Fundamentals of Building Operation Maitenance and Managment

Fundamentals of
Building Operation,
Maintenance, and
Management
Angela Lewis Bradley Brooks
I-P/SI
Inch-Pound/
International System
A Course Book for

Self-Directed or Group Learning
Includes Skill Development Exercises

for PDH, CEU, or LU Credits
Fundamentals of
Building Operation,
Maintenance, and
Management
Angela Lewis Bradley Brooks
A Course Book for Self-Directed or Group Learning

American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.
© American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. (www.ashrae.org). For personal use only.
Additional reproduction, distribution, or transmission in either print or digital form is not permitted without ASHRAE’s prior written permission.
Fundamentals of Building Operation, Maintenance,
and Management I-P/SI
ASHRAE A Course Book for Self-Directed or Group Learning
Fundamentals ISBN 978-1-933742-90-8
of Course Number: 42908
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Your Source for HVAC&R Professional Development
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Karen M. Murray Email: kmurray@ashrae.org

Manager of Professional Development
Dear Student,
Welcome to the ASHRAE Learning Institute (ALI) Fundamentals of HVAC&R Series of self-directed or group
learning courses. We look forward to working with you to help you achieve maximum results from this course.
You may take this course on a self-testing basis (no continuing education credits awarded) or on an ALI-moni-
tored basis with credits (PDHs, CEUs or LUs) awarded. ALI staff will provide support and you will have access
to technical experts who can answer inquiries about the course material. For questions or technical assistance,
contact us at 404-636-8400 or edu@ashrae.org.
Skill Development Exercises at the end of each chapter will test your comprehension of the course material.
These exercises allow you to apply the principles you have learned and develop a deeper mastery of the subject
matter. If you take this course for credit via the ALI online-monitoring system, please complete the quizzes in the
workbook and then submit your answers at www.ashrae.org/sdlonline.
To log in, please enter your student ID number and the SDL number. Your student ID number is composed of the
last five digits of your Social Security number or another unique 5-digit number you create when first registering
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Please keep copies of your completed Skill Development Exercises for your records. When you finish all exer-
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able to download a Certificate of Completion indicating 35 PDHs/LUs or 3.5 CEUs of continuing education
credit. Please note: The ALI does not award partial credit for SDLs. All exercises must be completed to receive
full continuing education credit.
We hope your educational experience is satisfying and successful.
Sincerely,
Karen M. Murray
Manager of Professional Development
American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

AN INTERNATIONAL ORGANIZATION
Angela Lewis, PE, LEED AP, is a professional engineer with a diverse
background. She has worked as an engineer, researcher, and technical
editor. As an engineer, Angela has worked on both green and conven-
tional HVAC design projects, energy audits and controls master plans.
Her research interests include proactive energy and maintenance man-
agement, facility management technologies, high-performance green
building processes, and building operator training. As a technical edi-
tor, Angela has edited the IFMA Foundation Sustainability How-To
Guide Series. She has authored multiple academic and trade journal
publications and has spoken at numerous industry and academic con-
ferences. As an active ASHRAE member, Angela is a member of
GPC32, TC7.3, and TC7.1.
Angela has a bachelor’s of science degree in architectural engineer-
ing from the Milwaukee School of Engineering, a master’s of science
degree in civil engineering from Michigan Tech, and a master’s of engi-
neering degree in architectural engineering from Penn State.
Bradley Brooks, EdD, LEED AP, is a senior engineer with PECI. Brad-
ley has over 30 years of experience in the heating, ventilating, and air-
conditioning (HVAC) industry and has proficiency in the design, instal-
lation, repair, operation, and commissioning of mechanical and electri-
cal systems. He has personally provided training to contractors and
engineers, as well as to building operators at colleges, universities, utili-
ties, and private companies, and has presented to the Building Operators
and Management Association (BOMA), Building Commissioning Asso-
ciation (BCA), American Institute of Architects (AIA), and the Con-
struction Standards Institute (CSI). Dr. Brooks has a bachelor’s degree
in engineering technology and master’s and doctorate degrees in educa-
tion. Bradley is a member of BCA and ASHRAE and serves on several
committees related to commissioning.
Table of Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Chapter 1: Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Importance of Building Operation, Maintenance, and Management. . 1
Types of Maintenance Techniques and Their Application . . . . . . . . . 4
Computerized Maintenance Management Systems (CMMS). . . . . . . 5
Owning and Operating Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Heating, Ventilating, and Air-Conditioning Controls . . . . . . . . . . . . . 7
Contractor Start-Up and Handover Procedures . . . . . . . . . . . . . . . . 7
Commissioning and Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Risk Assessment Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Greening Your Facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Health and Safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Chapter 2: Maintenance Techniques and Their Application . . . . . . . 15
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Maintenance Strategy and Control . . . . . . . . . . . . . . . . . . . . . . . . . 16
Transitioning from Reactive to Proactive Maintenance . . . . . . . . . . 26
Maintenance Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Establishing a Minimum Standard for Inspection and
Maintenance of Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Operating and Maintenance Documentation . . . . . . . . . . . . . . . . . 31
Maintenance Technician Training . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Chapter 3: Computerized Maintenance
Management Systems (CMMSs) . . . . . . . . . . . . . . . . . . . . . . . . . 41
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Benefits of Implementing a CMMS . . . . . . . . . . . . . . . . . . . . . . . . . 42
CMMS Modules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
CMMS Selection Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
How to Implement a CMMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Going-Live Phase . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Keys to Successful Use of a CMMS . . . . . . . . . . . . . . . . . . . . . . . . 64
Using a CMMS to Generate Key Performance Indicators
and to Track Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Cost of Implementing a CMMS . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Field Devices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Training. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
vi Table of Contents
Chapter 4: Owning and Operating Costs . . . . . . . . . . . . . . . . . . . . . 75

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75
First Costs of Building Ownership . . . . . . . . . . . . . . . . . . . . . . . . . 76
New Building Construction Project Delivery Methods . . . . . . . . . . 76
Estimating Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
Service Life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Depreciation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
Recurring Costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Maintenance Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Utility Costs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Regulatory Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Utility Billing Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
Economic Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Chapter 5: Heating, Ventilating, and Air-Conditioning Controls . . . 105
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Control Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Specifying Control Systems and Writing Control Sequences . . . . . 116
Effective Use of Control Technology . . . . . . . . . . . . . . . . . . . . . . 119
Using the Control System for Energy Management . . . . . . . . . . . 123
Impact of Controls on Operating Costs . . . . . . . . . . . . . . . . . . . . 129
Emerging Control Technologies and Strategies. . . . . . . . . . . . . . . 129
Chapter 6: Contractor Start-Up and Handover Procedures . . . . . 137
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
Pre-Start-Up Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
Equipment and System Start-Up . . . . . . . . . . . . . . . . . . . . . . . . . 141
Equipment and System Testing . . . . . . . . . . . . . . . . . . . . . . . . . . 144
Operator Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Substantial Completion and Occupancy Permit . . . . . . . . . . . . . . 151
Handover Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
Record Drawings. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
Operating and Maintenance Documents . . . . . . . . . . . . . . . . . . . 153
Warranty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Postwarranty Operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155
Chapter 7: Commissioning and Testing. . . . . . . . . . . . . . . . . . . . . . 161
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
Definitions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
Commissioning Benefits. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
Commissioning Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163
Functional Acceptance Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . 170
Testing, Adjusting, and Balancing (TAB) . . . . . . . . . . . . . . . . . . . . 172
Existing Building Commissioning. . . . . . . . . . . . . . . . . . . . . . . . . . 177
Fundamentals of Building Operation, Maintenance, and Management I-P/SI vii
Chapter 8: Risk Assessment and Emergency Preparedness . . . . . . 187

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
Defining Risk . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 187
Emergency Response Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
Activating an Emergency Response Plan . . . . . . . . . . . . . . . . . . . . 192
Types of Risk and What to Do During an Emergency . . . . . . . . . . 193
What to Do After an Emergency . . . . . . . . . . . . . . . . . . . . . . . . . 203
Chapter 9: Greening Your Facility . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Defining Green Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Developing a Plan to Green an Existing Facility . . . . . . . . . . . . . . . 212
Areas of Green and Strategies to Green a Facility . . . . . . . . . . . . . 215
Green Building Rating and Certification Systems . . . . . . . . . . . . . . 220
Benchmarking Tools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 224
Selecting Energy Efficient Equipment and Building Products . . . . . . 226
Green Building Case Studies . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
Green Professional Credentials . . . . . . . . . . . . . . . . . . . . . . . . . . 229
Chapter 10: Health and Safety. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 237
Health and Safety Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
Health and Safety Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
Organizational Health and Safety Programs . . . . . . . . . . . . . . . . . 241
Safe Work Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
Building Operating Regulations. . . . . . . . . . . . . . . . . . . . . . . . . . . 258
Skill Development Exercises
Preface
Operation and maintenance make up the largest portion of the eco-

nomic and environmental life cycle of a building and have become pri-
mary considerations of building owners and operators. New directives
and regulations governing energy use, sustainability, carbon emis-
sions, indoor air quality, and systems performance have required an
evolution in the knowledge and skills necessary to operate and main-
tain buildings. Although this course focuses on fundamentals, it pres-
ents sufficient detail to be useful to both recent students and
experienced professionals
Heating, ventilating, and air-conditioning (HVAC) systems and
equipment are the primary focus of this course, as they account for a
majority of operation and maintenance efforts. However, plumbing,
electrical, and life safety systems, as well as other building systems are
also presented. Charts, tables, and graphics provide easy and orderly
reference to information and illustrate key ideas. Chapters describe
concepts, define terminology, and discuss typical practices and proce-
dures, project examples, and case studies.
Each chapter addresses a unique topic of interest to building profes-
sionals. Chapter 1 provides an overview of building operation, mainte-
nance, and management. Chapter 2 discusses maintenance and
management techniques and their application. Chapter 3 focuses on use
and application of computerized maintenance management systems
(CMMS). Chapter 4 outlines several economic factors related to build-
ing operation and provides equations and examples to illustrate con-
cepts described. HVAC controls, contractor start-up and hand-over
procedures, and commissioning and testing are discussed in Chapters 5,
6, and 7, respectively. Chapters 8, 9, and 10 present risk assessment
procedures, greening facilities, and health and safety.
Acknowledgments
The authors would like to acknowledge the ASHARE Learning Insti-

tute, which initiated this work, and the peer reviewers who took time to
provide comments that added value to this course. Additional thanks is
due Richard Danks, who provided detailed comments on all ten chap-
ters and supplementary material. Importantly, the authors acknowledge
the support provided by their colleagues and family members.
The following individuals provided helpful feedback during the peer

review process during the development of the self learning course:
Mark Anderson Howard McKew

Richard Danks Andrew Nolfo
Kevin Fallin Steve Tom
Michael Mamayek
The following organizations and companies granted permission to use

their graphics in this work:
Automated Logic National Aeronautics and

Better Bricks Space Administration,
Building Intelligence Group Glenn Research Center
Facility Wizard Johnson Controls
International Facility Pulse Energy
Management Association SAP
Foundation Saylor Publications
Maricopa Community Colleges School Dude
TMA Systems
Tony Fairclough
Angela Lewis, PE, LEED AP Bradley Brooks, EdD, LEED AP

Building Intelligence Group Bradley Brooks & Associates
October 1, 2011
Fundamentals of
Building Operation,
Maintenance, and
Management
Introduction
Study Objectives
After completing this chapter, you should be able to
 list topics important to understanding the fundamentals of building opera-

tions, maintenance, and management;
 understand some terminology that will be used within future chapters; and
 understand the importance of building operations, maintenance, and man-
agement.
Instructions
Read the material in Chapter 1. At the end of the chapter, complete the skill
development exercises without referring to the text.
Importance of Building Operation,

Maintenance, and Management
The study of building operation, maintenance, and management is an impor-
tant and timely topic. Never has a greater emphasis been placed on these
activities. In the latter half of the 20th century, creation of built environments
on the roles of architect, engineer, and builder. Architects designed and devel-
oped the physical structures and in the process determined the aesthetics of a
building, engineers designed systems to support building functions, and con-
tractors built the physical structures and were responsible for installation of
equipment and systems.
It is building engineers and operators, however, who adjust, tune and opti-
mize building systems to perform according to the owners’ and occupants’
requirements. For too long, design and construction have been the focus, and
operation and maintenance of buildings have been neglected.
Management of building operation is a science, and today’s building man-
agers not only must be well versed in operation and maintenance of equipment
and systems, they must have a fundamental knowledge of cost control, technol-
ogy, contracting, risk assessment, and how to ensure a healthy and safe work
environment. Energy usage, sustainability, and high-performing buildings are
terms related to operation now common in discussion of buildings. Economic
2 Chapter 1 Introduction
conditions require building systems to remain in service longer and often

demand more intensive maintenance. Systems are becoming more sophisti-
cated, and this complexity requires a higher level of skill and ability from staff
who maintain them. Management of these challenges may seem overwhelm-
ing, but they provide building operators an important role in developing solu-
tions that have a positive impact on organizations and communities alike.
A major concern facing building and maintenance staff is energy consump-
tion and demand. In the United States, buildings consume 40% of energy and
68% of electricity. Global demand for all energy sources is forecast to grow by
57% over the next 25 years (DOE 2010). Energy costs are expected to increase.
The U.S. Energy Information Administration (EIA) predicts world oil prices of
$70 per barrel in 2015 and a rise to $186 per barrel by 2030 (Valve Magazine
2010). Peak electricity demand will be a concern for building operators, as will
understanding and using demand limiting and response programs. Currently,
many utilities have programs that penalize customers who consume high levels
of electricity during high-use periods.
Federal and state governments have initiated several energy efficiency pro-
grams that need to be addressed in the coming years. Executive Order (EO)
13423, “Strengthening Federal Environmental, Energy, and Transportation
Management,” requires federal facilities to reduce energy intensity by 3% each
year, leading to 30% by the end of fiscal year (FY) 2015 compared to a
FY 2003 baseline.
The Energy Independence and Security Act of 2007 (EISA 2007) and
EO 13514, “Federal Leadership in Environmental, Energy, and Economic Per-
formance,” have set energy efficiency standards. Additionally, Energy and Cli-
mate Partnership of the Americas (ECPA) has called for acceleration of clean
energy development and deployment, advance energy security, and a reduction
in energy poverty by sharing best practices, encouraging investment, and coop-
erating on technology research, development, and deployment. In the United
States, 36 states have energy efficiency programs that meet or exceed the
ECPA goals.
California enacted Executive Order S-20-04 in 2004, which established
numerous energy efficiency goals for public and commercial facilities, includ-
ing state government buildings and schools. Among these goals was a directive
to state agencies to reduce grid-based energy purchases for state-owned build-
ings by 20% by 2015 from 2003 levels. A Green Building Action Plan accom-
panying the executive order directed the California Energy Commission (CEC)
to coordinate with the U.S. Environmental Protection Agency (EPA) to develop
a system to benchmark and track energy consumption in state facilities.
The CEC developed a system based on the ENERGY STAR® Portfolio
Manager tool and tailored it to California’s unique needs. In August 2008, the
state reported that it had benchmarked more than 100 million square feet (9.3
million square metres) of its facilities, which revealed a 4% decrease in energy
consumption in state facilities since 2003 (DOE 2010).
Several energy efficiency programs are being implemented due to the
availability of funding. The American Recovery and Reinvestment Act of
Fundamentals of Building Operation, Maintenance, and Management I-P/SI 3
2009 provides $4.5 billion for repair of federal buildings to increase energy
efficiency, $11 billion for smart-grid activities, including work to modernize
the nation’s electric grid, and $6.3 billion for energy efficiency and conserva-
tion grants to help state and local governments make investments that make
them more energy efficient.
Other programs include ENERGY STAR, a joint project of the EPA and
the U.S. Department of Energy to provide a rating system that helps measure a
building’s current energy performance, set goals, track savings, and reward
improvements. A component of the U.S. Green Building Council’s LEED® for
Existing Buildings: Operations and Maintenance (LEED-EB: O&M) rating
system measures operations, improvements, and maintenance on a consistent
scale, with a goal of maximizing operational efficiency.
As we seek to respond to climate change, buildings must become and
remain sustainable. Buildings emit 38% of carbon dioxide, 49% of sulfur diox-
ide, and 25% of nitrogen oxides in the atmosphere; these gases are all consid-
ered greenhouse gases (Sapp 2010). Limiting greenhouse gas emissions will
become a major concern of building operators and managers. On-site harvest-
ing and purchasing of renewable energy will become necessary for every build-
ing. Boiler gas emission limitations will require more attention as increased
regulations call for equipment tune ups for small boilers and emission limita-
tions for large industrial boilers. Domestic water reduction will need to be
addressed, which may impact budgets, as most water-consuming fixtures can-
not be retrofitted and must be replaced. Wastewater will also need to be
reduced, and in some cases may require on-site treatment.
Trends show that the indoor environment must become sustainable and
healthy. Mold, asbestos, and radon are considered the major indoor environ-
mental hazards. Indoor air quality has an effect on occupant health, comfort,
and productivity, all of which have significant economic impacts for owners,
facility managers, and building occupants. Building engineers will need to
become aware of ventilation requirements and standards, such as ASHRAE
Standard 62.1 (ASHRAE 2010).
Contaminant source control will be of interest to green building operations
and require environmentally preferable products to be employed when remod-
eling buildings. Building managers will soon become familiar with emissions
criteria for building materials, furnishings, finishes, and cleaning products, and
the maximum allowable levels of volatile organic compounds (VOCs) for paint
and wood products that contain formaldehyde. In some cases, life-cycle analy-
sis may be used to assess the cost of a product by taking into account the envi-
ronmental impacts of extraction, transportation, manufacture, lifespan,
maintenance, and disposal.
Other issues that impact building operation are the increasingly complex
nature of equipment and systems being installed in buildings today. Even as
buildings become smarter, we face limited availability of qualified staff and
scarce funding for their professional development and training, as well as lim-
ited budget allocations for repairs. Building operation and management are
evolving and will require building engineers to have a more advanced set of
skills to meet evolving challenges. This self-directed learning course provides

