport
with documents and verification and testing
forms and records for each building and system
and asse1nbly included in the Cx Process. This
creates a record of all required testing contained
in the com1n issioning sections of the project
contract documents and perfonned during the
project.
• Insert manufacturers', testing agencies', and
contractors' reports.
• Insert ins tallers' and Cx authorities' completed
checklists. This provides a record of ins tallation
checks and observations for future reference.
• Insert installers' and Cx authorities' completed
performance checklists of assemblies, equip-
1nent, and integrated systems. This provides a
record of performance checks and observations
for future reference.
Insert relevant co1n1nissioned syste1n and
asse1nblies test reports.
6.5 Cx Progress Reports: Insert a copy of all Cx
Progress Repo1is
6.6 Issue and Resolution Logs: Insert a copy of all
issue and resolution logs ,vith resolution or sta-
tus of each item. This provides a record of prob-
lems and issues found and resolved during the
design and construction process for future refer-
ence.
6.7 Ite,n Resolution and Open Ite,ns: Insert a list of
any open ite1ns and seasonal or additional test-
ing required.
5. UTILIZATION OF THE SYSTEMS MANUAL
5.l Introduction. The Systems Manual is the concise collec-
tion of design, construction, testing, and operations inforn1a-
tion, including updates and 111odifications to systems and
assemblies as they occur during construction, renovation, and
operation. For con1missioned projects, the Co1nmissioning
(Cx) Tea1n shall be responsible for updating the Syste1ns
Manual during the Cx Process, including design construction
and operation as required in the Owner's Project Require-
111ents (OPR)/Current Facility Requiren1ents (CFR), Cx Plan,
and contract docu1nents. For existing building projects that do
not involve com1nissioning, the building operating and main-
tenance functions (staff or contractors) are responsible for
developing, utilizing, and updating the Systems Manual.
5.2 The information contained in the Syste1ns Manual is
given by the project and Cx tea1ns to provide essential infor-
1nation needed by the operation and maintenance (O&M)
staff to understand, operate, and maintain the building's sys-
te1ns and asse1nblies, opti1nally operate the building, and pro-
vide a system for docu1nenting modifications. While the
amount of documentation in the Systems Manual is extens ive,
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 1nost of it is available from the non11al planning, design, con-
struction, and Cx processes. Collecting this information as it
becomes available greatly facilitates the assen1bly of the Sys-
tems Manual.
5.3 The necessary sections of the Systerns Manual are used
in the initial and subsequent training of the O&tvl staff and
occupants.
5.4 The O&M staff uses the Syste1ns Manual to docu1nent
1nodifications they i1nple1nent and the reasoning behind the
1nodifications and i1nprovements. It is also an asse,nbly of
needed infonnation for 1nodifications required to 1neet CFR
that will guide 1nodifications, updated Basis of Design (BoD)
infonnation, and changes to equip1nent and assemblies being
1nodified or replaced.
5.5 The Syste1ns Manual is the assembly of institutional
knowledge that records needed infonnation for present opera-
tion and future modifications. It is also the history of modifi-
cations by all ,vho contribute to the modifications that happen
over the life of a building.
5.6 The infonnation on the building systems as described in
this guideline assu1nes that it is gathered and assernbled as it
becornes available during a constn1ction or renovation proj-
ect. This infonnation may be arranged by building systern
when that is a require,nent of the Owner for the project. This
decision should be rnade at the ti1ne of OPR development.
The systern arrangement ,nay take longer to accomplish since
large amounts of data need to be rearranged and new fonnats
developed. Time should be included for these efforts where
required.
5.7 Production of the Systen1s Manual will depend on the
directives in the OPR, the process of how the project is
planned, designed and built, how it is to be operated, and the
organization and application of the n1aintenance program.
The responsibilities for all of the parts and documents in the
Syste1ns Manual should be carefully considered and specific
assign1nents included in the project plans, contracts, and
specifications.
5.8 This guideline is supplemental to the Cx Process detailed
in AN SI/ASHRAE Standard 202-2013 and ASHRAE Guide-
line 0-2013 and should be used in conjunction with those and
other applicable docu1nents.
5.9 Sections 6 through 11 of this guideline provide guidance on
the actions necessary to assernble, produce, utilize, and update
the information in the Systerns Manual at each stage of the proj-
ect. The annexes provide exa,nples of documentation and for-
1nats that can be used in developing the Systems Manual.
5.10 To ensure co1npliance ,vith the OPR, a con1pliance and
approval process should exist for each stage of the develop-
1nent and revision of the Systems Manual. The O,vner is ulti-
1nately responsible for the decisions and approvals on the
for111ats, arrange1nents, and asse1nbly responsibilities.
6. PREDESIGN- AND PLANNING-PHASE
FUNCTIONS
6.1 Introduction. During the new project Predesign Phase or
existing facility co1111nissioning (Cx) Planning Phase, the
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O,vner defines the Systems Manual forn1ats, interface
requirements, and responsibilities. This should include devel-
op1nent, assembly, and 1naintenance budgets for the Syste1ns
:tvfanual for the building and includes those requiren1ents dur-
ing the develop1nent of the Owner's Project Requirements
(OPR) or Current Facility Require1nents (CPR). This section
outlines the functions and activities required during this phase
of the project to produce an acceptable Systems Manual.
6.2 Predesign- and Planning-Phase Ob_jectives. During
this phase of Systems Manual development, objectives
include the follo\.ving.
6.2.l Develop and list the require1nents for a concise col-
lection of infonnation essential for the building operators to
understand, operate, and 1naintain the syste1ns and asse111-
blies.
6.2.2 Develop docun1ent requirements to inform those not
involved in the design and construction process about the
O,vner's objectives and criteria that defined building attri-
butes required to support the various Owner-envisioned activ-
ities the building was designed to support.
6.2.3 Include the Systerns Manual criteria in the current
facility OPR/CFR to l,'11ide building operation and cornrnuni-
cate requirernents for future modifications.
6.2.4 Develop and list the requirements for operation and
n1aintenance (0&:tvf) staff for docun1enting and tracking
infonnation on updates and modifications to syste1ns and
assemblies as they occur during the Occupancy and Opera-
tions Phase and the reasoning for the 111odifications to the
building's operation.
6.2.5 Develop requirements, designate responsibilities, and
provide contracts for the production and gathering of the Sys-
tems Manual documentation and for additional information to
be gathered during the project and Cx Process, including
techniques for opti1nization and a syste1ns-based organization
of information.
6.3 System Manual Structure Requirements. Dw·ing the
Predesign or Planning Phase, the Owner should establish the
structure, fonnat, and expected source of doctunents that
rneets their project or organizational require1nents.
6.3.l Establish the format and organization of the Syste1ns
Manual as shown in Section 4.3.
6.3.2 Establish fonnat for doctunents included in the Sys-
terns Manual. This should occur dw·ing the Predesign or Plan-
ning Phase so the design and construction tearns can sta1i at
the beginning of the project with doctunent collection and
assernbly. These documents should be collected in electronic
fonnat and stored in a cornputerized storage tmit until the
time for final assernbly and distribution. This procedure faci 1-
itates the collection and frequent changes to the docurnents
before the Syste1ns Manual is issued.
6.3.3 Establish the procedures, fonnat, and docu1nent col-
lection syste1ns require1nents as initially set in the OPR or
CFR. The Syste1ns Manual contents outlined in Section 4 can
be used as the list and arrange1nent of doctunents or 1nodified
to 1neet the Owner's needs for a specific project or existing
doc111nentation syste111.
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 6.3.4 Additional format and content infonnation for the
individual docun1ents in the Systems Manual are sho,vn in the
annexes to this guideline.
6.4 Roles and Responsibilities for Systems Manual Initial
Documentation
6.4.1 The roles and responsibilities for each co,nponent of
the Syste,ns Manual as well as the entity that will coordinate
and assemble the initial project Syste1ns Manual are defined
during the develop,nent of the OPR or CFR under the direc-
tion of the O,vner. These responsibilities should be defined in
project require,nents, specifications, and contract require-
ments. The co1nponents that compose the Syste,ns Manual as
sho,vn in Sections 4.3 and 4.4 are to be included in the project
Syste,ns Manual and should be designated to be pe1fonned by
specific entities. See Informative Annex C of this guideline
for additional roles and responsibilities infonnation.
6.5 Predesign- or Planning-Phase Systems Manual Con-
tent Requirements. The 0,vner documents in the OPR or
CFR and by contract the responsibilities and deliverables of
each tea,n me,nber in providing the content, documentation,
asse,nbly, training, utilization, and updating of the Syste,ns
Maiiual. At this ti,ne, the use of an electronic or hard-copy
fonnat or a specific ,nixture of both should be determined.
Ovrner activities include the follo,ving.
6:?.1 At the initiation of a project, the O,vner is responsible
for detennining project-specific requirements. Systems Man-
ual ,content must support the project-specific operation and
,naintenance. Based on project requirements, these require-
1nents could include the following .
6.5.1.1 Docun1entation in accordance with Section 4 of
this guideline and specification of who is responsible for the
contents developn1ent and assembly.
6.5.1.2 If the Syste,ns Manual is electronic based, ,vhat
syste1ns or soft\vare will be utilized? What are the co1npatibil-
ity requiretnents for porting of infonnation? What are the
operating systen1 require,nents? What interactive fonnat is
needed for quickly finding a topic or a specific type of infor-
1nation? Where will the Syste1ns Manual reside- the owner's
IT infrastructure or ,vith an outside service?
6.5.1.3 If the Syste,ns Manual is paper based, where will
the docu,nents be stored, and for larger projects ,vhat shall be
contained in each volwne to facilitate access?
6.5.1.4 The fonn of infonnation desired and if graphic
system diagra,ns of each system are required.
6.5.l .5 The level of information operators and 1nainte-
nance personnel will need and the access levels for infonna-
tion that assists the Owner's personnel in identifying whether
there is a problem and ,vhat service contractor should be con-
tacted, or very detailed information for complex repair.
6.5.1.6 General and detailed emergency procedures based
on kno,vledge and skill level of first responders.
6.5.1.7 The level ofinfonnation needed by O&M person-
nel to efficiently 1naintain and i1nprove the project's perfor-
1nance in such areas as 1nanaging occupant satisfaction,
1nini1nizing scheduled 1naintenance require1nents, determin-
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ing if there is a proble1n, providing detailed repair informa-
tion, and detern1ine cause of a problen1.
6.5.1.8 The process for collecting and storing infonnation
in the Syste,ns Manual that is essential for the building opera-
tors to understand, operate, and ,naintain the syste1ns and
assemblies and to infonn those not involved in the planning,
design, and implementation and construction process about
the Owner's objectives and criteria that defined building attri-
butes required to support the various Owner-envisioned activ-
ities the building was designed to support.
6.5.1.9 The process for documenting and ,naintaining a
current version of the Syste,ns Manual for a facility or new
project and updating the Owner defined requirements (CFR/
QPR.) to guide operation and co,nmunicate requirements for
future modifications needed to support changes in Owner-
envisioned activities and occupants' ,nission for the life of the
building.
6.5.1.10 Defining operation and n1aintenance procedures
for staff or contractor that docu1nents and tracks updates and
1nodifications to syste1ns and asse1nblies as they occur during
the Occupancy and Operations Phase and the reasoning for
the 111odifications to the building's operation.
6.5.1.11 Process for docu1nentation of additional infor-
mation gathered during the project.
6.5.l.1 l .l Contract docun1ents, sub1nittals, shop dra,v-
ings, requests for infonnation (RFI), architect's supple1nental
instructions (ASI), coordination drawings, operation and
1naintenance manuals, warranty requirements.
6.5.1.11.2 Maintenance procedures for installed sys-
te,ns and assemblies not included in the O&M ,nanuals
needed to operate and ,naintain the facility and its petfor-
mance.
6.5.l.11.3 Recom1nissioning process, including tech-
niques for optimization and a systems-based organization of
infonnation.
6.6 Budgets. The Owner should include sufficient project
funding and operational budgeting in the project and building
operations budgets to develop, i1nple1nent, and 111aintain the
Syste,ns Manual.
6.7 Planning- and Predesign-Phase Systems Manual
Evaluation and Acceptance Criteria
6. 7 .1 The Systen1s Manual fonnat, contents, and applica-
tion, if available at this phase, should be revie,ved by the CxA,
if comn1issioning is included in the project, and building
O&M staff. The OPR or CFR should include these require-
n1ents.
6.7.2 The Systems Manual should be reviewed and
approved by the Owner at the time of initial completion and
periodically during the life of the building.
7. DESIGN- AND INVESTIGATION-PHASE
FUNCTIONS
7.1 Introduction. DLu-ing the Design Phase for new projects
or the Investigation Phase of existing buildings, the Systen1s
Manual require,nents are inserted and detailed in the project
require,nents, docu,nentation, and contracts. This infonnation
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 provides the Cx Team, contractors, operators and 1nainte-
nance personnel specific instruction in the assembly and use
of the Systems Manual.
7.2 Design-Phase Systems-Manual Preparation Objectives.
The Design Phase and Investigation and Design Phase objec-
tives include the conversion of the Systems Manual require-
ments into contract requirements. This will instruct the
contractors, suppliers, and building operators, as well as the
design and Cx teams, on their responsibilities to produce the
Syste1ns Manual.
7.3 Design-Phase Systems Manual Documentation Require-
ments for S pecific Building or Pro,ject
7.3.1 During the Design Phase, the Owner's requirements
are converted to specific project docu1nent require1nents. The
responsibility to produce the document deliverables is
inserted in project plans and specifications. See Informative
Annexes C and J of this guideline for added roles and respon-
sibilities and specification infonnation.
7.3.2 The schedules to provide the individual documents
and the finished Systems Manual are included in the project
docu1nents during this phase.
7.3.3 The design and Cx tea1ns will define systetn descrip-
tion and docutnentation requiretnents for all syste1n s as
required in Owner's Project Requiretnents (OPR)/Current
Facility Require1nents (CFR). Syste1ns requi ring comtnis-
sioning will be designated and instructions will be included
for all applicable syste1ns.
7.3.4 The Syste1ns Manual formats and updating require-
tnents should be specifically defined in the contract docu-
tnents, specifications, and constn1ction plans.
7.3.S The Systems Manual's use in training requiren1ents is
defined and n1ade a require1nent for project completion in
specifications and contract documents.
7.3.6 Requirements are defined for the collection of check-
lists and other Syste1ns Manual docu1nents, including plan-
ning and design documents, record docun1ents, approved
submittals, evaluation, and performance testing records by the
contractor and Cx Team.
7.3.7 The inclusion of a facility guide and 1naintenance
checklists for equipment and syste1ns for building operation
should be defined and required.
7.4 Design-Phase Systems Manual Evaluation and Accep-
tance Criteria
7.4.1 The Systen1s Manual format and application in the
project documents should be revie,ved by the Commissioning
Authority (CxA) on com1nissioned projects.
7.4.2 The Syste1ns Manual requirements in the projects
should be reviewed and approved by the Owner.
8. CONSTRUCTION- AND IMPLEMENTATION-PHASE
FUNCTIONS
8.1 Introduction. During the Construction Phase of a new
building and the linple1nentation Phase of an existing build-
ing, the Syste1ns Manual require1nents are updated and i1nple-
1nented to provide the docu1n ents and asse1nble the1n for use
in training and operation and 1naintenance (O&M) functions.
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No rep1oduciion or networking permitted wilhout license from IHS
8.2 Construction-Phase Systems Manual Preparation
Objectives
8.2.l Implement the documentation process and provide
necessary coordination to produce and use the Syste,ns Man-
ual.
8.2.2 Determine Procedures, Responsibilities, and
Schedules for Documentation Production and Collection
8.2.3 Ensure that the contractor is required to include per-
formance and docun1entation require1nents for Systems Man-
ual document develop1nent and collection and Syste1ns
Jvfanual assembly in subcontracts as required for the desig-
nated systems.
8.2.4 Ensure that the necessary sections and documents of
the Systems Manual should be available and those documents
used in the training process and building operations.
8.3 Construction and Implementation Phase Systems
Manual Documentation Requirements
8.3.1 Coordinate O,vner's Systems Manual Require-
ments. The contractor and the project and Co1nmissioning
(Cx) tea1ns work together to produce and capture the neces-
sary documents for the Systen1s Manual.
8.3.2 Update O"•ner's Facility Project Requirements. If
proposed changes to the facility are at variance with the
o,vner's Project Requirements (OPR) and C11rrent Facility
Requirements (CFR) and are approved by the design profes-
sionals and Owner, then the OPR/CFR and Basis of Design
(BoD) must be revised and approved. This provides for con-
tinuous updating of the OPR/CFR and BoD to reflect the con-
structed project and facility.
8.3.3 Conduct Preconstruction Systems Manual and Cx
Process Meeting. Special issues relative to installation of
equiptnent located in litnited access areas (such as equiptnent
to be installed in lower levels of a building) should be docu-
mented and recorded for future 1naintenance activities.
8.3.4 Coordination Dra\\'ings. Coordination dra,vings
should be retained and inserted in the Syste1ns Manual to ver-
ify that the following require1nents have been met and con-
struction infonnation is transferred to the operation staff:
a. Mechanical and electrical equipment spaces sho,\1ing
structural elements, equip1nent, piping, ductwork, and
conduit
b. Ceiling space coordination drawings showing a consistent
layering for structural eletnents, ceiling grid, access doors
and panels, fire and s1noke da1npers, lighting, piping, duc-
t\vork, conduit, and control elements
c. Vertical shaft coordination drav.,ings for piping and duct-
work showing structural eletnents, equip1nent, piping,
ductwork, and conduit
d. Specified clearances are shown for n1aintenance and oper-
ation procedures appropriate to the accepted n1ake and
1nodel of equip1nent
e. Coordination dra,vings detnonstrate adequate space for
1naintenance access and installation and identify spaces
reserved for maintenance and operational procedures
8.3.5 Equipment Submittals. Equip1nent and co,nponent
vendor sub1nittals shall be obtained for use by the Co1n1nis-
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 sioning Authority (CxA) and project tea,n. This inforn1ation,
when confirmed and approved, shall be used in developing the
construction checklists and test procedures. These approved
submittals are to be included in the Syste1ns Manual.
8.3.5. 1 Subtnittal of the control sequence of operation
should be presented in the fonn of a written description and a
control logic diagra,n or other approved format. This allows
the building O&M staff to understand the intended functions
and operation of the equipment.
8.3.5.2 The training-prograin submittals review includes
the schedule, syllabus, evaluation forms, qualifications of the
trainer, any video or other material that will be used, any pro-
posed demonstration training, and recording or documenta-
tion of the training for future use and inclusion in the Systems
Manual (refer to Informative Annex 0).
8.3.6 Facility Operating Procedures
8.3.7 The facility standard operating procedures should be
developed for use in training and operation standardization.
8.4 Testing and Evaluation Documentation
8.4.1 The testing and evaluation procedures, docu1nentation,
and results should be recorded, and the results asse,nbled, for
the Cx Process Progress Report and Syste,ns Manual.
8.5 Project Record Documents
8.5.1 The project record docwnents should be updated and
included in the Systen1s Manual.
8.6 Construction- and Implementation-Phase Systems
Manual Evaluation and Acceptance Criteria
8.6.1 The Systen1s Manual project documentation should
be revie,ved by the CxA and building O&M staff, if available,
before the end of construction.
8.6.2 Syste,ns Manual docu,nents to be included in the
training progra1ns should be reviewed and approved by the
CxA and Owner in accordance with OPR and CFR require-
1nents.
8.6.3 The complete Systems Manual should be reviewed
and approved by the 0,\1ner
9. OCCUPANCY- AND OPERATIONS-PHASE
FUNCTIONS
9.1 Introduction. During the occupancy and operation of a
facility, the Systerns Manual is utilized to assist in the opera-
tion and 1naintenance of the building. The docwnents are
updated on a periodic basis and as needed to keep the Sys-
terns Manual current.
9.2 Occupancy- and Operations-Phase Systems Manual
Objectives
9.2.1 During the occupancy and operation of a facility, the
Ov,ner ,nust develop and i1nple1nent processes to 1naintain the
Syste1ns Manual. W11ile these processes ,vere generally
defined in the Owner's Project Require,nents (OPR)/Current
Facility Require,nents (CFR), these functions should be
,naintained throughout the project through the Occupancy and
Operations Phase. Changes in operational procedures, build-
ing functions, personnel or technology dictate the need for
updating procedures. Maintaining the infonnation is essential
•• • • • .. ........
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No rep1oduciion or networking permitted wilhout license from IHS
for the building operators to understand, operate, and main-
tain the systems and assen1blies.
9.2.2 Ensure that the operations and 1naintenance (O&M)
staff effectively utilize procedures for docu111enting and track-
ing infonnation on updates and ,nodifications to syste,ns and
asse,nblies as they occur during the Occupancy and Opera-
tions Phase and the reasoning for the 111odifications to the
building's operation.
9.2.3 Continuously and consistently update the systems'
information utilizing the prescribed update process, including
techniques for opti111ization and a systerns-based organization
of infonnation. This \.Vottld include adding additional systerns
and assernblies that 1nay be installed or 1nodified in function
throughout the life of the building.
9.2.4 Results from con11nissioning (Cx) tasks perfonned in
this phase 1nust be entered into the Systen1s Manual. This
would include load and perfonnance testing and building
indoor climatic conditions of the facility in use.
9.3 Occupancy- and Operations-Phase Systems Manual
Documentation Requirements
9.3.l Continual Updating of the Systems Manual. The
responsibility for maintaining the accuracy and relevancy of
the Systems Manual for new construction projects is trans-
ferred from the contractors to the O&tvl personnel at the start
of the Occupancy and Operations Phase. The Owner's per-
sonnel ,nay accept this responsibility directly, place the
responsibility on a property rnanager, or hire an outside con-
tractor to assist with the maintenance process.
9.3.2 Maintaining and updating the Systems Manual is
required for the life of the facility and includes the following:
a. Inclusion of n1aterial as the result of completing the Cx
Process activities in the Occupancy and Operations Phase
b. Inclusion of updated maintenance procedures and sched-
ules, ongoing operational record keeping, bench1narking
results, and actions take n in the optirnization of the facil -
ity systerns
c. Modifying information as changes are made to the sys-
tems, including updating the OPR/CFR. and Basis of
Design (BoD)
d. Keeping the record documents current with changes in
progran1ming, nomenclature, equipn1ent, systen1s, and
assen1blies
e. Utilizing training 111echanis1ns to ensure that new person-
nel are properly infonned to perpetuate syste1ns and pro-
cedures for updating the Syste1ns Manual
f. Evaluating and recording the condition of all the 1najor
building equipment.
9.4 Occupancy- and Operations-Phase Systems Manual
Evaluation and Acceptance Criteria
9.4.1 The Syste1ns Manual fonnat and content s hould be
reviewed and approved on a periodic and scheduled basis by
the responsible 1ne1nber of the building Owner's staff or des-
ignated representative of the Owner. This is especially i1npor-
tant when a contracted finn or property 1nanager is in charge
of 1naintaining the Syste1ns Manual. This process is essential
to ensure effectiveness of the Syste1ns Manual as a tool for
+ • • ... ...
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 efficiently 1naintaining equipment, syste1ns, and asse1nblies
over the life of the building.
9.4.2 The Syste,ns Manual should be reviewed by the
building O&M staff on a monthly basis. Errors should be cor-
rected and updates ,nade as they occur.
9.4.3 The procedures and processes for updating the Sys-
tems Manual should be reviewed by the party responsible for
maintenance of the Syste1ns Manual as part of a continuous
improvement process and approved by the Owner on a peri-
odic and scheduled basis.
10. EXISTING BUILDING FUNCTIONS
10.1 Introduction. For existing facility syste,ns and projects,
the plans and doc1unentation sources often vary from ne\.v
construction. The require,nents for assembling a Systems
l'v1anual if it does not exist or updating an existing Syste,ns
l'v1anual may require docu,nent gathering alternatives to docu-
ment gathering and asse,nbly procedures.
10.2 Existing-Building Systems Manual Objectives
10.2.1 For updating an existing Syste,ns Manual, if the
building had a Systems Manual prepared at the ti,ne of con-
struction or renovation, those documents should be updated
and maintained as described in Section 9 of this l,TUideline.
10.2.2 When developing a Systems Manual for an existing
building, the documentation should be gathered and assem-
bled in the format required by the Owner. The purpose of this
Systeins Manual is the same as in a new building, that is to
provide planning, design, construction, and operations infor-
mation for training of the operations and maintenance staffs
and to facil itate building perfonnance and future changes.
10.3 Existing-Building Systems Manual Documentation
Requirements "'here no Systems Manual Presently Exists
10.3.l Gathering Information
10.3.1.1 Original planning, design, dra,vings, and specifi-
cations can be found in some facilities in the 1naintenance
office or property 1nanager's area. In so1ne cases, the infonna-
tion may be in a storage area. If the original or remodel design
tean1 is known, they may be a source of design documents.
Usually this information is in paper fonnat and will need to
be scanned if the Systen1s Manual will ulti1nately be in digital
fon11at.
10.3. 1.2 Current Facility Require,nents (CFR) should be
doc1unented. This is a funda,nental requirement for proper
building operation. These require,nents should include the
fonn and fonnat for the Syste,ns Manual.
10.3.1.3 Existing submittals for equipn1ent and syste1ns
should be located. These can often be found in the 1nainte-
nance office or storage area. This information will assist in
the operation and maintenance of the building. Most likely,
the submittals will be in paper format and will need to be
scanned into digital fonn for an electronic forn1at Syste1ns
Manual. The sub1nittals should be arranged in a logical order,
such as the Construction Specifications Institute (CSI) Mas-
terFormat, and include an index syste111.
10.3.1.4 Existing equip1nent O&M doc1unents and ,nanu-
facturer-supplied infonnation should also be located. The
.. . . . , . ...... , . .. . ... ...
Ame~can Sociely_..o)..);le?tina.,.B~ger<1l.i.rJ:9 and /4ir-CQ!'Kiijiqning Engineers, Inc.
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No rep1oduciion or networking permitted wilhout license from IH S
operation and n1aintenance (O&M) data will n1ost likely be in
paper forn1at and will need to be scanned into digital format
for an electronic format Systems Manual. If the model and
serial nun1ber of the equipment is available, usually on a
na1neplate, the n1anufacturer could be contacted and the
equipment docu1nentation requested. This inforn1ation will
need to be arranged in a searchable format for convenient use.
This arrangement could be si1nilar to the CSI MasterFonnat,
or the manufacturer's O&M data 1nerged with the sub1nittals
and specifications so that all information on a specific piece
of equipment or system is in the same location or section in
the Syste1ns Manual.
10.3.1.5 Existing and current sequences of operation are
essential to the building operation. These can often be located
with the facility control syste1n infonnation. If the facility has
a co1nputerized energy 1nanage1nent and control syste,n, the
sequence ,nay be included in or derived fro1n the control sys-
te,n co1nputer or docuinentation. If a written sequence of
operation for the facility is not available, one should be devel-
oped with infonnation fro,n the CFR and the operating
knowledge of the building staff. This sequence of operation
should be in plain, understandable language and be entered
into the facility guide and operating plan in a standard fonnat.
Graphical sequences of operation should also be utilized
where available.
10.3.l .6 Existing facility maintenance programs, plans,
procedures, and schedules should be located fro1n building
1naintenance operation documentation. If there are no written
plans, these should be developed and included in the Systems
Manual to assist in the continuity of building operation and to
assist in building improve1nent progra1ns. Current facility
O&M personnel and maintenance contractors are usually the
best sources for this information .
10.3.1.7 Existing 1naintenance testing records separated
by system should be collected and entered into a records sec-
tion to provide a base of operating data for future n1ainte-
nance progra1ns and building i1nprovement programs.
10.3.2 Format Development. The fonnat of the Syste,ns
Manual and the collected infonnation should be defined in the
CFR. This information should be arranged to best suit the
building operating require,nents, be understandable to the
operating staff, and be easy to locate, use, and update.
10.3.3 Documentation Processing. The documentation
should be in digital format if the Systen1s Manual is assen1-
bled in that media. It is reco1nmended that the digital format
be used to reduce the loss of parts of the docu,nents and to
n1ake the information easier to find and update.
10.3.4 Developing Plans, Records, and Documents that
do not Currently Exist. A co,nplete facility Syste,ns Manual
would contain all the infonnation included in the contents list
in Section 4 of this guideline. Ho~rever, in existing buildings
that were not co1n1nissioned and/or for which a Systen1s Man-
ual was not provided, this is seldo,n the case. The facility
guide infonnation and current O&M infonnation should be
developed fro1n current operations as a 1nini1nu1n for building
operation.
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 10.3.5 Information Retention and Updating. The Sys-
tems Manual should be maintained and updated ,vith avail-
able information. Even if the 1nanual is not co1nplete or ideal,
it should be treated in the same 1nanner as a document needed
to properly operate the building. The docu1nents should be
reviewed on a regular and scheduled basis and updated as
required to keep them current. Any changes to equipn1ent or
facility operations should be entered into the 111anual at the
tin1e of the change.
10.3.6 Systems Manual Usage and Access. The Syste1ns
:tv1anual is intended to be used by building 1nanagen1ent,
O&M personnel, 1naintenance contractors, and design and
co1nmissioning (Cx) tean1s for building recommissioning and
upgrading. Access to the Systems Manual infonnation in a
digital format may be the 111ost convenient for all users.
10.4 Existing-Building Systems Manual Evaluation and
Acceptance Criteria
10.4.1 The Syste1ns Manual format and application in the
project documents should be reviewed and accepted by the
building O&M managen1ent and staff on a periodic basis.
This review ideally should be done monthly but should
always be co1npleted annually.
10.4.2 The Systems Manual should be reviewed and
approved by the owner on a periodic and scheduled basis.
11. COMPUTERIZATION AND INTERFACE WITH
OTHER PROGRAMS
11.1 Introduction. Even though a Systems Manual can be
assembled in a hard copy fonnat, it is usually better to digitize
the infonnation and assemble it into a co1nputerized and
searchable format. The volume of information is much easier
to handle and store in digital fonnat. There are several for-
111ats available for the asse1nbly of the Syste1ns Manual, from
111anual paper copies, to digitized versions of the paper docu-
111ents, to totally computerized systems.
11.2 Computerization and interface objectives include the
follo,ving:
•• • • • ., , . ., , • ., • +
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a. Capturing all the infonnation in a con11non digital format
to make access easier
b. Reducing the loss of infonnation that can be physically
removed from a printed manual
c. Improving accessibility of the infonnation
d. Making the manual easier to maintain and update
11.3 Computerization and Interface Documentation
Requirements
11.3.1 The n1ost i1nportant require1nent for a digital Sys-
tems Manual is to provide a fonnat that can be stored on a
con1puter system or produced on co1npact disc or universal
serial bus (USB) drives that can be accessed and read by the
intended users. If the intent is to 1nake the information avail-
able on a full-time basis on 1nobile platfonns such as tablet
con1puters, then the system will be 1nore co1nplex.
11.3.2 The simplest format for a digital Syste1ns Manual is
a spreadsheet or database program. An outline or index can be
created on a con1puter or server system and the docun1ents
entered in the outline as they are collected. This method is
an1ong the simplest, but search ability can be a challenge.
11.3.3 Several 1nore con1plex database syste1ns have been
developed and have varying degrees of functionality. One
such syste1n for design and construction docu1nentation, the
Construction Operations Building Information Exchange
(COBie), has been developed by the U.S. Anny Corps of
Engineers and can interface directly with some computerized
111aintenance programs.
11.4 Computerization and Interface Verification and
Acceptance Criteria
11.4.1 The Systems Manual digital processes, fonnat, and
application in the project docun1ents should be revie,ved on a
scheduled periodic basis and accepted by the building O&M
111anagement.
11.4.2 The Systems Manual should be reviewed and
approved by the Owner on a scheduled periodic basis.
• ..• •••
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 (This annex is not a mandatory part of this guideline. It is merely informative and does not contain requirements neces-
sary for conformance to the guideline. Unresolved objectors on informative material are not offered the right to appeal at
ASHRAE.)

