Caltech Commissioning Guideline
CommissioningGuidelinesCommissioningPrepared by:GLUMACA Tetra Tech Company
Commissioning GuidelinesTable of ContentsRevision History . 401 Introduction . 501.01 Intended Audience . 601.02 Additional References. 601.03 Definitions. 701.04 Acronyms .1102 Commissioning Process .1103 Phases .1303.01 Planning .1303.01.01 RACI Table .1303.01.02 Organization Chart .1403.01.03 Tasks .1403.02 Design .2203.02.01 RACI Table .2303.02.02 Flow Charts .2503.02.03 Organization Chart .2603.02.04 Issues Resolution .2603.02.05 Tasks .2603.03 Construction .3503.03.01 RACI Table .3603.03.02 Flow Charts .4303.03.03 Organization Chart .4403.03.04 Issues Resolution .4403.03.05 Tasks .4403.04 Occupancy .6403.04.01 RACI Table .6403.04.02 Flow Charts .6603.04.03 Issues Resolution – Occupancy Phase .6703.04.04 Tasks .6704 Appendices .6904.01 Sample Scope for Commissioning Services .7004.02 Owner Project Requirements .7704.03 Commissioning Specifications .8404.03.01 Division 1 .8504.03.02 Division 22 .10804.03.03 Division 23 .11404.03.04 Division 26 .12004.04 Commissioning Plan .12604.05 Issues Log .13104.06 Design Review Checklist .133Page 2 of 179
Commissioning Guidelines04.07 Submittal Review Checklist.14004.08 Pre-Functional Checklists .14204.09 Functional Test Plan .15204.10 Project Handoff Form.15504.11 Cx Readiness Form .15704.12 Commissioning Report .15904.13 Systems Manual .16204.14 Lessons Learned Workshop .16604.15 Tier 3 Project Cx .16904.15.01 RACI Table .16904.15.02 General Cx .17704.15.03 Design Phase .17704.15.04 Construction Phase .17704.15.05 Post-Occupancy .178Charts and TablesTable 1 RACI Table – Planning Phase .14Table 2 Organization Chart – Planning Phase .14Table 3 Sampling Rate – CIT Shops .16Table 4 Sampling Rate – CxA .16Table 5 RACI Table – Design Phase.23Table 6 Design Phase DBB Flow Chart .25Table 7 Design Phase DB Org Chart .26Table 8 Design Phase DBB Org Chart .26Table 9 Issues Resolution .26Table 10 Design Phase SD Submittal Flow Chart .28Table 11 Design Phase DD Submittal Flow Chart .31Table 12 Design Phase CD Submittal Flow Chart .32Table 13 Construction Phase RACI Table .36Table 14 Construction Phase Flow Chart - DBB.43Table 15 Construction Phase Org Chart DB .44Table 16 Construction Phase Org Chart DBB .44Table 17 Issues Resolution .44Table 18 PFC Flow Chart .47Table 19 FPT – Manual Flow Chart.55Table 20 FPT – Automatic Flow Chart .56Table 21 Occupancy Phase RACI Table .64Table 22 Occupancy Phase Flow Charts .66Table 23 Occupancy Phase Org Chart DB .67Table 24 Occupancy Phase Org Chart DBB .67Table 25 RACI Table – Tier 3.170Table 26 Tier 3 Construction Phase Flowchart .176Page 3 of 179
Commissioning GuidelinesRevision HistoryVersionDateByNotes1.011/1/20GlumacOriginal VersionPage 4 of 179
Commissioning Guidelines01 IntroductionThis Caltech Commissioning Guidelines outlines the process for achieving, validating, and documentingthe performance of facility elements in meeting the defined objectives and criteria of Caltech. Thisquality process extends through all phases of all projects, from Planning to Occupancy, with tasks duringeach phase to ensure verification of design, construction, and operator training meeting the Owner'sProject Requirements (OPR). This guideline describes the overall commissioning process in providing auniform, integrated, and consistent approach for commissioning facilities.This guideline recognizes and addresses changes in project delivery systems resulting from the evolutionof whole-building commissioning into the life cycle, sustainable facilities measurement & verificationprocesses and asset management. This guideline describes methods in performing, measuring,validating, and documenting information in the design and building processes used in constructing newfacilities and renovating existing facilities. These commissioning processes are applicable to all buildingelements used in the construction process.This guideline applies to all project delivery phases in identifying and applying the whole-buildingcommissioning processes, activities, and requirements for all building elements and assemblies. Thisguideline provides the format that serves as the pattern for the Commissioning Plan for specific facilityelements or assemblies. This common content organization focuses on specific information in achievinga closely coordinated set of documents used together in any combination accommodating specific OPRs.Varying OPRs and applicable levels of commissioning follow a uniform method. Guideline organizationalso provides for technical commissioning guidelines that avoid repeating general commissioningprocesses, activities, and requirements, making them more concise in focusing on their technicalsubjects.The integration and