a fundamental starting point for concepts to create, operate, and maintain
buildings that set the direction for the future. An overview of each chapter is
presented below.
Types of Maintenance Techniques

and Their Application
Chapter 2 outlines different approaches to planned and unplanned mainte-
nance, describes how to transition from a reactive to a proactive maintenance
approach, provides several predictive maintenance techniques, and describes
operations and maintenance documentation.
Maintenance is made up of the day-to-day activities required to preserve,
retain, or restore equipment and systems to the original condition or to a condi-
tion from which it can be effectively used for the intended purpose (Adams et
al. 2002; IFMA 2010; Sapp 2009; Moubray 1997). ASHRAE defines mainte-
nance program as the documentation of objectives to establish the criteria to
evaluate and commit the maintenance department to areas of performance
(ASHRAE 1991).
Unplanned maintenance, also called reactive maintenance, is an attempt to
respond to crisis maintenance situations that require immediate action to
restore a piece of equipment to acceptable operating conditions. Planned main-
tenance is a proactive, orderly, managed process to maintain equipment and
systems. Preventive maintenance is planned maintenance that is scheduled
over time, such as every six months. Predictive maintenance is planned main-
tenance that is scheduled based on equipment conditions and can use sensors
and systems to report a condition to help prescribe specific maintenance proce-
dures at the proper time and sequence.
Predictive maintenance techniques may include vibration analysis, ther-
mography, pressure measurements, motor current analysis, oil analysis, and
refrigerant analysis (ASHRAE 2003). Many different types of equipment
maintenance are discussed, and various factors must be considered before
selecting maintenance to equipment type.
One example of predictive maintenance occurs at SKF, a Swedish manu-
facturing company, where bearings are lubricated automatically, based on pre-
dictive maintenance principles. Traditionally, under preventive maintenance, a
technician applies a certain amount of oil at set time-based intervals, based on
historical statistical data. In many cases, the amount of oil may be over- or
underapplied based on this data, and bearing failures may occur.
A rise in bearing temperature and noise (vibration) alerts the maintenance
program that lubrication may be needed, and maintenance is scheduled based
on this information. However, due to the infrequency of scheduled mainte-
nance, lubrication is not provided in correct amounts at the proper time. Imple-
menting SKF’s automated predictive maintenance system does not require
maintenance personnel to schedule maintenance visits, as the smart sensor
monitors the conditions of bearings and automatically controls a pump to add

oil in small quantities until temperatures and noise begin to trend down. This
reduces waste, maintains a precise lubricant level, and reduces downtime. The
automated bearing lubrication system is just one example of a well-developed
automated system based on predictive maintenance principles (Preventive Pre-
dictive Maintenance Technology 2010).
To transition from one particular maintenance approach to another, a
detailed analysis should be made to determine what will be the most effective.
This analysis may include the significance of failure to the organization and its
business process, cost impacts and assessments of risks that may occur. The
amount of time and effort to transition from one maintenance approach to
another depends on the maintenance being considered. Some maintenance rou-
tines may require little effort to transition, while other complex maintenance
procedures may take a great amount of time and resources to gather baseline
data required to implement this type of maintenance into standard practice.
Computerized Maintenance Management Systems

(CMMS)
Chapter 3 defines a computerized maintenance management system (CMMS)
and follows with a discussion of the benefits of CMMS and different modules
that can be used. How to plan and implement a CMMS within a facility man-
agement department is then presented. Other topics covered include lessons
learned to prevent CMMS project failures, key performance indicators, and
types of CMMS training available.
CMMS software is used to plan, schedule, and track maintenance activities,
store maintenance histories and inventory information, communicate building
operations and maintenance information, and generate reports to quantify the
productivity of maintenance practices across a facility. The benefits of using a
CMMS include increased efficiency using electronic documents, reduced
repair costs, liability reduction and risk mitigation, improved asset and per-
sonal record management, improved parts and material availability, improved
work control, increased budget accountability, and the ability to measure per-
formance and service. Some modules used in CMMS include equipment oper-
ating locations, equipment data, resources, inventory control, work requests,
work order tracking, preventive maintenance, purchasing, and utilities and
facility maintenance contracts.
Careful planning must be exercised before implementing a CMMS. Once
the system is operational, a transition occurs to move away from the former
maintenance management approach to the new CMMS approach. CMMS
implementation requires business process changes that extend beyond eco-
nomic justification for maintenance activities. Implementation requires a con-
tinued focus and commitment to the utilization of the CMMS and a clear
understanding of maintenance best practices and their implementation using
the CMMS. Like most software-based management systems, constant and
accurate upkeep is the key to CMMS’s success. Proper training on its use is
also invaluable to a successful implementation.
A case study reported that Marshall County Hospital, an accredited full-
service facility in Benton, Kentucky, implemented CMMS in May 2009.
Before this time, work requests were submitted manually by 250 employees to
a five-person maintenance team. Since implementing the CMMS, all work
requests have been automated and are now immediately sent to the mainte-
nance supervisor who can easily assign and track them. Screens have been cus-
tomized for various user groups to provide only the information they need.
The results of the CMMS system showed a 100% work order completion
rate, a 25% reduction in turnaround time, and 100% user adoption across all
levels of organization (eMaint 2009).
Owning and Operating Costs

An explanation of the cost considerations associated with owning and operat-
ing a building are discussed in Chapter 4. Topics including first costs, opera-
tional costs, and maintenance costs are outlined. Various costs related to energy
use and an explanation of life-cycle costs and their analysis are presented.
Building first costs are primarily associated with property acquisition or
construction. A prospective purchase must be carefully studied to understand
current building conditions and any improvement costs that may be required.
Constructing a building requires construction management skills, resources,
and major effort on the part of the owner’s construction team; however, the
owner benefits by receiving a custom building specific to the functions, loca-
tion, and culture of the organization.
Various construction delivery methods influence building construction.
These methods include design-bid-build, design-build, construction manager at
risk, and negotiated contracts. Installation and material costs are determined by
various methods. One method described in Chapter 4 includes obtaining cost
data from a supplier of cost information and correcting this information for
quality, type of building, location, project size, worker productivity, and over-
time requirements.
Several expenses must be considered during the building life cycle. Equip-
ment costs for the time a particular piece of equipment, system, or component
remains in its original application—commonly referred to as service life—
must be determined, and costs related to financing and depreciation and recur-
ring costs must all be accounted for.
Operating costs include maintenance, utilities, and regulatory fees. Analy-
sis of utility bills can be performed to determine high energy use and to com-
pare energy use of the building with that of other typical buildings. Economic
analysis techniques, such as simple payback, time-value-of-money, interest
compounding, present and future worth calculations, and life-cycle cost analy-
sis, provide the maintenance manager a host of tools to adequately determine
the financial situation that may arise during the facility’s operation.
Heating, Ventilating, and Air-Conditioning Controls

Chapter 5 identifies several types of control components and their applications
and discusses sequences are developed. Methods to effectively use controls to
measure and monitor building energy performance is discussed, and several
emerging control technologies and strategies are introduced.
Controls can be the most problematic system in a building, and a good
understanding of them is essential to the proper operation and maintenance of a
building. In the 20th century, electric, analog electronic, and pneumatic con-
trols were the dominant control technologies. Since the advent of digital elec-
tronics and the personal computer, direct digital controls (DDC) have become
the dominant control system in buildings. Building automation systems (BAS)
have been introduced to identify the system elements that monitor, implement
control routines, and provide user interface for the control system. Control
components include software, networks, valves, actuators, dampers, sensors
(temperature, humidity, pressure, carbon dioxide, and flow), meters, and con-
trollers.
Clear, detailed specifications and sequences of operation, combined with
the correct installation, are necessary to provide proper operation without lim-
iting specific manufacturers. Control sequences must adequately describe in
simple and understandable terms how control systems should operate. Com-
mon control strategies include setpoint, setback, reset, staging, lead/lag, high/
low limit, and high/low signal select.
Often, control systems of various manufacturers are installed in different
areas of a building or campus. However, without a common communication
protocol, these subsystems cannot be integrated to operate as a single system.
Interoperability is a term commonly used to describe systems that communi-
cate together using a standard language. BACnet® and LonWorks® are two
common building automation protocols that provide a common language.
BASs can be used to monitor and reduce energy consumption and demand.
The BAS may be used as a benchmarking tool, to obtain troubleshooting infor-
mation, and to tune control loops. Other control technologies and strategies
include smart buildings, fault detection diagnostics, energy information sys-
tems, and wireless sensors.
Contractor Start-Up and Handover Procedures

Chapter 6 outlines various activities prior to start-up of equipment and systems,
discusses procedures after start-up, and describes requirements and procedures
for operator training. Development, delivery, use of record drawings, require-
ments and content of operations and maintenance manuals, and various issues
and concerns during the warranty and post-warranty phases are also presented.
The start-up and handover of a building from the construction team to the
building operations team is critical to efficient operation of the building life
cycle. All parties, including the design team, installing contractors, vendors,
and owner must be thoroughly involved in this process. To transition from a
construction site to an operating building, the owners must take initiative early
in the process to ensure a smooth handoff of the building.
Pre-start-up procedures include system and equipment prefunctional
checks and utility preparations. Equipment start-up procedures include devel-
oping a start-up plan, scheduling and holding start-up meetings, and the actual
start-up of equipment and systems. Equipment testing and tuning include con-
ducting an air and water balance; commissioning BAS systems; testing and
certifying elevators, generators, and fire-alarm systems; and conducting func-
tional performance tests.
Training of operational staff is critical to successful operation and mainte-
nance of a facility. A training plan should be developed to set goals and objec-
tives and to describe the training process. Review of this plan by the owner
should occur before development of training content. Once the content is
developed, training can be scheduled. Training quality and documentation
should be reviewed during training to verify that training meets the require-
ments set forth in specifications.
Once the project achieves substantial completion and an occupancy permit
is obtained, the project enters the final stages of handover. Other items that
may require completion are final punchlist items, record drawings, operations
and maintenance manuals, and warranty information.
Commissioning and Testing

Chapter 7 outlines commissioning and testing of systems. The commissioning
process and benefits, and elements of functional performance testing
(Figure 6-2) are discussed. An explanation of the testing, adjusting, and bal-
ancing (TAB) process, instruments utilized, and reporting requirements are
presented. The existing building commissioning process is outlined.
Commissioning is the process of verifying and documenting that the facil-
ity and all of its systems and assemblies are planned, designed, installed,
tested, operated, and maintained to meet the owner’s project requirements
(OPR) (ASHRAE 2005). The process is conducted in four phases: predesign,
design, construction, and operation/occupancy.
Benefits of commissioning include improved project documentation, fewer
system deficiencies, reduced contractor callbacks, construction cost savings,
improved operator knowledge, and increased energy savings. Functional per-
formance tests attempt to verify that equipment and systems operate per the
OPR, the engineer’s basis of design, and drawings and specifications. These
tests are typically developed and witnessed by the commissioning agent and
conducted by the installing contractor.
TAB of the air and water systems in buildings includes specifying the scope
of services and retaining a qualified firm and technicians. TAB begins in the
design phase, continues through the construction phase, and concludes with the
operations/occupancy phase. Technicians typically measure airflows, tempera-
ture, and pressures during TAB. Adjustments are made to ensure that the system
operates according to the contract documents and occupancy requirements. A
report documenting results and settings made during the TAB work is submitted
at the end of the testing.
Existing building commissioning, also called retrocommissioning, is a pro-
cess applied to an existing building that has never undergone any form of com-
missioning. The following phases are conducted in an existing building:
commissioning process planning, investigation, implementation, and reporting.
Under its building commissioning program, the State of Oregon, through a
program conducted by the Oregon Department of Energy, requires commis-
sioning or recommissioning for specified energy-related projects funded
through the state’s Public Purpose Fund. Projects include HVAC, DDC, boiler,
chiller, and other energy-related projects that meet specific project budgets.
During recommissioning of a school facility in Silver Falls, the Oregon
school district revealed deficiencies in the installation and operation of HVAC
systems that were causing energy costs to exceed expected costs by 32%. The
school district estimated that recommissioning findings and corrective actions
would save approximately $15,000 per year in energy costs and that the full
cost of the process would be recouped in about five years (EPA 2010).
Risk Assessment Procedures

Chapter 8 defines risk and identifies several types. It goes on to discuss preven-
tive techniques for managing risk, how to develop an emergency response plan,
and subsequent activities that must be performed following an emergency
event.
The first step in planning for an emergency is to develop an emergency
response plan that identifies potential types of risk, communication procedures
before and during an emergency, an evacuation plan, a shelter-in-place plan,
and a plan for continual operation in the event of emergency or other
unplanned event. Potential risks include fire, flood, airborne release of toxic
chemicals or gases, biological attack, pandemic flu, earthquake, tornado, and
cyber attack. After an emergency, steps should be taken for remediation and
reconstruction of the affected areas.
A case study was conducted to examine 15 acute care hospitals in New
Orleans after Hurricane Katrina. The mayor called for a first-ever mandatory
evacuation of the city of just under 500,000 inhabitants. The evacuation order
exempted government officials, hospital patients and staff members. During
the disaster, hospitals were to remain open, treating resident patients and those
seeking medical attention. The hospitals suffered from high winds, flooding,
lack of food and water, loss of power, and poor of communication outside of
the hospital as the situation became extreme.
Each hospital enacted an emergency response plan that addresses a wide
range of possible disasters. Those involved realized that even the most detailed
plans best served as a flexible guide in response to the hurricane. During this
disaster, most staff crafted their own emergency responses to the actual condi-
tions at hand. Food, water, batteries, bedding materials, and other essentials
were brought to the hospitals by friends and family of the staff.
Valuable lessons learned from Katrina were that hospitals should have their
own power and water supplies, independent of municipal utilities; they should
expect to be on their own during an emergency; their staffs should use their
own personal and professional networks during an emergency to provide assis-
tance; they should plan for the worst and make sure everyone knows what to
do; and hospital executives should be ready to lead (Arendt et al. 2006).
Greening Your Facility

