N.Y. Comp. Codes R. & Regs. tit. 6 § 638.8

Current through Register Vol. 46, No. 45, November 2, 2024

Section 638.8 - Commissioning

(a) Applicability. This Part sets forth the requirements for commissioning of the mechanical plant of a base building. This includes:

(1) those systems, equipment and components of the mechanical plant that affect energy consumption; and

(2) indoor air quality systems, equipment and components that affect mechanical ventilation. These commissioning requirements do not apply to the mechanical plant, if any, of tenant space. These requirements do not apply to components that do not affect the energy use of the building, such as safety controls.

(b) Commissioning process. The owner must implement the commissioning process summarized below.

(1) Commissioning steps.

(i) Designate a qualified commissioning authority (CA).

(ii) Ensure that the:

(a) individuals or firms performing the design of the base building or tenant space(s);

(b) the commissioning agent; and

(c) the commissioning authority fulfill their roles and responsibilities in accordance with subdivisions (c) and (d) of this section.

(2) Systems to be commissioned.

(i) All base building heating, ventilating, and air-conditioning (HVAC) systems, equipment and components that affect energy use must be commissioned.

(ii) All indoor air quality systems that affect the operation of the HVAC ventilation system of the base building must be commissioned.

(iii) The following list of systems, equipment and components must be commissioned:

(a) chillers, unitary and split-air conditioners, boilers, furnaces, and domestic hot water and service hot water heaters;

(b) cooling towers, fans, pumps, heat exchangers;

(c) controls for central plant and for HVAC, including, if present, the energy management system or the portion of the building automation system (BAS) that affects energy use;

(d) ducts and associated dampers;

(e) piping and associated valves;

(f) duct insulation and pipe insulation;

(g) duct system protection during construction, as related to indoor air quality;

(h) air quality monitoring systems as they relate to ventilation systems;

(i) renewable and alternative energy technologies, as appropriate per mechanical plant definition;

(j) waste heat recovery; and

(k) thermal storage.

(iv) In addition to the systems, equipment and components listed in subparagraph (iii) of this paragraph, other systems, equipment and components that are used for heating, cooling, or ventilation and that affect energy use or indoor air quality must also be commissioned.

(c) Responsibilities of primary participants in commissioning.

(1) Designers. The individuals or the firms that design each system to be commissioned must prepare in writing the following:

(i) design intent;

(ii) basis of design; and

(iii) full sequences of operation for all equipment and systems, all of which must meet the requirements of this Part and industry standards.

(2) Commissioning agent. The commissioning agent must perform the functional testing of equipment, documented by the commissioning authority, using forms approved by the commissioning authority, all of which must meet the requirements of this Part and industry standards.

(3) Commissioning authority.

(i) The commissioning authority must:

(a) develop a commissioning plan;

(b) document performance (i.e., determine and document whether systems, equipment and components are functioning in accordance with the documented design intent and in accordance with the construction documents);

(c) for the purposes of this Part, the commissioning authority (CA) cannot be responsible for design concept, design criteria, compliance with codes, design or general construction scheduling, cost estimating, or construction management;

(d) review and approve the design intent, basis of design, and sequence of operation. Commissioning authority approval is solely for the purpose of ensuring that sufficient information is contained therein to perform commissioning and must not constitute approval for any other purpose; and

(e) develop, or assist with developing and approve, or review and approve, the following written work products:

(1) commissioning specifications;

(2) commissioning plan;

(3) start-up and check-out checklists and procedures;

(4) functional performance testing procedures and checklists;

(5) testing, adjusting, and balancing (TAB) plan;

(6) operations and maintenance manual;

(7) systems and energy management manual; and

(8) commissioning report.

Commissioning authority approval is solely for the purpose of ensuring that the above are in accordance with the commissioning requirements and must not constitute approval for any other purpose.

(4) Verify and document installation of systems, equipment and components. This activity must ensure the following:

(i) that systems, equipment and components are installed according to construction documents and manufacturer's instructions;

(ii) that other building systems or components are not compromising the efficacy of the systems or features being commissioned; and

(iii) that any required differences between the final installation and the original construction documents are documented.

(5) Verify, document, and approve that the start-up and checkout were completed and performed as required by subdivision (h) of this section.

(6) Witness all or part of the HVAC piping test and flushing procedure, sufficient to be confident that proper procedures were followed. Document this testing and verify that this documentation is included in operations and maintenance manuals. Notify owner of any deficiencies in results or procedures.