interdependency of facility elements; i.e., a performance deficiency of one elementcan result in less than optimal performance by other elements is acknowledged here. To achievesatisfactory performance of the facility and all of its elements, the entire facility should experiencecommissioning beginning at the inception of the project.Clear, concise, complete, and correct documenting of the OPR allows for emphasis on commissioning asan integral process for achieving Caltech’s expectations. The goal of this process is a fully functional,fine-tuned facility, including all facility elements and assemblies, complete documentation, and a trainedoperating and maintenance staff at the significant completion milestone. It provides a methodology forimplementing the commissioning process to building elements and assemblies for new construction,and major renovations to existing facilities at a level compatible with Caltech input.Emphasis is placed on documentation that transfers the OPR to the design criteria and constructiondocuments, and on continuity of information from one party to the next, providing value and theopportunity to improve the work process. The Commissioning Plan also provides for the facilityoperating and maintenance personnel training using actual performance documentation demonstratingthe design, installation, and intent of the building elements and assemblies in meeting the OPR. Caltechcan use this process in validating their stated objectives and criteria from the significant completionmilestone onward. Application of this facility performance documentation provides Caltech with theopportunity to continue the benefits of whole-building commissioning in improving facility performanceduring the post occupancy phase and beyond.Page 5 of 179
Commissioning GuidelinesThe commissioning process, beginning at project inception, is a valuable tool to Caltech in controllingthe project through each milestone. Structuring the phases of a typical project around the OPR givesCaltech the advantage of continuously monitoring the progress and the cost of the project on a real timebasis. This includes planning, design development, construction documents, construction, andoccupancy phases.This guideline describes the total building commissioning process and the responsibilities of theCommissioning Authority and the Owner. Selecting and developing a Commissioning Plan following thisguideline assures Caltech of whole-building commissioning meeting the OPR, and a sustainable facility atthe time of final acceptance of the work.01.01 Intended AudienceThis guideline is targeted to all parties that are responsible for executing or supporting thecommissioning process for Caltech projects.01.02 Additional ReferencesThe documents below are additional references that related to the source material here and can provideadditional information on the topics discussed herein.01.02.01.01 Caltech Design GuideThis document includes general Design Guidelines for the campus as a whole, as well as specificstandards for precincts with particular design 1.02.01.02 Caltech Asset Data Commissioning User ManualThe goal of the user manual is to train CIT Asset Managers, Contractors and Cx Authorities onthe use of SAM throughout the design, construction and post occupancy phases of a project.These SAM-related tasks are based on the workflow and responsibilities in Caltech’s SmartCommissioning Process Responsibility 1.02.01.03 ASHRAE Guideline 0 - The Commissioning ProcessThis Guideline describes the Commissioning Process capable of verifying that a facility and its systemsmeet the Owner's Project Requirements. The procedures, methods, and documentation requirements inthis guideline describe each phase of the project delivery and the associated Commissioning Processesfrom pre-design through occupancy and es/bookstore/commissioning01.02.01.04 Standard 202 - Commissioning Process for Buildings and SystemsASHRAE/IES Standard 202 describes the Commissioning Process, the roles of the principal authoritys andstakeholders, and a framework for developing design documents, specifications, procedures,documentation, and reports. It also describes the general requirements for a training program forcontinued successful system and assembly rces/bookstore/commissioningPage 6 of 179