Chapter 9 defines green buildings and discusses their operation and mainte-
nance. Concepts and strategies for developing a green facility plan and green-
ing a facility are presented along with case studies, and different rating and
certification systems, benchmarking tools, and energy-efficient equipment and
products are discussed.
Until recently, many developers, designers and operations and maintenance
technicians of buildings were not concerned with the long-term impacts on
occupant health, the environment, and natural resources. Global climate condi-
tions and energy security considerations have required reconsideration of how
we design, operate, and maintain buildings. Energy efficiency, sustainability,
smart buildings, high-performing buildings, and net zero energy are now
important concepts in building operation.
For a building to be designated as green, several general categories must be
addressed: site sustainability, water use efficiency, energy efficiency, indoor
environmental quality, and materials and resources. A building may be certi-
fied by one of the several green building certifying organizations when it meets
specified criteria within these or similar categories.
Building owners and operators may employ many different methods to
green a facility. Energy use and demand may be considered initially, water con-
servation procedures can be phased in over a period of time, and utilization of
green cleaning products can be incorporated into a building plan. Whatever the
attempts made to develop a green building or to green an existing facility, now
is the time to act, as waiting may be counterproductive to the health of both the
organizations and the environment.
Health and Safety

Chapter 10 explains relevant health and safety codes and regulations, outlines
the elements of a health and safety program, discusses job hazard assessment
and various work safety practices, and describes tests and inspections required
for building systems.
The United States’ Occupational Safety and Health Administration
(OSHA) describes federal policies and regulations that ensure staff, visitors,
and the general public are afforded a safe and healthy work environment. Sev-
eral states follow OSHA guidelines, and state officials provide assistance to
organizations to develop health and safety programs that include employee
involvement, work-site hazard analysis, hazard prevention and control, train-

ing, and management commitment.
Chapter 10 discusses safe work practices that address specific hazards and
make recommendations to limit their impact. Procedures that provide informa-
tion on the requirements and use of personal protective equipment; ladder
safety; working in confined spaces; preventing slips, trip and falls; safe lifting;
electrical safety; and safe driving are all examples of safe work practices.
Many regulations related to building systems, such as elevators, fire protection
systems, boilers, vessels, and portable fire extinguishers, require regular testing
and inspection.
The Next Step

Chapter 1 provided an introduction to the course and topics that are presented
in this course. Chapter 2 includes a discussion of the types of maintenance
techniques and their application.
Summary
This course is intended as the first step in a lifelong learning process. The
introductory chapter presents an overview of key concepts related to building
operation, maintenance, and management. The chapters that follow provide
detailed, fundamental information about and complex analysis of these con-
cepts. In addition, readers are encouraged to take advantage of resources
located in the reference and bibliography sections at the end of each chapter.
References and Bibliography

Adams, M., R. Calloway, J.C. Fisher, J.W. Klingel, E.R. Ness, P.R. Waier, and
T.J. Weidner. 2002. 2002. Maintenance Staffing Guidelines for Educational
Facilities. Alexandria, VA: APPA.
Arendt, L., and D. Hess. 2006. Hospital decision making in the wake of
Katrina: The case of New Orleans. Report MCEER-06-SP01, Multidisci-
plinary Center for Earthquake Engineering Research, Buffalo, NY.
ASHRAE. 1991. ASHRAE Terminology of Heating, Ventilation, Air-Condition-
ing, and Refrigeration. Atlanta: American Society of Heating, Refrigerat-
ing and Air-Conditioning Engineers.
ASHRAE. 2003. HVAC Design Manual for Hospitals and Clinics. Atlanta:
American Society of Heating, Refrigerating and Air-Conditioning Engi-
neers.
ASHRAE. 2005. ASHRAE Guideline 0-2005, The Commissioning Process.
Atlanta: American Society of Heating, Refrigerating and Air-Conditioning
Engineers.
ASHRAE. 2010. ANSI/ASHRAE Standard 62.1-2010, Ventilation for Accept-
able Indoor Air Quality. Atlanta: American Society of Heating, Refrigerat-
DOE. 2010. Obama administration launches $130 million building energy effi-
ciency effort. Press Release, U.S. Department of Energy, Washington,
DC.www.energy.gov/news/8637.htm.
eMaint. 2009. Case study: Marshall County Hospital. http://blogs.emaint.com/
success/2009/12/case-study-marshall-county-hospital.html.
EPA. 2010. California state and local climate and energy program case studies.
Environmental Protection Agency, Washington, D.C. www.epa.gov/slcli-
mat/state/state-examples/case-studies.html#ca.
IFMA. 2010. FMPedia definition of “maintenance.” International Facility
Management Association, Houston, TX. http://fmpedia.org/.
Moubray, J. 1997. Reliability-Centered Maintenance, Second edition. New
York: Industrial Press.
Preventive Predictive Maintenance Technology. 2010. Can smart instruments
help predictive maintenance? http://preventive-predictive-mainte-
nance.blogspot.com/2010/01/can-smart-instruments-help-predictive.html.
Sapp, D. 2010. Facilities operations & maintenance. Whole Building Design
Guide, National Institute of Building Sciences, Washington, D.C.
www.wbdg.org/om/om.php.
Valve Magazine. 2010. Feds project long-term energy outlook.
www.valvemagazine.com/index.php/web-only/web-exclusive/413-feds-
project-long-term-energy-outlook.
Skill Development Exercises for Chapter 1

Complete these questions by writing your answers on the worksheets at the back of this book.
1-1 Maintenance is/are ____________.

a) the process of fixing things only when they break
b) day-to-day activities necessary to preserve, retain, or restore
equipment to a specified operating condition
c) the allocation of funds to keep systems and equipment operating at
optimum performance
1-2 “CMMS” stands for ____________.
a) computerized maintenance management software
b) computer minded mapping system
c) computerized maintenance mapping system
d) computerized maintenance management system
1-3 ____________ are examples of construction contract types.
a) Design-bid-build, construction manager at risk, and owner at risk
b) Owner at risk, negotiated contracts, and design-own
c) Design-build, construction manager at risk, and bank negotiated
d) Design-build, construction manager at risk, and design-bid-build
1-4 Pneumatic controls are not found in any existing buildings today.
a) True
b) False
1-5 Development and delivery of record drawings and operations and maintenance
manuals are part of the ____________ process.
a) contractor start-up and handover
b) design
c) operations
d) testing, adjusting, and balancing
1-6 Commissioning is the process of verifying and documenting that the facility
and all of its systems and assemblies are planned, designed, installed, tested,
operated, and maintained to meet the owner’s project requirements.
a) True
b) False
1-7 If a building is designed to be energy efficient, it will operate in an energy effi-
cient manner, regardless of the maintenance management practices used.
a) True
b) False
Maintenance Techniques and
Their Application
Study Objectives
 understand the differences between various maintenance approaches;

 recognize several techniques used to complete predictive maintenance
tasks;
 identify the major elements of an effective maintenance program; and
 understand the advantages of transitioning to a proactive maintenance
program.
Instructions
Introduction
Proper maintenance of mechanical, electrical, and control systems is important
to keep buildings operating efficiently and as designed. A poorly designed
building with good operations and maintenance practices often outperforms a
well designed building with poor operations and maintenance practices
(ASHRAE 2009). Although a well-developed maintenance management pro-
gram has significant benefits, most facilities in the United States rely heavily
on reactive maintenance.
Within current practice, two different maintenance approaches are com-
monly applied: unplanned (reactive) and planned (proactive) maintenance. The
approach a facility manager or building owner takes often depends on avail-
ability of funding and staffing, type and criticality of equipment, technicians’
skills, and upper-management support for maintenance management. This
chapter describes common maintenance approaches, tools and methods for
proactive maintenance, how to transition from a reactive to proactive mainte-
nance management approach, and the importance of training.
The United States Federal Energy Management Program (FEMP) defines
operations and maintenance as one process, using both a classic and modern
definition. Classic operations and maintenance includes the “processes related
to the performance of routine, preventive, predictive, scheduled, unscheduled
16 Chapter 2 Maintenance Techniques and Their Applications
and emergency maintenance. [This] includes operational factors such as sched-

uling, procedures and work and systems control” (Pugh 2010).
In contrast, modern operations and maintenance is the “coordinated inte-
gration of the operations, maintenance, engineering support, training and
administrative areas of any process in order to maintain and/or increase the
efficiency, reliability and safety of the process” (Pugh 2010). The modern defi-
nition emphasizes the need for coordination and integration of the processes,
whereas the classic definition is more task focused.
In a more general sense, maintenance can also be defined as the day-to-day
activities required to preserve, retain, or restore equipment and systems to the
original condition or to a condition in which it can be effectively used for its
intended purpose (Adams et al. 2002; IFMA 2010; Sapp 2010; Moubray
1997).
The ASHRAE Terminology of Heating, Ventilation, Air-Conditioning, and
Refrigeration (1991) defines a maintenance program as follows:
[It] documents the objectives and establishes the criteria to evaluate
and commit the maintenance department to basic areas of perfor-
mance, such as prompt response to mechanical failures, maintenance
and attention to planned functions that protect capital investments and
minimize downtime or failure response.
The element common to both the FEMP and ASHRAE definitions is that
maintenance consists of planned and unplanned work to keep equipment func-
tioning. Maintenance usually does not include major equipment replacement,
as this is considered a capital renewal project. Maintenance also excludes tech-
nical or economic improvements to a facility that were not previously part of
the building, such as installation of a new dehumidifier in an existing building
where one did not previous exist.
Maintenance Strategy and Control

Maintenance management consists of two basic strategies: planned and
unplanned maintenance. Unplanned maintenance is reactive and often prac-
ticed by facilities that are significantly understaffed and underfunded. Mainte-
nance managers and technicians who rely primarily on reactive maintenance
often refer to their job as “firefighting,” as they move from one emergency
repair to the next. As a result, the maintenance manager’s control over the
facility and its equipment is limited to short-term planning to resolve emer-
gency repairs as they arise.
In contrast, planned maintenance is proactive and allows the maintenance
manager control over when and how maintenance activities are completed.
When a maintenance manager has control over maintenance, budgets can be
established accurately, staff time can be used effectively, and the spare parts
and supplies inventory can be managed more efficiently.
Regardless of which strategy is used, maintenance should be seen as a way

to maximize profit and/or reduce operating costs. From this perspective, the
main functions of a maintenance department are as follows:
• Control availability of equipment at minimum cost.

• Extend the useful life of equipment.
• Keep equipment in a condition to operate as economically and energy effi-
ciently as is practical.
The maintenance department is responsible for the following tasks:
• Maintenance planning
• Organizing resources, including staffing, parts, tools, and equipment
• Developing and executing the maintenance plan
• Controlling maintenance activities
• Budgeting
Unplanned Maintenance
Unplanned maintenance includes reactive and emergency maintenance and is
performed on an as-needed basis. Emergency maintenance is unscheduled
work that requires immediate action to restore a piece of equipment to accept-
able operating conditions or to remove an operating condition that could inter-
rupt building activities or pose a threat to occupant or building health and
safety. Emergency maintenance cannot be completely eliminated from a facil-
ity, as all equipment is subject to random, unpredictable failures. It can, how-
ever, be minimized.
Reactive maintenance includes replacing or repairing equipment when it
breaks and/or addressing equipment deficiencies as a result of building occu-
pant complaints. Reactive maintenance is the most commonly used mainte-
nance technique and is often referred to as run-to-failure maintenance or
breakdown maintenance. Reactive maintenance can be an acceptable practice
for noncritical equipment if the cost to replace or repair the equipment is less
than the cost of monitoring it using proactive maintenance techniques. The dis-
advantages of reactive maintenance are as follows:
• Equipment often fails with little or no warning.

• Unexpected failures can result in costly overtime and additional fees for
expedited parts delivery.
• Larger failures impact other equipment; one failure may trigger a second
failure.
• Safety hazards may result.
When an unexpected failure occurs, the failure can also damage or destroy
other parts of the same piece of equipment. For example, a failed fan bearing can
result in damage to the shaft, coupling, impeller, fan cage and blade, gearing,
and/or housing. Often, when a second failure occurs, the repair cost is much
greater. Additionally, safety hazards from an unexpected failure may result. For
example, a fan blade could cut through ductwork (ASHRAE 2003b).
Planned Maintenance
Planned maintenance is any proactive maintenance activity performed in an
orderly and reoccurring manner to preserve equipment conditions and reduce
the amount of reactive and emergency maintenance needed by controlling
known impacts and costs. It includes preventive, corrective, and predictive
maintenance (ASHRAE 1991). Planned maintenance includes periodic inspec-
tion, adjustment, lubrication, and replacement of components as needed, and
performance testing and analysis.
For planned maintenance management to be effective and reduce operating
costs, several key steps must be taken (ASHRAE 2009):
• Elevate the importance of energy management within the organization by

appointing an energy manager.
• Require a systems manual.
• Focus on efficient operations and maintenance (O&M) strategies.
• Invest in training.
• Require performance tracking and reporting.
A systems manual is a composite document that includes the operation

manual, maintenance manual, and additional information that will be used by
the operations team during the operational phase of a building (ASHRAE
2005).
Preventive Maintenance
Preventive maintenance is maintenance scheduled over time (Ring 2008a;
ASHRAE 2003b). The main function of preventive maintenance is to keep
equipment running reliably and safely, not to increase efficiency (Ring
2008a; ASHRAE 1991). An example of preventive maintenance is changing
a filter in an air handler every six months. Using preventive maintenance
practices can help management avoid many of the problems encountered
with a reactive approach.
Do not establish a preventive maintenance program by trying to identify
and/or retag all equipment within the building. Instead, begin with a small,
manageable effort that involves the most critical equipment within the facility.
After the critical equipment is identified, define the preventive maintenance
requirements, including necessary work, the frequency at which work should
be completed, and who is responsible for completing the work.
After the preventive maintenance plan is successfully implemented for the
most critical equipment, repeat the process for the second most critical piece of
equipment. Continue to expand the program at a rate that does not decrease
effectiveness of the preventive maintenance tasks already in place (Wester-

kamp 1997).
Although preventive maintenance is more beneficial than reactive mainte-
nance, it also has disadvantages (ASHRAE 2003b). First, preventive mainte-
nance may be wasteful. A component within a piece of equipment may be
replaced before it reaches its end-life. For example, a scheduled chiller tear-
down to replace bearings can cost $15,000 (U.S. dollars) or more and may
occur even if the bearings are still in good condition (ASHRAE 2003b). Sec-
ond, preventive maintenance does not prevent all failures. For example, a belt
may be replaced every year or every 8000 hours of operation, but the reason for
wear might be an oil leak dripping on the belt. If the cause of the belt wear is
not investigated, larger problems are likely to result over time due to the oil
leak. Third, preventive maintenance may also introduce new problems. When-
ever a piece of equipment is disassembled, mistakes during reassembly might
result, or the new component might fail. Finally, preventive maintenance pro-
grams also require large supply inventories. Large stocks of parts must be kept
to address all potential problems that might arise during a scheduled shutdown
(ASHRAE 2003b).
Preventive maintenance programs fail when the cost of the program is not
justified or the program takes too long to demonstrate results. To keep a pre-
ventive program from failing, focus on tasks that save the organization money.
If a task does not save money, it is unlikely to receive support from upper man-
agement.
Corrective Maintenance
Corrective maintenance is a remedial form of preventive maintenance per-
formed before a failure occurs. Corrective maintenance includes the determina-
tion of resources needed to predict and correct a future failure condition
(ASHRAE 2003a).
Predictive Maintenance
Predictive maintenance, or condition-based maintenance, is a form of sched-
uled maintenance based on equipment condition. It can often be performed
while a piece of equipment is running. A series of measurements are taken to
determine the condition or integrity of the piece of equipment (ASHRAE
2003a), and these measurements are saved in a database to establish a baseline
against which to compare future data.
Predictive maintenance allows a facility manager to identify problems
before a failure occurs and to schedule the repair, thus avoiding unscheduled
downtime and costs of secondary damage. According to the ASHRAE Hand-
book—HVAC Applications, “Predictive maintenance squeezes the greatest pos-
sible life out of parts—without letting them fail. By doing so, it reduces
maintenance costs and downtime” and as a result reveals the optimal time for
maintenance (ASHRAE 2003a).
Following are ten key steps to establish a predictive maintenance program:
1. Identify the following information for the most critical equipment:

