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110,000 ft2
Duke University
Human Genetics Research Center
Durham, North Carolina

Commissioning Requirements



A. Commissioning: Commissioning is a systematic process of ensuring that all building systems perform interactively according to the design intent and the owner’s operational needs. This is achieved by beginning in the design phase and documenting design intent and continuing through construction, acceptance, and the warranty period with actual verification of performance. The commissioning process shall encompass and coordinate the traditionally separate functions of system documentation, equipment start-up/checkout, control system calibration and point-to-point (PTP) checkout, testing and balancing, field functional performance testing and owner training.

B. The commissioning process does not take away from or reduce the responsibility of the system designers or installing contractors to provide a finished and fully functioning product.

C. Abbreviations: The following are common abbreviations used in these Specifications and in the Commissioning Plan.

A/E – Architect and design engineers
FPT – Functional performance test
CA – Commissioning authority
GC – General contractor (prime)
CC – Controls contractor
MC – Mechanical contractor
PC – Pre-functional checklist
Cx – Commissioning
PM – Project Manager (client)
EC – Electrical contractor
Cx Plan – Commissioning Plan document
Subs – Subcontractors to General
CM – Contract manager
TAB – Test and balance agency

D. The commissioning firm shall be a totally independent testing organization, with no corporate affiliation with any MC, GC, CC or A/E firm, who specializes in independent testing/verification of HVAC and electrical systems. The commissioning firm shall carry professional liability insurance and shall employ both graduate mechanical and electrical engineers and AABC or NEBB certified field testing engineers. The commissioning firms principal commissioning authority shall be a registered professional engineer, with a minimum 20 years HVAC design, commissioning and field testing experience.


A. Commissioning Team: The members of the commissioning team shall consist of the commissioning authority (CA) - International Commissioning Engineers (ICE), and in addition, the construction representative of the owner or contract manager (CM), the owner’s project manager (PM), the general contractor (GC), the architect and design engineers (A/E), the mechanical contractor (MC), the electrical contractor (EC), the TAB agency, the controls contractor (CC), and any other installing subcontractor or suppliers of equipment. Also, if known, the Plant Operations building engineer or maintenance director is also a member of the commissioning team.

B. Management: The CA (ICE) is hired by the owner directly. The CA directs and coordinates the project commissioning activities. All team members work together to fulfill their contracted responsibilities and meet the objectives of the Contract Documents.

C. Scheduling: The CA will work with the CM and GC according to established protocols to schedule the commissioning activities. The CA will provide sufficient notice to the CM and GC for scheduling commissioning activities. The GC will integrate all commissioning activities into the master schedule. All parties will address scheduling problems and make necessary notifications in a timely manner in order to expedite the commissioning process.

The CA will provide the initial schedule of primary commissioning events at the commissioning scoping meeting. The Commissioning Plan – Construction Phase provides a format for this schedule. As construction progresses, more detailed schedules are developed by the CA. The Commissioning Plan also provides a format for detailed schedules.


A. Commissioning Plan: The commissioning plan provides guidance in the execution of the commissioning process. Just after the initial commissioning scoping meeting the CA will update the plan that is then considered the “final” plan, though it will continue to evolve as the project progresses. The Specifications will take precedence over the Commissioning Plan.

B. Commissioning Process: The following is a brief overview of typical commissioning tasks.

1. Commissioning begins during the design phase and reviews design concept and intent, and later, the design documents.
2. Commissioning during the construction phase begins with a scoping meeting conducted by the CA where the commissioning process is reviewed with the commissioning team members.
3. Additional meetings will be required throughout construction, scheduled by the CA with all necessary parties attending for the purpose of planning, scoping, coordinating, scheduling future activities and resolving problems.
4. Equipment submittals/documentation are submitted to the CA during the normal submittal review process, including detailed start-up procedures.
5. The CA works with the Subs in developing start-up plans and start-up documentation formats, including providing the Subs with pre-functional checklists to be completed during the start-up process.
6. In general, the checkout and performance verification proceeds from component level to systems and intersystem with pre-functional checklists being completed before functional performance testing.
7. The Subs, under their own direction, execute the pre-functional checklists and perform start-up. The CA documents that the checklists and start-up procedures were completed according to the approved plans. This will include the CA witnessing start-up of equipment with appropriate personnel.
8. The TAB agency is released on a system-by-system basis to begin TAB field work.
9. At the completion of the TAB field work, the commissioning authority conducts a random final TAB report verification. The CA shall randomly select a maximum of 20% of the final TAB report data for purposes of verification. If 10% or more of the verified items are found to be plus or minus 10% out-of-tolerance of published final TAB report values, then the TAB agency shall be liable for retesting part or all of the specific HVAC system undergoing verification in accordance with the project TAB specifications. The TAB agency shall make an allowance in their contract price for the additional time needed to complete any required retesting.
10. The CA develops specific equipment and system functional performance test procedures.
11. The procedures are executed by the Subs, under the supervision of the CA.
12. Items of non-compliance in material, installation or setup are corrected at the Sub’s expense and the system re-tested.
13. The CA reviews the O&M documentation for completeness
14. Commissioning is completed prior to substantial completion, except for opposed season system checks.
15. The CA reviews, confirms the acceptability of, and coordinates the training provided by the Subs and verifies that it was completed satisfactorily.
16. CA issues a complete bound commissioning report to owner.