(7) Witness all or part of any duct testing and cleaning procedures, sufficient to be confident that proper procedures were followed. Document this testing and verify that this documentation is included in operations and maintenance manuals. Notify owner of any deficiencies in results or procedures.

(8) Witness sufficient functional testing of the control system and approve it to be used for TAB, before TAB is executed.

(9) Verify, document, and approve that functional performance tests were performed as required by this Part. See subdivision (i) of this section for details.

(10) Maintain a master log for deficiencies and resolutions, and maintain a separate testing record. Provide to the owner written progress reports regarding issues related to the commissioning (e.g., progress being made, issues to resolve, milestones met, test results, recommended actions).

(11) Review the operations and maintenance manual for the completeness of all features components, equipment, subsystems, and systems that are commissioned in accordance with this Part.

(12) Oversee and approve the training of the owner's operations and maintenance personnel. See subdivision (j) of this section for details.

(13) Verify, document and approve required seasonally- deferred testing and corrections of any deficiencies. Document final testing and verify that this documentation is included in the commissioning report and in operations and maintenance manuals.

(14) Return to the site between six months and one year of building occupancy and review with facility staff the then current building operation and all outstanding issues related to the original commissioning and any seasonally deferred testing. Also interview facility staff and identify problems or concerns they have with operating the building as originally intended. Make suggestions for improvements and for recording these changes in the operations and maintenance manual and in the systems and energy management manual. Compliance with this paragraph is required before the submission of the eligibility certificate for the second taxable year for which the green building credit is claimed.

(d) Qualifications of the commissioning authority and commissioning agent.

(1) The commissioning authority's primary representative that will be fulfilling the responsibilities of the commissioning authority must have a professional engineer's license earned for mechanical engineering and must have a minimum of five years of experience in HVAC engineering.

(2) The commissioning authority must approve the qualifications of the commissioning agent.

(3) The commissioning agent and commissioning authority may be the same organization or person.

(4) A qualified member of the architecture or engineering firm or company that performs the design may act as the commissioning authority; however, such an individual must not be responsible for any aspect of the project design, or construction management or supervision for the subject building. In addition, reporting of all conditions and findings must be immediate and direct from the commissioning authority to the owner.

(e) Design intent and basis of design. A design intent narrative and a basis of design narrative must be developed.

(1) An overall design intent narrative is required for the following:

(i) space temperature and humidity criteria;

(ii) thermal zoning criteria;

(iii) level of occupant control over HVAC systems (e.g., direct local control at the space level, control only at a central energy management system level);

(iv) ventilation requirements and related indoor air quality criteria;

(v) performance criteria related to energy efficiency;

(vi) environmental responsiveness of the facility; and

(vii) commissioning criteria.

(2) The basis of design must include at a minimum the following:

(i) occupancy;

(ii) space and process requirements;

(iii) applicable codes, policies, and standards;

(iv) design assumptions (e.g., heating/cooling load, and climatic);

(v) performance standards, benchmarks or metrics;

(vi) interaction between systems affecting intended performance; and

(vii) control system appropriate for the skill of the operations and maintenance staff. The design intent and basis of design must become part of the operations and maintenance manual and of the systems and energy management manual.

(f) Commissioning plan.

(1) A commissioning plan covering a given system, equipment or component is required before such system, element or component is commissioned.

(2) The commissioning plan must address the following:

(i) an overview of the tasks to be executed during commissioning;

(ii) a list of all features to be commissioned;

(iii) a list of reference documents related to commissioning, including specification references, drawing list, and submittal drawings;

(iv) a list of primary participants in the commissioning process and their responsibilities;

(v) a plan for management, communication and documentation;

(vi) an outline of the scope of the commissioning process, including submittal review, inspection, start-up, testing, training, operations and maintenance manual, systems and energy management manual;

(vii) a brief description of the checklists and tests to be performed, with reference to specific pre-start and start-up checklists;

(viii) a list of the functional performance tests to be performed to verify proper operation of all commissioned systems, including prerequisite activities and reference to specific checklists or worksheets which are necessary;

(ix) where the commissioning authority is not the commissioning agent, a description of the process to be performed by the commissioning authority to verify that the systems are operating as indicated in the documentation provided by the commissioning agent;

(x) a brief description of the content of the training to be provided to the operations and maintenance personnel;

(xi) the expected written work products, including checklist, worksheets, and testing procedures; and

(xii) an activity schedule.

(g) Commissioning specifications.

(1) Commissioning specifications must be included in the construction documents.