INFORMATIVE ANNEX A
SYSTEMS MANUAL DOCUMENTATION FLOWCHART

[ DESIGN PHASE ]
Commissioning (CX) Team
No-------------
Owner Prqect Manag«
Owner Controls Technician
Owner HVAC&R Technician HVAC&RDP
Prepares System
System Manuel
Speclftc.tlons
Cx Team Reviews ......
Spedlclllons
,..._.em
FaciUtles Engineer Specifications
HVAC&R Design Professional (DP) Manual of
0Pft
Electrlcal Design Professional Soeclllcatlons
Archlect
Comrrisslonlng Authority (CxA) 1--------- N,r-- - - - - - - - - . Yes

CxA& CxA
HVAC&R DP Recomnends
~

[ CONSTRUCTION PHASE I
(CX) Team
Owner Project Manager Contractors Ust.-ig OwnerPrqect
Owner Controls Technician & Emergency Requirements
Executive Comrrisslonlng Flan
Owner HVAC&R Technician Summary
Information
Facill les EnglnNr
HVAC&R Design Professional
Eledtlcal Design Professional
Commissioning Authority
Operational
Recordng Basis of Design

Benchmarking
&
Organization
~
Submittals

Commissioning
Test Reports

Operation &
Maintenance
Traln.-ig Information Record Documents Requirements
& Records

[ WARRANTY & OCCUPANCY PHASE ]

(CX) Team
Owner Prqect Manager Changes to OPR OwnerO&M Staff
Owner Controls Technician AndHVAC&R l.lpdttes System - Syst«n Manuel
Owner HVAC&R Technician System Manual
Faalilles Engineer
Comrrisslonlng h.lthonty