a. Equipment and/or component number
b. Equipment description and specifications
c. Manufacturer
d. Size
e. Model number
f. Serial number
2. Determine maintenance needs and past equipment failures.
3. Determine what type of instrumentation should be used. This is a critical
step, as the wrong type of instrumentation will prevent the desired informa-
tion from being collected or conclusions from being drawn.
4. Determine instrument range and units of measure.
5. Establish tolerance limits and mark the points on the equipment to ensure
that the measurement will be taken each time at the same place.
6. Proper training of technicians is critical. Train technicians on or off site
how to properly use the instruments.
7. After formal training, allow time for on-the-job training to ensure the
instruments are used correctly and necessary data are in a correct format.
8. After a sufficient amount of data are collected, use it to analyze and update
the maintenance program, including when and what maintenance tasks
should be performed.
9. Perform maintenance based on decisions made in step 8.
10. Repeat steps 1 through 9 to continue finding ways to reduce maintenance
and operation costs.
Predictive maintenance techniques include chemical analysis, vibration

analysis, noise monitoring, thermography, pressure measurements, motor cur-
rent analysis, oil analysis, and refrigerant analysis (ASHRAE 2003a;
ASHRAE 1991). Several of these are described briefly below.
Vibration analysis is an effective technique for analyzing the condition of
rotating equipment. It can detect a wide range of equipment problems before a
failure occurs and can be used to forecast the most appropriate time to schedule
maintenance, thus preventing unscheduled downtime (ASHRAE 2003a).
Vibration analysis can be used to detect the following problems:
• Misalignment and imbalance, which account for 60% to 80% of fan and
pump problems
• Resonance and bearing defects
• Gear and belt problems
• Sheave and impeller problems
Figure 2-1 Technician performing vibration analysis on a chiller motor.
• Looseness and bent shafts

• Flow-related problems, such as cavitation and recirculation
• Electrical problems, such as rotor bar problems
To perform vibration analysis, a technician connects a sensor to an acceler-

ometer (see Figure 2-1). The accelerometer collects the data and converts the
mechanical motion (vibration) into electrical signals. The signals are then plot-
ted on a graph called the vibrational signature. The signature tells the techni-
cian which components are vibrating and how much.
Amplitude and frequency are studied to diagnose an equipment problem.
Amplitude is the amount of vibration and indicates the severity of the problem.
The greater the amplitude is, the larger the problem is (ASHRAE 2003a).
Amplitude is measured in inches per second (ips) [mm/s], mils [in.] of dis-
placement, or g’s of acceleration. Frequency is how often the vibration occurs;
it identifies the source of the vibration. Different parts of a piece of equipment
vibrate at different frequencies, and different mechanical problems vibrate at
different frequencies (ASHRAE 2003a). Frequency is measured in revolutions
per minute (rpm), cycles per minute (cpm), cycles per second, or hertz (Hz).
A single vibrational measurement indicates an operating condition at one
point in time, but the data are more valuable if trended overtime. Trending the
data over time allows the actual performance over a period of time to be under-
stood (ASHRAE 2003a).
Infrared thermographic inspection, or thermography, is a process in which
surface temperatures are detected from electromagnetic radiation. An infrared
Figure 2-2 Thermographic inspection report.
scanner is used to systematically scan temperature profiles to find problems

before they arise. Problems are detected as hot and cold spots. Infrared thermo-
graphic inspection is a quick, accurate and effective technique, however it does
not ensure reliable equipment operation as a stand-alone practice. Other main-
tenance practices should be used in conjunction with thermographic inspection
to ensure performance reliability (ASHRAE 2003a). Figure 2-2 provides an
example of a thermographic inspection report.
Pressure gages are used to measure the difference between atmospheric
pressure and the fluid contained in piping or duct systems, given a point in the
system or between two locations within the system. Static fluid pressures and
dynamic fluid flow pressures are typically measured. Differential pressure

readings are most commonly taken (Westerkamp 1997), for example,
• across a heat exchanger outlet versus inlet tubes to determine when the
tubes need to be cleaned,
• across a filter to determine when the filter should be changed,
• across two points within a hydraulic in a system,
• to determine if there is a flow restriction,
• to determine when oil should be added to a gas engine, or
• to check pressure differences across a system.
Motor current analysis is used to diagnose rotor problems, which can

include the following (ASHRAE 2003a):
• Broken or cracked rotor bars

• Broken or cracked shorting rings
• Bad high-resistance joints between rotor bars and shorting rings
• Shortened rotor lamination
• Loose or open rotor bars preventing good contact with edge rings
Motor current analysis uses a multimeter and motor current clamp to mea-
sure current draw on the motor. The three-phase power line leads are measured
one at a time. Then the current in each phase is compared. The current in each
phase should be within about 3% of the other leads, otherwise a stator problem,
such as those in the bulleted list above, likely exists.
Motor current analysis can generally be performed while equipment is run-
ning (ASHRAE 2003a). During the analysis, look for wear that could result in
bearing and insulation failures, and check the condition of the rotor bars and
the integrity of the power feed cables. Bearing failures can include seizing or
fracture of the bearings, or surface degradation. Additionally, insulation fail-
ures can result from open and short circuits (NASA 2001).
Oil analysis is one of the oldest, most common and useful predictive tech-
nologies. It determines the wear metal count and types of contaminants in the
oil. Wear metal count determines whether the equipment is wearing in an
unusual manner (ASHRAE 2003a). The types of contaminants in the oil allow
decisions to be made regarding the time interval between oil changes. Oil anal-
ysis can be completed by spectrochemical analysis, physical tests, and ferrog-
raphy (ASHRAE 2003a).
Refrigerant analysis checks for vapor-phase and liquid-phase contami-
nants within the refrigerant and the refrigerant’s physical properties. This
technique can also be used to determine whether the refrigerant within the
system meets acceptable standards (typically those found in ARI Standard
700-99: Specifications for Fluorocarbon Refrigerants) (ARI 1999) or if the
equipment has incurred major damage that requires replacement of the sys-
tem. Refrigerant analysis should be performed after repairing leaks, adding
refrigerant to a system, or performing major repairs that have a high potential

for moisture contamination. High moisture levels are undesirable in refrigera-
tion systems because they can increase the acid level of the refrigerant, which
can cause motor insulation to deteriorate or tube metal to corrode (ASHRAE
2003a).
Deferred Maintenance
The term deferred maintenance is often used within maintenance departments,
although it is not a maintenance approach. Deferred maintenance is an account-
ing category used to track maintenance needs when there is insufficient funding
or staffing to complete necessary work (Brown 1996). When maintenance must
be deferred, especially for critical equipment, it is important to request addi-
tional maintenance funding in the next year’s annual budget. If deferred mainte-
nance is not controlled, it can lead to excessive operational costs and
unexpected failures (Peters 2006). Organizations that choose to defer mainte-
nance must be careful. If maintenance is deferred frequently, technicians may be
required to apply reactive maintenance at increasing frequency (Brown 1996).
Reliability-Centered Maintenance (RCM)

Reliability-centered maintenance (RCM) is a maintenance philosophy for
determining what must be done so that equipment continues to operate as
needed (Ring 2008a) and at the lowest cost (ASHRAE 2003a). The philosophy
considers that different types of equipment exhibit different failure modes.
An RCM philosophy seeks to answer seven questions about the asset or
system under review (Moubray 1997):
• What are the functions and associated performance standards of the asset in
its present operating context?
• In what ways does the asset fail to fulfill its functions?
• What causes each functional failure?
• What happens when each failure occurs?
• In what way does each failure matter?
• What can be used to predict or prevent each failure?
• What should be done if a suitable proactive task cannot be found?
To understand failure rates, the relationship between reliability and failure

must be understood. This relationship is graphically depicted in Figure 2-3 as a
series of six curves, known as failure patterns. Percentages represent the fre-
quency of each failure pattern. In the example shown in Figure 2-1, as assets
become more complex, failure patterns E and F occur more frequently (Mou-
bray 1997).
Failure pattern A is often known as the bathtub curve because of its shape.
It represents a combination of two or three failure patterns: the left side of the
curve represents early failure, while the right side represents an increasing
Figure 2-3 Failure pattern curves for nonstructural equipment (adapted from Ring 2008a).
failure rate with age. Sometimes the center, flat section of the curve, repre-
sents random failures, a third mode. Early failure is at highest occurrence
when the equipment is new or just after a major overhaul. Causes of early fail-
ure can include poor design, poor manufacturing quality, incorrect installa-
tion, incorrect commissioning, incorrect operation, unnecessary maintenance,
excessive or invasive maintenance, or bad workmanship (Moubray 1997).
Failure pattern B represents age-related failures. The curve represents either a
constant or slowly increasing conditional probability of failure ending in a
wear-out zone (the end of the curve) (Moubray 1997). Failure pattern C repre-
sents a steady, increasing probability of failure, but does not indicate a spe-
cific point where the device wears out. Pattern C represents many types of
fatigue and can also represent the failure of insulation on certain types of gen-
erators. Failure pattern D represents a conditional probability curve. The
curve represents a low probability of failure for new or recently overhauled
items, with a rapid, constant increase in failure as the item is used. Failure pat-
tern E represents random failure, meaning the failure rate is the same over the
life of the asset. Ball bearings are an example of a random failure. It is not
possible to predict how long an item will conform to a random failure pattern;
however, it is possible to calculate the mean time between failures. Failure
pattern F is the most common failure pattern and is the only curve where fail-
ure declines with age. As with the right side of failure pattern A, the highest
probability of failure occurs when the equipment is new or recently over-
hauled (Moubray 1997).
Transitioning from Reactive to

Proactive Maintenance
As discussed, a variety of maintenance approaches can be used. The type and
age of equipment, equipment criticality and function, skill level of the techni-
cians, and availability of funding and staffing levels impact which approaches
should be used for each type of equipment. For example, a toilet exhaust fan is
a noncritical piece of equipment, so a reactive maintenance approach may be
appropriate. In contrast, a chiller is an expensive piece of equipment and
requires specialized training to repair. Thus, predictive maintenance may be an
economical approach at many facilities.
The selection of what maintenance approach to use for each type of equip-
ment should be part of the maintenance program. To develop an effective main-
tenance program, consider the following:
• Focus on maintenance that results in the best return on investment (ROI).
• Make sure results can be measured.
• Avoid intrusive maintenance.
• Employ an effective management system, such as a computerized mainte-
nance management system (CMMS).
• See maintenance as a profit center (Ring 2008a).
The maintenance classes in Table 2-1 can help determine the appropriate
maintenance approach for each type of equipment within a facility.
For mission-critical (Class A) facilities, the focus is on increasing equip-
ment and systems reliability in order to maximize facility uptime (Ring 2008a).
Mission-critical facilities include hospitals and semiconductor facilities. Hos-
pitals are mission critical because downtime of mechanical equipment could
impact patient safety. Semiconductor facilities are considered mission critical
because downtime resulting from improper space temperatures within manu-
facturing areas can result in very large profit reductions and/or product loss.
Classes B, C, and D depend on the type of maintenance program desired
and the facility team’s priorities. As shown in Table 2-1, the goal of Class B is
to minimize life-cycle costs over time, while the goal of Classes C and D is to
minimize short-term costs. Under Class C, short-term costs may be decreased
at the expense of life cycle-costs. Under Class D, RS Means recommendations
for preventive maintenance schedules or equipment manufacturer recom-
mended preventive maintenance schedules are employed (Ring 2008a). Under
Class E, the equipment is not currently in operation but is minimally main-
tained in case it is needed (Ring 2008a).
Maintenance Contracts
Maintenance contracts can be established for many types of services, including,
but not limited to, general operational support, general maintenance services,
review and audit of the maintenance organization, operations development,
Table 2-1 Maintenance Classes (Modified from Ring [2008a])

Analysis Used to
Determine Most
Maintenance Implementation of
Effect of Failure Desired Result Effective
Class Maintenance Practices
Maintenance
Technique
Significant Risk mitigation and Reliability
A: Mission financial, safety maximize centered Preventive and
Critical and/or operational equipment and maintenance and risk predictive approaches
impact system availability assessment
B: Optimize Minor impact on Minimize Reliability
Preventive, predictive
Life-Cycle core business equipment LCC centered maintenance
and reactive approaches
Costs activities over time and risk assessment
Risk mitigation
C: Minimize No impact on
Minimize short-term measures, visual
Short-Term core business Risk assessment
costs inspection, and
Costs activities
preventive maintenance
RS Means or original
D: Industry No impact on
Minimize short-term equipment manufacturer
Standard core business Risk assessment
costs job plans, preventive
Maintenance activities
maintenance
No impact on
E: Out-of-Service core business Ability to operate Risk assessment Minimum maintenance
activities
software selection and maintenance standards and procedures, emergency situa-

tion response, facility inspections, system testing, and maintenance manage-
ment consulting services. Maintenance contracts can also vary from short-term
to regularly scheduled service contracts (Payant and Lewis 2007).
There are four basic types of maintenance contracts: labor only; materials
only; labor and materials; and labor, materials, and overhead. A labor-only
contract includes the cost of labor only. In-house supervision is provided as
part of the existing supervision and administrative overhead costs. The contract
must clearly state the rate of compensation, liability insurance, coverage
expectations, work rules, and required safety codes that must be followed. A
materials-only contract can be used for annual fuel or energy contracts. The
material is delivered at an agreed-upon interval and quantity. A labor and
materials contract can be used when supplemental maintenance staff are
needed due to a temporary increase in workload, such as a large capital project
or a rebuild of a large piece of equipment. A labor, materials, and overhead
contract, also known as a full-service maintenance contract, is used when spe-
cialized skills and/or equipment are required and are not available in-house
(Westerkamp 1997). Specialized skills are often required for boilers, chillers,
and cooling-tower water treatment.
When determining if maintenance should be performed in-house or con-
tracted out, be sure to understand the total cost of the service received and the
terms of any collective bargaining agreements that unions or third-party main-

tenance service contractors may request. When contracting out maintenance,
clearly describe the required scope of work and how successful performance of
the work will be measured.
Establishing a Minimum Standard for

