(This appendix is not part of this code. It is merely informative and does not contain requirements necessary for conformance to the code. It has not been processed according to the ANSI requirements for a code and may contain material that has not been subject to public review or a consensus process. Unresolved objectors on informative material are not offered the right to appeal at ASHRAE or ANSI.)

    This appendix provides guidance on best practices for functional and performance testing (FPT) and the commissioning (Cx) process that relate to Section 1001.3.1.1 (

    SECTIONI101 (I1.)

    I101.1 (I1.1)Recommended Minimum Qualifications and Independence of a Commissioning (Cx) Provider and a Functional and Performance Testing (FPT) Provider.

    A commissioning (Cx) provider or an FPT provider should have the following qualities to ensure the needed qualifications and independence for building project testing or commissioning:

    1. a.Equipment. A Cx provider or FPT provider should use equipment necessary to carry out the commissioning (Cx) process and FPT. Equipment should be calibrated in accordance with the manufacturer’s specifications.

    2. b.Personnel Experience. The Cx provider or FPT provider should provide personnel experienced in conducting, supervising, or evaluating functional and performance testing, inspections, and, where applicable, performing commissioning activities prior to and subsequent to the tests. Where possible, the Cx provider should have completed the Cx process on not fewer than two projects of equal or greater scope and complexity, or should be able to demonstrate adequate experience and training in the fundamentals and application of the Cx process.

    3. c.Independence. The Cx provider and the FPT provider should be independent of the building system design and construction functions of the systems being commissioned. The Cx provider and FPT provider should disclose possible conflicts of interest to ensure objectivity.

    4. d.Registration, Licensure, or Certification of a Cx Provider. Where available, a Cx provider should be registered or licensed in a relevant discipline or certified according to the provisions of ISO 17024 or an equivalent certification process.

    I101.2 (I1.2)Overview of the Cx Process.

    Table I101.2 (I1.2) provides an overview of activities, documentation, and responsibilities that should be included in the Cx process.

    TABLE I101.2 (TABLE I1.2)


    1Owner’s project requirementsOPR documentOwner with assistance from design and Cx teams
    2Basis of DesignBoD documentDesign team
    3Cx planCx plan documentCx provider with input from owner, design team, and contractor
    4Contractor Cx requirementsCx specificationsDesign team and Cx provider
    5Design reviewCx design review reportCx provider
    6Submittal reviewSubmittal review reportCx provider
    7Commissioning designated systems inspections, functional and performance testingInstallation, inspection, functional test reports, performance test reportsContractors, manufacturers, Cx provider and team
    8Issue and resolution logIssue and resolution logsCx provider and team
    9Systems manualSystems manualContractors with review by Cx provider
    10TrainingTraining plan and reportsContactor and manufacturers with review by Cx provider
    11Preliminary Cx reportPreliminary Cx reportCx provider
    12Cx activities during occupancyAdditional information and updates to reportsCx provider and building operations
    13Final Cx reportFinal Cx reportCx provider

    SECTIONI201 (I2.)

    The Cx process should result in the following deliverables.

    I201.1 (I2.1)Typical Elements Included in Owner’s Project Requirements (OPR).

    The OPR is a document developed by the owner with assistance from the design and Cx teams that details the requirements of a project and the expectations for how it will be used and operated. The OPR should include project goals, measurable performance criteria, cost considerations, benchmarks, success criteria, and supporting information. The term “project intent” or “design intent” is used by some owners for their Cx process OPR.

    The OPR document should address the following for the commissioned systems:

    1. a.Facility objectives, size, location, user requirements, and owner directives, including space use and occupancy/operations schedules and special project requirements.

    2. b.Applicable codes and standards, in addition to local building codes (Informative note: e.g., International Building Code), and environmental, sustainability, and efficiency goals and benchmarks.

    3. c.Indoor environment requirements, including temperature, humidity, and ventilation.

    4. d.Cx process scope and requirements; listing of equipment; systems and assemblies requiring commissioning, including installation, evaluation, and testing requirements; and commissioning (Cx) plan and report formats and distribution requirements. Sampling procedures, if permitted, for all reviews, evaluations, and testing should be detailed.

    5. e.Equipment, systems, and assemblies requirements, expectations, and warranty provisions.

    6. f.Maintainability, access, and operational performance requirements.

    7. g.Project documentation requirements, including formats and delivery schedules for Basis of Design (BoD), Cx specifications, Cx plan and reports, equipment submittals, and the systems manual; documentation reviews, approvals, and distribution during design and construction phases.

    8. h.Training requirements for owner’s operation and maintenance personnel and occupants.

    I201.2 (I2.2)Basis of Design (BoD).