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Provided by IHS~ ~~m!#Ml-U.e I.4 -LU 14 Nol for Resale, 201515/28 09:22:15 13
No rep1oduciion or networking permitted wilhout license from IH S
 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX B
SYSTEMS MANUAL CONTRACT REQUIREMENTS
B1. INITIATING THE PROCESS
Syste1ns Manual asse1nbly is a team effort, and the entire
project tean1 is part of the process. The Owner's Project
Requiren1ents (OPR)/Current Facility Requiren1ents (CFR)
and Co1nmissioning (Cx) Plans define project team's roles
and responsibilities, communication protocols, asse1nbly
activities, and the schedule of those activities. Success is
dependent on each team 1nember's understanding of what is
expected of the1n and obtaining their buy-in. This is ,vhy it is
essential that the Owner clearly define, contractually, each
tean1 me,nber's role and responsibility and their part in the
Syste1ns Manual assembly process and achievement of the
defined objectives and criteria as defined by the OPR or CFR.
The Owner is head of the project and shall be engaged in
defining the team's goals and objectives and verifying that
they are clearly docun1ented in the OPR/CFR documents,
contracts, and project require1nents. The Systen1s Manual
providers use these directives to in1plen1ent the process for
the Owner's benefit.
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The o,vner shall require the update of the OPR/CFR and
Systems Manual as defined objectives and criteria contained
in the docu1nent are changed as the project progresses.
The Owner shall 111ediate and provide direction to the
project tea,n on issues identified but unresolvable by the team
as part of the issue resolution process. The Owner shall
approve, in ,vriting, the resolution.
B2. SETTING CONTRACTUAL REQUIREMENTS
This annex provides suggested examples ofho,v to i1nple1nent
the process contracting activity. It is not intended to be a con1-
prehensive representation or a best-practice exa,nple. Owners
and practitioners applying the project process should care-
fully follo,v ANSI/ASHRAE Standard 202-2013 and
ASHRAE Guideline 0-2013 and applicable technical guide-
lines tailored to their specific proj ects.
The following suggested contract language must be
developed for each activity applicable to a specific project or
building:
Suggested Language for Systems Manuals
a. Proj ect and Con1n1issioning (Cx) Teams shall include in
the specifications contractor deliverables defined in the
O,vner's Proj ect Requiren1ents (OPR)/Current Facility
Requiren1ents (CFR) to be included as part of the Syste1ns
Manual. The specifications shall define in the submittal
the format and infonnation required.
b. Designer shall provide Basis of Design (BoD) infonnation
in defined fonnat for inclusion in the Systems Manual.
.. , , . .......... .. , ... ...
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX C
ROLES AND RESPONSIBILITIES
Surnmarize project-specific responsibilities such as provided
below in the appropriate contract or project docurnents.
Team Members for the Systems Manual
The rnembers of the project and conu11issioning (Cx) teams
consist of the Owner or representative, Con1missioning
Authority (CxA), design professionals, assigned n1en1bers of
the construction n1anager/general contractor team, appropri-
ate subcontractor(s), and any other installing or 1naintenance
subcontractors or suppliers of equip1nent. The O\vner's build-
ing or plant operator/engineer is also a 1nember of the project
tean1. The mernbers of the project tearns responsible for the
assen1bly of the Systems Manual n1ust be designated by the
O\Vner in the appropriate plans and contracts.
General Management Plan
All n1embers \vork together to fulfill their contracted respon-
sibilities and 1neet the objectives of the contract documents
and assen1bly of the Systems Manual.
General Descriptions of Roles
General descriptions of the com1nissioning roles are as fol-
lows:
O"'•ner. Provides inforn1ation on operation and 1naintenance
(O&M) resources, including O&M staff, O&M routines,
required tools, computer maintenance managen1ent systerns
(C!vlMS), etc., and the expected future role of these resources.
The O\vner decides the level of decisions that are delegated to
the CxA and others. The owner also participates in budgeting
and provides funding for the \VOrk with the Systems Manual.
Commissioning Authority (CxA). Coordinates the process,
writes tests, and oversees and docun1ents perforn1ance tests
and the assen1bly of the Systems Manual. The CxA also
assists the O\vner with setting the requirements and the bud-
gets for the Co1nmissioning (Cx) Process and the Systerns
Manual.
General Contractor (GC). Facilitates the project process,
ensures that subcontractors perform their responsibilities, and
integrates the collection of documents and assen1bly of the
Systen1s Manual into the construction process and schedule.
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Subcontractors. Demonstrate proper syste1n perforn1ance
and sub1nit documentation for the Systems Manual.
Design Professional (DP). Perform construction observation,
approve O&M and Systen1s Manuals, and assist in resolving
problen1s.
Facility Management. Facilitates 1nanagen1ent and n1ainte-
nance, supports the process, and gives final approval of the
Systems Manual.
Manufacturers. The equipn1ent rnanufacturers and vendors
provide documentation to facilitate and perfonn contracted
start-up and subrnit documentation for the Systems Manual.
Building Operator. The Owner is responsible for the activi-
ties of the building operations staff. As such, periodic review
of the Systen1s Manual is essential to the transfer of institu-
tional knowledge to successors of existing staff necessary for
efficient operation of the building. Defining these require-
n1ents early in the project planning will allow the require-
n1ents to be included in the initial building operating
requirements.
The head of the facility's operation should either person-
ally rnaintain or ensure n1aintenance of the Systen1s Manual
records, including, but not limited to the following:
• Changes in operating schedules
• Overriding controls and the associated reasoning
• Changes to building automation system (BAS) setpoints
and the associated reasoning
• Replacement of equipment that is not the sarne make and
n1odel
• Additions or rnodifications to the systems being rnain-
tained by operational staff
• Designed and constructed modifications, including
changes to floor-plan layout
• Documentation of repeated equipment failures or n1al-
functions
• Updating construction record documents to reflect modi-
fication to the building infrastructure
• Collection and inclusion of Current Facility Require-
n1ents (CFR); Basis of Design (BoD); O&M n1anuals for
ne\v or replaced con1ponents, systems, and assemblies;
and associated Cx Process Progress Reports
• Updating of optimization strategies
• Updating of systen1 schematics (single-line diagran1s)
• !v1odification to operational procedures for normal,
abnorn1al, and emergency modes of operation
• Current training record for each operation and n1ainte-
nance staff 1nen1ber
• Preventive 1naintenance schedules
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Nol for Resale, 201515/28 09:22:15 15
 (This annex is not a mandatory part of this guideline. It is
n1erely info rmative and does not contain requirements
necessary for confor1nance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX D
SYSTEMS MANUAL EXECUTIVE SUMMARY
The executive su1111nary contains an overview of the building
design, construction, and operational require1nents. The infor-
rnation is intended to provide general guidance on the
intended operation, performance, and maintenance of the
building in conformance \.Vith the Owner's Project Require-
1nents (QPR) and/or Current Facility Require1nents (CFR).
PART I: SYSTEMS MANUAL EXECUTIVE SUMMARY
1. Overview of the Facility Design and Intended Use
Using the OPR and/or CFR as references, this section
describes the faci lity and outlines its intended uses. The sys-
te1ns and assernblies included in the Syste1ns Manual are
listed and described along with their function in facility oper-
ations.
2. Facility Construction
This section outlines the construction process and histoty and
describes any plans or intent for future changes or expansion.
3. Operational Requirements
Provide general guidance on the intended operation, perfor-
1nance, and n1aintenance of the facility in conformance ,vith
the OPR and/or CFR. They include a su1n1nary and direction
to the operational plans and require1nents included in the var-
ious sections of the Systen1s Manual.
4. Systems Manual Contents Description and
Use Summary
PART II: FACILITY DESIGN AND CONSTRUCTION
Describe the use, function, and location of the design docu-
m.e nts, including the OPR/CFR, Basis of Design (BoD), and
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construction or project documents. These provide the design
foundation for the facility and the construction dra,vings.
PART Ill: FACILITY SYSTEMS AND
ASSEMBLIES INFORMATION
Describe the use and location of the systems and assemblies
information. These include the project specifications,
approved sub1nittals, manufacturer's installation instn1ctions,
operational and maintenance information, warranties, and list-
ing of design team, contractors, and suppliers. This provides
specific information on the facilities systems and assemblies
that can be used for operation and maintenance (O&M) func-
tions.
PART IV: FACILITY OPERATIONS
Describe the facility guide and its use in daily operation of the
facility. If included in the owner's require1nents and the project
contracts, include 1naintenance plans and schedules, utility
1neasure1nent and reporting, 1neasure1nent and verification
(M&V) plans, ongoing Cx (OCx) Plans and require1nents, and
janitorial plans and require1nents.
PART V: TRAINING
Describe the training conducted during the project and the
location of the training material. Include training information
on requirements and procedures for updating the Systems
Manual.
PART VI: ex PROCESS PROGRESS REPORT
Describe the Corn1nissioning (Cx) Process and results for the
project, and list the locations for the testing plans, checklists,
and results.
5. Update and Systems Manual Maintenance
Describe the requirements, process, and responsibilities for
1naintaining and updating the Systems Manual.
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the r igh t
to appeal at ASHRAE.)
INFORMATIVE ANNEX E
OWNER'S PROJECT REQUIREMENTS AND
CURRENT FACILITY REQUIREMENTS DOCUMENTS
Follo,ving are examples of the Owner's Project Requirements
(OPR) and Current Facility Requirements (CFR) require-
ments and fonnats for the docu,ne nts to be included in the
Systems Jvfanual. This annex provides an exan1ple of how to
i1n ple1n ent part of this guideline. It is not intended to be a
comprehensive representation or a best-practice example.
Practitioners applying the Co1nmissioning (Cx) Process
should carefully fo llow ANSI/ASHRAE Standard 202-201 3
and ASHRAE Guideline 0-2013 and applicable technical
guidelines tailored to thei r specific projects.
E1 . OWNER'S PROJECT REQUIREMENTS
The OPR is developed and defined in the beginning of the
proj ect delivery process. Infon11ation about the proj ect is gath-
ered, including program require,n ents, com,ntmity context,
codes and regulations, site and cti,nate, facility context and
function, facility technology, sustainability, cost, schedule, and
the clients' (including 0 \.vner, occupants, operators, and 1nain-
tenance personnel) needs and capabilities. The OPR provides
the basis fro,n \.vhich all design, constn1ction, acceptance, and
operational decisions are made. An effective Cx Process
depends on a clear, concise, and co1nprehensive OPR docu-
ment, which includes information to help the project team
properly plan, design, construct, operate, and maintain sys-
te,ns and asse,nblies. The OPR is often developed in an OPR
workshop as described in ASHR.AE Guideline 0-20 13.
The 0 \.vne r is encouraged to provide a mini1n u1n of five
participants that equitably represent the various groups asso-
ciated with the existing building or future project.
The OPR is considered the heart and soul of the Cx Pro-
cess. When the OPR is not developed, the Owner, designer,
contractors, and operation and maintenance (O&M) person-
nel each interpret the building require1ne nts, including their
individual responsibilities, fro,n the standpoint of their own
specific needs. This often creates a range of diverse vie,vs of
the constn1cted project's needs. Developing OPR that reflects
the actual needs of the O,vner, the users or occupants, service
and operating un its, and so1n eti1nes the co1n1nunity is one the
most difficult and itnportant aspects of successful implemen-
tation of the Cx Process.
The following sections detail an exa,nple format to fol-
low in developing the OPR and a discussion ofho,v to obtain
the required infonn ation. Note that, historically, the OPR has
often been referred to as "design intent" or "project intent."
Format
Key sections of the OPR docwnent are as follows:
• Background: A narrative description to provide context
for the project.
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• Objectives: For any proj ect, there are goals that must be
achieved for the project to be successful. Goals can
include first-cost, time schedule, nu,nber of change
orders, or life-cycle cost. Regardless of which goals are
identified, they must be su1n1narized at the beginning to
ensure everyone shares a com111on understanding.
• Green-Building Concepts: This is an optional section for
Owners who wish to focus on the sustainability aspects
of their building.
• Functional Uses and Requirernents: In addition to general
documentation produced by the architect on functional
uses of the building ( office, storage, kitchen, etc.), the spe-
cific require,nents for each functional area ,nust be docu-
mented. This can include ite111s such as security, safety,
co,nfort, ene11,'Y, 1naintainability, and indoor air quality.
• Lifespan, Cost, and Quality: It is important to clearly
docwnent the Owner's expectations for lifespan of rnate-
rials, cost of construction, and the level of quality
desired. By providing this infonnation, unrealistic expec-
tations are identified and eli,n inated.
• Perfor,nance Criteria: Often the ,nost difficult section to
define, perfonnance criteria detail 1ninimum acceptable
perfonnance bench1narks for various aspects of the facility.
• J\1aintenance Require,nents: The maintenance require-
ments are a 1n ixture of the level of knowledge of the cur-
rent O&M staff (what they can 1naintain) and the
expected co1n plexity of the proposed syste1ns (what they
can learn). If there is a significan t gap behveen the t\vo,
no n1atter how well the building is constructed, it will not
be ,naintained or operated properly.
The following are exa,n ples of OPR ele1nents that are
co111mon to most of the technical Cx Process guideline topics.
• Benchmarks .for Pe1.for1nance: Specific crite ria for the
functional use of each space, assembly, and system must
be defined. These include te1nperature, htunidity, airflow,
light, noise, durability, aesthetics (materials and colors),
service life, reliability, redundancy, and the like. Typi-
cally, upper and lower litn its are provided for general
spaces, ,vith exceptions noted as required.
• Problems to Avoid: S ince occupant/user/operator com-
plaints are co1nn1on, it is i1nportant to identify and docu-
1nent those proble,ns that have caused complaints in the
past. If these problen1s are not documented and the situa-
tion recurs, the occupants often consider the entire proj-
ect a failure.
• 5JJectfic Occupant Requirements: Specific items that are
deemed in1portant to the various occupants in a building
1nust be identified and docu1n ented. In speculative-built
bu ildings, this section would detail the limits to which
occupants can make use of their spaces. For exa1nple, a
che,n ical laborato1y cannot be put in a space designed
and constructed for general office use without signifi-
cant changes to the syste1ns and possibly to the building
as a ,vhole.
Obtaining the Information
While it ,nay be easy to obtain the basic infonnation related to
develop1nent of the OPR, it is difficult to obtain quality in for-
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 1nation that the Owner, O&M staff, service contractors, cus-
to1ners (i.e., students, patients, retail custo1ners, renters),
visitors, subtenants, occupants, and the collllntmity all agree
on. In quality-based processes, it is critical that input be
obtained fro1n all users (the various user groups) and that the
consensus of and differences a1nong the groups are docu-
1nented. There usually are require1nents on which users do not
all agree. These must be docu1nented as tmresolved ite1ns.
Nonnally, the Owner will 1nake final decisions on \.vhat the
priority order of OPR ,viii be. However, the Owner and the rest
of the Cx Team 1nust be a,vare of all requirements so that the
final product will include as 1nany individual group require-
ments as are deerned appropriate and ,vithin the budget.
A si1nple, three-step process is recom1nended for devel-
oping the OPR:
I. OPR \.VOrkshop
2. QPR docurnentation (report)
3. Project tea1n approval of the OPR
OPR Document
A general format for an OPR document is presented below.
The structure provided is intended to encon1pass the facility
requirements and enable the addition of sections depending
on the syste1ns and asse1nblies to be constn1cted and co1runis-
sioned.
Introduction. Includes an overview of the project and the
general reasons \.vhy the project is being unde1taken. A
description of the Owner's processes (Cx Process) is typically
contained in this section.
Key 0\\'ner's Requirements. Includes a listing of key
Owner's requirements on which the Cx Process will focus
and that the O,vner (Cx Team) has determined are critical to
the success of the project.
General Project Description. The size and scope of the proj-
ect are included in this section.
Objectives. The objectives for acco,nplishing this project are
detailed in this section.
Functional Uses. The expected functional uses (spaces) for
the facility are detailed in this section. A short description of
each functional use is included to provide the context in
which it was detailed.
Occupancy Requirements. Includes the number of occu-
pants (users and visitors) and the schedule of occupancy,
including all special conditions.
Budget Considerations and Limitations. The expected bud-
getary restrictions and considerations are contained in this
section.
Pei;formance Criteria. The performance criteria on which
the: project will be evaluated by the Cx Tea1n are included in
this_section. Each syste,n and asse,nbly performance criterion
shquld be 1neasurable and verifiable. Include subsections as
appropriate to organize and explain the criteria:
a. ;Cx
'
program require,nents
'
b. 'Econornic and efficiency require,nents
c. Envirorunental and sustainability goals
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d. Environmental Require1nents Construction Process if a
project require1nent
e. Maintainability and 111aintenance program requiren1ents
f. Operations training requirernents
g. Bench1narks
h. Docutnentation and fonnat requirements, including Sys-
tems Manuals.
O,vner's Pro_ject Requirements Version History. Includes a
sun1111ary of the changes 111ade throughout the Predesign, Design,
Constn1ction, and Occupancy and Operations Phases. This infor-
1nation is critical to understand and document, the trade-offs
1nade over ti1ne, and the resulting i1npact on the project.
E2. CURRENT FACILITY REQUIREMENTS
The key to a successful existing-building co1runissioning proj-
ect is a well-defined CFR. The CFR forms the foundation of
any design that meets the Owner expectations. When sufficient
ti1ne and effo1t is given to docutnenting the Ov.rner's present
and future requirements, there is a high probability that the
facility ,viii be effectively co1n1nissioned and that the Owner
will be satisfied.
For those facilities co1n1nissioned using a process si1nilar
to that defined in ANS/ASHR.AE Standard 202-2013 and
ASHRAE Guideline 0-2013, the OPR becon1e the CFR for
the existing facility and IS updated using the process outlined
in Infonnative Annex I. The update of the original OPR
should also focus on all 1nodifications to the facility and those
syste,ns and assemblies that are underperforming.
As the existing-building co1n1nissioning proceeds during
through different phases, the CFR ,nay require updating or
a1nending. This 1nay occur, for example, as the budget and
costs change. No changes to the CFR will occur ,vithout the
O,vner's written approval. For example, the CFR may require
that new windo,vs be i1npact-rated certified to Category 5 hur-
ricane level. If the windo\.v replace1nent bid exceeded the bud-
get, the CFR could be changed (and approved by the Owner)
to design nonimpact-rated windo\.vs ,vith provisions for field-
installed protection during a hurricane.
Developing the CFR includes contributions frotn all
stakeholders that use, occupy, operate, and maintain the facil-
ity. The CFR will contain both technical and nontechnical
requirernents (e.g., a technical require1nent would be to
replace roof with an R-30 roofing assembly; a nontechnical
require1nent would be to co,nply with LEED for existing
buildings at gold level). The CFR contains specific and mea-
surable require1nents (e.g., instead of "the light level in offices
will be adequate; ' the CFR may read, "the light level in offices
will be 40 fc (430 lux) measured at 2.5 ft (0.75 111) above the
floor level"). The CFR 1nust be concise, clear, correct, and
complete to reduce the risk for misinterpretation .
Some of the 1nore general require,nents for the CFR are
listed below. These require1nents may expand or contract fol-
lowing focused discussions with the Owner.
Suggested CFR. contents are as follows:
I. User/occupant require1nents
2. 0\vner-directed requirements
3. Specific facility requirernents, such as environ1nental and
energy goals, level of systems control, and/or sustainabil-
ity certification
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 4. Training requiren1ents
5. Sustainability requirements
6. Equip1nent and syste1ns 1naintainability require1nents
7. Capabilities of operators and n1aintenance team
8. Doctunentation require1nents
9. Regulatory require1nents
10. Ongoing com1n issioning (OCx) requirements
11. Bench1narks
I 2. Financial require1nents and investn1ent criteria
E3. CURRENT FACILITY REQUIREMENTS
OUTLINE EXAMPLE
The CFR is developed from all stake holders' requirements
that are gathered during CFR workshop(s). Where an OPR
exists, it would be updated and rnodified. The resultant docu-
1nent will be the CFR.
The follo\.ving exa1nple docurnent provides a ternplate for
ho,v a CFR docun1ent ,nay be formatted and what types of
information should be covered in typical applications. The
document is structured as a template, given that in most cases
any specific content fro1n exa1nple projects will serve to li1nit
the scope to the specific issues and objectives of that applica-
tion. For each section of the te1nplate, norn1al text provide
exa1nple language specific to that section \.vhile italics pro-
vides the reader ,vith guidance as to the type of information
that would be added to that section, specific to the facility
tmder consideration.
1.0. User-Occupant Requirements
This section should be used to define any specific require-
rnents ofthe.facility occupants and users that are necessary to
,neet the overall ,nission requirements. These n1ay be current
facility.features that ,nust be ,naintained or those that need to
be added to support.facility operation.
I . Private offices occupants will be able to adjust the te1nper-
ature setpoint in the offices.
2. The ground floor (Southwest quadrant) will be converted
to a cafeteria for users and occupants of the building.
2.0 Owner-Directed Requirements
This section should define any directives given that need to be
addressed by the existing-building corn,nissioning process.
This is an interactive process to generate infor,nation
bettveen all o.f the stakeholders.
I. The existing windo,vs shall be replaced with impact
rated ,vindows in a 150 n1ph (67.11n/s) zone.
2. The roof shall be replaced with a green roof ,vith min-
in1un1 R-35 (R-6. I) thern1al insulation value.
3. The fire alann system shall be 1nanufactured by
National Brand.
4. Building shall be sprinkled.
3.0 Specific Facility Requirements
This section should de.fine Jpecifzc .ft1nctional require,nents
for each area o.f the.facility and space-use variation. This \Viii
include para,neters such as .functional uses, space needs,
occupancy requirernents, syste,ns or assernblies replacernent,
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and cornfort require111ents-Jpace te111perature and hu,nidity
for occupant com(<.Jrt. ft ,nay also include spec~fic para,neters
for critical environ111ents, such as tolerances .for minilnu,n
lighting levels, te,nperature variation, ventilation rates, roorn
pressurization, noise levels, etc. All variations in occupancy
schedules should be defined along \vith any subsequent
changes in operational para,neters.
I. Indoor lighting require1nents: Offices 40 fc (430 lux) at
2.5 ft (.075 m). AFF. List other areas and any specific
nonstandard require,nents-.for exa,nple, pendant-
rnounted lighting, illu,nination requirements, special
applications.
2. Occupant lighting control require,nents: Each office shall
be fitted with dual technology occupancy sensors. List any
nonstandard requiren1ents-for exa111ple, ,nultilnode con-
trols.for assernbly spaces.
3. Thermal co,nfort requirements: Maxi1nun1 temperature/
htunidity 72°F (22°C) dry-bulb at 50% rh. list any non-
standard te,nperature or hu,nidity require,nents.
4. Ventilation and filtration requirements: Ventilation sha)I
1neet current ASrIRAE standard filter require1nents for
occupied areas and shall be a mini1ntun MERY 12. list
any nonstandard require111ents.
5. Occupancy HVAC control requirements: Occupants shall
be able to adjust the temperature setpoint 2.0°F ( I. I °C).
List any nonstandard requirements-.for exa,nple, integra-
tion with existing control systerns.
6. Acoustic environ1nent requirements: Office shall be maxi-
1nu1n 35 roo1n coefficient (RC). list any nonstandard
require,nents-.for exa,nple, local noise sources requiring
rnitigation and spaces such as classroo,ns that require lo1v
background noise and short reverberation ti,nes.
7. Other O,vner requirements (e.g., natural ventilation, oper-
able tvindolvs, daylight.)
4.0 Training Requirements
This section should define the etpectations .for the core co,n-
petency level o.f the .facility personnel responsible .for operat-
ing the facility. This tvill serve as an evaluating rnetric to
deter1nine any training require,nents necessa,y to achieve the
required comJJetency level at all necessary levels of the .facil-
ity staff:
I. Factory or on-site training for the Owner, whether o,vner
staff, contracted staff, or users/occupants, shall include a
description and overview of systems, not just the co1npo-
nents and equip1nent that co1npose each syste111.
2 . Training should include general orientation and revie,vs of
the written O&M instn1ctions, relevant health and safety
issues or concerns, operation in all possible modes, pre-
ventive maintenance, and co1nmon troubleshooting prob-
lems and solutions.
3. Training shall be performed for the follo,~1ing building
syste1ns and assemblies:
1. List all syste111s and asse,nblies that have been
a!Jected- e.g., lighting control security syste,ns, roof
asse1nbly, etc.
11. List all Jyste,ns and asse111blies that i,vere not
affected- e.g., chiller plant.
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 4. Building systen1s that the occupants/users shall be trained
on include:
t. List all syste,ns and asse,nblies that the occupant/user
needs to operate- e.g., lighting controls.
5. Most training shall be completed prior to the end of the
Implementation Phase and an electronic copy (DVD for-
1nat) provided for the Owner's use.
5.0 Sustainability Requirements
The facilities' syste,ns and assemblies shall be renovated/
upgraded to provide long life while promoting environmental
quality and resource conservation through sustainable design
and constntction.
I . The Cx process shall result in a LEED-EB 2009 certifica-
tion at no lower than silver level.
t. List specific sustainability goals-e.g., ,vater f!f!i-
ciency, energy efficiency, etc.
2. Ongoing commissioning shall achieve the 2030 Challenge
to result in zero possible fuel-based energy.
6.0 Equipment and Systems Maintainability
Requirements
This section should define the mini,num requirements for the
,naintainability ojfacility syste111s and asse,nblies.
I. All equipment s hall be installed with 1nanufacturer's rec-
ommended clearance.
2. All equiptnent shall be easily accessible to tnaintenance
staff.
3. Adequately sized doors/access panels shall be provided
for equiptnent replacernent.
7.0 Capabilities of Operators and Maintenance Team
This section should define the capabilities o.f the operators
and 1nai11tena11ce team, including their experience, training in
specific syste,ns and asse,nblies, and level ofeducation.
1. The HVAC chjllers will be 1naintained by an outside vendor.
2. The Owner fire alann technicians have been factory
trained and certified in installed syste,ns.
3. All the Owner technicians have obtained craft certifica-
tion from technical institutes.
8.0 Regulatory Requirements
This section should define specific regulato,y requirernents
placed on the operation ofthe facility and what i,npact this ,nay
have on the ,nanner in ,vhich the facility, syste111s, and asse1n-
blies are operated, 1nonitored, and ,naintained. The spec/fic
require,nents ,nay vary throughout the.facility based 011 d(ffer-
ent functional requirements of specific areas of the .facility.
Exa,nples ,1,ould be r(!ferences to spec[fic environmental health
and safety standards such as College o,fA,nerican Pathologists
(CA P), and Clinical Laboratory J1nprove1nent Act (CLJA),fed-
eral, state, and provincial civic and county requirernents.
I. Fire s prinkler systerns- NFPA 13, latest edition (even if
not adopted by the Fire Marshall)
2. Building code
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9.0 Ongoing Commissioning (OCx) Requirements
This section should de.fine the OCx require,nents. This 1vill
include the.frequency for the OCx o_f each systern and assern-
bly.
I. OCx for ,nechanical systems \.viii be perfonned every
three years.
2. OCx for electrical and plumbing systems will be per-
fonned every five years.
10.0 Benchmarks
This section should de.fine the evaluation ,nethods that 1vill be
used to compare e.xisting perfor,nance <~f the overall facility,
~ysterns, and assernblies. There are innu111erable criteria that
,nay be e,nployed based on the type offacilities, systems, and
asse,nblies under evaluation. This n1ay involve easily quantifi-
able criteria, such as indoor environ,nental quality issues
(temperature, hzunidity, ventilation rates) or energy per(<Jr-
rnance (overall or co,nponent energy usage). However, this
,nay also include more subjective criteria, such as occupant
satis_faction, irnproved occupant productivity, etc. The CFR
should define ,vhat ~pec(fic pararneters tvill be used, ho1v they
1vill be quantified (baseline), and 1vhat improvements can be
e,pected. The CFR should also d(!fine ,vhat bench,nark crite-
ria ,,vill be used to evaluate the baseline perforrnance. This can
be through established database injor,nationfor sirnilar/acili-
ties (such as energy usage index [kBtu(ft2 (MJl,n 2)J). Ho1vever;
this ,nay be difficult 1-vhen evaluating para,netersfor 1vhich no
database exists for co111parison.
1. Temperature changes throughout each floor shall not vary
111ore that 4.0°F (2.2°C).
2. Energy consumption shall be 30°/o less than present con-
stunption.
3. Postoccupancy surveys shall be used. Acceptable responses
for all categories shall not be less than 70% of the
responses.
11.0 Financial Requirements and Investment Criteria
This section should be used to d(!fine ho1v identified reco1n-
1nendations tvill be evaluated .for irnplernentation. In 111any
cases, this rnay be so,ne n1ethod ofecono,nic evaluation (sitn-
ple payback, life-cycle cost, return on investlnent, etc.). Hotv-
eve,; there ,nay be other cases 1-vhere monetary itnpacts o.f the
expected i111provernents are secondary to other benefits or dif~
.ficult to quantify. It should also be discussed tvhether ,nea-
sures ,,vill be evaluated individually or ,,vhether bundling of
recorn111ended rneasures can be used. Bundling ,nay allo,v for
high-priority itnprovernents ,vith less attractive singular eval-
uation criteria to be co111bined 1-vith other higher-pe1jor1ning
,neasures to provide a co,nbined project that rneets the overall
investlnent criteria.
1. Project having a simple payback of less than two years
will be implemented.
2. For 1najor changes to systems and assemblies, life-cycle
costs determine the option to be i1nple1nented. List dis-
count rate, period o.f study, escalate rate criteria .for
energy, etc.
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 (This annex is not a mandatory part of this guideline. It is Accon1plish design reviews
merely informative and does not contain requirements Prebid meeting
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right CONSTRUCTION ACTIVITIES
to appeal at ASHRAE.) Conduct preconstruction 1neeting
Contractor submittal review
INFORMATIVE ANNEX F Construction checklists
COMMISSIONING (CX) PLAN Delivery process
The followi ng are exa,nples of the require,nents and fonnats Preinstallation checks
for the docu,nents to be included in the Syste,ns Manual. Installation and start-up checks
This annex provides an example of how to implement a Perfonnance and coordination checks
Cx Plan fron1 project initiation through occupancy. It is not Testing
intended to be a co1nprehensive representation or a best-prac- Docu,nentation
tice exan1ple. Practitioners applying the Cx Process should Systems Manual
carefully follow ANSI/ASHRAE Standard 202-2013 and Training
ASHRAE Guideline 0-2013 and applicable Cx technical Preliminary Cx Process Progress R.eport
guidelines tailored to their specific projects.
The following is an exa1nple outline for a Cx Plan. The OCCUPANCY AND OPERATIONS ACTIVITIES
basic structure of this example is such that each phase of the Seasonal testing
plan has its own section detailing what activities will be Ongoing training
accomplished and guidance on who accomplishes it and how Warranty revie\V
it is completed. The deliverables for each activity are included Lessons-learned ,neeting and report
in an appendix . Each section of the plan \viii have a descrip- Final Cx Process Progress Report
tion of the requirements for that subject. The intent of this for-
mat is for the Cx Plan to become the Final Cx Report at the CONTACT AND RESPONSIBILITY lNFORlvlATION
end of the project by updating the plan and filling in the
results for each section as the project progresses. SCHEDULE REQUIRE!VIENTS
Depending on the size and scope of the Cx Process activ- Provide a detailed description of Cx Process activities and a
ities, it ,nay be beneficial to have three Cx Plans: one for the schedule of activities. The design ,nilestones shall include the
Predesign Phase, one for the Design Phase, and one for the Cx Tea,n meetings, OPR developtnent, design revie\vs, and
Construction Phase. If separate Cx Plans are used, then care the co,npletion of the BoD and the Cx specifications. For con-
must be taken to inform those that are involved in only a por- struction and renovation activities, the additional ,nilestones
tion of the process of the previous ,n aterial. shall include the Cx Team ,neetings, sub,n ittals, installation
checklists co,npletion, start-up plan start and finish, perfor-
COMMISSIONING PLAN mance testing, Owner ,n ove- in, training, operation and ,n ain-
Table of Contents tenance (O&M) and record drawing cotnpletion, deferred
seasonal testing, \varranty review, and final Cx Process Prog-
ress Report. For co1n 1nissioning in existing buildings, ,nile-
OVERVIEW
stones shall include representative tasks from the planning,
investigation, testing, i1nple1nentation, and Hand-Off Phases.
COMMISSIONING PROCESS DESCRIPTION
Appendices in the initiation and design stages of the proj-
ect will state the requirements and responsibilities for that
PREDESIGN ACTIVITIES deliverable. The fi nal results and doctun entation for each itetn
Develop Owner's Project Requirements (OPR) wi II be inserted in the final repot1.
Develop Initial Cx Plan It is not necessary to include copies of documents
Cx Process Issues included in the Systems Manual in the final Cx Report if that
Step 1. Identify syste1ns and assemblies to be Cx Report is included in the Systems Manual, but the location
co,nmissioned. of the docu1nent(s) shall be noted.
Step 2. Record Issues, Schedules, Budgets, and
Expectations. APPENDIX A-OWNER 'S PROJECT REQUIREMENTS
Step 3. Provide docu1nentation and training (OPR)
require,nents
APPENDIX B-BASIS OF DESIGN (BoD)
DESIGN ACTIVITIES
Develop and update Basis of Design (BoD) APPENDIX C-PROJECT SPECIFICATIONS
Update Cx Plan
Develop Cx Process APPENDIX D-COMMUNICATION STRUCTURES
Develop contract documents
Develop and review project specifications APPENDIX E- ROLES AND RESPONSIBILITIES

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 APPENDIX F-COMMISSIONED SYSTEMS APPENDIX M-TESTS AND DOCUMENTATION
[listing of systems and asse1nblies]
APPENDIX N-SYSTEMS MANUALASSElvfBLY
APPENDIX G-Cx PROCESS
SCHEDULE APPENDIX 0-TRAINING

APPENDIX H-PREBID MEETING APPENDIX P-lvfEETING MINUTES

APPENDIX 1-PRECONSTRUCTION MEETING APPENDIX Q-CORRESPONDENCE

APPENDIX J-SUBMITTAL REVIEW APPENDIX R-WARRANTY REVIEW

APPENDIX K-Cx PROCESS ISSUES APPENDIX S-OPEN ISSUES

APPENDIX L-CONSTRUCTION CHECKLISTS APPENDIX T-LESSONS LEARNED

''
'

·,

'

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 (This annex is not a mandatory part of this guideline. It is
n1erely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on infor1native 1naterial are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX G
BASIS OF DESIGN (BoO)
The following are examples of the requirements and formats
for the docu1nents to be included in the Syste1ns Manual.
This annex addresses require1nents developed and
included in the BoD docun1ent and must be coordinated ,vith
the BoD docurnents of other technical guidelines. The BoD
docurnent records the major thought processes and assump-
tions behind the faci lity design decisions 1nade to rneet the
O,vner's Project Requirernents (OPR) as they relate to the
Syste1ns Manual. The design professional n1ust read the entire
OPR before starting the BoD. The BoD document captures
important information linking the ''\vhat" of the OPR and
"how" of the syste1n design.
The objective of specifically docutnenting the Systems
Manual requiren1ents in the BoD inforn1ation is to provide the
parties involved in a project, at each phase in the process, an
understanding of the underlying thinking that led to the selec-
tion of specific co1nponents, systeins, and syste1n integra-
tions. This includes documenting the type of systetn chosen,
as well as docu1nenting those rejected during the initial phase
of the project and why they were selected or rejected. A
design narrative that provides an overview of systen1s in ver-
bal fonnat is us ually an integral ele1nent of the BoD.
The specific contents of the BoD docuinent ,viii vary
fron1 project to project and systen1 to syste1n but in general
should address the following for the information required in
the Systems Manual:
a. List s pecific codes, standards, and guidelines considered
during the design of the facility.
b. List the specific building codes being utilized for the
design of the project. This should include the title of the
code and the year.
c. List s pecific standards (including year of publication)
being utilized in the design of the project (e.g., ANSI/
ASHRAE Standard 62.1-2013, NFPA 45-2000).
G1 . BASIS OF DESIGN
The BoD should be reviewed and updated as part of each
design subtnission during develop1nent of the design, after
issue of supplementary instructions during the construction
process, prior to occupancy, and after co1npletion of accep-
tance testing.
Sample Boo Requirements to Be Contained in
the OPR
Introduction. The BoD is a written docun1ent that shall detail
the design tea1n's approach to the OPR.
Process. The general process for producing the BoD shall be
as follows:
I. The OPR shall provide a list of required infonnation and
the forn1at for the BoD to the design team prior to the start
of design.
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2. The design teatn shall gather and organize the information
during the creation of the design.
3. The design team shall subrnit the BoD to the Owner and
Con11nissioning Authority (CxA) for review and con1ment
with each design docwnent subrnittal.
4. The BoD shall be updated by the design teatn to provide
increasing levels of detail as the design evolves.
5. The BoD shall be updated by the design tea1n to reflect
changes to design criteria and systems during the subse-
quent phase of the project and the reason for those
changes.
6. The design team shall ,vork with the Owner and CxA to
resolve revie,v comn1ents.
7. The BoD shall include signature blocks for acceptance by
the Owner and CxA.
Boo Content
The following BoD contents will be edited for each project
based on discussions bet\veen the Owner, CxA, or other par-
ties. Ideally, the requirements for the BoD, third-party Cx,
sustainable rating certifications, tneasurement and verifica-
tion (M&V), energy mode ling, and other nontraditional
design ele1nents are identified prior to receiving proposals for
services frorn the design teatn.
HVAC
Sche111atic Design
• Occupancy schedule (ti1ne and nu1nber of
people)
• Climatic design criteria
• Indoor design criteria, including tolerances (allowable
tetnperatw·e and hutnidity ranges)
• Design diversity per system
• Redundancies
• Applicable building codes
• Additional design require,nents (LEED and energy goals,
other special requirements)
• Sustainable code requirements
• Design narrative, including description of how each sus-
tainable design requirement is met
• Controls syste1n narrative
• Renewable energy syste1ns narrative
Optional
• Design narrative (systern options described in sufficient
detail for energy 1nodeling)
• Ventilation calculations for each above syste1n option
Design Develop,nent
• Preliminary energy modeling report
• Ventilation opti1nization narrative
• ANSI/ASI-fRAE Standard 62.1 calculations
• Heating- and cooling-load calculations (input and output
fi les)
• Equip1nent cut sheets (equip1nent around which the
design was based)
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 • Control schematics, database, points list, sequences, The fonnat and organization of the BoD shall detail the
alann conditions, and operator interface elements design response to the OPR require1nents as follows:
Construction Docu,nents I. Major sections shall include <edit as appropriate for
each project> envelope syste1ns, interior syste1ns, electri-
• Any 1nodifications to design development BoD cal and lighting syste1ns, HVAC syste1ns, renewable
Lighting energy syste1ns, and plu1nbing and service hot-water
(SI-fW) syste1ns. Within each 1najor section shall be sub-
Sche111atic Design
sections labeled for each required design sub1nittal (sche-
• Design power capacity, W/fr- (W/m2) n1atic design, design development, etc.).
• Design illumination levels, fc (lux) 2. An updated BoD shall be required to be sub1nitted with
• Lighting perfonnance goals and standards each design sub1nittal. Updates shall include descriptions
• Lighting and lighting control narrative of changes to the design since the previous sub1nittal, the
reasons for those changes, and additional detailed infor-
• Anticipated lighting power density (LPD) for each space
1nation that beco1nes available as the design progresses.
type
Design sub1nittals for this project include <edit as appro-
Design Develop,nent priate for each project> Sche1natic Design Phase,
Design Develop1nent Phase, and 50%, 95%, and I 00%
• Lighting calculations
contract docu1nents.
• Power load calculations
3. The BoD shall reflect the progression of the design within
• Lighting control zoning diagran1s
a single docu1nent. Sections previously sub1nitted shall
• Lighting systen1 control infon11ation distributed to poten- not be 1nodified but rather addressed, as necessary, in the
tial suppliers nev,r section related to the current sub1nittal.
Optional 4. Non-narrative-type infonnation shall generally be pro-
vided in a BoD appendix for each sub,nittal and be refer-
• Short-circuit study
enced in the narrative.
Construction Docu,nents 5. The main body of the BoD shall be concise, providing the
Ensure lighting controls construction documents include reader with concise descriptions of syste,ns and later
the following: ,nodifications and details on those systems.
• Finalized specification language 6. The BoD shall not duplicate infonnation provided in plans
• Din1ension locations of ceiling-1nounted sensors and specifications but shall reference that infonnation as
• Controls initial calibration criteria appropriate.
• De.finition of the timing of final calibration (for daylight- 7. The BoD shall address how the OPR is i1nple1nented in
ing controls) after partitions/furniture in place the design. For any criterion of the OPR that could not be
n1et, documentation detailing what ,vas done, its impact
• Definition of initial scheduling or tin1e clock require-
on the OPR, and how the OPR. was modified shall be
n1ents
included. It is not intended that the BoD repeat the text of
• Identification of interface coordination requirements the OPR with com1nents addressing each individual OPR
• Definition of any other progra1111ning, such as scenes, criterion but rather that the BoD remain a concise, read-
overrides, or special events able document that is useful throughout the design and
Other Systems construction processes and into occupancy.