Inspection and Maintenance of Equipment
When developing a maintenance plan, minimum inspection and maintenance
standards for each type of equipment within the facility must be established.
Depending on the terminology used, an inspection process may also be called a
condition assessment. By establishing a minimum standard, all similar equip-
ment can be compared against the same baseline, and technicians will have a
clear set of activities that should be performed for each piece of equipment.
Each activity can also be written as an item on a maintenance checklist.
ANSI/ASHRAE/ACCA Standard 180-2008, Standard Practice for Inspec-
tion and Maintenance of Commercial Building HVAC Systems (ASHRAE
2008) establishes a minimum standard for inspection and maintenance require-
ments to preserve the ability of a system to achieve acceptable thermal com-
fort, energy efficiency, and indoor air quality in commercial buildings. The
standard seeks to provide a level of consistency that can be applied to all com-
mercial buildings. Consistency is necessary across the industry, as current
practices vary widely. While some facilities have rigorous maintenance poli-
cies in place, many others have no policy at all or follow a run-to-failure main-
tenance approach.
Within ASHRAE Standard 180 (2008), minimum requirements for mainte-
nance programs are also set, including maintenance plan development, mainte-
nance plan authorization and execution, and revision of the maintenance
program.
When developing a maintenance program, the overall goals, objectives, and
methods of execution should be clearly documented. The minimum require-
ments needed to preserve the condition of each type of system and equipment
within the facility should be described. Information about how each system
and/or piece of equipment will provide the intended thermal comfort, indoor
air quality, and energy efficiency requirements should also be included
(ASHRAE 2008).
At a minimum, all components that impact the performance of the building
should be inventoried. The inventory list should be detailed enough for mainte-
nance managers to determine when systems are operating at an undesirable
condition.
The maintenance plan should be written specifically for the facility to
address the size, design, scope, and complexity of its systems. Each mainte-
nance activity should be described clearly and include who is responsible for
authorizing, performing, documenting completion, and monitoring the results
of the work. The plan should include performance objectives, condition indica-
tors, inspection and maintenance tasks and frequencies, and a description of
the documentation process. Also be sure that the maintenance program aligns
with maintenance checklists distributed to the technicians who will execute the
plan (ASHRAE 2008).
As building use patterns may change over time, the maintenance plan may
need to be revised. The following conditions are examples of when the mainte-
nance plan for an existing facility should be revised:
• HVAC performance objectives have changed.
• Building function has changed, resulting in a change to the HVAC perfor-
mance objectives.
• HVAC equipment and/or systems have been replaced/changed.
• One or more pieces of equipment and/or systems are unable to meet the
performance objectives.
• A maintenance provider, either in-house or contracted third party, recom-
mends revision.
Performance Objectives
Performance objectives are metrics that can be used to measure and monitor
equipment and system performance. A few examples of classifications for
performance objectives are thermal comfort, energy efficiency, and indoor air
quality. The metrics selected should be based on the design and operational
criteria of the system. Table 2-2 provides a list of sources that can assist in
defining performance objectives.
Condition Indicators
Condition indicators are measurements or observations about an equipment
condition that might lead to a failure or performance degradation. A list of con-
dition indicators that demonstrate unacceptable system and equipment perfor-
mance should be developed. Table 2-3 lists some examples.
Inspection Tasks
Inspection should include the condition assessment of equipment and/or sys-
tem components by observation and/or measurement of operating parameters,
as well as from data provided by sensors used to take field measurements or
from the building automation system. Depending on the type of equipment and
the task, the frequency of inspection ranges from weekly to annually
(ASHRAE 2008).
Maintenance Tasks
Maintenance tasks should include the adjustment, service, or replacement of
inventoried equipment and systems. Depending on the type of equipment and
the task, the frequency of maintenance ranges from weekly to annually
(ASHRAE 2008).
Table 2-2 Sample Condition Indicators for Unacceptable Equipment or System Condition
(Adapted from ASHRAE [2008])
Observed Condition Indicators
Evidence of deformation, discoloration, contamination, or oxidation of component surfaces
Evidence of fluid or vapor leaks
Excessive or abnormal noise and/or vibration
Loose or missing fasteners
Ice, frost, or condensation formation in unexpected locations
High levels of surface corrosion or scale accumulation
Visible biological growth, such as fungi, algae, or bacteria
Insulation not performing as specified
Performance Condition Indicators
Filter pressure drop outside of established criterion
Chiller leaving water temperature not meeting initial design conditions
Air handler airflow not within initial design requirements
Space temperatures exceeds setpoint requirements
Energy consumption deviates without a significant change in operating hours, building function or
weather
Table 2-3 Possible Sources to Consult When Developing Performance Objectives

(Modified from ASHRAE [2008])
Possible Source
System design documents and basis of design, as long as the documents reflect current loads, space use,
and other system requirements.
An individual licensed to perform HVAC design work, such as a professional engineer.
Technical material from manufacturers and/or accepted industry criteria.
Guidance from ASHRAE Standards, including the following:
ANSI/ASHRAE Standard 55-2010, Thermal Environmental Conditions for Human Occupancy
ANSI/ASHRAE Standard 62.1-2010, Ventilation for Acceptable Indoor Air Quality
ANSI/ASHRAE/IES Standard 90.1-2010, Energy Standard for Buildings Except Low-Rise Residential
Buildings
Contractor
If upon completion of an inventory or maintenance task it is determined

that a condition indicator or performance objective is unacceptable after two
successive inspections, the cause for the unacceptable condition should be
determined. At a minimum, the following potential causes should be investi-
gated (ASHRAE 2008):
• Quality of field practices. Review inspection documentation and/or work

completed by the technician to ensure maintenance tasks were completed
correctly.
• Availability of funding. Determine if sufficient time was budgeted for the

technician to complete the task.
• Status of repair. Determine if the repair has been made, if it is pending, or if
it has not been completed. If the repair is pending or has not been made, be
sure to identify why.
• Equipment reached end of service life. Determine if the equipment, system,
or component has reached the end of its service life.
• External factors. Determine if the reason for the failure is outside the
HVAC system. For example, is the failure the result of vandalism, a leak in
the roof, or another external factor?
After the reasons that the equipment or system is not working are identi-
fied, develop a plan to resolve the deficiency.
Documentation
At a minimum, inspection and maintenance records should include
• a list of HVAC systems and components with performance criteria,

• a list of inspection and maintenance tasks and a method of how completed
tasks will be tracked, and
• sufficient level of detail and verification that the maintenance plan has been
successfully implemented.
Operating and Maintenance Documentation

Accurate and complete documentation of performance objectives, operating
conditions, and maintenance records are important to the success of a mainte-
nance department. If documentation is not available, it can be very challenging
to control costs or justify the need for additional funding and/or staff or the
need for a maintenance service contract.
ASHRAE Guideline 4-1993, Preparation of Operating and Maintenance
Documentation for Building Systems (ASHRAE 1993) provides guidance for
the preparation and delivery of operation and maintenance documentation. The
guideline can be used by designers, engineers, contractors, and commissioning
agents, as well as owners, equipment suppliers and installers, building opera-
tors, maintenance technicians, and facility managers.
Collecting operations and maintenance information over the entire proj-
ect life cycle is critical to proper operation of a facility. Maintenance infor-
mation should be documented as soon as it becomes available, as
maintenance information supports design and construction, commissioning,
and operations and maintenance activities (ASHRAE 2003a).
Careful consideration should be given to the format of the information
delivered. Although paper documentation has historically been the norm, some
owners and project teams now provide electronic deliverables. Regardless of
format, documentation should be clearly organized and as complete as possi-

ble. This has not always been the case, as large amounts of project data are
often lost during the facility management handover process (wherein construc-
tion and commissioning documents are passed on to the building owner and
facility team). Contractor start-up and handover procedures are discussed in
detail in Chapter 6.
A facility management team should have the following documentation
available: an operation and maintenance document directory, emergency infor-
mation, operating manual, maintenance manual, test reports, and copies of the
construction documents.
The operation and maintenance document directory is a summary of where
to find each type of maintenance information. This directory allows informa-
tion to be found quickly, as it provides a summary of the contents and location
of information necessary to competently operate and maintain the facility.
Emergency information should be immediately accessible and should
include emergency and staff notification procedures.
The operating manual should provide all relevant information that is
needed on a day-to-day basis to operate and manage the building systems. The
manual should be divided into two parts: general information needed by the
building manager and technical information needed by the building operator.
General information should include a building description, building function,
and operating standards and logs. The technical information should include
descriptions of the systems; operating routines and procedures, including sea-
sonal start-up and shutdown procedures; special procedures; and basic trouble-
shooting information. System descriptions can be in the form of an equipment
specification that includes drawings that are easy to read and a description of
each component and piece of equipment.
The maintenance manual should include all information needed to main-
tain the building systems and should be assembled during the construction
phase of the project. The manual should be divided into two parts: equipment
inventory information and information needed to support the maintenance pro-
gram. This information includes, but is not necessarily limited to
• equipment data sheets, including operating and name plate data and war-
ranty information;
• manufacturer’s installation, operation, and maintenance instructions;
• spare parts information, including part numbers and places the parts can be
purchased;
• preventive and/or predictive maintenance actions, including recommended
frequencies specific to the facility type and use patterns;
• equipment history, including original purchase order number, date of pur-
chase, and name, address, and phone number of vendor;
• information about the installation process; and
• pump curves and testing, adjusting, and balancing (TAB) reports
Test reports are documents that provide test protocols that were used during
the construction and commissioning phases of the project. Additional testing
methods used during the life of the facility should also be documented and kept
with the test reports. Test documentation should include performance targets,
testing protocols, and test results. Test results should include both in-factory
and on-site testing completed during construction and commissioning and over
the entire life of the building.
Maintenance Policy
To align performance objectives, operating conditions, and maintenance
records within a maintenance department, a maintenance management policy
should be developed. If a facility management team currently does not have a
policy, a good starting point is to write a goal or mission statement for the
team. The statement should be brief and something that all members of the
maintenance department understand and agree upon. Then, after the goal or
mission statement is complete, a maintenance management policy should be
written. The policy should include, but is not limited to,
• key dates, including effective date, date prepared, and revision dates;
• maintenance goal or mission statement;
• leadership training;
• a job description, including authority and responsibility for each position;
and
• a list and description of how maintenance costs, productivity, and time to
complete tasks will be measured and recorded.
When developing a policy, the following keys to a successful maintenance

management department should be considered:
• Each individual within the organization should have a defined job that
includes tasks and a timeline.
• Management should clearly communicate expectations to technicians.
Without clear communication, technicians will not know what is expected
of them, and management will not have control over the maintenance
department.
• Customer service should be the foundation. The key role of a maintenance
department is to keep the building and equipment functioning to meet the
needs of the building occupants.
• Optimize crew size, considering the smallest number of individuals that
can complete the task safely and correctly. In most cases, a crew of one is
sufficient.
Maintenance control depends on how tasks and responsibilities are defined.

Management should provide clear expectations and requirements for task com-
pletion, including documentation (Westerkamp 1997).
Equipment Repair Histories

An equipment repair history is a chronological record of work performed,
labor and material used and associated costs, equipment downtime, date work
was performed, work order number, and the description of a repair for a spe-
cific piece of equipment. An equipment repair history should be consulted
before conducting any future repairs. If a piece of equipment continues to
exhibit the same failure mechanism, the equipment possibly should be replaced
instead of being repaired. A CMMS can be used to help record and track this
information. CMMSs are discussed in Chapter 3.
When accurate equipment records are kept, maintenance costs can be
reduced by reviewing records to find patterns of reoccurring maintenance
needs for the same piece of equipment. Records can be reviewed for types of
repairs, time between repairs, or time required to repair. Equipment records can
also be used to estimate what quantities of parts and supplies should be kept on
hand (Westerkamp 1997).
Maintenance Technician Training

As mechanical and control systems become computerized, an increasing
need exists for specialized and continuous training of maintenance techni-
cians. Additionally, there are a decreasing number of skilled technicians in
the workplace today. This trend is expected to increase as many experienced
maintenance engineers and technicians retire over the next decade (Ring
2008b).
To ensure maintenance plans are followed correctly, facility managers and
building owners should provide sufficient training to all maintenance techni-
cians. Good sources of technical training include, but are not limited to,
• an experienced technician or facility staff member who has worked in the

field;
• technical and community colleges; and
• videos, seminars, and lunch-and-learns conducted by professional associa-
tions, for-profit training companies, or equipment vendors.
The Next Step

This chapter introduced the concepts of maintenance strategy and control and
maintenance contracts. Maintenance approaches were defined and described.
Methods to transition from reactive to proactive maintenance were discussed.
Chapter 3 introduces computerized maintenance management systems
(CMMSs) and discusses how a CMMS can be used to support proactive
maintenance management. Chapter 5 includes a discussion of how fault

detection diagnostics, an advanced maintenance management technique, can
be used to help automate maintenance management practices.
Summary
Maintenance of mechanical systems and equipment is important to keep build-
ings operating efficiently and as designed. Buildings with good operations and
maintenance practices that are poorly designed can outperform a well-designed
building with poor maintenance practices.
Two general approaches to maintenance are unplanned (reactive) mainte-
nance and planned (proactive) maintenance. Unplanned maintenance includes
emergency and reactive maintenance. Emergency maintenance is unscheduled
work that requires immediate action to restore the equipment to an acceptable
operating condition or to remove an operating condition that could disrupt
building activities or that pose a threat to the health and safety of the building
or its occupants. Reactive maintenance, also called run-to-failure maintenance
or breakdown maintenance, is the replacement or repair of equipment as it
breaks and includes responding to equipment deficiencies as alerted to by
building occupants.
Planned maintenance approaches include preventive, corrective, and pre-
dictive maintenance. Preventive maintenance is scheduled maintenance based
on a specific time interval (for example, annually). Corrective maintenance is
a type of preventive maintenance that includes determining what resources are
needed to predict and/or correct a failure condition. Predictive maintenance is
scheduled maintenance based on equipment conditions. Predictive mainte-
nance involves the use of nondestructive testing methods, including, but not
limited to, vibration analysis, infrared thermographic inspection, pressure
readings, motor current analysis, oil analysis, and refrigerant analysis.
Deferred maintenance is an accounting category used when there is a lack of
funding or staff to complete necessary maintenance work.
Reliability-centered maintenance is a maintenance philosophy that deter-
mines what must be done so that equipment continues to operate as needed at
the lowest cost. The philosophy categorizes failures into six failure patterns.
Reactive maintenance is the most commonly used maintenance approach at
most facilities. Transitioning from reactive (unplanned) to proactive (planned)
maintenance can be cost effective. When transitioning from reactive to proac-
tive maintenance, the type, age, and function of the equipment should be con-
sidered, as well as the skill levels of technicians and availability of funding and
staffing. Even in an organization with a well-developed proactive maintenance
program, the most economical approach may be reactive maintenance for some
noncritical equipment.
Maintenance contracts can be used to supplement in-house services. The
four basic types of maintenance contracts are
• labor only;
• materials only;
• labor and materials; and

• labor, material, and overhead.
Maintenance contracts should clearly define scope of work and how work
will be evaluated. When developing a maintenance plan, the minimum inspec-
tion and maintenance requirements must be defined so that all similar equip-
ment can be compared against the same baseline. These minimum
requirements can also be used to create maintenance checklists for use by tech-
nicians.
Accurate, complete documentation is critical to control of maintenance by
a facility management team. A lack of documentation makes it challenging to
control costs and justify the need for funding, staff, and/or service contracts.
To help ensure maintenance is completed as required and equipment and
systems operate efficiently, building owners and facility managers should
ensure that technicians have proper training. Training should be an ongoing
activity within the maintenance organization and not provided only at the start
of employment.

