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ASHRAE Guideline 0.2-2015

Commissioning Process
for Existing Systems and

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Assemblies

Approved by ASHRAE on August 31, 2015.

ASHRAE Guidelines are scheduled to be updated on a five-year cycle; the date following the Guideline number is the year
of ASHRAE 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:
[email protected]. 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.

© 2015 ASHRAE ISSN 1049-894X

No further reproduction or distribution is permitted.

Includes real-world examples that illustrate application of the Cx Process to various facility,
system, or assembly types. Requires Microsoft Word®.
 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
ASHRAE Guideline Project Committee 1.2
Cognizant TC: 7.9, Building Commissioning
SPLS Liaison: Donald M. Brundage
K. William Dean,* Chair Richard B. Casault* David F. Moser*
Thomas E. Cappellin,* Vice-Chair David E. Claridge* Keshwar B. Ramjattan*
Scott L. Gordon* Charles E. Dorgan* Reinhard G. Seidl*
J. Robert Atkins, Jr.* Gerald J. Kettler* Holly R. Townes*
James W. Bochat* Natascha S. Milesi Ferretti* Markham R. Wheeler Jr.*
Barry B. Bridges* Mark F. Miller* Ronald J. Wilkinson*

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

ASHRAE STANDARDS COMMITTEE 2015–2016

Douglass T. Reindl, Chair Keith I. Emerson Heather L. Platt
Rita M. Harrold, Vice-Chair Steven J. Emmerich David Robin
Joseph R. Anderson Julie M. Ferguson Peter Simmonds
James D. Aswegan Roger L. Hedrick Dennis A. Stanke
Niels Bidstrup Srinivas Katipamula Wayne H. Stoppelmoor, Jr.
Donald M. Brundage Rick A. Larson Jack H. Zarour
John A. Clark Lawrence C. Markel Julia A. Keen, BOD ExO

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Waller S. Clements Arsen K. Melikov James K. Vallort, CO
John F. Dunlap Mark P. Modera
James W. Earley, Jr. Cyrus H. Nasseri

Stephanie C. Reiniche, Senior Manager of Standards

SPECIAL NOTE
This Guideline was developed under the auspices of ASHRAE. 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. ASHRAE Guidelines are written to assist professionals
in the area of concern and expertise of ASHRAE’s Technical Committees and Task Groups.
ASHRAE Guidelines are prepared by Project Committees appointed specifically for the purpose of writing Guidelines. The Project Committee
Chair and Vice-Chair must be members of ASHRAE; while other committee members may or may not be ASHRAE members, all must be technically
qualified in the subject area of the Guideline.
Development of ASHRAE Guidelines follows procedures similar to those for ASHRAE Standards except that (a) committee balance is desired
but not required, (b) an effort is made to achieve consensus but consensus is not required, (c) Guidelines are not appealable, and (d) Guidelines
are not submitted to ANSI for approval.
The Senior 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
No further reproduction or distribution is permitted.

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

ASHRAE INDUSTRIAL ADVERTISING POLICY ON STANDARDS

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that the product has been approved by ASHRAE.
 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
CONTENTS
ASHRAE Guideline 0.2-2015,
Commissioning Process for Existing Systems and Assemblies
SECTION PAGE
Foreword ......................................................................................................................................................................................... 2
1 Purpose ................................................................................................................................................................................ 3
2 Scope ................................................................................................................................................................................... 3
3 Definitions............................................................................................................................................................................. 3
4 Process Overview ................................................................................................................................................................ 4
5 Multiple-Facility Planning...................................................................................................................................................... 6
6 Assessment .......................................................................................................................................................................... 9
7 Investigation ....................................................................................................................................................................... 15
8 Implementation ................................................................................................................................................................... 21
9 Hand-Off ............................................................................................................................................................................. 25
10 Ongoing Commissioning..................................................................................................................................................... 27
Informative Annex A: Guide for Developing Supplementary Technical Guidelines for the Commissioning Process for
Existing-Building Systems and Assemblies ........................................................................................................ 30
Informative Annex B: Flowcharts for the Commissioning Process for Existing Buildings ........................................................ 34
Informative Annex C1: Costs and Benefits of the Commissioning Process for Systems in
Existing Buildings and Assemblies...................................................................................................................... 37
Informative Annex C2: Differences between the Existing-Building Commissioning Process, an

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Energy Audit, and a Building Tune-up ................................................................................................................ 39
Informative Annex D: Documentation Matrix for Commissioning Process for Existing Buildings and Assemblies................... 42
Informative Annex E: Request for Qualifications and Team Selection ..................................................................................... 43
Informative Annex F: Roles and Responsibilities...................................................................................................................... 45
Informative Annex G: Existing-Building Commissioning Plans ................................................................................................. 47
Informative Annex H: Existing-Building Commissioning Process Program Plan for Multiple Facilities..................................... 48
Informative Annex I: Current Facility Requirements Workshop ................................................................................................ 50
Informative Annex J: Current Facility Requirements................................................................................................................. 53
Informative Annex K: Existing-Building Documentation and Records ...................................................................................... 56
Informative Annex L: Existing-Building Commissioning Process Report .................................................................................. 57
Informative Annex L1: Assessment Report .............................................................................................................................. 58
Informative Annex L2: Investigation Report .............................................................................................................................. 60
Informative Annex L3: Implementation Report ......................................................................................................................... 62
Informative Annex L4: Measurement and Verification Report .................................................................................................. 63
Informative Annex L5: Training ................................................................................................................................................. 64
Informative Annex L6: Lessons-Learned Workshop ................................................................................................................. 68
Informative Annex M: Systems Manual .................................................................................................................................... 69
Informative Annex M1: Facility Guide ....................................................................................................................................... 71
Informative Annex N: Ongoing Commissioning Report ............................................................................................................ 73
Informative Annex O: Existing-Building Commissioning Process Resources .......................................................................... 74
No further reproduction or distribution is permitted.

NOTE

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

© 2015 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.
 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This foreword is not part of this guideline. It is merely The process places an emphasis on planning and on doc-
informative and does not contain requirements necessary umentation of the CFR early on, with updates throughout as
for conformance to the guideline.) needed. Owners adopt the EBCx to achieve their stated objec-
tives and criteria as defined in the CFR. The CFR must appro-
FOREWORD priately describe these criteria as understood at the beginning
The Commissioning (Cx) Process for existing systems and of the process and must be modified as new information is
assemblies is an organized, quality-oriented process for plan- uncovered.
ning, assessing, investigating, implementing, verifying, and The Assessment, Investigation, and Implementation
documenting that improves the performance of facilities, sys- Phases are critical to making a difference in a facility, but the
tems, and assemblies to meet defined operational require- most overlooked phase is the OCx Phase, which is used for ver-
ments and criteria for the facility over time. ifying and sustaining the actual performance of the facility over
time. If the Owner does not continue to verify system perfor-
The Existing-Building Commissioning Process mance improvements, those benefits are likely to deteriorate or
The Existing-Building Commissioning (EBCx) Process is disappear in future years. The development of facility staff
used by Owners and/or other facility decision makers to opti- training modules, including documents on how the building
mize the operation of their facilities and systems for their spe- works (facility guide), are critical to maintaining long term
cific Current Facility Requirements (CFR). The process is performance in anticipation of the inevitable staff turn-over.
used to plan facility operation programs and goals and then The Cx Process as presented herein allows the Owner to
compare existing conditions and operations to those goals. reduce the life-cycle cost of the facility. Following this inte-
This evaluation allows the Owner to determine if any of the grated process should result in a fully functional facility, with
existing conditions require or warrant further attention. The complete documentation of its systems and assemblies, and
process is also used to identify the causes of existing problems trained operating and maintenance personnel.
and shortfalls in achieving the CFR and to determine methods
for resolving those problems. Most importantly, the process EBCx Process Supporting Technical Guidelines

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provides the Owner with a logical decision-making approach ASHRAE Guideline 0.2 presents details on the Cx Process for
to evaluate, compare, prioritize, and implement recommenda- existing systems and assemblies without focusing on specific
tions for making their facilities operate as efficiently and systems or assemblies. Supporting technical guidelines are
effectively as is economically feasible given the Owner’s spe- being developed to provide specific and detailed information
cific requirements and resources. When physical changes to on how to implement the Cx Process for each major facility
the facility are required as a consequence of the EBCx Pro- system or assembly. However, the EBCx can be implemented
cess, all such modifications must meet applicable codes per- successfully without the supporting technical guidelines.
taining to the work being performed. Additionally, following Supporting technical guidelines use a common content
the process allows Owners to maintain the benefits of these organization that is closely coordinated with Guideline 0.2 to
implemented recommendations over time. avoid repeating Cx Process information that is conveyed in
The EBCx Process differs from the Cx Process for new this guideline. This common content organization, with focus
buildings in that the Cx Team for existing buildings is selected on system-specific information, forms a set of documents that
and charged with evaluating existing-building systems and can be employed together or in any combination to accommo-
assemblies to determine their ability to meet the Owner’s date varying Owner requirements.
CFR, which may differ from the original design.
This guideline details a process that can be applied to any Annexes
type of building, system, or assembly. The EBCx Process con- Annexes are included with this guideline to assist users in
sists of distinct phases with specific objectives to be achieved applying the Cx Process for existing systems and assemblies
during each phase in order to identify and correct operational and to aid in the development of the supporting technical
and functional issues that prevent the building systems and guidelines. Most of the annexes include examples located
assemblies from performing as currently required. The process online at www.ashrae.org/G02-2015. The examples are
involves the following phases: Planning, Assessment, Investi- based on specific project experience and are presented as a
gation, Implementation, Hand-Off, and Ongoing Commission- representative sample of current practice, which may not fol-
ing (OCx). This guideline describes the responsibilities of the low all of the procedures presented in this guideline. They
Cx Team and the documents and reports needed to provide a illustrate application of the Cx Process to various facility,
No further reproduction or distribution is permitted.

uniform, integrated, and consistent approach for maintaining, system, or assembly types. They are not intended to promote
operating, and managing assets to meet the Owner’s and other specific formats for the various deliverables related to the Cx
stakeholders’ ongoing requirements. Process but to help illustrate how the guideline can be put
The process detailed in this guideline is presented as lin- into practice.
ear. In reality, the process probably will be iterative and inter-
active, where many tasks and even some phases are performed History of Cx Process Guidelines
more than once as needed for the specific facility and systems. Development of guidelines for the Cx Process began formally
The documents used and created in this guideline are living in 1982 when ASHRAE formed a committee to document best
documents that will need to be updated throughout the EBCx practices to achieve facilities that performed according to the
Process. needs of the Owner and other stakeholders. ASHRAE published

2 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
its original Cx guideline, ASHRAE Guideline 1, The HVAC tems and assemblies are planned, designed, installed, tested,
Commissioning Process, in 1989, and an updated version was operated, and maintained to meet the Owner’s Project
published in 1996. These first guidelines were developed with Requirements (OPR).
an emphasis on HVAC&R equipment.
Commissioning (Cx) Process Activities: components of the
In 1999, it was decided to develop a more inclusive set of Cx Process.
guidelines that applied to all building systems. This effort
resulted in a collaboration with the National Institute of Commissioning (Cx) Process Progress Report: a written doc-
Building Sciences (NIBS) and the concept of a general guide- ument that details activities completed as part of the Cx Pro-
line for the Cx Process and a series of supporting technical cess and significant findings from those activities. The report
requirements guidelines for different building systems. In is continuously updated during the course of a project and usu-
2005, ASHRAE published Guideline 0, The Commissioning ally incorporated into the Cx Plan as an ongoing annex.
Process, to address the underlying quality-based Cx Process Commissioning (Cx) Team: individuals who through coordi-
without reference to a specific system type. NIBS subsequently nated actions are responsible for implementing the Cx Pro-
published the first supporting technical guideline, Guideline cess.
3, Exterior Enclosure Technical Requirements for the Com-
missioning Process, in 1996. Shortly thereafter, ASHRAE Current Facility Requirements (CFR): a written document in
replaced Guideline 1-1996, which had contained both gen- which the Owner details the current functional requirements
eral Cx Process requirements and HVAC technical require- of a facility and the expectations of how it should be used and
ments, with supporting technical guideline, ASHRAE operated. This may include goals, measurable performance
Guideline 1.1-2007, HVAC&R Technical Requirements for criteria, cost considerations, benchmarks, success criteria,
the Commissioning Process. and supporting information to meet the requirements of occu-
On completion of ASHRAE Guideline 0-2013, it was pants, users, and Owner(s) of the facility.
determined that unique requirements existed in the Cx Pro- Existing-Building Commissioning (EBCx) Process: a qual-
cess for existing buildings that warranted a separate guide- ity-focused process for attaining the CFR of an existing build-

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line to detail the EBCx, along with supporting technical ing and/or its systems and assemblies. The process focuses on
requirements guidelines for different building systems. This planning, investigating, implementing, verifying, and docu-
resulted in both ASHRAE Guideline 0.2, The Commissioning menting that the facility and/or its systems and assemblies are
Process for Existing Systems and Assemblies, as well as an operated and maintained to meet the CFR, with a program in
expansion of the commissioning guideline series. place to maintain the enhancements for the remaining life of
the facility.
1. PURPOSE
facility guide (FG): a basic building systems description and
1.1 The purpose of this guideline is to describe the proce- operating plan with general procedures and confirmed facility
dures, methods, documentation, requirements, and physical operating conditions, setpoints, schedules, and operating pro-
activities of the Commissioning (Cx) Process for existing cedures to properly operate the facility.
buildings, systems, and assemblies using the principles devel-
oped in ASHRAE Guideline 0, The Commissioning Process. functional performance test protocol: a written collection of
tests that, when executed in the test process, allow verification
2. SCOPE of the performance of a system or assembly.
2.1 This guideline applies to existing buildings, systems, and issues and resolution log: a formal and ongoing record of
assemblies. problems or concerns and their resolution that have been
raised by members of the Cx Team during the course of the
3. DEFINITIONS Cx Process.
acceptance: a formal action taken by a person with appropri- Measurement and Verification (M&V) Plan: a plan for gath-
ate authority (which may or may not be contractually defined) ering relevant data over time to evaluate performance and
to declare that some aspect of the project meets defined benefits.
requirements, thus permitting subsequent activities to pro-
Multiple-Facility Program Plan: a strategic plan for enhanc-
ceed.
ing multiple facilities.
commissioning (Cx): see Commissioning (Cx) Process.
No further reproduction or distribution is permitted.

Ongoing Commissioning (OCx) Process: a continuation of

Commissioning Authority (CxA): an entity identified by the the Cx Process after the Hand-Off Phase to verify that a facil-
Owner who leads, plans, schedules, and coordinates the Cx ity continues to meet current and evolving CFR (OPR for new
Team to implement the Cx Process. construction). OCx Process Activities occur throughout the
Commissioning (Cx) Plan: a document that outlines the life of the facility; some of these will be close to continuous
organization, goals, schedule, allocation of resources, and in implementation and others will be either scheduled or
documentation requirements of the Cx Process. unscheduled (as needed).
Commissioning (Cx) Process: a quality-focused process for recommissioning: an application of the Cx Process require-
enhancing the delivery of a project. The process focuses on ments to a project that has been delivered using the Cx Pro-
verifying and documenting that the facility and all of its sys- cess (see Existing-Building Commissioning [EBCx] Process).

ASHRAE Guideline 0.2-2015 3

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
retrocommissioning: the Cx Process applied to an existing 4.3 This process offers both immediate benefits and long-
building that was not previously commissioned (see Existing- term value. The immediate benefits of utilizing this process
Building Commissioning [EBCx] Process). are the cost-effective modifications and improved functional-
ity of the facility and its systems and assemblies. The long-
systems manual: a system-focused composite document that
term value stems from continuously updating documentation
includes the design and construction documentation, FG and
of the changing facility needs and requirements and effec-
operation manual, maintenance information, training infor-
tively addressing the evolution of the facility through the OCx
mation, Cx Process records, and additional information of use
Process Program. These documents include Current Facility
to the Owner during occupancy and operation.
Requirements (CFR), EBCx Program Plan, EBCx Plan, a
test procedure: a written protocol that defines methods, per- dynamic systems manual, maintenance staff and occupant
sonnel, and expectations for tests conducted on components, training information, and the OCx Plan.
equipment, assemblies, systems, and interfaces among sys-
tems. 4.4 A good Cx Process will focus the level of effort and
available resources around the key elements and systems that
Training Plan: a written document that details the expecta- need to be addressed to meet the goals of the process. The
tions, schedule, budget, and deliverables of Cx Process Activ- level of effort and potentially the cost to implement all
ities related to training of project operations and maintenance aspects of the EBCx Process could exceed the available
personnel, users, and occupants. resources if applied to every building system, component, and
verification: the process by which specific documents, compo- subcomponent. In most applications, it is more likely that the
nents, equipment, assemblies, systems, and interfaces among EBCx Process will be focused on specific areas or systems
systems are confirmed to comply with the criteria described in within a facility, address specific known issues, and have spe-
the CFR. cific overall goals. In EBCx, not every system should or needs
to be examined to provide benefit.
4. PROCESS OVERVIEW
4.5 Another element of the process, persistence, refers to

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4.1 Section 4 provide an executive summary of the Existing- ensuring that improvements remain in place, as appropriate,
Building Commissioning (EBCx) Process with sufficient over time, through training, documentation, and putting
information to allow users to determine the value of using the mechanisms in place to regularly check the performance and
process to enhance the value of their assets, increase produc- the improvements.
tivity, and reduce operating costs, including energy and main-
tenance costs. 4.6 Table 1 summarizes the EBCx Process phases and lists
the major activities and deliverables in each phase. The
4.2 This guideline builds on the quality principles of the objectives of each phase are as follows.
Commissioning (Cx) Process that were developed for new
buildings as described in Guideline 0-2013, The Commission- 4.6.1 The objectives of the Multiple-Facility Planning
ing Process. Key components of this process include the fol- Phase are to clearly define the expectations of the EBCx Pro-
lowing. gram and establish processes and procedures necessary to
successfully implement the program across a group of build-
4.2.1 Use a team.
ings, systems, or assemblies. The decisions made here will be
4.2.2 Involve stakeholders of and in the facility. based on the defined goals and specific facility types to be
4.2.3 Develop a conceptual plan for multiple facilities and/ included in the program. The final objective of the phase is to
or projects. develop a master or strategic EBCx Program Plan to be used
4.2.4 Determine functional needs and requirements of the as a guideline for the execution of the program across the
facility. selected facilities.
4.2.5 Document performance of current and required sys- 4.6.2 The objectives of the Assessment Phase are to estab-
tems and assemblies. lish the CFR or ensure that an existing CFR includes all nec-
essary information, to assess the facility’s suitability for an
4.2.6 Make obvious low-cost repairs.
EBCx Plan, and to develop a course of action to execute the
4.2.7 Identify, analyze, and recommend improvements. EBCx Plan.
4.2.8 Implement approved recommendations and improve-
4.6.3 The objectives of the Investigation Phase are to
No further reproduction or distribution is permitted.

ments.
understand and document existing conditions and perfor-
4.2.9 Measure and verify performance and benefits. mance to identify improvements that bring the facility into
4.2.10 Identify persistence of benefits and improvements. compliance with the CFR.
4.2.11 Produce a functional systems manual for facility 4.6.4 The objective of the Implementation Phase is to exe-
operations. cute the recommendations selected from the Investigation
4.2.12 Provide training or retraining to operations and Reports. Verify performance meets the CFR. Report the
maintenance (O&M) staff and occupants. results of implementation.
4.2.13 Develop a lifetime Ongoing Commissioning (OCx) 4.6.5 The objectives of the Hand-Off Phase are to provide
program. the completed documents from the EBCx to the Owner, pro-

4 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
TABLE 1 Phases, Activities, and Deliverables

Phases Main Activities (Section #) Deliverables

Multiple-Facility • Assemble EBCx Program Planning Team (5.2) • EBCx Program Plan
Planning • Document EBCx Program Goals and Objectives (5.3)
(Section 5) • Assemble Information and Rank Facilities (5.4)
• Develop EBCx Program Plan (5.5)
• Obtain Owner Acceptance and Decision to Proceed (5.7)
Assessment • Define Owner’s EBCx Goals and Objectives (6.2) • CFR
(Section 6) • Select the Initial EBCx Team (6.3) • EBCx Plan
• Develop CFR (6.4) • EBCx Report, including the Assessment
• Develop the EBCx Plan (6.5) Report
• Establish the Systems Manual Outline (6.6) • Updated EBCx Program Plan (if
• Perform Assessment (6.7) applicable and affected)
• Initiate EBCx Report with Assessment Report (6.8)
• Obtain Owner Acceptance and Decision to Proceed (6.10)
Investigation • Update EBCx Team (7.2) • Updated EBCx Plan
(Section 7) • Conduct Investigation Planning Meeting (7.3) • Updated EBCx Report, including the
• Review Facility Documentation (7.4) addition of the Investigation Report
• Update EBCx Plan (7.5)
• Perform Site Investigation and Testing (7.6)
• Perform Issues and Opportunities Analysis (7.7)
• Update EBCx Report with Investigation Report (7.8)
• Obtain Owner Acceptance and Decision to Proceed (7.10)
Implementation • Select Recommendations to Implement (8.2) • Updated EBCx Plan

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(Section 8) • Implement Capital Projects (8.3) • Updated CFR
• Update EBCx Team (8.4) • Updated EBCx Report, including the
• Incorporate Informal Training (8.5) addition of the Implementation Report
• Update EBCx Plan (8.6) • Updated systems manual material
• Implement Recommendations (8.7)
• Verify Completed Recommendations and Performance (8.8)
• Update the EBCx Documentation (8.9)
• Obtain Owner Acceptance and Decision to Proceed (8.11)
Hand-Off • Develop OCx Plan (9.2) • EBCx Report, including the addition of
(Section 9) • Assemble Systems Manual (9.3) the Lessons-Learned Report
• Train Facility Personnel (9.4) • Systems manual, including facility
• Verify Training Effectiveness (9.5) guide
• Conduct Lessons-Learned Workshop (9.6) • OCx Plan
• Finalize EBCx Report (9.7)
• Provide Project Documents to Owner (9.8)
• Obtain Owner Acceptance and Decision to Proceed (9.10)
Ongoing • Assemble the OCx Team (10.2) • Updated OCx Plan
Commissioning • Update the OCx Plan (10.3) • Updated CFR
(OCx) • Verify Achievement of CFR (10.4) • Updated systems manual
(Section 10) • Investigate Unacceptable Performance or Outcome (10.5) • OCx Report (made periodically)
• Implement Recommendations (10.6)
• Update Systems Manual (10.7)
• Update Facility Personnel Training (10.8)
• Write/Deliver OCx Report (10.9)
• Obtain Owners Acceptance (10.11) No further reproduction or distribution is permitted.

vide training to the Owner’s personnel, and to incorporate les- 4.7 Table 1 and this guideline present the process as occur-
sons learned from the Cx Process into the day-to-day O&M ring in a linear fashion. In reality, the process is often iterative
procedures in the facility. and interactive where many tasks and even some phases are
4.6.6 The overall objective of the OCx Program is to ensure performed more than once, as needed, for the specific facility
that the benefits obtained from the EBCx Plan and any other and systems.
building improvements are sustained over time and improved 4.8 The complete list of deliverables in Table 1 may not be
if possible. OCx involves performing critical elements of the required or desired due to factors of project size, complexity,
process, repeatedly over a series of cycles, with periods typi- funding, time, etc. The decision regarding which deliverables
cally lasting from months to years. to provide is performed by the EBCx Team, as they have the

ASHRAE Guideline 0.2-2015 5

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
knowledge about the needs of the particular project. Neither tion of the EBCx Program Plan, a formal document that
the EBCx Plan nor the EBCx Report are separate documents defines the overall goals of the program, expected budgets
in each phase but are updated and evolve through each phase. and benefits, as well as the order in which the facilities
It is the intent of this guideline that the deliverables, prior to included will be addressed in the program.
OCx, be assembled by section for each phase of the process 5.1.2 Objectives. The Multiple-Facility Planning Phase is
and then compiled into the final EBCx Report. This format used to clearly define the expectations of the EBCx Program
will allow the Owner to distribute only those pertinent sec- and establish processes and procedures necessary to success-
tions that individual stakeholders require. fully implement the program across a group of buildings, sys-
Some of the deliverables described may be combined or tems, or assemblies. The decisions made here will be based
eliminated in small projects where the Owner does not desire on the defined goals and specific facility types to be included
a comprehensive implementation of EBCx. Consider a simple in the program. The final objective of the phase is to develop
EBCx Process emphasizing one or two systems for a small a master or strategic EBCx Program Plan to be used as a
building where the Owner is not interested in OCx and there guideline for the execution of the program across the selected
is no multiple-facility planning. The project may not have a facilities.
Planning Phase except for the decision of the Owner to con- 5.1.3 Main Activities. The principal activities necessary to
duct a project. It is likely that all Assessment Phase deliver- achieve the objectives of the Multiple-Facility Planning Phase
ables would be combined into a single brief report. The are as follows:
Investigation Phase may be documented in memorandum
form rather than a formal plan and report. The Assessment a. Assemble the EBCx Program Planning Team.
and Investigation Phase may be combined if desired by the b. Document EBCx Program goals and objectives.
Owner as long as the CFR are well understood early in the c. Assemble information and rank facilities.
process. If combined, there may not be separate deliverables d. Develop an EBCx Program Plan.
for these two phases. The Implementation Phase and Hand-
5.2 Assemble EBCx Program Planning Team
Off Phase deliverables are also likely to be combined into a
5.2.1 Determine Team Members

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single report that documents the measures implemented, les-
sons learned, changes made to the systems, a report on the 5.2.1.1 The success of the EBCx Program will depend
improvements realized, and the facility guide (FG). greatly on the decisions made during the development of the
program mission, goals, objectives, and procedures. As a
4.9 The application of this guideline will depend on the CFR;
result, the individuals chosen to participate in the program
how the original facility was designed, built, and modified;
development are essential to the success of the program. The
the condition of the present systems and equipment; and the
team selection should begin with establishing a Commission-
current operational requirements. The process described in
ing Authority (CxA), with experience in applying the Cx Pro-
this guideline is written in a generic (non-system-specific)
cess to existing buildings, to lead and facilitate the Cx Team.
manner so as to be applicable to most situations, and so must
This person will be responsible for the overall development of
be adapted to each facility as needed.
the EBCx Program Plan. The EBCx Program team leader or
4.10 This guideline describes the Cx Process for existing sys- CxA may be an in-house person who is familiar with the facil-
tems and assemblies and is supplemented by companion tech- ities and systems under consideration or may be an outside
nical guidelines. Each supporting technical guideline describes entity with experience in the EBCx Process. The existing-
specific and detailed information to properly implement the Cx building program team leader will then work with the Owner
Process for existing systems and assemblies for a specific facility to identify the necessary team members to aid in the develop-
system or assembly. ment of the overall EBCx Program Plan. Proper selection of
the CxA is key to the success of the project. Annex E includes
5. MULTIPLE-FACILITY PLANNING examples of Requests of Qualifications (RFQ) for selecting a
5.1 Introduction CxA with the full breadth of skills and experience necessary
5.1.1 The Multiple-Facility Planning Phase is intended for for the particular commissioning project.
Owners considering employing the EBCx Process on multi- 5.2.1.2 The remaining team members should include a
ple facilities. This approach may also be applied to single combination of engineering and management facilities, key
facilities that need to be addressed in stages. This section is unit or functional managers, engineers and architects (espe-
meant to help Owners establish the goals, objectives, and exe- cially those in project planning and programming for capital
No further reproduction or distribution is permitted.

cution strategy of an EBCx Program to be implemented projects), financial management, maintenance personnel, and/
across a portfolio of buildings. Those Owners or other deci- or key occupants of the types of facilities under consideration.
sion makers who decide to apply the EBCx Process to a sin- The members chosen should have specific knowledge of the
gle facility may proceed directly to Section 6, “Assessment.” operational requirements and status of the buildings and infra-
The same process can be applied to a single large facility, structure as well as an understanding of the overall financial
such as a large corporate, public, or private building (includ- goals and restrictions that will be placed on the program. To
ing large residential complexes) in phases. When funds are assist in setting priorities, the key occupants on the team
restricted, the process may even apply to a small facility, such should have an understanding of the specific challenges
as a combined grade-school building in a small community or within their facility types as well as what functions may be
to a small hospital. This section concludes with the comple- affected by the EBCx Process.

6 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
5.2.1.3 The members chosen for the EBCx Program Plan- 5.2.3 Facility Systems and Assemblies. Discuss the types
ning need to have the willingness to actively participate in the of facility systems and assemblies to be included in the EBCx
process and contribute timely involvement, both in duration Program. The types of systems included may be different for
and priority, to the effort of developing a workable program different facility categories. The decision as to what facility
plan. In addition to the initial program development, the systems will be included is a function of the program goals.
EBCx Program Planning Team will need to meet regularly The types of systems to be included may also be impacted by
throughout the execution of the program to discuss any les- the available resources, financial budgetary constraints, and
sons learned or facility changes that may require adjustments expected benefits of the program.
to the Program Plan. 5.2.4 Ranking Metrics
5.2.2 Conduct EBCx Program Planning Meeting 5.2.4.1 Discuss the metrics to be used to rank the facili-
5.2.2.1 Assemble the EBCx Program Planning Team ties under consideration. The manner in which facilities are to
members for a planning meeting to discuss and orient the be ranked will follow the established goals of the EBCx Pro-
members on the EBCx Process. The person designated to lead gram. The discussion may also reveal other means in which
the meeting should develop an agenda detailing the goals and facilities may be ranked with respect to the order in which an
objectives of the meeting and the EBCx Program. The meet- EBCx Program may be executed. The planning team may
ing agenda may include the following discussion topics. have specific ideas with regard to how the program should be
focused. It may be desirable to focus on a specific system or
5.2.2.1.1 EBCx Process Overview. The EBCx Process
facility type. Alternatively, it may be decided to focus on
overview discussion should provide the planning team mem-
facilities built prior to a specific year.
bers with a general understanding of the EBCx Process, the
types of systems and assemblies typically included, expected 5.2.4.2 Another possible method of facility ranking may
impact on facility operations, and types of benefits that can be be related to the experience of the team members assigned to
anticipated. It is desirable to have examples from prior proj- execute the EBCx Program. If the team members are new to
ects, or a pilot project completed by the organization. This the Cx Process, it may be decided to begin the program on
smaller facilities with less challenging systems to refine the

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level of discussion will provide the members with enough
understanding to allow them to provide meaningful input for process and gain experience with the teams executing the
the overall program plan and for setting goals and priorities. projects.
5.2.4.3 Determine a method for ranking the order of the
5.2.2.1.2 Program Goals. Discuss and define the over-
facilities in which the EBCx Program will be applied. The
all goals and the mission of the EBCx Program and document
order may be determined by factors other than the empirical
in an EBCx Program mission statement. The goals of the pro-
evaluation criteria used to rank the facilities. Other possible
gram may be centered on outcomes such as the improvement
methods for prioritizing the order in which buildings are
of energy performance, occupant comfort, productivity,
scheduled for EBCx may include the following:
extending the life of facilities, or a combination of desired
outcomes. It is important to define the mission of the EBCx a. Highest return for the effort, such as a facility with high
Program early in the overall program development. Define opportunity for reduction in energy or operational cost.
specific goals to develop a means to achieve the desired out- b. Highest productivity return to the organization, such as for
come. Establish benchmarks and methods for measuring suc- a large data center.
cess. This discussion can be used to establish a mission c. Facilities most critical to the organization’s mission.
statement for the multiple-facility program. The final mission d. Selecting less complicated candidates first to refine the
statement should be concise and unambiguous in defining the process before undertaking more complicated projects.
purpose and expectations of the program.
5.2.2.1.3 Facility Identification. Identify what facili- 5.2.4.4 The discussion of ranking metrics will also lead to
ties will be included in the program. Discuss and generally a determination of what data and materials will need to be
assess the overall portfolio of facilities under consideration gathered and analyzed. Determine who will gather the neces-
and determine the most appropriate way to group the facilities sary data to complete the ranking analysis.
by categories, such as space use. Develop a plan for bench- 5.2.5 Measurement and Verification (M&V)
marking the performance of the buildings around the metrics 5.2.5.1 Discuss the manner in which the benefits of the
to be used for evaluation. Metrics may include occupant den- program will be quantified. The EBCx Program will result in
No further reproduction or distribution is permitted.

sity (staff and client/guest); income or profit per unit area or benefits that can be both measured and verified. The EBCx
facility; environmental quality/satisfaction; use effectiveness; Program Planning Team will need to discuss the level of
fire/life safety compliance with current codes; maintenance/ detail that will be required when documenting the benefits
service needs or cost; annual net cost per unit area; annual obtained.
energy use per unit area, including demand charges; intensity 5.2.5.2 In some cases, Owner and/or contractual require-
of contribution toward meeting the organization’s mission, ments may dictate the use of and compliance with specific
and other criteria appropriate for the overall facility. M&V protocols. If a specific M&V protocol is required, the
5.2.2.1.4 Exclusions. The discussion may also be used team will need to discuss and understand the requirements of
to determine what facilities or facility types may be excluded the protocol to be used, who will be responsible for execution,
from further consideration. and what options may be applicable based on the building

ASHRAE Guideline 0.2-2015 7

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
types and systems to be included. Several available protocols 5.2.9 Investment Criteria. Discuss what investment crite-
can be used directly or used as a basis for M&V. ria may be required by both the EBCx Program and capital
5.2.5.3 For programs where compliance with a specific projects identified during the implementation of the EBCx.
M&V protocol is not required, the level of M&V analysis to Discuss potential grants or incentive programs that may be
be conducted may be less rigorous. available from government, utility, or other entities that may
apply to the project. Define investment criteria for both the
5.2.5.4 M&V Plan. The EBCx Program Planning Team
overall EBCx Program and the budgetary guidelines regard-
must establish the required M&V activities of the program.
ing individual recommendations. This will be used to justify
The level of detail and specific techniques used to quantify
improvements that require capital funding during the Investi-
the benefits obtained will have a direct impact on the overall
gation Phase. This information will provide the EBCx Team
program budget. Consider M&V techniques that could also
with guidance on what type of economic performance is
be realistically used in the OCx Process to help maintain ben-
required to justify implementation of recommended improve-
efits over time.
ments.
5.2.6 Training Approach. Initial training approaches
5.2.10 Execution Schedule. Discuss the preferred time-
should be discussed for the various facilities, the facility
frame for the process to implement the program tasks or
occupants, and the facility O&M staff.
selected portions of the program in conjunction with the bud-
5.2.7 Resources. At this point in the process, the team has get and resources discussion. This discussion assists the team
discussed the types of buildings and building systems to be in determining what can be accomplished within time, bud-
included in the EBCx Program. With that knowledge, the get, or resource limitations.
team can now discuss the resources to be applied to the exe-
5.3 Document EBCx Program Goals and Objectives
cution of the program.
5.3.1 Compile the information gathered during the EBCx
5.2.7.1 Personnel Resources. Discuss what internal per-
Program planning meeting into a formal document. The docu-
sonnel resources are available to be used and what outside
ment defines the mission, goals, and objectives of the pro-
resources will be required. Internal resources committed to
gram, including the manner in which the success of the

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the program will not be available for their normal duties for
program is measured. List the types of facilities and systems
certain periods. The type and quantity of outside resources
included, the benchmarking methods and metrics used to rank
may also be dictated by the required expertise for the systems
the facilities, and the resources required to implement the pro-
to be included in the program. In addition, the type and quan-
gram.
tity of resources may be different for different building types
and/or what systems will be evaluated. 5.3.2 The EBCx Program goals and objectives document
should be based on the input gathered from the Owner and
5.2.7.2 Budget. The required personnel resources (inter-
EBCx Program Planning Team. Once completed, the docu-
nal or external) will have a cost impact on the program. When
ment should be reviewed by all planning team members to
using internal resources, they may require additional equip-
verify the document accurately represents the expectations of
ment and training to complete the tasks associated with the
the team. The final approved document will be used as the
EBCx. When using outside resources, the costs associated
guideline for how the program will be executed and the
with individual tasks must be estimated to establish what
results judged.
level of funding will be required. The sequence of funding
needs to be addressed. Set a budget for the program using 5.3.3 Based on the information gathered, document the ini-
either in-house or contracted resources. tial budget and schedule for the program. Include initial gen-
eral estimates for the overall cost and timeframe for the EBCx
5.2.7.3 The use of modeling software programs for evalu-
Program for the buildings under consideration. It should be
ating initial and/or predicted facility performance can be use-
understood that these are rough estimates as they are prelimi-
ful in identifying opportunities for improvement as well as
nary. More accurate estimates of costs and benefits will be
quantifying the expected cost benefits, but can also require
established during the Assessment Phase for each facility.
significant cost to employ.
After a few facilities have been completed, the program plan
5.2.8 Expected Benefits. Discuss the expected benefits of can be updated with more accurate information and the pro-
the program, such as energy efficiency, energy efficiency gram reevaluated. This is especially true when the facilities
through reduced energy demand, productivity enhancements, are similar but located throughout the country or world.
occupant comfort, code compliance, and other benefits that
No further reproduction or distribution is permitted.