A. The responsibilities of various parties in the commissioning process are provided in this section. The responsibilities of the mechanical contractor, TAB agency and controls contractor are itemized under Division 15, those of the electrical contractor under Division 16, and those of the other sections where requirements of other divisions are found. It is noted that the services for the Project Manager, Architect, HVAC mechanical and electrical designers/engineers, and Commissioning Agent are not provided for in this contract. That is, the Contractor is not responsible for providing their services. Their responsibilities are listed here to clarify the commissioning process.

B. Architect (of A/E)

Construction and Acceptance Phase
1. Does not manage the Commissioning Agent’s contract; said contract managed directly by owner.
2. Attend the commissioning scoping meeting and selected commissioning team meetings.
3. Perform normal submittal review, construction observation, as-built drawing preparation, O&M manual preparation, etc., as contracted.
4. Provide any design narrative documentation requested by the CA.
5. Coordinate resolution of system deficiencies identified during commissioning, according to the Contract Documents.
6. Prepare and submit final as-built design intent documentation for inclusion in the Commissioning Manual. Review and approve the O&M manuals.

Warranty Period
Coordinate resolution of design non-conformance and design deficiencies identified during warranty-period commissioning.

C. Mechanical and Electrical Designers/Engineers (of the A/E)

Construction and Acceptance Phase
1. Perform normal submittal review, construction observation, as-built drawing preparation, etc., as contracted. One site observation should be completed just prior to system start-up.
2. Provide any design narrative and control sequence documentation requested by the CA. The designers shall assist (along with the contractors) in clarifying the operation and control of commissioned equipment in areas where the specifications, control drawings or equipment documentation is not sufficient for writing detailed testing procedures.
3. Attend commissioning scoping meetings and other selected commissioning team meetings.
4. Participate in the resolution of system deficiencies identified during commissioning, according to the Contract Documents.
5. Prepare and submit the final as-built design intent and operating parameters documentation for inclusion in the commissioning manual. Review and approve the O&M manuals.
6. Provide a presentation at the first training session for the owner’s personnel.

Warranty Period
Participate in the resolution of non-conformance and design deficiencies identified during commissioning during warranty-period commissioning.

D. Commissioning Agent (CA)

The CA is not responsible for design content, design criteria, compliance with codes, design or general construction scheduling, cost estimating, or construction management. The CA may assist with problem solving, non-conformance or deficiencies, but ultimately that responsibility resides with the general contractor and the A/E. The primary role of the CA is to develop and coordinate the execution of a commissioning plan; to review project design, documents and equipment submittals; to inspect, observe and document the status of the construction as the installation progresses, and to conduct field functional performance testing of completed HVAC/electrical systems to verify compliance with the documented design intent and the Contract Documents. The installing Contractors shall provide all applicable tools and/or personnel to start-up, check-out and functionally test equipment and systems, except for specified testing with portable data-loggers, which shall be supplied and installed by the CA.

Acceptance Phase
1. Coordinates and directs the commissioning activities in a logical, sequential and efficient manner using consistent protocols and forms, centralized documentation, clear and regular communications and consultations with all necessary parties, frequently updated schedules and technical expertise.
2. Coordinate commissioning with the GC and the PM, ensure that commissioning activities are being scheduled into the master schedule.
3. Plan and conduct a commissioning scoping meeting.
4. Request and review additional information required to perform commissioning tasks including O&M materials, contractor start-up and checkout procedures.
5. Before start-up, gather and review the current control sequences and work with contractors and design engineers until sufficient clarity has been obtained, in writing, to be able to write detailed functional performance testing procedures.
6. Review and provide written comments on normal contractor submittals applicable to systems being commissioned for compliance with commissioning needs concurrent with the A/E reviews.
7. Write and distribute pre-functional performance tests and start-up checklists.
8. Develop start-up and initial systems checkout plan with Subs.
9. Perform site visits, as necessary, to observe component and system installations. Attend selected planning and job-site meetings to obtain information on construction progress. Assist in resolving any discrepancies.
10. Witness HVAC piping test and flushing procedure. Document this testing and include the documentation in O&M manuals. Notify owner’s project manager of any deficiencies in results or procedures.
11. Witness ductwork testing. Document this testing and include the documentation in O&M manuals. Notify owner’s project manager of any deficiencies in results or procedures.
12. Confirm/verify pre-functional tests and start-up checklists procedures have been accurately completed.
13. Confirm/verify systems start-up procedures have been satisfactorily carried by reviewing start-up reports and by site observation.
14. Review TAB execution plan and estimated time.
15. Perform random functional performance testing of the control system prior to TAB being executed, to confirm that CC has implemented acceptable PTP checkout procedures.
16. Reviews final TAB report and conducts final TAB report performance verification.
17. With necessary assistance and review form installing contractors, write the functional performance test procedures for equipment and systems. This shall include any energy management control system trending, stand-alone data logger monitoring or manual functional testing. Submit to PM for review and for approval, if required.
18. Analyze any functional performance trend logs and monitoring data to verify performance.
19. Coordinate, witness and confirm whether or not manual functional performance tests performed by installing contractors are acceptable. Coordinate re-testing as necessary until satisfactory performances achieved.
20. Maintain a master deficiency and resolution log and a separate testing record. Provide the PM with written progress reports and test results with recommended actions.
21. Witness performance testing of smoke control systems and all other owner contracted tests or tests by manufacturer’s personnel over which the CA may not have direct control. Document these tests and include this documentation in Commissioning Record in O&M manuals.
22. Review equipment warranties to ensure that the owner’s responsibilities are clearly defined.
23. Oversee and confirm acceptability of the training of the owner’s operating personnel.
24. Review and confirm acceptability of the preparation of the O&M manuals.
25. Provide a final commissioning report.