Develop BoD requiren1ents for other systen1s as required by Acceptance

the OPR. The BoD shall include signature blocks for acceptance by the
For,nat and Organization Owner and CxA of each BoD subn1ittal.

·· · · · ········ ·· ·· ···· ···

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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX H
CONSTRUCTION PROJECT RECORD DOCUMENTS
The following are examples of the requirements and fonnats
for the documents to be included in the Syste1ns Manual.
The collection and retention of record docun1ents is
essential to the ongoing operation of the building and can be
critical in any building upgrades and 1nodifications. These
docu1nents provide the baseline fro1n which repairs, changes,
and upgrades can be made. Without these records, it ,viii be
1nore costly and time consuming to maintain and modify the
building.
If the record dra,vings and documents are digitized, they
1nay be able to be included in the Systen1s Manual computer
file. This is highly reco,nmended. If the drawings are avail-
able in paper or transparency fonnat, the location of the docu-
1nents should be included in the Systen1s Manual.
An index and table of contents should be created for both
the digitized and hard-copy dra,ving files. This contents list
shows all the available drawings at the time of assen1bly. This
will facilitate the location of the specific information needed
and in the updating of the docu1nents.
The record dra,vings should be included, as they contain
all the changes 1nade to the design dra,vings and documents
during constiuction and modification. Original design draw-
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ings should be included if record dra,vings are not available.
It is also useful to initially include the design drawings in the
Systems Manual and later replace the1n with the record draw-
ings that are someti111es referred to as as-builts.
Other record documents include change orders, archi-
tect's supple1nental instructions, and additional infonnation
that re.fleets actual constructed conditions.
Documents should include all sections of the design
package drawings, such as the following:
• Site: Including facility location and utility connections
• Civil: Including grading, paving, drainage, and constiuc-
tion details
• Landscape: Including listings of plants and irrigation
systen1s and controls
• Architectural: Including layouts, elevations, materials,
and details
• HVAC: Including equipment listing, locations, elevations,
and coordination info
• Plu,nbing: Including layout dra,vings, equipment list-
ings, and risers
• Electrical: Including power and lighting layouts, risers,
and panel schedules
• Fire protection and alar,ns: Including piping layouts,
controls, and details
• Conununication syste111s: Including layouts, locations,
and equipment listings
• Coordination and interference dra,vings
• Other
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX I
PROJECT DOCUMENTS AND SUBMITTAL REVIEW
REPORTS
The following are exa1nples of the requirernents and fonnats
for the documents to be included in the Systerns Manual. A
copy of the final review reports are included in the Systems
tv1anual to provide history and background on the planning,
design, and construction of the facility.
11. DESIGN REVIEW REPORT
This annex provides an exa1nple of how to i1nple1nent a sa1n-
pling process if directed by the Owner. It is not intended to be
a co1nprehensive representation or a best-practice exa1nple.
Practitioners applying the Co1n1nissioning (Cx) Process
should carefully follow ANSI/ ASHRA E Standard 202-2013
and ASI-IRAE Guideline 0-2013 and applicable technical
infonnation tailored to their specific projects.
Design Submissions
A critical step in the Cx Process is the review of the design
submissions from the design professionals. It is irnportant to
remember that the role of the Commissioning Authority
(CxA) is to verify that the Owner's Project R.equirements
(OPR)/Current Facility Requirements (CFR) are met and that
the system is designed in a quality manner. There are three
distinct reviews that are completed on a dra\ving set: general,
coordination, and field specific. A review of the specifications
is also required.
The use of sampling in the design review and the sarn-
pling process ,nust be defined in the OPR/CFR. The Cx Plan
can also add requirements and information to the design
review process and procedures.
The general steps of co1npleting a drawing review are as
follows:
General Review
I. Revie\v the OPR. Because the purpose of the drawing
review is to verify that the OPR/CFR were n1et, prior to
the review, the OPR/CFR should be reviewed to fan1iliar-
ize the revie\ver with the key criteria of the facility.
2. Docun1ent the general revie\v criteria. The criteria from
which to conduct the general review of the subn1ission
must be documented. The criteria should be based on gen-
eral quality characteristics and specific OPR//CFR crite-
ria. The general quality characteristics should include
items such as
• continuation of iterns ( ductwork, pipes, \Valls, elec-
trical wiring, etc.) fro,n page to page;
• labeling, including correct roorn numbering;
• details corresponding to actual cornponents;
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• schedules of equipment specific to the project,
including coordinated tag identification, location,
systen1(s) served, capacities, electrical characteris-
tics coordinated \Vith electrical dra\vings, and addi-
tional pertinent data ( accessories, special options,
weight, etc.);
• that all infonnation, shown on drawings, is legible
(not hidden by crossing lines or text);
• the design professional's Basis of Design (BoD) nar-
rative; and
• that OPR information is included on docwnents.
3. Conduct a quick general review. The general review is
intended to fan1iliarize the revie\ver with the sub1nis-
sion. If during this review significant ite1ns are identi-
fied as poor quality then the revie\v process should be
stopped and the design professionals contacted to dis-
cuss the quality concerns. If the general quality is
good, 111ove on to the coordination revie\v.
Coordination Review
I. If sampling review is approved, determine sa1npling areas.
For each floor plan area (e.g., if there are five sheets for
each floor, then there are five floor-plan areas for each
floor), select a single building area randomly. A simple
way to do this is to divide the drawing sheet into 15
squares (5 x 3) and select square number 3 on the first
sheet (area) and then 5, 7, etc., for each remaining area.
This selection typically is conducted using the architec-
tural sheets. If sa1npling is not approved or is not practical,
the entire document should be reviewed.
2. Select review satnples on dra\.vings. Using the sampling
strategy chosen in Step I, ,nark the sa1nple areas to be
reviewed in each area. This should be conducted for each
trade (landscaping, architectural, structural, plwnbing,
rnechanical, electrical, etc.).
3. Conduct coordination review. For each area, co1npare the
squares between each discipline. The intent of this review
is to identify coordination proble1ns with the placement
and installation of con1ponents. Items of specific interest
include the follo\ving:
• Placement of n1ultiple pieces of equipment/co1npo-
nents in the same location
• Use of co1nputer-aided design (CAD) software by
the design tearn that readily discovers and coordi-
nates points of collision betv.,een building co1npo-
nents, pltunbing ,vork, sprinkler work, 1nechanical
work, electrical work, and other components
selected for the project
• Accessibility to equip1nent/components for 1nai nte-
nance/replacen1ent
• Use of consistent tenninology (e.g., roorn nu1nbers)
.
• Elevations provided where multiple systems are '
'
placed in the same area
• Other trade duties clearly identified (e.g., window
asse1nblies, roof drains, electric wiring for I·IVAC
equip1nent, holes for sinks)
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 If significant coordination proble111s are identified, stop
the review and contact the design professionals to discuss. If
the coordination is good, continue on \~rith the field specific
review.
Field Specific Review
I. If sampling review is approved, detennine the review
sa,npling procedure as defined in the project OPR/CFR
and Cx Plan. Use random sampling that selects every xth
square on the drawings to be verified. Squares that are
completely blank (no \~1alls, equipment, etc.) are not
included in the counting. For example, if there are ten
pages of drawings, and each drawing is split into 15 grids
(5 x 3), there \Viii be 150 potential grids to review. If a
20% sa,nple rate is desired, then 30 grids would be
reviewed, or every five grids. The starting grid should be
chosen using a random selection process (die, 1-6 in a
hat, etc.). If sampling is not approved, the entire docrnnent
should be reviewed.
2. Doc1unent review criteria. The criteria by which to review
the drawings should be based on specific OPR criteria.
This typically includes items such as accessibility, 111ain-
tainability, meeting sustainability goals, comfort condi-
tions, documentation of OPR/CFR and BoD, and
operating details.
3. Select review sa1nples on drawings. Using the sampling
strategy chosen in Step l, ,nark the sa,nple areas to be
revie\.ved.
4. Conduct detailed statistical review. Using the review crite-
ria fro,n Step 2 and the selections fro,n Step 3, conduct a
detailed revie\v of the drawings. This includes verifying
that the specifications 1natch those shov,,n on the drawings
(see below for specification revie\v details). For example, if
an air tern1inal box is in the selected square, the steps in
conducting the detailed review ,night include the follov,,ing:
a. Review design calculation inputs for 1natching archi-
tectural assu1nptions and the OPR.
b. Compare calculation results \vith the total airtlo\v of
the diffusers downstrea,n of the air tenninal box and
v,,ith the tenninal box schedule.
c. Co1npare location of air terminal box with 1nainte-
nance requirements of the selected make and ,node!
d. Co1npare air terminal box location on dra\vings \vith
require1nents in the specifications.
e. Review the OPR/CFR for other issues that the air ter-
minal box could in1pact.
5. Doc1unent concerns. During the review of the drav,,ings,
keep detailed notes of problems found or concerns \vith
certain items. Also, at the end of the review, a general
summary 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 Owner
with specific reco1111nendations and directions given.
6. Reviev,, the dra\ving review procedure. After the drawing
review is completed, this docu1nent should be reviewed
and ,nodified to i,nprove the process for the next ti,ne.
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Specification Review
1. If sampling review is approved, detennine the review
srunpling procedure. The purpose of this review is to
detennine the general quality of the specifications. During
the field specific review, the actual details are checked.
The sampling procedure should check approxi,nately I 0%
of the specifications. If sampling is not approved, the
entire docu1nent should be reviewed.
2. Conduct general revie\v. The review should focus on the
quality of the specification, specifically the following:
• 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 two are used, etc.)?
• If a manufacturer has been listed, has the engineer
checked to verify that the OPR/CFR is met?
• Are there any "or as equals?" (As equal should
ahvays be defined.)
• Are the directions clear and concise?
3. Develop a s111n1nary of the review. If there are proble,ns
with the specifications, contact the design professionals
and discuss.
Design Professional Actions
Com1nents provided by the CxA need to be formally replied
to by the design professionals. If syste,nic issues are identi-
fied during the CxA's review, the design process should be
resolved. Back-checking of the specific ite1ns may be appro-
priate, but not as the sole ,neans of verifying resolution of the
.
issue.
Design Review Report
The design revie\v report should contain the follo\.ving infor-
111ation:
1. Project title, number, and date of review
2. Executive su1nmary (Include a summary of the process
used for the review and for processing the co1nn1ents and
responses.)
3. List of docu1nents reviev,,ed by title and issue nu1nber or
date (Include a list of all the docu1nents reviewed.)
4. Issues, co1n1nents, and variances fro,n OPR (Include cop-
ies of all reviews, distribution lists, and responses.)
5. Coordination of dra\vings and systems (Include a copy of
the reviews on drawings and syste,ns coordination.)
6. Access, constructability, and 111aintainability questions
and reco,nmendations (Include a copy of the reviews on
syste1ns and assemblies access, constructability, and
,naintainability.)
12. SUBMITTAL REVIEW REPORT
The review of the manufacturer's and contractor's submittals
is intended to verify confonnance to the project OPR/CFR
and gather information for the testing and commissioning of ;
the equip,nent and syste,n. :
The use of sampling in the sub1nittal revie\v and the sam- :
pling process ,nust be defined in the OPR. The Cx Plan can
also add requirements and infonnation to the review process '.
and procedures.
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 The submittal review report should contain the following
infonnation:
I. Project title, number, and date of revie,v
2. Executive sun1mary (Include a summary of the process
used for the review and for processing the con1ments and
responses.)
3. Descriptive outline of subn1ittals reviewed (Include a list
of all the docu1nents reviewed.)
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4. Issues, comments, and variances from OPR (Include cop-
ies of all reviews, distribution lists, and responses.)
5. Coordination with project systems (Include a copy of the
reviews on submittals and systerns coordination.)
6. Conformance to functional requirements and maintain-
ability (Include a copy of the reviews on systerns and
assemblies access, constructability, and maintainability.)
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 (This annex is not a mandatory part of this guideline. It is <lard 202-2013 and ASHRAE Guideline 0-2013 and applica-
merely informative and does not contain requirements ble technical infor111ation tailored to their specific projects.
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right Building and System Specifications
to appeal at ASHRAE.) All of the relevant design specifications should be retained in
the Syste1ns Manual. These are usually entered by ConstJuc-
INFORMATIVE ANNEX J tion Specification Institute (CSI) nu1nber. If parts of the Sys-
BUILDING AND EQUIPMENT SPECIFICATIONS tems Manual are in hard-copy format, a colu111n should be
The following are examples of the requirements and fonnats added for the location of those docu1nents.
for the docu1nents to be included in the Systems Manual. It is The specifications part of the Syste111s Manual should
important that the building and equipn1ent specifications are include a list of specifications and relevant inforn1ation on
be included the design drawings in the Syste1ns Manual in their contents, including the following:
order to provide co1nplete inforn1ation on the facility and the
• Specification nu111ber-usually a CSI nu111ber
syste1ns.
• Title of specification from design docun1ents
J1 . COMMISSIONING SPECIFICATIONS • Publication and changes dates
This a1111ex provides an exan1ple of how to i1nple1nent part of • Cross references for syste111s or equip111ent included with
this guideline. It is not intended to be a con1prehensive repre- necessary cross references
sentation or a best-practice example. Practitioners applying • Notes-information that is helpful to utilization of the
the Cx Process should carefully follo\v ANSI/ASHRAE Stan- infonnation

..·. . . .. .,.... .. . . . .., ...

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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX K
APPROVED SUBMITTAL$
The follov,ing are examples of the requirements and forn1ats
for the documents to be included in the Systen1s Manual.
Insert final copy of approved submittals by project speci-
fication section sequence. These documents provide specific
infonnation on the exact equipment and 1naterials installed in
the project. If the sub111ittals are in hard-copy format, a col-
un1n should be added for the location of those documents.
The approved sub1nittals provide detailed inforn1ation on
the exact materials and equipn1ent installed in the facility.
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This inforn1ation is essential to understanding and operating
the building, as well as for future changes and upgrades.
The sub1nittal part of the Syste1ns Manual should
include a list of sub111ittals and applicable specifications and
relevant infonnation on their contents, include the follo,ving:
• Submittal and related specification number-usually a
Construction Specifications Institute (CSI) number
• Title of submittal and specification-fro1n design docu-
ments
• Approval and changes dates
• Cross references for systems or equip1nent included with
necessary cross references
• Notes-infonnation that is helpful to utilization of the
inforn1ation
..
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX L
MANUFACTURERS OPERATION AND
MAINTENANCE DOCUMENTS
The following are examples of the requirements and fonnats
for the documents to be included in the Syste1ns Manual.
Insert 1nanufacturer-provided installation and Operation
and Maintenance (O&M) Manuals that have been verified and
localized to the installed building systen1 or equipment by
specification section sequence. They should be organized to
be easily located and updated.
The manufacturer's O&M docun1ents are usually not
project-specific and often come in catalog fonn. They do not
contain the project-specific connection and sequence opera-
.. .
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tion criteria needed to operate the facility. Thus, the O&M
n1anuals are only a part of the complete Systems Manual.
The n1anufacturer's installation, operation, and 1nainte-
nance part of the Systen1s Manual should include a list of the
n1anufacturer's installation, operation, and maintenance infor-
n1ation and relevant information on their contents. The infor-
n1ation included should be limited to the specific equipment
installed in the building, including the follo,ving:
• Equip1nent and specification number-usually a nun1ber
from the design or installations docun1ents and related
Construction Specifications Institute (CSI) number
• Equip1nent title from design or installation documents
• Publication, approval, and changes dates
• Cross references for syste111s or equip1nent included with
necessary cross references
• Notes-information that is helpful to utilization of the
infonnation
. . .. ........ .·. . ... ·...
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 (fhis annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX M
WARRANTY INFORMATION
The following are examples of the requirements and fonnats
for the docu1nents to be included in the Systems Manual.
These warranty documents can be retained with the equip-
n1ent operating inforn1ation or kept in a separate section for
ease of use and updating.
The warranty infonnation and copy of the warranty doc-
u1nents are provided along with the e.ffective and expiration
date to facilitate building operation and expedite repairs of
any defective syste1ns or equipment.
.
..
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The warranty part of the Systen1s Manual should include
a list of equipn1ent warranties and applicable specifications
and relevant information on their contents, including the fol-
lowing:
• Warranty and related equiprn ent and specification nu1n -
ber- usually a Construction Specifications Institute
(CSI) ntunber
• Title of warranty and related equi prnent and specification
fro,n design docwne nts
• Approval and changes dates
• Expiration dates
• Cross references for systerns or equiprnent included w ith
necessary cross references
• Notes-information that is helpful to utilization of the
inforn1ation
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX N
CONTRACTOR AND SUPPLIER LISTING AND
CONTACT INFORMATION
The following are examples of the requirements and fonnats
for the documents to be included in the Syste1ns Manual.
Contractor listing and contact inforn1ation are provided
for emergency operations, maintenance, and 1naterials
replacement information.
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The contractor and supplier part of the Syste1ns Manual
should include a list of installing contractors and suppliers of
equipment and materials and applicable specifications and
relevant information on their contents, including the follow-
1ng:
• Contractor and supplier name, address, phone numbers,
and e-mail contacts and related specification number-
usually a Construction Specifications Institute (CSI)
number
• Alternate sources and cross references for syste1ns or
equip1nent included with necessary contact information
• Notes-information that is helpful to utilization of the
infonnation
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.) a
INFORMATIVE ANNEX 0
FACILITY GUIDE
The following are examples of the requirements and fonnats
for the docu1n ents to be included in the Syste1ns Manual.
This annex provides an example of how to implement a
faci lity guide. It is not intended to be a co1n prehensive repre-
sentation or a best-practice exatn ple.
The facility guide is sin1ilar to an operator's 1nanual. It is
intended to provide the basic information needed for the
building operations staff to operate the building on a day-to-
day basis. It includes a si1n ple description of the buildi ng sys-
tems and their normal operation, schedules, setpoints, and
litnitations. Also included is routine 1naintenance for the sys-
terns to keep them in good condition but not major mainte-
nance or repair functions. Scheduled start-up and shutdown
functions should be included.
Developing the facility guide encompasses gathering all
of the infonnation related to the syste1ns and asse1n blies that
require regular attention and incorporating it into a usable
infonnation resource, with indexes and cross references. This
information is edited and organized to focus on the key sys-
tems (HVAC, plu1nbing, electrical, vertical transportation, fire
alann, security syste1n s, etc.) in the building. Coordi nation
w ith maintenance personnel in developing building standard
fpnnats and reporting procedures is necessary for the long-
t~rm
. operation of the facility. The facility guide is usually
. operating equip,nent in language and.format that is
located in the operations section of the Systems Manual, but it
d,a n be developed independently if needed.
Based on the needs of the O,vner and building opera-
tions, the facility guide and Syste1ns Manual could also
include infonnation for insertion into a computer mainte-
nance n1anage1nent syste1n (CMMS), including equipn1ent
1nake and 1n odel infonn ation, checking require1nents, 1nainte-
nance requirements, and troubleshooting items. The Commis-
sioning Authority (CxA) should be responsible for verifying
the development of the faci lity guide on comrn issioned proj-
ects. The Owner should designate a specific entity to develop
the facility guide for existing buildings and for the 1nainte-
nance and updating of the facility guide.
The entity responsible for developing the facility guide
shall include all iterns involved in the building operation in
either an electronic or printed version. This entity (Owner,
CxA, contractor, design professional, mai ntenance rnanager,
or other) shall have the skills of design, construction, and
operations required to develop a cotn prehensive faci lity
guide.
It should be noted that some projects 1nay not include all
of the infonnation outlined in this annex. The outline is pro-
vided to supply organization and sources for information
available for the building or project.
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02. SOURCES AND CONTENT OF THE
DOCUMENTS IN THE FACILITY GUIDE
Executive Summary
The executive sum1nary contains an overview of the building
design, construction, and operational requirements. The infor-
rnation is intended to provide general guidance on the
intended operation of the building in conformance to the
Owner's Project Requiretnents (OPR) and Current Facility
Requirernents (CFR) . In the outline belo\.v, italics provides
the reader ,vith guidance as to the type of infonnation that
would be added to that section, specific to the facility tmder
consideration.
A. Facility Operations Instructions
1. Operating Plan
Insert a copy ofthe completed.facility operating plan
l-vith explanations of the intended use and operation
o.fthe .facility.
Included in ''General Building /nfor,nation."
2. Building and Equipment Operating
Schedules, Setpoints, and Ranges
Insert a copy o.fsetpoints o.f all equipment lvith oper-
ational adjustrnents. Include the setpoint nor,nal
intended ranges and li111itations.
Included in "System Setpoint Require,nents."
3. Sequences of Operation and Limitations
Insert a copy o.f the sequences of' operation .for all
understandable to the property ,nanagers.
Included in "Building Energy Syste111 Descriptions
and Sequence ofOperations."
4. Start-Up and Shutdown Actions
Insert a copy of routine sy ste,n start-up and shut-
dol-vn procedures and locations of applicable con-
trols.
Included in "Building Energy Syste111 Descriptions
and Sequence ofOperations. "
B. Maintenance Procedures, Checklists,
and Records
Insert procedures, for,ns, and checklistsf'or.facility oper-
ation and maintenance. Include updating requirements.
Describe inspections and testing required on a routine
basis and standard.for,ns required.
Checklists included in "Key Elements to Monitor."
C. Maintenance Schedules
Include reco1nn1ended ,naintenance schedules .for sys-
te,ns and equip111ent along ,,vith update require,nents.
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 D. Utility Measurement and Reporting
include description o_f utility tnetering and 1nonitoring
systems if that is included in the property 1nanage1nent
_functions.
Provide docu,nent .for1nats and procedures for tracking
utility use and reporting this information to ,neet
o~vner 's andjurisdictional require,nents.
E. Ongoing Commissioning (OCx) Operational and
Maintenance Record Keeping
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Include OCx and opti111ization procedures and docu,nen-
tation to 1nonitor and i,nprove the p erfor1nance o.ffacility
~yste,ns.
F. Janitorial and Cleaning Plans and Procedures
insert a copy o_ffacility cleaning andjanitorial plan 1vith
procedures and intended chemicals and equiptnent if this
is a .function of the building property ,nanage,nent. These
janitorial plans could also be used to contract .for those
services.
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX P
FACILITY OPERATING PLAN
The following are examples of the requirements and fonnats
for the doctunents to be included in the Systems Manual. In
the sections below, italics provides the reader with guidance
as to the type of infonnation that would be added to that sec-
tion, specific to the facility under consideration.
A. Facility Operations Instructions
1. Operating Plan
Describe the intended use and operation o.fthe.facility.
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2. Facility Layouts
Include sirnplified line dra,vings sho,vingfacility site
plan, floor layouts, and locations of ,najor Jystems,
control centers. and utility shut-offpoints. This assists
in the orientation ofoperating staff and othe,~~-
3. Operating Schedules
Describe and list planned operating hours .for the
facility. This is the basis for the more detailed sched-
ules and sequences o.f operation.
4. Roles and Responsibilities
Describe the facility rnanagernent organization and
staff and their reJponsibilities. Include the planned
use of·contractors and consultants in building opera-
tion, such as security and janitorial functions.
.. . . . .. ........ . . .
- ... ·...
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 (This annex is not a mandatory part of this guideline. It is 2. Facility Owner or operator defines the initial desired ten1-
merely informative and does not contain requirements perature for each roo1n or space and any hu1nidity, airflow,
necessary for conformance to the guideline. Unresolved and pressure require1nents.
objectors on informative material are not offered the right 3. Design team for new buildings, or Comn1issioning (Cx)
to appeal at ASHRAE.) Tean1 for existing buildings, sets initial tolerances and
1naxi1num functional ranges for te1nperatures, humidity,
INFORMATIVE ANNEX Q air flow, and pressure require1nents.
BUILDING OPERATING SEQUENCES AND 4. Design tea1n for new buildings, or Cx Team for existing
SETPOINTS buildings, using the Basis of Design (BoD), defines the
The following are exa1nples of the require1nents and fonnats equipment and sequences of operation necessary to
for the docu1nents to be included in the Syste1ns Manual. accomplish the require1nents above.
5. Contractors or building operations personnel for existing
PROJECT: _ _ _ _ _ _ _ _ _ _ _ _ __ buildings provide and install systems to accon1plish the
DATE_ _ _ _ _ REVISION _ __ defined requiren1ents.
ADDRESS: _ _ _ _ _ _ _ _ _ _ _ _ _ __ 6. Cx Tean1 tests and validates the syste1ns performance to
OWNER:_ _ _ _ _ _ _ _ _ _ _ _ _ _ __ the requirements and updates the require1nents and
sequence docu,nents to reflect final conditions.
INSTRUCTIONS: 7. Docun1entation fro1n the above iten1s is entered in the
facility guide and Syste1ns Manual.
1. Facility Owner or operator de.fines the initial operating 8. Building operators are trained and operate the building
schedules, anticipated occupancy, and outdoor air require- based on the docun1entation, which is updated as changes
ments for each roon1 or area. occur.