5.4 Assemble Information and Rank Facilities

may or may not readily be assigned monetary value. Deter-
mine a means for assigning a value to the nonmonetary bene- 5.4.1 Based on the ranking method established during the
fits to help foster a consistent decision-making process in planning meeting, assemble the various types of information
deciding which recommended improvements to implement. regarding the general performance, state, and condition of the
For a given organization, economic value can usually be facilities to be considered in the EBCx Program. Analyze data
assigned as a metric when developing the master strategic gathered and rank the facilities based on the criteria estab-
plan. The discussion of budget costs and fiduciary benefits lished during the planning meeting.
with some description of value for non-direct-monetary bene- 5.4.2 Develop an execution schedule showing the initial list
fits (such as reduced energy or maintenance cost) may have of facilities and the order in which the EBCx will be applied.
an impact on how the program is defined and executed. This is the prioritized list of facilities. Include the reasoning

8 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
used to establish this prioritized list so that it may be refer- performance and functionality, including a general estimate
enced should the order need to be changed as the program of the cost and timeline for the total project. Identified
progresses. improvements or issues that are discovered during this
5.5 Develop EBCx Program Plan Assessment Phase that can be corrected with minimal time
and effort and that do not require additional evaluation can be
5.5.1 The information gathered in the Planning Phase
implemented and documented immediately to demonstrate
should be assembled into a document defining the EBCx Pro-
the benefits of the Cx Process. This phase concludes with the
gram. The EBCx Program Plan is a document that clearly
completion of the EBCx Plan and Owner acceptance of the
defines the expectations of the EBCx Program and establishes
Assessment Phase report.
processes and procedures necessary to successfully imple-
ment the program across a group of buildings. The EBCx Pro- 6.1.2 Objectives. The objectives of this phase are to estab-
gram Plan should include the following at a minimum: lish the CFR or to ensure that an existing CFR includes all
necessary information, to assess the facility’s suitability for
a. EBCx Program mission statement an EBCx Plan, and to develop a course of action to execute
b. Program goals and objectives the EBCx Plan.
c. Facility identification 6.1.3 Main Activities
d. Facility systems and assemblies included 6.1.3.1 Define Owner’s EBCx goals and objectives.
e. Ranking metrics
6.1.3.2 Select the initial EBCx Team.
f. Prioritized list of facilities
6.1.3.3 Develop CFR.
g. Measurement and verification requirements
h. Training approach 6.1.3.4 Develop the EBCx Plan.
i. EBCx resources 6.1.3.5 Establish the systems manual outline.
j. Expected benefits 6.1.3.6 Perform assessment.
k. Budget and investment criteria 6.1.3.7 Initiate EBCx Report with Assessment Report.
l. Execution schedule 6.1.3.8 Obtain Owner acceptance and decision to proceed.

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m. EBCx Program Planning Team (name, affiliation,
and title) 6.2 Define Owner’s EBCx Goals and Objectives
6.2.1 The Owner must be willing and able to assist the
5.5.2 The development of an EBCx Plan for each of the pri- EBCx Team in defining the goals and objectives of the EBCx
oritized individual facilities is discussed in the following sec- Plan in real, measurable terms for meeting the current needs
tions of this guideline. and requirements for the facility. The Owner’s role is crucial
5.6 Planning Phase Deliverables for the team to determine the appropriate methods and steps
5.6.1 EBCx Program Plan to address the Owner’s specific needs and for allowing deci-
sion makers to logically evaluate the findings.
5.7 Obtain Owner Acceptance and Decision to Proceed
6.2.2 The goals and objectives should address the benefits
5.7.1 The Owner reviews the EBCx Program Plan and related to issues such as comfort, health, safety, maintenance,
either accepts it in total or makes comments. operations, control, energy, sustainability, sales, profits, satis-
5.7.2 If the EBCx Program Plan is acceptable to the Owner, faction, aesthetics, productivity, code compliance, etc.These
then the team will continue the process for the recommended goals and objectives will be used to bring focus to the EBCx
facility as described in Section 6. Plan going forward. If the overall goals and objectives of the
5.7.3 If the EBCx Program Plan is not acceptable, the process are clearly defined, this will have an impact on the
EBCx Program Planning Team should be assembled to dis- approach taken to the types of systems included and the level
cuss and if possible resolve the issues raised by the Owner of testing conducted.
and resubmit the plan for the Owner’s review. 6.2.3 Conduct an EBCx Planning Meeting. Assemble
key decision makers to develop an understanding of the
6. ASSESSMENT EBCx. The meeting should begin with an overview descrip-
6.1 Introduction tion of the EBCx and the impacts this could have on the oper-
6.1.1 The Assessment Phase consists of preparatory activi- ation of the facility. Once the process has been described, the
ties of the EBCx Process in which Current Facility Require- discussion should focus on what the specific process goals
No further reproduction or distribution is permitted.

ments (CFR) and an Existing-Building Commissioning and objectives will be and what systems and assemblies will
(EBCx) Plan are developed and defined for a single facility, be included.
and an assessment of the facility is performed. If the EBCx 6.2.3.1 If EBCx Program goals and objectives were
Process is being deployed for multiple facilities, then the defined during a Multiple-Facility Planning Phase meeting
Multiple-Facility Planning Phase must first be completed as (Section 5), those global objectives that are applicable to the
described in Section 5. The purpose of the Assessment Phase specific building under investigation should be discussed here
is to gain enough of an understanding about the individual or may be updated for the specific facility being commis-
facility to develop an initial scope, schedule, budget, and gen- sioned.
eral approach for the Investigation Phase as well as an esti- 6.2.3.2 Once the goals and objectives have been dis-
mate of potential opportunities to improve the facility cussed, the discussion should then move toward what level of

ASHRAE Guideline 0.2-2015 9

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
effort will be required to achieve the established goals. This appropriate personnel to be on the team as needed. The team
will include the types of EBCx Team members that may be leader can assist the Owner in identifying and selecting these
required, what access may be needed in terms of system sur- EBCx Team members. Team members may include the fol-
veys and testing, investment criteria for the types of potential lowing as appropriate:
improvements identified, and potential impacts on the overall
a. Facility manager
cost of the project.
b. O&M personnel
6.2.3.3 Any expected impacts on facility operations should c. Equipment vendor(s)
be discussed from a standpoint of required coordination. Lines d. Technicians
of communications should be defined so that the EBCx Team e. Occupants
members understand how coordination will be accomplished to f. Utility representative
minimize impacts on facility operations. g. Architectural or engineering designers
6.2.3.4 The professional development of facility person- h. Other stakeholders with knowledge of or interests in the
nel through both informal and formal training that occurs dur- facility, systems, assemblies, or components
ing the process can be a significant outcome of EBCx. Active
6.3.4 The roles and responsibilities need to be defined for
staff participation in all phases of EBCx should be encour-
each team member. The EBCx Process is made up of many
aged and the training approach should be reviewed and dis-
tasks that may need to be conducted in a very specific order
cussed.
for the process to be successful. The EBCx Team may be
6.2.3.5 The discussion should also include the approach made up of a variety of members with varying subject matter
to measurement and verification (M&V). Some level of M&V expertise. Each team member needs a clear understanding of
should be included to provide a means of quantifying the per- the overall EBCx goals and objectives, what is expected of
formance and the benefits obtained from the EBCx Plan. In them, and where their portion of the work fits in the process.
many cases, more detailed M&V requirements may be This level of understanding will ensure that the process pro-
included based on contractual or funding requirements. See gresses smoothly with the necessary communication between
Annex L4 for examples.

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members to achieve the stated goals of the project. The CxA
6.2.4 Document the overall EBCx Plan goals and objec- plays a vital role in ensuring that the roles and responsibilities
tives agreed on during the EBCx planning meeting. The docu- are properly defined, well communicated, and continually
ment should include the specific building systems and met by the team members.
assemblies to be included and the expected outcome. The
6.4 Develop CFR
document should also define what impacts the process will
have on the facility operations with regard to such issues as 6.4.1 A cornerstone of the EBCx Plan is the establishment
staff resources, facility access, potential system interruptions, of a document defining the CFR. Owners, users, and occu-
etc. The document should define the established rules of pants have specific requirements for their facilities to support
engagement for coordinating the activities required with min- their mission. When a building is originally constructed, the
imal disruption to facility operations. This document should specific requirements are defined based on the expected use
be sent to all stakeholders involved in the development to of the facility. After occupancy, the specific functions of the
ensure agreement with the results. facility or individual spaces may evolve away from their orig-
inal use. Examples of changes that can occur over time
6.3 Select the Initial EBCx Team include remodeling or repurposing of spaces and changes in
6.3.1 Form the initial EBCx Team to oversee, implement, operation of systems.
and accomplish the EBCx Plan activities. The members of 6.4.2 Developing a CFR that reflect the present needs and
this team may vary throughout the process based on the sys- requirements of the Owner, the users or occupants, service
tems and assemblies being commissioned and the issues iden- and operating units, and if appropriate, the community, is an
tified during the process. The initial team will consist of the essential task for effectively and efficiently developing the
Owner or Owner’s representative, the Commissioning EBCx Plan goals and objectives. Having an effective and effi-
Authority (CxA), and other appropriate members based on cient means to gather and document the CFR early reduces
the goals of the process and the systems and assemblies to be the risk of discovering important needs of the facility after
included. substantial work has been completed.
6.3.2 The CxA will be responsible for leading the team 6.4.3 The CFR defines the manner in which a building is
No further reproduction or distribution is permitted.

throughout the entire process. This may be an in-house person actually used, current operational needs, and potential future
who is familiar with the facilities and systems under consider- requirements for the facility. The requirements defined within
ation or may be an outside entity with experience in the EBCx the CFR must be obtained from all levels of the facility staff,
Process. If the former, the person should become familiar occupants, users (including customers, clients, and visitors),
with the EBCx Process. service contractors, and management.
6.3.3 The EBCx Plan contains logical milestones at which 6.4.4 The CFR should include information from existing
the team must determine the next course of action. Since this sources, EBCx Program Plan requirements (as appropriate to
process requires team members with various skill sets for the the building), the information developed during the EBCx
systems, assemblies, and issues under consideration at differ- Team meetings, data gathered during the initial walk-through,
ent times throughout the process, the Owner must commit and conclusions from the CFR workshop(s).

10 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
a. User/occupant requirements 6.4.10 Stakeholders should review and comment on the
b. Owner-directed requirements draft CFR document. Draft revisions incorporating stake-
c. Facility requirements, including functional uses, space holder comments should be reviewed again by the stakehold-
needs, occupancy requirements, systems or assemblies ers. Finalizing the CFR document may require several
replacement, and comfort requirements iterations of review and revision by the Owner’s representa-
d. Specific facility requirements, such as environmental and tive and stakeholders.
energy goals, level of systems control, and/or sustainabil- 6.4.11 The CFR is a living document. The latest version of
ity certifications the CFR will remain the standard for evaluating the decisions
e. Training requirements throughout the EBCx Process. Documentation of changes in
f. Sustainability requirements each update of the CFR must be maintained along with the
reasons for modification to prevent incorrectly going back to
g. Equipment and systems maintainability requirements
a prior statement of requirements without justification. These
h. Capabilities of O&M team
documents are included in the deliverables from this and all
i. Documentation requirements other phases of the process.
j. Regulatory requirements
6.5 Develop the EBCx Plan
k. OCx requirements
l. Benchmarks 6.5.1 The efforts and documents developed throughout this
phase compose the groundwork for the EBCx Plan. Annex G
m. Financial requirements and investment criteria
presents examples of EBCx Plans. The EBCx Plan provides
6.4.5 If the facility was commissioned when originally con- the foundation from which the Investigation and Implementa-
structed, the original Cx documents may be available. Evalu- tion Phases proceed. The following list outlines the contents
ate those documents to determine whether the original design of the plan. Include the main items in all plans. Include subi-
and construction meet the CFR. The Owner’s project require- tems as appropriate. The detail developed for these items
ments (OPR) if applicable may also prove valuable in devel- depends on the project; some may be very brief.

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oping the CFR.
a. Scope and activities of the Cx Process
6.4.6 The document needs to include an overview of the 1. Specific systems, assemblies, components, and opera-
facility use and general information regarding the specific tions on which to focus
environmental, functional, and operational conditions that
must be maintained in order to support the mission. The CFR 2. Specific issues to address
should identify any known issues with the building or build- 3. Known issues to investigate
ing systems and assemblies that need to be addressed to sup- 4. Known issues to correct immediately
port the overall facility mission. This may include projects b. Estimates of schedule and budget
under consideration in planning or design by the Owner’s c. Expected benefits of the Cx Process
capital project program. d. Team members’ roles and responsibilities for subsequent
6.4.7 Once defined, the CFR provides the criteria from phases
which scope, acceptance, and operational decisions are evalu- e. Investigation Phase and verification requirements
ated. The CFR document should define specific, measurable 1. Known areas of performance that do not meet the CFR,
targets wherever possible, such as achieving a specific carbon and a plan to bring the performance into compliance
footprint. However, there may be some instances where the
2. Any system testing that may require interruptions of
information is more conceptual in nature, such as improving
facility operations
sustainability.
3. M&V requirements and approach
6.4.8 Measurable targets may include baseline require-
4. Approach to ensuring persistence of benefits
ments for the facility that will be used as a metric for deter-
mining how well the building systems and assemblies are 5. Methodology and intensity of data gathering
performing. The EBCx Plan will be used to identify areas of 6. Field measurement and testing approach
performance that do not meet the CFR, develop a plan to f. Hand-Off Phase activities
bring the performance into compliance, and implement the 1. Training requirements and Training Plan
solutions agreed on. 2. Approach for developing the systems manual and
No further reproduction or distribution is permitted.

6.4.9 Conducting a CFR workshop using a nominal group facility guide

technique or similar approach is effective in developing and g. OCx activities
ranking a list of needs and requirements. The method used to 1. General plan for ongoing performance verification,
obtain the information should allow the different user groups including team members and their roles and responsi-
and operators to interact. Workshops, interviews, surveys, and bilities
a brief walkthrough of the facility can be used to obtain this
input. This information can be used to select which issues will 2. Benchmarks for project success
be addressed and to facilitate participation in the process by 3. Approach to ongoing training
everyone in the organization and other stakeholders for the 4. Approach for maintaining the systems manual and
successful optimal use of the building. facility guide

ASHRAE Guideline 0.2-2015 11

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
6.5.2 Collect information to document strategies and sum- required updates should be documented to be completed as
marize the activities that are used in the EBCx Plan to meet part of the EBCx Process.
the CFR in the facility being commissioned. The EBCx 6.6.2 The specific organization and outline of the systems
Report, developed later in the process, should ultimately manual is tailored to meet the Owner’s requirements. The fol-
show how each requirement documented in the CFR was lowing topics would be covered according to ASHRAE
effected through the EBCx. Guideline 1.4:
6.5.3 Document initial training requirements as part of the I. Executive Summary
EBCx Plan that accounts for both the systems and assemblies
being commissioned and the capabilities of the O&M person- II. Facility Design and Construction
nel. Details of the Training Plan will be defined during the 1. CFR/OPR
Investigation and Implementation Phases as the EBCx Plan 2. Basis of Design (BoD) requirement
unfolds. 3. Building/project design and record documents
6.5.4 The EBCx Plan is first developed prior to the assess- 4. OPR/CFR building operation schedules and setpoints
ment and then updated after the assessment is complete.
III. Building, Systems, and Assemblies Information
6.5.5 The initial EBCx scope, schedule, and budget are
1. Building and equipment specifications
developed based on the EBCx Plan, the assessment, and other
criteria established by the EBCx Team. The scope should 2. Approved submittals
focus on the major opportunities for further investigation. 3. Manufacturer’s O&M data
Identified needs that will require high investigation costs in 4. Warranties
relation to the expected benefits should be avoided. The 5. Controls sequence of operation and integrated
objective is not to investigate every aspect of the facility. The systems performance
schedule should consider seasonal factors, availability of per- 6. Contractor/supplier listing and contact information
sonnel, and disruption to operations that would impact when

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on-site investigations might commence. The schedule should IV. Facility Operations
also set milestones and target dates. The initial budget should 1. Facility guide, including operating plan; building and
include a defined amount for the known activities to occur in equipment operating schedules, setpoints, and ranges;
the process as well as an estimate or range of costs for the systems operation control sequences, limitations,
unknown aspects of the process (such as implementation) emergency shut-down actions
based on previous experience. 2. Janitorial and cleaning plans and procedures
6.5.6 The scope of the EBCx Plan will vary from one facil- 3. Maintenance plans, procedures, checklists, and
ity to another and from one phase to another within a facility records
as more information is obtained in each phase. This uncer- 4. Maintenance schedules
tainty will most likely result in an iterative process wherein an 5. Maintenance record keeping
initial scope of work and budget is authorized and then subse- 6. Utility measurement and reporting
quent data that is gathered indicates that scope changes are
required. Once the changes to the scope and budget are modi- V. Training
fied, the additional data gathering may warrant further scope 1. Training plans and materials
and budget changes. 2. Training application and troubleshooting
6.5.7 Establish the format, style, content outline, and loca- 3. Training records
tion for the documents that are assembled and created as part
VI. Commissioning (Cx) Process Report
of the EBCx Plan for the facility. This shall be noted in the
EBCx Plan. Determine the level of access stakeholders will 1. Cx Plan
have to the content and who will be responsible for updating 2. Testing reports
the content. Engage information technology experts when 3. Verification forms—completed
electronic media formats and storage are selected to assist and 4. Functional performance forms—completed
advise on issues such as backup storage of information, pass- 5. Issue logs and item resolution
word protection and access levels, wireless access, and
No further reproduction or distribution is permitted.

6. Open items and lessons learned

related issues.
6.6.2.1 Many of the documents listed in the outline in
6.6 Establish the Systems Manual Outline
Section 6.6.2 be obtained during assessment activities. These
6.6.1 The systems manual provides the information needed documents should include current updates of original design
to understand, operate, and maintain the systems and assem- documents and/or construction submittals, especially the
blies that are included in the EBCx Plan and to inform those sequence of operations, specifications, and drawings. There
not involved in the EBCx Process about those systems and may also be the new construction Cx documentation, such as
assemblies. The systems manual needs to be in an Owner- OPR, design intent, and BoD narratives and/or construction-
defined format. If there is an existing systems manual, it related Cx issue logs to use as reference for the EBCx activi-
should be reviewed for accuracy and completeness and ties. Any of these documents obtained during this phase

12 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
should be included in the systems manual that is created in h. Perform additional walkthroughs or surveys as needed to
the Investigation Phase and updated during the Implementa- gain general understanding of existing systems and
tion and Hand-Off Phases. assemblies.
6.6.2.2 If a systems manual was fully developed during i. Document occupant and user issues discovered during
construction, the EBCx Process will simply be updating the walkthroughs or surveys.
systems manual to match the present condition and Owner j. Identify and correct opportunities or issues that can be
requirements. If not all sections were produced during con- implemented with minimal time and effort and that do not
struction, then the missing sections will need to be developed require additional evaluation.
as part of the EBCx Process. In some cases, facility design k. Identify additional training needs.
and building/systems/assembly information sections II and III l. Describe the general condition of the facilities.
in the previous outline will need to be entirely redeveloped m. Determine any possible impacts of applicable building
because not all documents can be found, the documents have codes.
not been well organized when there were changes to the facil- n. Identify known resources, such as personnel, budgets, etc.
ity, and/or documents are too out of date. This can be a large o. Recommend whether or not the EBCx should proceed
task and therefore will depend on the scope of the project. based on these initial findings.
6.6.2.3 For all projects, the following sections will mini-
6.7.2 The initial assessment of the facility provides the first
mally be provided and/or updated in the EBCx Process. All
opportunity to document baseline performance of the systems
existing systems manual information that continues to be cor-
and assemblies to be included in the process. Baselines are
rect would be retained.
documented assessments of current operation for items such
a. CFR; OPR if design work is done as energy use, energy demand reduction, ability to provide
b. Approved submittals for work done during EBCx occupant comfort, ability to maintain product quality, fre-
c. Manufacturer’s O&M data for equipment updates for quency and type of service calls, and reliability of building
changes during EBCx systems and equipment. This initial assessment should result

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d. Building, systems, and assembly information only for in a good understanding of the building systems and assem-
equipment/system changes during EBCx blies, their state and condition, and the operational parameters
e. Facility guide currently in place. It is important that this information be well
f. Utility measurement and reporting if the EBCx’s focus is documented as it provides the initial comparison of building
on utilities performance against the criteria defined in the CFR. This
baseline information also serves as part of the M&V used to
g. Training plans and records
measure benefits and performance obtained through the
h. EBCx final report
EBCx Process. In cases where specific M&V protocols are
6.7 Perform Assessment required, care should be taken to adhere to acceptable meth-
6.7.1 The purpose of the assessment is to understand ods for gathering and documenting baseline conditions.
enough about the facility to develop an initial scope, sched- 6.7.3 Even though the assessment may conclude that fur-
ule, and budget for the EBCx, as well as to identify potential ther full investigation of the systems and assemblies may not
improvements that arise from the EBCx. It is not a full evalu- be warranted, training, facility documentation, and OCx may
ation but rather a cursory data gathering and brief walk- still be needed to meet the CFR for a well-functioning facility.
through of the facility, resulting in sufficient information to 6.7.4 Issues and Resolution Log. Create and maintain an
develop the EBCx Plan and assess the benefits of proceeding issues and resolution log containing detailed descriptions of
with the process. This assessment may include the following the findings and recommendations from the initial assess-
activities, which will be performed in more detail during the ment. This log is maintained through the entire EBCx Process
Investigation Phase: and should reference the CFR with respect to identified
issues.
a. Determine availability of existing documents and gather
those easily obtained that are needed for the systems man- 6.7.4.1 The following information should be considered
ual. for inclusion in the issues and resolution log:
b. Identify missing documentation that will impede the pro- a. Issues
cess.
1. Unique numeric or alphanumeric identifier for the issue
No further reproduction or distribution is permitted.

c. Determine any change of use or functions of systems,

2. Short, descriptive title of the issue
assemblies, or components versus initial design.
d. Establish benchmarking criteria and evaluate building per- 3. Detailed description of the issue, including a descrip-
formance. tion of the test or observation that resulted in the dis-
e. Document stated maintenance, deferred maintenance, and covery of the issue
operational issues. 4. Short, descriptive title of the issue
f. Identify procedures, requirements, and schedule to gain 5. Method used to document the issue, including type of
access to areas of the facility. M&V baseline data gathered
g. Determine accessibility to equipment, systems, and com- 6. Date and time of issue identification and name of the
ponents for inspection and testing. person documenting the issue

ASHRAE Guideline 0.2-2015 13

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
7. System, equipment, assembly, or occupancy use to Report. This documentation of the benefits of the early
which the issue applies and location of the issue actions helps the Owner to appreciate the value that the EBCx
8. The associated CFR that is not being met provides. Immediate improvements can be accomplished with
9. Risks associated with not resolving the issue a traditional in-house work-order system or an on-call main-
b. Recommendations tenance service.
1. Short, descriptive title of the recommendation 6.7.6.2 Any immediate implemented improvements need
2. Detailed description of the recommendation to be documented in the issues and resolution log. Document-
c. Costs and Benefits ing the initial as-found conditions for the affected systems is
important. It will establish a basis for quantifying the benefits
1. Benefits, both qualitative (list) and quantitative (val-
related to the implemented improvements. This becomes
ues), including direct monetary values and indirect
especially important where it impacts M&V. Any improve-
benefits
ments should always include implementing methods to help
2. Costs of implementation, with and without any related ensure the benefits persist.
incentives, such as utility incentives, and including
any costs to ensure the improvement persists over time 6.8 Initiate EBCx Report with Assessment Report
3. Financial metric value (e.g., return on investment, pay- 6.8.1 The EBCx Report begins with the creation of the
back period) Assessment Report. The Assessment Report becomes the ini-
d. Implementation tial chapter of the EBCx Report.
1. Actions taken to date 6.8.2 The Assessment Report will document the findings
2. Date of implementation and results of the Assessment Phase activities. The document
will encompass appropriate items from the following list:
3. Name of the person(s) or company that implemented
the corrective action a. Established process goals and objectives
4. Implementation verification method; describe the b. An initial list of recommendations to meet the CFR, and
methods and approach used to verify implementation recommendations for additional projects required to meet

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of the recommendation the CFR
5. Method used to document implementation of the rec- c. Results obtained from benchmarking analysis and any
ommendation, including type of M&V postimplemen- established baselines
tation data gathered d. Current operating parameters for building systems
e. Hand-Off e. Benefits anticipated by this process, such as enhancing
1. Method of training operators occupant functional needs and reducing energy, mainte-
2. Method of maintaining ongoing performance of the nance, and/or operational costs
recommendation f. Immediate improvements conducted during this phase and
their benefits
3. Identification of any changes to the CFR
g. Assessment of whether or not the process can help the
6.7.4.2 On a periodic basis, at least for each EBCx Team facility meet the Owner’s objectives
meeting, an updated issues and resolution log should be gen- h. Estimates of costs, benefits, and duration for implement-
erated with a review of outstanding issues and new recom- ing measures to correct each nonconforming CFR item (as
mendations to enhance the facility. known at this time); includes the measures implemented
6.7.4.3 In subsequent phases, resolution of the issue may during the Assessment Phase
identify other issues or require further investigation. New rec- i. Initial time schedules for the major milestones in the pro-
ommendations may be identified. cess
6.7.4.4 Throughout the EBCx Process, keep the issues j. Initial budgets for the process, broken out by major mile-
and resolution log updated with current information related to stones where known
each issue. k. Training requirements
6.7.5 Correction of some issues and the identification of l. Systems manual outline and FG outline
opportunities may require revising the CFR. Other issues may m. Initial approach for M&V and any initial baselines gath-
not be corrected until a later phase of the process. Update the ered
CFR as required. n. Initial approach to ensure persistence of benefits
No further reproduction or distribution is permitted.

6.7.6 Implement Immediate Improvements o. Expected facility stakeholders’ involvement

6.7.6.1 All issues, especially safety, security, health, or p. Communication requirements
operational issues, identified during the walkthroughs or dis- q. Initial issues and resolution log
cussions with building occupants or operating staff that can 6.9 Assessment Phase Deliverables
be easily remedied and that do not require further evaluation
6.9.1 CFR
(i.e., will obviously not adversely impact other systems),
should be immediately implemented as the team develops the 6.9.2 EBCx Plan
initial information on the facility. These modifications and 6.9.3 EBCx Report, including the Assessment Report
actions, along with their benefits, must be immediately docu- 6.9.4 Updated EBCx Program Plan (if applicable and
mented and included in the EBCx Plan and the Assessment affected)

14 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
6.10 Obtain Owner Acceptance and Decision to Proceed 7.1.3.4 Update EBCx Plan.
6.10.1 The Owner reviews the deliverables and unresolved 7.1.3.5 Perform site investigation and testing.
issues from this phase and either accepts them in total or 7.1.3.6 Perform issue and opportunity analysis.
makes comments. 7.1.3.7 Update EBCx Report with Investigation Report.
6.10.2 If the EBCx Plan, CFR, and EBCx Report are 7.1.3.8 Obtain Owner acceptance and decision to proceed.
acceptable to the Owner, then the team will continue to the
Investigation Phase as described in Section 7. 7.2 Update EBCx Team
7.2.1 During the Investigation Phase, identify personnel to
6.10.3 If the deliverables are not acceptable, the Assess-
compose the EBCx Team. As noted in Section 6, the member-
ment Phase team should be assembled to discuss and if possi-
ship of the EBCx Team will vary throughout the EBCx Pro-
ble resolve the issues raised by the Owner and to resubmit the
cess, depending on the tasks required in each phase and on the
documents for the Owner’s review. The resolution of the com-
systems and assemblies being commissioned. Many members
ments may result in changes to the EBCx Plan; CFR; Owner’s
of the team listed in Section 6 should remain involved during
EBCx Plan objectives, scope, and budget of the work; or
the Investigation Phase.
other activities. The process of resolving the Owner’s com-
ments and obtaining acceptance will ensure that the CFR, 7.2.2 The Investigation Phase process will be implemented
goals, objectives, and EBCx Plan are understood by the EBCx by an EBCx Team that may include all or some of the follow-
Team, as these documents will create a baseline used for the ing parties:
rest of the process. a. Commissioning project team leader (CxA)
6.10.4 If the Owner decides not to proceed with the Investi- b. Owner’s representatives
gation Phase for the specific facility just assessed, the CFR, c. Professional members (e.g., architects, engineers, techni-
EBCx Plan, and Assessment Report should be filed for future cians)
reference and the process stopped for this facility. d. Construction specialists (contractors, estimators, vendors)
6.10.5 For multiple facilities, if an EBCx Program Plan e. Building operators and/or maintenance staff and service

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was developed and the Owner decides not to proceed, the contractors
Owner and team should refer back to the EBCx Program Plan f. Users and occupants
to determine the next facility to be assessed and begin the 7.3 Conduct Investigation Planning Meeting
Assessment Phase on that facility. Submit an updated priori-
7.3.1 The Investigation Phase planning meeting should
tized list of facilities for the Owner’s review.
provide an overview of the EBCx Plan and review findings
7. INVESTIGATION from the Assessment Phase. This is an opportunity to bring
new team members up to speed with the EBCx activities and
7.1 Introduction to provide a refresher to existing members if considerable
7.1.1 The Investigation Phase consists of the detailed site time has passed since their last involvement. This meeting is
investigation, which compares the actual building conditions also the time to review the EBCx goals and objectives, spe-
and system performance with the Current Facility Require- cific tasks to be accomplished during the Investigation Phase,
ments (CFR). On a technical level, the Investigation Phase roles and responsibilities, schedules, milestones, and budgets
reveals existing conditions in the building, evaluates the need so that everyone understands their roles and how their tasks
for change, and identifies requirements for additional sys- impact other team members and the overall process.
tems, assemblies, or additions. The benefits and economics of 7.3.2 This meeting should accomplish several objectives.
each change are documented with a tentative timeline for 7.3.2.1 Review the CFR. If the CFR is older than one
implementation. Some issues that are discovered during the year, or if there are known changes since the CFR was devel-
Investigation Phase can be corrected with minimal time and oped, verify that the conditions on which the CFR was based
effort, do not require additional evaluation, and can be docu- are still valid. If the needs and requirements have changed
mented immediately. This phase concludes with the comple- since the initial CFR was prepared, update the CFR. This ver-
tion of the Investigation Report, which identifies scope and ification will document the current use and occupancy levels
benefits of recommended facility modifications and improve- to determine if additional tasks are required, such as a new
ments as well as the improvements already implemented dur- functional use in the building or new safety codes.
ing the Investigation.
7.3.2.2 If there are sufficient changes to the CFR and
No further reproduction or distribution is permitted.