(2) The commissioning specifications must include the following:

(i) scope and details of the commissioning process;

(ii) qualifications and skills required by the commissioning agent;

(iii) a detailed description of the responsibilities of all parties included in the commissioning process;

(iv) systems, equipment and components to be commissioned;

(v) requirements for prefunctional checklist and start-up;

(vi) the functional performance testing process;

(vii) specific functional performance test requirements, including testing conditions and acceptance criteria for each piece of equipment being commissioned;

(viii) provisions for resolving deficiencies;

(ix) requirements for reporting and documentation for commissioning;

(x) requirements for training;

(xi) requirements for operations and maintenance manual, and for systems and energy management manual; and

(xii) schedule.

(h) Start-up and checkout. Start-up and checkout must comprise the checks and tests to determine that all components, equipment, subsystems, systems, and interfaces between systems operate in accordance with construction documents. In this context, operate includes all modes and sequences of control operation, interlocks and conditional control responses, and specified responses to abnormal or emergency conditions.

(1) The results of the start-up and checkout must be documented and must be performed according to:

(i) the manufacturer's written instructions for the systems and equipment being commissioned; and

(ii) the construction documents.

(2) A certificate of readiness must be prepared by the contractor and delivered to the commissioning authority stating that start-up and checkout have been successfully completed and that all equipment, systems, and controls are complete and ready for functional performance testing.

(i) The commissioning authority must verify that initial start-up and checkout were successfully completed.

(ii) The commissioning authority must verify that every point of the control system was checked and that every control point is commanding, reporting and controlling as specified in the construction documents. Verification must include a minimum sample of each type of control point. In addition, the controls that are verified must be within a minimum sample of each type of component, equipment, subsystem and system where the sensor type is installed. If any control point in the minimum sample is not commanding, reporting and controlling as specified in the construction documents, then an additional minimum sample of each type of control found not to be performing must be checked, until all control points in a minimum sample are found to be performing as specified.

(iii) The commissioning authority must verify that all sensors have been calibrated so that the value reported in the control system represents the actual local value. Verification must include re-calibrating a minimum sample of each type of sensor. In addition, the sensors that are re-calibrated must be within a minimum sample of each type of component, equipment, subsystem and system where the sensor type is installed. If any sensor in the minimum sample is out of calibration, then an additional minimum sample of each type of sensor found to be out of calibration must be re-calibrated, until all sensors in a minimum sample are found to be in calibration.

(iv) The commissioning authority must verify that all actuators have been adjusted to fully close and open dampers and valves, and also must verify by visual observation that the reported values in the control system are correct. Verification must include checking the operation of a minimum sample of each type of actuator, valve, and damper. In addition, the actuator, valve, and damper must be within a minimum sample of each type of component, equipment, subsystem and system where the type of actuator, valve, and damper is installed. If any actuator, valve, or damper in the minimum sample does not operate as required in the construction documents, then an additional minimum sample of each type of actuator, valve, or damper found not to be operating as required must be verified until all actuators, valves, or dampers in a minimum sample are found to be to be operating as required.

(v) The commissioning authority must verify the TAB by re-measuring a minimum sample of values reported for each type of component, equipment, subsystem, or system in the TAB reports. In addition, the values that are re-measured must be within a minimum sample of each type of subsystem and each type of system. If any re-measured value in the minimum sample deviates from the values in the TAB report or from the requirements in the construction documents by more than 10 percent, then an additional minimum sample must be re-measured for each type of component, equipment, subsystem or system for which there is a deviation, until all re-measured values in a minimum sample are within 10 percent of the values in the TAB report or of the requirements in the construction documents.

(vi) The commissioning authority must:

(a) check that chimneys, chimney connectors and stacks are free of cracks, blockages and leaks;

(b) ensure that proper combustion air is provided to the HVAC equipment;

(c) ensure that all appliances are installed in accordance with applicable fire safety and local building codes; and

(d) witness the testing of air-tightness of smoking areas (if any), and document that all air leaks, if any, were sealed.

(i) Functional performance testing.

(1) Written, repeatable test procedures must be prepared specifically for the project and must be used to functionally test equipment, components, subsystems, systems, and sequences and modes of operation. Test procedures must be documented to describe the individual test procedure, the expected system response, and acceptance criteria for each procedure.

(2) Testing documentation must identify the actual system response and must provide any pertinent observations or discussion.

(3) After initial check-out has been verified and approved by the commissioning authority, then the following must be tested:

(i) Each sequence in the sequence of operations must be tested. Additionally, other significant modes, sequences and control strategies not mentioned in the written sequences must be tested. The testing must include the following:

(a) start-up;

(b) shutdown;

(c) unoccupied and manual modes;

(d) modulation up and down the unit's range of capacity, if applicable;

(e) staging, if applicable;

(f) power failure/power down;

(g) alarms;

(h) backup upon failure; and

(i) interlocks with other equipment.