    The BoD is a document developed by the design team that records the concepts, calculations, decisions, and product selections used to meet the OPR and to satisfy applicable regulatory requirements, standards, and guidelines. The document should include both narrative descriptions and lists of individual items that support the design process, including the following:

    1. a.A detailed description of the design team’s technical approach to, and assumptions about, the OPR.

    2. b.A platform for the review of the design and for changes as the project progresses.

    3. c.A detailed description addressing coordination of applicable technical and code requirements.

    I201.3 (I2.3)Cx Plan.

    A Cx plan is a document developed by a Cx provider that should include the following:

    1. a.An overview of the Cx process developed specifically for the project.

    2. b.The roles and responsibilities of the Cx provider and the Cx team through final commissioning activities.

    3. c.Documentation of communication channels and processes, including distribution of the Cx plan, logs, testing documents, and reports during the design and construction processes.

    4. d.A detailed description and schedule of Cx process activities and the list of operations, systems, and assemblies that will be commissioned, and a description of performance criteria where not shown on the construction documents.

    5. e.The project design documentation and submittal review procedures and reports.

    6. f.Inspection checklists and testing forms, issues and resolution log, and Cx progress reports to be used during the project to communicate and track commissioning and inspection process information, including format, approvals, and distribution.

    7. g.The procedures to follow for resolution where the Cx evaluation does not meet the OPR.

    I201.4 (I2.4)Cx Specifications.

    For construction or renovation projects requiring contract documents, the owner should require by agreement that the design/construction team include Cx specifications in the project contract documents. The Cx specification should require compliance with the OPR and with the Cx process contained in the project’s Cx plan as detailed in this code.

    I201.5 (I2.5)Cx Design Review Report.

    The Cx provider should provide a design review (Cx Design Review Report) to the owner and design teams to report compliance with the OPR and BoD. This Cx design review is not intended to replace a design peer review or a code or regulatory review.

    I201.6 (I2.6)Record Documents.

    Record documents should be provided to the owner upon project completion. The record documents should be accessible to the building operations and maintenance personnel, be included in the systems manual, and include all of the following:

    1. a.Approved construction documents, including record plans and specifications.

    2. b.Approved submittals and coordination drawings. This documentation should show the actual locations of equipment, systems, and assemblies, such as piping, ductwork, valves, controls, access panels, electrical equipment, plumbing equipment, lighting and other operating components and systems. The record documents should particularly note equipment locations that are concealed or are installed in locations other than those indicated on the approved construction documents.

    3. c.Engineering and institutional control information for sites that have previously been a brownfield or that have required environmental corrective action, remediation, or restoration at the federal, state, or local level.

    I201.7 (I2.7)Systems Manual.

    A systems manual should be provided by an owner for use in building operations training. The systems manual should be made accessible to building operations and maintenance (O&M) personnel and should be updated and maintained by an owner for the life of the building.

    A systems manual should include the following:

    1. a.Facility design and construction documents, including the following:

      1. 1.OPR and BoD.

      2. 2.Construction record documents, including drawings, specifications, and approved submittals.

    2. b.Facility systems and assemblies information, including the following:

      1. 1.Manufacturer’s O&M data for installed equipment systems and assemblies.

      2. 2.Warranties and certificate of occupancy.

      3. 3.Contractor and supplier listing and contact information.

    3. c.A facility operations guide, including an operating plan, building and equipment operating schedules, set points and ranges, verified sequences of operation, system and equipment limitations, and emergency procedures.

    4. d.Where training is provided, training plans, materials, and records.

    5. e.A final commissioning report.

    I201.8 (I2.8)Preliminary Cx Report.

    A preliminary Cx report should be provided by the Cx provider and should include the following information:

    1. a.Performance of commissioned equipment, systems, and assemblies.

    2. b.Issue and resolution logs, including itemization of deficiencies found during testing and commissioning that have not been corrected at the time of report preparation.

    3. c.Deferred tests that cannot be performed at the time of report preparation.

    4. d.A plan for the completion of Cx activities and training, including climatic and other conditions required for performance of the deferred tests.

    I201.9 (I2.9)Final Cx Report.

    A final Cx report should be provided by the Cx provider and should include the following information:

    1. a.A copy of the final Cx plan, including FPT procedures used during the Cx process, including measurable criteria for test acceptance.

    2. b.A copy of the final OPR, BoD, and design and submittal reviews as required by the Cx plan if not included in the submitted systems manual.

    3. c.Results of all evaluations, startup data, FPT, and reports by suppliers, contractors, observers, and Cx providers.

    4. d.Issue logs and disposition of all deficiencies found during testing, including details of corrective measures used or proposed.

    5. e.Equipment, systems, and assemblies repaired or replaced and adjustments to calibration.

    6. f.Documentation of equipment and systems sequences and settings, which are typically submitted in the final sequence of operation and in the systems manual.

    7. g.A resolution plan identifying all of the issues unresolved and incomplete at the end of the project.