7.1.2 The objective of the Investigation Phase is to under- additional assessment activities are warranted, conduct addi-
stand and document existing conditions and performance to tional assessment.
identify improvements that bring the facility into compliance
7.3.2.3 Update the CFR with any new information related
with the CFR.
to facility requirements. Note changes to the following items
7.1.3 Main Activities in the updated CFR:
7.1.3.1 Update the Existing Buildings Commissioning
a. Functional activities or users
(EBCx) Team.
b. New goals and expectations
7.1.3.2 Conduct investigation planning meeting. c. Space utilization
7.1.3.3 Review facility documentation. d. Occupancy and activity level

ASHRAE Guideline 0.2-2015 15

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
e. Environmental requirements billings, service calls, complaint logs, repairs, service contrac-
f. Process requirements tor records and changes, prior energy safety maintainability
g. Occupancy schedules studies and reports, recent changes or additions to the facility,
h. Code changes or revisions systems manuals, record drawings, control sequences, build-
ing automation system (BAS) reports, alarm reports, safety or
7.3.2.4 Review the specific tasks to be accomplished dur-
code inspections (fire, health, hospital review, etc.).
ing the Investigation Phase. Review and update the EBCx Plan.
7.3.2.5 Review roles and responsibilities of continuing 7.4.2 The quest for documentation will require the facility
team members. Assign roles and responsibilities of new team staff to identify what documentation exists, where the infor-
members. Include revised roles and responsibilities in the mation is stored, and what documentation is missing or inade-
updated Cx Plan. Team members should understand their quate. It would be useful for the facility staff to establish a
roles and how accomplishing their tasks impact other team document log or index, if one does not already exist, that
members and the overall process. includes document name, location, date, etc. Use this oppor-
tunity to identify improvements to the method by which sys-
7.3.2.6 Involve facility operating staff and any service
tem documentation is stored and maintained. Direct staff
contractors in the investigation planning meeting. Staff can
involvement ensures that any recommendations made will be
make the Investigation Phase more efficient through their
supported by the staff and implemented or designed in a man-
knowledge of the facility systems and assemblies. Through
ner that they can effectively operate and maintain.
this involvement, the staff learns the methods used to evaluate
the state, condition, and performance of the systems. The 7.4.3 It may be necessary to create new documents to sup-
planning process also highlights preparations needed to plement existing documents. Identify these documents. Cre-
ensure achievement of the desired results. The operations and ation of additional documents may exceed the scope of the
maintenance (O&M) staff learn Cx Process evaluation tech- EBCx agreement, in which case documents will need to be
niques and testing methods. O&M staff also witness the produced by some other means. This may require contacting
immediate improvements identified and implemented. The original equipment suppliers, manufacturers, installers, and
knowledge gained by the O&M staff through involvement in designers; reviewing public records; or performing on-site

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the site investigation and testing increases acceptance of the building systems surveys.
process, increases staff awareness of how to identify perfor- 7.4.4 Review Documents. Categorize and review existing
mance issues, and provides an understanding of how issues documents and develop a means of adding documents as the
identified affect overall building performance. This knowl- investigation proceeds.
edge increases the ability of the O&M staff to maintain per-
sistence of the benefits obtained from the EBCx and 7.4.4.1 A detailed review and analysis of documents
encourages continued identification of performance enhance- assists in creating the framework for each team’s investigation,
ments during the OCx Phase. as well as which investigational methods are appropriate.
7.3.2.7 Discuss measurement and verification (M&V) 7.4.4.2 Detailed review may reveal information about the
requirements for the project. This discussion should focus on probable original basis of design, existing record design, and
baseline testing that may be required. In cases where specific the current operational procedures. Attempt to determine
M&V protocols are required, this may have an impact on the deviations between the current operations, original facility/
manner in which testing is conducted. systems design, and CFR.
7.3.2.8 Discuss Training. The Investigation Phase repre- 7.4.4.3 Goals of this detailed review may include items
sents a unique opportunity for informal training of the facility such as the following:
O&M Staff. Provide training to familiarize the O&M staff on
the EBCx Process and their roles, responsibilities, and expec- a. Understanding potential problem areas to investigate
tations. Informal training through participation in the investi- b. Understanding the design of building systems, assemblies,
gation process composes much of the training achieved during and controls related to the scope of the EBCx Process,
the Investigation Phase. including, for example, architectural floor plans, locations
7.3.2.9 Convey schedules, milestones, budgets, and other of structural components, and various mechanical, plumb-
items defined during the Assessment Phase to team members. ing, fire, life safety, indoor air quality (IAQ), laboratory,
7.3.3 Meeting Notes. Document decisions and significant and electrical systems and assemblies No further reproduction or distribution is permitted.

discussions for meeting participant review and for inclusion c. Creating a list of specific equipment and assemblies to
in the Investigation Report (see Section 7.5). evaluate during the site investigation based on the scope
of the project
7.4 Review Facility Documentation
d. Gathering relevant information on the equipment and
7.4.1 Assemble Existing Documents. Building documenta-
assemblies to be commissioned
tion gathered and reviewed during the Assessment Phase now
goes through a more detailed review process. Attempt to find 7.4.4.4 Review will almost always include the following:
documents or information noted as “not gathered” or “miss-
ing” during the Assessment Phase that is required for the a. Interactions between building systems, subsystems, and
investigation activities. Documents include a wide variety of assemblies—for example, building envelope elements that
information for a given building: maintenance records, utility may influence HVAC system performance

16 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
b. Evaluation of old and new drawings, specifications, his- 7.5.1.5 Refine and elaborate baselines established during
torical utility use, O&M manuals, and previous CFRs and the Assessment Phase if necessary for the M&V approach.
commissioning reports This is particularly important in cases where specific M&V
c. Facility use, productivity, or architectural studies, roof protocols are required. The EBCx Plan should account for
inspections, safety or health reports, energy reports, and any and all required baseline measurements. This will
similar documents become an important part of the M&V Plan.
d. The facility guide (FG) or other operating instructions, 7.5.1.6 Develop test procedures for equipment, systems,
which are the facility’s operating criteria and procedures, and assemblies that are selected and listed for testing as part
especially for systems controls (HVAC&R, lighting), of the investigation. Use information from the document
security, fire, safety, emergencies, and maintenance pro- review and information gathered during the Assessment
grams Phase to create test procedures applicable to the specific
7.4.5 The existing record and facility operations documents scope of work. (See Section 7.6 for further information on
and new documents created will ultimately be used to develop testing approaches.)
a composite record to be included in the systems manual. 7.5.1.6.1 The CxA is responsible for developing the
project-specific test procedures. Include initial test proce-
7.5 Update EBCx Plan
dures in the investigation plan and transmit them to the
7.5.1 Prior to conducting site investigation activities, Owner for review.
develop and add the Investigation Plan to update the EBCx
7.5.1.6.2 The Owner should review the initial test pro-
Plan. The detailed Investigation Plan is a road map that will
cedures with regard to changes in operating conditions and
aid in analyzing existing building conditions and identifying
risks to Owner’s property or production means. Modifications
upgrades and improvements needed to meet the Owner’s
may be made as required to take the Owner’s comments into
CFR. The plan prioritizes the investigation efforts needed to
consideration. These comments may be related to building
achieve the CFR. Investigation is a prioritized effort, concen-
access and security systems, disturbance of occupants, inter-
trating on the systems and activities that provide the greatest
actions with housekeeping staff, and shutdown of utilities.

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potential for improvement. Typically, the investigation does
not thoroughly address every system and assembly in the 7.5.1.6.3 Test procedures should be documented in test
facility. Conduct the following activities and include related forms that include the following:
information in the Investigation Plan. a. Purpose of the test
7.5.1.1 Describe the equipment, systems, and assemblies b. Participants required for the test
that will be included in the investigation, the level to which c. Schedule for testing
each of these items will be investigated, and the activities that d. Precautions, including potential risks and disruptions
will be conducted during the investigation. e. List of tools and/or equipment (ladders, test meters,
7.5.1.2 Determine if any tests are required or known prior gauges, sensors) required, means of access (keys, security
to the site investigations. Develop a list of presite visit tests codes), safety procedures (asbestos, specialty gases), and
and prepare a written description of the intended tests. This site protocols (sign-in, gowning, ID checks)
should identify who will do the tests and when they will be f. Accuracy and calibration of instrumentation
completed. g. Prerequisites for the test
7.5.1.2.1 Identify any changes in the operational state h. Step-by-step instructions for conducting the test. For each
of existing systems planned as part of the tests, and identify step of the test, include the following:
potential risks and disruptions. Changes in the operation of 1. Parameters and physical quantities to be measured
existing systems or assemblies may also result in risk to the 2. Baseline information and measurements that need to
Owner’s process. In the case of a critical facility or hospital, be recorded for the M&V approach
for example, conduct a risk assessment with the Owner and 3. Expected performance and range of acceptable results
key personnel to ensure that systems or assemblies are not 4. Observed performance and if it is acceptable or not
taken out of operation without approval. (pass/fail). (This information is recorded during the
7.5.1.3 Describe the interviews to be conducted with test.)
facility stakeholders to augment direct investigation of sys- 5. Back-out and return to normal procedures
tems and assemblies. Identify which stakeholders are to be
No further reproduction or distribution is permitted.

7.5.1.6.4 Test forms may also be used for documenting

interviewed and outline the interview procedures. Information
the installed characteristics and condition of the equipment or
gained from interviews can help optimize the focus of investi-
assembly being tested, including the following:
gative efforts.
7.5.1.4 Determine if there are any requirements to con- a. Make and model
duct formal surveys of occupants and users of the facility to b. Location
assess their satisfaction with facility aspects that affect them, c. Quantity
such as indoor environmental conditions. This is an opportu- d. Age
nity to request other needs of occupants. Evaluate the survey e. Size
results to determine with the Owner if additional investigation f. Capacity
is required, and determine if there are new CFR items. g. Condition

ASHRAE Guideline 0.2-2015 17

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
7.5.1.6.5 Numerous test forms exist and are readily an assessment of how the equipment, systems, and assemblies
available from a number of public sources. These forms may are operated and how they are performing relative to expected
be modified to suit the scope and goals outlined in the EBCx performance and the CFR.
Plan. 7.6.5.1 During the physical site investigation, evaluate
7.5.2 The updated EBCx Plan should also include the fol- and document the condition and performance of the equip-
lowing where applicable: ment, systems, and assemblies, as identified in the investiga-
tion plan. This information can be obtained from a review of
a. Revised financial criteria maintenance logs, nondestructive tests (e.g., visual inspec-
b. Revised technical criteria tion, functional performance testing, leak testing), and
c. Updated EBCx Team roster destructive tests (e.g., removal of a portion of exterior enclo-
d. Updated EBCx Team roles and responsibilities sure materials for metallurgical analysis). Describe the impact
e. Updates to the Training Plan of maintenance practices where applicable.
f. Updates to the documentation plan 7.6.5.2 Site investigation may not be a linear process.
g. Updates of the issues and resolution log Often, multiple iterations are necessary due to new under-
h. Prior versions of the EBCx Plan standing of existing conditions that drive the team back to
7.5.3 Acceptance of Investigation Plan. The Owner Assessment Phase activities.
reviews the investigation plan, including schedules, budgets, 7.6.5.3 During the site investigation, remain open to new
test procedures, and team responsibilities to decide whether possibilities and avoid jumping to conclusions. An accumula-
or not to proceed with the investigation as proposed. If the tion of issues found during the site investigation often leads to
Owner accepts the investigation plan, the EBCx Team may a single root cause of multiple problems.
commence with the site investigation. If the Owner does not 7.6.6 Discuss with the Owner’s maintenance personnel,
accept the plan, the team should be reconvened and the issues utility personnel, occupants, and other relevant parties any
resolved. potential issues and problems, uncovering potential improve-
ment opportunities, confirming the CFR, and developing con-

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7.6 Perform Site Investigation and Testing
sensus on the EBCx Plan goals. This series of discussions
7.6.1 Carry out physical inspections and tests to evaluate
may reveal new, relevant information that was not previously
condition and performance as detailed in the approved EBCx
included within the CFR. This new information should be
investigation plan, and record observations and data. The abil-
evaluated to determine if it is potentially relevant to the cur-
ity to meet the CFR may be gauged by observation, testing of
rent CFR. If it is not, it may be incorporated into a separate
components without interference in their operations, and by
analysis for prioritization at a later date. If the new informa-
changing their operational state to produce a comparison
tion is deemed to be significant to the current CFR, the infor-
between desired and actual conditions and results.
mation should be presented to the stakeholders in order to
7.6.2 It is important not to draw final conclusions until the evaluate and update the CFR.
entire site investigation process is completed. Interim possible
7.6.6.1 Discussions with facility staff may also reveal rel-
root causes of likely problems should be listed and analyzed
evant information about operational strategies such as proce-
by comparing measured test data, observations, discussions
dures, processes, and policies that would assist in achieving
with users and occupants, facility operating data, record docu-
the CFR. Evaluate the following subjects:
ments and other information resources to the expected or
desired conditions, data, or CFR. Development of hypotheses a. Operator knowledge of proper building maintenance pro-
based on initial, gathered, or measured data or information cedures and preventative maintenance programs
may be very useful in determining additional information and b. Condition and performance of components, equipment,
data required to either confirm or reject the hypothesis. systems, and assemblies included in the investigation
7.6.3 Implement and document immediate improvements c. Deferred maintenance impact on annual building opera-
to the operation of the facility to eliminate obvious issues so tions and maintenance cost budgets
they do not mask underlying major issues, especially as they 7.6.7 Performance evaluation may include active and pas-
relate to achieving the CFR. sive testing. Execute the tests and repeat as necessary to
7.6.4 The EBCx Team needs to meet at regular intervals obtain conclusive information about the performance of sys-
during execution to monitor progress and to discuss intermedi- tems. The test results may highlight differences between
No further reproduction or distribution is permitted.

ate results and findings. The frequency will depend on the actual performance and expected performance in record docu-
complexity of the project and the number of subteams ments, or perceived performance as relayed by building ten-
involved. In many cases, this may be a short daily meeting, ants or operators. Test procedures and forms developed earlier
followed by longer meetings as determined by team members. in the process when creating the investigation plan should be
7.6.5 The two elements of physical site investigation are used when conducting active and passive testing.
condition evaluation and performance evaluation. Condition 7.6.7.1 Active tests involve placing systems and assemblies
evaluation includes an assessment of the installed condition into particular operating states to observe their response. This
of the equipment, systems, and assemblies, such as appear- typically involves physical interactions on site and changes
ance, physical damage, deterioration of condition, upgraded such as turning power on or off, opening or closing assemblies,
features, and change of use. Performance evaluation includes placing components under load and then unloading them, etc.

18 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
The intent is to provide a full range of responses to gauge the suggested a need to drill deeper into that assemblies’ compo-
ability of the systems and assemblies to meet the CFR, or to nents, this approach would suffice.
highlight shortfalls in performance. Where large numbers of 7.6.9 During execution of the investigation plan, significant
systems are being considered, a sampling approach may be issues may be uncovered that lead to expansion of the investi-
appropriate. In this approach, a statistically significant number gation plan or to the elimination of certain items within the
of similar systems are tested, and conclusions about the overall investigation plan. In such cases, the team submits a revised
system performance are based on the results obtained from the plan to the Owner for formal acceptance before proceeding
sampled set of systems. This approach may be required to exe- with execution of an altered plan.
cute tests within a realistic budget and timeframe.
7.6.10 Specific M&V requirements developed as part of
7.6.7.2 Passive tests involve gauging a system’s perfor- the investigation plan should be followed. During the investi-
mance without interactions by entities executing the tests. gation, always consider the approach and requirements for
Some performance criteria by their nature may take too long, documenting the baseline conditions. Documentation of these
be too complex, or require too much effort to be simulated in conditions may be used for estimating the benefits of the
an active test. Examples of such criteria include system commissioning effort and for demonstrating the as-found
response to changes from a large number of occupants or condition related to identified issues.
responses to actual weather conditions, such as sustained high
7.7 Perform Issues and Opportunities Analysis
solar exposure or wind. Sometimes active tests are not possi-
ble due to the nature of the facility, such as critical environ- 7.7.1 Analyze issues, conditions, and performance informa-
ments or hospitals. Passive tests involve recording historical tion acquired from site investigation and testing to formulate
data over time as defined in the approved test procedures. The possible solutions and corrective action recommendations for
readiness of recording equipment has to be verified before the Owner. Complete data collection before suggesting or
testing begins. Significant time periods may be involved in drawing a possible solution. Problems are generally solved by
completing the test protocol, and discovery of missing or recreation during tests of the operation of building systems
faulty data records and retesting may present scheduling chal- and components.

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lenges. On completion, test records are formatted as specified 7.7.2 Review information gathered from any previous com-
in the test procedures. This may involve configuration of missioning activities to increase understanding of issues that
fairly large electronic data files from recording equipment. affect the building’s condition and performance.
The CxA reviews these records and performs any analysis 7.7.3 Update the issues and resolution log with identified
required to provide executive level information to the Owner issues and related recommendations.
and EBCx Team so that the ability of systems to meet the
7.7.4 Analyze costs and benefits of recommendations.
CFR is presented in nontechnical terms.
7.7.4.1 Develop initial pricing estimates for implement-
7.6.7.3 The use of automated data collection and record-
ing recommendations. Base estimates on the experience of
ing systems is extremely valuable for trending parameters,
cost estimators or on contractor pricing obtained with prelim-
understanding actual sequences of events, and compiling
inary performance specifications that are less detailed than
large quantities and varieties of data from sensors, devices,
construction documents.
and equipment. It is important that such data collection sys-
tems, whether permanently installed or temporary/portable, 7.7.4.2 Develop estimates for the economic benefits
be accurate and synchronized. related to implementing recommendations.
7.6.7.4 Some testing may be deferred for seasonal rea- 7.7.4.3 Note that the benefit value of an investment may
sons, due to equipment change-out, movement of occupants, not be directly convertible into an economic equivalent. Other
or other reason. Keep a list of deferred testing and investiga- considerations include environmental quality, litigation aver-
tion to remind the team of what may need to be completed sion, productivity, etc. Nevertheless, methods exist for deter-
after the bulk of the investigation is finished. mining the level of comfort for occupants, such as occupant
comfort surveys. Comfort isn't addressed in Annex C1. These
7.6.8 The evaluation procedures should start at the compo- can be obtained at low cost and executed before changes are
nent level and proceed in increasing levels of interdependence made, as part of the establishment of a baseline, and after
through equipment, systems, and complete facilities. While it changes are made, to gauge effectiveness of measures taken.
is difficult to define exactly what constitutes these levels, the
7.7.4.4 Assess the financial viability of recommenda-
complexity of a system is often proportional to the number of
No further reproduction or distribution is permitted.

tions. Typical examples are life-cycle cost calculations and

components, or connections between components, that it con-
the calculation of a payback period.
tains. For the purposes of testing, some components, such as a
complex piece of machinery, may be considered an assembly 7.7.4.5 Document the costs and benefits for any immedi-
or integrated system so that not every portion of that machin- ate improvement implementation (quick fix) opportunities
ery is tested; in such cases only the assembly’s interaction that impact the facility and especially the EBCx Plan. Some
with other components in the system is tested. For example, a of these improvements may have been made in the Assess-
chiller could be considered as an assembly, and testing would ment Phase and tracked in the issues and resolution log.
monitor the response of that assembly to changes in selected 7.7.5 List of Findings and Recommendations. Near the
input conditions. Initially, this would be simpler than testing end of the Investigation Phase, use the investigation results as
every component of that assembly. Unless evidence collected a basis to create a list of recommendations. Use the results of

ASHRAE Guideline 0.2-2015 19

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
the investigation, testing, and issues analysis to quantify 1. Benefits, both qualitative (list) and quantitative (val-
potential benefits and estimate cost and time impacts. ues), including direct monetary values and indirect
7.7.5.1 Organize the major findings and recommenda- benefits
tions requiring review and selection for implementation by 2. Costs of implementation, with and without any related
the Owner into a list of findings and recommendations. This incentives such as utility incentives and including any
list is derived from the issues and resolution log. Multiple costs to ensure the improvement persists over time
issues may be addressed with one recommendation. Enough 3. Financial metric value (e.g., return on investment, pay-
information is included in the list for each recommendation to back period)
enable the Owner to select recommendations for implementa- 7.7.5.8 The list of findings and recommendations only
tion. For additional information, such as backup calculations, includes key information that the team feels would be useful
the Owner can consult the Investigation Report. to the Owner in selecting recommendations for implementa-
7.7.5.2 The list could include recommendations that have tion. Some of the additional information related to findings
been implemented to-date, such as quick-fix measures. It can and recommendations may be included in the issues and reso-
also include recommendations that may not be implemented lution log, which the Owner can view in the Investigation
now but will in the future. Report. Information that is typically not included in the list of
findings and recommendations may include the following:
7.7.5.3 This list shows to what degree the CFR is met by
implementing different approaches. It includes initial esti- a. Issues for which recommendations will not be deter-
mates of expected benefits and implementation costs to allow mined, such as those that are relatively minor and, based
selection of approaches that meet the CFR and the Owner’s on direction from the Owner, will not be resolved during
investment criteria. This list is used for the next iteration of the EBCx Process
the Investigation Phase, to refine schedules, budgets, and the b. Issues that were identified and corrected simply so that the
EBCx Plan. Annex L2 presents an example list. investigation could be performed
7.7.5.4 The list is intended to provide the Owner with a c. Recommendations that are not considered to be cost effec-

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break-out of alternative products, services, and recommenda- tive based on the Owner’s investment criteria
tions for implementation. The Owner can then select options d. Recommendations that would not result in a substantial
that best meet the objectives desired and choose the method benefit
of implementation. Each approach will have costs and bene- e. Recommendations that the Owner has indicated would
fits that may be compared by performing analyses based on never be implemented due to Owner preference
the Owner’s criteria or desired analysis approach. These f. Deferred investigation
might range from simple payback calculations to life-cycle
Note that recommendations not selected by the Owner for
cost analysis.
implementation may affect the extent to which the CFR is met.
7.7.5.5 The CxA advises the Owner on benefits and short-
7.8 Update EBCx Report with Investigation Report
falls of recommendations listed and assists in narrowing the
scope of the project by selecting specific approaches for more 7.8.1 At the end of a review period during which the previ-
detailed information gathering or by removing approaches ous steps may be repeated iteratively a number of times, cre-
deemed inappropriate or undesirable by the Owner. ate an Investigation Report. The report contains the largest
number of approaches that meet the CFR criteria and initial
7.7.5.6 The list serves as a tool that is updated through a
budgetary requirements. The Investigation Report informs the
refinement period during which approaches are evaluated,
Owner’s staff about the scope and viability of possible correc-
refined, and removed, and during which new approaches can
tive actions. The report also includes calculations and field
be added. This refinement period may include several itera-
investigation results. The report contains all major elements
tions through the Assessment and Investigation Phases.
developed during the investigation process, including the fol-
7.7.5.7 Typical information to include in the list of find- lowing.
ings and recommendations includes the following from the 7.8.1.1 Documentation of changes implemented during
issues and resolution log: the Assessment and Investigation Phases.
a. Issues 7.8.1.2 List of findings and recommendations.
1. Unique numeric or alphanumeric identifier for the 7.8.1.3 Calculations and supporting documentation
No further reproduction or distribution is permitted.

issue related to cost estimates, benefits quantification (e.g., energy

savings, reduced cleaning costs, reduced customer waiting
2. Short, descriptive title of the issue time), and financial analyses for the recommendations. This
3. The associated CFR that’s not being met information also allows final updating and verification of ben-
4. Risks associated with not resolving the issue efits and cost estimates during the Implementation Phase. The
b. Recommendations rationale for the selection or rejection of approaches is
included.
1. Short, descriptive title of the recommendation
7.8.1.4 Completed investigation forms and other docu-
2. Detailed description of the recommendation mentation that presents the observations and test data gath-
c. Costs and Benefits ered in the field. This information demonstrates the findings

20 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
that led to development of the related recommendations. A will then need to be taken back through the Assessment and
list of any deferred testing should be provided. Investigation Phase processes.
7.8.1.5 Initial M&V requirements 8.1.2 Objectives. The objective is to execute the recommen-
7.8.1.6 Updated issues and resolution log dations selected from the Investigation Reports. Verify perfor-
7.8.1.7 Documentation of any training completed mance meets the CFR. Report the results of implementation.
7.8.1.8 Update of CFR 8.1.3 Main Activities
7.8.2 New Discovery 8.1.3.1 Select recommendations to implement.
7.8.2.1 In the event new information is discovered that 8.1.3.2 Implement capital projects.
requires more site investigation, the EBCx Team should fur- 8.1.3.3 Update Existing-Building Commissioning (EBCx)
ther update the EBCx Plan for investigation and the CFR, if Team.
necessary, and then proceed with activities needed to substan- 8.1.3.4 Incorporate informal training.
tiate the new information and include it in the final Investiga- 8.1.3.5 Update EBCx Plan.
tion Report.
8.1.3.6 Implement recommendations.
7.9 Investigation Phase Deliverables 8.1.3.7 Verify completed recommendations and perfor-
7.9.1 Updated EBCx Plan. mance.
7.9.2 Updated EBCx Report, including the addition of the 8.1.3.8 Update the EBCx documentation.
Investigation Report. 8.1.3.9 Obtain Owner acceptance and decision to proceed.
7.10 Obtain Owner Acceptance and Decision to Proceed 8.2 Select Recommendations to Implement. The EBCx
7.10.1 The Owner needs to review the deliverables and Team reviews the Investigation Report near the end of the
unresolved issues from this phase and either accept them in Investigation Phase. Based on that review, the Owner’s repre-
total or make comments. The comments will be addressed by sentative selects and prioritizes the recommendations to
the EBCx Team. The resolution of the comments may result implement.
in changes to the EBCx Plan; CFR; Owner’s EBCx objec-

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8.3 Implement Capital Projects
tives, scope, and budget of the work; or other activities.
8.3.1 Typically, most recommendations fit within the EBCx
7.10.2 If the Investigation Report is acceptable to the
Process as described in this guideline. However, some recom-
Owner, then the Team will continue the process as described
mendations may more accurately be categorized as capital
in the EBCx Plan for the Implementation Phase.
projects due to their higher costs, longer implementation
7.10.3 If the Investigation Report is not acceptable, the times, or intensive design requirements. Capital projects are
Investigation Phase team should be assembled to discuss and, normally selected and procured by the Owner, and most of
if possible, resolve the issues raised by the Owner and resub- these projects require processes outside the scope of the
mit the Investigation Report for the Owner’s review. If the EBCx Process. In some cases, these capital projects affect the
Owner decides not to proceed with the Implementation Phase EBCx Plan. These recommendations should be handled as
for the specific facility just assessed, the CFR, EBCx Plan, described herein.
and Assessment and Investigation Phase reports should be
filed for future reference and the process stopped for this 8.3.2 Capital projects are normally conducted outside the
facility. If an EBCx Program Plan was developed for multiple EBCx Plan and do not affect the EBCx Plan or its completion.
facilities, the Owner and team should refer back to the Pro- 8.3.2.1 It is important that continuity be maintained
gram Plan to determine the next facility to be assessed and between the EBCx Plan and the commissioning of the capital
begin the Assessment Phase for that facility. projects. It is recommended that the Owner utilize the same
Commissioning Authority (CxA) for the capital projects as
8. IMPLEMENTATION they do for the EBCx Plan so that the responsibility of
8.1 Introduction achieving the performance promised remains with the EBCx
Team. This also helps ensure that changes to the building
8.1.1 During the Implementation Phase, the Owner decides systems integrate well with the EBCx system improvements.
which Investigation Report recommendations to implement.
The selected recommendations are implemented and evalu- 8.3.2.2 These capital projects should be managed as sepa-
ated to verify that they achieve the expected benefits and sat- rate projects and commissioned in accordance with ASHRAE
isfy the Current Facility Requirements (CFR). Guideline 0. The EBCx Plan continues independently of the
No further reproduction or distribution is permitted.

capital project. If the capital project is completed before the

8.1.1.1 The activities in the Assessment and Investigation
end of the Hand-Off Phase, the capital project commissioning
Phases should be completed before the Implementation Phase
(Cx) results can be integrated into the EBCx Report.
activities commence. However, the nature of commissioning
existing buildings often results in some iteration between the 8.3.3 If a capital project must be completed to facilitate the
Assessment, Investigation, and Implementation Phases. For completion of the EBCx Plan, then it must be conducted as a
example, if during investigation it is found that something is component part of the EBCx Plan, and the following actions
in need of repair and can easily be changed, or needs to be must be completed prior to completing the EBCx Plan.
changed to complete the investigation, this item can be imple- 8.3.3.1 Commission in accordance with ASHRAE Guide-
mented during the Investigation Phase. Or, for example, dur- line 0.
ing implementation, something new may be discovered that 8.3.3.2 Design the capital project.

ASHRAE Guideline 0.2-2015 21

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
8.3.3.3 Perform construction. and verification of recommendations, including any unique
8.3.3.4 Verify implementation of the project. contract document requirements.
8.3.3.5 Integrate completed project performance into the 8.4.4.3 The EBCx Team reviews any proposals and con-
Implementation Report, including impacts to the analysis and tracts for services and makes recommendation on the selec-
calculations. tion of contractors and designers. The Owner makes the final
selection of the contractors and designers and establishes the
8.3.3.6 Integrate capital project Cx documentation into
necessary contracts for services.
the Implementation Report.
8.5 Incorporate Informal Training
8.4 Update EBCx Team
8.5.1 The Owner’s O&M staff should be directly involved
8.4.1 The CxA coordinates Implementation Phase activi- with implementation and verification testing which will serve
ties. The EBCx Team members may change at this point as informal hands-on training for operating the systems after
based on projects to be implemented and may include the improvements are in place. This involvement will also
employees, building operators, subcontractors, system and establish a functional understanding of the expected perfor-
assembly vendors, or consultants who are employed by the mance of the system for use by the staff in identifying perfor-
Owner or the CxA. mance degradation and ensuring persistence. The level of
8.4.2 Essential team members during the Implementation involvement will depend greatly on the types of recommenda-
Phase include Owner’s representatives, the CxA, Owner’s tions implemented and the methods chosen for implementa-
operations and maintenance (O&M) staff and any design pro- tion (contracted vs. in-house implementation). The intent of
fessionals, and contractors or suppliers/vendors needed to the informal training provided during implementation is to
implement the recommendations. The CxA coordinates the increase awareness of the implementation process and learn
efforts of the team and in some cases is responsible for most the methods used to verify the performance. Staff involve-
aspects of the process. ment will begin to create a commissioning culture in the orga-
8.4.3 Coordinate Owner Participation nization as a break from the standard operating procedures.

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8.4.3.1 Coordinate and schedule participation of the 8.6 Update the EBCx Plan
Owner’s representatives for activities in implementation. 8.6.1 The EBCx Plan is updated to include the details
Owner’s representatives’ participation may vary from one needed to address implementation and verification of the
activity to another, both in number and in the specific individ- selected recommendations. The following elements should be
uals. It is necessary for Owner’s representatives to participate addressed as described below:
in EBCx Team meetings, review the Cx Process and reports,
discuss changes to the CFR, and participate in staff and occu- a. Implementation Plan
pant training. Owner’s representatives also participate in b. Implementation Verification Plan
reviewing submittals and developing contracts with designers c. Training Plan
and contractors needed to implement recommendations. d. Measurement and verification (M&V) Plan
Owner’s representatives may also participate in implementing
recommendations and witness testing. 8.6.2 Create Implementation Plan
8.4.3.2 The O&M Staff should be included in the develop- 8.6.2.1 The EBCx Plan includes an Implementation Plan.
ment and review of the implementation plan of all recommen- This plan includes the details of roles and responsibilities of
dations. Some recommendations can be self-implemented by EBCx Team members, including identification of new team
the Owner’s in-house staff. This level of involvement will members. It establishes lines of communication between new
ensure that the staff understands the recommendations and team members and the Owner. In addition, a review and
what level of coordination and planning is important to ensure update of defined levels of authority for team members as
the recommendations achieve the desired results. This could approved by the Owner may be needed at this point. It also
include involving the staff in the development of the verifica- includes the details of the implementation of recommenda-
tion testing procedures. tions. For each recommendation selected by the Owner, the
Implementation Plan includes the following:
8.4.3.3 The CxA should coordinate the activities of con-
tractors’ and designers’ forces with those of the Owner’s staff a. Participants in the implementation and their roles and
for all activities in the EBCx Plan. responsibilities
b. Schedule of implementation coordinated with occupants,
No further reproduction or distribution is permitted.