Commissioning Guidelines01.02.01.05 California Building Energy Efficiency Standards - Title 24California’s energy code is designed to reduce wasteful and unnecessary energy consumption in newlyconstructed and existing buildings. The California Energy Commission updates the Building EnergyEfficiency Standards (Title 24, Parts 6 and 11) every three years by working with stakeholders in a publicand transparent 1.02.01.06 U.S. Green Building Council - Leadership in Energy and Environmental DesignTo support the design, construction, and eventual operation of a project that meets the owner’s projectrequirements for energy, water, indoor environmental quality, and durability.https://www.usgbc.org/01.02.01.07 Caltech Environment, Health, and SafetyCaltech is committed to complying with all applicable laws and regulations concerning constructionactivities on campus. The purpose of the Caltech Construction Safety Guide is to reduce incidents thatmay cause personal injury, property damage, and/or liability losses due to construction work of Caltechowned buildings and facilities.https://safety.caltech.edu/01.03 DefinitionsThe following terms and phrases are used throughout this document.AcceptanceA formal action, taken by a person with appropriate authority (which may or may not be contractuallydefined) to declare that some aspect of the project meets defined requirements, thus permittingsubsequent activities to proceed.A/EA/E is defined as the architect and engineer assigned to the project either by the owner or as part of thedesign build team. This includes the Architect or Record (AOR) and Engineer of Record (EOR) which areintegral to the commissioning process. Approvals referenced in this document by the A/E shall beperformed by the AOR or EOR as applicable.Asset Data CommissioningThe process of collecting, standardizing and conforming operational building and equipment data fromconstruction documents into a database format that can be loaded to Caltech’s IWMS.Basis of Design (BOD)A document that records the concepts, calculations, decisions, and product selections used to meet theOwner's Project Requirements and to satisfy applicable regulatory requirements, standards, andguidelines. The document includes both narrative descriptions and lists of individual items that supportthe design process.Page 7 of 179
Commissioning GuidelinesChecklistsVerification checklists that are developed and used during all phases of the commissioning process toverify that the Owner's Project Requirements are being achieved. This includes checklists for generalverification, plus testing, training, and other specific requirements.Commissioning (Cx)See Commissioning Process.Commissioning Authority (CxA)An entity identified by the Owner who leads, plans, schedules, and coordinates the commissioning teamto implement the Commissioning Process.Commissioning Plan (Cx Plan)A document that outlines the organization, schedule, allocation of resources, and documentationrequirements of the Commissioning Process.Commissioning Process (Cx Process)A quality-focused process for enhancing the delivery of a project. The process focuses on upon verifyingand documenting that the facility and all of its systems and assemblies are planned, designed, installed,tested, operated, and maintained to meet the Owner's Project Requirements.Commissioning Process Activities (Cx Process Activities)Components of the Commissioning Process.Commissioning Report (Cx Report)A document that records the activities and results of the Commissioning Process. Usually developedfrom the final Commissioning Plan with all of its attached annexes.Commissioning Team (Cx Team)The individuals who through coordinated actions are responsible for implementing the CommissioningProcess.Construction ChecklistA form used by the contractor to verify that appropriate components are on-site, ready for installation,correctly installed, and functional. Also see checklists.Construction DocumentsThese include a wide range of documents that vary from project to project and with the Owner's needsand with regulations, laws, and countries. Construction documents usually include the project manual(specifications), plans (drawings), and general terms and conditions of the contract.Contract DocumentsThese include a wide range of documents that vary from project to project and with the Owner's needsand with regulations, laws, and countries. Contract documents frequently include price agreements,construction management process, subcontractor agreements or requirements, requirements andprocedures for submittals, changes, and other construction requirements, timeline for completion, andthe construction documents.Page 8 of 179