Warranty Period
1. Coordinate and supervise required seasonal or deferred testing and deficiency corrections.
2. Return to the site at 10-months into the 12-month warranty period and review with facility staff the current building operation and the condition of outstanding issues related to the original and seasonal commissioning. Also, interview facility staff and identify problems or concerns they have operating the building as originally intended. Make suggestions for improvements and for recording these changes in the O&M manuals. Identify areas that may come under warranty or under the original construction contract. Assist facility staff in developing reports, documents, and requests for services to remedy outstanding problems.
3. Optional: Assist in the development of a preventative maintenance plan, a detailed operating plan or an energy and resource management plan or as-built documentation.

E. Owner’s Project Manager (PM)

Construction and Acceptance Phase
1. Facilitate the coordination of the commissioning work by the CA and with the GC and CA to ensure that commissioning activities are being scheduled into the master schedule.

2. Review and approve the final commissioning plan – Construction Phase.

3. Attend a commissioning scoping meeting and other commissioning team meetings.

4. Perform the normal review of contractor submittals.

5. Furnish a copy of all construction documents, addenda, change orders and approved submittals and shop drawing related to commissioned equipment to the CA

6. Review and approve the functional performance test procedures submitted by the CA, prior to testing.

7. When necessary, observe and witness pre-functional checklists, start-up and functional performance testing of selected equipment.

8. Review commissioning progress and submitted deficiency reports.

9. Coordinate the resolution of non-compliance issues and design deficiencies identified in all phases of commissioning.

10. Sign-off (final approval) on individual commissioning tests as completed and passing. Recommend completion of the commissioning process to the PM.

11. Assist the GC in coordinating the training of the owner’s personnel.

12. Manage the contract of the A/E and of the General Contractor (GC).

Warranty Period
Assist the CA as necessary in the seasonal or deferred testing and deficiency corrections required by the specifications.

F. General Contractor (GC)

1. Facilitate the coordination of the commissioning work by the CA and with the GC and CA to ensure that commissioning activities are being scheduled into the master schedule.

2. Include the cost of commissioning in the contract price. Furnish a copy of all construction documents, addenda, change orders and approved submittals and shop drawings related to commissioned equipment to the CA.

3. Furnish a copy of all construction documents, addenda, change orders and approved submittals and shop drawings related to commissioned equipment to the CA.

4. In each purchase order or subcontract written include requirements for submittal data, O&M data, commissioning tasks and training.

5. Ensure that all Subs execute their commissioning responsibilities according to the Contract Documents and schedule.

6. A representative shall attend a commissioning scoping meeting and other necessary meeting scheduled by the CA to facilitate the Cx process.

7. Coordinate the training of the owner’s personnel.

8. Prepare O&M manuals according to the Contract Documents, including clarifying and updating the original sequence of operation to as-built conditions.

Warranty Period
1. Ensure that Subs execute seasonal or deferred functional performance testing, witnessed by the CA, according to the specifications.

2. Ensure that Subs correct deficiencies and make necessary adjustments to O&M manuals and as-built drawing for applicable issues identified in any seasonal testing.

G. Equipment Suppliers

1. Provide all requested submittal data including detailed start-up procedures and specific responsibilities of the owner to keep warranties in force.

2. Assist in equipment testing per agreement with Subs.

3. Include all special tools and instruments (only available from vendor, specific to a piece of equipment required for testing equipment according to these Contract Documents in the base bid price to the contractor, except for stand-alone data-logging equipment that may be used by the CA.

4. Provide information requested by CA regarding equipment sequence of operation and testing procedures.

5. Review test procedures for equipment installed by factory representatives.


Design Narrative or Design Documentation – sections of either the Design Intent or Basis of Design.

Factory Testing – testing of equipment on site or at the factory by factory personnel with an owner’s representative present.

Functional Performance Test (FPT) – test of the dynamic function and operation of equipment and systems using manual (direct observation) or monitoring methods. Functional performance testing is the dynamic testing of systems (rather than just components) Under full operation (e.g., the chiller pump is tested interactively with the chiller functions to see if the pump ramps up or down to maintain the differential pressure setpoint). Systems are tested under various modes, such as during low cooling or heating loads, high loads, component failures, unoccupied, varying outside air temperatures, fire alarm, power failure, etc. The systems are run through numerous control system’s sequences of operation, and components are verified to be responding per the specified design sequences. Traditional air or water test and balancing (TAB) is not functional performance testing, in the commissioning sense of the word. TAB’s primary work is setting up the systems flows and pressures as specified, while functional performance testing is verifying that which has already been set up. However, prior to the commencement of functional performance testing, the CA shall conduct a final TAB report verification. The commissioning authority develops the functional test procedures in a sequential written form, coordinates, oversees and documents the actual testing, which is usually performed by the installing contractor or vendor. FTs are performed after pre-functional checklists and start-up is complete.

General Contractor – the prime contractor for this project. Generally refers to all the GC’s subcontractors as well. Also referred to as the Contractor, in some contexts.

Indirect Indicators – indicators of a response or condition, such as a reading from a control system screen reporting a damper to be 100% closed.