8.4.4 Select Implementation Providers

security, housekeeping, utilities, etc., for schedule
8.4.4.1 Prepare a package of any selected recommenda-
impacts, outages and shutdowns, etc.
tions that require design services or supply and installation by
c. Scope of work with details of the work, including
contractors. Confirm that Owner-selected recommendations
are well documented in these packages. 1. method of implementation,
8.4.4.2 The EBCx Team should be included in the prepa- 2. work required for enhancing persistence in support of
ration of requests for proposal (RFPs), development of elec- the OCx, and
tronic bids, or negotiations with known contractors for 3. verification procedures and responsibilities
services. Define specific roles and responsibilities of any con- 8.6.2.2 The Owner’s representative reviews and accepts
tractors, designers, and in-house staff for the implementation the Implementation Plan prior to implementation.

22 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
8.6.3 Develop Implementation Verification Plan should review and accept the updated M&V Plan prior to
8.6.3.1 Update the EBCx Plan to add an Implementation implementation.
Verification Plan to describe details of verification activities. 8.7 Implement Recommendations
This Implementation Verification Plan incorporates the fol-
8.7.1 Implement each of the selected recommendations.
lowing:
Responsibilities, schedules, and budgets are as assigned pre-
a. Details of roles and responsibilities of the EBCx Team viously to designers, contractors, Owner’s staff, or other team
members, including the identification of new team mem- members. Update the EBCx Report with the progress and
bers results as they become available.
b. Roles and responsibilities of any verification specialists 8.7.2 Verify Design and Submittals of Implemented
c. Verification that the implemented recommendations are Recommendations
installed and functioning in accordance with the CFR 8.7.2.1 EBCx Team members review design drawings,
8.6.3.2 Create detailed implementation verification tests shop drawings, and project submittals for quality and for
and physical inspection procedures, data forms, and check- compliance with the CFR.
lists for each selected recommendation. 8.7.2.2 EBCx Team members review training plans and
8.6.3.2.1 Implementation Phase tests are similar in for- testing and start-up procedures provided by contractors.
mat to the performance tests developed in the Investigation 8.7.2.3 Pay special attention to elements that would affect
Phase, so that a set of test procedures with active and passive the persistence of the project, including interaction between
tests similar to initial testing will be developed. They will use systems, ability to verify the final implementation, require-
a similar approach to that outlined in Section 7.6. ments for the testing verification process, contractor-provided
8.6.3.2.2 The purpose of tests in the Investigation Phase testing requirements, long-term O&M issues, and the facility
is to obtain a good understanding of existing systems in order operating procedure, which could adversely impact the CFR.
to evaluate whether or not changes or improvements are 8.7.3 Implementation Kick-off Meeting. After updating
required. In the Implementation Phase, these tests are now and creating the EBCx Plan documents noted above, and

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executed to ensure that corrections and improvements were prior to commencing actual implementation of the recom-
successfully implemented such that systems meet the CFR. mendations, the EBCx Team should conduct a kick-off meet-
This means the focus of tests and their description of ing with the Owner’s representative and any selected outside
expected system responses may change, and the inclusion of providers and/or contractors. The purpose of the meeting is to
pass/fail parameters may also be included to indicate where review the roles of each party, resolve any misunderstandings,
systems need to undergo additional corrections before being finalize the schedule, and ensure the updated EBCx Plan is as
found acceptable. complete as needed by the Owner. During the meeting the fol-
8.6.3.2.3 Update the physical inspection and test pro- lowing should take place.
cedures developed in the Investigation Phase and prepare 8.7.3.1 Review the updated EBCx Plan. In addition,
documentation required to verify that the recommendation review the specific roles and responsibilities of contractors or
installation and performance meets the CFR. consultants and the Owner’s in-house staff to clarify who will
8.6.3.2.4 These verification procedures should include implement recommendations and who will verify.
a quality-assurance component and subsystem and system- 8.7.3.2 Review any needs for M&V baseline develop-
level performance tests and physical inspections. The level of ment to ensure the defined baseline data are in place prior to
effort and resources required will vary for each different rec- making changes.
ommendation.
8.7.4 Conduct Site Visits for Verification. Periodically,
8.6.3.3 The Owner reviews and accepts the Implementa-
appropriate EBCx Team members should visit the job site to
tion Verification Plan prior to verification activities being per-
verify installation of the recommendations. These visits pro-
formed.
vide an opportunity to identify issues early in the implemen-
8.6.4 Update Training Plan. Update the formal Training tation that may not be able to be resolved later or cost more to
Plan to include any changes made as a result of Implementa- resolve later. Distribute site visit reports through agreed-on
tion Phase activities. Ensure that the training addresses all of communication channels. Any observed deviations from the
the implemented measures and changes to the operating pro- plan(s) should be reported and recorded as part of the issues
cedure. and resolution log.
No further reproduction or distribution is permitted.

8.6.5 Update M&V Plan. The M&V Plan must be updated 8.7.5 Update Issues and Resolution Log. Update the issues
based on the known scope of work for improvement measures and resolution log. As issues arise during the Implementation
to be implemented. The M&V Plan should include the details Process, document the issues and track their status and resolu-
for baseline and performance period testing that will be tion on the already established issues and resolution log. See
required for quantifying the performance and benefits of the Section 6 for items to include in this log.
process. In cases where specific M&V protocols are required,
the M&V Plan should include the specific means and meth- 8.8 Verify Completed Recommendations and Performance
ods necessary to comply with the requirements of the chosen 8.8.1 Conduct the verification testing once installation is
protocol option. If necessary, add specific M&V procedures complete as required in the updated EBCx Plan and devel-
required to verify the final benchmark or goal. The Owner oped in the Implementation Verification Plan.

ASHRAE Guideline 0.2-2015 23

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
8.8.2 Document verification tests and physical inspections as 8.9.3.6 Updated Issues and Resolution Log. The com-
outlined in the EBCx Plan. Records shall include all tests and pleted/updated issues and resolution log with all issues dis-
physical inspection data records, capture test data, observa- covered and addressed.
tions, and M&V data. Data may be recorded on photographs, 8.9.3.7 Site Visit Records. Records of site visits and any
forms, or other means appropriate for each recommendation. significant reports and meeting minutes generated throughout
8.8.3 Verify that the performance of the completed recom- the process.
mendations meets the CFR. Performance testing is used to 8.9.3.8 Verification Documentation. Evaluations of the
quantify the benefits obtained from these recommendations. performance of the systems at the time of test completion and
8.8.4 Issue Identification and Resolution the ability of the system to meet the CFR. Identify any sys-
8.8.4.1 The EBCx Team reviews the issues in the issues tems or assemblies that do not meet the CFR.
and resolution log and adds to it if necessary during imple- 8.9.3.9 M&V Documentation. Include documentation of
mentation and verification. The issues and resolution log con- any completed M&V activities. This includes the quantified
tinues during this task to be the tool to document issues and benefits of the recommendations implemented and the results
their resolution to the Owner’s satisfaction. of any and all testing conducted as part of the M&V require-
8.8.4.2 For any deferred testing, the issues and resolution ments. The M&V Plan will need to be updated to point out
log is updated, and the resolution of issues is documented. which portions of the M&V requirements have been com-
pleted and what will be completed in the future. Provide a
8.8.5 Implement Persistence Strategies. For each of the
complete set of test procedures and blank data forms, etc., for
recommendations included in the Implementation Plan,
future use for each implemented recommendation.
ensure that monitoring, tracking, and reporting of persistence
is included in implementing the recommendations as defined 8.9.3.10 Training Documentation. Provide information
in the EBCx Plan. on any Owner training that occurred during implementation
and verification, including who attended, dates, length of time,
8.9 Update the EBCx Documentation training subjects, training materials, and trainer, where appli-

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8.9.1 Update the CFR to include any changes that occurred cable.
during the Implementation Phase. 8.9.4 In the EBCx Report, list the specific CFR items that
8.9.2 Update the EBCx Plan on completion of deferred and were to be addressed through EBCx (from the EBCx Plan),
seasonal tests. This update includes deferred and seasonal test and the level to which those CFR items were achieved by the
procedures and results. end of the Implementation Phase. For any CFR items that
8.9.3 Update the EBCx Report to include the Implementa- were not fully achieved, describe why those items were not
tion Report along with an executive summary that includes achieved and include recommended next steps. This should
which recommendations were implemented and their bene- supplement the verification documentation discussed in Sec-
fits, plus important future work. Many of these documents are tion 8.9.3.8.
also in the systems manual for the facility. The Implementa- 8.9.5 The systems manual is updated to include any new
tion Report includes the following. information for components, assemblies, and systems that
8.9.3.1 Updated list of findings and recommendations, have been modified or installed as part of the implementation
including an update to the benefit analysis. The final imple- process. Update the facility guide (FG) to include any
mented recommendations may differ from the original rec- changes to operating procedures that occurred during the
ommendations due to conditions uncovered during the Implementation Phase.
implementation process. 8.10 Implementation Phase Deliverables
8.9.3.2 Updated persistence strategy for each recommen- 8.10.1 Updated EBCx Plan
dation.
8.10.2 Updated EBCx Report, including the addition of the
8.9.3.3 If capital projects were performed as part of the Implementation Report
overall process, incorporate the Cx Report into the Implemen-
8.10.3 Updated systems manual materials
tation Report.
8.9.3.4 List of implementation recommendations that 8.11 Obtain Owner Acceptance and Decision to Proceed
should be carried out in the future. 8.11.1 Decide if the selected recommendations have been
No further reproduction or distribution is permitted.

8.9.3.5 Test Documentation. Test procedures, documen- completed to the Owner’s satisfaction.
tation, and results. This includes the original test procedures 8.11.2 If any new discoveries are made during Implementa-
and data forms, plus data such as photos, computerized docu- tion activities, the Owner decides, based on EBCx Team rec-
mentation, and other records of the tests. Both the final ommendations, if additional investigation work is required.
accepted test and earlier tests that failed to meet the specified This iterative process is integral to EBCx. If a discovery dur-
criteria are included. Once deferred/seasonal testing is com- ing implementation requires additional investigation, the pro-
pleted, the report is updated to include the deferred testing cess for this specific discovery begins at the Investigation
results. Provide a complete set of test procedures and blank Phase. If the Owner chooses not to proceed with further
data forms, etc., for future use for each implemented recom- investigation at this time, the item will be documented in the
mendation. information transferred at hand-off.

24 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
8.11.3 When installation and verification of the selected 9.2 Develop OCx Plan
recommendations is complete, the EBCx Team meets with 9.2.1 The OCx Plan documents how the building perfor-
the Owner. The Owner needs to review the deliverables and mance will be monitored, what systems will be included,
unresolved issues from this phase and either accept them in what parameters will be tracked, and how identified faults
total or make comments. The comments will be addressed by will be corrected. Develop the OCx Plan during the Hand-Off
the EBCx Team. The resolution of the comments may result Phase and discuss it in the lessons-learned workshop. The
in changes to the EBCx Plan; CFR; the Owner’s EBCx objec- OCx Plan addresses the following key aspects.
tives, scope, and budget of the work; or other activities. 9.2.1.1 Establishing a scope of work that clearly defines
8.11.4 Also noted in the Implementation Report are items the activities to be conducted, a schedule for when activities
that were deferred for various reasons. Any recommendations will take place, and what documentation will be provided.
that require deferred/seasonal testing will require final accep- 9.2.1.2 Defining the roles and responsibilities of all team
tance by the Owner after the deferred testing. members and how communication will be routed.
8.11.5 If the EBCx Plan and Implementation Report are 9.2.1.3 Defining any remaining measures to be imple-
acceptable to the Owner then the team will continue the pro- mented or deferred testing remaining from the Implementation
cess as described in Section 9. If either is unacceptable, the Phase of the project.
team should be assembled to discuss and, if possible, resolve
9.2.1.4 Tracking the status of any remaining capital proj-
the issues raised by the Owner and resubmit the plan and
ects.
report for the Owner’s review. The team should not continue
to the Hand-Off Phase until the Owner has approved the 9.2.1.5 Maintaining the Current Facility Requirements
Implementation work and its report along with the updated (CFR) to reflect changes in use and operation of the facility.
EBCx Plan. 9.2.1.6 Maintaining the facility guide (FG) to reflect
8.11.6 The Owner and team should evaluate the process changes in systems and assemblies due to renovation or in
used. Changes that could improve the process should be response to changes in the CFR.
added to the EBCx Plan. It is essential that issues, benefits, 9.2.1.7 Maintaining the systems manual to reflect

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and process recommendations are documented while the changes in the CFR, FG, and systems/assemblies.
information is fresh in the minds of team members. 9.2.1.8 Monitoring and evaluating system performance
regularly to verify compliance with the CFR and against pre-
9. HAND-OFF viously established benchmarks. For example, through review
9.1 Introduction of occupant satisfaction surveys, trend logs, complaint logs,
9.1.1 The Hand-Off Phase is the transition between the service tickets, and utility use. See Section 7 for further guid-
Existing-Building Commissioning (EBCx) Team and person- ance.
nel responsible for operating and maintaining the facility over 9.2.1.9 Describing procedures necessary to maintain the
the remainder of its life cycle. During the Hand-Off Phase, persistence of building performance.
the EBCx Team works to ensure that the required documenta- 9.2.1.10 Ongoing training of O&M personnel and occu-
tion in the EBCx Report has been completed and is consistent pants on the current CFR and the current systems/assemblies.
with the EBCx Program (if one exists) and the EBCx Plan. 9.2.1.11 Defining the process and procedures necessary
The Ongoing Commissioning (OCx) Plan is developed, the for satisfying the measurement and verification (M&V)
systems manual is updated and completed, and the key deliv- requirements.
erables are provided to the Owner. The systems manual and
9.3 Assemble Systems Manual
the OCx Plan are used in conjunction with the training of
facility operations and maintenance (O&M) personnel and 9.3.1 The systems manual is assembled to incorporate
occupants to ensure the persistence of the benefits. changes to assemblies and systems that occurred during com-
missioning (Cx). Documentation generated during and after the
9.1.2 Objectives. The objectives of the Hand-Off Phase are
Implementation Phase is incorporated into the systems manual.
to provide the completed documents from the EBCx to the
Owner, provide training to the Owner’s personnel, and to 9.3.2 The FG is updated to reflect changes to assemblies
incorporate lessons learned from the Cx Process into the day- and systems.
to-day O&M procedures in the facility. 9.3.3 Training documentation is added to the systems man-
ual as training is performed.
No further reproduction or distribution is permitted.

9.1.3 Main Activities

9.1.3.1 Develop OCx Plan. 9.3.4 A comprehensive list of requirements for the systems
manual is outlined in Section 6.6.2.
9.1.3.2 Assemble systems manual.
9.1.3.3 Train facility personnel. 9.4 Train Facility Personnel
9.1.3.4 Verify training effectiveness. 9.4.1 Train facility personnel based on the Training Plan
developed as a part of the EBCx Plan. Training may consist of
9.1.3.5 Conduct lessons-learned workshop.
classroom style and in-the-field type instruction.
9.1.3.6 Finalize EBCx Report. 9.4.2 Provide O&M staff and occupants with pertinent
9.1.3.7 Provide project documents to Owner. information and training in how they should operate and
9.1.3.8 Obtain Owner acceptance and decision to proceed. maintain the facility to meet the CFR. Emphasize operational

ASHRAE Guideline 0.2-2015 25

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
protocols and develop and place materials (e.g., laminated port the OCx efforts of the facility, to update the EBCx
signs) that will help ensure persistence of the benefits Program and approach for a multiple-facility effort, and
obtained. This is usually a more formal training session than improve all future commissioning efforts at the facility.
the hands-on type training that occurs during the earlier Because the meeting includes all key stakeholders, the les-
EBCx phases. sons-learned workshop can also be an opportunity to recog-
9.4.3 Train O&M personnel on the improvements imple- nize the contributions of individual EBCx Team members to
mented, system/assembly operation, and the systems manual the success of the Cx Process.
and on how to update it. Build on any training that has 9.6.3 Document the results of the lessons-learned work-
occurred throughout the EBCx Process to solidify the meth- shop in a Lessons-Learned Report, which will help to facili-
ods of O&M that will ensure persistence of the benefits tate the transfer and retention of knowledge gained during the
obtained. Document those in attendance for the training pro- Cx Process. Make recommendations to support the OCx
vided. efforts of the facility, which may affect the OCx Plan.
9.4.4 Educate occupants on the systems and assemblies 9.7 Finalize EBCx Report
that they typically use, and confirm that they understand the
9.7.1 Update the EBCx Report to include the final Lessons-
impact of their actions on those systems and the facility.
Learned Report to reflect any necessary changes to the EBCx
9.4.5 Document all training attendance with attendee sign- Program Plan and OCx Plan.
in sheets. These lists should be added to the EBCx Report.
9.7.2 Update the EBCx Report to include the final training
9.4.6 Some training may be deferred due to issues such as documentation and verification.
seasonal, resource, or budgetary constraints. Identify the
deferred training in the EBCx Report and include it in the 9.8 Provide Project Documents to Owner
Owner’s ongoing training plans. 9.8.1 Transfer the completed EBCx Report, the OCx Plan,
9.4.7 Create the training documentation used during the and the systems manual to the Owner. Request the acceptance
training and compiled at the conclusion of the training. The of these documents and the improvements implemented by
the Owner.

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training documentation typically includes the Training Plan,
training syllabus, training attendance records, and training 9.8.2 Provide for distribution of the M&V Reports to be
materials provided during O&M and occupant training. submitted for approval. The document should be reviewed
9.4.8 Ideally, the training sessions would be video recorded with the Owner and operations staff to ensure that the
so future O&M personnel and occupants can be trained with- required instrumentation and data collection remain in place
out having to recreate the training session. through the M&V performance period in accordance with the
M&V Plan.
9.4.9 Compile all of the training documentation into the
systems manual at the conclusion of training. 9.8.3 The information in these deliverables should be used
and kept updated throughout the life of the facility as
9.5 Verify Training Effectiveness described in Section 10, “Ongoing Commissioning.”
9.5.1 Verify the effectiveness of training within a reason-
9.9 Hand-Off Phase Deliverables
able period of the completion of each training program.
Example training verification methodologies are provided in 9.9.1 EBCx Report, including addition of the Lessons-
Annex L5. The intent of this testing is to verify that the train- Learned Report.
ees were provided with the pertinent information and can 9.9.2 Systems manual.
demonstrate their ability to operate and maintain the facility 9.9.3 OCx Plan.
to meet the CFR and ensure persistence of benefits. The
attendee sign-in sheets should be reviewed to verify that the 9.10 Obtain Owner Acceptance and Decision to Proceed
training has been delivered to all necessary personnel. 9.10.1 The Owner reviews the deliverables and any unre-
solved issues from this phase and either accepts them in total
9.6 Conduct Lessons-Learned Workshop
or makes comments.
9.6.1 Conduct a lessons-learned workshop after the com-
9.10.2 If the EBCx Report, OCx Plan, and systems manual
pletion of the training and the update of the systems manual.
are acceptable to the Owner, then the process will continue as
The lessons-learned workshop typically includes all of the
described in Section 10.
key participants and stakeholders of the Cx Process. Example
No further reproduction or distribution is permitted.

approaches to the lessons-learned workshop are provided in 9.10.3 If the EBCx Report, OCx Plan, or systems manual
Annex L6. are unacceptable, assemble the Hand-Off Phase team to dis-
cuss and, if possible, resolve the issues raised by the Owner
9.6.2 The lessons-learned workshop provides a forum for
and resubmit the plan for the Owner’s review.
the EBCx Team to discuss issues impacting the O&M of the
facility and to discuss knowledge gained during the imple- 9.10.4 If the Owner decides not to proceed with the OCx
mentation of the measures. The discussion should examine Phase for the specific facility just commissioned, the EBCx
both the execution of the Cx Process and the methods and Report and all phase reports should be filed for future refer-
issues found that affect facility operation. The intent of the ence and the process stopped for this facility.
discussion is to determine improvements in both the Cx Pro- 9.10.5 For multiple facilities, refer to the EBCx Program
cess and facility operations. Make recommendations to sup- Plan to determine the next facility to be assessed and begin

26 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
the Assessment Phase on that facility if an EBCx Program OCx may be a different person than the CxA for the previous
Plan was developed for multiple facilities. phases of the EBCx.
10.2.4 The OCx Team is structured similarly to that of the
10. ONGOING COMMISSIONING earlier EBCx phases. The team, at minimum, must include an
10.1 Introduction Owner’s representative and CxA. Other team members can
10.1.1 The Ongoing Commissioning (OCx) Phase is a pro- include selected members of the O&M staff, building opera-
gram that consists of Cx Process activities that repeat continu- tions, building occupants, engineers, users and outside service
ously throughout the life of the facility subsequent to the contractors, designers, or Cx implementation providers. In
Hand-Off Phase. OCx implements a lifetime program to pre- addition, the team will include stakeholders for specific
serve and augment the improvements implemented during the needs, such as updating the CFR and revising benchmarks. It
previous phases of Existing-Building Commissioning (EBCx) is important to ensure that stakeholders are included from a
and seeks opportunities to continuously improve the quality variety of levels of responsibility in the organization or
and value of the facility. An OCx Program is cyclical; it leased-property occupants. Increased participation increases
repeats the EBCx activities on a periodic basis to ensure that the accuracy and scope of the guidance for the OCx Program.
the building and its systems are continually evaluated against 10.3 Update the OCx Plan
the dynamically updated Current Facility Requirements 10.3.1 The OCx Plan is the guiding document for how the
(CFR). The OCx Plan includes formal procedures for contin- facility's condition and performance will be monitored and
uously enhancing the value, quality, functionality, and perfor- evaluated, what systems or features will be included, what
mance of the facility and systems. The OCx Plan should be parameters will be tracked, and how deviations from the CFR
dynamically updated for the life of the building, including will be corrected. The OCx Plan developed during hand-off
milestones and benchmarks to establish persistence in achiev- should be updated to ensure all parameters to be tracked and
ing the CFR. evaluated are defined along with benchmarks for determining
10.1.2 Objective. The overall objective of the OCx Pro- compliance with the CFR.
gram is to ensure that the benefits obtained from the EBCx

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10.3.2 The scope of activities in the OCx Plan needs to be
Plan and any other building improvements are sustained over reviewed. This includes determining that assigned resources
time and improved where possible. OCx involves performing have the time and skills needed for each activity.
critical elements of the process repeatedly over a series of
10.3.3 The frequency of activities in the OCx Plan needs to
cycles with periods typically lasting from months to years.
be defined and reviewed by the OCx Team.
10.1.3 Main activities.
10.3.4 The OCx Plan should clearly define any remaining
10.1.4 Assemble the OCx Team. scope items from the EBCx Report, including deferred
10.1.5 Update the OCx Plan. inspections and testing, recommendations that have not yet
10.1.6 Verify achievement of CFR. been implemented, and completion status of capital projects.
10.1.7 Investigate unacceptable performance or outcome. 10.3.5 Update the CFR
10.1.8 Implement recommendations. 10.3.5.1 Review and update the CFR. For facilities that
underwent a new-building Cx Process, the CFR is the evolu-
10.1.9 Update systems manual.
tion of the Owner’s Project Requirements (OPR) established
10.1.10 Update facility personnel training. during the original Cx Process. If the facility use has changed
10.1.11 Write/deliver OCx Report. from the original design, or if a CFR does not exist, refer to
10.1.12 Obtain Owner’s acceptance. Section 6 of this guideline for information about developing
the CFR document.
10.2 Assemble the OCx Team
10.3.5.2 Review the CFR document at regular intervals to
10.2.1 The organizational structure of the OCx Team will
ensure information still reflects the status of the facility and
vary from facility to facility and from time to time. For each
its requirements. Any required updates should be made based
facility, the capabilities of the internal facility staff, service
on recommendations in the OCx Report.
contractors, and the nature of the relationship with external
professionals, commissioning contractors, and Cx Process 10.3.5.3 Changes to the CFR may also have an impact on
providers are unique. Further, over time, people move in and verification requirements for the OCx Plan and the Imple-
mentation Verification Plan.
No further reproduction or distribution is permitted.

out of positions, and the structure of the organization changes.

10.2.2 Assign responsibility for OCx activities in the initial 10.4 Verify Achievement of CFR
OCx Plan. Establish a high-level executive responsible for 10.4.1 Persistence of the benefits of the OCx Program can
overall management of the OCx Program. Include staff be demonstrated by defining, tracking, and evaluating various
responsibility assignments for the initial cycle as well as aspects of facility condition or performance, such as opera-
when the organization's structure changes or as staff mem- tions, maintenance procedures, occupant satisfaction, and
bers' responsibilities change. user’s needs.
10.2.3 OCx is led by a Commissioning Authority (CxA). 10.4.2 Monitor the actual condition or performance of the
This phase may be carried out by in-house personnel or some defined parameters during the OCx Program to provide feed-
combination of outside and in-house personnel. The CxA for back to the OCx Team of any deviations that may require

ASHRAE Guideline 0.2-2015 27

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
action. The initial iteration of the OCx Process will simply action and its effect on the facility. It is important that the rec-
verify that the acceptable performance defined during imple- ommendations are implemented carefully, understanding that
mentation and hand-off is still being achieved and correctly actions can often interact with one another. If multiple recom-
defined. mendations are implemented at one time or in a close time-
10.4.3 In cases where the OCx Program requires a formal frame of one another, it may become difficult to distinguish
Measurement and Verification (M&V) Plan, the tracked the interrelation and interaction of one action and another.
information should be consistent with the requirements of the 10.6.2 Develop relevant documentation for the OCx Report
chosen or required M&V Plan. once the recommendations have been implemented and veri-
10.4.4 Review the M&V Plan at regular intervals. If it is fied. The documentation should include any lessons-learned
determined that certain key parameters necessary to properly discussion that may prevent a recurrence of the issue and a
monitor the condition or performance of the facility are miss- cost-benefit analysis. This documentation should include
ing from the M&V Plan, revise the M&V Plan accordingly. quantitative comparisons of the benefits tracked in compari-
son with those predicted when measured against the accept-
10.4.5 Identify areas where facility performance can be
able performance. The documentation should clearly define
improved. Report any identified improvements to the Owner,
the methods used to track benefits, the performance parame-
including the predicted benefits and any associated imple-
ters used, and the benefits previously predicted. Any excess or
mentation costs. A periodic workshop to update information
shortfalls in benefits measured should be clearly noted.
in the CFR can serve as a means to identify improvement
opportunities. Other means are periodic sampling surveys or 10.6.3 Develop a plan for maintaining the persistence of
facility user questionnaires. benefits related to the implemented recommendations with
the facility personnel.
10.5 Investigate Unacceptable Performance or Outcome
10.7 Update Systems Manual
10.5.1 Whenever there are significant deviations from the
10.7.1 Review the facility systems manual at regular inter-
CFR baseline or parameters, the cause of the performance or
vals to ensure all information is current. Any required updates
condition degradation or deviation must be identified in order
should be made based on recommendations in the OCx

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to identify a solution. Identify the root cause of the unaccept-
Report.
able performance. This may include condition assessment,
testing, and analysis of the results to determine the extent of 10.7.2 The FG section of the systems manual should be
the unacceptable performance or degree of deviation from updated with key performance parameters and facility operat-
desired results. Section 7 of this guideline addresses the ing procedures whenever they are changed. Establish moni-
investigation methodology. toring procedures to compare facility performance against the
baseline at frequent intervals.
10.5.2 If the diagnosis shows that unacceptable perfor-
10.7.3 Changes to the CFR will eventually arise due to
mance is due to a major changes in the CFR, the associated
changes in occupancy, use, remodeling, etc. Document the
parameters should be modified to reflect this change and the
impact of these changes in the systems manual and FG.
performance measured against the new baseline. Ensure that
the underlying issues are identified and that any needed 10.8 Update Facility Personnel Training
updates to the CFR are made. Update the facility guide (FG) 10.8.1 Facility personnel training requirements will con-
for inclusion in the OCx Report. tinue to evolve due to facility changes, operational changes,
10.5.3 Maintain the issues and resolution log to track and and staff turnover. O&M staff training should be updated at
record issues. The issues and resolution log used during this regular intervals to ensure the procedures required to maintain
phase can be similar to the issues and resolution log used in building performance are maintained. Needs for additional
previous phases. See Section 6 for items to consider for inclu- training may also arise due to changes to regulatory factors,
sion in the issues and resolution log. facility equipment, or overall facility function. The OCx
Team should regularly review the performance of building
10.5.4 Once findings and recommendations are identified,
staff to identify any needs for updated training. All operator-
they are listed on the issues and resolution log, including any
error items identified during fault correction as lessons
estimated costs and associated benefits that the action will
learned should be discussed with the staff to ensure the prob-
provide. Recommendations should include methods to main-
lems do not reoccur.
tain the benefits of the performance and improvements made
during the EBCx. 10.8.2 The training conducted during OCx should build on
No further reproduction or distribution is permitted.

the training conducted during hand-off, including the meth-

10.5.5 In cases where the corrective action is simple, the
ods and procedures used to track and maintain the benefits
action should be taken immediately on clearance from
achieved throughout the EBCx Process. The training should
responsible operations staff. For other, more complex issues,
ensure the facility staff understands the CFR, FG, and perfor-
the nature of the problem and the recommendation may need
mance benchmarks and metrics used to demonstrate that the
to be reported to the Owner for approval.
expected benefits are achieved and maintained. There must be
10.6 Implement Recommendations a persistence program to provide training and retraining nec-
10.6.1 Establish a plan for implementing the recommenda- essary to allow the CFR to be achieved.
tions, including schedules and responsible parties. Implement 10.8.3 This level of training will be achieved both through
the recommendations in accordance with that plan. Verify the regular updates to the formal training program and continuous

28 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
training throughout the OCx Process. The OCx Team should 10.9.3 The report should be submitted at a specified interval
regularly involve the facility staff in the process of measuring (e.g., quarterly, semiannually, or annually), accompanied by
facility performance, identifying areas where performance is appropriate updates to the OCx Program Plan, CFR, systems
not meeting established standards, and in implementing the manual, and issues and resolution log. Present any issues and
corrective measures taken to correct the identified faults. This recommendations requiring evaluation and selection by the
continuous method of training will increase the level of Owner for implementation in the form of a list of findings and
awareness and enhance the ability of the OCx Process to recommendations, as discussed in Section 7. The document
maintain facility performance. This level of staff involvement should also include a review of other building documentation
will also help gauge the acuity level of the facility staff and as necessary, along with any recommendations for required
assist in identifying areas where formal training may be updates to the organization’s master strategic plan for enhanc-
needed. ing the value of all assets.
10.9 Write/Deliver OCx Report 10.10 OCx Phase Deliverables
10.9.1 The OCx Report is used to document at regular 10.10.1 The major deliverables of the OCx Phase are as
intervals the performance of the facility and success of the follows.
OCx Program. The report should include the following: 10.10.1.1 Updated OCx Plan
a. Any recommendations that will assist the O&M staff in 10.10.1.2 Updated CFR
procedures that will maintain the persistence of building 10.10.1.3 Updated systems manual
performance, particularly for improvements implemented
10.10.1.4 OCx Report (made periodically)
during the OCx Process
b. Measured verification results and benefits obtained over 10.11 Obtain Owner Acceptance
the current OCx period 10.11.1 The OCx Process should include the formal accep-
c. Corrective actions taken and lessons learned tance by the Owner at regular intervals during OCx for the
d. Updates to facility training programs and training con- life of the building or facility. This is typically after review of

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ducted based on changes to the facility, staff turnover, or the annual report for the building. This allows a periodic
lessons learned opportunity to revise the program for the following year, with
e. Any updated acceptable performance parameters activities additions and reductions. The acceptance should
f. Any improvement recommendations accompanied by esti- acknowledge successful compliance with all activities and
mated costs deliverables in the OCx Plan. The acceptance should also pro-
g. The level to which the specific CFR items have been vide tracking for resolution of existing issues and identify any
achieved needs for conflict resolution.
10.9.2 The OCx Report should include the current results 10.11.2 If the OCx Report is acceptable to the Owner, then
of the M&V Plan. If the OCx Program requires compliance the team will continue the process into the next cycle.
with a specific M&V protocol, the material in the OCx Report 10.11.3 If the OCx Report is unacceptable to the Owner,
should be consistent with the requirements of the M&V Plan determine what the issues are and take corrective action
and be produced and submitted under separate cover. before resubmitting the OCx Report.