.. . . . .. ..,.,, .. . . . ... ...

-

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 a: a~
" < •
~ i1 ::,,
8. a. :sg
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?; ~ (I)
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·· ··· ;;"~ ······ I. ·· SCHEDULES
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I~ i PROJECT: Example Building EXAMPLE ROOJ\1100,
!!i
!ll ;:; :::-
3 :r 10·
SPACE OCCUPANCY SCHEDULE Office Area
::; > fD
iii (I) w Number of
0. ~ =:
• lJ. Morning
-· > IQni
:Tm Day of Occupied Unoccupied Special Number of Occupants Occupants
0
C
,
0. State Warm-Up/ Outdoor Air Required Notes
i.• ~ Week Time Time Events Time (Min/Max) (Min/Max
g, Cool-Do,vn
,
c.
Special Event)
am3 a:
g
- 5' Ivlonday- ASHRAE Standard 62.1
::c "'m On 6:00 a.in. 7:00 a.m. 6:00pm 6:00pm 6/ 50 6/80
rt>
~
Friday \Vhen Occupied
ar - -
J Off 7:00 a.m. 6:00 p.tn. 6:00 a.m. 10:00 p.m.
~ Saturday On NIA 9:00 a.m. I :00 p.m. 1:00 p.m. 0/20 0/100 ASH RAE Standard 62.1
Oft' NIA 1:00 p.m. 6:00 a.m. Midnight - - Min
Sunday On NIA NIA All 1:00 p.m. - 0/100 ASHRAE Standard 62.1
Off NIA NIA All Midnight - - Min
Holiday On NIA NIA AJI All - - Min
Oft' N/A N/A All All - - Min
Special
Conditions:
~~

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II. SETPOINTS (1-P) Approval_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Date_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
~;.
-z
2' G) Project~ - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
~~
o-i System System
~~"' Temperature Temperature
.. Temp Temperature Pressure Pressure Pressure
;i Room or Occupied- Unoccupied-
Range, Limits- Occupied, Unoccupied,
Pressure Range,
Limits-
~
0
Area Summer/Winter, Summer/Winter, ::1:oF l\1in/max, •
ID. \Vg
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ID. \Vg
±in. "'g Min/Max,
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II. SETPOINTS (SI) Approval_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Date_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __

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5. Room or
Temperature
Occupied-
Temperature
Unoccupied-
Temp
Range,
System
Temperature
Limits-
Pressure
Occupied,
Pressure
Unoccupied,
Pressure Range,
System
Pressure
Limits-
~ Area Summer/Winter, Summer/\Vinter, ±Pa
~
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ea
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oc oc :1: oc Minimax,
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Pa Pa Min/Max,
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 Ill. SEQUENCES OF OPERATION
Approval: _ _ _ _ _ _ _ _ _ _ _Date: _ _ __
Project_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
AHU#______ Location: _ _ _ _ _ _ _ __
1. Constant-Volume Air Handler with
Supply Fan, Chilled-Water Coil, How-Water Coil,
Demand-Controlled Ventilation
SEQUENCE OF OPERATION
A. OCCUPIED MODE
I. The supply fan shall be energized by
2. The space te,nperature shall be controlled by
3. Heating and cooling space temperature setpoints shall
have a _ 5°F (_ 3°C) deadband bet\.v een the heating and
cooling.
4. The heating-coil valve and cooling-coil valve shall
1nodulate in sequence to maintain supply air temperature
setpoint and space temperature.
5. Outdoor air shall be provided by
Mini1nu1n!tnaxi1nu1n outdoor air shall be controlled by
Demand-controlled ventilation shall be provided by
6. Supply air temperature setpoint shall be reset based on
space ten1perature.
B. UNOCCUPIED MODE
I. Unoccupied qff:· The supply fan shall be de-energized
except when operation is called for as described below.
Outdoor air da,npers and exhaust da,npers shall be closed
and return air da111per shall be open. Heating and cooling
valves shall be closed.
2. Unoccupied Off Coil Protection: When the supply fan is
de-energized and the outdoor air te,nperature is belov.r the
outdoor air low-te1nperature protection setpoint of 35°F
(1.7°C) (adjustable) and the mjxed-air te111perature is less
than the ,nixed-air low-te,nperature protection setpoint of
45°F (7.2°C) (adjustable), or the low-temperarure li1nit
trips, then the heating-coil valve shall cycle to maintain
1nixed-air temperature protection setpoint of 45°F (7 .2°C).
3. Unoccupied Setback/or Space Temperature: The supply
fan shall cycle on with the outdoor and exhaust da1npers
closed when the space temperature drops below the
unoccupied space te,nperature setpoint of 65°F (18°C)
(adjustable). When the fan is energized, the heating shall
1nodulate to ,naintain supply air te,nperatw·e setpoint of
95°F (35°C) (adjustable).
4. Morning Warm-Up .for Space Te,nperature: If the space
te,nperature is below the occupied te,nperature setpoint
and the outdoor air te1nperature is below 40°F (4.4°C),
morning wann-up shall be initiated by the optimu,n start
progran1. The outdoor air and exhaust air dampers shall
be closed and return air da111per shall be open during the
,norning wann-up cycle. If the space te,nperature ,s
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below setpoint, the unit shall wann the space to setpoint
by raising the unit supply temperature to 95°F (35°C)
(adjustable) until the space te,nperature equals the occu-
pied space temperature setpoint. If the space reaches the
occupied space temperature setpoint before occupancy,
the syste1n shuts off. If occupancy occurs before the
space reaches the heating setpoint, the system switches to
occupied ,node. Morning wann-up shall occur only once
in a day.
5. Morning Precooling_for Space Te,nperature: If the space
te,nperatw·e is above the occupied space temperature set-
point and the outdoor air te1nperature is above 70°F
(21 °C), morning precooling shall be initiated by the opti-
n1tun start progra1n. The outdoor air and exhaust air
da1npers shall be closed during the morning precool
cycle. The unit shall cool the space to setpoint by lower-
ing the unit supply air ten1perature setpoint to 55°F
(13°C) until the space temperature equals the occupied
space te1nperature setpoint. If the space reaches the occu-
pied space te1nperature setpoint before occupancy, the
system shuts off. If occupancy occurs before the space
temperature reaches the occupied space temperature set-
point, the system switches to occupied mode. Morning
precool shall occur only once per day.
C. SAFETY SHUTDOWNS
I. Duct s,noke detection, space smoke detection, and low-
temperature limit trips shall de-energize the supply fan
and close the outdoor air dampers. Manual reset of the
tripped device shall be required to restart the syste,n.
2. When the outdoor air te,nperature is below the outdoor
air low-te1nperature protection setpoint of 35°F ( 1. 7°C)
(adjustable) and the air handler has shut down in alarm,
the heating and cooling valves shall cycle as described
previously in the unoccupied off coil protection 111ode.
2. Fan-Coil Unit with Chilled-Water Coil,
Hot-Water Coil
SEQUENCE OF OPERATION
A. OCCUPIED MODE
1. The unit fan shall be energized by
2. The heating-coil valve shall ,nodulate in sequence to
n1aintain a 70°F (21 °C) space heating setpoint.
3. The cooling-coil valve shall ,nodulate in sequence to
111aintain a 75°F (24°C) space cooling setpoint.
B. UNOCCUPIED MODE
l. Unoccupied Qff: The supply fan shall be de-energized
except when operation is called for as described below.
Heating and cooling valves shall be closed.
2. Unoccupied Setback for Space Ternperature: The supply
fan shall cycle on when the space te1nperature drops
below the unoccupied setpoint of 65°F ( I 8°C) (adjust-
able) and shall operate until the space is 4°F (2°C)
(adjustable) above the unoccupied setpoint. Cooling shall
be locked out. When the fan is energized, the heating
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 shall modulate to n1aintain 95°F (35°C) adjustable dis-
charge temperature.
3. Morning War,n-Up ,for Space Temperature: If the space
is belo,v the occupied temperature setpoint, morning
wann-up shall be initiated by the optimutn stati progratn.
If the space tetnperature is below setpoint, the unit shall
warm the space to setpoint by raising the unit supply
temperature to 95°F (35°C) (adjustable) until the space is
satisfied. When the space has reached setpoint, the unit
shall operate in the occupied tnode. If the space reaches
the heating setpoint before occupancy, the system shuts
off. If occupancy occurs before the space reaches the
heating setpoint, the systetn switches to occupied tnode.
Morning warm-up shall occur only once per day.
C. SAFETY SHUTDOWNS
I. Duct smoke detection or space smoke detection shall de-
energize the supply fan . Manual reset of the tripped
device sha11 be required to restart the system.
3. Variable-Air-Volume (VAV) Air-Handling Units
with Supply Fan, Relief Fan, Chilled-Water Coil,
Economizer, Hot-Water Outdoor Air Preheat
SEQUENCE OF OPERATION
A. OCCUPIED MODE
I. The supply fan shall be energized by
2. The supply air duct static pressure setpoint shall be
slowly ra1nped fro1n zero to the final setpoint value after
the supply fan is started.
3. The air-handling unit supply fan speed sha11 modulate to
1naintain duct static pressure setpoint of 1.5 in, wg (370
Pa) (adjustable).
4. The static pressure setpoint shall be reset so that at least
one of the VAY boxes is at 90% (adjustable) open.
5. A high li1nit duct pressure function shall reduce the sup-
ply fan speed to keep the supply duct pressure from
exceeding 2.5 in. \.vg (620 Pa) regardless of the de1nand
fro1n the VAY boxes.
6. The preheating-coil valve, mixed-air dampers, and cool-
ing-coil valve shall 1nodulate in sequence to maintain
supply air temperature setpoint. Provide a deadband of
5°F between heating and econo1nizer cooling.
7. The supply air temperature setpoint shall be reset from T-
inin (53°F [12°C]) ,vhen the outdoor air temperature is
70°F (21 °C) and above, up to T-tnax when the outdoor
air te1nperattu·e is 65°F (l 8°C) and below. T-1nax shall
range fron1 55°F to 65°F (l3°C to l 8°C). T-max shall
va1y such that the VAY box with the highest cooling
de1nand is at 90% of its cooling n1ax setpoint.
8. Outdoor air shall be provided by
Mini1nu1n/1naxi1nu1n outdoor air shall be controlled by
De1nand-controlled ventilation shall be provided by
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9. In de1nand control ventilation, the zones with C0 2 sen-
sors shall send the air-handler outdoor air controller a
%C02 signal varying frorn Oo/o -100%. As the largest
%C02 signal from the zones served by the syste1n varies
fro1n 50% to I 00%, the outdoor airflow setpoint shall
vary from V01 .,n;,, (the unoccupied design n1inimu1n out-
door air quantity) to V01 (the occupied design outdoor air
quantity).
I 0. Econornizer cooling is enabled ,vhenever the outdoor air
temperature is less than 55°F (13°C). When the outdoor
air te1nperature is greater than the supply air te1nperature
setpoint, econo1nizer cooling is disabled.
B. UNOCCUPIED MODE
I, Unoccupied Off: The supply fan shall be de-energized
except when operation is called for as described below.
Outdoor air datnpers and exhaust dampers shall be closed
and return air damper shall be open. Heating and cooling .
'
'
control valves shall be closed.
2. Unoccupied Off Coil Protection: When the supply fan is
de-energized and the outdoor air temperature is below the
outdoor air low-te1nperature protection setpoint of 35°F
(l.7°C) (adjustable) and the mixed-air temperature is less
than the tnixed-air low-te1nperature protection setpoint of
..
'
45°F (7.2°C) (adjustable) or the low-temperature limit
trips, then the heating-coil valve shall cycle to maintain
1nixed-air te1nperature of 45°F (7.2°C) (adjustable), and
the cooling valve shall be open.
4. Morning Warm -up: The opti1nu1n start progra1n shall
start the zone heating tenninal boxes, or the unit if reheat
is the heating source, at the latest possible titne to reach
the desired occupied space temperature setpoint at occu-
pancy ti me. Tfthe average space temperature is below the
occupied space te1nperature setpoint, the zone fan or sup-
ply fan shall energize, and the outside and exhaust dan1p-
ers shall retnain closed and the return darnper shall be
open. The heating-coil valve shall 1nodulate to maintain
supply air temperatt1re setpoint of 95°F (35°C) (adjust-
able) until the average space te1nperature equals the
occupied space temperature setpoint. The supply fan
speed shall be controlled as described in the occupied
n1ode. The VAY boxes shall 1nodulate to rnaintain the
occupied space temperature ,vhile the unit is delivering
wann air. When the occupied space te1nperature setpoint
is reached, the unit shall operate in the occupied 1node.
Morning warm-up shall occur only once per day.
5. Morning Precooling: If the n1onth falls bet,veen May and
October (adjustable), the outdoor air te1nperature 1s
below 55°F (13°C) (adjustable), and the average of the
three highest space ten1peratures exceeds precool space
te1nperature setpoint, 1non1ing precooling rnay begin.
The unit shall start in the precool mode as detem1ined by
an optirnwn start prograrn at the latest possible time to
have the space at the occupied setpoint at occupancy
time. The econon1izer cooling ,node shall 1nodulate the
outdoor air and return air da1npers to provide 55°F
(l 3°C) (adjustable) supply air. The heating and cooling
valves shall be closed. The supply fan speed shall be con-
trolled as described in the occupied n1ode. When the
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 average of the three highest space temperatures falls
below the occupied space temperature setpoint, the unit
shall return to unoccupied 1node. When the space has
reached this setpoint, the unit shall operate in the occu-
pied mode. Morning cool-dov.rn shall occur only once per
day.
C. SAFETY SHUTDOWNS
I. Duct smoke detection, space s1noke detection, duct pres-
sure safety, and low tetnperature litnit trips shall de-ener-
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.
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gize the supply fan and close the outdoor air and exhaust
air dampers. Manual reset of the tripped device shall be
required to restart the system.
2. When the outdoor air temperature is below the outdoor
air lo,v-te1nperature protection setpoint 35°F (I. 7°C)
(adjustable) and the air handler has shut down in alann,
the heating and cooling valves shall cycle as described in
unoccupied mode.
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 (This annex is not a mandatory part of this guideline. It is
n1erely inforn1ative and does not contain requirements neces-
sary for conformance to the guideline. Unresolved objectors
on informative material are not offered the right to appeal
atAS HRAE.)
INFORMATIVE ANNEX R
MAINTENANCE PLAN, PROCEDURES,
CHECKLISTS, SCHEDULES, ANO RECORDS
The fo llowing are examples of the require1nents and fonnats
for the docu1nents to be included in the Syste1ns Manual.
An HVAC example is used in this annex, but similar list-
ings can be prepared for all syste1ns. ANSI/ ASHRAE/ACCA
Standard 180-2012 should also be used for 111echanical main-
tenance infonnation.
Inspections/111aintenance documentation shall be placed
in a con1puter-based 111aintenance system. The checklist in
Table R-1 details items that are included in inspections as an
example. Specific facility and equipn1ent inspections are
sho\vn in Table R-2.

TABLE R-1 Example Building Systems List and Schedule

Frequency,
Co,npulsory Service Contract
l\.'lonths
Building-Related Installations
Autornatic fire alarrn l X X

Autornatic fire-alarn1 routing to fire brigade X

Autornatic fire-alann certificate rene,va.1 I X X

Autornatic fire doors inspection I X

Autornatic fire doors test \Veekly X

Fire da,n_pers test according to fire instal.lations operation and rnaintenance (O&M) 1 X

Fire hoses/portable fire extinguishers inspection I X X

Fi re hose pressure test 60 X X

Portable fire extinguishers pressure test/renewal 60 X X

Srnoke ventilation test according to fire installations O&M 1 X

Stand pipes test according to fire installations O&M I X

Short-break systern service including diesel generators 12 X X

Short-break systern test \Veekly X X

Ernergency Iighti ng service 12 X X

E,nergency lighting test I X X

Cooling plant inspection 2 X

Cooling plant service according to rnanufacn1rers requirernents l X X

Elevator service 6 X X

Elevator fal I test 36 X X

Fan coils fi lters 2

Heat exchangers district heating fi lter exchange l
Heat exchangers district heating inspection and service 12 X X

Natural gas boilers inspection and service 12 X

Ventilation plant fi lters I

Ventilation syste,n inspection and service 12 X X

Freshwater distribution systern service 1

\\later analys is, including legionellosis X

Cleaning of fi lters and change of batteries in nontouch ,vater faucets I

Autornatic doors l X

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 TABLE R-1 Example Building Systems List and Schedule (Continued)

Frequency,
Compulsory Service Contract
Months
Building-Related Installations (contd.)
External rnechanical solar shading 1

Change of light bulbs, etc. 48

Access control systern, locks, and electronic substations inspection and service 12 X

Paging systen1 12 X

Burglar alarn1 syste111 12 X

Internal TV syste111 12
Cornpressed-air syste111 12 X

Vacuun1 systern 12 X

S,.vitchboard thennography 12 X

Building n1anagen1ent systern (BMS)-control of alanns or functions 1 X

1\1edicotechnica/ Installations
Linear accelerator 1 X

MR scanner 1 X

CTscanner 1 X

Patient lifts 6 X

IndoorO&M

Exchange of door rnats Twice weekly X

Window cleaning 2 X

Outdoor O&M

Roof sv,eep and cleaning of leaf grate 2 X

Cleaning sand h·ash rack 1 X

Window cleaning 2 X

Graffi ti rernova l 12 X

TABLE R-2 Example for Building and HVAC Equipment Inspections

System Function Cycle Corrective Action

I. Air filters Inspect filters for use of specified type, function, pressure Monthly Replace fi lters that exceed allo\ved
drop, dirt loading, contan1ination, installation with tight fit pressure drop, are loaded with dirt,
to eli111inate air bypass. or have becorne \Vet or
contan1inated. Ensure proper
installation.

2. Dampers Inspect darnpers for proper function and adjustn1ent. Verify Monthly Repair dan1pers and seals and
airflow rates; include a visual check n1ark on dan1per handle ensure they operdte as required.
to verify it has not been tarnpered \vith since balancing. Exercise darnper operdtion frorn
stop to stop (full open, full closed).

3. Drain pans Inspect drain pans and adjacent surfaces. Test drdin function Monthly Clean if dirty or if there is evidence
by pouring water or le.aning agent into pan and observing of growth or dirt.
enti re drainage cycle. All antifungal chen1icals shall be in
place where biofiln1s, slirnes, or fungi grow.

.. . .. .. ...... , . .-. . ... ·...

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 TABLE R-2 Example for Building and HVAC Equipment Inspections (Continued)

System Function Cycle Corrective Action

4. Air plentuns Inspect for cleanliness, blockage, in1proper n1aterials in Sen1iannually Clean out dirt and 1nicrobial
plenun1, n1icrobial growth, or hazardous n1aterials. growth. Remove contan1inated
insulation. Coat/paint with
anti1nicrobial coatings.

5. Coils Inspect coils for cleanliness, n1icrobial growth, and pressure Sen1iannually Degrease, sanitize, and clean dirty
drop. coils.

6. Major air-handling Inspect for cleanliness and dan1age. Sen1iannually Clean dirt and dust with HEPA
con1ponents vacuun1. Clean grease and oi I
con1ponents with degreaser
chen1icals. Ren1ove and replace or
repair dan1aged areas with like
n1aterials.

7. Intake louvers Inspect louvers, adjacent areas, and bird screens for Se1niannually Repair as required.
cleanliness and functionality.

8. Trap prin1ers Inspect for proper function. Sen1iannually Repair or replace if not operational.

9. Access panels Inspect for function and condition. Sen1iannually Repair defective panels and
equipn1ent.

I 0. Outdoor air Test, adj ust, and balance outdoor air supply flov" to design Annually Repair equipn1ent as required.
rate and n1ark da1nper or control position.