Manual Test – using hand-held instruments, immediate control system readouts or direct observation to verify performance (contrast to analyzing monitored data taken over time to make the “observation”).

Monitoring – the recording of parameters (flow, current, status, pressure, etc.) of equipment operation using data-loggers or the trending capabilities of control systems.

Non-Compliance – see Deficiency.

Non-Conformance – see Deficiency.

Simulated Signal – writing over a sensor value in the control system to see the response of a system (e.g., changing the outside air temperature value from 50°F to 75°F to verify economizer operation). 

Owner – Contracted Tests – tests paid for by the owner outside the GC’s contract and for which the CA does not oversee. These tests will not be repeated during functional performance tests, if properly documented.

Phased Commissioning – commissioning that is completed in phases (by floors, for example) due to the size of the structure or other scheduling issues, in order to minimize the total construction time.

Pre-functional Checklist (PC) – a list of items to inspect and elementary component tests to conduct to verify proper installation of equipment, provided by the CA to the Sub. Pre-functional checklists are primarily static inspections and procedures to prepare the equipment or system for initial operation (e.g., belt tension, oil levels OK, labels affixed, gages in place, sensors calibrated, etc.). However, some pre-functional checklist items entail simple testing of the function of a component, a piece of equipment or system (such as measuring the voltage imbalance on a three-phase pump motor of a chiller system). The word pre – functional refers to before functional testing. Pre-functional checklists augment and are combined with the manufacturer’s start-up checklist. Even without a commissioning process, contractors typically perform some, if not many, of the pre-functional checklist items a commissioning agent will recommend. However, few contractors document in writing the execution of these checklist items. Therefore, for most equipment the contractors execute the checklists on their own. The commissioning agent only requires that the procedures be documented in writing, and does not witness much of the pre-functional checklisting, except for larger or more critical pieces of equipment.

Project Manager (PM) – the contracting and managing authority for the owner over the design and/or the construction of the project.

Sampling – functionally testing only a fraction of the total number of identical or near identical pieces of equipment. Refer to section 17100, Part 3.6, F for details.

Seasonal Performance Tests – functional performance test that is deferred until the system(s) will experience conditions closer to their design conditions.

Simulated Condition – condition that is created for the purpose of testing the response of a system (e.g., applying a hair blower to a space sensor to see the response in a VAV box).

Specifications – the construction specifications of the Contract Documents.

Start-up – the initial starting or activating of dynamic equipment, including executing Pre-functional checklists.

Subs – the subcontractors to the GC who provide and install building components and systems.

Test Procedures – the step-by-step process, which must be executed to fulfill the test requirements. The test procedures are developed by the CA.

Test Requirements – requirements specifying what modes and functions, etc. shall be tested. The test requirements are not detailed test procedures. The test requirements are specified in the Contract Documents.

Trending – monitoring using the building control system.

Vendor – supplier of equipment.

Warranty Period – warranty period for the entire project, including equipment components. Warranty begins at Substantial Completion and extends for at least one year, unless specifically noted otherwise in the Contract Document and accepted submittals.


A. The following systems will be commissioned in this project.

Mechanical Systems
Electrical Systems
___ Chillers ___ Power quality
___ Pumps ___ Fire and smoke alarm
___ Boilers ___ Fire protection systems
___ Piping systems ___ Communication system
___Ductwork ___ Other
___ Variable frequency drives
___ Air handlers
___Terminal units (air)
___ Unit heaters
___ HVAC control system
___ Service water heaters
___ Fire and smoke dampers
___ Indoor air quality
___ Testing, Adjusting & Balancing work
___ Chemical treatment systems
___ Equipment vibration control
___ Other



A. All standard testing equipment required to perform start-up and initial checkout and required functional performance testing shall be provided by the Division contractor for the equipment being tested. For example, the mechanical contractor of Division 15 shall ultimately be responsible for all standard testing equipment for the HVAC system and controls system in Division 15, except for equipment specific to and used by TAB in their commissioning responsibilities. Two-way radios shall be provided by the Division contractor.

B. Special equipment, tools and instruments (only available from vendor, specific to a piece of equipment) required for testing equipment, according to these Contract Documents shall be included in the base bid price to the Contractor and left on site, except for stand-alone data logging equipment that may be used by the CA.

C. Data-logging equipment and software required to rest equipment will be provided by the CA but shall not become the property of the owner.

D. All testing equipment shall be of sufficient quality and accuracy to test and /or measure system performance with the tolerances specified in the Specifications. If not otherwise noted, the following minimum requirements apply: Temperature sensors and digital thermometers shall have a certified calibration within the past year and a resolution of + or – 0.1°F. Pressure sensors shall have an accuracy of + or – 2.0% of the value range being measured (not full range of meter) and have been calibrated within the last year. All equipment shall be calibrated according to the manufacturer’s recommended intervals and when dropped or damaged. Calibration tags shall be affixed or certificates readily available.



A. Scoping Meeting – Within 60 to 90 days, depending on building size prior to the commencement of construction, the CA will schedule, plan and conduct a commissioning scoping meeting with the entire commissioning team in attendance. Meeting minutes will be distributed to all parties by the CA.

B. Miscellaneous Meetings – Other meetings will be planned and conducted by the CA as construction progresses. These meetings will cover coordination, deficiency resolution and planning issues with particular Subs. The CA will plan these meetings and will minimize unnecessary time being spent by Subs. For large projects, these meetings may be held bi-monthly, until the final three (3) months of construction when they may be held as frequently as one per week.