No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 29

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- There is not a requirement for the supporting technical
mative and does not contain requirements necessary for guidelines to supplement the general EBCx Process activities
conformance to the guideline.) and requirements, as these are addressed in Guideline 0.2.
A supporting technical guideline should make it easier
INFORMATIVE ANNEX A
for the Cx Team to effectively identify opportunities, evaluate
GUIDE FOR DEVELOPING SUPPLEMENTARY
opportunities, and implement improvements to the facility
TECHNICAL GUIDELINES FOR THE
that can be measured or are recognized as enhancing the value
COMMISSIONING PROCESS FOR
of the building, such as achieving a recognized level of sus-
EXISTING-BUILDING SYSTEMS AND ASSEMBLIES
tainable design or safety as determined by consensus of topic
This annex provides an example of how to implement part of experts developing a specific technical supporting guideline.
ASHRAE Guideline 0.2. It is not intended to be a comprehen- The technical guideline for a specific topic should gener-
sive representation or a best-practice example. Practitioners ally contain the following:
applying the Existing-Building Commissioning (EBCx) Pro-
cess should follow Guideline 0.2 and applicable commission- a. Requirements to fully support the EBCx Process activities
ing (Cx) technical guidelines and resources tailored to their b. Requirements during each phase of the EBCx Process
specific projects. c. Means and methods for identifying, analyzing, and imple-
menting changes, upgrades, or rehabilitation of facility
The purpose of this annex is to provide the recommended
systems and assemblies
format and content for technical guidelines supporting the
d. Means for benchmarking and documenting the benefits of
EBCx Process. The National Institute of Building Sciences
each change
(NIBS) can assist with facilitating the development of a num-
e. Requirements for systems manuals and other documents
ber of technical topic guidelines to support the effective
and records
implementation of EBCx. These guidelines will be developed
f. Training requirements for O&M personnel and occupants
by various professional, technical, and trade organizations.
For example, the technical guidelines for heating, ventilating, g. Requirements for the Ongoing Commissioning (OCx)

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air-conditioning, and refrigeration (HVAC&R) will be devel- Process Program
oped by ASHRAE. ASHRAE’s various technical committees The recommended format of the technical guidelines
will be encouraged to develop guidelines for specific topics, should follow the same format used in Guideline 0.2. The fol-
such as kitchen hoods, fire and smoke control, laboratories, lowing material presents the general organization to be used
data centers, etc. in the development of technical guidelines. To maintain con-
Technical guidelines are developed to assist the Cx Team sistent numbering between all documents, it is acceptable to
and Owner in efficiently and successfully using the EBCx denote a section, subsection, or annex as “not applicable to
Process for various systems, assemblies, functional needs, this guideline,” “no additional information for this section or
and operations and maintenance (O&M) of a particular build- paragraph,” etc. This denotation should be explained in both
ing or facility. the foreword and in Section 4, “Process Overview,” of each
It is desired that each technical guideline for a specific technical supporting guideline that is developed to support the
system or assembly in an existing building utilize the princi- general EBCx Process. The following is an example of sug-
ples and procedures of the EBCx Process described in Guide- gested wording:
line 0.2 and not redefine a new process with respect to the Throughout this guideline, various sections, subsections, and
topic (e.g., lighting or other system and assemblies) in the annexes may be marked as “not applicable to this guideline.”
supporting technical guideline. The purpose of this designation is to maintain uniformity of sec-
The objective of both Guideline 0.2 and the technical tion, subsection, and annex labeling throughout all Existing-
guidelines is to provide information on implementing a cost- Building Commissioning Process guidelines in support of
effective enhancement process for all existing buildings in Guideline 0.2.
order to increase the value of existing assets though efficient
use of energy, effective O&M, and increasing the unit pro- TECHNICAL GUIDELINE FORMAT
ductivity of in-place assets. This includes the ultimate sus- The following is an outline format to be used in the develop-
tainability objective—achieving these goals without major ment of technical guidelines in support of the EBCx Process
rehab or replacement of existing facilities. The technical developed in ASHRAE Guideline 0.2. Some sections or para-
No further reproduction or distribution is permitted.

guidelines are not intended to be a detailed user’s guide but graphs may not require procedures or documents for that
rather to provide resource guidance and information on phase or activity for the particular system or technology.
where to find detailed solutions to issues and problems in These can be noted as “not required.” The listed paragraph
existing buildings. Guidelines on the EBCx Process imple- titles come from Guideline 0.2 and are intended to provide a
mentation plan, development of Current Facility Require- framework to produce a thorough guideline.
ments (CFR), construction checklists, statistical or other In the following sections, normal text provides the
quality tools, and other detailed requirements for implement- reader guidance as to the type of information that would be
ing the EBCx Process are included in Guideline 0.2, with added to that section specific to the facility under consider-
only appropriate and limited additions in the technical sup- ation; example text is shown in small type; and variable text
porting guidelines to support the general quality process. is shown in brackets and italics.

30 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
Foreword formity of section, subsection, and annex labeling throughout
The foreword should (a) provide key information on factors all EBCx Process guidelines and resources in support of
that affect the success of the EBCx Process as it applies to the Guideline 0.2.
specific system and assembly addressed by the supporting Section 4, Process Overview
technical guideline and (b) describe the role of the specific
The following paragraphs should be included in Section 4,
technology in a successful EBCx Process and its relationship
“Process Overview”:
to other building systems and assemblies in closely related
technologies or other supplementary technical guidelines. The application of this guideline will depend on the Owner’s
The following is an example of suggested wording for Current Facility Requirements (CFR) and how the project will
the foreword: be managed, funded (both the investigation and implementa-
tion), and ranked within a multibuilding ownership or campus.
This supporting technical guideline should make it easier for the
This guideline is supplemental to the Existing-Building Com-
Commissioning (Cx) Team to effectively identify opportunities,
missioning (EBCx) Process detailed in ASHRAE Guideline 0.2.
make evaluations, and implement improvements to the facility
This guideline describes specific details required to properly
that can be measured or are recognized as enhancing the value of
implement the EBCx Process relative to [specific technical
the building, such as achieving a recognized level of sustainable
topic] systems and assemblies. This includes documentation,
design or safety as determined by consensus of topic experts
test procedures, and checklists during the Implementation and
developing a specific technical supporting guideline.
Hand-Off Phases of each building.
There is not a requirement to collect large amounts of data for
the low-to-medium-cost items or opportunities that are typically Section 5, Multiple-Facility Planning Phase
included in enhancing [topic of the guideline]. Some capital proj- 5.1 Introduction
ects identified during the process may require low to substantial
5.2 Assemble EBCx Program Planning Team
data collection. These may be [energy related, related to exten-
5.3 Document EBCx Program Goals and Objectives
sive evaluation of maintenance practices or survey of occupants
5.4 Assemble Information and Rank Facilities
related to general satisfaction, functional needs, comfort, light-
5.5 Develop EBCx Program Plan
ing, acoustics, furniture, IAQ over a period of several weeks or

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5.6 Planning Phase Deliverables
months, or other requirement]. However, these high-cost or high-
5.7 Owner Acceptance and Decision to Proceed
payback projects will typically be transferred from the Existing-
Building Commissioning (EBCx) Process to the Owner’s capital Section 6, Assessment Phase
planning and implementation staff or group. This transfer recog- 6.1 Introduction
nizes the difference between EBCx and rehabilitation or remod-
6.2 Define Owner’s EBCx Goals and Objectives
eling projects and retains the focus on a short-term EBCx Process
6.3 Select the Initial EBCx Team
that is not confused with projects that may extend for five, ten, or
6.4 Develop Current Facility Requirements
fifteen years awaiting implementation.
6.5 Develop the EBCx Plan
Section 1, Purpose 6.6 Establish the Systems Manual Outline
6.7 Perform Assessment
The following paragraph should be used as the general pur-
6.8 Initiate EBCx Report with Assessment Report
pose for each technical guideline: 6.9 Assessment Phase Deliverables
The purpose of this supporting technical guideline is to describe 6.10 Obtain Owner Acceptance and Decision to
the technical requirements for the application of the Existing- Proceed
Building Commissioning (EBCx) Process described in
ASHRAE Guideline 0.2 to [insert the specific topic or technol- Section 7, Investigation Phase
ogy, i.e. lighting, envelope, HVAC&R] that will allow the user to 7.1 Introduction
develop appropriate Current Facility Requirements (CFR) and 7.2 Update EBCx Team
implement changes, upgrades, or capital projects that will 7.3 Conduct Investigation Planning Meeting
achieve the Owner’s CFR for [specific technology]. 7.4 Review Facility Documentation
7.5 Update EBCx Plan
Section 2, Scope 7.6 Perform Site Investigation and Testing
The following should be used as the general scope for each 7.7 Perform Issues and Opportunities Analysis
technical guideline: 7.8 Update EBCx Report with Investigation Report
7.9 Investigation Phase Deliverables
The procedures, methods, and documentation requirements in
7.10 Obtain Owner Acceptance and Decision to Proceed
No further reproduction or distribution is permitted.

this guideline describe the application of the Existing-Building

Commissioning (EBCx) Process for each phase from discovery Section 8, Implementation Phase
or planning through developing the ongoing lifetime commis-
8.1 Introduction
sioning (Cx) and recommissioning program for a specific build-
8.2 Select Recommendations to Implement
ing system or assembly. The scope is for [specific technical
topic] technical guideline to support the EBCx Process activities 8.3 Implement Capital Projects
described in ASHRAE Guideline 0.2. 8.4 Update EBCx Team
8.5 Incorporate Informal Training
Section 3, Definitions 8.6 Update the EBCx Plan
Include definitions that are unique and applicable to this 8.7 Implement Recommendations
guideline. The purpose of this designation is to maintain uni- 8.8 Verify Completed Recommendations

ASHRAE Guideline 0.2-2015 31

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
8.9 Update the EBCx Documentation Annexes
8.10 Implementation Phase Deliverables Annexes are to be used to provide additional information,
8.11 Obtain Owner Acceptance and Decision to Proceed examples of documentation, examples of specifications,
Section 9, Hand-Off Phase acceptance procedure details, and other requirements that
9.1 Introduction may or may not be required to achieve compliance with the
9.2 Develop OCx Plan technical guideline but will assist in implementing the Cx
9.3 Assemble Systems Manual Process for the specific technical system or assembly.
9.4 Train Facility Personnel Annexes should illustrate best practices and provide informa-
9.5 Verify Training Effectiveness tion on how to achieve best practices and economical design.
9.6 Conduct Lessons-Learned Workshop This may include example practices from successful projects.
9.7 Finalize EBCx Report Annex O should list current articles, guides, websites, and
9.8 Provide Project Documents to Owner other information on implementing the Cx Process for the
9.9 Hand-Off Phase Deliverables specific supporting technical requirements guidelines.
9.10 Obtain Owner Acceptance and Decision to Proceed The goal is for all Cx Process guidelines to use the same
annex designation. They should use the same annex letters as
Section 10, Ongoing Commissioning Guideline 0.2. If an annex is not required, it should be specif-
Implementation Program ically noted in each technical guideline. Suggested wording
10.1 Introduction includes the following: “Not used,” “This annex is intention-
10.2 Assemble the OCx Team ally left blank,” or “There is no supplemental information
10.3 Update the OCx Plan required for [supporting technology name].” Annexes for the
10.4 Verify Achievement of CFR technical guidelines provide supplemental information to the
10.5 Investigate Unacceptable Performance or annexes in Guideline 0.2. In addition, each annex should have
Outcome a disclaimer, an overview, description of content, and an
10.6 Implement Recommendations example. One example should relate to the facility described

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10.7 Update Systems Manual in Annex A if this approach is used. To enhance the value of
10.8 Update Facility Personnel Training the annex, one or more additional examples may be provided
10.9 Write/Deliver OCx Report for facilities not related to the building in Annex A. To be in
10.10 OCx Phase Deliverables compliance with Guideline 0.2, the list and numbering of
10.11 Obtain Owner Acceptance annexes must be as shown in Table A-1.

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32 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
TABLE A-1 List and Numbering of Annexes for Compliance with ASHRAE Guideline 0.2

Annex Title of Annex

A Guide for Developing Supplementary Technical Guidelines for the Commissioning Process for Existing-Building
Systems and Assemblies
It is recommended that the title be changed to “Example Building System” and an example building system related to the technical
guideline be described in this annex and used for all other annexes to illustrate the supporting technology requirements and
products, including reports, when the EBCx Process is applied for the specific technology (HVAC&R, enclosures, lighting, etc.)
B Flowcharts for the Commissioning Process for Existing Buildings
Should normally be a blank annex. Note as “Not applicable” or “No supplemental information” unless additional information for
the specific system would enhance the understanding of the Cx Process for the system.
C1 Costs and Benefits of the Commissioning Process for [insert system title] Systems in Existing Buildings and Assemblies
C2 Differences between the Existing-Building Commissioning Process, an Energy Audit, and a Building Tune-Up
Should normally be a blank annex. Note as “Not applicable” or “No supplemental information” unless additional information for
the specific system would enhance the understanding of the Cx Process for the system.
D Documentation Matrix for Commissioning Process for Existing Buildings and Assemblies
Should normally be a blank annex. Note as “Not applicable” or “No supplemental information” unless additional information for
the specific system would enhance the understanding of the Cx Process for the system.
E Request for Qualifications and Team Selection
The example for this annex should relate to the example building system in Annex A. List specific licenses and experience
necessary to commission the system if necessary or required by code or regulations.
F Roles and Responsibilities for [insert system title] System Requirements
List requirements and recommendations that relate to the example system described in Annex A.
G Existing-Building Commissioning Plans for [insert system title] System

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List requirements and recommendations that relate to the example system described in Annex A.
H Existing-Building Commissioning Process Program Plan for [insert system title] System in Multiple Facilities
List requirements and recommendations that relate to the example system described in Annex A.
I Current Facility Requirements Workshop for [insert system title] System
List requirements and recommendations that relate to the example system described in Annex A.
J Current Facility Requirements Relating to [insert system title] System
List requirements and recommendations that relate to the example system described in Annex A.
K Existing-Building Documentation and Records Relating to [insert system title] System
Relate to the example system described in Annex A.
L Existing-Building Commissioning Process Report Relating to [insert system title] System
Provide documentation and records that relate to the example system described in Annex A. (This is an overview of the report.
The sub-annexes contain each element of the report.)
L1 Assessment Report Relating to [insert system title] System
Relate an example of all reports to the example facility described in Annex A.
L2 Investigation Report Relating to [insert system title] System
Relate an example of all reports to the example facility described in Annex A.
L3 Implementation Report Relating to [insert system title] System
Relate an example of all reports to the example facility described in Annex A.
L4 Measurement and Verification Report Relating to [insert system title] System
May be omitted for nonoperating systems if not required.
L5 Training Related to [insert system title] System
List requirements and recommendations that relate to the example system described in Annex A.
L6 Lessons-Learned Workshop Relating to [insert system title] System
No further reproduction or distribution is permitted.

Relate an example of all reports to the example facility described in Annex A.

M Systems Manual Documentation Relating to [insert system title] System
List requirements and recommendations that relate to the example system described in Annex A.
M1 Facility Guide Documentation Relating to [insert system title] System
List requirements and recommendations that relate to the example system described in Annex A.
N Ongoing Commissioning Report Documentation Relating to [insert system title] System
List requirements and recommendations that relate to the example system described in Annex A.
O Existing-Building Commissioning Process Resources Relating to [insert system title] System
P through Z [Additional annexes as necessary for the specific system covered by the technical guideline.]

ASHRAE Guideline 0.2-2015 33

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely informative and does not contain requirements necessary for confor-
mance to the guideline.)

INFORMATIVE ANNEX B
FLOWCHARTS FOR THE COMMISSIONING
PROCESS FOR EXISTING BUILDINGS

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FIGURE B-1 Section 5—Multiple-facility planning flowchart.

FIGURE B-2 Section 6—Assessment Phase flowchart. No further reproduction or distribution is permitted.

34 ASHRAE Guideline 0.2-2015

Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com). This copy downloaded on 2016-10-13 11:35:41 -0500 by authorized user University of Toronto User. No further reproduction or distribution is permitted.

35
FIGURE B-4 Section 8—Implementation Phase flowchart.
FIGURE B-3 Section 7—Investigation Phase flowchart.

ASHRAE Guideline 0.2-2015

Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com). This copy downloaded on 2016-10-13 11:35:41 -0500 by authorized user University of Toronto User. No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015

FIGURE B-6 Section 10—OCx Phase flowchart.
FIGURE B-5 Section 9—Hand-Off Phase flowchart.

36
 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- procedures to quickly highlight performance problems and
mative and does not contain requirements necessary for guide operators in returning the systems to their correct oper-
conformance to the guideline.) ation.
An important aspect of Cx is the training provided to the
INFORMATIVE ANNEX C1 operators and system users. The creation of a training module
COST AND BENEFITS OF THE COMMISSIONING for each important system and assembly provides a learning
PROCESS FOR SYSTEMS IN legacy that remains long after the initial students have left.
EXISTING BUILDINGS AND ASSEMBLIES For complex assemblies, it can show the interdependence of
This annex provides an example of how to implement part of systems so that informed decisions are made for operation,
Guideline 0.2. It is not intended to be a comprehensive repre- maintenance, and modification. It also captures aspects of the
sentation or a best-practice example. Practitioners applying design intent so that future users will understand why certain
the Existing-Building Commissioning (EBCx) Process decisions were made and the limitations that were accepted at
should follow Guideline 0.2 and applicable commissioning the time.
(Cx) technical guidelines tailored to their specific projects.
One of the biggest obstacles to commissioning existing COSTS OF COMMISSIONING
buildings and assemblies is the lack of understanding of the Commissioning of existing buildings costs on average $0.30/
benefits of Cx. This annex will begin to quantify some of the ft2 ($3.23/m2) and has a simple payback of 1.1 years based
costs and benefits associated with the Cx Process for existing on a study of 643 buildings covering 100 million ft2 (9.3 mil-
buildings and assemblies in an effort to answer the question lion m2) by 37 commissioning providers1. In this meta-anal-
“Why should I commission this building?” ysis of Cx costs, energy-intensive industries such as health
The impetus for considering a Cx project is often predi- care and research had faster paybacks than schools and office
cated by a required change in performance, operating cost, or buildings. This study primarily focused on energy-related Cx
system function and is often associated with a special funding projects. The study suggests that there are economies of
opportunity.

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scale for costs related to commissioning. Buildings fewer
than 50,000 ft2 (4625 m2) had costs as great as $3.00/ft2
BENEFITS OF COMMISSIONING ($32.29/m2), while buildings in excess of 1 million ft2
Commissioning provides an ability to verify the existing (93,000 m2) had costs below $0.25/ft2 ($2.69/m2).
operation parameters and compare them to “as required” con- When Cx is performed for nonenergy reasons, the eco-
ditions.This is important if a facility changes Owners or occu- nomics will be related to the change in use, productivity
pants and there is a need to confirm that it can accommodate gains, improved comfort, or risk avoidance parameters devel-
its intended use. oped by the Owner and manager.
Once the systems and assemblies are documented as part Costs of Cx will depend on the team selected and the
of the Cx Process, they can be optimized for the current or amount of in-house capability that an Owner has at their dis-
revised uses. posal. Commissioning Teams can comprise in-house groups,
Commissioning of safety systems is very common and is outside contractors, or a combination of the two. It is impor-
often a regulated mandatory requirement for elevators, fire tant that everyone’s involvement be accounted for to ensure
alarms, and similar equipment or systems. When Cx princi- that adequate resources are made available at the start of a Cx
ples are applied to unregulated systems and assemblies, a project.
similar safety benefit can be realize by ensuring that all sys- The cost of commissioning existing buildings is also
tems are fully operational. spread over the various phases of work. The Planning and
Many buildings contain back-up systems that are Investigation Phases generally make up about 69% of the
intended to operate in the event of a principal system failure. total cost, and implementation accounts for 27%. The balance
Those systems are intended to mitigate the risk related to the of the initial costs (4%) covers the verification, tracking, and
failure of a related system or a similar rare event. If the sys- reporting required2. Costs related to the Ongoing Commis-
tem is not regularly inspected or commissioned, there is no sioning Phase depend on the level of M&V established to
assurance that the equipment will operate as intended when monitor performance. Often those costs become an integral
needed. This can then create a cascade failure of other sys- part of normal operations and maintenance (O&M) costs.
No further reproduction or distribution is permitted.

tems. For example, a back-up heating pump motor that does

not operate could cause a building to freeze, pipes to burst, 1. Mills, E. 2009. Building Commissioning: A Golden Opportunity
water to flood, computers to fail, and business to grind to a for Reducing Energy Costs and Greenhouse Gas Emissions.
halt. Report prepared for the California Energy Commission, Public
A slightly different aspect of risk management is related Interest Energy Research Program, through the U.S. Department
of Energy under Contract No. DE-AC02-05CH11231. Lawrence
to the financial performance of systems. This is particularly
Berkeley National Laboratory, Berkeley, CA.
true where payment for improvements is tied to operational 2. Mills, E, H. Freidman, T. Powell, N. Bourassa, D. Claridge, T.
savings. If the improvements do not persist and are not oper- Haasl, and M.A. Piette. 2004. The Cost-Effectiveness of Com-
ating as predicted then the savings are not realized. Commis- mercial-Buildings Commissioning. LBNL Report 56637, Law-
sioning can establish measurement and verification (M&V) rence Berkley National Laboratory, Berkeley, CA.

ASHRAE Guideline 0.2-2015 37

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
DEFINING THE NEED FOR COMMISSIONING change in performance. During the Cx Process, elements
Energy performance contracting, a mature industry concen- under investigation will be measured and compared (bench-
trating on energy conservation, has used commissioning of marked) against the initial design intent or performance spec-
buildings and systems as an important part of their business ification to determine actual operating performance. In some
model. Investments are made based on the ability of the cases, this will identify the need for replacement of those ele-
Owner to avoid future utility costs and the ability of the inves- ments to bring the system back to full operational capability.
tors to prove them. Increasingly, reports are seen of deferred maintenance in
A change in ownership, principle tenant, or primary public infrastructure due to years of neglect or underfunding.
function can trigger a need for facilities to be commissioned. The Cx Process can be used to develop a prioritized list of
In this case, one must show that the systems and assemblies activities that will move a facility toward improved perfor-
are operating as required to accommodate the change in use mance and operation. This becomes important when one is
or occupancy or that improved capacity/capability must be considering replacement of an asset. If the life of that asset
added. can be extended and the cost of replacement avoided for a
In some cases, Cx is used to deal with problems related period of time, there may be strong economic or operational
to indoor air quality (IAQ). These projects are often related to justification for doing so.
perceptions of stuffiness, odors, and a lack of air movement in
buildings. Commissioning can identify operational, mainte- PERSISTENCE OF FACILITY MODIFICATIONS
nance, and equipment issues that contribute to the problem. It As part of an Ongoing Commissioning (OCx) Plan that
can also involve identification of other environmental issues includes M&V of important parameters, when routine mea-
related to interior and exterior sources of airborne contami- surements indicate that performance is drifting away from the
nants. established benchmarks, corrective activities can be sched-
Equipment, systems, or components often exist or oper- uled. This ensures that the desirable benefits are proactively
ate in facilities for long periods of time with little perceived maintained into the future.

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No further reproduction or distribution is permitted.

38 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- Compared to an energy audit only, the EBCx Process
mative and does not contain requirements necessary for reveals additional information before the audit portion of the
conformance to the guideline.) job begins. This happens through the process of developing
the Current Facility Requirements (CFR), which defines the
INFORMATIVE ANNEX C2 present-day requirements of the building. The CFR helps
DIFFERENCES BETWEEN THE EXISTING-BUILDING guide the Investigation Phase, which is the EBCx phase most
COMMISSIONING PROCESS, AN ENERGY AUDIT, like an energy audit, but the CFR also develops into a long-
AND A BUILDING TUNE-UP term strategic plan for the facility.
This annex provides an example of how to implement part of The first sign that the client is requesting an energy audit
Guideline 0.2. It is not intended to be a comprehensive repre- rather EBCx is that the deliverables do not include the CFR.
sentation or a best-practice example. Practitioners applying This indicates to the service provider that the client seeks
the Existing-Building Commissioning (EBCx) Process short-term cost savings rather than long-term strategic
should follow Guideline 0.2 and applicable commissioning improvements.
(Cx) technical guidelines tailored to their specific projects. The energy audit is enhanced considerably by the addi-
The EBCx Process can be broadly considered a combina- tion of the building tune-up, which includes the combination
tion of new-building Cx, an energy audit, and a building tune- of a building condition assessment and the repair of deferred
up. However, in many cases, EBCx is confused with one of the maintenance items. However, the EBCx Process augments
three, predominantly an energy audit. Clients may request these two items by considering the building’s overall func-
EBCx but describe it as a list of services that amount to an tional requirements, non-energy-related improvements to
energy audit. This undervalues the EBCx Process and may occupant comfort, lease preservation, increased productivity,
undermine its potential for future, continuously improved per- and energy measures.
formance.
ASHRAE describes three levels of energy audit1: The largest pieces missing from the combined tune-ups
and audits is O&M training, documentation, and monitoring.
a. Level 1—Walk-through survey Only when the O&M staff has the proper training and docu-

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b. Level 2—Energy survey and analysis mentation to diagnose and fix breakdowns quickly will the
c. Level 3—Detailed analysis of capital-intensive modifica- building be kept in good working order. One-line schematic
tions diagrams of HVAC air and water; diagrams that show loca-
Energy audits are appealing to Owners and operators tions of VAV boxes, reheat coils, and other small devices; and
because they appear to lead directly to savings. Properly con- inconspicuous local markings (for example, on ceiling tiles)
ducted, EBCx also creates fast savings through real-time cor- make O&M much easier.
rection of low-cost/no-cost malfunctions, though the benefits The EBCx Process also adds trend logging, real-time
of EBCx extend well beyond short-term savings. Unfortu- energy analysis, and/or automated fault detection and diagno-
nately, because building Owners and operators have become sis (FDD) for fast correction of failures. The transition to an
so accustomed to the idea of the energy audit since its intro- Ongoing Commissioning (OCx) Process provided by EBCx
duction thirty years ago, the EBCx Process is being forced allows the building equipment to monitor itself and provides
into that mold. savings into the future in addition to the fast payback of the
energy audit and the quick fixes of the building tune-up. Table
1. ASHRAE. 2011. Procedures for Commercial Building Energy C2-1 shows a summary of the differences between EBCx, an
Audits. Atlanta: ASHRAE. energy audit, and a building tune-up.

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ASHRAE Guideline 0.2-2015 39

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
TABLE C2-1 Differences between EBCx, New-Building Cx, an Energy Audit, and an Energy Tune-Up

ASHRAE Energy Audit

EBCx New-Building Cx (Level II) Building Tune-Up
Define Owner’s EBCx goals and Convene kick-off meeting to Convene kick-off meeting to form Convene kick-off meeting to form
objectives. form team and develop the OPR. team. Develop a procedural plan. team. Develop a procedural plan.
Develop the Cx Plan.
Select the Initial EBCx Team. Engineer develops the Basis of — —
Design according to the
requirements of the OPR.
Collect and analyze historical — Collect and analyze historical —
energy use. energy use.
Study the building and its — Study the building and its Study the building and its
operational characteristics with operational characteristics with operational characteristics with
regard to energy use, occupant regard to energy use. regard to equipment condition
health and productivity, and and reliability.
equipment and structural
reliability and longevity.
Develop CFR — — —
— — — Visually inspect equipment and
note problems.
Review building documentation Perform a Cx or peer review of — —
such as building plans, the design plans and

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specifications, O&M manuals, specifications.
and maintenance records.
Perform diagnostic monitoring — — —
and establish trend logs to
document building performance
for several weeks.
Visually inspect systems for Visually inspect systems for — —
correct installation and operation. correct installation and operation.
Perform simple repairs required — — Perform simple repairs required
to keep equipment operating, to keep equipment operating.
reduce energy use, and allow
more accurate data gathering
such as trend logging.
Perform functional tests. Perform functional tests. — —
Identify potential modifications — Identify potential modifications —
that will reduce energy use and/ that will reduce energy use and/or
or cost (includes a description of cost (includes a description of the
the measure, estimated energy measure, estimated energy
savings, cost estimate, and savings, cost estimate, and simple
simple payback). payback).
Perform an engineering and — Perform an engineering and —
economic analysis of potential economic analysis of potential
modifications. modifications.
Prepare a rank-ordered list of — Prepare a rank-ordered list of Implement improved
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appropriate modifications. appropriate modifications. maintenance.

Implement recommended — — —
modifications.
— — — Revise O&M procedures to
improve efficiency and equipment
longevity.
Prepare the draft EBCx Report, — Prepare a report to document the Prepare a report to document the
which includes the analysis process and results. analysis process and results.
Implementation Report.

40 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
TABLE C2-1 Differences between EBCx, New-Building Cx, an Energy Audit, and an Energy Tune-Up (Continued)

ASHRAE Energy Audit

EBCx New-Building Cx (Level II) Building Tune-Up
Revise O&M procedures to Confirm O&M manuals complete — —
improve efficiency and by contractors.
equipment longevity.
Update facility personnel training Confirm training of O&M staff. — —
programs for current and revised
systems. Implement retraining of
O&M staff as required.
Update systems manual with Confirm as-built one-line — —
revised sequences. Redraft as- drawings and other design
built one-line drawings. Replace documents by engineer.
signage, equipment labels, and
similar aids to O&M.
Transition to Ongoing Transition to continuous Cx and — —
Commissioning (OCx) with the ensure persistence of benefits by
OCx Plan. Ensure persistence of implementing monitoring,
benefits with measurement and verification, and ongoing trend
verification (M&V) strategies logging.
such as trend logging and
monitoring.
Prepare the final EBCx Report, Prepare a report to document the — —

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including the Lessons Learned analysis process and results.
Report.

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ASHRAE Guideline 0.2-2015 41

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- sentation or a best-practice example. Practitioners applying
mative and does not contain requirements necessary for the Existing-Building Commissioning (EBCx) Process
conformance to the guideline.) should follow Guideline 0.2 and applicable commissioning
(Cx) technical guidelines tailored to their specific projects.
INFORMATIVE ANNEX D Figure E-1 provides a graphical representation of the
DOCUMENTATION MATRIX FOR documentation to be provided as formal deliverables at each
COMMISSIONING PROCESS FOR phase of the EBCx Process.
EXISTING BUILDINGS AND ASSEMBLIES The figure can be used to understand which documents
This annex provides an example of how to implement part of are generated in which phase of the process and at what inter-
Guideline 0.2. It is not intended to be a comprehensive repre- vals they are updated.

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FIGURE D-1 EBCx documentation matrix.

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42 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- identify the integrity of the seals, or a project to
mative and does not contain requirements necessary for develop an approach on how best to tune up roof-top
conformance to the guideline.) cooling units. It is often possible that in-house person-
nel or an existing maintenance contractor are able to
INFORMATIVE ANNEX E complete this type of project
REQUEST FOR QUALIFICATIONS AND 2. One whole system: This may describe a lighting con-
TEAM SELECTION trol system on one floor of a building or a tune-up of
This annex provides an example of how to implement part of an air-handling variable-air-volume (VAV) system. In
Guideline 0.2. It is not intended to be a comprehensive repre- such cases, the experience or education of the building
sentation or a best-practice example. Practitioners applying operators should be assessed in order to determine
the Existing-Building Commissioning (EBCx) Process what the team approach may be. If on-site personnel
should follow Guideline 0.2 and applicable commissioning have this expertise, an approach using a proven struc-
(Cx) technical guidelines tailored to their specific projects. ture to assist in the EBCx Process by taking advantage
To choose from several Commissioning Authority (CxA) of on-site resources may suffice. If the system is of a
candidates, it is important to provide a Request for Qualifica- more complex nature, such as a large chiller/pump
tion (RFQ) in order to obtain enough information to fully plant or vertical transportation systems such as eleva-
assess the qualifications of the provider. Deciding the compo- tors, an outside consultant or expert often needs to be
sition of your Cx Team is an important part of this process. In hired and assistance provided from in-house staff.
addition, the request should have enough detail about the 3. Whole-building or campus projects: The EBCx Pro-
project to ensure that all proposals received are equivalent. cess in this case may involve a comprehensive
This annex provides an overview of how to put together an approach to identifying all opportunities to improve
RFQ and select the Cx Team. It also includes three different indoor air quality, lighting effectiveness, energy and
example RFQs covering various approaches. water conservation, etc. It could also involve identify-
ing these opportunities in a multiple-building portfo-

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GENERAL APPROACH lio in order to help prioritize buildings with which to
This section discusses a typical approach for preparing an begin the Investigation and Implementation Phases of
RFQ for EBCx. complete EBCx projects. In these cases, which are
obviously the most resource and time intensive, out-
a. The following items are typically in the RFQ: sourcing the process to a third party may be the best
1. Qualifications for the CxA and all of their subcontrac- approach.
tors
2. Requests for work samples from the CxA on previous TEAM COMPOSITION SELECTION
EBCx projects, with a particular emphasis on projects The following discussion gives Owners guidance as to which
having a similar scope approach provides the appropriate level of resources to com-
3. Selection criteria for the project plete different types and scopes of projects. Regardless of the
4. Goals for improving building performance or operation type of project or the makeup of the EBCx Team, there is
5. Building systems that are to be commissioned great benefit and value to involving building operations staff,
6. Level and breadth of assessment and investigation, and they should always be a significant contributor to the
including measurement and verification (M&V) EBCx Team. Refer to Annex F for more information for the
requirements roles and responsibilities for all members of the EBCx Pro-
7. Description of systems with known issues, problems, cess. This information will provide further insight into the
or opportunities issues to be discussed as part of putting together the team.
Various approaches can be used to establish an EBCx
8. What building information and documentation exists
Team. The make-up will depend on the available resources
and how it will be made available to the CxA
and expertise of the building Owner’s staff. For example, the
9. Expectations/deliverables for each phase of the proj- efforts and resources differ greatly depending on the scope.
ect/process Below are some scope examples and possible team composi-
10. Anticipated timeline for each phase tions:
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11. Type of support and resources the project will receive

from the Owner a. A simple, single-system project may be adequately
addressed by a team composed entirely of in-house staff,
12. Estimated budget
in which case an RFQ is not required.
b. Varieties of Scope. EBCx projects for various sizes and
b. A complicated, whole-building project may use a team
system types are not necessarily the same and require dif-
composed entirely of consultants.
ferent teams for different projects. Below are some exam-
c. A larger, single, whole-system project may use a combi-
ples of the range of project scope and systems addressed
nation of consultants and in-house staff.
by Cx.
1. Simple system: This may describe a project where the When in-house staff are considered for part of the work,
condition of exterior windows are to be reviewed to careful assessment should be made of whether they have the

ASHRAE Guideline 0.2-2015 43

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
required knowledge of the EBCx Process and whether they c. Consultant Team. RFQs are usually developed and solic-
can complete the project in a timely manner. Frequently, in- itations required for this approach. The number of team
house staff may have some troubleshooting skill but lack ade- members in the areas of experience required should be
quate knowledge or expertise of the Cx Processes. Addition- carefully assembled in order to deliver quality EBCx. The
ally, enlisting an outside expert with a fresh perspective may size and expertise of the EBCx Team will depend on the
be of benefit even when the in-house or regular maintenance size of the building being commissioned and the occu-
contractor is knowledgeable. Often, in-house staff lack pancy type and complexity of the systems being assessed.
enough time to see the process through to completion. Much of the detail about and effort required of these
teams is listed in Annex F. Whatever the specifics of the
a. In-House Teams. This approach uses existing resources to
consultant team approach, an experienced CxA will
conduct EBCx where it is found that the project needs can
always rely on operations staff to assist with the project in
be met by current operations and maintenance (O&M) per-
one or more phases of the process.
sonnel and in-house tools. Another version of this approach
involves first assessing in-house resources and expertise RFQ REVIEW, INTERVIEWS, AND SELECTION
and then identifying those types and sizes of EBCx projects
that are in alignment with existing resources. The depth of the RFQ review and interview process depends
b. Combination In-House/Consultant Teams. This hybrid on the size or scope of the EBCx project and the Owner’s
approach is used when there is a lack of in-house Cx experience with EBCx. If the building Owner and operators
expertise, a lack of time available to in-house staff, or to are new to the EBCx Process, they should interview a mini-
gain a fresh perspective in assessing systems maintained mum of three such service providers if at least this many sub-
by in-house staff. It is important to carefully define the missions are received.
role of each member of this type of team. The following elements should be included to make the
final selection:
1. Assessment and Investigation. The Owner’s staff has
the experience and knowledge to conduct or manage a a. Perform a detailed review of the example projects.
building assessment and investigation but may hire a b. Contact the building Owners from example projects.