(ii) The functional performance of each type of component, equipment, subsystem, and system must be tested using a minimum sample for each type of component, equipment, subsystem and system. If any component, equipment, subsystem or system in the minimum sample is found not to operate as required in the construction documents, then an additional minimum sample of each type found not to be operating as required must be tested until all units in a minimum sample are found to be operating as required.

(iii) Equipment must be tested to demonstrate performance under near-design conditions. To this end, tests on respective HVAC equipment and systems must be executed during both the heating and cooling season. However, overriding of control values to simulate cooling conditions during the heating season, and heating conditions during the cooling season is allowed where it would not affect the demonstrated performance required in the construction documents for the component, equipment, subsystem, system, or mode or sequence of operation being tested. Where the conditions listed above in this paragraph are not met, seasonally deferred testing must be undertaken.

(iv) The central plant (heating and cooling) must have its efficiency recorded for later reference by operations staff.

(v) Functional performance testing must be done using manual methods, or control system trend logs and read-outs, or stand-alone data loggers, as deemed appropriate by the commissioning authority.

(j) Training.

(1) The commissioning authority must assemble written verification that training of operations and maintenance personnel was conducted for all commissioned features and systems.

(2) The training program for operations and maintenance personnel must include instructional and demonstration portions.

(3) The owner must identify for the purpose of training the specific in-house personnel or contracted organization that will be responsible for the operations and maintenance for the building. Training must be performed within six months of the date that either the initial or subsequent statement of commissioning certification, as appropriate as determined by the commissioning authority, has been executed. Qualified personnel must perform training for a sufficient duration of time to ensure that facility staff for the building has all the information they need to properly operate, maintain and replace each feature or system that is commissioned.

(4) In addition, if operations and maintenance personnel change during the period that the tax credit provided for in this part is taken, the replacement personnel must receive the training required by these regulations. Written verification that this training was conducted must be maintained.

(5) The operations and maintenance manual, and the systems and energy management manual must be available for and used for the training.

(6) The instructional portion of the training program must cover at least the following:

(i) general purpose of each building system (i.e., design intent) including theory of operation, capabilities and limitations, and modes of control and sequences of operation in the subject building;

(ii) use of the operations and maintenance manual and of the systems and energy management manual;

(iii) review of control drawings and schematics;

(iv) procedures for start-up, shutdown, seasonal changeover, normal operation, unoccupied operation, and manual operation;

(v) controls set-up and programming;

(vi) troubleshooting;

(vii) alarms;

(viii) interactions with other systems;

(ix) operational monitoring and record keeping, including what should be monitored, what useful information can come from monitored data, and why that information is important to analyzing system operation;

(x) adjustments and optimizing methods for energy conservation;

(xi) relevant health and safety issues;

(xii) inspection, service, and maintenance requirements for each system, including any requirements for special skills and knowledge that may best be met by specialized service contractors;

(xiii) sources for replacement parts/equipment;

(xiv) tenant interaction issues; and

(xv) why certain features are environmentally responsive (i.e., save energy, improve indoor air quality (IAQ), reduce toxic materials, reduce waste).

(7) The demonstration portion of the training program must include at least the following:

(i) Operation of each system, or typical examples if there are several similar systems in the building.

(ii) Start-up and shutdown procedures, operation under all specified modes of control and sequences of operation, and the correct procedures under emergency or abnormal conditions.

(iii) Procedures necessary for effective operational monitoring, as appropriate, but particularly for projects with direct digital control systems incorporating trending and graphing features.

(k) Manuals.

(1) Operations and maintenance (O&M) manual.

(i) The operations and maintenance data must be complete and must be accessible by the operations and maintenance personnel and the owner.

(ii) The operations and maintenance manual must include for each piece of equipment and each system:

(a) the name, address and telephone number of the manufacturer or vendor and installing contractor;

(b) submittal data; and

(c) operations and maintenance instructions with the models and features for the subject site clearly marked.

(iii) The operations and maintenance manual must be edited to include only data for equipment that is actually installed. The data must include the following:

(a) instructions for installation, maintenance, replacement, start-up;

(b) special maintenance requirements and sources for replacement parts/equipment;

(c) parts list;

(d) list of special tools required;

(e) performance data; and

(f) warranty information.