A. The CA will provide regular reports to the PM and CM as deemed necessary, with increasing frequency as construction and commissioning progresses.

B. The CA will regularly communicate with all members of the commissioning team, keeping them apprised of commissioning progress and scheduling changes through memos, progress reports, etc. 

C. Testing or review approvals and non-conformance and deficiency reports are made regularly with the review and testing as described in later sections.

D. A final summary report by the CA will be provided to the PM and CM focusing on evaluating commissioning process issues and identifying areas where the process could be improved. All acquired documentation, logs, minutes, reports, deficiency lists, communications, findings, unresolved issues, etc., will be compiled in appendices and provided with the summary report. Pre-functional Checklists, TAB verification results, functional performance test results and monitoring reports will also be part of the final report, along with the O&M manuals.


A. The CA will provide appropriate contractors with a specific request for the type of submittal documentation the CA requires to facilitate the commissioning work. These requests will be integrated into the normal submittal process and protocol of the construction team. At minimum, the request will include the manufacturer and model number, the manufacturer’s printed installation and detailed start-up procedures, full sequences of operation, and O&M data, performance data and performance curves, any performance test procedures, control drawings and details of owner contracted tests.

B. The Commissioning Agent will review and submit written comments on submittals related to the commissioned equipment for conformance to the Contract Documents. This review is intended to aid in the development of functional performance testing procedures as well as verify compliance with equipment specifications. The Commissioning Agent will notify the PM, CM and/or A/E as requested, of items missing or areas that are not in conformance with the Contract Documents and which require resubmission.

C. The CA may request additional design narrative from the A/E and Controls Contractor, depending on the completeness of the design intent documentation and sequences provided with the specifications.

D. These submittals to the CA do not constitute compliance for O&M manual documentations. The O&M manuals are the responsibility of the Contractor, though the CA will review them and confirm whether or not they are acceptable.


A. The following procedures apply to all equipment to be commissioned, according to Section 1.7, Systems to be commissioned. Some systems that are not comprised so much of actual dynamic machinery, e.g., electrical system power quality, may have very simplified PCs and start-up.

B. General: Pre-functional checklists are important to ensure that the equipment and systems are operational. It ensures that functional performance testing (in-depth system checkout) may proceed without unnecessary delays. Each piece of equipment receives full pre-functional checkout. No sampling strategies are used. The pre-functional testing for a given system must be successfully completed prior to the beginning of the TAB field work and formal functional performance testing of equipment or subsystems of the given system.

C. Start-up and Initial Checkout Plan: The CA shall assist the commissioning team members responsible for start-up of any equipment in developing detail start-up plans for all equipment. The primary role of the CA in this process is to ensure that there is written documentation that each of the manufacturer-recommended procedures have been completed. Parties responsible for pre-functional checklists and start-up are identified in the commissioning scoping meeting and in the checklist forms.

1. The CA adapts the pre-functional checklists and procedures. These checklists indicate required procedures to be executed as part of start-up and initial checkout of the systems and the responsible party.

2. These checklists and test are provided by the CA to the Contractor. The Contractor determines which trade is responsible for executing and documenting each of the line item tasks and notes that trade on the form. Each form will have more than one trade responsible for its execution.

3. The subcontractor’s responsibility for the purchase of the equipment develops the full start-up plan by combining (or adding to) the CA’s checklists with the manufacturer’s detailed start-up and checkout procedures from the O&M manual and the normally used field checkout sheets. The plan will include checklists and procedures with specific boxes or lines for recording and documenting the checking and inspections of each procedure and a summary statement with a signature block at the end of the plan.

4. The full start-up plan could consist of something as simple as:
a. The CA’s pre-functional checklists.
b. The manufacturer’s standard written start-up procedures copied from the installation manuals with check boxes by each procedure and a signature block added by hand at the end.
c. The manufacturer’s normally used field checkout sheets.

5. The subcontractor shall submit the full start-up plan to the CA for review and confirmation of acceptability.

6. The CA reviews the procedures and the format for documenting them, noting any procedures that need to be added.

7. The full start-up procedures form shall be provided to the A/E and PM for review and approval, depending on management protocol.

D. Sensor Calibration: Control system PTP checkout and calibration of all sensors shall be included as part of the pre-functional checklists performed by the Controls Contractor, according to the following procedures:

1. All Sensors: Verify that sensors with shielded cable are grounded only at one end. For sensor pairs that are used to determine a temperature or pressure difference, make sure they are reading with in 0.2°F of each other for temperature and with in a tolerance of equal to 2% of the reading of each other, for pressure. Tolerances for critical applications will be stricter.
2. Sensors without Transmitters – Standard Application: Make a reading with a calibrated test instrument within 6 inches of the site sensor. Verify that the sensor reading (via the permanent thermostat, gage or building automation system (BAS) is within the tolerances in the table below of the instrument measured value. If not, calibrate or replace sensor.
3. Sensors with Transmitters – Standard Application: Disconnect sensor. Connect a signal generator in place of the sensor. Connect ammeter in series between transmitter and BAS control panel. Using manufacturer’s resistance-temperature data, simulate minimum desired temperature. Adjust transmitter potentiometer zero until 4mA is read by the ammeter. Repeat for the maximum temperature matching 20mA to the potentiometer span or maximum and verify at the BAS. Reconnect sensor. Make a reading with the calibrated test instrument within 6 inches of the site sensor. Verify that the sensor reading (via the permanent thermostat, gage or building automation system (BAS)) is within the tolerances in the table below of the instrument-measured value. If not, replace sensor and repeat. For pressure sensors, perform a similar process with a suitable signal generator.