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consultant to perform the analysis needed for a solid c. Review samples of work to see if what will be provided is
business case to secure funding. This scenario gives the equivalent or desired level and scope of process, con-
the Owner and operators confidence in pursuing par- tent, and documentation.
ticular opportunities based on reliable numbers. d. Include the participation of building operators and other
2. Implementation. The Owner’s staff often has the capa- appropriate company personnel in at least the submittal
bility and resources to implement some of the recom- reviews.
mendations; however, the Owner may require special e. Meet in person with consultants and the personnel who
trades and consultants for some of the implementation will be on-site doing the work.
or may not have time to implement any recommenda-
tions. EXAMPLES
3. Ongoing Commissioning (OCx). This combination Examples of RFQs from actual projects can be found at
approach may need to include all of the team mem- www.ashrae.org/G02-2015. These examples were created
bers, resources, and tools necessary to properly plan prior to the development of Guideline 0.2 and may not align
and discuss the persistence and OCx Process phases exactly with the previously outlined sections. However, they
in a multidisciplinary project. should help illustrate the overall structure and intent of an RFQ.

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44 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- e. Execute the EBCx Process through the writing and review
mative and does not contain requirements necessary for of reports and organization of all EBCx Team meetings,
conformance to the guideline.) tests, demonstrations, and training events. Organizational
responsibilities include preparation of agendas, atten-
INFORMATIVE ANNEX F dance lists, arrangements for facilities, and timely notifi-
ROLES AND RESPONSIBILITIES cation to participants for each EBCx Process activity. The
This annex provides an example of how to implement part of CxA shall act as chair at all Cx events and ensure execu-
Guideline 0.2. It is not intended to be a comprehensive repre- tion of all agenda items.
sentation or a best-practice example. Practitioners applying f. The CxA shall prepare minutes of every EBCx Team
the Existing-Building Commissioning (EBCx) Process meeting and activity and send copies to all EBCx Team
should follow Guideline 0.2 and applicable Cx technical members, attendees, and other interested persons on a
guidelines tailored to their specific projects. schedule to support the progress of the project.
Understanding and defining the role of each participant g. Schedule and conduct the EBCx planning meeting. The
is vital to the success of EBCx. This annex provides an meeting should begin with an overview description of the
example of the responsibilities of each participant in a com- EBCx Process and the impacts this could have on the
prehensive EBCx Process. If the project includes contractors operation of the facility.
and design professionals, these responsibilities shall be docu- h. Schedule and conduct EBCx meetings during the Multi-
mented in the contracts between the Owner and the contrac- ple-Facility Planning, Assessment, Investigation, Imple-
tors and the Owner and the design professionals. mentation, Hand-Off, and OCx Phases.
The responsibilities of the Owner, Commissioning Author- i. Develop the format of the issues and resolution log, which
ity (CxA), operations and maintenance (O&M) personnel, con- will be used during each phase of the EBCx Process.
tractors or implementation team, design professionals, and j. Coordinate and lead the site investigation and testing.
manufacturers/suppliers are detailed below. Analyze issues, conditions, and performance information
and formulate corrective action recommendations.

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OWNER k. Coordinate system and assembly testing. Verify the results
a. Include a statement regarding EBCx responsibilities and and include a summary of deficiencies.
scope in the request for services. l. Supervise the EBCx Team members in completion of
b. Assist the EBCx Team in defining the goals and objectives tests. The test data will be part of the EBCx Report.
of the EBCx Plan. m. Verify implementation of the selected recommendations.
n. Assemble or receive and review the systems manual as
c. Develop and commit to the Current Facility Requirements
submitted or revised. Verify that it achieves the CFR.
(CFR) for the facility and its use.
Insert systems descriptions as provided by the project pro-
d. Review and approve any changes made to the CFR.
fessionals in the systems manual.
e. Assign O&M personnel and schedule them to participate in
o. Periodically review record drawings for accuracy with
the various meetings and observations/inspections. Review
respect to the installed systems. Request revisions to
and approve the Multiple-Facility Planning, Assessment,
achieve accuracy.
Investigation, Implementation, Hand-Off, and Ongoing
p. Verify that the systems manual and all other design and
Commissioning (OCx) Phase reports, plans, and other doc-
construction records have been updated to include all
umentation.
modifications made during the various project phases.
f. Review the identified recommendations and select recom-
q. Repeat implementing of tests to accommodate seasonal
mendations for implementation.
tests or to correct any performance deficiencies.
g. Implement the selected recommendations.
r. Coordinate and lead the training session. This session will
h. Assign O&M personnel for training sessions.
be attended by the Owner's O&M personnel, the project
i. Review and comment on the CxA’s EBCx Reports.
professionals, the contractors, and the CxA as required.
j. Review and comment on the CxA’s testing reports.
s. Review proposed contractor/installer-provided training pro-
k. Review and accept the EBCx Report. gram to verify that the CFR is achieved.
t. Prepare the final EBCx Report.
COMMISSIONING AUTHORITY
No further reproduction or distribution is permitted.

u. Assemble the final documentation, which includes the

a. Organize and lead the EBCx Team. EBCx Report, the systems manual, and all record docu-
b. Facilitate the CFR process and develop CFR documenta- ments, and verify that this documentation is submitted to
tion. the Owner for review and acceptance.
c. Verify that the EBCx activities are clearly stated in all v. Recommend acceptance of the individual systems and
scopes of work. assemblies to the Owner (per the defined project require-
d. Prepare an EBCx Plan that describes the extent of the ments).
EBCx Process to accomplish the CFR. Update the EBCx w. Participate in the lessons-learned workshop and report
Plan during each phase of the project to incorporate generation.
changes and additional information. x. Develop an Ongoing Commissioning (OCx) Plan.

ASHRAE Guideline 0.2-2015 45

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
OPERATIONS AND MAINTENANCE PERSONNEL DESIGN AND OTHER PROJECT PROFESSIONALS

a. Participate in all phases of the EBCx Process, including a. Prepare instructions and/or contract documents where
regular EBCx Team meetings. required, including the integration of the EBCx Process
b. Participate in the system testing process and meetings. requirements and activities provided by the CxA.
c. Review and comment on procedures for testing systems. b. Respond to EBCx Team design submission review com-
d. Participate in testing of equipment and assemblies. ments and other issues in a timely manner.
e. Assist in the identification and selection of recommenda- c. Specify and verify that the O&M of the systems and assem-
tions for implementation. blies has been adequately detailed in the contract docu-
f. Review, accept, and keep systems manual updated. ments.
g. Attend Owner training sessions. d. Review and incorporate as appropriate the CxA’s comments
h. Participate in the OCx Process. from submittal reviews.
e. Participate in the O&M personnel and occupant training ses-
CONTRACTORS OR IMPLEMENTATION TEAM
sion. Participate in other training as detailed in the train-
a. Include costs for EBCx Process activities in the contract ing program.
price or budgets. f. Review and accept record documents and systems manual
b. Include EBCx Process requirements and activities in each as required by project documents.
purchase order or subcontract written. g. Review and comment on the final EBCx Report.
c. Obtain cooperation and participation of all subcontrac- h. Recommend final acceptance of the systems to the
tors and manufacturers. Owner.
d. Attend the pre-implementation and EBCx Team meet-
ings. MANUFACTURERS/SUPPLIERS
e. Include EBCx Process milestones in the project schedule.
f. Implement the training program as detailed in the project a. Provide all information required for the O&M of the system

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documents. or assembly as part of the initial submittal.
g. Provide submittals to the Owner, project professionals, b. Provide the requirements to maintain the warranty as part
and the CxA. of the initial submittal.
h. Notify the CxA when systems and assemblies are ready c. Coordinate and accomplish factory tests as detailed in the
for testing. contract and project documents.
i. Demonstrate the performance of assemblies and/or operation d. Provide training as detailed in the training program contained
of systems to the Owner and CxA. in the project documents.
j. Continuously maintain the record drawings and systems e. Demonstrate operation and performance of the system or
manual and submit as detailed in the contract documents. assembly as detailed in the project documents.

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46 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- b. Measurement and Verification (M&V) Plan. Initial
mative and does not contain requirements necessary for approach and documentation of baseline conditions are
conformance to the guideline.) covered in the initial EBCx Plan, and the plan is updated
after the Investigation Phase for the detailed M&V of the
INFORMATIVE ANNEX G recommendations that are implemented. See Section 6.5.
EXISTING-BUILDING COMMISSIONING PLANS c. Training Plan. Included in the initial EBCx Plan. See
This annex provides an example of how to implement part of Section 6.5.
Guideline 0.2. It is not intended to be a comprehensive repre- d. Investigation Plan. Added to the EBCx Plan during the
sentation or a best-practice example. Practitioners applying Investigation Phase. See Section 7.5.
the Existing-Building Commissioning (EBCx) Process
e. Implementation Plan. Added to the EBCx Plan during
should follow Guideline 0.2 and applicable commissioning
the Implementation Phase. See Section 8.6.
(Cx) technical guidelines tailored to their specific projects.
The EBCx Plan is a guiding document that is developed f. OCx Plan. Created in the Hand-Off Phase. See Section
initially during the Assessment Phase and updated continually 9.2.
as the project progresses through the phases of Assessment,
Investigation, Implementation, and Hand-Off. During the EXAMPLES
Ongoing Commissioning Phase, the Ongoing Commissioning
Examples of the above plans from actual projects can be
(OCx) Plan becomes the guiding document.
found at www.ashrae.org/G02-2015. These examples were
This annex includes examples of the six primary EBCx
created prior to the development of Guideline 0.2 and may
planning documents:
not align exactly with the previously outlined sections. How-
a. Initial EBCx Plan. Created in the Assessment Phase. See ever, they should help illustrate the overall structure and
Section 6.5. intent of the above plans.

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No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 47

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- Many of these EBCx Process projects will also identify cost-
mative and does not contain requirements necessary for effective capital projects.
conformance to the guideline.) Following is a general outline for the program plan, fol-
lowed by a sample plan developed by a city. The names have
INFORMATIVE ANNEX H been changed, and the plan has been shortened for illustrative
EXISTING-BUILDING COMMISSIONING PROCESS purposes in this annex. There is no relationship between the
PROGRAM PLAN FOR MULTIPLE FACILITIES sample program plan outline and the example.
This annex provides an example of how to implement part of SAMPLE OUTLINE FOR THE PROGRAM PLAN FOR
Guideline 0.2. It is not intended to be a comprehensive repre- PHASE OR MULTIPLE-FACILITY PLANNING
sentation or a best-practice example. Practitioners applying
the Existing-Building Commissioning (EBCx) Process The following is a sample outline for the EBCx Program Plan
should follow Guideline 0.2 and applicable commissioning that would be developed for applications involving multi-
(Cx) technical guidelines tailored to their specific projects. phase EBCx Process for a single building or multiple facili-
ties and supporting infrastructure. Note, as with the EBCx
The purpose of this annex is to provide a general outline
Process for an individual building, the program plan will con-
for the documentation to define the needs and goals for EBCx
tinuously be updated and revised to meet new or found issues
projects that will be completed in stages, including the fol-
with the organization’s buildings.
lowing:
Introduction
a. A large building that cannot be completed at one time due
to resources (people or funding) or to prevent disruption The mission of the program should be stated in a very brief
of operations or occupancy. Examples include large office mission statement in the introduction. Mission statement
buildings, large laboratories, hospitals, and large federal examples include the following:
facilities. a. To reduce energy costs by 35% in three years
b. Multiple buildings at one location (e.g., campuses, b. To increase the occupant satisfaction on surveys by 12%

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research centers). c. To increase sales of frozen foods by 17%
c. Organizations with one or more buildings at many loca- d. To increase tests scores by 7% and reduce absentees by
tions (e.g., school districts, state governments, hotels, res- 50%
taurants, retail, REITs, military, and GSA). Many of these e. To enhance utilization of all assets by 10% (reduce either
will have local and organization strategic plans or pro- underused space or equipment or incorrect location func-
grams for enhancing all existing facilities. tions)

An organization should have an understanding of the The introduction should give a general overview of the
needs and benefits of the EBCx Process before simply imple- EBCx Program and describe goals, expectations, and support
menting one building at a time without any known expecta- to justify the program. It should also identify roles and
tions or an overall planned approach. They should not merely responsibilities for each EBCx Process team member for
trust the in-house professionals or third–party professionals to each facility.
adequately manage a multibuilding EBCx Program without a Program Goals and Objectives
strategic approach or plan.
This section should clearly state the overall and specific
The purpose and scope of the EBCx Program should
expectations, objectives, and goals for the program. These
match the organization’s expectations and strategic plans.
should be clearly stated and include the means by which suc-
There will continue to be organizations that will only focus on
cess will be measured. There will usually be specific goals and
reducing energy use in their existing buildings. This is worth-
objectives for each individual facility. This is an expansion of
while, but the EBCx Process has proven to achieve much
requirements to support the mission. For example, if the mis-
larger needs of organizations and the underlying enhancement
sion was to increase occupant satisfaction by 12%, then goals
of an organization’s assets.
may include identifying facility operations and design features
With a well-conceived strategic plan, the organization that impact occupant satisfaction; objectives may include
can achieve an asset management program that will lead to retaining employees and increasing productivity; and expecta-
enhancing all of their facilities. The utility of the EBCx Pro- tions may include improving profits and employee satisfaction
No further reproduction or distribution is permitted.

cess is more than providing energy savings. The results from transfers to improved customer satisfaction.
operations and maintenance (O&M) costs and benefits are
usually equal to or greater than the energy cost reductions. Building Identification and Ranking
Benefits related to enhancing the performance of the Building identification and ranking will be used to secure
building to meet the functional use, including productivity funding and to determine the order in which facilities will be
(sales, profits, education enhancement, occupant satisfaction, scheduled for the EBCx Process within an organization’s pro-
customer satisfaction, enhanced use of space and facilities, gram. It is assumed that neither all buildings nor a large build-
etc.) can be many times greater than the energy reduction ing will be economically scheduled for the EBCx Process at
when a sound plan is developed to address functional needs of one time. Priority may be assigned in order of building use,
the organization related to each of their facilities or buildings. cost to operate, functional contribution to the organization,

48 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
age of the building, or other criteria that matches the goals required level of detail for each benefit area as well as any
and objectives. established protocols that should be followed.
a. Ranking Methods. This section should describe the Budget and Investment Criteria
methods and parameters used to rank the facilities under
consideration to be scheduled for implementation of the This section should provide an estimated budget for imple-
EBCx Process. The ranking strategy should identify the menting the program and criteria for approval of modifica-
prioritization criteria by both building category and indi- tions or capital projects identified during execution of the
vidual buildings. program.
b. Building Categories. This section should separate the a. EBCx Program Budget. This section should discuss the
buildings by category in the order in which the ranking methods of funding, including any alternative financing
system has placed them. Examples include the following: and the criteria under which they can be obtained. It
1. Laboratories, classrooms, offices, athletic fields, ware- should also define the expected budget for various
houses, and storage faculties for university campuses resources required and the expected benefits from the
2. Resorts, large hotels, extended-stay hotels, small funding or capital investment.
motels, and warehouses for hotel chains b. Project Investment Criteria. This section should discuss
c. Systems and Assemblies to be Included. This section the potential methods of funding and investment criteria
should identify the scope of the EBCx Process for each for specific projects identified during the program execu-
individual building, including the following: tion. In general, the investment requirements should
1. Systems (electrical, plumbing, controls, HVAC&R, include the financial evaluation criteria to be used for eval-
safety, IAQ, laboratory equipment, exhaust, etc.) uation (return on investment, life-cycle cost, simple pay-
2. Functional or use issues (office, retail, education, hos- back, etc.). It should also define any and all funding
pitality customers, employees, etc.) mechanisms and alternative finance options (utility
3. Assemblies, envelope components (roof, windows, rebates, ESPC, etc.) and the methods required to obtain

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doors, walls, foundation, insulation, daylighting, etc.) them. Some Owners allocate all or a proportion of their
4. Supporting infrastructure (parking lots, power reliabil- staff and technician time for successful implementation of
ity, etc.) the assessment and evaluation phase at each building to be
allocated to training budgets. Proper training has proven to
EBCx Process Resources be a major benefit to the long-term operational and mainte-
This section should discuss the resources that are anticipated nance cost reduction achieved by the EBCx Process.
to be required to implement the EBCx Program for all the
facilities and for each system within the building. The Execution Schedule
resource list should include funding, internal staff, disruption This section should define the overall EBCx Process timeline
cost (hopefully minor compared to the benefits of the pro- schedule for each building or portion of a building. The report
gram), and contract needs to assess, investigate, and imple- and report responsibility for program progress and implemen-
ment the program. The listed resources need to describe the tation should be identified in the strategic plan. There may be
effort and involvement of management and indirectly related a requirement to identify the financial responsibility for fund-
costs, people, and other resources. ing the program. This should include all preparatory training
Evaluation of Success and resource queuing as well as the order and schedule of
building level execution. The schedule should reflect the
The means and methods that will be used to judge success established prioritization for building categories and individ-
and evaluate various aspects of the program should be clearly ual buildings.
stated in this section. For energy, this is generally related to
cost. However, this may require measurement and verification
EXAMPLE
of a specific system or installed equipment. For others, like
lighting, it can be calculated. For daylighting, it may include An example of an EBCx Program Plan from an actual project
energy reduction and an evaluation of the functional use (e.g., can be found at www.ashrae.org/G02-2015. This example
effect on occupant productivity and satisfaction). This section was created prior to the development of Guideline 0.2 and
should describe the means of measurement and verification of may not align exactly with the previously outlined sections.
No further reproduction or distribution is permitted.

the benefits for various anticipated modification or change to However, it should help illustrate the overall structure and
buildings and systems. This description should include the intent of an EBCx Program Plan.

ASHRAE Guideline 0.2-2015 49

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- design and operational changes determined necessary by the
mative and does not contain requirements necessary for EBCx Team participants and others. Background information
conformance to the guideline.) on the existing building may be required for the NGT work-
shop, and many of the questions posed in Annex I of Guide-
INFORMATIVE ANNEX I line 0 may need to be modified for existing buildings.
CURRENT FACILITY REQUIREMENTS WORKSHOP However, in many cases, the material in Guideline 0 still
This annex provides an example of how to implement part of applies.
Guideline 0.2. It is not intended to be a comprehensive repre- The CFR form the basis from which all work, accep-
sentation or a best-practice example. Practitioners applying the tance, and operational decisions are made. Developing a CFR
Existing-Building Commissioning (EBCx) Process should fol- that reflects the actual needs of the Owner, the users or occu-
low Guideline 0.2 and applicable commissioning (Cx) techni- pants, service and operating units, and (where appropriate)
cal guidelines tailored to their specific projects. the community, is the single most important task for achiev-
The purpose of the Current Facility Requirements (CFR) ing the true EBCx Process goals and objectives. Therefore,
is to identify the high-level needs for the facility or building. having a well-organized workshop is critical to a successful
The CFR workshop must occur early in the Assessment EBCx Process.
Phase. This will guide the development of the implementation Many EBCx Process efforts fail because the CFR is
plan or EBCx Plan, which in turn will define the activities to never developed, is developed without soliciting input from or
be achieved during the Assessment and Investigation Phases. encouraging discussion among the stakeholders, or failing to
The objective of the workshop is to efficiently develop understand the iterative nature of establishing goals in an
the needs of the Owner, users, occupants, engineering-opera- existing building. This may include a concern about the dis-
tions-maintenance staff or service contractors, key parties covery of the real needs of users and occupants. Though it
interested in the success of the facility, and others with a stake may not be possible to modify existing buildings to meet all
in the successful operation and occupancy of the facility (for the needs of all occupants, knowing as much as possible
example, parents for schools, health care insurers for a hospi- makes for a more effective EBCx Process. Typically some

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tal, fire chief, stockholders, tax payers, neighboring busi- very simple changes can be made to meet needs defined dur-
nesses). ing the CFR workshop. Other needs that cannot be achieved
The workshop uses the Nominal Group Technique (NGT) with the available funds or reasonable modifications to the
to effectively determine the facility’s needs to meet the func- facility. This results in many EBCx Process projects failing to
tional and productivity requirements, as well as to determine receive funding or never being proposed because the scope of
the related Owner’s needs for improved sustainability, reduced the task may be so broad that establishing a plan is over-
energy costs, and achieving environmental or carbon goals. whelming. A workshop or similar NGT helps the Owner
Other methods are available to determine the CFR for a overcome this negative inertia by developing a list of require-
specific building; however, the CFR workshop is the recom- ments and having participants rank them in order of impor-
mended method. Other methods include the following: tance. The EBCx Team and Owner’s representative will then
use these rankings to select which issues to address.
a. One or two members representing the Owner develop the
Owners should not be discouraged if the workshop
CFR using a predefined organizational CFR developed in
results need to be reviewed multiple times as the investigation
the multiphase or multiple-facility strategic plan for all
and implementation proceed. Throughout the EBCx Process,
buildings.
the CFR may be subject to change. Therefore, it is probable
b. Brainstorming sessions (not as effective as NGT in most
that additional workshop meetings will be needed as CFR
cases).
items are added, deleted, or modified and rankings changed.
c. Charrettes may be used by the Owner’s professional staff,
The CFR workshop will be only one resource for devel-
following the NGT workshop, as a problem-solving exer-
oping the CFR. Other sources include prior evaluations of the
cise for design development of the implementation
facility by inside staff and consultants. Some of these may
requirement defined during the Investigation Phase. Cha-
rettes tend to be leader-result-orientated and take more include mandatory surveys or inspections. Capital projects
time than the NGT workshop. Prior development of the may have been identified or be in progress. The operating
CFR using the NGT will make the charrette much more staff may have active work orders, or a list of needs or work
orders on hold. Service and preventive maintenance logs and
No further reproduction or distribution is permitted.

effective.
reports are good resources. The CFR workshop facilitates
The CFR is the heart of the EBCx Process. The work- bringing all stakeholders together to discuss their mutual
shop guidance for the CFR differs from that in Annex I of needs and develop a ranking of their best combined needs and
Guidelines 0 and 1.1 in that the goal is to establish a format requirements for a successful and functional facility.
for developing users’ and other’s needs with the existing
building’s layout and operations rather than establishing the DEVELOPING THE CFR
Owner’s Project Requirements (OPR), which form the basis There are four steps in developing the CFR:
of the design team’s requirements reflected in the Basis of
Design (BoD) for new buildings. The EBCx Process shifts a. Conduct the CFR workshop.
the emphasis from new buildings to changes to an existing b. Document the CFR (report).

50 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
c. Obtain project team agreement and approval of the CFR h. What are maintenance, operations, and repair require-
report. ments for this building?
d. Incorporate the CFR into the commissioning or imple- i. What are energy opportunities in this building?
mentation plan. j. What capital or rehabilitation needs are there for this
building?
CFR Workshop
k. What do you think should be changed in this building?
The procedures and methods for the CFR workshop are
essentially the same as those for the OPR workshop for new CFR Documentation
buildings. This is well defined in ASHRAE Guideline 0 and The CFR workshop will identify key items and priorities
will only partially be repeated here. important to the project team, the Owner, users, and the Cx
The CFR workshop is typically facilitated by the Com- Team. However, it does not provide specific values. For
missioning Authority (CxA), who determines the primary example, the number one CFR may be good air circulation in
concerns of the project team. The workshop is organized to the rooms. It is the responsibility of the CxA to take the indi-
encourage identification of all requirements, to encourage vidual requirements developed by the project team and trans-
interaction and discussion among all team members, and to late them into physical properties that can be measured,
arrive at group consensus of priorities for the CFR. This is designed, and documented.
accomplished through the presentation of multiple questions This transformation of the CFR often requires input from
in an ordered structure. A typical process uses a modified a variety of sources, including the design team, contractors,
NGT workshop format. This is a formal means of gathering specialists, standards, and guidelines. Typically, the CxA has
the highest level of consensus that approaches the real needs sufficient experience in the planning, design, construction,
of the group. The procedure consists of the following steps: and operation of facilities to provide the oversight of such a
task. If not, then experts should be retained to aid in the devel-
a. Provide each question or open concept to each individual opment of the CFR.
participating in the workshop.
b. Allow three to five minutes of quiet writing time for each Project Team Approval of the CFR

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individual to respond with as many answers and ideas as After several iterations and reviews of the CFR by the project
he or she can. and design teams, the requirements must be approved to pro-
c. Record individual responses in a round-robin fashion—no vide the design team adequate direction for their design. It is
discussion at this point, just record the responses on a flip- important to distinguish development of the CFR from the
chart, overhead, chalkboard, or multicomputer link to all traditional role of the architect in the planning or program-
participants. ming process. The CFR defines the criteria required for suc-
d. Review all responses, consolidate similar ones, and clarify cess, whereas the architect’s document may only address
so all in the group have the same understanding of all specific space size and occupant flow requirements. Where
responses. the CFR may state that the functional use of the facility is X,
e. Have individuals rank the responses in order of impor- Y, and Z, the architect’s document may specify the locations
tance (1 through 5). of, the size of, and the flow of people through X, Y, and Z.
f. Determine a group ranking from individual rankings.
g. A rediscussion of the top 10 items—and any responses SUMMARY
ranked most important—is desired, followed by a second The CFR workshop is one means to provide consistency in
round of individual and group combined rating/ranking. the implementation of the Cx Process from project to project.
The questions asked during this workshop must be broad It should be a topic addressed in the lessons-learned work-
in nature, elicit discussion, result in a variety of viewpoints, shop during the Hand-Off Phase. Other techniques for devel-
and must not leave the workshop. The questions should not oping the CFR, such as interviews and surveys, do not allow
focus on such items as “at what temperature are you comfort- interaction between the user groups. Further, it has been
able?” but should be broader, such as “how do you define shown that the results or answers are biased by the beliefs of
comfort?” or “how will you measure the cost success of this the expert who develops the questions for the interviews or
project?” (versus a broader question, such as “how will you surveys. Frequently when such techniques are used, the ques-
determine if this was a successful project?”) tions can be analyzed and the conclusions predetermined,
Example questions include the following: regardless of whether or not the interviews or surveys are
No further reproduction or distribution is permitted.

completed.
a. How do you define comfort in an ideal building?
b. What are the functional needs for this building? MEASUREMENT AND VERIFICATION
c. How will you determine the success of the EBCx Process? Many facilities will require making measurements and verify-
d. How are measurement and data requirements to determine ing current operational and equipment performance. This
the current conditions in this building? includes all buildings and assemblies. For mechanical sys-
e. What are functional needs that are missing in this build- tems, there are established measurement and verification
ing? (M&V) standards and guidelines. When there is a need to
f. How do you define “ideal indoor air quality” in a building? establish baseline performance for the equipment and/or sys-
g. What are key productivity measures for this building? tems, the accuracy of the results will be greatly affected by

ASHRAE Guideline 0.2-2015 51

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
M&V methods used for the EBCx Process project. The type projects, Owners may require M&V to ensure that the perfor-
of baseline information required for the M&V process will be mance comparison to the baseline is valid.
dictated by the specific protocol and methods chosen.EBCx
Process teams are encouraged to review existing M&V proto-
EXAMPLE
cols such as the International Performance, Measurement,
and Verification Protocol and ASHRAE Standards 100, 105, An example of CFR workshop documentation from an actual
and 110 for a more detailed discussion of M&V methods.
project can be found at www.ashrae.org/G02-2015. This
The M&V requirements for the project should be part of
example was created prior to the development of Guideline 0.2
the CFR workshop and defined in the CFR and Cx Plan. In
some cases, funding resources for the EBCx Process may and may not align exactly with the previously outlined sec-
require verification of savings used to justify costs of the tions. However, it should help illustrate the overall structure
EBCx Process facility improvement measure(s). For other and intent of documentation related to a CFR workshop.

This copy downloaded on 2016-10-13 11:35:41 -0500 by authorized user University of Toronto User.
No further reproduction or distribution is permitted.

52 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- g. Capabilities of operators and maintenance team
mative and does not contain requirements necessary for h. Documentation requirements
conformance to the guideline.) i. Regulatory requirements
j. Ongoing commissioning (OCx) requirements
INFORMATIVE ANNEX J k. Benchmarks
CURRENT FACILITY REQUIREMENTS l. Financial requirements and investment criteria
This annex provides an example of how to implement part of
Guideline 0.2. It is not intended to be a comprehensive repre- CFR OUTLINE EXAMPLE
sentation or a best-practice example. Practitioners applying The CFR is developed from all stakeholders’ requirements
the Existing-Building Commissioning (EBCx) Process that are gathered during the CFR workshops. Where an OPR
should follow Guideline 0.2 and applicable commissioning exists, it would be updated and modified. The resultant docu-
(Cx) technical guidelines tailored to their specific projects. ment will be the CFR.
The key to a successful EBCx project is well-defined The following example document provides a template for
Current Facility Requirements (CFR). The CFR forms the how a CFR document may be formatted and what types of
foundation of any design meeting the Owner’s expectations. information should be covered in typical applications. The doc-
When the CFR is given the time and effort necessary in docu- ument is structured as a template given that in most cases any
menting the Owner’s present and future requirements, there is specific content from example projects will serve to limit the
a high probability that the facility will be effectively commis- scope to the specific issues and objectives of that application.
sioned and the Owner will be satisfied. In the following sections, normal text provides the
For those facilities commissioned using a process similar reader guidance as to the type of information that would be
to that defined in Guideline 0, the Owner’s Project Require- added to that section specific to the facility under consider-
ments (OPR) become the CFR for the existing building and ation, and example text is shown in small type.
are updated by using the same process outlined in Annex I.
The update of the original OPR should also focus on all mod- User-Occupant Requirements

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ifications to the facility and those systems and assemblies that This section should be used to define any specific require-
are underperforming. ments of the facility occupants and users that are necessary to
As the EBCx Process proceeds through the different meet the overall mission requirements. These may be current
phases, the CFR may require updating or amending. This may facility features that must be maintained or those that need to
occur, for example, as the budget and costs change. No be added to support facility operation.
changes to the CFR will occur without the Owner’s written • Private-office occupants will be able to adjust the temperature
approval. For example, the CFR may require that new win- setpoints in the offices.
dows be impact rated certified to Category 5 hurricane level. • The ground floor (southwest quadrant) will be converted to a
If the window replacement bid exceeded the budget, the CFR
cafeteria for users and occupants of the building.
could be changed (and approved by the Owner) to design
non-impact-rated windows with provisions for field-installed Owner-Directed Requirements
protection during a hurricane.
This section should define any directives given that need to be
Developing the CFR includes contributions from all the addressed by the EBCx Process. This is an interactive process
stakeholders that use, occupy, operate, and maintain the facil-
to generate information between all of the stakeholders.
ity. The CFR will contain both technical and nontechnical
requirements (e.g., technical requirement: replace roof with an • The existing windows shall be replaced with impact-rated
R-30 roofing assembly; nontechnical requirement: comply windows in a 150 mph zone.
with LEED for existing buildings at Gold level). The CFR • The roof shall be replaced with a green roof with minimum
contains specific and measurable requirements (e.g., instead of R-35 insulation.
“the light level in offices will be adequate,” the CFR may read, • The fire alarm system shall be manufactured by Notifier.
“the light level in offices will be 40 fc measured at 30 in. • The building shall be equipped with a sprinkler system.
above the floor level”). The CFR must be concise, clear, cor-
rect, and complete to reduce the risk for any misinterpretation. Specific Facility Requirements
Some of the more general requirements for the CFR are This section should define specific functional requirements
listed below. These CFR requirements may expand or con- for each area of the facility and space use variation. This will
No further reproduction or distribution is permitted.

tract following focused discussions with the Owner. include parameters such as functional uses, space needs,
Suggested CFR content is as follows: occupancy requirements, systems or assemblies replacement,
and comfort requirements (e.g., space temperature and
a. User/occupant requirements
humidity for occupant comfort). This may also include spe-
b. Owner-directed requirements
c. Specific facility requirements, such as environmental and cific parameters for critical environments, such as tolerances
energy goals, level of systems control, and/or sustainabil- for minimum lighting levels, temperature variation, ventila-
ity certification tion rates, room pressurization, noise levels, etc. All varia-
d. Training requirements tions in occupancy schedules should be defined along with
e. Sustainability requirements any subsequent changes in operational parameters.
f. Equipment and systems maintainability requirements • Indoor lighting requirements: Offices 45 fc at 30 in. AFF.