ARI. 1999. ARI Standard 700-99, Specifications for Fluorocarbon Refriger-
ants. Arlington, VA: Air-Conditioning and Refrigeration Institute.
ASHRAE. 1991. ASHRAE Terminology of Heating, Ventilation, Air-Condition-
ing, and Refrigeration. Atlanta: American Society of Heating, Refrigerat-
ASHRAE. 1993. ASHRAE Guideline 4-1993, Preparation of Operating and
Maintenance Documentation for Building Systems. Atlanta: American
Society of Heating, Refrigerating and Air-Conditioning Engineers.
ASHRAE. 2003a. ASHRAE Handbook—HVAC Applications. Chapter 38:
Operation and maintenance management. Atlanta: American Society of
Heating, Refrigerating and Air-Conditioning Engineers.
ASHRAE. 2003b. HVAC Design Manual for Hospitals and Clinics. Atlanta:
neers.
ASHRAE. 2005. Guideline 0-2005, The Commissioning Process. Atlanta:
neers.
ASHRAE. 2008. ANSI/ASHRAE/ACCA Standard 180-2008, Standard Prac-
tice for Inspection and Maintenance of Commercial Building HVAC Sys-
tems. Atlanta: American Society of Heating, Refrigerating and Air-
Conditioning Engineers.
ASHRAE. 2009. The Decision-Maker's Guide to Energy Efficiency in Existing
Buildings. Atlanta: American Society of Heating, Refrigerating and Air-
Conditioning Engineers.
Brown, D. 1996. Facility Maintenance: The Manager’s Practical Guide and
Handbook. New York: Amacom.
IFMA. 2010. FMPedia definition of “maintenance.” International Facility

Management Association, Houston, TX. http://fmpedia.org/.
Moubray, J. 1997. Reliability-Centered Maintenance, Second edition. New
York: Industrial Press.
NASA. 2001. Standardized Facilities Preventive Maintenance Work Task
Guide. National Aeronautics and Space Administration, Washington, D.C.
www.hq.nasa.gov/office/codej/codejx/Assets/Docs/Standard-
ized%20FacPreventiveMaintWorkTaskGuideJun01.pdf.
Payant, R., and B. Lewis. 2007. Facility Manager’s Maintenance Handbook.
Second edition. New York: McGraw-Hill Handbooks.
Peters, R. 2006. Maintenance Benchmarking and Best Practices, A Profit-and
Customer-Centered Approach. New York: McGraw-Hill.
Pugh, R. 2010. Operations, maintenance and commissioning. U.S. Department
of Energy, Energy Efficiency and Renewable Energy, Federal Energy Man-
agement Program First Thursdays Seminars, July 1, 2010.
www1.eere.energy.gov/femp/pdfs/o&m_fftpresentation.pdf
Ring, P. 2008a. Maintenance in moderation is the most efficient method.
Tradeline Inc. (January).
Ring, P. 2008b. The application of lean/RCM principles for cost-effective pre-
ventative maintenance. Tradeline Facilities Conference Series, San Diego,
CA.
Sapp, D. 2010. Facilities operations & maintenance. Whole Building Design
Guide, National Institute of Building Sciences, Washington, D.C.
www.wbdg.org/om/om.php.
Westerkamp, T. 1997. Maintenance Manager’s Standard Manual, Second edi-
tion. London: Prentice Hall.

2-1 ____________ is not an unplanned approach to maintenance.

a) Emergency maintenance
b) Preventive maintenance
c) Reactive maintenance
d) Run-to-failure maintenance
2-2 Preventive maintenance is a form of scheduled maintenance based on
____________.
a) equipment condition
b) available funding levels
c) calendar or run time
2-3 Vibration analysis is a form of predictive maintenance that is used to determine
the condition of rotating equipment.
a) True
b) False
2-4 ____________ is not a nondestructive predictive maintenance technique.
a) Bearing replacement
b) Vibration analysis
c) Motor current analysis
d) Use of pressure gages
e) Oil analysis
2-5 When a maintenance organization transitions from reactive to proactive main-
tenance management, predictive maintenance should be used for all equip-
ment, regardless of type, age or equipment function.
a) True
b) False
2-6 ____________ is a basic type of maintenance contract? List all that apply.
a) Labor only
b) Materials only
c) In-house labor
d) Labor, material, and overhead
e) a, b, and d
2-7 When performing a condition assessment, ____________ is not typically

included.
a) determining if the salary of maintenance technicians should be
increased
b) determining if the maintenance work being performed is sufficient
c) determining if the equipment has any deficiencies
d) documenting the working condition of all equipment
2-8 Accurate and complete maintenance and operations documentation is not
important to the control of budgets within the maintenance organization.
a) True
b) False
2-9 The failure pattern for HVAC equipment always increases as equipment ages.
a) True
b) False
Computerized
Maintenance Management
Systems (CMMSs)
Study Objectives
 define computerized maintenance management system (CMMS);

 list several different CMMS modules and how they are used;
 understand how to plan and implement a CMMS within a facility manage-
ment department;
 be aware of the reasons that CMMS projects fail;
 understand what key performance indicators are and how to use them; and
 describe the types of CMMS training available.
Instructions
Introduction
A computerized maintenance management system (CMMS) is software used to
plan, schedule, and track maintenance activities; store maintenance histories
and inventory information; communicate building operation and maintenance
information; and generate reports to quantify productivity of maintenance
practices across a facility. CMMSs have been used by facility managers, main-
tenance technicians, third-party maintenance service providers, and asset man-
agers since the 1970s and 1980s to track the status, asset condition, and costs
of day-to-day maintenance activities.
Within the industry, several other terms, with their own distinct definitions,
are used in discussions of CMMSs. An integrated workplace management sys-
tem (IWMS) is software used to manage maintenance and space planning
information. An IWMS can also be defined as software that has the functional-
ity of both a CMMS and a computer-aided facility management system
(CAFM). A CAFM is a space management system that may also support con-
dition assessments, construction, project management, telecommunications
management, and/or furniture management. An enterprise resource planning
system (ERP) is software used to manage primary business functions, such as
42 Chapter 3 Computerized Maintenance Management Systems (CMMSs)
human resources, procurement, financial records, sales, and marketing. ERPs

may also have the functionality of a typical CMMS and/or CAFM.
CMMS software can be installed on a local computer or network server or
provided as software as a service (SaaS). When SaaS is used, a CMMS soft-
ware vendor maintains the software and hardware, and users access the CMMS
over the Internet.
Careful planning and implementation are essential when installing or
upgrading a CMMS in a new or existing facility. Although a CMMS can poten-
tially increase the efficiency of a facility management team and serve as an
archive for maintenance data, more than 50% of CMMS implementations fail
(Berger 2009). Also, selecting the right software does not guarantee the
CMMS will improve productivity. This chapter discusses the process and bene-
fits of successfully implementing and using a CMMS.
Benefits of Implementing a CMMS

When implemented successfully, a CMMS can provide many benefits.
• Electronic records. Use of electronic records reduces the amount of time

spent by office personnel entering data, which improves the efficiency of
the maintenance department. When a technician in the field enters data
directly into the CMMS, the chance of losing, misplacing, or neglecting
paperwork is reduced.
For data to be entered from the field, technicians must have portable
handheld data readers and recorders that can access work orders, scan
equipment barcodes, and record technician feedback for completed tasks.
The field-recorded information can be downloaded into the CMMS data-
base using a wireless or hardwired interface. Handheld field devices are
further discussed in the section “Field Devices.”
• Reduced repair costs. A CMMS can store and provide easy access to
equipment records. When historical records are easily accessible, they can
be used to determine the most economical decision for a piece of equip-
ment: repair or replace. Records can also be used to help predict future
maintenance needs and understand reasons for equipment failure.
• Personnel management. Records for each employee can be stored and eas-
ily accessed and updated. Electronic personnel records can include, but are
not limited to, training and certifications earned by each employee, pay
scales, and hire dates. When electronic personnel records are available,
they can be queried to find employees with specific training or certifica-
tions needed to perform specific maintenance or repair functions. Without
electronic records, the time needed to determine who has a specific level of
training or certification is generally much greater.
• Asset management. A CMMS can be used to store electronic records for
any type of asset, including equipment and supplies. In addition, asset
records can be linked to work orders, and multiple asset records can be
linked within a hierarchy. Having an electronic database of asset manage-

ment records increases the ability to navigate systems and equipment
within a hierarchy. For example, the pumps associated with a specific
boiler system can easily be identified within the CMMS software by click-
ing on the boiler within the asset hierarchy. Additionally, the work orders
for the entire boiler system or one specific component of the boiler system,
such as the pumps, can be queried.
• Justification of staffing. When records are easily accessible, a report can be
generated quickly and shared with the building owner/CEO to show an
increasing number of unresolved work orders or an increasing backlog,
thereby demonstrating the need to hire new or temporary staff.
The amount of time needed to create a report using paper-based records
is much greater than that required to generate a report from electronic
records, which allow automated searching, sorting, and quantifying of data.
• Process automation. When a CMMS is set up correctly, preventive and pre-
dictive maintenance work orders, parts and supply reordering, and other
notifications can be automated, saving time and increasing the efficiency of
the maintenance team. Automated notifications can also be set up to alert a
building occupant that the work order request they entered into the system
has been received and will be processed.
• Improved work control. CMMSs provide increased ability to manage work
orders and prioritize and schedule work.
• Improved availability of parts and material. Inventory items can be named,
classified, and tagged for records. Inventory tagging helps keep stockrooms
organized and optimizes inventory size.
Use of electronic systems increases opportunities for automation,
such as barcode scanning to track data, such as quantity, about the items
entering and exiting the inventory system. Automated reorder notifica-
tions can also be set up when inventory quantities reach a specified reor-
der threshold.
• Increased budget accountability. Accurate records of labor hours and
inventory items increase the accuracy of expenses and budgets. When field
technicians are provided with handheld devices, they can enter the number
of labor hours required to complete a specific task in the field immediately
after the task is completed, instead of recording their time at the end of the
day after returning to the shop.
• Increased ability to measure performance and service. When data are
available, performance can be determined for a period of time, such as
that required to complete a specific type of maintenance activity or
respond to a service call. Additionally, when data are stored in an elec-
tronic database, they can easily be sorted and queried to calculate perfor-
mance over different time intervals, for different departments, or even for
each technician.
CMMS Modules
When purchasing a CMMS, it is necessary to identify which modules are
needed, rather than just purchasing off-the-shelf software. As a simple analogy,
purchasing a CMMS can be like purchasing word processing software, and
having to state that you want the functions found within the Home, Insert and
View menus, but not the functions under the Page Layout menu or Styles tool-
bar. Additionally, when purchasing a CMMS, menus and reports likely will
need to be configured. Using the word processing software analogy, this would
be like specifying that the Home menu should include a Font toolbar with a
certain list of features and also what the Print dialog box should contain.
The type of modules provided and the level of configuration vary according
to vendor. As there are over 100 CMMS vendors in the market, understanding
what is available, what modules are needed, and what makes each CMMS dif-
ferent can be challenging. Table 3-1 provides a list of modules that are com-
monly available from multiple vendors. From the table, it is apparent that a
CMMS is more than just a work order management system. Also, note that not
all facility management teams require all modules. Module selection should be
carefully considered.
Many CMMS modules are purchased but not regularly used. In general,
modules that require the population of data are used less frequently. In some
cases, human resources and/or time-keeping modules within the CMMS may
not be used because the organization already has separate software to meet
these needs. The most underutilized modules include the following:
• Preventive maintenance
• Time keeping
• Inventory control
• Human resources, including chargeback rates for each technician and certi-
fications earned
Work order modules are the most commonly used. During one calendar
year, a small organization may generate thousands of work orders, while a
large organization may generate hundreds of thousands (Westerkamp 1997).
The two most common users of work order modules are the requestors (the
building occupants) and the maintenance technicians. Work orders may also be
used by the facility manager or maintenance planners to assign work and verify
it is recorded as completed.
Figure 3-1 shows a screenshot of a work order module intended for use by
the facility management team. Try to identify the following data fields:
• Location (building and/or room) where work is needed

• Name of the requestor (typically a building occupant)
• Craft who will perform the work
• Who will perform the work (typically the name of a technician)
Table 3-1 CMMS Modules

Module Description
Operating Locations • Operators can track location of equipment and organize information in
hierarchies or network systems.
• Work orders can be written in reference to specific location, equipment
history, and performance data.
Equipment • Stores accurate and detailed records of equipment: bill of materials, preventive
maintenance schedule, service contracts, safety procedures, measurement points,
multiple meters, inspection routes, specification (name plate) data, equipment
downtime, and other documentation.
• Data can be used for day-to-day operation.
• Historical data can be used for repair and replacement decisions.
Resources • Includes modules to track labor resources: maintenance personnel records (craft
and labor categories), labor rates, and skill level required to complete work.
Inventory Control • Operator can track parts and supplies inventory and location.
Work Request • Building users and maintenance staff can request maintenance needs.
• Data entry screens should have minimal data entry.
Work Order • Tracks work orders, the heart of a work order system.
Tracking • Data should be entered once.
• System should provide instant access to information for planning and scheduling
of work plans, operations, labor, materials, tools, costs, equipment, blueprints and
failure analysis documents.
Work Manager • Allows labor planning and dispatching.
Preventive • Allows a preventive maintenance master template to be used to generate work
Maintenance orders. The preventive maintenance master can be based on both time-based and
meter-based maintenance frequency.
• Allows preventive maintenance to be tracked and due dates to be assigned.
• Ability to use with system scheduler to forecast resources and budgets.
Utilities • Allows detailed information about utility consumption, distribution, use, meter-
ing, allocation, and cost to be provided to users.
Facility/Equipment • Allows maintenance histories for facilities and equipment to be organized,
History including preventive maintenance, repair, rehabilitation, modifications, additions,
and construction.
Purchasing • Allows material requests to be made, including tracking of materials and costs.
• Should only be included in mature CMMSs.
Facility Maintenance • Allows maintenance contracts to be tracked, including performance of a past
Contracts contractors work, current loading, and planned work.
Key Performance • Allows performance indicators and metrics to be tracked and cataloged and
Indicators/Metrics reports to be generated.
Cost Tracking • Allows costs of maintenance work performed, work order backlog in units of
currency, and other organization-specific cost reporting requirements to be
calculated.
Note: Some table content is from Sapp (2008).
Figure 3-1 Work order module.
Some facilities distribute paper work orders, while others distribute elec-
tronic work orders via cell phone, PDA, or laptop. Regardless of the method
used, the content is similar. Figure 3-2 is part of a sample paper-based work
order that could be provided to a technician. It provides general information
about the task, including work location, name of the person to whom the work
order was assigned, date the work was started and completed, warranty status
of the equipment, work priority, date the request was made, and general infor-
mation about the piece of equipment requiring work. The work being requested
is monthly preventive maintenance for a high-voltage substation battery.
Figure 3-2b shows safety precautions and the task description in the order in
which subtasks should be completed.
The requestor uses a work order request to submit a maintenance need,
such as “my room is too hot” or “the faucet in the lunchroom is dripping.”
When completing a work order request, the requestor typically enters the fol-
lowing information:
• Name and contact information of requestor

• Request
• Level of urgency (how soon the request should be addressed)
Figure 3-2a CMMS-generated paper-based work order.
A submitted work order request is routed to an individual who reviews the

request to determine if the work can be completed. In some cases, a submitted
work order request should not be completed, for example,
• the request may have already been submitted by another person;

• the requestor does not have the authority to make the request; or
• the requested work is already scheduled and assigned to a technician.
In many organizations, work orders are scheduled and assigned by a main-

tenance planner or crew supervisor. In other organizations, scheduling is done
by the facility manager or an assistant to the facility manager.
Figure 3-2b CMMS-generated paper-based work order.
Regardless of who assigns and schedules the work, the following informa-
tion must be added to the work order before the technician receives it (Wester-
kamp 1997):
• Class of maintenance work, such as “routine,” “preventive maintenance,”