11. Zone box controls Verify control operation and setpoints. Annually Correct setpoints and n1ake
necessary repairs.

12. Lighting Verify operation of lighting controls and dimn1ing. Annually Readj ust or replace defective
controls.

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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX S
ONGOING COMMISSIONING (OCX) AND
RECORDKEEPING
The following are examples of the requirements and formats
for the documents to be included in the Systems Manual.
S1. GENERAL REQUIREMENTS-
SCOPE, PURPOSE, RESPONSIBILITY,
TRAINING, SECURITY
Scope
This doctunent provides the facility description and opera-
tional require1nents to i1nple1nent an environ1nental and 1nain-
tenance quality plan for the title facility after construction.
Purpose
The purpose of this plan is to provide a su1nmary of the infor-
1nation needed to understand and operate the title facility in a
1nanner that provides an acceptable indoor environn1ent. The
training and procedures as ,ve11 as the materials used by the
custodial and n1aintenance staffs are of particular importance.
Included in this infonnation are a facility description; build-
ing function and uses; custodial and maintenance che1nicals,
custodial procedures, training requiren1ents, the location and
use of record docun1ents; syste1ns modification criteria; oper-
ating and 1naintenance schedules, ventilation standards, and
outdoor airflow rates; environmental inspection checklists;
and an environ1nental complaint procedure.
Key Players and Responsibilities
The faci lities manager has the primary responsibility to
ensure that the appropriate facility standards are used and that
confonnance is 1naintained to provide acceptable indoor envi-
ronmental quality to the faci lity occupants. He or she is also
responsible for ensuring that service contractors are con-
tracted and trained to confonn to the green requirements. The
facilities manager is tasked with coordination and communi-
cation ,vith the necessary departments affected by this plan
and has the primary responsibi lity for the plan updates. He or
she is also responsible for training of personnel and for super-
vision of the green facil ity maintenance function.
The contracted service provider has the overall manage-
ment oversight for the prograrn and provides the 1notivation
for plan accornplish1nent. The contracted service provider is
responsible for the following:
• Providing research and acquisition of materials and ser-
vices to Green Seal Standards to acco1nplish the plan ele-
ments
• Enstu-ing that custodial 1nanager and custodial techni-
cians are trained to confonn to the Green Seal require-
1nents
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• Reporting to the facilities 1nanager
• Servicing the facility after special events according to the
environ1nental and maintenance quality plan
• Ensuring that noisy custodial work, such as vacuu1ning
or floor polishing, is perfonned at night
• Maintaining records as required
• Having a 1nini1nu111 of one qualified custodial technician
on site during the work hours of 8 a.111. to 5 p.111., Mon-
day through Saturday, who will respond quickly when
called to perfonn specific tasks as needed.
These provisions apply to the entire building. The occu-
pants of the building have the authority to ca11 on-site contrac-
tor perso1u1el for specific and in11nediate housekeeping issues
that 1nay arise.
The contracted custodial 1n anager is responsible for the
training of personnel and the supervision of the green custo-
dial functions in execution of this plan.
The contracted custodial technicians are responsible for
the execution of the green custodial plan.
Training
Training of the indoor air quality tea1n is essential in the oper-
ation of an environ1nental quality progra1n. All persons in the
facility have an i1npact on the quality of the indoor environ-
1nent. Each group of building operators and occupants should
have a training progra1n appropriate to their involve1nent.
These groups could include the following:
• Building 1nanagement and operations
• Sectu-ity
• l'vfaintenance
• Custodial
• Occupants
All of these groups receive safety training. It is equa11y
important to require environmental training to 1naintain the
building environment.
A training progra1n ,viii be developed for each group
based on its specific function and the chemicals used. Each
progra1n ,viii include basic understanding of building function
and operation; location and use of ,vritten procedtu-es, stan-
dards, and record docu1nents, specifically including 1naterial
safety data sheets (MSDS) for all chetnicals; basic under-
standing of the building environ1n ental prograrns; and proce-
dures and standards for the group's job function.
In addition to the basics above, each group wi11 have spe-
cific training as fo11o,vs:
1. Building 1nanagement will have training in environmental
manage1nent procedures and plans, including EPA, ISO,
and industry standards; chemical and materials procure-
ment; chemical and materials manage1nent and storage
requirements; building occupant complaint procedures
and record keeping; and the review and updating of this
plan.
2. Sectu-ity personnel training will include environ1nental
and safety building require1nents; general overview of
custodial and 1naintenance functions; che1nical storage
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 requirements; and emergency chen1ical and environ1nental
procedures.
3. Maintenance personnel training will include environ1nen-
tal factors in facility and equipn1ent 1naintenance; equip-
1nent operations and schedules; chemical and 1naterials
procure1nent and storage requirements; record-keeping
requirements; and emergency operating procedures.
4. Custodial personnel training will include effective clean-
ing procedures; pennitted chemicals; use and 1nixing of
cleaning che1nicals used in the building; chemical storage
requirements; and emergency environn1ental procedures.
5. Building resident training ,viii include chen1ical and 1nate-
rials allowed and specifically excluded in the building;
che1nical storage requirements; and e1nergency proce-
dures.
Special Security Requirements
All personnel and contractors entering the building to perfonn
housekeeping or maintenance n1ust be authorized by the
Owner and facility n1anager. Persons 1nay be subject to back-
ground checks and training to comply ,vith current NERC
standards CIP-004 and CIP-006. This n1ay include passing a
seven-year critninal background check, co1npletion of annual
training, and attendance at a quarterly Awareness Progra1n
meeting. Authorized persons will be revie,ved and reapproved
quarterly by the O,vner and facility manager.

BUILDING AND EQUIPMENT CHECKLISTS

(Select specific items for each area/systen1/unit fron1 master inspection list.)
Inspector: _________________________ Date: ______________
Equipment/System Name: _________________ Designation: ____________
Location: - - - - - - - - - - - - - - - - - - - - - - - - - System Associated: _________
Man ufacture r: - - - - - - - - - - - - - - - - - - - - - - - Model #: _ _ _ _ _ _ _ _ _ _ __
SeriaI #: - - - - - - - - - - - - - - - - - - - - - - - - - - Date of Mfg: _ _ _ _ _ _ _ _ _ __

Item Component OK/NA Needs/Results Comments Follo,v-Up

Notes:

+4 . • • • • , . , • •, • • • + ' . , • •••

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 (fhis annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX T
JANITORIAL AND CLEANING PLANS AND
PROCEDURES
The following are examples of the requirements and formats
for the docu1nents to be included in the Syste1ns Manual.
T 1. CUSTODIAL PROCEDURES
General Procedures Overview
All offices, classroo1ns, and building service areas shall be
operated and rnaintained in an environrnentally responsible
n1anner, with the follo,ving being addressed:
I. An effective recycling program exists for paper and other
com1nodities (cardboard, glass, plastic, and alumintun)
that can be recycled, through progra1ns that ernphasize
reuse and waste rninin1ization.
2. There is a 1nini1nization of waste paper and other dispos-
ables.
3. Substantial compliance with the procedures and products
recomn1ended in the Pennsylvania Green Building Opera-
tions and Maintenance Manual is reco1n1nended ,vherever
applicable, with respect to the following:
• Custodial services
• Landscaping
• Roofing and parking
"Substantial compliance" \.vith the rnanual means that
the facility 1nust dernonstrate for each area covered in the
manual that it complies with 80% of the procedural guide-
lines (action ite1ns or key points or equivalent, in bold)
and is using products that conform with recon11nended
criteria for at least 50% of custodial products and at least
75% of other products.
4. Renovations or new buildouts use environ1nentally prefer-
able 1naterials and syste1ns.
The facility will have policies and procedures ensuring
that green faci lities' operation and 1naintenance (O&M)
are applied on a continual basis. In particular, the building
a. provides training to all relevant staff on enviro111nen-
tally responsible products and practices for green
facilities ' operation and n1aintenance and
b. routinely 1nonitors its perforn1ance by conducting an
internal audit at least every six months that involves
periodic collection and tracking of data on perfor-
mance in green facilities' O&M, evaluation against
explicit perfonnance targets, and 1nanage1nent review
for improven1ent or realign1nent.
Specific Custodial Procedures
Housekeeping Guidelines
I. Soil Control Syste,ns: Soil control syste1ns are the first
defense against surface soil and grit. Walk-off 1nats shall
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be placed at all entries to carpeted areas, including outside
entries, stairwells, and entries to all other surfaces.
a. If walk-off n1ats are used, they should be vacuwned
according to the following schedule:
Building Area Vacu umed
Private areas I ti,ne dai ly, 4 passes
Public or se,nipublic 2 ti1nes daily, 4 passes
b. If a carpet surface is used, it should be vacuun1ed daily
using the schedule above. Carpets should also be
extracted according to the following schedule:
Building Use Extract
Private areas Once ,veekly
Public or sernipublic T,vice week ly
2. Vacuu,ning: Daily vacuuming is the most i1nportant part
of the total carpet care program. Improper or ineffective
vacuu1ning will accelerate wear and allow dirt and grit to
penetrate surfaces.
a. Vacuum. specifications: All areas should be vacuwned
with a dual- (2) rnotor vacuurn \Vith an internal filter-
ing systern for cleaner discharge of 3 1nicrons or less.
The vacuurn should have a 3500-rpin chevron brush
with pile height adjustrnent, bn1sh wear adjustrnent,
and top loading bag. No single-rnotor, cloth-bag vacu-
ums, or backpack vacuurns will be used.
b. Vacuu,n .frequency : All areas classified as "heavy" and
"rnoderate" traffic should be vacuwned daily. Low-
traffic areas should be vacuwned two (2) ti1nes
weekly. Heavy-traffic areas are typically classified as
lobbies, traffic lanes, interior aisles, entrances, eleva-
tors, and break rooms. Moderate-traffic areas are clas-
sified as interior aisles and conference roo1ns. Low-
traffic areas are typically classified as cubicles and
general office space.
3. Spots and Stains: Spots and stains are a detriment to an
expected high appearance level. These should be attended
to on a daily basis.
a. Pretreatment: Prespray the spot \.Vith a water-based
solvent (pH 8.5 to 9.5), and allo,v 10 rninutes of dwell
time. Agitate soiled area with a soft-bristled nylon
brush and extract residue with wann water.
b. Coffee spills: If the water extraction stain is a coffee
spill, use coffee spot re1nover and follow 1nanufac-
turer's reco1111nended procedures. Do not extract or
blot. Sirnply spray affected area.
4. Extraction: I-lot-water extraction provides rapid soil ernul-
sification, as 1nost of the cleaners used for extraction are
low foarning and noncorrosive. They penetrate into the
carpeting and loosen the soil for easy re1noval while
extracting. The pH of the detergent used should not
exceed I 0.5.
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 a. Extractor spec(fication: Equip1nent perforn1ance char-
acteristics are critical to ensure effective and co,nplete
extraction. Use a self-contained hot-,vater extractor
with a minin1um of 100 psi (690 kPa) water pressure
through the injection nozzles, a reel-type soft-bristled
agitation brush, and water lift of 130 in. (330 cm).
b. Schedule: Schedule ofhot-,vater extraction cleaning.
i. High traffic: Heavy and high-traffic areas shall be
extracted on monthly basis.
ii. Afediu,n traffic: Moderate-traffic areas shall be
extracted every three 1nonths.
iii. Lo1,v traffic: Low-traffic areas shall be extracted
every six months.
1v. Special areas: Heaviest traffic areas n1ay require
additional attention once traffic patterns have been
established within the buildings. These areas very
often include entrances, lobbies, and aisles directly
adjacent to entries.
5. Carpet Cleaning Che,nicals: Only preapproved carpet
cleaning che1nicals ,viii be used. Ensure fuat the che1nical
1nanufacturer's recomn1endations and safety procedures
are followed. Do not exceed the recommended dilution
ratios for any cleaning product. Chemical use should con-
fonn to all regulatory guidelines.
a. PreJpray spotter (pH 8.5 to JO): Prespray the area to
be cleaned. Allow the prespray eight to ten (8 to 10)
minutes of dwell tin1e. Extract the presprayed area
with hot ,vater only. Note: do not prespray too large an
area. If the prespray is allowed to dry prior to extrac-
tion, it is ineffective.
:_b. Detergent (pH not to e,-..:ceed 10.5): Dilute the deter-
gent to the che1nical manufacturer's specified ratio per
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gallon or litre of hot ,vater. Extract the carpet. If there
are any large stains, it is advisable to prespray the1n
prior to extracting. (See IICRC SOO 1-1994, Carpet
Cleaning Standard, Section 3, "Spots and Stains.")
6. Vinyl Co,nposition and Concrete Floors: Vinyl tile, com-
position, and concrete floors shall be swept daily with an
oil-free dust mop or vacuum cleaner. Dan1p 1nopping n1ay
be necessary to re1nove dried liquids or 1naterials.
a. Schedule: Floor scrubbing shall be performed quar-
terly in high- and moderate-traffic areas and annually
in light-traffic areas.
b. Scrubbing: Scrubbing shall be preceded by a nonoily
dust mop. Using a neutral liquid floor cleaner recom-
1nended by the flooring manufacturer, scrub the floor
with a con11nercial scrubbing machine of 170 to 250
rpm capability and equipped with a moderately abra-
sive scrubbing pad (blue or green pad). Keep the floor-
ing wet at all times during the procedure but do not
flood the floor. Absorb the cleaning solution with a
1nop or ,vet vacuu,n. Rinse the floor with clean ,vater
after washing, follo,ved by a wet pickup vacuun1 or
da1np mop.
c. Finishing: After the floor has been cleaned, apply
three to five coats of a good metal cross-linked liquid
acrylic finish that is resistant to water spills and is non-
removable by a neutral floor cleaner.
7. Mold Re,noval: All 1nold in the building or building sys-
tems shall be professionally re1noved according to IICRC
Standard S520, Standard and Reference Guide.for Profes-
sional Mold Ren1ediation.
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Nol for Resale, 201515/28 09:22:15 49
 (fhis annex is not a mandatory part of this guideline. It is Tenants will rent space with Green lease prov1s1ons,
merely informative and does not contain requirements including owner access to utility use infonnation, n1easure-
necessary for conformance to the guideline. Unresolved n1ent and verification (M&V) reporting requiren1ents, and
objectors on informative material are not offered the right Green equipn1ent procuren1ent standards. The building and
to appeal at ASHRAE.) lease are intended to help tenants achieve LEED Cl certifica-
tion. Tenants will be responsible for purchasing and installing
INFORMATIVE ANNEX U their O\vn rooftop units to provide heating and cooling.
UTILITY MEASUREMENT AND REPORTING
The following are exa1nples of the require1nents and fonnats Section 2: Intent
for the docu1nents to be included in the Syste1ns Manual. The purpose of this M&V plan is to describe the methodology
Include description of utility 1netering and n1onitoring to measure building performance and compare it to the base
syste1ns, including type and 1nodel nu1nber, and location for year of the as-designed/as-built and to the ANSI/ ASHRAE/
each meter and submeter (see Table U-1 ). IES Standard 90.1-2010 code baseline facility. This allows
Provide docu1nent formats and procedures for tracking the building owner/operator to determine if the facility is
utility usage and reporting this information to 1neet Owner's n1aintaining its planned level of use and ultimately whether it
and jurisdictional require1nents (see Table U-2). is i1nproving or deteriorating. The intent for in1plen1enting
The following plan exa1nple is provided for use in cases this M&V plan is to
where a rnore detailed 1neasurement and verification plan is l . increase energy savings by giving feedback on the opera-
needed. tion of the building, allowing the operator to adjust facility
1nanage1nent to deliver higher levels of energy savings,
MEASUREMENT AND VERIFICATION PLAN
greater persistence of savings, and reduced variability of
PROJECT NAME .
savings;
PROJECT ADDRESS
2. facilitate operation and 1naintenance (O&M) trouble-
Table of Contents shooting by providing feedback, which should facilitate
improve1nents in the O&M process and i1nprove training
Section Content Description and building perfonnance;
Section 1: Building Description 3. provide continued docu,nentation of the performance of
Section 2: Intent the building for owners, investors, tenants, designers, and
potentially, governtnent agencies, when required; and
Section 3: tvleasurernent and Verification Option and
4. to satisfy the requirements of LEED.
Botmdary
Section 4: Baseline Section 3: Approach
Section 5: Reporting Period 3.a. Summary of Approach
Section 6: Adjustments The various options and boundary to the M&V process are
shown on the following pages. These options \.Vere developed
Section 7: Analysis
by the U.S. Departtnent of Energy and other organizations as
Section 8: Energy P1ices the International Perfonnance M:easuretnent and Verification
Protocol (IPMVP) to provide an overview of current best prac-
Section 9: Meter Specifications
tice techniques available for verifying results of energy effi-
Section 10: tvlonitoring Responsibilities ciency, water efficiency, and renewable energy projects. More
Section 11: Accuracy infonnation on this process can be found on the Efficiency
Valuation Organization \.vebsite at www.evo-central.org.
Section 12: Budget
The option used in this plan and facility is Option D, cal-
Section 13: Satnple Report ibrated si1nulation. Building syste1ns that operate with energy
Section 14: Quality (natural gas, electricity, etc.) shall be 1nonitored on a relevant
ti1ne fra1ne. This 1nonitoring system will be as sophisticated as
NEW CONSTRUCTION BUILDING required to accurately deliver pertinent building perfonnance
data to the M&V tea1n.
Section 1: Building Description The base year enerf:,>y utility use will be developed with
The Seven office building is a 236,000 ft2 (2 1.9 1112), two- co1nputerized 1nodeling. This building 1nodel has been devel-
story structure recently built and currently unoccupied. Ten- oped using the Ac1ne software. The options of use of the
ants are being sought, and lease negotiations are cu1Tently 1nodel for the building are included in Section 5 of this plan.
underway with at least one potential tenant. The building is After a year of building data has been recorded, the base year
expected to be fully occupied by the third quarter of 2010 can be established, once the model has been calibrated and its
with two to six tenants. The Seven was constructed as a core accuracy verified by recording building 1nonthly 1neter read-
and shell building on its own site in any city, with adjacent ings over the first year of full occupancy operation. Fonns are
ground-level parking. included in Appendix A for this purpose. These are available

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 TABLE U-1 Description of Utility Metering and Monitoring Systems

l\1eter Type Brand & l\1odel N umber Location Notes

\\later

Electric

Natura l Gas

TABLE U-2 Document Formats and Procedures for Tracking and Reporting Utility Use

\Vater \Vater Electrical Electrical Fuel F uel

l\1onth Usage K, Cost, Usage K, Cost, Use, Cost,
gal U.S. dot \ Vhr U.S. dot therms U.S. dot

January
February
March
April
May
June
July
August
September
October
Novernber
Decernber
TOTAL

as spreadsheet fonns and can be used to produce co1nparative
graphs for better visualization.
Accurate utility rates will also need to be acquired before
the calibrated 1nodel can be co1npleted and the base year val-
ues docu1nented.
The reporting period for the initial co1nparison with the
1nodel provided should start at the beginning of the first
1nonth 1neter start schedule that is 60 to 90 days after the
building reaches full occupancy. This will allow for syste1n
and operational stabilization before a co1nparison is 1nade.
The person responsible for i1nple1nenting and 1nonitoring
this plan is the facility 1nanager.
The plan assu1nes that the basic building uses and the
facility constn1ction and syste1ns will stay relatively constant.
I . Building configurations and construction details can be
reviewed on the construction record doctunents.
2. Air-conditioning syste1ns are shown on the 1nechanical
record docwnents supple1nented by the Syste1ns Manuals.
Future tenant 1nechanical syste1ns will be shown on future
lease finish drawings.
3. Plu1nbing systen1s and 1netering are shown on the plu1nb-
ing record docu1nents and risers, supple1nented by the
Syste1ns Manuals.
4. Electrical syste1ns and 1netering are shown on the electri-
cal record docu1nents and risers, supple1nented by the
Syste1ns Manuals. Future tenant electrical and lighting
syste1ns will be shov.,n on future lease finish drawings.
These building plans and the desired rigor to be used in
1neasuring performance should guide the building operator in
the selection of the type of measurement and comparison
111ethods. The specific equip,nent installed may also allo\~' the
syste111 to be used for short term and spot-check testing, such
as before and after equipment replacement.
Since this is a new building, the as-designed/as-built util-
ity use is developed by the energy 1nodel described above with
assu,ned loads and schedules. Water use has not been 1nodeled
and is detennined by recording the 1nonthly water use fro111 the
building n1eter. Fonns are included in Appendix A for this pur-
pose. These fonns are available and can be used to produce
co1nparative graphs for better visualization. Initial energy
computer simulations are available that show estimated
1nonthly use. As noted above, these ener1:,,y 1nodels need to be
calibrated to actual energy utility costs and current weather
conditions in order to compare the111 with actual use. For the
first co1nplete perfonnance year, the as-designed 1nodel will
be calibrated such that the actual and the n1odeled monthly
electricity and gas use agree to ±20% on a 1nonthly basis and
±10% on an annual basis. The n1odel will not be calibrated to
electrical de1nand. (Computer rnodels esti1nate hourly demand
while buildings 1neasure demand on a 15-,ninute basis, render-

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 ing comparisons unfair.) This calibrated 1nodel will be referred
to as the as-operated model.
Subsequent year utility use variation of greater than I 0%
fron1 the previous year (the first year will co1npare to the cali-
brated model) will trigger an analysis of building and equip-
1nent operation to detennine the cause and re1nediation
actions. If significant deviations in operating or occupancy
characteristics are noted, the as-operated model \.viii be recali-
brated to reflect actual conditions.
The accuracy of the readings and the calculations is
determined by the meters and test instruments used. This
accuracy must be considered when evaluating both the results
of the readings and potential equip1nent changes.
Maintenance of the installed equip1nent is the 1nost
important factor in maintaining building efficiency. Adequate
manpower and budgets are necessary to perform inspections
and routine maintenance. Inspection fonns and additional
instructions are provided in the Recom1nissioning Manage-
ment Manual to facilitate that process.
There are 1nany different types of equip1nent in 1nechani-
cal and electrical systen1s. So1ne of these are listed in Section
8 of this plan along with energy efficiency considerations and
1neasure1nents. See the 1nechanical drawings for current
installations.
The level of accuracy in the M&V process depends on
the type of equip1nent and training of the testing and 1nainte-
nance staff. Care should be taken to select the compatible new
or replace1nent equipment and to continually train the staff on
1naintenance and energy efficiency practices.
Reports can be produced 1nonthly and yearly by using the
utility meters. If one of the syste1ns is suspected of not 1nain-
taining its efficiency, temporary meters or data loggers should
be installed for verification. The building energy manage.1nent
syste1n can also be used for trending, 1neasure1nents, and cal-
culations. Equip1nent that can be used for this temporary
metering purpose can be developed as needed. The utility
1neters for this building are sho,vn in separate attachn1ents.
Ren1edial or corrective action would depend on the ele-
ments of the building systetns that are causing the perfor-
1nance proble1ns. Some of these 1night include
I. adjustment of building operating schedules to 1neet actual
schedules;
2. deterioration of fluorescent lamp efficiencies requiring
bulb replacen1ent;
3. deterioration of HVAC equip1nent~.g., fans , co1npres-
sors, zone boxes, etc.- requiring cleaning, adjustrnent, and/
or replace1nent. Monitoring of temperature, airflow, hu1nid-
ity, fan speed, and amperage is of special importance;
4. HVAC and lighting control systetn operation or schedul-
ing proble1ns requiring reprogra1nming, adjusting, or
upgrading systems.
3.b. Energy Team
The 0\.vner's energy teatn \.viii assist the property manager in
these M&V activities. Son1e of these individuals/functions are
as follows (Since the building is no,v vacant, some of these
positions have not been filled.):
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• Facility Manager will 1nanage the process and hire the
other participants, including the energy tnodeling profes-
sionals.
Engineer Associates developed the original energy
model at a cost of $5000. Engineer Associates \.viii con-
tract to calibrate the model using the first year's full occu-
pancy stabilized energy use data for the additional fee of
$3500.
Budgeted cost for the management process is $10,000
for the first year, then $6500 per year thereafter.
• Building Manager of Real Estate Management, LLC,
wi II tnanage the bui Iding, data collection process, the
analysis of data, report generation, and potential building
syste1n re1nediation when necessary.
The building 1nanager's ftmction includes this data
1nanagen1ent process, but the budgeted cost for this local
building 1nanagement of the process is approximately
$5000 per year.
• Building operating and 1naintenance personnel (nan1es
TBD) will maintain the building systetns, read the build-
ing meters, obtain weather data, and assist in the analysis
and potential remediation efforts.
Budgeted cost for the M&V process by tnaintenance
operations is $20,000 per year.
• Building tnaintenance and construction contractors
(nan1es TBD) will provide construction and n1aintenance
assistance.
Budgeted cost for contractor operations is TBD at a
later date.
• Sustainability consultant will assist in analysis and reso-
lution of sustainability issues.
Budgeted cost for sustainability consulting is $12,000
per year.
The validation and adjustn1ent of the energy 1nodel
will require a modeling professional fatniliar with the
1nodeling prognun.
• Energy modeling professional and his team will provide
tnodel calibration, energy use trend analysis, and solu-
tions to utility issues and improve1nents.
Budgeted cost for 1nodel calibration is $3500 per cali-
bration cycle.
• Com1nissioning Authority (CxA) will assist in the cali-
bration and functional testing of systems.
3.c M&V Approach: Systems and Monitoring Criteria
This section is used to describe the measure.1nent approach to
building energy-using syste1ns. Each syste1n has the follow-
ing detail structure:
I. Description of item to be monitored
2. What criteria will be used to 1nonitor it
3. Frequency of monitoring.
These details will be monitored and provided to the
ener1,,y teatn. Examples include the following:
• Building chilled-water use (gallons [litres]) will be
n1etered by the mag 1neter located in the base1nent fron1
the central plant chilled-water distribution system. The
1neter ,viii be installed in the rettu-n chilled-water line
·· · · · .. ...., ... .. . , .. ...
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 TABLE U-3 Sample Building-1-P Units

Baseline
Assun1ptions to Be
(ASHRAE
Item As-Designed Model Units Updated During
Standard 90.1)
Calibration
l\1odel
Building Physical lnfonnation
Size 236,000 236,000 ft2

Stories 2 2
Wall insulation R-20 R-13 (ft2·h· °F}/BtU
Roof insulation R-35 R-20 (ft2·h· °F}/BtU
Co111111on area 23,600 23,600 rt2