ASHRAE Guideline 0.2-2015 53

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
List other areas and any specific nonstandard require- • Most training shall be completed prior to the end of the
ments, for example, pendant-mounted lighting, illumination Implementation Phase and an electronic copy (DVD format)
requirements, special applications, etc. provided for the Owner’s use.
• Occupant lighting control requirements: Each office shall be Sustainability Requirements
fitted with dual technology occupancy sensors.
The facilities systems and assemblies shall be renovated/
List any nonstandard requirements, for example, multi-
upgraded to provide long life while promoting environmental
mode controls for assembly spaces.
quality and resource conservation through sustainable design
• Thermal comfort requirements: Maximum temperature/ and construction.
humidity 72°F dry-bulb at 50% rh.
• The Cx Process shall result in a LEED–EB 2009 certification
List any nonstandard temperature or humidity require-
at no lower than Silver level.
ments.
List specific sustainability goals, for example, water effi-
• Ventilation and filtration requirements: Ventilation shall meet ciency, energy efficiency, etc.
current ASHRAE standard filters for occupied areas, mini-
• OCx shall achieve the 2030 Challenge to result in zero possi-
mum MERV 12.
ble fuel-based energy.
List any nonstandard requirements.
• Occupancy HVAC control requirements: Occupants shall be Equipment and Systems Maintainability
able to adjust the temperature setpoint by 2°F. Requirements
List any nonstandard requirements, for example, integra- This section should define the minimum requirements for the
tion with existing control systems. maintainability of facility systems and assemblies.
• Acoustic environment requirements: Office shall be maxi- • All equipment shall be installed with manufacturer’s recom-
mum 35 background noise criteria (RC). mended clearance.
List any nonstandard requirements, for example, local • All equipment shall be easily accessible to maintenance staff.

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noise sources requiring mitigation, spaces such as classrooms • Adequately sized doors/access panels shall be provided for
that require low background noise, and short reverberation equipment replacement.
times.
Capabilities of Operators and Maintenance Team
• Other Owner requirements.
This section should define the capabilities of the operations
For example, natural ventilation, operable windows, day-
and maintenance (O&M) team, including their experience,
light.
training in specific systems and assemblies, level of educa-
Training Requirements tion, etc.
This section should define the expectations for the core com- • The HVAC chillers will be maintained by an outside vendor.
petency level of the facility personnel responsible for operat- • The Owner’s fire-alarm technicians have been factory trained
ing the facility. This will serve as an evaluating metric to and certified in Notifier systems.
determine any training requirements necessary to achieve the • All of the Owner’s technicians have obtained craft certifica-
required competency level at all necessary levels of the facil- tion from technical institutes.
ity staff.
Regulatory Requirements
• Factory or on-site training for the Owner, whether Owner
staff, contracted staff, or users/occupants, shall include a This section should define specific regulatory requirements
description and overview of systems, not just the components placed on the operation of the facility and what impacts this
and equipment that compose each system. may have on the manner in which the facility, systems, and
• Training should include general orientation and reviews of assemblies are operated, monitored, and maintained. The spe-
the written O&M instructions, relevant health and safety cific requirements may vary throughout the facility based on
issues or concerns, operation in all possible modes, preven- different functional requirements of specific areas of the facil-
tive maintenance, and common troubleshooting problems and ity. Examples would be references to specific environmental
solutions.
health and safety standards, such as College of American
Pathologists (CAP) and Clinical Laboratory Improvement
• Training shall be performed for the following building sys-
No further reproduction or distribution is permitted.

Act (CLIA), and federal, state, provincial, civic, and county

tems and assemblies:
requirements.
List all systems and assemblies that have been affected,
• Fire sprinkler systems—NFPA 13—latest edition (even if not
for example, lighting control security systems, roof assembly,
adopted by the fire marshall)
etc. List all systems and assemblies that were not affected, for
• Florida Building Code
example, chiller plant.
• Building systems that the occupants/users shall be trained on Ongoing Commissioning (OCx) Requirements
include the following: This section should define the OCx requirements. This will
List all systems and assemblies that the occupant/user include the frequency for the OCx of each system and
needs to operate, for example, lighting controls. assembly.

54 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
• OCx for mechanical systems will be performed every three • Energy consumption shall be 30% less than present con-
(3) years. sumption.
• OCx for electrical and plumbing system will be performed • Post-occupancy surveys shall be used. Acceptable responses
every five (5) years. for all categories shall be not less than 70% of the responses.
Benchmarks Financial Requirements and Investment Criteria
This section should define the evaluation methods that will be
This section should be used to define how identified recom-
used to compare existing performance of the overall facility,
mendations will be evaluated for implementation. In many
systems, and assemblies. Innumerable criteria may be
cases, this may be some method of economic evaluation (sim-
employed based on the type of facilities, systems, and assem-
ple payback, life-cycle cost, return on investment, etc.). How-
blies under evaluation. This may involve easily quantified cri-
ever, there may be other cases where monetary impacts of the
teria such as indoor environmental quality issues (temperature,
expected improvements are secondary to other benefits or dif-
humidity, ventilation rates) or energetic performance (overall
ficult to quantify. It should also be discussed whether mea-
or component energy use). However, this may also include
sures will be evaluated individually or whether bundling of
more subjective criteria such as occupant satisfaction,
recommended measures can be used. Bundling may allow for
improved occupant productivity, etc. The CFR should define
high-priority improvements with less attractive singular eval-
what specific parameters will be used, how they will be quan-
uation criteria to be combined with other higher-performing
tified (baseline), and what improvements can be expected. The
measures to provide a combined project that meets the overall
CFR should also define what benchmark criteria will be used
investment criteria.
to evaluate the baseline performance. This can be through
established database information for similar facilities (e.g., • Project having a simple payback of less than two (2) years
energy use index [kBtu/ft2]). However, this may be difficult will be implemented.
when evaluating parameters for which no database exists for • For major changes to systems and assemblies, life-cycle costs
comparison. determine the option to be implemented.

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• Temperature changes throughout each floor shall not vary by List discount rate, period of study, escalate rate criteria
more that 4°F. for energy, etc.

No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 55

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- e. Updated operations and maintenance (O&M) manuals,
mative and does not contain requirements necessary for including all control systems documentation
conformance to the guideline.) f. Most recent and original testing and balancing reports
g. Existing start-up reports of systems
INFORMATIVE ANNEX K
EXISTING-BUILDING DOCUMENTATION AND h. Previous Cx reports
RECORDS i. Updated training materials
j. Updated training logs
This annex provides an example of how to implement part of
Guideline 0.2. It is not intended to be a comprehensive repre- k. Warranty logs (items repaired during the original warranty
sentation or a best-practice example. Practitioners applying phase)
the Existing-Building Commissioning (EBCx) Process l. Maintenance logs, including those from outside service
should follow Guideline 0.2 and applicable commissioning contractors
(Cx) technical guidelines tailored to their specific projects. m. Copies of service contracts
Prior to the start of the EBCx Process, the Commission- n. Inspection reports, studies, and analyses on the condition
ing Authority (CxA) needs to assemble and compile all avail- of any system and assemblies
able up-to-date documents and records that relate to the o. Existing energy-efficient operating strategies
building construction, operation, and maintenance. In addi-
p. Recent energy audits (within the last four [4] years)
tion, any previous studies and/recommendations by other con-
sultants should be included in the documentation file. q. Utility bills (water and sewer, electric, gas, steam, etc.) or
The documentation file should include the following: energy use records for the last two (2) years
r. Safety and health inspection reports
a. Updated Basis of Design (BoD) s. Code inspection reports
b. Updated record (“as-built”) drawings for the facility
t. Architectural studies
c. Updated record (“as-built”) specifications
d. Updated system and assemblies material and equipment u. Roof inspection report

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lists with nameplate information, dates of installation, and v. Recent changes documentation
submittals (cut sheets) w. Recent additions documentation

No further reproduction or distribution is permitted.

56 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- in length if possible. The following information could be
mative and does not contain requirements necessary for included in the executive summary:
conformance to the guideline.)
a. Project schedule
b. EBCx Team members
INFORMATIVE ANNEX L
c. Project goals
EXISTING-BUILDING COMMISSIONING PROCESS
d. Summary of project scope
REPORT
e. Summary of recommendations implemented
This annex provides an example of how to implement part of f. Benefits realized by implementing the process
Guideline 0.2. It is not intended to be a comprehensive repre- Assessment Report
sentation or a best-practice example. Practitioners applying
the Existing-Building Commissioning (EBCx) Process Developed in the Assessment Phase. See Annex L1.
should follow Guideline 0.2 and applicable commissioning Investigation Report
(Cx) technical guidelines tailored to their specific projects.
Developed in the Investigation Phase. Includes the list of find-
The EBCx Report is the documentation of the work and ings and recommendations. See Annex L2.
results accomplished during all phases of the process, includ-
ing the Assessment, Investigation, Implementation, and Implementation Report
Hand-Off Phases. It is the primary record document of the Developed in the Implementation Phase. See Annex L3.
EBCx project. The EBCx Report consists of reports devel-
M&V Report
oped throughout the project.
Developed in the Hand-Off Phase. See Annex L4.
EBCx REPORT OUTLINE
Training Report
The following is an example outline for an EBCx Report.
Developed in the Hand-Off Phase. See “Training Attendance
Executive Summary and Documentation” section of Annex L5.

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This is a brief description of the project. The executive sum- Lessons-Learned Report
mary should be concise and should not be more than one page Developed in the Hand-Off Phase. See Annex L6.

No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 57

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- • Annual energy use for the facility is ____ kBtu/ft2.
mative and does not contain requirements necessary for • Plug load in general office area is ____ W/ft2.
conformance to the guideline.) • The lighting power density is _____ w/ft2.
• Increase production rate by 10% over the previous year.
INFORMATIVE ANNEX L1 • Increase worker safety in manufacturing plant and reduce
ASSESSMENT REPORT accident reports by 50% over the previous year.
This annex provides an example of how to implement part of
Guideline 0.2. It is not intended to be a comprehensive repre- Anticipated Benefits
sentation or a best-practice example. Practitioners applying Discuss the anticipated benefits, such as a reduction in energy
the Existing-Building Commissioning (EBCx) Process use, improvement in productivity, or a reduction in comfort
should follow Guideline 0.2 and applicable commissioning complaints.
(Cx) technical guidelines tailored to their specific projects.
• Reduce annual energy use for the facility by ___%.
The Assessment Report documents the findings and
• Through a combination of increasing production rate and
results of the Assessment Phase. The document includes ini-
worker safety over the previous year, the gross margin is
tial assessment information such as operating parameters cur-
expected to increase by 8%.
rently in place for building systems, initial scope, initial
approach for measurement and verification (M&V) to ensure Initial Issues Corrected
persistence of benefits, initial budget for the EBCx Process,
and an assessment of whether or not the process can help the Discuss any issues that were corrected during the assessment
facility meet the Owner’s objectives. inspection such as safety, security, or operational.
The following is an example outline for an Assessment • Chilled-water pump #2 is a standby pump and was operating
Report and includes recommendations for content to include unnecessarily in the “hand” position on the pump motor
in each section. In the following sections, normal text pro- starter. The starter was set to “automatic” and the pump shut
vides the reader guidance as to the type of information that down. Chilled-water flow and system operation was stable.

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would be added to that section specific to the facility under • The rear-entry door adjacent to the loading-dock area was
consideration, and example text is shown in small type. propped open, and the card reader was not operational. A
work order was submitted to repair the card reader.
ASSESSMENT REPORT OUTLINE
Summary Table
Executive Summary
Discuss any issues that were corrected during the assessment
This is a brief description of the work conducted during the inspection such as safety, security, or operational.
Assessment Phase and the overall results of the assessment,
including the initial EBCx Process scope, CFR, schedule, and a. Building and/or location
budget. The summary should include the implementation of b. Affected system
any Owner-authorized improvements and benefits anticipated c. Opportunity or corrected issue description
by the assessment process, such as enhancing occupant func- d. Related CFR and how it is being met or not met
tional needs, reducing energy, maintenance, and/or opera- e. Estimated implementation cost
tional costs. f. Qualitative benefits (e.g., energy savings, improved occu-
The Executive Summary should be concise and should pant comfort)
not be more than one page in length if possible. It should con- g. Quantitative benefits (e.g., energy cost savings)
clude with an overall recommendation for how to proceed and
h. Estimated utility incentives
next steps.
i. Estimated simple payback period or other financial metric
General Description of Facility j. Estimated energy reduction
Briefly describe the facility, including use, size, and number k. Estimated duration for implementing the opportunity
of floors; year constructed; and general overall condition. The l. Responsible party
description should include the current operating schedule and m. Next steps
a general overview of the systems that are included within the
Existing Building Documentation
EBCx program.
List the available building documentation that could be help-
No further reproduction or distribution is permitted.

Initial Current Facility Requirements (CFR) ful during EBCx.

Insert copy of initial CFR.
a. Set of as-built mechanical, electrical, and plumbing
EBCx Plan (MEP) drawings
Insert copy of EBCx Plan. b. Past two years’ utility data; electric, fuel oil, and water/
sewer
Baseline Definition c. Previous testing and balancing (TAB) and engineering
Describe the baseline requirements that presently exist in the reports
facility. Baselines will vary based on the needs of the cus- d. Past two years’ production rates for the manufacturing
tomer. plant area

58 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
e. Past two years’ accident reports for the manufacturing Communication Requirements
plant area
Discuss normal channels of communication with the Owner
Training Requirements and the Owner’s representatives.
List the recommended training that will be provided as part of Applicable Codes and Standards
the EBCx Process.
List codes or standards that are required to be adhered to dur-
• Provide _____ hours of on-site training to maintenance staff.
ing the EBCx program.
Provide 40 hours of off-site training at the control manufac-
turer’s factory training facility for (2) maintenance staff Next Steps
employees.
Include a discussion of next steps. Typically, the next step
• Provide ______ hours of safety training each year for every
after the Owner reviews the Assessment Report is to meet
employee in the manufacturing plant area.
with the Owner to resolve any comments, answer questions,
Initial Measurement and Verification Plan and obtain approval to move into the Investigation Phase.
Discuss the initial approach regarding measurement and veri-
EXAMPLE
fication; identify the degree of rigor that the customer expects
and that the overall project will require. An example Assessment Report from an actual project can be
found at www.ashrae.org/G02-2015. This example was cre-
Expected Facility Stakeholder’s Involvement ated prior to the development of Guideline 0.2 and may not
Based on conversations with the Owner, facility, and opera- align exactly with the previously outlined sections. However,
tional staff, discuss the expected involvement and commit- it should help illustrate the overall structure and intent of an
ment from the stakeholders. Assessment Report.

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No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 59

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- b. List of project team members and their roles in the investi-
mative and does not contain requirements necessary for gation
conformance to the guideline.) c. Approach to the investigation

INFORMATIVE ANNEX L2 List of Findings and Recommendations

INVESTIGATION REPORT This list is the primary decision-making tool for the Owner in
This annex provides an example of how to implement part of determining which recommendations to implement. The list
Guideline 0.2. It is not intended to be a comprehensive repre- provides a concise, at-a-glance summary of each recommen-
sentation or a best-practice example. Practitioners applying dation.
the Existing-Building Commissioning (EBCx) Process
should follow Guideline 0.2 and applicable commissioning Detailed Recommendation Discussion
(Cx) technical guidelines tailored to their specific projects. Recommendations are discussed in detail in this section,
The Investigation Report is the main and final deliverable potentially in more detail than those included in the list of
of the Investigation Phase. It provides a comprehensive sum- findings and recommendations. For each recommendation,
mary of all major activities conducted during this phase and address the following:
details regarding each recommendation. The purpose of the
Investigation Report is to a. Existing Condition. The “as-found” condition or the
“finding.” Discuss how the existing performance is out of
a. document the activities conducted during the Investigation compliance with the Current Facility Requirements (CFR).
Phase, including testing, training, and any immediate b. Proposed Condition. The recommendation, to bring per-
improvements that were implemented; formance back in line with the CFR. Include any interac-
b. help the Owner in deciding which recommendations to tions with other systems and possible further investigation
implement; and if needed to proceed.
c. discuss next steps and timelines.
c. Benefits. Describe the benefits, especially as they relate to

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INVESTIGATION OUTLINE the objectives of the Cx project (such as improved occu-
pant comfort) that would be realized by implementing the
The following is an example outline for an Investigation recommendation. Provide quantitative estimates wherever
Report and includes recommendations for content to include possible. Briefly describe the calculation method used to
in each section. estimate the results.
Executive Summary d. Costs. Provide the estimated costs associated with imple-
menting the recommendation, and discuss how the costs
This is a brief description of the work conducted during the
were estimated.
Investigation Phase and the overall results of the investiga-
tion. The executive summary should be concise and not more e. Cost/Benefit Analysis. Include a quantitative cost/benefit
than one page in length if possible. This summary is also a analysis of each recommendation. Examples of factors to
good opportunity to briefly restate the goals of the project, consider include energy, demand, carbon, liability, worker
including what systems or assemblies were being commis- productivity, indoor environmental quality, regulatory
sioned and why and the general approach to the investigation. issues, health, sales, and impact on other systems.
Include an overall summary of the benefits, costs, and f. Detailed Implementation Method. Discuss the specific
analysis associated with the recommendations. If the number steps for implementing the recommendation, including
of recommendations is large, consider summarizing the over- suggestions for who will do the work, interactions and
all costs and benefits related to the recommendations rather synergies with any other recommendations, and any
than including a recommendation summary table in this sec- important factors to consider, such as long lead times for
tion. Also include any recommendations for prioritization of any hardware/equipment.
implementation where appropriate. g. Implementation Verification Plan. Describe how imple-
The executive summary should conclude with an overall mentation of each recommendation will be verified. Meth-
recommendation for how to proceed and next steps. ods could include trend data/data logger analysis,
functional testing, photos, and screenshots.
Project Overview
h. Measurement and Verification (M&V). If an M&V Plan
No further reproduction or distribution is permitted.

In this section, include such information as the following: has been developed, describe how the gathered baseline
a. General building characteristics data complies with it and discuss any postimplementation
data that will be required for meeting the requirements of
1. Building type, size, and location
the plan.
2. Gross and conditioned floor area
i. Maintaining Persistence of Benefits. Provide a discus-
3. Number of floors sion of strategies that could be routinely conducted to
4. General envelope, lighting, and HVAC system descrip- ensure ongoing persistence of benefits. Identify who would
tions implement the strategies, and describe any documentation,
5. Occupancy schedules and equipment operating sched- signage, or other devices that should be implemented to
ules assist in ensuring that the changes stay in place over time.

60 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
j. Staff Training. Include a discussion about how the oper- Appendix A—Current Facility Requirements
ating staff will be trained on the implemented recommen- See Annex J for details about the Current Facility Require-
dation, including in-house training as well as ments.
recommendations for outside training. Also describe any
training that was conducted during the Investigation Phase Appendix B—Site Investigation and Testing Results
related to the recommendation. Include any test results or supporting data in this section,
Other Recommendations or Findings organized by recommendation number. This information
could include functional test results, photos, screenshots,
Document any changes implemented during the Assessment
building automation system trend data, data logger data, and
and Investigation Phases.
equipment manufacturer’s information. Include both negative
Describe any other recommendations or findings that
and positive findings; note when systems or components were
were noted during the Investigation Phase but were not
found to be working correctly or meeting the CFR.
included in the list of findings and recommendations. These
other recommendations could include recommendations Appendix C—Supporting Calculations
related to systems/equipment that are not included in the
Provide supporting calculations in this section related to the
scope of the project. A detailed quantitative analysis of these
benefit and cost estimates for each recommendation. Orga-
other recommendations is typically not necessary.
nize this section by recommendation number.
This is also an appropriate location to note positive find-
ings, such as CFR items that are currently being met. EXAMPLE
Next Steps An example Investigation Report from an actual project can
Include a discussion of next steps. Typically, the next step be found at www.ashrae.org/G02-2015. This example was
after preparation and delivery of the Investigation Report is to created prior to the development of Guideline 0.2 and may
meet as a team, including the Owner, and decide which rec- not align exactly with the previously outlined sections. How-
ommendations to implement and how to proceed with imple- ever, it should help illustrate the overall structure and intent of

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mentation. an Investigation Report.

No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 61

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- Capital Project Cx Report
mative and does not contain requirements necessary for
If capital projects were performed as part of the overall process,
conformance to the guideline.) incorporate the Cx Report into the Implementation Report.
INFORMATIVE ANNEX L3 Future Implementation Recommendations
IMPLEMENTATION REPORT
List of implementation recommendations that should be done
This annex provides an example of how to implement part of in the future.
Guideline 0.2. It is not intended to be a comprehensive repre-
Test Documentation
sentation or a best-practice example. Practitioners applying
the Existing-Building Commissioning (EBCx) Process Test procedures, documentation, and results. This includes
should follow Guideline 0.2 and applicable commissioning the original test procedures and data forms, plus data such as
(Cx) technical guidelines tailored to their specific projects. photos, computerized documentation, and other records of the
During the Implementation Phase, the Owner makes the tests. Both the final accepted test and earlier tests that failed
final decision on which recommendations to implement from to meet the specified criteria are included. Once deferred/sea-
the Investigation Report. These recommendations are imple- sonal testing is completed, the report is updated to include the
mented and then inspected, tested, and verified to ensure they deferred testing results. Provide a complete set of test proce-
achieve the benefits desired and the Current Facility Require- dures and blank data forms, etc., for future use for each
implemented recommendation.
ments (CFR).
The EBCx Report includes the Implementation Report. Updated Issues and Resolution Log
Many of these documents are also in the systems manual for
The completed/updated Issues and Resolution Log with all
the facility. issues discovered and addressed.
In the EBCx Report, list the specific CFR items that were
to be addressed through the EBCx Process (from the EBCx Site Visit Records

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Plan) and the level to which those CFR items were achieved Records of site visits and any significant reports and meeting
by the end of the Implementation Phase. For any CFR items minutes generated throughout the process.
that were not fully achieved, describe why those items were
not achieved and include recommended next steps. This Verification Documentation
should supplement the information in the “Verification Docu- Evaluations of the performance of the systems at the time of
mentation” section of the Implementation Report. test completion and the ability of the system to meet the CFR.
Identify any systems or assemblies that do not meet the CFR.
IMPLEMENTATION REPORT OUTLINE
The Implementation Report includes the following sections. Measurement and Verification (M&V) Documentation
Include documentation of any completed M&V activities.
Executive Summary
This should include the results of any and all testing con-
The executive summary includes which recommendations were ducted as part of the M&V requirements. Provide a complete
implemented and their benefits, plus important future work. set of test procedures and blank data forms, etc., for future use
for each implemented recommendation.
Updated List of Findings and Recommendations
Includes an update to the benefit analysis. The final imple- Training Documentation
mented recommendations may differ from the original recom- Provide information on any training that occurred during
mendations due to conditions uncovered during the implementation and verification, including who attended,
implementation process. Include an updated persistence strategy dates, length of time, training subjects, training materials, and
for each recommendation. trainer, where applicable.

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62 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- each portion of the EBCx project being tracked separately
mative and does not contain requirements necessary for through the M&V Plan. The methods used to establish the
conformance to the guideline.) baseline should be described along with and supporting test-
ing data gathered. Any required baseline adjustments should
INFORMATIVE ANNEX L4 be clearly defined along with rationale used to justify the
MEASUREMENT AND VERIFICATION REPORT adjustment. The baseline adjustment parameters used and
This annex provides an example of how to implement part of methods used to adjust the baseline should be consistent with
Guideline 0.2. It is not intended to be a comprehensive repre- those agreed to and documented in the approved M&V Plan.
sentation or a best-practice example. Practitioners applying Performance Period Data
the Existing-Building Commissioning (EBCx) Process
should follow Guideline 0.2 and applicable commissioning This section should define the actual performance data mea-
(Cx) technical guidelines tailored to their specific projects. sured over the current monitoring interval.The performance
period data will be required for each portion of the EBCx
M&V REPORT OUTLINE project being tracked separately through the M&V Plan.The
methods used to establish the performance period data should
The following provides an outline example format for an
be described along with any supporting testing data gathered.
M&V Report used to quantify the benefits of an EBCx proj-
ect. The outline provides the main topics that should be Monitoring Period Results
addressed in the report. The supporting text for each outline This section should define the measured quantities for the
level is used to describe the type of information that should be benefits obtained from the EBCx project over the monitoring
included in each section. This outline is provided as a general interval. The measured quantities of actual benefits will be
example of the type of information that may be included. The required for each portion of the EBCx project being tracked
actual content of any specific M&V Plan will be dictated by separately through the M&V Plan. The methods used to cal-
the M&V Plan agreed to and approved by the Owner for the culate the measured benefits should be consistent with the
EBCx project under evaluation. established and approved M&V Plan.

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M&V Scope The actual measured quantities should be compared with
levels expected (or guaranteed). Any variances from the
This section should define what portions of the EBCx project
expected values should be quantified for each portion of the
are being tracked through the M&V Plan.
EBCx project being tracked separately through the M&V
The EBCx Process can be applied to several building sys-
Plan. The overall measured benefits should also be totaled
tems as well as to operations and maintenance (O&M) prac-
and tabulated.
tices. The M&V process can focus on specific portions of the
EBCx project or may employ different approaches to quantify M&V Acceptance and Approval
the benefits of different aspects of the project. The scope of The means of acceptance and approval of the M&V results
work should describe what portions of the EBCx project are must be agreed upon in advance between the Owner and those
being tracked. This may require that a list of component responsible for the M&V program. The terms agreed upon
improvement measures be kept, or it may be defined by build- must define what level of performance is required to meet the
ing system, project goal, or a combination of each. expectations of the M&V program. This section should make
M&V Methodology a determination as to whether the actual measured benefits
This section should include a brief description of the general meet or exceed the levels predicted. In the event of a savings
approach to quantifying the benefits obtained from the EBCx shortfall, the report should clearly define any identified rea-
project. This will define the specific M&V methods applied sons for the shortfall and any proposed remediation methods.
to each portion of the EBCx project scope. The M&V Plan
EXAMPLE
developed and agreed to by the Owner should be included to
define the details of specific methods and protocols to be fol- An example M&V Report from an actual project can be
lowed. found at www.ashrae.org/G02-2015. This example was cre-
ated prior to the development of Guideline 0.2 and may not
Baseline Data align exactly with the previously outlined sections. However,
This section should define the baseline data against which the it should help illustrate the overall structure and intent of an
No further reproduction or distribution is permitted.

results were measured. The baseline data will be required for M&V Report.

ASHRAE Guideline 0.2-2015 63

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- Refer to the CFR and have the Commissioning Authority
mative and does not contain requirements necessary for (CxA) assist in developing the Training Plan. Plans are scal-
conformance to the guideline.) able and should reflect the level of rigor and time required to
implement each recommendation. In many situations, the
INFORMATIVE ANNEX L5 EBCx project will have a placeholder in the building’s systems
TRAINING manual for the Training Plan.
This annex provides an example of how to implement part of These comprehensive plans may be tailored to preexisting
Guideline 0.2. It is not intended to be a comprehensive repre- processes in the facilities procedures or become a supplement
sentation or a best-practice example. Practitioners applying to an existing Training Plan. Prior to laying out the direction in
the Existing-Building Commissioning (EBCx) Process which to develop the Training Plan, the CxA should investi-
should follow Guideline 0.2 and applicable commissioning gate whether such plans already exist to determine if it is prac-
(Cx) technical guidelines tailored to their specific projects. tical to follow the earlier protocol. Discussions at the Cx Team
Training is an essential element of EBCx that helps to level are required to choose the proper approach. Initially,
ensure that both occupants and those responsible for a facil- these discussions would start by determining the size and
ity’s operations and maintenance (O&M) understand how scope of the Training Plan. The system type or size will affect
their actions impact system performance and the achievement whether a small, medium, or large approach should be taken.
of the Current Facility Requirements (CFR). An effective Training in most cases would be mandatory for O&M
training program requires planning, organization, thoughtful staff, as these individuals are tasked with ensuring that the
curriculum, and appropriate documentation and must be tai- benefits of the commissioned systems persist over the life of
lored to meet the needs and capabilities of the intended audi- the recommendation. Some building Owners/managers, ten-
ence. The following sections detail the elements included in a ants, employees, and custodial staff may also require formal
successful EBCx training program. instruction, albeit to a lesser extent. These lesser, detailed
instructions could resemble an information sheet or a short
TRAINING MANUAL newsletter presenting the who, what, where, and why of com-

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Prior to assessing the specific training needs of the project, missioning existing buildings.
some form of orientation to the EBCx Process should take If O&M is outsourced, the training approach and needs
place. Training should include a description of the Owner’s may differ from the approach described above.
purpose and how training aligns with the CFR. If the trainees Staff and tenant training is optional but, at the very least,
weren’t part of the initial CFR workshop, then an executive a high level of awareness of the EBCx project should be pro-
summary can help them to understand EBCx and how it’s vided, as these projects will most likely take place in the
appropriate to the building. building while it is occupied. Staff and tenants may be aware
A determination will need to be made whether or not an that something is happening, so training for regular staff
individual training manual is needed. Review the benefits could parallel training of maintenance staff to keep them
with the building manager and maintenance staff if the Train- apprised of how EBCx will affect them and how they can help
ing Plan is part of in the process.
a. a stand alone package/document, Training mainly occurs in the Hand-Off Phase, but there
b. the CFR, or are many opportunities and associated benefits with beginning
c. an existing or new systems manual. in the Assessment and Investigation Phases of the process. This
approach will vary from building to building. Training needs
Whatever shape the training manual takes, the final prod-
and opportunities will arise sooner rather than later. It is typi-
uct (or individual parts) should be visible and accessible to all
cally wise to involve O&M staff early so that the process will
appropriate current and future personnel. Other building docu-
be understood by these individuals. They may then be tasked/
ments, policies, and perhaps the building automation system
asked to assist in the Assessment, Investigation, and Implemen-
(BAS) should point to this document when issues occur related
tation Phases as a formal part of the training curriculum.
to the systems that were improved through the EBCx project.
Assessment of individual staff members’ current exper-
TRAINING PLAN tise could also be a component of early discussions, as the
training program will need to be focused and customized to
The scope of the Training Plan and manual should be suited to
suit the O&M staff’s aptitude.
the needs of each project. If the project is of a smaller scale,
No further reproduction or distribution is permitted.