“emergency,” “project,” or other organization-specific classifiers
• Work plan—i.e., the steps needed to complete the work
• Location of system or equipment
• Materials required to complete the work
• Name of person who planned the work
• Name of technician who will complete the work
• Budget or chargeback codes
• Any additional notes, such as special equipment, safety precautions, or per-
mits required
A work order number and the date the request was received likely will also
be included through the automated features of the CMMS. The technician uses
the work order to ensure that the correct tools, parts, and equipment are taken
into the field. After the work is completed, the technician records the labor
hours, parts, and supplies used and then returns the work order to the planner or
crew supervisor for him or her to confirm the work was completed as required
and to record any data into the CMMS not already recorded by the technician.
In an organization with a proactive maintenance program, technicians receive
two general types of work orders: service requests and planned maintenance. Ser-
vice requests, often called complaints, are work order requests received from
building occupants. Planned maintenance work orders involve any routine repair
work completed according to the maintenance plan, including any form of cor-
rective, preventive, predictive, or reliability-centered maintenance. In a reactive
maintenance organization, most work orders are service requests, and the number
of planned maintenance work orders are few to nonexistent.
Inventory Management Module

An inventory can often include several million dollars worth of items, such as
spare parts, lubricants, paints, precision tools, valves, controls, pipe fittings,
electrical equipment (motors, controls, wiring, fittings, and conduit), and struc-
tural material (angle iron, channel iron, I-beams, and H-columns). Eight key
questions help determine what should be kept in inventory (Westerkamp 1997)
are as follows:
1. What should you store? Do not store anything that can be received quickly
from vendors, especially if the item is expensive or infrequently needed.
2. How much should be stored? The answer depends on frequency of use and
necessary delivery time.
3. How low can the supply get before reordering? Determine minimum quan-
tities that should be kept on hand, based on historical records and project
requirements.
4. How high can the supply get? The maximum supply depends on available
space and funding available to purchase the item. However, a large supply
of an item reduces space and funding available to purchase other items.
5. Where should inventory be kept? Inventory items must be accessible and
easily located. For large campuses, decisions must be made as to whether
the inventory will be kept in a central location or in several locations.
6. Whom to buy from? Consider quality, price, method of delivery, and service.
7. When and how much to buy? Determine how to proceed if an item is on
sale or will be hard to obtain for a period of time and the impacts of these
decisions, if any, on building occupants.
8. What price to pay? Pricing and the quantity per price are common con-
cerns. Do not buy more just to receive a bulk discount. Although the unit
cost may be lower, money to purchase other items will be tied up as inven-
tory. Also, it is not good practice to buy extra items “just in case.” Many
maintenance storage rooms are filled with “just in case” items that are
never used.
A CMMS can be invaluable for keeping track of inventory, because quan-

tity records of parts and supplies, as well as records of what parts and supplies
are needed for each piece of equipment within the facility, can be kept in the
same electronic location.
Figure 3-3 shows an inventory management screen. Part ID, name/descrip-
tion, and type are used to classify each item in inventory. Type indicates which
trade, such as plumbing or painting, uses the part. The inventory screen also
provides information about the cost per unit, number of units in stock, and
when it is necessary to reorder.
When setting up and populating the inventory management module, it is
very important to determine what information and level of detail to record for
each item. Accurate records are critical to the success of the module. However,
not every screw, bolt, and nut needs to be accounted for separately. A well-
developed inventory system can help keep parts and supplies organized.
Figures 3-4 and 3-5 provide examples of facility departments with and with-
out an established inventory system, respectively. In Figure 3-4, parts and sup-
plies are assigned a number and stored at the specific location. In Figure 3-5,
parts and supplies are placed on a shelf where space is available, and similar
parts and supplies are grouped together when possible.
Preventive and Predictive Maintenance Modules

Preventive maintenance is completed based on a time interval, either run time
or calendar time. Predictive maintenance is completed based on equipment
condition. Most CMMSs have modules to set up and run both preventive and
predictive maintenance programs. All information needed to complete a main-
tenance task can be input into a template within the CMMS and continually
reused. Data collected in the field from completed predictive maintenance
tasks can also be stored in the CMMS.
Figure 3-6 includes a schematic of a steam heating system with feed water
heaters, storage tank, and pumps. The graph below the schematic provides data
about the system pressure over time. Archiving building performance data is
helpful for making informed repair and replacement decisions when the system
is not operating properly.
Preventive and predictive maintenance work orders can use a hierarchy,
such as a master and submaster structure, that allows several work orders to be
sequenced for a single system or piece of equipment. This can be especially
useful if different technicians will be working on the same piece of equipment,
because the CMMS workflows can be automated to notify a second technician
that the first technician has completed his or her work. For example, a master
work order could be configured for a chiller, and submaster work orders could
be set up to have one technician check the refrigerant system pressures and a
second technician replace the gearbox.
Preventive maintenance work orders can be automated based on time—for
example, replacing filters in all air-handling units every six months. Alter-
nately, work orders can be automated based on equipment condition using data
Fundamentals of Building Operation, Maintenance, and Management I-P/SI
Figure 3-3 Inventory management module home screen.
51
Figure 3-4 Inventory at a facility with a CMMS inventory management module.
Figure 3-5 Inventory at a facility without a CMMS or an inventory system.
collected from predictive maintenance activities or sensors from the building

automation system. For example, a signal that the static pressure drop across
the air-handling unit filters has reached a certain reading can be sent to the
CMMS to generate an automated work order that a filter should be replaced.
Figure 3-7 shows a set-up screen used to select and prioritize which alarms
should be automated. Selecting a location from the dropdown box displays
which alarms are currently automated for that location. Location-specific
alarms can also be deleted, edited, or added from this screen.
Geographical Information Systems (GISs)

A geographical information system (GIS) is software that manages and manip-
ulates spatial information, such as maps and building floor plans. GIS is a rela-
tively new innovation in CMMSs. Its functionality can be used to help
graphically locate buildings, specific equipment, and/or utilities.
The example in Figure 3-8 identifies the locations of manholes and sew-
ers using circles. If the locations of trees or street lights were of interest,
checking the box for these items would display them on the screen. The use
Figure 3-6 Data from predictive maintenance activity stored in a CMMS.
of such screens can be helpful for route planning, as denoted by the “purple
line” indicated in the graphic. Understanding where equipment is located can
be especially helpful when training new technicians.
Figure 3-9 shows a second example of how GISs can be used within main-
tenance management. Within this screen capture, the “red dots” indicate the
location of open work orders that have a two-hour priority. When maintenance
managers and technicians know where all open work orders are, they can deter-
mine routes and dispatch technicians in the most efficient manner.
CMMS Dashboards and Summary Screens

A computerized maintenance management system has a large amount of func-
tionality and can store a lot of data. To help users see the data from a compre-
hensive view, many CMMS products have a dashboard or summary screen. In
many cases, the summary screen provides the number of overdue work orders,
the quantity of open work orders by type, the number of work orders completed
over a given time period, and key performance indicator data (Figure 3-10). In
Figure 3-7 CMMS module linked with building automation system.
55
Figure 3-8 Use of GIS to provide equipment locations.
many cases, the contents of the dashboard can be configured to include data that
is most valuable to the user. The dashboard in Figure 3-10 displays the number
of open work orders, number of overdue work orders, time required to complete
work orders over the last 30 days, and the number of work orders entered each
month over the last year.
CMMS Selection Process

Selecting and implementing a CMMS requires more than selecting a vendor
and buying a software product. A thorough planning process is required. The
facility management team—both managers and technicians—must clearly
identify how the CMMS will be used, what functions and therefore what mod-
ules are needed, and what process changes the maintenance department will
need to make to use the software. If too few stakeholders or an imbalanced
number of managers and technicians are involved in the selection process, the
rate of system failure during implementation increases.
Although upper-level managers may think the planning process can be
made more quickly with input from only a few managers, this approach gener-
ally is not as successful as when technicians and maintenance laborers are
Figure 3-9 Use of GIS to summarize work order priorities. (Note: All dots shown in the screen capture are red, indicating loca-
tions of less than two-hour priority.)
57
58
Chapter 3 Computerized Maintenance Management Systems (CMMSs)
Figure 3-10 CMMS dashboard screen.
involved in the process. As technicians and laborers will use the CMMS, they
must understand why the software is being purchased, how it will benefit them,
and how they will be trained to use it.
A well-rounded team dedicated to the planning and implementation process
should be formed to oversee the process and seek input from as many future
users as possible. The team should be composed of in-house staff and may
include a facility management consultant who specializes in CMMS projects.
The team must outline the CMMS requirements as clearly as possible
before viewing demonstrations of specific CMMS products. Without clear,
unambiguous requirements, the team may become overwhelmed by “bells and
whistles” presented by the vendor. The planning process typically takes three
to six months (Berger 2009).
After specific CMMS requirements are defined, the team is ready to begin
researching what systems are available on the market. The team may elect to
view product demos as they interact with vendors. During the process, the team
must tell the vendor what expectations and requirements are expected of the
CMMS.
In some organizations, a more formal process may be necessary before
vendor demonstrations can occur, such as the development of a request for
information (RFI) or a request for proposal (RFP). Teams unfamiliar with cur-
rent CMMS functionality may find it helpful to complete an RFI process
before completing an RFP process. If an RFP is developed, it should be sent to
at least three vendors, inviting them to bid. This helps ensure competitive bids
that meet project requirements.
In cases where a formal RFP is not required, going through the RFP pro-
cess can help the team understand what is currently available on the market,
better align organizational goals with software offerings, and help ensure that
costs of software and implementation are competitive for the product and ser-
vices being purchased.
How to Implement a CMMS

Planning, evaluation, and selection comprise about 10% of the CMMS process
and implementation the remaining 90%. A CMMS implementation requires a
commitment to business process changes and to the population of an asset
database. The business process changes extend far beyond calculating the eco-
nomic justification for maintenance activities, and the population of the asset
database is critical to using the CMMS for decision-making and meeting goals
set during the planning phase.
When selecting which software to implement, the following must be part of
the process:
• Continued focus and understanding of the true need for the CMMS
• Clear understanding of how the CMMS implementation will support main-
tenance best practices desired by the organization
When evaluating different CMMSs, it is important to understand how the

required functionality/modules will be provided. Are they part of the standard
software offering? Are they necessary to configure or customize the software
to meet required needs? Configuration includes changing a default field within
the software to meet a facility’s specific need. Customization includes develop-
ment of entirely new modules and/or the addition of multiple fields to support
requirements. Customization of the software can be expensive and lead to
potential challenges when updates and/or patches are available.
Implementation of a CMMS is often more challenging than the planning
process. Here are tips to keep in mind (Peters 2006):
• Do not underestimate the time required to populate the equipment and parts
database, especially if the database is developed from scratch.
• Be aware that existing data may be incomplete or unavailable, and there-
fore a major inventory effort may be required.
• A do-it-yourself approach will not save money. Often, implementing the
system yourself costs more and takes longer. In many cases, modules
requiring data population are never used. CMMS subject matter experts or
consultants can help oversee, support, and provide lessons learned from
other CMMS projects.
• If the CMMS is implemented to support a transition from reactive to proac-
tive maintenance management practices, be sure to work with technicians
so they understand that proactive maintenance work requires a different
mindset and that their help is requested to implement new methods. Pay
extra attention to the technicians’ concerns and needs, because if they do
not see value in the system, it will be underused.
• Re-evaluate all current maintenance procedures, then automate procedures
that can be completed using preventive and/or predictive methods.
• Remember that full implementation of the CMMS is important to success.
If some modules are never set up or populated, the system cannot provide
full benefits.
• The success of a CMMS implementation is greatly impacted by the quality
of work provided by the implementation consultant. Be sure to meet the
team who will implement the CMMS during the evaluation process.
• Make sure corporate leadership is continually involved in the project and
that they understand what support needs to occur at the corporate level to
ensure successful CMMS implementation (Mather 2003).
• Make sure enough licenses are purchased. Clearly understand what
licenses need to be purchased and their cost. Some products require a
license for both the CMMS software and its database platform, such as
Oracle. Insufficient access to the system leads to frustration, lack of accep-
tance, and lack use of the CMMS (Mather 2003).
• Make sure proper training is provided and that those providing the training
have sufficient knowledge of the software (Mather 2003).
• Do not underestimate the benefits of including technicians and mainte-
nance laborers in the planning and implementation processes.
Table 3-2 CMMS Planning and Implementation Process

Planning
1 Establish a CMMS selection task force.
2 Perform interviews with all members of the facilities team who will use the CMMS.
3 Determine the needs, wants, reporting features, and goals for the CMMS.
4 Determine what CMMS outputs are needed to meet the goals.
5 Determine input data that must be collected.
6 Evaluate the value of data versus the cost of collecting, inputting, and maintaining the data
within the CMMS
7 Determine available budget.
8 Determine CMMS modules needed.
9 Write CMMS specification.
10 Prepare for CMMS vendor meetings.
11 Meet with vendors and participate in vendor demonstrations.
12 Prepare bid package.
13 Develop a continual implementation plan.
14 Determine if a phased implementation plan is needed.
15 Develop a phased implementation plan (if needed).
Implementation
16 Select a CMMS.
17 Collect input data.
18 Input data into CMMS.
19 Determine how users will be trained.
20 Implement training.
21 Go live and cut over.
22 Implement continual implementation plan.
The planning and implementation processes are summarized in Table 3-2,

and key parts are shown in Figure 3-11.
Common Mistakes When Implementing a CMMS

Over 50% of CMMS implementations are unsuccessful (Berger 2009). Many
factors contribute to the high rate of failure. One large contributor is that tech-
nology has development at a different pace than acceptance of new mainte-
nance management processes. CMMS technologies and functionalities have
continued to evolve, while most facilities continue to rely on reactive mainte-
nance practices. Common mistakes when implementing a CMMS include the
following (Berger 2009):
• Too much focus is placed on the look and feel of software at the expense of
functional needs and how software will meet identified business processes.
Figure 3-11 CMMS implementation process summary (Adapted from Riventa 2009).
• Software is selected and purchased based only on functionality. Factors

such as ease of use, quality of training available, and assistance during
implementation are not considered.
• The CMMS is incorrectly understood to be a static data and reporting sys-
tem. A CMMS is a dynamic data and reporting system that must be contin-
ually updated and maintained. Records must be current and up to date for
the CMMS to be functional and for accurate reports to be generated.
• Too much focus is placed on reporting features. Although robust reporting
features can be valuable, data entry must be easy for all users. If data are
not entered accurately, the value of the reports is diminished. Additionally,
automatic generation of reports must be quick and easy.
• Green and environmental modules are incorrectly believed to be a fad.
Environmental reporting and energy efficiency continue to penetrate the
market, as discussed further in Chapter 9.
• CMMS use is thought to be limited to current needs. Future needs should

also be provided for. Over time, additional functionality can be added to
further improve the efficiency of the maintenance department.
• The CMMS is viewed as location specific. The CMMS should be viewed
as a tool that can be applied across an entire campus or organization. When
a CMMS is implemented in this way, economy of scale applies. It is not
necessary to establish business rules and maintenance processes at each
location. One set of rules and processes can be developed and applied
across the entire organization.
• Implementing a single-vendor CMMS solution is incorrectly understood to
be a “fully integrated” solution. Many large CMMS vendors have adapters
that allow two or more software packages to exchange (import and export)
data.
• Owning and controlling the hardware, software, and support services is
incorrectly assumed to be preferable in all cases. Many vendors have an
SaaS option, where the vendor owns the hardware and software and pro-
vides access to the software over the Internet. An SaaS option can be help-
ful to facility management teams that have very limited budgets, lack an IT
department to support them, and/or have one or more small facilities.
• The project is incorrectly believed to be completed the day the CMMS goes
live. Implementing a CMMS is a continual process. Data must be continu-
ally entered, and the quality of the data must be verified to ensure that
reports generated are accurate and can be used for decision making.
Going-Live Phase
Going live is the transition between setting up a system and using the CMMS
for daily maintenance activities. This project phase reveals how successful the
planning and implementation processes were. Before going live, the CMMS
must be tested and checked to ensure correct system configuration. This pro-
cess includes ensuring that (Mather 2003)
• reports are set up properly and can be generated quickly and easily;
• all modules purchased are operating as they should;
• all interfaces, such as those between the building automation system (BAS)
and the CMMS, are properly set up and configured;
• all data from the old CMMS or paper-based records have been migrated to
the new system; and
• all users have received proper training or have been scheduled to receive
training in the near future.
If the new CMMS implementation replaces an existing CMMS or is inte-

grated with other software systems, two parallel systems may need to operate
for a short period of time until the new CMMS is fully implemented and all
staff members who will use the new system have received training. Temporary
operation of parallel systems may be especially important for mission-critical

facilities, such as food and drug processing or medical care.
Keys to Successful Use of a CMMS