Window area (overall) 23,600 23,600 ft2

Window U-factor 0.40 0.60 Btu/ft2·h·°F

WindowSHGC 0.40 0.80
Infi ltration 0.20 0.40 ach X

Equip111ent lnfonnation
Lighting power density 1.0 1.2 v.11ft2 .•
Equip111en t power density 2.0 1.2 w1ft2 X

Process load densi ty 0.5 0.5 v.11ft2 X

HVAC lnfon11ation-Co111111on Area

HVACtype DX air-cooled DX air-cooled
HVAC capacity 6 6 tons
HVAC perfonnance rating 13 10 EER
Fan type VAY CV
Heating Gas Gas
Outdoor air 20 20 cfnlfperson
HVAC lnfonnation-Tenant Area
HVACtype DX air-cooled DX air-cooled X

HVAC capacity 60 60 tons

HVAC perfonnance rating 13 10 EER X

Fan type VAY VAY X

Heating Electric Electric

Outdoor air 20 20 cfnlfperson X

Operating Characteristics
Occupancy (leased space) 100% 100% X

Occupancy(# tenants/111eters) 3 3 X

Occupan ts(# people) 66 66 X

Heating setpoint, occupied 70 70 Of X

Heating setpoint, unoccupied 60 60 Of X

Cooling setpoint, occupied 74 74 Of X

Cooling setpoint, unoccupied 80 80 Of X

Schedule 8 a.m.-5 p.111., M-F 8 a.111.-5 p.111., M-F X

Weather, Dallas, TX TMY TMY X

HOD, base 65 2407 2407 °F-days X

COD, base 65 2603 2603 °F-days X

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 TABLE U-3 Sample Building-1-P Units (Continued)

Baseline
Assumptions to Be
(ASHRAE
Item As-Designed Model Units Updated During
Standard 90.1)
Calibration
lVIodel
Results
E lectricity use 3,307,443 kVlh X

Gas use 3536 thenns X

Total energy use 11,642 MMBtu X

Energy use intensity 49.3 kBtu/ft2 X

TABLE U-3 Sample Building-SI Units

Baseline
Assumptions to Be
(ASHRAE
Item As-Designed Model Units Updated During
Standard 90.1)
Calibration
lVIodel
Building Physical lnfonnation
Size 21,900 21,900 m2

S to ries 2 2
Wall insulation R-3.5 R-2.3 (m 2·K)/\V

Roof insulation R-6.1 R-3.5 (1112·K)/W

Common area 2190 2190 m2

Window area (overall) 2190 2190 ,112

Windo,v U-factor 2.3 3.4 W/(m 2·K)

Windo,v SHGC 2.3 4.6

Infiltration 0.2 0.4 ach X

Equip,nent lnfonnation
Lighting po,ver density II 13 W/m2

Equipmen t power density 22 13 W/tn 2 X

Process load density 5.4 5.4 W/m2 X

HVAC Infon11ation-Co111111on Area

HVACtype DX air-cooled DX air-cooled

HVAC capacity 21 21 kW
HVAC performance rating 3.8 I 2.93 COP

Fan type VAV CV

Heating Gas Gas

O utdoor air 10 10 Lis/person
HVAC Infonna/ion- Tenant Area
HVACtype DX air-cooled DX air-cooled X

HVAC capacity 210 210 kW

HVAC perforn1ance rating 3.81 2.93 COP X

Fan type VAV VAV X

Heating Electric Electric

Outdoor air 10 10 Lis/person X

.. . , . ..,, ,,. .. . . .
. ,., · ...
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 TABLE U-3 Sample Building-SI Units (Continued)

Baseline
Assumptions to Be
(ASHRAE
Item As-Designed J\ilodel Units Updated During
Standard 90.1)
Calibration
Model
Operating Characteristics
Occupancy (leased space) 100% 100% X

Occupancy(# tenants/meters) 3 3 X

Occupants(# people) 66 66 X

Heating setpoint, occupied 21 21 oc )<

Heating setpoint, unoccupied 16 16 oc X

Cooling setpoint, occupied 23 23 oc X

Cooling setpoint, unoccupied 27 27 oc X

Schedule 8 a.in.- 5 p.m., M- F 8 a.m.- 5 p.m., tv-1- F X

We.ather, Dallas, TX TMY TMY X

HDD, base 18.3 1337 1337 °ዻ
C-days X

COD, base 18.3 .1446 1446 °ዻ
C-days X

Resulls
Electricity use 3,307,443 kWh X

Gas use 373,000 MJ X

Total energy use 12.283 G.T X

Energy use intensity 559 MJ/Jn 2 X

and \viii be sending pulse signals to the building 1nan-
age1nent system (BMS). Chilled-\vater supply and return
temperature will be measured by the water te1nperature
sensors installed on the chilled-water lines in the attic,
and the signal ,viii be sent to the BMS. Building chilled-
water use and temperature difference between supply
and return lines will be recorded by the BMS and
charted on an hourly basis ,vith reports generated by the
BMS for hourly, daily, weekly, 1nonthly, and yearly
energy use in gallons (litres).
• The air-handling tmits (A.HU- I, 2, and 3) use ternpera-
ture sensors to control the econo1nizer da1npers. The
economizer dampers are also controlled by the carbon
dioxide sensors that are located in each classroo1n. These
C0 2 sensors override the n1ini1num outdoor position
when Co 2 level is exceeded in any classroom.
• The chilled \vater to the air-handling units is controlled
by the chiHer plant and is not reset locally
3.d. Pro_ject Energy Reduction Devices
This section should provide fairly detailed inforn1ation
describing the systerns which are expected to reduce energy
use and therefore costs in the building.
The building is using ground-loop heat pumps to reduce
ener1,,y costs. This is in part due to the high efficiency con-
denser that is located underground. It would be a good idea to
give a couple examples of efficiencies and capacities of the
syste1n described. Sorne exa111ples include the following:
.. . . . ,. ..... , .. .. ,
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• The building also plans on using so rnany kilo\.vatts of
photovoltaic cells to supplen1ent its energy use and,
therefore, reduce energy costs. Give so1ne data on the
photovoltaic panels.
• Solar water heating will also be used, which will help
reduce energy required to heat \.Yater and reduce electric
load in the building. Provide some specific data.
• The building envelope has increased insulation levels and
windows with low solar heat gain coefficients to reduce
heating and cooling energy use.
• Lighting fixtures are high-efficiency T-8/T-5 with elec-
tronic ballasts to achieve adequate illumination levels
with a 1.0 W/ft.2 (11 W/in 2 ) lighting power density.
• The building is designed to achieve an energy use inten-
sity of 49.3 kBtu/ft2 (559 MJ/m2), which is less than that
prescribed by ASH RAE Standard 90.1 -20 IO to satisfy
LEED-CS.
• The HVA.C system for the building core areas are pack-
aged roof-rnounted cooling systerns using air-cooled
condensers. Heating is provided by natural gas.
• For tenant areas to be finished out, HVAC and air distri-
bution is expected to be fron1 roof-mounted variable-air-
volume (VAY) air-handlers \\rith VAY and fan-powered
zone boxes. Controls are electronic/direct digital con-
trol (DDC). Unit heaters and roof-mounted solar domes-
tic \Vater heaters are included for the leased spaces.
• Outdoor air is brought into the building through the roof-
top packaged units. The building uses no natural ventila-
tion.
.,. ...
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 TABLE U-4 Application of IPMVP

l\1& V Option Description Ho\\' Baseline Is Determined Typical Application Savings Calculations
B. Energy Conservation l\1easure Isolation
Savings are detern1ined after project Projected baseline energy use is Variable speed control of a fan Engineering calculations Ltsing
co1npleti on by short-tern, or detennined by calculating the n1otor. Electricity needed by 1netered data.
continuoLtS n1easurements taken hypothetical energy perfonnance of the 1notor is 1neasured on a
throughout the tenn of the contract the base) ine systen1 under n1easured continuous basis throughout
at the device or system level. Both postconstruction operating the M&V period.
the perforn1ance and operations conditions.
factors are 1nonitored.
D. Whole Building Calibrated Sin1ulation
Savings are detern1ined at the Projected baseline energy use is Savings detennination for the Calibrate energy sin1ulation
whole-building or systen1 level by detennined by energy sinu1lation of purposes of a ne,.v building and n1odeling: calibrated with
n1easuring energy use at n1ain the baseline under the operation perforn1ance contract, with the hourly or 1nonthly utility
n1eters or subn1eters or Ltsing a conditions of the M&V period. local energy code defining the billing data and/or end-use
whole-building sin1ulation baseline. 1netering.
calibrated to n1easured energy use
data .

Section 4: Commissioning (Cx)
This section \viii describe ho\v the com,nissioning (Cx) \.viii
progress and how it will help the M&V plan fulfill its use.
This section will also describe the Cx procedures.
Definition of "Commissioning"
Co11unissioning is a quality process for achieving, verifying,
and documenting the performance of equipment to meet the
operational needs of the facility within the capabilities of the
design and to ,neet the design docu,nentation and the Owner's
functional criteria, including training of operator personnel
and docu,nentation.
Co1nmissioning is a process, a combined effort between
all the 1ne1nbers of the design and construction tea1n to ensure
quality and efficiency \.vhen building a building for the
0\vner. The job of a Cx provider is to ensure that the build-
ing's systems are \.vell coordinated and operating properly. A
check on the systems is used to provide the O\vner with a
docu1nent and, therefore, expertise describing that the sys-
te,ns of the building have been installed and started within the
standard required by code.
Section 5: M&V Options and Project Boundary
S.a. M&V Options and LEED®
The USGBC cites the standard i,nplernentation methods for
th_e M&V process in the International Perfonnance Measure-
rnent and Verification Protocol (IPMVP) Volu1ne III using
eiJher Options B or D. Table U-4 gives an overview of the
al?propriate methods (go to WW\V.ipn1vp.org for more infor-
,n_ation).
.
Standard Definitions
• baseline: the base period that is used to co1npare subse-
quent building perfonnance using sirnilar conditions.
• baseline adjust111ents: the nonroutine adjustJnents arising
during the post construction period that cannot be antici-
pated and that require custorn engineering analysis.
• base year: a defined period of any length before con1par-
ison of subsequent data.
• base year conditions: the set of conditions that give rise
to the energy use/demand of the base year.
• base yetu· e11ergy data: the energy consumption or
de1uand during the base year.
• degree day: the difference in ten1perature between the
outdoor mean te1nperature over a twenty-four-hour
period and a given base temperature.
• energy 111a11age111e11t syste111 (EMS): a cornputer that can
be progra1nmed to control and/or ,nonitor the operations
of energy-consuming equiptnent in a facility or group of
facilities.
• energy Sllvb,gs: actual reduction in electricity use
(kWh), electric de1nand (kW), or thermal units (Btu).
• 111eas11re111e11t a11d verificatio11 (M& J,J: the process of
detennining savings using one of the four IPMVP
Options.
• n1eteri11g: collection of energy and \.Vater-consumption
data over tirne at a facility through the use of measw·e-
ment devices.
• n1011itori11g: the collection of data at a facility over tin1e
for the purpose of savings analysis.
• postco11struction period: any period of tirne follov,,ing
co1n1nissioning of the facility.
• verification: the process of exa,nining the report of oth-
ers to co1n1nent on its suitability for the intended pur-
pose.
S.b. Measurement and Verification Boundary
The M&V boundary will typically coincide with the project
scope. Certain buildings ,night be attached to carnpuses or
si,nilar areas where energy/heating/chilled-water are deliv-
ered from outside the scope of work and ,nay or ,nay not be
available for rnonitoring. Issues such as this will need to be
addressed here to provide infonnation pertaining to the indi-
vidual project.

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 • Extraboundary Devices Interacting lvith
Building Syste,ns
• Systems outside the scope of the project boundary
and the M&V boundaty should be addressed here to
ensure the total collection of data.
• Standards and Versions
• International Perfonnance Measure,nent and Verifi-
cation Protocol, Concepts and Options .for Deter-
rnining Energy and /,Vater Savings, Volume 1
(Septe,nber 2009)
Section 6: Baseline
6.a. Baseline Information
The building's baseline ,nay be derived fro,n two sources.
First, a calibrated energy ,nodel that has a year's worth of data
that replaces a baseline period. Second, as 1nentioned, a base-
line period of energy use of an existing building will give data
previous to energy conservation 1neasure installation.
These data, taken from either of the above two methods,
will be used to generate a base year. This will describe all the
conditions for the building before extra ECMs have been
installed and will show how they affect the cost of energy dur-
ing the following year.
The building is one-story, totaling 2500 ft2 (230 ,n2) . It is
located in Piano, TX. The expected occupancy is nearly ten
people.
A. description of the A.SHRAE Standard 90.l baseline
1nodel, combined ,~1ith the IPMVP protocol, should be written
here to further describe what will be done to the building and
also be used to help quantify the results of the M&V process.
Section 7: Reporting Period
One of the key aspects of LEED is sustainability. Recording
and watching a building's energy use monthly will greatly
anticipate problems ,vith maintenance and energy use.
Reports fro,n the metering devices \.viii be delivered and
reviewed by the O,vner and any maintenance staff, and the Cx
agent, should they choose.
The following reports should be produced to 1naintain
building efficiency (obtain the data fro1n the utility bills in
n1ost cases to provide consistency and ease of entry):
• Electricity kWh and cost on a monthly basis
• Natural gas or other fuel gas Mcf and cost on a n1onthly
basis
• Do,nestic ,vater gallons (litres) and cost on a ,nonthly
basis
• Landscape irrigation water gallons (litres) and cost on a
1nonthly basis
This data can be recorded, compared, and analyzed using
the data tables.
A degree day table facilitates the recording of weather
variations fro,n ,nonth to ,nonth and year to year. Degree day
data can be obtained fro,n the national weather service. The
change in building energy use is caused by internal building
loads (people and process) and external loads due the weather.
The latter loads are usually ,nore variable than the building
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energy use and need to be considered when co1nparing energy
use and revising the baselines for co1nparison.
Base building meter syste1ns are available. These can be
read by the local utility and/or maintenance staff and recorded
for comparison and/or analysis (for example, comparing the
energy use of the heating syste1n to the air-conditioning sys-
tem).
Section 8: Adjustments
If the actual building perfonnance does not track the initial
perfonnance year 1nodeling, analysis and possibly additional
spot 1netering and added energy 1nanage1nent syste,ns should
be added. Other areas of concern in the yearly adjust,nent
include the following:
• Changes in equip,nent efficiencies or replace,nent of
equip,nent
• Installation and use of spot metering to determine spe-
cific equipment efficiencies
• Calibration of sensors and control for ongoing perfor-
1nance
• Variation in the utility charges, particularly for fuel
charges
• Changes to building use and operation schedules
Finally, if the building changes or the use (occupancy,
schedules, etc.) changes, these vanauons need to be
accounted for in the comparison of current and baseline
energy and water use.
Section 9: Analysis
9.a. End of Year, Cost Savings Equation:
Cost Savings= Cb - Cr
cost of the baseline energy plus any adjustments.*
cost of the repo,ting period energy plus any
adjustments.
* Adjustments:
Routine adjust,nents: For energy-governing factors expected
to change routinely during the reporting period, such as
weather or production volume, a variety of techniques can be
used to define the adjust1nent methodology. Teclu1iques 1nay
be as sin1ple as a constant value (no adjustments) or as con1-
plex as several multiple-paran1eter, nonlinear equations, each
correlating energy with one or 1nore independent variables.
Valid mathematical techniques must be used to derive the
adjust1nent 1nethod for each M&V plan.
Nonroutine adjust,nents: Static energy-governing factors that
are not usually expected to change, such as facility size,
design and operation of installed equipment, number of
weekly production shifts, or type of occupants, must be moni-
tored for change throughout the reporting period.
Section 10: Energy Prices
Energy prices and expected energy seller should be described
in detail here.
.. , . , ., ...,.. ., ·.. . ...·...
·
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 Section 11 : Meter Specifications
The following 1netering and analysis systems can be used for
temporary and/or pem1anent 1netering. The equip1nent shown
is an exa1nple of available equip1nent for pennanent 1netering.
Included are water 1neters for totalizing water flow and
individual equip1nent analysis.
For various power and environmental measurements,
infonnation on controllers is included.
For power quality monitoring equip1nent and building
control syste1ns, infonnation is available fro1n the Syste1ns
Manuals.
l nfor111ative Note: Please see Meter Data Sheet and
Appendix BI , "Metering Devices."
Section 12: Monitoring Responsibilities/M&V Team
The responsibility for i1nple1nenting and maintaining the
l'v1&Y Plan rests \.Vith the property ,nanager and the Owner.
l'v1any others will share in the installation, maintenance, and
1nonitoring of the facility and its systems. The organization of
these functions re,nains the overall responsibility of the
Owner and the Owner's organizational management listed
below.
Program l'vfanager:
Na,ne
Address
Contact Inforn1ation
Owner:
Name
Address
Contact lnfonnation
Section 13: Accuracy
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The level of accuracy in the M&V process depends on the
type of equip1nent and training of the testing and 111aintenance
staff.
Care should be taken to select the co1npatible new or
replace1nent equip1nent and to continually train the staff on
111aintenance and energy efficiency practices.
Efficiencies of existing equipn1ent are shown on the
equipment submittals and the Systems Manuals.
The electric and water utility meter accuracy is deter-
111ined and can be obtained from the respective utility. Utility-
grade electrical meters are required to have an overall accu-
racy of 0.5% of registration as set by ANSI Standard C-12.
Further, the IPMVP (2007, Section 4.9.5) states "Utility-
111eter data is considered I 00% accurate for determining sav-
ings because this data defines the pay1nent for energy."
Although this section is from Option C, the Option D 111ethod
being used de.fines savings as the difference between the cali-
brated baseline model and the actual (measured) energy use.
Section 14: Quality
Quality assurance 1neasures can consist of the following:
• Ensure that all equip1nent purchased has been analyzed
for proper use, application quality, and accuracy.
• Train all 1naintenance personnel on the proper 111ethods
and schedules for 111aintenance and operation of the sys-
tems.
• Review program application and results on a quarterly
basis.
• Complete routine equip1nent 1naintenance on a monthly
basis.
• Complete a recalibration and total inspection on an
annual basis.
• Make repairs as necessary.
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX V
USE OF SYSTEMS MANUAL IN TRAINING
The follo,ving are exan1ples of the requiren1ents and for-
1nats for the docu1nents to be included in the Systen1s Manual.
Predesign Phase
Training require1nents and implementation begin at project
conception and are part of the Owner's Project Requirements
(OPR). At the Itnple1nentation Phase, the O,vner needs to
address the source of operating personnel, in-house or out-
sourced labor and services, and the level of responsibility
assigned to the facilities/project manager for the site. OPR
requirements and Current Facility Requirements (CFR) for
extended ,varranty and service agreen1ents with the contractor
or original equip1nent manufacturer (OEM) need to be
addressed at the time of project inception.
ln the i1nple1nentation stage, beginning with assigned
individual roles and responsibilities, the OPR for training are
considered in a 1nanner sitnilar to choosing any of the varied
systerns, components, and assernbl ies that establish the level
of quality and perfonnance expectations expressed by the
o,vner in the OPR.
The criteria used to determine the 1ninimum level of
acceptance required by the training OPR ,viii guide the devel-
opn1ent and coordination of the training of personnel who are
assigned responsibilities of maintaining the HVAC&R sys-
tem's perfonnance in the OPR/CFR. This includes energy,
fire and safety, indoor environment, and occupant comfort
requirements related to the HVAC&R systems. During the
Predesign Phase, the initial training agenda needs to be devel-
oped to a level that reflects the training required to meet the
OPR/CFR. The initial training agenda provides the initial
guidance to the design team and includes the follo,ving:
• Establishing developrnent requirernents for the training
plan
• Identifying essential components or systems requiring
fonnal training and the estimated time designated for
training by hours (unit cost)
• Determining skill-level requirernents for operating staff
1neeting the OPR/CFR levels ofperfonnance
• Creating a checklist of training require,nents necessary to
maintain warranty conditions and service life
• Specifying require1nents for acceptable organization and
i1nple1nentation of the OEM training requirernents prior
to occupancy
• Clearly identifying the training requirements of contrac-
tor's workforce for the equipment maintaining the inte-
rior environ,nent during the Construction Phase
• Developing training 1nethods that 1neet the OPR, includ-
ing incorporating OEM training with service bulletins,
recalls, and i111plantation of changes in operating proce-
.. . . . .. ...... .. . . . ., ...'
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<lures as facility systems and components age and
degrade in performance levels
• Providing clear understanding of the OPR for training
111aterial, training sessions (schedule), and trained per-
sonnel necessary, prior to and after occupancy by the
o,vner
Training respons ibilities and the pos1t1on or person
assigned these responsibilities ,nust be clearly defined in the
OPR and reviewed before moving into the Design Phase. This
is of extreme importance when essential equipment or sys-
tems are provided by the Owner.
The HVAC and refrigeration design needs to satisfy the
operating personnel for the following OPR topic areas,
including consideration of training required to continuously
achieve the benefits of designs that optitnize each require-
1nent:
• Reparability
• Interchangeability
• Accessibility
• Replaceability
• Maintainability
• Extendability
• Adaptability
• Lifecycle replace,nent sequence
• Cost analysis of component servicing and 1naintenance
cycles
• Cotnplexity of the OEM and systerns in day-to-day oper-
ation
Controls at the systen1 and co1nponent level are essential
for all HVAC&R systems and assemblies. Special effort must
be directed at the training require1nents as the design develops
versus considering the training afterward as a result of the
controls design.
Beyond 111echanical 1naintenance, the skill set required at
each level of the operating hierarchy for direct-digital-control
(DDC) systems needs to be defined in the OPR. These DDC
syste,ns have various levels of control hierarchy; so,ne levels
require computer progra111ming skills that are beyond the
tneans of an Owner to support. At a minimum, the OPR
should define the responsibilities and training necessary for
in-house and outsow·ced contractors (service plan) of site
DDC systems. The level of interoperability and any additions
to interoperability not currently used at the site or organiza-
tion requires additional training for the systerns to be success-
ful. Issues addressed in the OPR/CFR should include the
following:
• DDC in-house engineering, operations, and n1aintenance
(EOM) requirements
• DDC service plans and warranty requirernents
• Procedures for n1aintaining record documents and ser-
vice records ofDDC Systems
• Training and certifications requirernents for in-house and
service contractor personnel
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 • Written training 1natrix updated to each level in the DDC
hierarchy
Design Phase
During the Design Phase, the design professional, following
the OPR/CFR, will define the training require1nents and
imple1nentation schedule for the project in the contract docu-
1nents. Someti1nes this may require specific needs for each
installing contractor, for in-house n1aintenance, and for out-
sourced service personnel. The perfom1ance of these training
services is verified both as part of the submittal review process
and as the training sessions occur. Additional training require-
1nents will continue to evolve during the Design and Construc-
tion Phases of the project. It is recon1mended to hold needs-
development workshops or sessions during design and con-
struction. These need to be defined in the specifications. Spe-
cial note should be given to the training and service
require1nents of equipment and syste1ns not provided by the
project contractor. This is usually owner-provided equipment
or systems that occur outside the project submittal revie,v. In
some cases, there 1nay be two or 1nore construction projects,
with separate contractors or in-house construction, in which
case coordination of training needs is required to prevent
duplication and acceptable scheduling of trainers and trainees.
Procedure training on spare parts availability and service
response times should be clearly defined by the design profes-
sional and verified in the sub1nittal process.
During the Design Phase, the design professional should
clearly define. all special requirements for storage of equip-
1nent or systems prior to installation. Training necessary to
1naintain the equip1nent prior to Owner acceptance is identi-
fied and 1nonitored by proper application of the contractor's
quality assurance/quality control (QA/QC) progra1n. Special
training of contractor personnel handling equip1nent with spe-
cial require1nents should be 1nonitored by the Co1nmissioning
Authority (CxA). Contractor personnel should de111onstrate
co1npetence 1neeting the OPR during all periods that the
I-IVAC&R equip1nent and syste1ns are operated during con-
stn1ction and warranty. Equip1nent 1nust be 1naintained to pre-
vent any degradation prior to turnover to the Owner for
operations.
Contractor Special Training, Licensing, Certification
(Construction Phase)
After the notice to proceed, the contractor is required to pro-
~ide initial sub1nittals in the stated period of ti1ne. One of the
)nitial sub1nittals usually required is the contractor's QA/QC
[Progra1n. This progra1n outlines the 1nethods used by the con-
tractor to ensure his personnel have the proper training,
{icensing, and certifications to perfonn assigned tasks. In
'~ddition, the criteria necessary to 1naintaining the project-spe-
cific OPR is identified in the Contractor QA/QC progra1n. On
a frequent basis, the CxA should verify and note co1npliance
by the contractor with required training, licensing, and certifi-
cation require1nents or activities and other quality checks
identified in the contractor's QA/QC progra1n or required by
the contract.
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Certification training for procedures in the use of unique
equipment or assen1blies should be required at locations other
than the actual job site. In such cases, the design professional
111ay require verification of current and up-to-date certifica-
tion and valid accreditation documents for the organization or
individual issuing the certification. The role of the CxA in
verification of proper training for certification is to rando111ly
check the documentation necessary to de1nonstrate co1npli-
ance with the OPR/CFR. The requirement for ensuring that
the proper documentation is valid remains with either the
design team or O,vner's project or construction manager.
Construction-Phase Training
The design should hold an initial training session, during the
constn1ction period and prior to contractor training for the
Owner's EOM and users, on the OPR/CFR and Basis of
Design (BoD), including syste,n litnitations. This is espe-
cially required for all HYAC&R systems that are critical to
the success of the facility.
The CxA should hold a training developtnent workshop
with the EOM (including any service contractors), several
1nonths before the final training sessions are scheduled and
the scope of training-sessions content is set, to gather infor-
tnation from the EOM staff to detennine the actual training
require,nents based on the approved equip,nent, assemblies,
and syste,ns for the building, on a walk-through of the build-
ing, and on the review of final plans and specifications. This
,nay require an increase or decrease in actual training require-
1nents, as compared to the require,nents included in the con-
tract docu1nents, related to the final equip,nent, co,nponents,
and HYAC&R systems selected by the Owner, design tea,n,
and Contractor.
Syste1ns Manuals need to be co1nplete before Owner's
personnel are provided training and the 1nanuals are used in
the training sessions.
Training on the use of the Systems Manuals should be a
co1nbined effort of the design tea1n, the Cx Tea1n, and the
contractor.
The CxA should revie,v the contractor's schedule for all
I-IVAC&R-related training. Resources and tin1e for HVAC&R
training can place great den1and on both the contractor and
the EOM and service-firn1 personnel at the end of the Con-
struction Phase. HVAC&R syste1ns are especially impacted
because of a high level of training required and because the
I-IVAC&R systems are some of the last syste1ns installed in
the construction process. Early training 1nust be scheduled for
project success. The CxA must document that training and the
required level of co1npetence learned in the training meets the
OPR.
The contractor is responsible for the start-up, testing,
adjusting, balancing, Systems Manual, and training for all
syste1ns and equipment prior to the functional testing or
n1aintenance and verification (M&V) of these systems and
equipment. The Cx Tea1n must verify through assembled doc-
u111entation that the contractor personnel are trained and co1n-
petent to perform these activities.
The contractor 1nust begin early training on any major
changes in the auto1nated preventive 1naintenance and service
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 progran1 that is included by syste1ns installed and required by
the contract.
Testing and verification for co,npliance of syste,ns and
equipment to the OPR/CFR should be witnessed by the
o,vner's O&M staff as part of the contractor's training plan.
The CxA facilitates the ,nonitoring of functional and Cx tests
by designated O,vner personnel performed as part of the gen-
eral contractor's acceptance plan. The benefits to the Owner
in monitoring these tests are lessons learned and a corrective
review of O&M procedures prior to substantial completion
and operation of the syste,ns by the Owner. Using the infor-
1nation developed in this Start-Up Phase, the Owner and the
CxA should evaluate the abilities of in-house personnel to
perfonn the O&M necessary for successful operation of vari-
ous systems and to prevent future warranty issues. A. value
analysis of OEM service progra,ns and ,naintenance by the
CxA during this period is useful infonnation for the Owner's
consideration. Doctunentation gathered by the CxA during
this Monitoring Phase is useful to the training progran1 and in
the Acceptance Phase.
The majority ofHVAC&R systems and assemblies train-
ing should occur in the Construction Phase, prior to substan-
tial completion. The initial training is developed at a level to
ensure that the Owner's O&M personnel are co,npetent in the
proper operation of the systems and equipment during occu-
pancy. The training prior to final acceptance takes place after
the facility has been occupied during the warranty period
bet\veen substantial completion and final acceptance. This
allows for training in seasonal operation and site-specific
issues to be addressed in the training progran1. Using a two-
step training program, the CxA will facilitate the coordination
of site-specific issues:
• Warranty/guaranty
• Service call-up or call-back
• Systen1s and equip1nent perfonnance
• Seasonal transition of equipn1ent
• Spare parts inventory
• Equipment or systems service bulletins
• Life-cycle analysis
• Modified preventative and predictive 1naintenance proce-
dures
Construction-Phase Close Out
As syste,ns are completed, the contractor ,nay be required to
or 1nay elect to use these syste1ns to maintain an environn1ent
iit the ,vorksite, meeting specified require,nents in executing
:the constn1ction process. Prior to turnover, these syste,ns
operated by the contractor need to be validated for proper
O&tv1 by contractor personnel. The validation of operating
equipment at turnover 1nust include documentation that the
contractor personnel were properly trained in both operation
and ,naintenance of the syste,n and that the equip,nent ,nain-
tenance schedule was 1naintained during the period of con-
tractor operation. Lessons learned and infonnation gathered
on the operations of the systems during start-up and opera-
tions are valuable to the Owner and must be included in the
turnover training of the Owner's operating staff and coordi-
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nated by the CxA before the Owner assun1es these responsi-
bilities.
Occupancy and Occupancy Phase
At substantial completion and Owner operations and occu-
pancy, the 1najor training responsibilities beco1ne the responsi-
bility of the O,vner. Specifically, they beco,ne the responsibility
of the Owner's facility chief engineer and building ,nanager.
The CxA will coordinate this shift in responsibilities until final
acceptance or beyond as required by the 0\.vner's ongoing and
continuous co1nmissioning process activities. The CxNchief
engineer/building ,nanager relationship in this phase will coor-
dinate the training require,nents to i1nple1nent and optunize the
performance of the following
• Existing service and outsourcing of service plans and
programs
• Organization and training of O&M staff
• Qualification of training requirements of staff positions
• Warranty/guaranty implementation and enforcement
• Service call-up or call-back tracking and evaluation
• Systems and equip1nent performance in
• :tvleasure1nent
• Verification
• Analysis (benchmarking and life cycle)
• Opti,nization
• Reco1nmissioning cycle
• Optimization
• Seasonal transition of equip,nent and tracking itnpact of
weather cycles and syste1ns perfon11ance
• Spare parts inventory and response times for service
• Equip1nent or syste1ns service bulletins and training
updating
• Life-cycle and 1naintenance budget planning
• Modification of preventative and predictive ,naintenance
procedures to meet site-specific conditions.
The facility/building ,nanager will assess the benefits and
costs of 1naintaining a training cycle that represents the inter-
ests of the Owner. The CxA can be of great benefit to the
building manager in the initial organization of construction
documents by providing a method to keep training up-to-date
with the cycle of changes in equip111ent and use of the build-
ing throughout the lifecycle.
Summary
The processes of tra1n1ng and syste,ns opt1m1zation will
re111ain a responsibility of the chief engineer and facility/
building manager for the life of the facility. To ensure the con-
tinuing need for training and understanding of systems to
ensure success of site O&M, a paper trail of the learning pro-
cess is essential. The CxA is essential to initiating this process
and, ,vith continuing Cx efforts, provides the guidelines to
optimize the training process through the life of the building.
The documentation of the training process coordinates the
follov.,ing:
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 • Organization of responsibilities for training assigned to a
position
• Verification of understanding and co1npetence in what
was learned in training and O&M
• Proper application of preventative and predictive 1nainte-
nance of systems
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• Organization of application of service bulletins and OEM
call-backs
• Clear application of system performance and degradation
infonnation
• Opti1n al benefits frotn lessons learned
• Coordination of personnel changes and mentoring for a
position
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX W
ISSUES AND RESOLUTION LOGS
The following are examples of the requirements and fonnats
for the documents to be included in the Syste1ns Manual.
W1. ISSUES AND RESOLUTIONS LOG
The issues and resolutions log is the ongoing listing of issues
and questions on a project that need to be co1nmunicated to
the project tean1 for resolution or action. These are often
shown in table forn1at and supplemented with pictures and
drawings where necessary.
It is in1portant to include a copy of all the issues and res-
olutions logs in the Systen1s Manual to provide a history of
and information on the ite1ns of conce1n and problems found
during design, construction, testing and co1nmissioning of the
facility. This infonnation can be used in operation and main-
tenance (O&M) training and to resolve similar problems in
the operating building.
The following ite1ns can be included 111 an effective
issues and resolutions log:
• Project title
• Project location
• Na1ne of co1n1nissioning authority (CxA) 1nanaging the
issues and resolution log with e-1nail address and phone
ntunber
• Issue nun1ber, usually sequential
• Issue description sufficient to describe item for all to
understand
• Pictures of iten, if available and appropriate
• Date issue discovered
• Issue fotu1d by na1ne
• Effects of issue on project or building operation to relate
importance of issue
• Possible cause of issue or problem
• Recornmendation for resolution if available
• Person(s) assigned to resolve issue
• Actions taken
• Iten1 disposition
• Approvals of issue resolution .