If there are complex changes to any system, having a man-

such as commissioning a security system in a small retail store,
ufacturer representative or system specialist participate in the
adjusting lighting controls in a small office, or adjusting the
training may be appropriate. This will depend on the systems
damper components for some roof-top air handlers to suit
being commissioned, the extent of the modifications/improve-
economizer modes, then a Training Plan involving just a hand-
ful of people, and a small booklet for training operations per- ments, and the cost or risk of not performing the training.
sonnel, would suffice. In other scenarios, where a few larger
TRAINING SYLLABUS
components, such as boilers, chillers, roofs, or a direct-digital-
control (DDC) system, make up the project, a much more Refer to Guideline 0 for a detailed example of a training syl-
involved training approach is required. Such projects may labus. This example shows what could be a general approach
require different levels of authority and operations staff. for many of the components of the EBCx project. Different

64 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
agendas could then be developed showing the different scopes how to proceed with resetting system operational set-
and level of detail for systems being commissioned, such as points and verify that the system/measure optimization
envelope, lighting, HVAC, security, etc. The CxA may pro- has been reattained. These may be simple or more com-
vide guidance for the syllabus description. plex but should be reviewed with the building operators
Consideration should be given to the training’s intended
Each training session item should include the anticipated
audience and to the building improvements being made. Tim-
time requirements for the trainees.
ing, duration, and which staff to involve in the EBCx training
should reflect the detail and complexity of the improvement
TRAINING METHODS AND MATERIALS
being implemented or the system being tuned.
For larger systems and major pieces of equipment, manufactur-
TRAINING AGENDA ers’ instructions could be provided through formal classroom-
A thorough approach to training is reflected by providing a style training, including hands-on items as necessary within the
separate agenda for each measure/improvement to be imple- building itself.
mented, as each may have a different intended audience. The Methods may include these key elements:
level of instruction should be appropriate to the rigor involved a. Hands-on assistance with implementation
in maintaining the improvement over time. b. Site demonstrations
The experience of the building operators should be c. Use of existing operations manuals and EBCx training plans
assessed in the early stages of the project to identify those
d. Equipment manuals
which could contribute to the implementation of the improve-
e. Classroom presentations
ments. One component of the training could be that staff
assists the implementation contractors with the verification or f. Videos
start-up checklists. g. Written handouts
Agenda items and questions that typically would be h. Question-and-answer sessions
answered during the training for each implemented improve- Note that these methods are all open for discussion, but

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ment are listed as follows. For each EBCx project, some train- the training should ensure that the benefits of all improve-
ing agendas will be very similar, while others will different ments to the building will be sustained through the efforts of
greatly. the building operators, maintenance personnel, and their suc-
a. Describe the project and list the building and its location cessors by way of adequate documentation, verification, and
(on agenda documentation). Owner acceptance of training.
b. Identify senior staff.
c. Recommended training regime. TRAINING ATTENDANCE DOCUMENTATION,
AND VERIFICATION
1. Trainees, their number, and which area they represent
2. Instructors, their company, and qualifications Record individual trainers and trainees after each session,
indicating the system or individual components being taught.
3. Level of detail
Verification of the training through a documentation proce-
4. Description of system operation dure should be included in the training manual or systems
5. Owner representative approval of agenda manual as determined by the Cx Plan. Verification (participa-
d. How is the improvement aligned with the CFR? tion) may use paper documentation and/or video documenta-
e. Describe the purpose of the system or component being tion, depending on the value of each method and the needs of
commissioned. the Owner and operating staff.
f. Quantified benefits where required or where critical. Training for all appropriate building operators (as
g. Will the improvement require verification and if so to selected by the EBCx Team) should be recorded and
what level? approved by operators and staff for each individual improve-
h. Service and maintenance requirements. ment and kept in the appropriate manual. The training verifi-
i. System interactions. cation shall include a checklist of items covered, name of
j. Recording of trends on BAS. trainer, name of building operator, dates of training, etc. Any
k. Reporting structure on persistence of benefits, frequency, recommendations on follow-up training or seasonal items
and who will receive such reports. should also be included, with similar verification of any sub-
No further reproduction or distribution is permitted.

l. Review any pertinent documentation (drawings and speci- sequent training added to the manual.
fications). Final documentation of the training attendance and veri-
m. Is a protocol required if improvements are discovered or fication should be stored and distributed as previously agreed
when the benefits start to slide back to the precommis- during the Cx Plan discussions. One example may be that two
sioned state? hard copies of the training or systems manual and one elec-
n. Review any safety and health issues related to improve- tronic copy of the entire document on CD or DVD be deliv-
ments. ered by the CxA to the building Owner at the end of the
o. System recovery procedures after service interruptions. Hand-Off Phase. Individual copies for more senior operators
p. A procedure should also be written to address anomalies may also be included. This could take place during the les-
or alarms identified by the building operator (or others) as sons-learned workshop.

ASHRAE Guideline 0.2-2015 65

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
Training Evaluation
Session: _______________________________

Date: ____________ Location: _______________________

Purpose: This form is used to evaluate each training session. Based on this evaluation, later sessions can be improved. This form will be
completed by the CxA and one D-I-R employee in the training after each session.

Every attendee fills out one copy of this form. Mark questions that are not applicable with “N/A.”

1 = very well to 5 = not at all

1. How were the objectives of this training session met? 1 2 3 4 5 N/A

2. Do you know where the components/systems are located? 1 2 3 4 5 N/A

3. Do you know what area the components/systems are serving? 1 2 3 4 5 N/A

4. Do you understand the various types and purpose of these components/systems? 1 2 3 4 5 N/A

5. Do you understand/know how to systematically troubleshoot common problems with 1 2 3 4 5 N/A

these components/systems?

6. Do you know how the components/systems operate under all normal modes? 1 2 3 4 5 N/A

7. How well do you understand the importance of meeting the design intent for the systems 1 2 3 4 5 N/A
covered?

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8. Are you able to efficiently find the relevant information in the systems manual to operate 1 2 3 4 5 N/A
and maintain the systems/components you were trained for in this session?

9. Do you know how to perform the needed maintenance on the equipment and/or do you 1 2 3 4 5 N/A
know to obtain the information you need?

10. Do you know how to obtain updated technical service information for the components/ 1 2 3 4 5 N/A
systems?

Explain why any questions received very low or very high ratings from you:

What topics would you desire to be covered that were absent from this training session?

You may provide other comments concerning anything about this training session (e.g., information prior to training, content, etc.):

TRAINING EVALUATION AND ACCEPTANCE that they can apply the lessons to their work. At least four
strategies can be use to evaluate the effectiveness of the train-
No further reproduction or distribution is permitted.

The effectiveness of the training program should be verified. ing effort.

This should be more rigorous than simply verifying that the
training occurred and that the appropriate personnel attended Strategy #1: Post-Training Quizzes
(although this is a necessary prerequisite). In order for training The most common strategy is to quiz attendees after the train-
to be considered effective, attendees need to absorb and under- ing sessions to test whether they understood the key points.
stand the material presented in the training and then apply the Attendees who don’t score a certain percentage may require
concepts to their daily work. To evaluate training effective- additional training or need to retake the session. The quiz
ness, an active effort is required to verify that attendees under- should be designed to have attendees apply the information
stood and retained the lessons. Simply asking attendees if they they were just taught to workplace situations that they’re likely
understood the lesson doesn’t ensure their comprehension or to encounter.

66 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
Strategy #2: Participant Demonstrations ing for detailed feedback from the trainee, with signatures
After a training session, require attendees to apply the training from Owner’s representatives and the instructors, which may
during a demonstration. For example, attendees may lead the exist as a requirement in the CFR.
execution of a functional performance test protocol or execute
Ongoing Commissioning (OCx) activities. Moreover, actual ONGOING/ADDITIONAL TRAINING
performance of a test protocol is the strongest teaching device Training that may have been deferred due to seasonal or occu-
and helps reinforce what they’ve learned. pancy restrictions with the system being commissioned will
Strategy #3: Post-Training Evaluations need to comply with the procedures at a later date. Training
for the EBCx project would not be deemed completed or
The trainer may think that training sessions are effectively
accepted by the Owner until all seasonal and follow-up train-
communicating the necessary information to the attendees, but
ing is complete.
they may see it differently. Give attendees an opportunity to
evaluate their training. Their feedback can afford important Follow-up training may be appropriate where system or
insight into the training’s effectiveness. For example, it may be occupant loads vary and may require that adjustments be
discovered that attendees thought the training for a particular made to the project. This follow-up, hands-on approach is
topic was too broad and would be more effective broken up into beneficial to ensuring that the training persists over an estab-
several sessions; or it may be that attendees learned more from lished period of time.
visual demonstrations of rules or procedures than from only Trainers and the EBCx Team may be called on to monitor
verbal descriptions of what they’re supposed to do. Many ways new staff. Here, the documentation and recording of the ini-
are available to obtain attendee feedback on training, including tial training becomes a valuable commodity as an important
interviews, evaluation forms, and informal discussions. element for training new O&M staff or new maintenance con-
tractors (outsourced O&M).
Strategy #4: Post-Training Observations
At some point after the initial EBCx Process, additional
The only way to know for sure if training is effective is to training may be a good option as a refresher of sorts and to
observe what occurs after the training when staff returns to

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address any training needs particular to new discoveries iden-
work. Including observations related to training effectiveness tified by the O&M staff.
as part of the OCx Process can provide insight into the effec-
tiveness of the training.
EXAMPLE
Depending on the size and scope of the project, the
Owner’s or Owner’s representative’s acceptance will again An example EBCx Training Plan from an actual project can
require discussion as to the level of formality required to be found at www.ashrae.org/G02-2015. This example was
determine that the training requirements of the Cx Plan have created prior to the development of Guideline 0.2 and may
been met. In some cases, acceptance may be determined by not align exactly with the previously outlined sections. How-
participating in witnessing some on-site instructions, while ever, it should help illustrate the overall structure and intent of
other more critical systems may require filling out forms ask- an EBCx Training Plan.

No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 67

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- the Cx Process, as well as individual observations made by all
mative and does not contain requirements necessary for concerned parties. All participants would be equal in these
conformance to the guideline.) discussions, which should result in recommendations that will
support the Ongoing Commissioning (OCx) efforts of the
INFORMATIVE ANNEX L6 facility and possibly future projects.
LESSONS-LEARNED WORKSHOP A lessons-learned workshop outline includes the following:
This annex provides an example of how to implement part of
a. Organization of and reasons for a lessons-learned workshop
Guideline 0.2. It is not intended to be a comprehensive repre-
b. General description of project scope
sentation or a best-practice example. Practitioners applying
c. List of systems to be discussed
the Existing-Building Commissioning (EBCx) Process
d. Suggested list of invitees
should follow Guideline 0.2 and applicable commissioning
(Cx) technical guidelines tailored to their specific projects. 1. Owners
A lessons-learned workshop is a tool used to improve the 2. Cx Team
operation of the facility that has been commissioned. Its pur- 3. Designers
pose is to provide a forum for the EBCx Team to discuss 4. Contractors
knowledge gained during the implementation of the Cx Pro-
5. Suppliers
cess. This knowledge can help inform future EBCx efforts.
The scope of the discussion that should occur would include 6. Operators
the Cx Process itself, as well as issues that might impact the e. Agenda for lessons-learned workshop
operations and maintenance (O&M) of the facility. 1. Project overview
Those participating in the lessons-learned workshop 2. Overall success perception
must be familiar with and support the EBCx Plan and Current 3. By system...
Facility Requirements (CFR) documents that guided the Cx i. What was successful
Process. In this way, the discussions held by workshop partic- ii. What was not successful

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ipants would stay focused on the Cx project efforts and resist iii. Recommendations for future projects
the temptation to include ancillary issues that would diminish f. List of documents for distribution before the workshop
the effectiveness of the workshop’s efforts to bring closure to
1. All issues and resolution logs and open items
the Cx project.
Discussion participants must include all members of the 2. Multiple-Facility Program Plan (if there is one)
EBCx Team; typically these members would include facility 3. CFR
Owner’s representatives, facility operations personnel, repre- 4. EBCx Plan
sentatives of people whose work will be affected by the new 5. Systems manual
conditions brought about through the Cx Process, and ven- 6. EBCx Report
dors whose equipment and systems were used to modify and
g. Outline and format of workshop report
upgrade the working environment within the facility. Partici-
pants are not limited to the EBCx Team members. If someone 1. General description of project scope
observing the Cx Process outside the EBCx Team has reason- 2. List of systems included in the project
able observations, those people should be included in the dis- 3. Summary of validation and testing procedures
cussion. 4. Summary of successes and failures by system
The Commissioning Authority (CxA) must provide an 5. List and description of open items and further required
agenda that guides the meeting and outlines the topics that actions
will be discussed. The agenda should allow for free discus-
6. Recommendations for future projects
sion of all points of interest in the Cx Process, as well as the
freedom to comment on the impact of the changes brought 7. Plans and schedules for future meetings if required
about through the Cx Process. This agenda would be assem- 8. List of attendees
bled in part from the issues and resolution logs created during 9. Distribution list

No further reproduction or distribution is permitted.

68 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- building operations, and maintenance and optimization of the
mative and does not contain requirements necessary for facility over its useful life.
conformance to the guideline.)
SYSTEMS MANUAL PREPARATION OBJECTIVES
INFORMATIVE ANNEX M The objectives of the systems manual are as follows:
SYSTEMS MANUAL
a. Provide the necessary information to the facility’s O&M
This annex provides an example of how to implement part of
staff to enable them to understand the design and con-
Guideline 0.2. It is not intended to be a comprehensive repre-
struction of the building and how to operate and maintain
sentation or a best-practice example. Practitioners applying
the building.
the Existing-Building Commissioning (EBCx) Process
should follow Guideline 0.2 and applicable commissioning b. Assemble the building design, construction, and testing
(Cx) technical guidelines tailored to their specific projects. results by system in one set of documents.
c. Provide a documentation source to be used in training
Developing the systems manual entails gathering all of
materials.
the information related to the systems, assemblies, and the Cx
Process and incorporating it into a usable information d. Provide documentation for building performance
resource, with indexes and cross references. This resource improvement and Ongoing Commissioning (OCx).
shall include the final Owner’s Project Requirements (OPR) or
SYSTEMS MANUAL OUTLINE
Current Facility Requirements (CFR), Basis of Design (BoD),
final Cx Plan, Cx Process Report, manufacturer installation The systems manual process captures project requirements,
manuals, manufacturer operations and maintenance (O&M) design documentation, construction details, evaluation and
manuals, system schematics, sequence of operation, verified testing results, and training programs as the information
record drawings, and test results. This information is edited becomes available. Additionally, the recommended O&M pro-
and organized to focus on key systems (roofing, walls, fire cedures and ongoing documentation requirements are assem-
alarm, chilled-water, hot-water, etc.) in the building. Coordi- bled and included. Changes to the manuals are expected as the

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nation with O&M personnel in developing standard formats building maintenance systems are developed and changes to
and divisions (shops) is undertaken to simplify future systems the systems occur.
manual development. The systems manual contains the following sections in
It is the intent that the systems manual be assembled in the order of availability and use.
electronic format to facilitate access and reduce storage
Executive Summary
requirements. The electronic format will also reduce the pos-
sibility of loss of information. For systems manuals assem- The executive summary contains an overview of the building
bled in hard copy format, the larger documents, such as design, construction, and operational requirements. This
record drawings, specifications, submittals, and O&M docu- information is intended to provide general guidance on the
ments, can be stored in secure locations, with these locations intended O&M of the building in conformance to the OPR.
referenced in the systems manual. The design team and their contact information is also
Also included in the systems manual is the develop- provided to facilitate information transfer on original designs
ment of periodic maintenance and information for insertion and maintenance and optimization.
into a computerized maintenance management system (CMMS),
Facility Design and Construction
including equipment make and model information, checking
requirements, maintenance requirements, and troubleshooting a. OPR/CFR. Insert a final copy of OPR/CFR developed
items. during the Cx Process. This provides the O&M staff and
The Commissioning Authority (CxA) shall be responsible future Owner information on the intent for the design and
for verifying the development of the systems manual. use of the building.
The entity responsible for developing the systems manual b. BoD. Insert a final copy of BoD document if one is avail-
shall include all items involved in the project and capture the able or developed during the Cx Process. This provides
system and assembly data in either an electronic or printed ver- the O&M staff and future Owner information on the origi-
sion. In addition, printed operations, service, maintenance, spare nal design of the building.
parts list, and repair manuals may be provided. This entity c. Construction Record Documents. Insert final specifica-
(Owner, contractor, design professional, other) shall have the tions and insert or describe locations of record drawings.
No further reproduction or distribution is permitted.

skills of design, construction, and operations required to Digitized systems manuals can also contain copies of the
develop a comprehensive systems manual. record documents. This process minimizes the loss of
The required details for a full systems manual are these documents.
enhanced in each of the technical Cx Process guidelines. The Building, Systems, and Assemblies Information
systems manual will have multiple sections depending on the
number of systems focused on during the Cx Process. a. Specifications. Insert a final copy of facility design speci-
The systems manual contains information related to the fications.
OPR/CFR and documentation of building design and con- b. Approved Submittals. Insert final copy of specific
struction, along with operational requirements, maintenance approved submittals by specification section sequence,
information, training and testing documentation for the use of including a copy of final approved and commissioned

ASHRAE Guideline 0.2-2015 69

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
sequences of operation for equipment and systems, along schedules for the production of the systems manuals. Insert
with limitations to operation. copy of training plans used for each type of equipment
c. Manufacturer’s Operations and Maintenance Data. along with session syllabus used. Insert training materials
Insert manufacturer-provided installation and O&M man- used arranged in specification sequence. Describe location
uals that have been verified and localized to the installed or sources of available additional training.
building system or equipment by specification section b. Training Records. Insert records of training, schedules,
sequence. sign-in sheets, etc. Include copy of training documentation
d. Warranties. Insert system and equipment warranties and training recordings on the operation of the systems and
arranged by specification section sequence. equipment along with appropriate troubleshooting instruc-
e. Contractor/Supplier Listing and Contact Information. tion.
Insert a listing of all contractors and major suppliers,
including physical address, phone numbers, and e-mail Cx Report
addresses to facilitate repairs and replacements.
a. Cx Process Plan(s). Insert the final Cx Plan.
Facility Operations b. Cx Design and Submittal Review Reports. Insert a copy
of the Cx design and submittal reports.
a. Facility Guide
c. Testing Reports
1. Insert a copy of the completed facility operating plan
with explanations of the intended use and operation of 1. Insert completed Cx Report with documents and veri-
the facility. fication and testing forms and records for each build-
2. Insert a copy of final commissioned setpoints of all ing and system and assembly included in the Cx
equipment with operational adjustments. Include the Process.
setpoint normal intended ranges and limitations. 2. Insert copies of all relevant manufacturers’ and install-
3. Insert a copy of the final sequences of operation for all ers’ testing reports. This creates a unified record of all
operating equipment. required testing performed during purchasing and

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4. Insert a copy of routine building operations mainte- installation.
nance requirements. 3. Insert copies of installers’ and CxA’s completed vali-
5. Insert a copy of emergency shutdown procedures and dation checklists. This provides a record of installation
locations of applicable controls. checks and observations for future reference.
6. See Annex M1 for more content that could be included 4. Insert copies of installers’ and CxA’s completed func-
in the facility guide. tional performance checklists of assemblies, equip-
Note: The following items (b) through (f) should be ment, and integrated system. This provides a record of
added to the systems manual when required by the OPR/CFR performance checks and observations for future refer-
or where available. ence.
d. Cx Progress Reports. Insert a copy of all Cx progress
b. Maintenance Procedures, Checklists, and Records. reports.
Insert procedures, forms, and checklists for facility O&M.
e. Issues and Resolution Logs. Insert a copy of all issues
Include updating requirements. Describe inspections and
testing required on a routine basis and standard forms and resolution logs with resolution or status of each item.
required. This provides a record of problems and issues found and
c. Maintenance Schedules. Include recommended mainte- resolved during the design and construction process for
nance schedules for systems and equipment along with future reference.
update requirements. f. Item Resolution and Open Items. Insert a list of any
d. Utility Measurement and Reporting. Include descrip- open items and seasonal or additional testing required.
tion of utility metering and monitoring systems. Provide
document formats and procedures for tracking utility use SUMMARY
and reporting this information to meet the Owner’s and The systems manual is an expansion of what traditionally has
jurisdictional requirements. been referred to as an “O&M manual.” The systems manual
e. OCx Operational and Maintenance Record Keeping. should contain much more information and be arranged to be
Include OCx and optimization procedures and documen- more functional in both training and operation of the building.
No further reproduction or distribution is permitted.

tation to monitor and improve the performance of facility The arrangement recommended here centers around capturing
systems. the documents normally produced during the design and con-
f. Janitorial and Cleaning Plans and Procedures. Insert a struction, remodeling, or Cx of a building. All of these docu-
copy of facility cleaning and janitorial plan with proce- ments are important to operating and maintaining the building.
dures and intended chemicals and equipment. While all of the recommended documents should be included,
it is understood that based on the Owner’s needs for the build-
Training
ing, all of the documents or sections may not be required.
a. Training Plans and Materials. Include instructions and However, in all cases, the maximum number of available doc-
procedures for the use of appropriate sections of the sys- uments should be captured or developed and included in the
tems manual for training for building O&M. Include systems manual.

70 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- mation such as equipment make and model information,
mative and does not contain requirements necessary for checking requirements, maintenance requirements, and trou-
conformance to the guideline.) bleshooting items for insertion into a computer maintenance
management system (CMMS). Development of this process
INFORMATIVE ANNEX M1 can be a complex and costly endeavor, and the ultimate pay-
FACILITY GUIDE back should be evaluated before this type of system process
integration is included.
This annex provides an example of how to implement part of
Guideline 0.2. It is not intended to be a comprehensive repre- The entity responsible for developing the FG shall include
sentation or a best-practice example. Practitioners applying all items involved in the building operation in either an elec-
the Existing-Building Commissioning (EBCx) Process tronic and/or printed version. This entity (Owner, contractor,
should follow Guideline 0.2 and applicable commissioning design professional, Commissioning Authority [CxA], etc.)
(Cx) technical guidelines tailored to their specific projects. shall have the skills of design, construction, and operations
required to develop a comprehensive FG. The CxA should be
The facility guide (FG) is similar to an operator’s man-
responsible for verifying the development of the FG when the
ual. It is intended to provide the basic and user-friendly infor-
Cx Process is utilized on the project.
mation needed for the building operations staff to operate the
building on a day-to-day basis. It includes a simple descrip- It should be noted that some projects may not include all
tion of the building systems and their normal operation, of the information outlined below. The outline is offered to
schedules, setpoints, and limitations. Also included is routine provide organization and sources for information available for
maintenance for the systems to keep them in good condition the building or project.
but not major maintenance or repair functions. The detailed
FACILITY GUIDE OUTLINE
instructions for major maintenance and repair are included in
other sections of the systems manual. Scheduled start-up and Executive Summary
shutdown functions should be included.
The executive summary contains an explanation of the
Developing the FG encompasses gathering all of the
source and use of the guide and an overview of the building

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information related to the systems and assemblies that require
design, construction, and operational requirements. The infor-
regular attention during building operation and incorporating
mation is intended to provide general guidance on the intended
it into a usable information resource with indexes and cross
operation of the building in conformance with the Current
references. This information is edited and organized to focus
Facility Requirements (CFR).
on key systems (HVAC, plumbing, electrical, vertical transpor-
tation, fire alarm, security, etc.) in the building. Coordination Facility Operations Instructions
with facility and maintenance personnel in developing build-
ing standard formats, level of detail, systems included, and a. Operating Plan. Insert a copy of the completed facility
reporting procedures is necessary to ensure the guide is useful operating plan with explanations of the intended use and
for maintaining the long-term best operation of the facility. The operation of the facility.
FG is usually located in the operations section of the systems b. Building and Equipment Operating Schedules, Set-
manual, but it can be developed independently if needed. points, and Ranges. Insert a copy of setpoints of all
Annex M of this guideline includes a more complete descrip- equipment with normal operational adjustments. Include
tion of the systems manual. the setpoint normal intended ranges and limitations.
The guide should be provided separately from the sys- c. Sequences of Operation and Limitations. Insert a copy
tems manual in a location where operations and maintenance of the sequences of operation for appropriate operating
(O&M) personnel are able to quickly refer to it when rou- equipment in language and a format that is understandable
tinely reviewing system operation. Parts of the guide may also to the property managers or to other groups using the
be appropriate to present in other formats so that those work- guide. This would not be the controls submittal drawings
ing on equipment can refer to important concepts and param- but a written description of the sequences and the intent of
eters without opening or reaching for a book. Examples each sequence. It should include relevant sequence/system
include laminated schematics with sequences on the walls of interaction as well as graphics or schematics.
equipment rooms, parameters in text on the computer screen d. Start-Up and Shutdown Actions. Insert a copy of rou-
of a controls system, and phenolic labels or permanent writ- tine system start-up and shutdown procedures and loca-
ing of key parameters on equipment access doors. The FG tions of applicable controls and shutoffs.
No further reproduction or distribution is permitted.

should be tailored to the requirements of the building and the

Ongoing Commissioning (OCx) Operational and
responsibilities and expertise of the users. There may be one
Maintenance Record Keeping
FG for all users, or separate guides can be edited for specific
groups such as building manager, HVAC or controls techni- Include OCx and optimization procedures and documentation
cian, maintenance contractors, security personnel, janitorial to monitor and improve the performance of facility systems.
functions, site maintenance, or occupants. Having smaller and These instructions should also be used as the basis for peri-
more targeted guides would keep them more accessible and odic Cx of operations or for contracts for this process.
tailored to the needs of the specific user. The following sections can be added to the FG and sys-
Based on the needs of the Owner and building opera- tems manual when required by the Owner or when these
tions, the FG and systems manual could also include infor- items are available.

ASHRAE Guideline 0.2-2015 71

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
Maintenance Procedures, Checklists, and Records Utility Measurement and Reporting
Include a description of utility metering and monitoring sys-
Insert procedures, forms, and checklists for facility operation
tems. If included in the property management functions, pro-
and their maintenance functions. Include updating require-
vide document formats and procedures for tracking utility use
ments. Describe inspections and testing required on a routine and reporting this information to meet the Owner’s and juris-
basis and standard forms required. dictional requirements.
a. Maintenance Schedules. Include recommended mainte- Janitorial and Cleaning Plans and Procedures
nance schedules for systems and equipment along with Insert a copy of facility cleaning and janitorial plan with pro-
update requirements. The intent here is to provide guid- cedures and intended chemicals and equipment if this is a
ance for the facility manager on when to order routine function of the building property management. These janito-
heavy maintenance functions such as annual testing. rial plans could also be used to contract for those services.

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No further reproduction or distribution is permitted.

72 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- Document such changes and their impact on performance,
mative and does not contain requirements necessary for and establish the redefined acceptable performance parame-
conformance to the guideline.) ters. Include any changes in performance parameters that may
INFORMATIVE ANNEX N affect the measurement and verification (M&V) requirements
ONGOING COMMISSIONING REPORT of the OCx Program.
This annex provides an example of how to implement part of Findings and Recommendations
Guideline 0.2. It is not intended to be a comprehensive repre- By location within the building or facility, or by system, list
sentation or a best-practice example. Practitioners applying findings and recommendations that will result in improved per-
the Existing-Building Commissioning (EBCx) Process formance of equipment, systems, and the overall persistence of
should follow Guideline 0.2 and applicable commissioning
building performance. List the diagnoses of any performance
(Cx) technical guidelines tailored to their specific projects.
failure, and note the source of the performance failure. Identify
The Ongoing Commissioning (OCx) Report is used to
whether or not deviations in performance are due to a change in
regularly document the performance of the facility and suc-
cess of the OCx Program. The report should be submitted at a facility requirements, and update the CFR as required. Report
specified interval (e.g., quarterly or semiannually) accompa- on changes made that are working well, and include sugges-
nied by any updates to the systems manual, and/or Current tions that can be implemented to increase the overall effective-
Facility Requirements (CFR). The report should include the ness of previous changes. Include recommendations that will
following. assist the O&M staff in maintaining building systems. Addi-
tionally, include any operational changes that the staff made
a. Recommendations that will assist the operations and that either positively or negatively affects the persistence of
maintenance (O&M) staff in maintaining the persistence building performance.
of building performance.
b. Document measured results of benefits obtained over the Proposed Corrective Actions
current OCx period. List any proposed corrective actions that have not been imple-
c. Document all instances of acceptable and unacceptable mented to be reported to the Owner for approval. Include the

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performance identified during the period. estimated costs and associated benefits that the action will
d. Document all corrective actions taken and lessons learned. provide. Include both quantitative and qualitative benefits.
e. Document improvement recommendations with associ- Discuss how benefits were quantified. Identify by whom and
ated costs and benefits. how corrections were and will be implemented.
f. Report on updates to facility training programs and train-
ing conducted based on changes to the facility or staff Implemented Corrective Actions
turnover. Document corrective actions implemented that do not require
Owner approval. Include the estimated costs and associated
ONGOING COMMISSIONING REPORT OUTLINE benefits that the action will provide. Include both quantitative
The following is an example outline for an OCx Report and and qualitative benefits. Discuss how benefits were quanti-
recommendations for content to include in each section. fied. Identify by whom and how corrections were and will be
implemented. Examples of such actions are control system
Executive Summary
setpoint changes or releasing control system overrides.
This is a brief description of the work conducted during the
OCx Phase and the overall results of the process. The execu- Updates to Documents
tive summary should be concise and should not be more than Note other documents such as the CFR and systems manual.
one page in length if possible. Highlight important significant updates and attach as appro-
Include an overall summary of operating deficiencies dis- priate.
covered, their consequences, and recommendations imple-
mented or proposed to resolve the deficiencies. Provide an EXAMPLE
overview of why the recommendations will help to maintain
the persistence of building performance and the benefits. The An example OCx Report from an actual project can be found
next steps should be listed. at www.ashrae.org/G02-2015. This example was created
prior to the development of Guideline 0.2 and may not align
Performance Parameters exactly with the previously outlined sections. However, it
No further reproduction or distribution is permitted.

Note if performance parameters have changed significantly should help illustrate the overall structure and intent of an
due to major changes in occupancy, use, remodeling, etc. OCx Report.

ASHRAE Guideline 0.2-2015 73

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
(This annex is not part of this guideline. It is merely infor- are shown in Table O-2. These resources are more specific in
mative and does not contain requirements necessary for nature than the ones listed in Table O-1.
conformance to the guideline.)
LIST OF ACRONYMS
INFORMATIVE ANNEX O BCA Building Commissioning Association
EXISTING-BUILDING COMMISSIONING PROCESS
BPA Bonneville Power Administration
RESOURCES
CCC California Commissioning Collaborative
This annex provides an example of how to implement part of
DOE Department of Energy
Guideline 0.2. It is not intended to be a comprehensive repre-
sentation or a best-practice example. Practitioners applying EPA Environmental Protection Agency
the Existing-Building Commissioning (EBCx) Process ESL Energy Systems Laboratory
should follow Guideline 0.2 and applicable commissioning
EVO Efficiency Valuation Organization
(Cx) technical guidelines tailored to their specific projects.
Guideline 0.2 describes the EBCx Process in detail. LBNL Lawrence Berkeley National Laboratory
However, it is not the first EBCx guide that has been devel- NCBC National Conference on Building
oped and it may not cover all specific aspects of the process. Commissioning
Table O-1 lists other EBCx guides and studies. The guides NEBB National Environmental Balancing Bureau
listed in this table focus on the overall EBCx Process and not
on specific systems (e.g., HVAC) or other factors (e.g., PG&E Pacific Gas and Electric
energy). Other resources that may be useful to practitioners PNNL Pacific Northwest National Laboratory

TABLE O-1 Additional EBCx Guides and Studies

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Resource Name Author (Year)

EBCx Guides
Best Practices in Commissioning Existing Buildings BCA (2008)

California Commissioning Guide: Existing Buildings CCC (2006)

A Guide to Building Commissioning PNNL and PECI for the DOE (2011)

Procedural Standards for Retro-Commissioning of Existing Buildings NEBB (2009)

A Retrocommissioning Guide for Building Owners PECI for the EPA (2007)

EBCx Studies
Building Commissioning: A Golden Opportunity for Reducing Energy Costs and LBNL (2009)
Greenhouse-gas Emissions

The Cost-Effectiveness of Commercial-Buildings Commissioning LBNL PECI and ESL of

Texas A&M University (2004)
A Study on Energy Savings and Measure Cost Effectiveness of Existing Building PECI (2009)
Commissioning

A Report of Cost-Effective Commissioning of Existing and Low Energy Buildings PECI, Texas A&M University and
Natural Resources Canada (2010)

No further reproduction or distribution is permitted.

74 ASHRAE Guideline 0.2-2015

 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
TABLE O-2 Other Resources

Resource Name Author (Year)/Description

Energy Efficiency Guide for Existing Commercial Buildings: ASHRAE (2009)
The Business Case for Building Owners and Managers

Energy Efficiency Guide for Existing Commercial Buildings: Technical ASHRAE (2011)
Implementation

Building Upgrade Manual EPA (2008)

Procedures for Commercial Building Energy Audits ASHRAE (2011)

Commercial Energy Auditing Reference Handbook Doty (2011)

Functional Testing and Design Guides PECI (2008)

Universal Translator (software tool) PG&E (2014)

Energy Charting and Metrics (software tool) CCC (2011)

International Performance Measurement and Verification Protocol EVO (2012)

Guidelines for Verifying Savings from Commissioning Existing Buildings CCC (2012)

Measurement of Energy and Demand Savings ASHRAE Guideline 14 (2002)

Existing Building Commissioning: An M&V Protocol Application Guide BPA (2012)

Performance Measurement Protocols for Commercial Buildings ASHRAE (2010)

Building Performance Tracking Handbook CCC (2011)

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Energy Information Handbook LBNL (2011)

California Commissioning Collaborative Information, tools, case studies, and guides on EBCx.

Building Commissioning Association Offers development programs, commissioning certifications, tools,

and market outreach.

AABC Commissioning Group Association dedicated to the advancement of commissioning through

education, training, and certification of qualified individuals.

National Environmental Balance Bureau (NEBB) Offers commissioning-related certifications, procedural standards,
specifications, seminars, and publications.

PECI Organization that develops programs, publications, research, and

trainings related to EBCx.

United States Department of Energy Conducts research and develops publications related to EBCx.

LinkedIn sites (CCC, BCA) Active professional networks for the California Commissioning
Collaborative and the Building Commissioning Association.

NCBC Information about the National Conference on Building

Commissioning, with archived proceedings from past years.

No further reproduction or distribution is permitted.

ASHRAE Guideline 0.2-2015 75

Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com). This copy downloaded on 2016-10-13 11:35:41 -0500 by authorized user University of Toronto User. No further reproduction or distribution is permitted.
 Copyrighted material licensed to University of Toronto by Thomson Scientific, Inc. (www.techstreet.com).
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

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should be made by its members.

No further reproduction or distribution is permitted.

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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.

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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 and Guidelines are also offered in redline versions that indicate the changes made
between the active Standard or Guideline and its previous edition. For more information, visit the Standards and
Guidelines section of the ASHRAE Bookstore at www.ashrae.org/bookstore.

IMPORTANT NOTICES ABOUT THIS GUIDELINE

To ensure that you have all of the approved addenda, errata, and interpretations for this
Guideline, 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.
No further reproduction or distribution is permitted.

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