Commissioning GuidelinesCoordination DrawingsDrawings showing the work of all trades to illustrate that equipment can be installed in the spaceallocated without compromising equipment function or access for maintenance and replacement. Thesedrawings graphically illustrate and dimension manufacturers' recommended maintenance clearances.Design ChecklistA form developed by the CxA Team to verily that elements of the design are in compliance with the OPR.Design GuideA document to provide durable, maintainable and sustainable solutions for the various standards andbuilding systems, infrastructures, and renovation projects at California Institute of Technology.Design Review, Code or RegulatoryA review of a document conducted by staff or designated entity of an authority having jurisdiction todetermine whether the content of the document complies with regulations, codes, or other standardsadministered by the jurisdiction.Design Review, Commissioning (Cx Design Review)A review of the design documents to determine compliance with the OPR, including coordinationbetween systems and assemblies being commissioned, features and access for testing, maintenance,and other reviews required by the OPR and Cx Plan.Design Review, ConstructabilityThe review of effective and timely integration of construction knowledge into the conceptual planning,design, construction, and field operation of a project to achieve project objectives efficiently andaccurately at the most cost-effective levels to reduce or prevent errors, delays, and cost overruns.Design Review, PeerAn independent and objective technical review of the design of the project, or a part thereof, conductedat specified stages of design completion by one or more qualified professionals for the purpose ofenhancing the quality of the design.EvaluationThe process by which specific documents, components, equipment, assemblies, systems, and interfacesamong systems and their performance are confirmed with respect to the criteria required in the OPR.Issues LogA formal and ongoing record of problems or concerns—and their resolution—that have been raised bymembers of the Commissioning Team during the course of the Commissioning Process.Nominal Group TechniqueA formal, structured brainstorming process used to obtain the maximum possible ranked input from avariety of viewpoints in a short period of time. The typical approach is a workshop session where aquestion is presented; the attendees record their responses individually on a piece of paper; theindividual responses are recorded on a flip chart without discussion in a round robin fashion, all of theresponses are discussed; and then the participants rank their top five responses.Ongoing Commissioning ProcessA continuation of the Commissioning Process well into the Occupancy/Operations Phase to verify that aproject continues to meet current and evolving Owner's Project Requirements. Ongoing CommissioningPage 9 of 179
Commissioning GuidelinesProcess Activities occur throughout the life of the facility; some of these will be nearly close tocontinuous in implementation, and others will be either scheduled or unscheduled (as needed).Owner's Project Requirements (OPR)A document that details the functional requirements of a project and the expectations of how it will beused and operated. These include project goals, measurable performance criteria, cost considerations,benchmarks, success criteria, and supporting information. (The term Project Intent is used by someowners for their Commissioning Process Owner's Project Requirements.)Project TierCaltech uses a TIER Protocol to classify the scope of Cx projects based on the level of project complexity.This guide is intended to be used for Tier 4 projects only which includes all new construction and otherlarge projects which include scope for MEP systems and controls for HVAC and/or lighting. IncludesSkySpark integration to DDC and Asset Management. May be a LEED v4 project. Includes significantdesign review, including sequence of operations and TAB plan. Includes post-occupancy testing.Quality-Based SamplingA process for evaluating a subset (sample) of the total population. The sample is based on upon a knownor estimated probability distribution of expected values; an assumed statistical distribution based onupon data from a similar product, assembly, or system; or a random sampling that has scientificstatistical basis.1, 2, 3RACI (Responsible, Accountable, Consulted, Informed) TableCaltech uses a RACI matrix to assign roles and responsibilities in order to achieve key milestones duringa Cx project. Shows key activities as rows and participating parties as columns. For each participatingparty is indicated as to whether they're responsible, accountable, consulted, or informed.RecommissioningAn application of the Commissioning Process requirements to a project that has been delivered usingthe Commissioning Process. This may be a scheduled recommissioning developed as part of an OngoingCommissioning Process, or it may be triggered by use change, operations problems, or other needs.Retro-CommissioningThe Commissioning Process applied to an existing facility that was not previously commissioned. Thisguideline does not specifically address retro-commissioning. However, the same basic process shouldbe followed from Predesign through Occupancy and Operations to optimize the benefits ofimplementing the Commissioning Process philosophy and practice.Systems ManualA system-focused composite document that includes the operation manual, maintenance manual, andadditional information of use to the Owner during the Occupancy/Operations Phase.Test ProcedureA written protocol that defines methods, personnel, and expectations for tests conducted oncomponents, equipment, assemblies, systems, and interfaces among systems.Page 10 of 179