.. ...., .. ..
, , .,, ...

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 (This annex is not a mandatory part of this guideline. It is
n1erely info rmative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on infor1native 1naterial are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX X
COMMISSIONING PROCESS REPORTS AND
TESTING RECORDS
The following are examples of the requirements and fonnats
for the docurnents to be included in the Systems Manual.
X1. CONSTRUCTION OBSERVATION AND
TESTING CHECKLISTS AND REPORT
Overview
Construction checklists consist of two general types:
• Component/Equipment Based: These construction
checklists are utilized for cotnponents and pieces of
equipment that are delivered, installed, and started during
construction. There is an individual checklist for each
individual cotnponent or piece of equiptnent.
• System/Assembly Based: These constn1ction checklists
are utilized for systems and assemblies where separate
checklists cannot be applied to subco,nponents of the
system or asse,nbly. There is a single checklist for the
entire system, often assen1bled around the sequence of
operation.
For each test procedure, test data records shall be devel-
oped. Test data records capture test data, observations, and
1neasurements. Data may be recorded on photographs, fonns,
or other ,neans appropriate for the application. The following
information shall be recorded:
I . Test nu,nber
2. Date and time of the test
3. Indication of whether the record is for a first test or retest
following correction of a probletn or issue
4. Identification of the syste,n, equipment, or assembly
under test (List the location and the construction docu-
1nent designation.)
5. Conditions under which the test was conducted
6. Expected performance of the systems and assemblies at
each step of the test
7. Observed perforn1ance of the syste1n, equipn1ent, or
assembly at each step of the test
8. Issue nLunber, if any, generated as a result of the test
9. Dated signatures of the person performing the test and of
the witness, if applicable
SAMPLE [insert equipment/component name)
CHECKLIST
Tag ID: Location:
General Instructions
I. This fon11 is to be completed as the work is con1pleted.
2. Section I-Model verification on delivery of equipment/
co,nponent to either the job site or storage location
•• • • • .. ........
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3. Section 2-Preinstallation checks just pnor to initial
installation
4. Section 3- lnstallation as installation progresses
5. Section 4- Co,npletion and initiating of perfonnance data
There are a nu1nber of websites of testing and co1nmis-
sioning (Cx) organizations and agencies that have inspection
and testing fonns that can be adapted for specific needs and
projects.
X2. COMMISSIONING REPORT
The Cx Process Progress Report is the docu1nentation of the
Cx work and results accornplished dLu·ing construction. The
Cx Process Progress Report contains the following:
I. Identification of any systems or assemblies that do not
perform in accordance ,vith the Owners Project Require-
ments (OPR)/Current Facility Requirements (CFR). For
various reasons, the Owner may choose to accept perfor-
mance that is at variance with the OPR/CFR, either per-
manently or until schedule and budget constraints allow
for correction . The Owner's acceptance of these condi-
tions should be documented along with the environn1ental,
health, safety, co1nfort, energy, and operating and 1nainte-
nance cost i1npacts. The OPR/CFR must be updated to
match the revised expectations.
2. Evaluations of the operating condition of the systerns at
the time of test cotnpletion
3. Construction checklist completion and evaluation sun1-
1nary
4. Results from the issues log, including the descriptions of
issues and the 1neasures taken to correct them. The
description should assess the importance of the issues and
estimate the value of their correction in terms of environ-
mental in1pact, improved health, safety, comfort, energy,
operating and maintenance costs, and the ability of the
facility to support its mission .
5. Test procedures and data. This section should incorporate
the original test procedures and signed data fonns, includ-
ing additional data such as photos, co,nputerized docu-
rnentation, and other records of the tests. Data should
include the final accepted test, as \veil as earlier tests that
failed to rneet the specified criteria. This section should
also include a set of blank data fonns for future use in the
ongoing Cx Process and reco1111nissioning.
6. Cx Process Progress Reports-copies of progress reports
generated throughout the Cx Process
7. Deferred tests--execution of some tests rnay be deferred
tmtil appropriate natural loads, such as occupancy or
design \veather conditions, are available. For these
deferred tests, the prerequisite conditions and an esti-
Date: tnated schedule for their cornpletion should be included.
8. Lessons learned--evaluation of the Cx Process used and
changes that will i,nprove the delivered project and fonn
the basis for the Final Cx Process Progress Report devel-
oped during occupancy and operations. This is essential to
ensure that issues, benefits, and reco1n1nendations are cap-
. + • • .. ...
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 tured in a written document while all tean1 me1nbers are
available and infonnation is fresh.
A prelirninary Cx Process Progress Report should be
submitted for 0\.vner review. Subrnittal of the prelirninary Cx
Report to other Cx Tearn 1ne1nbers or for jurisdictional
require,nents rnay also be appropriate.
The final Cx Process Progress Report should incorporate
review comn1ents from the Owner and, optionally, from other
Cx Team n1embers.
The following is an example outline for a Cx Process
Progress Report. The basic structure of this exa1nple is such
that each phase of the plan has its own section detailing what
activities were accomplished, ,vho accomplished them, and
how they were completed. The deliverables for each activity
are included in an appendix. Each section of the report will
have a description of the results for that subject. The intent of
this format is for the Cx Plan to becorne the fi nal Cx Process
Progress Report at the end of the project by updating the plan
and filling in the results for each section as the project pro-
gresses. Text in italics provides the reader with guidance as to
the type of information that would be added to that section,
specific to the faci lity under consideration.
Commissioning Process Progress Report
TABLE OF CONTENTS
6. Issue and Resolution Logs
Insert a copy of all issue and resolution logs 1,vith resolution
or status of each itern in the appropriate appendix. This pro-
vides a record ofproblerns and issues found and resolved dur-
ing the design and construction process for future reference.
7. Item Resolution and Open Items
Insert a list o_fany open ite,ns and seasonal or additional test-
ing required.
8. Contact Information
Appendices in the Initiation and Design Phases ofthe project
ivill state the requirernents and re:,ponsibilities for that deliv-
erable. The.final results and docu,nentation for each itern ivill
be inserted in thejinal report.
It is not necessary to include copies of docurnents
included in the Systerns Manual in the.final Cx Process Prog-
ress Report(/ that report is included in the Systerns Manual.
APPENDIX A-OWNER'S PROJECT REQUIREMENTS
(OPR)
APPENDIX B-BASIS OF DESIGN (BoD)
APPENDIX C-FINAL PROJECT SPECIFICATIONS

1. Executive Summary
APPENDIX D-COMMUNICATION STRUCTURES
APPENDIX E-ROLES AND RESPONSIBILITIES
2. Commissioning (Cx) Process Description
and Plan(s) APPENDIX F-COMMISSIONED SYSTEMS
[listing of systems and assen1blies]
Insert the final Cx Plan.
APPENDIX G-COMlvfISSIONING PROCESS
3. Commissioning Design Summary and Design SCHEDULE RESULTS
and Submittal Review Reports APPENDIX H-PREBID MEETING RECORDS
Insert a copy o_f the Cx design and sub,nittal reports.
APPENDIX I-PRECCONSTRUCTION MEETING
4. Testing Reports RECORDS

Insert cornpleted Cx Process Progress Report ivith docurnents APPENDIX J-SUBMITTAL REVIEW RECORDS
and testing .forrns and records for each building, :,ystern, and APPENDIX K- COMMISSIONING PROCESS ISSUES
asse,nbly included in the Cx Process in the fo/lo1,ving appen- AND RESOLUTION RESULTS
dices.
Insert copies o_f all relevant ,nanufacturers ' and installers '
APPENDIX L-CONSTRUCTION CHECKLISTS
testing reports in the appropriate appendix. This creates a uni- COMPLETED
fied record of.all required testing pe1for,ned during purchasing APPENDIX M- TESTS AND DOCUMENTATION
and installation. COMPLETED
Insert copies ofinstallers' and Cx authorities' completed
APPENDIX N- SYSTEMS MANUAL ASSEMBLY
validation checklists in the appropriate appendix. This pro-
PROCESS
vides a record o_f installation checks and observations for
future reference. APPENDIX 0-TRAINING RECORDS
Insert copies ofinstallers ' and Cx authorities ' cornpleted APPENDIX P- MEETING MINUTES AND
functional per_for,nance checklists of assernblies, equip,nent,
CORRESPONDENCE
and integrated :,yste,n in the appropriate appendix. This pro-
vides a record of per_forrnance checks· and observations for APPENDIX Q-COMMISSIONING (Cx) PROGRESS
future reference. REPORTS
APPENDIX R- WARRANTY REVIEW AND STATUS
5. Cx Progress Reports
APPENDIX S-OPEN ISSUES
Insert a copy of all Cx progress reports in the appropriate
appendix. APPENDIX T- LESSONS-LEARNED REPORT
.. ... , ....... .. .. . ., , ...
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX Y
INDUSTRY RESOURCES
The following organizations and agencies have produced pub-
1ications and resources relating to the cotntnissioning (Cx)
Process and Systerns Manuals that are available fro1n the pub-
lishing organization. These publications and resources 1nay or
,nay not confonn to the requirernents of ANSI/ ASHRAE
Standard 202-20 I 3 or this guideline. This list is provided as a
resource for those using and providing Cx services. Since
publications can change frequently, the organization websites
are the best source of current doctunents.
AABC Commissioning Group (ACG)
1518 K Street, NW, Suite 503, Washington DC
W\Vw.com1nissioning.org/co1n1nissioningguideline
ASTM International
100 Bar Harbor Drive, PO Box C700
West Conshohocken, PA, 19428-2959 E2813-12
W\Vw.ast1n.org/DIGITAL_LIBRARY/index.sht1nl
Building Commissioning Association (BCA)
1600 NW Con1pton Drive, Suite 200, Beaverton, OR 97006
W\Vw.bcxa.org/knowledge-center
California Commissioning Collaborative (CCC)
W\VW. cacx.org/resources/index. htin 1
Canadian Standards Association (CSA)
Group Head Office, 178 Rexdale Blvd.
Toronto, Ontario, Canada M9W IR3
W\Vw.csa.ca/cm/ca/en/standards (search for Z320- I I Building
Co1n1nissioning)
Chartered Institution of Building Services Engineers
(CIBSE)
222 Balhatn High Road, London, SW 12 9BS
www.cibsekno\vledgepo1tal.c0.uk/cibse-co1nmissioning-
codes
Energy Systems Laboratory
TAMU, College Station, Texas
W\vw.esl.tamu.edu/continuous-commissioning
Illuminating Engineering Society of North America
(IESNA)
120 Wall Street, 17th floor, New York, NY, I 0005
W\vw.iesna.org/store/product/the-co1runissioning-process-
applied-to-lighting-and-control-systems- I 251.cfin
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International Code Council (ICC)
500 New Jersey Ave. NW, 6th Floor, Washington, DC 20001
W\VW. shop. iccsafe.org/icc-G4-2012-guideline-for-comn1is-
sioning- I .htn1l
International Energy Agency (IES) Energy Conservation
in Buildings and Community Systems (ECBCS)
Progranune, 9, rue de la Federation
75739 Paris Cedex 15, France
W\Vw.ecbcs.org/annexes/annex40.htm, and www.ecbcs.org/
annexes/annex4 7 .htm
National Environmental Balance Bureau (NEBB)
8575 Grovemont Circle, Gaithersburg, MD 20877
W\Vw.nebb.org/resources/standards
National Fire Protection Association (NFPA)
I Batteryinarch Park, Quincy, MA 82169
nfpa.org/codes
National Institute of Building Science (NIBS)
I 090 Vennont Ave, Suite 700, Washington, DC, 20005
W\Vw.nibs.org and WW\v.wbdg.org/project/building-
co1run.php
Portland Energy Conservation Incorporated (PECI)
I 00 SW Main Street, Suite 1600, Portland, OR 97204
peci.org/resources
.
Sheet Metal and Air Conditioning Contractors National
Association (SMACNA)
4201 Lafayette Center Drive, Chantilly, VA, 20151
W\VW. s1nacna. org/techni ea!
The State of Minnesota, Sustainable Building Guidelines
Design and Construction Phase
Com1nissioning Plan Template
W\Vw.n1sbg.umn.edu
University of Michigan
W\Vw.plantext.bf.u1nich.edu/forarchs/com.html
University of Wisconsin- Madison
W\Vw.epdweb.engr.wisc.edu
United States Department of Veterans Affairs (VA)
W\Vw.cfm.va.gov/til/co1mnissioning/CxManual.PDF and
W\Vw.virtualcx.convblog/2011/3/17/whole-building-com1nis-
sioning-process-manual-departtnent-of-ve.httnl
United States Army Corps of Engineers
W\Vw.wbdg.org/project/buildingconu11.php
United States Department of Energy (USDOE)
W\Vw.eere.energy.gov/fe1np/reconstructionguide/
co1run_process.htn1l
United States General Services Administration (GSA)
W\Vw.gsa.gov/portal/category/21064
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 (This annex is not a mandatory part of this guideline. It is
merely informative and does not contain requirements
necessary for conformance to the guideline. Unresolved
objectors on informative material are not offered the right
to appeal at ASHRAE.)
INFORMATIVE ANNEX Z
REFERENCES
ASHRAE. 2010. ANSI/ASHRAE/IES Standard 90.1 , Energy
Standard .for Buildings Except Lo1-v-Rise Residential
Buildings. Atlanta: ASHRAE.
ASHRAE. 2012. ANSI/ASHRAE/ACCA Standard 180, Stan-
dard Practice for Inspection and Maintenance o,f Co,n-
1nercial Building HVAC Syste,ns. Atlanta: ASHRAE.
ASHRAE. 2013. ASHRAE Guideline 0, The Co1n111issioning
Process. Atlanta: ASHRAE.
ASHRAE. 2013. ANSI/ASHRAE Standard 202, The Co,n-
1nissioning Process .for Buildings and Syste,ns. Atlanta:
ASHRAE.
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ASHRAE. 2013. ANSI/ASHRAE Standard 62.1, Ventilation
for Acceptable Indoor Air Quality. Atlanta: ASHRAE.
EVO. 2007. International Perjor,nance Measure,nent and
Ver(/ication Protocol. Efficiency Valuation Organization.
IICRC. 1994. SOO!, Standard and Reference Guide.for Pro-
fessional Carpet Cleaning. Vancouver, WA: Institute of
Inspection, Cleaning, and Restoration Certification.
IICRC. 2008. Standard S520, Standard and Reference Guide
for Professional Mold Re,nediation. Vancouver, WA:
Institute of Inspection, Cleaning, and Restoration Certifi-
cation.
NERC. n/d. NERC CIP-004, Personnel and Training. Wash-
ington, D.C.: North An1erican Electric Reliability Corpo-
ration.
NERC. n/d. NERC CIP-006, Physical Security of· Critical
Cyber Assets. Washington, D.C.: North American Elec-
tric Reliability Corporation.
NFPA. 2000. NFPA 45, Standard on Fire Protection for Lab-
oratories Using Chen1icals. Quincy, MA: National Fire
Protection Association.
..
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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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 ASHRAE · 1791 Tullie Circle NE· Atlanta, GA 30329 · www.ashrae.org

About ASHRAE
ASHRAE, founded in 1894, is a global society advancing human well-being through sustainable technology for the built
environment. 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.

Productcode:86820 7/14
..· ... ,..,,.,.,. .. . ,., ...
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