E. Execution of Pre-functional Checklists and Start-up

1. Six (6) weeks prior to start-up, the Subs and vendors schedule start-up with the PM, GC and CA. The performance of the pre-functional checklists, start-up and checkout are directed and executed by the Sub or vendor. When checking off pre-functional checklists, signatures will be required of other Subs for verification of completion of their work.

2. The CA shall observe, at minimum, the procedures for each piece of primary equipment, unless there are multiple units, (in which case a sampling strategy may be used as approved by the CA.

3. For lower-level components of equipment, (e.g., VAV boxes, sensors, controllers), the CA shall observe a sampling of the pre-functional and start-up procedures. The sampling procedures are identified in the commissioning Plan.

4. The Subs and vendors shall execute start-up and provide the CA with a signed and dated copy of the completed start-up and pre-functional tests and checklists and/or PTP checkout sheets.

5. Only individuals that have direct knowledge and witnesses that a line item task on the pre-functional checklist was actually performed shall initial or check that item off. It is not acceptable for witnessing supervisors to fill out these forms.

F. Deficiencies, Non-Conformance and Approval in Checklists and Start-up

1. The Subs shall clearly list any outstanding items of the initial start-up and pre-functional procedures that were not completed successfully on an attached sheet. The procedures form and any outstanding deficiencies are to be provided to the CA within two (2) days of test completion.

2. The CA will review the report and submit it with his comments to the Sub and the PM. The CA shall oversee the Subs and the vendors in collecting and retesting deficiencies or uncompleted items. The installing Subs or vendors shall correct all areas that are deficient in the checklists and tests in a timely manner, and shall notify the CA as soon as outstanding items have been corrected and resubmit an updated start-up report and a Statement of Correction on the original non-compliance report. When satisfactorily completed the CA recommends approval of the execution of the checklists and start-up of each system to the PM using a standard form.

3. Items left incomplete, which later cause deficiencies or delays during functional testing, may result in backcharges to the responsible party. Refer to Part 3.7 herein for details.


A. This sub-section applies to all commissioning functional testing for all divisions.

B. Objectives and Scope: The objective of functional performance testing is to demonstrate that each system is operating according to the documented design intent and Contract Documents. Functional testing facilitates bringing the systems from a state of substantial completion to full dynamic operation. Additionally, during the testing process, areas of deficient performance are identified and corrected, improving the operation and functioning of the systems.

C. Development of Test Procedures: Before test procedures are written, the CA shall obtain all requested documentation, equipment or systems, including an updated points list, program code, control sequences and parameters. The CA will develop specific test procedures and forms to verify and document proper operation of each piece of equipment and system. Prior to execution, the CA shall provide a copy of the test procedures to the Sub (s) who shall review the tests of feasibility, safety, equipment and warranty protection. The CA shall submit the tests to the A/E for review, if requested.

The CA shall review owner-contracted, factory testing or required owner acceptance tests, including documentation format, and shall determine what further testing or format changes may be required to comply with the Specifications. Redundancy of testing shall be minimized.

The purpose of any given specific test is to verify and document compliance with the stated criteria of acceptance given on the test form. In general, the FPTs will be comprised of the following:

1. Sensor Calibration Checks / Equipment Room
2. Sensor Calibration Checks / Space
3. Device Calibration Checks
4. Functional Tests

D. Test Methods

1. Functional performance testing and verification will be achieved by a combination of manual testing (persons manipulate the equipment and observe performance) and simultaneous monitoring of the performance via the Building Automation System (BAS). Analysis of the results may also include using the control system’s trend log capabilities or stand-alone dataloggers. The CA may substitute specified methods referenced in other specification sections, or require an additional method to be executed, other than what was specified, with the approval of the A/E and PM. This may require a change order and adjustment in charge to the Owner. The CA will determine which method is most appropriate for tests that do not have a method specified.

2. Simulated Conditions: Simulating conditions (not by an overwritten value) shall be allowed, though timing the testing to experience actual conditions is encouraged wherever practical.

3. Overwritten Values: Overwriting sensor values to simulate a condition, such as overwriting the outside air temperature reading in a control system to be something other than it really is, shall be allowed, but shall be used with caution and avoided when possible. Such testing methods often can only test a part of a system, as the interactions and responses of other systems will be erroneous or not applicable. Simulating a condition is preferable, e.g., for the above case, by heating the outside air sensor with a heat source rather than overwriting the value or by altering the appropriate setpoint to see the desired response.

4. Simulated Signals: Using a signal generator which creates a simulated signal to test and calibrate transducers and DDC constants is generally recommended over using the sensor to act as the signal generator via simulated conditions or overwritten values.

5. Altering Setpoints: Rather than overwriting sensor values, and when simulating conditions is difficult, altering setpoints to test a sequence is acceptable. For example, to see the AC compressor lockout work at an outside air temperature below 55°F, when the outside air temperature is above 55°F, temporarily change the lockout setpoint to be 2°F above the current outside air temperature.