Commissioning GuidelinesTraining PlanA written document that details the expectations, schedule, budget, and deliverables of CommissioningProcess Activities related to training of project operating and maintenance personnel, users, andoccupants.VerificationThe process by which specific documents, components, equipment, assemblies, systems, and interfacesamong systems are confirmed to comply with the criteria described in the Owner's ProjectRequirements.01.04 AcronymsThe following terms and phrases are used throughout this document.BMS – Building Management SystemFDD – Fault Detection and DiagnosisBOD – Basis of DesignFPT – Functional Performance TestCaltech – California Institute of TechnologyIWMS - Integrated Work Order ManagementSystemsCIT – California Institute of TechnologyCD – Construction DocumentCx – CommissioningCxA – Commissioning AuthorityDB – Design/BuildDBB – Design/Bid/BuildDD – Design DevelopmentOPR – Owner’s Project RequirementsPFC – Pre-Functional ChecklistPM – Project ManagerRACI – Responsible, Accountable, Consulted,InformedSAM – SkySpark Asset ManagerSD – Schematic Design02 Commissioning ProcessThe Commissioning Process (Cx) is a quality-focused process for enhancing the delivery of a project. Cxfocuses on evaluating and documenting that all of the commissioned systems and assemblies areplanned, designed, installed, tested, operated, and maintained to meet the Owner's ProjectRequirements (OPR).Caltech commissioning (Cx) is an enhanced form of building commissioning that utilizes traditionalcommissioning, FDD processes, and asset management to ensure construction projects are deliveredaccording to requirements. Cx processes span the entire project lifecycle and the scope covers all assetsincluding new buildings and any fixtures, furnishings and equipment installed on campus. Cx placesemphasis on data collection to provide visibility to information needed during the construction processand throughout the lifetime of the building. Data is gathered through traditional commissioning, assetdata collection, and FDD.FDD supports and relies on the integration of various systems utilized in construction and operationsincluding building controls automation, building data analytics, asset data management, and Facilities’Page 11 of 179
Commissioning GuidelinesIntegrated Work Order Management systems (IWMS).
This guideline describes the total building commissioning process and the responsibilities of the Commissioning Authority and the Owner. Selecting and developing a Commissioning Plan following this guideline assures Caltech of whole-building commissioning meeting the OPR, and a sustaina
Defining Commissioning for GSA Buildings Commissioning ensures the delivery of efficient, durable, and comfortable facilities. ASHRAE Guideline 0‐2019 The Commissioning Process defines commissioning as follows: “Commissioning Process (Cx): a quality‐focused process for enhancing the delivery of a project. The
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E. ASHRAE Guideline 0 – 2013; Commissioning Process F. ASHRAE Guideline 1.1 – 2007; The HVAC&R Technical Requirements for the Commissioning Process G. ASHRAE Guideline 202 – 2013; Commissioning Process for Buildings and Systems H. ASTM E779-2010 – Standard Test Method for Determining Air Leakage Rate by Fan Pressurization
ASHRAE Standard 202-2013, The Commissioning Process for Facilities and Systems ASHRAE Guideline 0-2013, The Commissioning Process ASHRAE Guideline 1.1-2007,The HVAC Commissioning Process NIBS/ASHRAE Guideline 3, The Total Building Commissioning Process ASH
Commissioning Your Way To High Performance Buildings THE COMMISSIONING PROCESS Core Phases Of The Commissioning Process PRE-DESIGN STAGE The owner selects the design team, which includes the commissioning authority (CxA). Commissioning authority consists of the initial Cx team and team leader, and they are involved from project initiation
Apr 01, 2016 · ASHRAE/IES Standard 202-2013 — Commissioning Process for Buildings and Systems ASHRAE Guideline 0-2005 — The Commissioning Process ASHRAE Guideline 1.1-2007 — The HVAC Commissioning Process Related Resources Standards and Guidelines ANSI/ASHRAE Standard
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