(iv) The manual must also include an as-built documentation package for controls that includes information related to the following:

(a) normal operation;

(b) shutdown;

(c) unoccupied operation;

(d) seasonal changeover;

(e) manual operation;

(f) controls set-up and programming;

(g) troubleshooting;

(h) alarms;

(i) control drawings and schematics; and

(j) final sequences of operation.

(2) Systems and energy management manual.

(i) In addition to the operations and maintenance manual and the commissioning report, a systems and energy management manual must be developed and delivered to the owner.

(ii) The following components must be included in the systems and energy management manual even though some parts may also be found in the operations and maintenance manual:

(a) narratives for the final design intent and basis of design, including brief descriptions of each system;

(b) final sequences of operations for all equipment;

(c) procedures for seasonal start-up and shutdown, manual and restart operation;

(d) as-built control drawings;

(e) for all energy-saving features and strategies, rationale description, operating instructions, and caveats about their function and maintenance relative to energy use;

(f) recommendations and brief method for appropriate accounting of energy use of the whole building.

(g) recommendations for re-calibration frequency of sensors and actuators by type and use;

(h) plans for continuous commissioning or recommended frequency for re-commissioning by equipment type, with reference to tests conducted during initial commissioning;

(i) recommendations regarding seasonal operational issues affecting energy use;

(j) list of all user-adjustable set points and reset schedules, with a discussion of the purpose of each and the range of reasonable adjustments with energy implications;

(k) schedule of how frequently to review the various setpoints and reset schedules to ensure they still are at current, relevant, and efficient values;

(l) list of time-of-day schedules and a frequency to review them for relevance and efficiency;

(m) guidelines for establishing and tracking benchmarks for building energy use and primary plant equipment efficiencies;

(n) guidelines for ensuring that future renovations and equipment upgrades will not result in decreased energy efficiency and will maintain the design intent;

(o) list of diagnostic tools, with a description of their use, that will assist facility staff for the building in operating equipment more efficiently; and

(p) a copy of the commissioning report; and

(q) index of all commissioning documents with notation as to their location.

(l) Commissioning report.

(1) After all commissioning tasks except seasonally deferred testing have been completed, a commissioning report must be delivered to the owner.

(2) The report must include:

(i) an executive summary;

(ii) list of participants and their respective roles;

(iii) a brief building description;

(iv) an overview of the scope of commissioning and testing;

(v) a general description of testing and verification methods; and

(vi) a list of each feature or system commissioned.

(3) For each piece of commissioned equipment, the report must contain the determination of the commissioning authority regarding the adequacy of the equipment, documentation and training.

(4) The commissioning report must address the following areas:

(i) adequacy of equipment with respect to construction documents and design intent;

(ii) equipment installation;

(iii) functional performance and efficiency;

(iv) equipment documentation;

(v) operations and maintenance review and recommendations; and

(vi) operator training.

(5) The functional performance and efficiency section for each piece of equipment must identify the verification method used (manual testing, trend logs of the building automation system, data loggers) and must include observations and conclusions from the testing.

(6) The report must also include a list of outstanding commissioning issues and any testing that is scheduled for a later date due to weather conditions (i.e., seasonally deferred testing).

(i) All outstanding deficiencies identified during or as a result of commissioning activities as required by this subpart must have been corrected or must be separately listed and highlighted in the commissioning report.

(ii) Each noncompliance issue must be referenced to where the deficiency is documented (e.g., the specific functional test, inspection, trend log).

(7) Appendixes must contain acquired sequence documentation, logs, meeting minutes, progress reports, deficiency lists, site visit reports, findings, unresolved issues, communications, and other relevant information. Documentation must be provided in a separate labeled binder for the following:

(i) start-up and checkout in accordance to subdivision (h) of this section;

(ii) functional performance testing (along with blank forms for the operators); and

(iii) as available, data obtained from monitoring, and analysis of those data.

(8) If components, equipment, subsystems, systems, controls, or sequences of operations as-built are different than required in the original construction documents, then the commissioning report must list these differences. In addition, the commissioning report must state that the computer models used to calculate energy use to demonstrate compliance with this Part must be revised to reflect the difference listed between the as-built conditions and original modeling assumptions and inputs and the listed deficiencies which have not been corrected. The commissioning report must also state that the revised energy models must be re-run to demonstrate that the energy performance is in compliance with the energy use provisions specified in section 638.7(c) of this Part.

(9) Once the seasonally deferred testing has been completed, the commissioning authority must issue an addendum to the commissioning report, or must re-issue the commissioning report, using the same criteria and methods as in the initial commissioning report.

N.Y. Comp. Codes R. & Regs. Tit. 6 § 638.8