6. Indirect Indicators: Relying on indirect indicators for responses or performance shall be allowed only after visually and directly verifying and documenting, over the range of the tested of the tested parameters, that the indirect readings through the control system represent actual conditions and responses. Much of this verification is completed during pre-
functional testing.

7. Setup: Each function and test shall be performed under conditions that simulate conditions as close as is practically possible. The Sub executing the test shall provide all necessary materials, system modifications, etc. to produce necessary flows, pressures, temperatures, etc. necessary to execute the test according to the specified conditions. At completion of the test, the Sub shall return all affected building equipment and systems, due to these temporary modifications, to their pre-test condition.

8. Sampling: Multiple identical pieces of non-life-safety or otherwise non-
critical equipment may be functionally tested using a sampling strategy. Significant application differences and significant sequence of operation differences in otherwise identical equipment invalidates their common identity. A small size or capacity difference, alone, does not constitute a difference.

If at any point, frequent failures are occurring and testing is becoming more troubleshooting than verification, the CA will stop the testing and require the responsible Sub to perform and document a checkout of the remaining units, prior to continuing with functionally testing the remaining units.

E. Coordination and Scheduling: The Subs shall provide sufficient notice to the CA regarding their completion schedule for the pre-functional checklists and start-up of all equipment and systems. The CA will schedule functional tests through the PM, GC, and affected Subs. The CA shall direct, witness and document the functional testing of all equipment and systems. The Subs shall execute the tests.

In general, functional performance testing will be conducted after pre-functional testing and start-up has been satisfactorily completed, and after verification of the final TAB report. The control system shall be sufficiently tested and all PTP checkout sheets submitted to the CA for review prior to the start of the TAB field work. Once air balancing and water balancing has been completed and the final TAB report verification concluded, functional performance testing of air-related or water-related equipment or systems can begin. Testing proceeds from components to subsystems to systems. When the proper performance of all interacting individual systems has been achieved, the interface or coordinated responses between systems is checked.

F. Test Equipment: Refer to Section 17100, Part 2 for test equipment requirements.

G. Problem Solving: The CA will recommend solutions to problems found; however, the burden of responsibility to solve, correct and retest problems is with the GC, Subs, and A/E.


A. Documentation: The CA shall witness and document the results of all functional performance tests using the specific procedural forms developed for that purpose. Prior to testing, these forms are provided to the PM for review and approval and to the Subs for review. The CA will include the filled out forms in the O&M manuals.

B. Non-Conformance:

1. The CA will record the results of the functional performance test on the test forms. All deficiencies or non-conformance issues shall be noted and reported to the Owner and the PM via written interim reports.
2. Corrections of minor deficiencies identified may be made during the tests at the discretion of the CA. In such cases, the deficiency and resolution will be documented on the procedure form.
3. Every effort will be made to expedite the testing process and minimize unnecessary delays, while not compromising the integrity of the procedures.
4. As tests progress and a deficiency is identified, the CA discusses the issue with the executing contractor.

a. When there is no dispute on the deficiency and the Sub accepts responsibility to correct it:
1. The CA documents the deficiency and the Sub’s response and intentions, and they go on to another test or sequence. After a days work, the CA submits the non-compliance reports to the PM/owner for signature. A copy is provided to the Sub and CA. The Sub corrects the deficiency, signs the statement of correction at the bottom of the non-compliance form certifying that the equipment is ready to be tested and sends it back to the CA.
2. The CA reschedules the test, and the test is repeated.

b. If there is a dispute about a deficiency, regarding whether it is a deficiency or who is responsible:
1. The deficiency shall be documented with the Sub’s response and a copy given to the PM/Owner and the Sub's representative assumed to be responsible.
2. Resolutions shall be made at the lowest management level possible. Other parties are brought into the discussions as needed. Final interpretive authority is with the A/E. Final acceptance authority is with the Owner Representative.
3. The CA documents the resolution process.
4. Once the interpretation and resolution have been decided, the appropriate party corrects the deficiency, signs a statement of correction and provides it to the CA. The CA reschedules the test, and the test is repeated until satisfactory performance is achieved.

5. Cost of Retesting

a. The cost for the Sub to retest a pre-functional or functional test, if they are responsible for the deficiency, shall be theirs. If they are not responsible, any cost recovery for retesting costs shall be negotiated with the GC.
b. For a deficiency identified, not related to any pre-functional checklist or start-up fault, the following shall apply. The CA and PM will direct the retesting of the equipment once at no “charge” to the GC for their time. However, the CA’s and PM’s time for a second retest will be charged to the GC, who may choose to recover costs from the responsible Sub.
c. The time for the CA and PM to direct any retesting required because a specific pre-functional checklist or start-up test item, reported to have been successfully completed, but determined during functional testing to be faulty, will be backcharged to the GC. The GC may choose to recover costs from the party responsible for executing the faulty pre-functional test.

6. The contractor shall respond in writing to the CA and PM at least as often as commissioning meetings are being scheduled concerning the status of each apparent outstanding discrepancy identified during commissioning. Discussion shall cover explanations of any disagreements and proposals for their resolution.

7. The CA retains the original non-conformance forms until the end of the project.

C. Failure Due to Manufacturer’s Defects: If 10% of identical pieces of equipment (size alone does not constitute a difference) fail to perform in accordance with the Contract Documents (mechanically or substantively) due to a manufacturing defect, not allowing it to meet its submitted performance spec, all identical units may be considered unacceptable by the CM or PM. In such case, the Contractor shall provide the Owner with the following:

1. Within one (1) week of notification from the PM, the Contractor or manufacturer’s representative shall examine all other identical units making a record of the findings. The findings shall be provided to the PM within two (2) weeks of the original notice.

2. Within two (2) weeks of the original notification, the Contractor or manufacturer shall provide a signed and dated, written explanation of the problem, cause of failures, etc. and all proposed solutions which shall include full equipment submittals. The proposed solutions shall not significantly exceed the specification requirements of the original installation.

3. The PM/Owner will determine whether a replacement of all identical units or a repair is acceptable.

4. Two (2) examples of the proposed solution will be installed by the Contractor and the PM will be allowed to test the installations for up to one week, upon which the PM will decide whether to accept the solution.

5. Upon acceptance, the Contractor and/or manufacturer shall replace or repair all identical items, at their expense and extend the warranty accordingly, if the original equipment warranty had begun. The replacement/repair work shall proceed with reasonable speed beginning within one week from when parts can be obtained.

D. Approval: The CA notes each satisfactorily demonstrated function on the test form. Formal approval of the functional test is made later after review by the CA and by the PM, if necessary. The CA recommends acceptance of each test to the Owner using a standard form.


A. Standard O&M Manuals

1. The specific content and format requirements for the standard O&M manuals are detailed elsewhere throughout the specifications. Special requirements for the controls contractor and TAB agency are found in their respective sections of the specifications.

2. A/E Contribution: The A/E will include in the beginning of the O&M manuals a separate section describing the systems including:

a. The design intent narrative prepared by the A/E and provided as part of the bid documents, updated to as-built status by the A/E.

b. Simplified professionally drawn single line system diagrams on 8 ½” x 11” or 11” x 17” sheets. These shall include chillers, water system, condenser water system, heating systems, supply air systems, exhaust systems and others as designated. These shall show major pieces of equipment such as pumps, chillers, boilers, control valves, expansion tanks, coils, service valves, etc.

3. CA Review: Prior to substantial completion, the CA shall review the O&M manuals, documentation and redline as-builts for systems that were commissioned and list other systems documentation that the CA should review to verify compliance with the Specifications. The CA will communicate deficiencies in the manuals to the PM or A/E, as requested. Upon a successful review of the corrections, the CA recommends approval and acceptance of these sections of the O&M manuals to the PM or A/E. The CA also reviews each equipment warranty and verifies that all requirements to keep the warranty valid are clearly stated. This work does not supersede the A/E’s review of the O&M manuals according to the A/E’s contract.

B. Commissioning Record in O&M Manuals

1. The CA is responsible to compile, organize and index all commissioning data by equipment into labeled, index and tabbed, three-ring binders and deliver it to the GC, to be included with the O&M manuals. Three (3) copies of the manuals will be provided.

2. Other documentation will be retained by the CA.


A. The GC shall be responsible for training coordination and scheduling and ultimately for ensuring that training is complete.

B. The CA shall be responsible for overseeing and approving the conduct and adequacy of the training of Owner personnel for commissioned equipment.

1. The CA shall interview the facility manager and lead engineer to determine the special needs and areas where training will be most valuable. The Owner and CA shall decide how rigorous the training should be for. The CA shall communicate the results to the Subs and vendors who have training responsibilities.

2. In addition to these general requirements, the specific training requirements of Owner personnel by Subs and vendors is specified in Division 15 and 16 and list other sections where training requirements are found.

3. Each Sub and vendor responsible for training will submit a written training plan to the CA for review and approval prior to training. The plan will cover the following elements:

a. Equipment (included in training)
b. Intended audience
c. Location of training
d. Objectives
e. Subjects covered (description, duration of discussion, special methods, etc.)
f. Duration of training on each subject
g. Instructor for each subject
h. Methods (classroom lecture, video, site walk-through, actual operational demonstrations, written handouts, etc.)
i. Instructor and qualifications

4. For the primary HVAC equipment, the Controls Contractor shall provide a short discussion of the control of the equipment during the mechanical or electrical training conducted by others.

5. The CA develops an overall training plan and coordinates and schedules, with the PM and GC, the overall training for the commissioned systems. The CA develops criteria for determining that the training was satisfactorily completed, including attending some of the training, etc. The CA recommends approval of the training to the PM using a standard form. The PM also signs the approval form.

6. At one of the training sessions, the CA discusses the use of the blank functional test forms for the re-commissioning equipment.

7. At the first training session, the mechanical design engineer will present the overall system design concept and the design concept of each equipment section. This presentation shall be one hour in length and include a review of all systems using the simplified system schematics (one-line drawings) including chilled water systems, condenser water or heat rejection systems, heating systems, and gas supply systems, supply air systems, exhaust systems and outside air strategies.


A. Unforeseen Deferred Tests: If any check or test cannot be completed due to the building structure, required occupancy condition or other deficiency, execution of checklists and functional testing may be delayed upon approval by the PM. These tests will be conducted in the same manner as the seasonal tests as soon as possible. Services of necessary parties will be negotiated.

B. Seasonal Testing: During the warranty period, seasonal testing (test delayed until weather conditions are closer to the system’s design) specified in other sections of the specifications (eg. Testing and Balancing) shall be completed as part of this contract. The CA shall coordinate this activity. Tests will be executed, documented and deficiencies corrected by the appropriate Subs, with facilities staff and the CA witnessing. Any final adjustments to the O&M manuals and as-builds due to the testing will be made.

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