The CMMS implementation process does not end when the system goes live.
To successfully use a CMMS, data must be continually entered, and the quality
of the data must be checked for accuracy. Many CMMS modules can be imple-
mented to further improve efficiency as new maintenance management pro-
cesses are better understood and successfully applied across an organization.
If the facility team is considering adding new modules to the existing
CMMS, a return on investment (ROI) or payback analysis should be performed
to determine value added (Sapp 2008). In addition, goals set during the plan-
ning phase should be revisited and revised to help ensure the CMMS is imple-
mented in a manner that meets the organization’s needs.
Using a CMMS to Generate Key Performance Indicators

and to Track Performance
Metrics and trends are important parts of maintenance organization. Metrics,
also known as key performance indicators (KPIs), can be used to drive
improvement, minimize problems, help set priorities and goals, and help deter-
mine milestones and evaluate success. Kerrigan (2009) suggests that the use of
metrics is the only way to move from reactive to proactive maintenance. When
using metrics, make sure that all time and maintenance activities are included.
Trends—series of data points—make metrics useful. They can be used to
measure improvement or lack of improvement over time. Trend data that shows
improvement or lack thereof can be very useful to management.
The types of metrics and trends that should be used depend heavily on the
users and should be classified by job (Kerrigan 2009):
• Maintenance: managers, supervisors, planners, crews

• Managers: peers, bosses, functional, indirect
• Customers: building occupants, facility users
Examples of metrics include percent craft utilization, percent craft perfor-

mance, overall equipment effectiveness, craft service quality, schedule compli-
ance, percent of work orders complete, percent preventive maintenance
compliance, percent inventory accuracy, maintenance cost per unit output, per-
cent over time (Peters 2006); work in process days idle; work in process over
budget; and number of work orders currently in the maintenance backlog. Over
time, any of these metrics can be used to create a trend.
To effectively use metrics and trends, reports should be set up and gener-
ated using the CMMS. There are three basic types of reports (Mather 2003):
• KPIs and measures reports. Reports that contain key performance indica-
tors, trends, and measurements that identify systems and equipment, pro-
cesses, or other maintenance management topics that need the most
attention.
• Functional reports. Reports used on a daily basis to carry out work in
accordance with the maintenance plan.
• Exception reports. Reports required to measure compliance with business
rules. Examples of exception reports include when the backlog is greater
than the target set or an insufficient amount of information is being entered
into work orders.
Although most CMMSs include many standardized reports, make sure the
reports needed for your department are configured so that they can be run
quickly, include information in an easy-to-understand format, and are useful to
users. If the reports are not properly configured, are too time consuming to use,
cannot be understood by the intended user group, or do not provide relevant
information, the facility’s team is unlikely to continue using the CMMS.
Using Key Performance Indicators from the CMMS

After a report is generated, the data, key performance indicators and/or trends
must be used to make decisions and set goals. Understand that it takes time to
analyze KPIs and trends and to interpret their impact on the organization. The
manager in charge of the KPIs and trends should be given a specific period of
time to complete the analysis.
Analysis results should be discussed at facility management meetings and
displayed weekly so that the facility management team can understand current
efficiencies and challenges. It can be beneficial to display graphs of KPIs and
trends, for example on a meeting room or break room wall, so that all team
members can use the results as a motivational tool (Figure 3-12).
Managers can also display KPIs and trends to recognize success. When dis-
playing KPI and trend results, be sure to use simple graphics, such as bar
charts. Make sure that the reasons for and value of displaying KPI and trend
graphs are discussed with the facility management team. For graphs to be use-
ful, the team must understand why they are there and how to read them.
At regular meetings, the results of the KPI and trend analysis can be used to
set team goals. Start by setting small goals, and then set more aggressive goals
as initial goals are achieved. Celebrate milestones and KPI and trend achieve-
ments by bringing pizza or cake to a staff meeting, taking the team out to
lunch, or using another form of recognition. If a goal is not met, encourage the
team to understand why and work to motivate them (Kerrigan 2009).
Cost of Implementing a CMMS

Many factors impact the cost of CMMS software and its implementation. Soft-
ware is often a small fraction of the cost of implementation and data population.
Figure 3-12 Maintenance metrics displayed in a facility's conference room.
Although many of the same features are provided by most vendors, the cost of
one software package can vary greatly among vendors for various reasons:
• Software and hardware owned by the user rather provided by the vendor
under an SaaS contract
• Amount of configuration required
• Amount of customization required, if any
• Licensing packages that are available, including type and number of users
• Size of the maintenance department, number of buildings, and equipment
quantities
• Number of modules purchased
• Type of training and number of facility team members who will be trained
• Needs for additional technologies supported, such as PDAs, barcode read-
ers, or other handheld field devices
• Needs for adapters to connect multiple CMMS software products or con-
nect a CMMS to an ERP or CAFM system or to a BAS
Software licensing packages vary by vendor. Some vendors provide an

enterprise license that applies to an unlimited number of users. Other vendors
offer per-seat licenses. A per-seat license may cover any single user in gen-
eral, or it may apply specifically to a certain user, job function, or number of
Figure 3-13 Handheld field device.
concurrent users. Some vendors also require licenses to be purchased for per-
sonnel who submit work orders.
To understand licensing clearly for a specific application, always ask the
vendor detailed questions about all options available. Because multiple licens-
ing methods are available, making quick comparisons between vendors can be
difficult.
Field Devices
PDAs, laptops, cell phones, and other devices can be used by technicians in the
field to access and enter information into a CMMS (see Figure 3-13). Although
these devices can help reduce data entry by administrative personnel, the job
function of each technician and his or her level of comfort with the technology
should be evaluated carefully to determine the level of training needed to use
the CMMS effectively. Also, field devices can be expensive to replace and may
not be the most effective tools for technicians who work on large pieces of
equipment and do not need to enter data into the CMMS regularly. Technicians
who work on large pieces of equipment, such as chillers, may spend several
consecutive days working on the same piece of equipment. Therefore, the pay-
back of reduced data entry time may be too high to justify providing handheld
devices to technicians who only work on large equipment.
Handheld barcode scanning devices can also be used in the field. Before
scanning, a barcode must be placed on all inventoried equipment and the barcode
number must be assigned equipment information and entered into the CMMS
database. A technician in the field then uses the barcode scanner to access infor-
mation, such as work order history or part model number. The barcode reader
can also be used to input records of completed maintenance activities in the field.
At the end of the day, depending on the technology being used, barcode scanners
may need to be docked so that information entered in the field is imported into
the CMMS database.
Barcodes can also be used to help track inventory items. Barcode readers
are much more efficient than paper-based systems because the process does not
require data entry, and numbers do not need to be copied by hand from parts/
part bins. To use a barcode reader for inventory, the inventory attendant takes a
scanner to a bin, picks the items the technician needs, scans the barcodes on the
items and the work order, enters the quantity needed, and then issues the parts.
Later, the scanner, depending on the technology, may need to be docked so that
all information entered can be imported into the CMMS inventory module.
When implementing a barcode system, be sure to
• establish a consistent naming and numbering system for each item;

• apply a barcode to each part/bin where each part will be stored; and
• procure barcode labels that are ultraviolet resistant or ultravioletproof; oth-
erwise, the bars on the label will fade over time.
Another option that can be used with barcode scanners for tracking inven-
tory is radio frequency identification (RFID). This newer technology uses radio
waves to automate the identification of objects. An RFID tag contains a small
microchip and antenna that stores and retrieves data. RFID is currently not
widely used within facility management, as it is more expensive than barcode
technology (Williams 2008).
Training
Proper training is critical to the success of CMMS implementation. Discussion
of the type and method of training and the timeframe required should occur as
the tasks for planning and implementing a CMMS are being completed. The
team should set clear training requirements that include
• how to enter data into the system,

• how to generate reports, and
• how to read reports and use them to make decisions.
Basic computer skills training for technicians may be necessary. In these

cases, the instructor should be patient and establish a good rapport with the
technicians. For CMMS implementation to be successful, it is important that
users are comfortable and willing to use the software.
Training must be provided as close to the system launch date as possible.
If training is provided too far in advance of the system going live, users may
forget what they have learned and may need to be retrained. As training pro-
gram requirements are defined, each team member’s role within the mainte-
nance organization and how he or she will use the CMMS must be identified.
This will help determine what type of training each team member should
receive. Implementation of new software within an organization can be over-
whelming. Team members will be more willing to participate in the training if
they are made aware of what is expected of them.
Locations and methods for providing training include on site at the cus-
tomer’s facility, the vendor’s facility, or over the Internet.
Advantages of on-site training at the customer’s facility include the following:
• Employees can learn how to use the CMMS in a familiar environment.

• Training can be customized to meet specific needs of the facility and users.
• Training does not require employees to travel.
• If necessary, employees can step out of the training for on-site emergencies.
Challenges of on-site training at the customer’s facility include the following:
• Training requires use of a computer lab or other facility with multiple com-
puters. Such a facility may not be available or may be hard to schedule for
use.
• One or more vendor representatives may be required to travel.
Advantages of on-site training at a vendor’s facility include the following:
• Training can be completed in a structured training environment.

• With fewer work-site related distractions, participants can focus solely on
the training.
Disadvantages of on-site training at a vendor’s facility include the following:
• Participants are required to travel, often for a period of days.

• Staffing levels are reduced while participants are away from the facility.
Advantages of Internet-based training include the following:
• It is the most cost-effective method.

• Training can be completed based on the participant’s schedule and at the
participant’s pace.
Disadvantages of Internet-based training include the following:
• Training is very general and may not meet the needs of all participants.
• It is difficult to hold participants accountable for completion of the training.
• Training may be less hands-on.
• Instructors may not be available to answer questions.
A train-the-trainer approach may be cost effective for large organizations.

In this approach, a small in-house team is first trained by the vendor, and then
this team provides training to their peers within the organization.
Training does not end after the CMMS is implemented. As CMMS soft-
ware is regularly updated and new field devices and other CMMS-related tech-
nologies enter the market, continuing education is important. Two forms of
continuing education for CMMS are refresher courses offered by the vendor
and annual user group meetings. Both can provide opportunities to meet pro-
fessionals from other organizations who are using the same software and to
exchange ideas and lessons learned.
The Next Step

This chapter introduced CMMSs and discussed the benefits and challenges of
successful CMMS planning and implementation. Chapter 4 introduces owning
and operating costs, including maintenance costs and life-cycle and utility bill
cost analysis.
Summary
A computerized maintenance management system (CMMS) is a valuable tool
for automating maintenance activities and improving maintenance manage-
ment efficiency. A CMMS can be used to plan, schedule, and track mainte-
nance activities, store maintenance histories and inventory information, and
generate reports to quantify the productivity of maintenance practices across a
facility. The benefits of implementing a CMMS include, but are not limited to,
availability of electronic records, reduced repair costs, personnel management,
asset management, staffing justification, process automation, improved work
control, improved availability of parts and materials, increased budget account-
ability, and increased ability to track performance and service.
The functionality and modules of a CMMS vary by vendor. Most CMMSs
have modules for work order management, preventive maintenance, time keep-
ing, and inventory control. The work order module is most frequently used. It
receives work and service requests from building occupants, schedules and
assigns work, provides information to technicians about what work is required
and which resources are needed to do it, and documents and verifies that the
work has been completed as required.
Successfully implementing a CMMS requires a carefully developed plan-
ning and implementation process. The planning process should identify how
the CMMS will be used, what modules are needed, and what process changes
the maintenance department must make to use the software. A team of mainte-
nance personnel who will use the software must be involved in these decisions.
The planning process typically takes about a tenth of the time required to
implement the CMMS. The implementation process includes evaluating differ-
ent software products, collecting and inputting data, training users, going live,
and continually inputting data and refining how the CMMS is used.
Key performance indicators (KPIs) are metrics that help drive improve-
ment, minimize problems, set goals and priorities, and determine milestones
for maintenance activities. Most CMMSs can generate KPIs in the form of
reports. When graphs are used to display KPI data, they must be simple and
easy for the intended users to understand.
The cost of CMMSs varies greatly, depending on the number of modules,
requirements for customization and configuration, number and type of licenses
required, and amount and type of training requested.
Training must be provided to all users before a CMMS system goes live.
Modes of training available include on site at the vendor’s facility, on site at the
customer’s facility, or via the Internet. A train-the-trainer approach can be use-
ful for large organizations.

Berger, D. 2009. 2009 CMMS/EAM review: Power up a winner. PlantSer-
vices.com. www.plantservices.com/articles/2009/066.html.
Kerrigan, K. Maintenance metrics. Association of Facility Engineers virtual
interactive seminar, October 13, 2009.
Mather, D. 2003. CMMS: A Timesaving Implementation Process. Boca Raton,
FL: CRC Press.
Peters, R. 2006. Maintenance Benchmarking and Best Practices. New York:
McGraw-Hill.
Riventa, J. 2009. CMMS town Hall Session. NFMT Conference, March 10–12.
Baltimore, MD.
Sapp, D. 2008. Computerized maintenance management systems (CMMS).
Whole Building Design Guide, National Institute of Building Sciences,
Washington, D.C. www.wbdg.org/om/cmms.php.
Westerkamp, T. 1997. Maintenance Manager's Standard Manual. London:
Prentice Hall.
Williams, G. 2008. FM Technology Update. Chapter 5, “Radio Frequency
Identification (RFID).” Houston, TX: IFMA Foundation.

3-1 A computerized maintenance management system (CMMS) has

____________.
a) inventory management
b) preventive maintenance
c) equipment histories
d) work order management
e) all of the above
3-2 ____________ is a benefit of a CMMS.
a) Electronic storage of records
b) Report generation to justify staffing requirements
c) Increased budget accountability
d) All of the above
e) Only a and c
3-3 ____________ typically use work orders.
a) Maintenance technicians
b) Maintenance planners
c) Authorized building occupants
d) All of the above
e) None of the above
3-4 When determining what to include in an inventory, ____________ should not
be part of the decision-making criteria.
a) quantity of items as dependent upon frequency of use
b) quantity of items as dependent upon available storage space
c) best price
d) method of delivery and quality of service provided
3-5 The hierarchy within a work order module is used ____________.
a) to set up master and submaster work orders
b) to link work orders with inventory records
c) to link work orders with asset records
d) to electronically document the organizational hierarchy within the
maintenance department
3-6 The CMMS planning process generally is more time consuming than the
implementation process.
a) True
b) False
3-7 When implementing a CMMS, it is generally a good idea to ____________.
a) be aware it may be difficult to collect all existing data required to
populate the system
b) populate the CMMS with data several years after it has been in use
c) provide proper training to users
d) keep corporate leadership informed about the process and needs of
the planning and implementation team
e) a, c, and d
3-8 When implementing a CMMS, it is generally not a good idea to
____________.
a) focus only on the look and feel of the software
b) see the CMMS as a static reporting tool
c) see the CMMS as a location-specific tool
d) select the CMMS for current and anticipated future needs
e) a, b, and c
3-9 CMMS pricing can be based on the modules implemented, amount of custom-
ization required, and the number and type of site licenses.
a) True
b) False
Owning and
Operating Costs
Study Objectives
 explain the cost considerations associated with owning and operating a

building;
 describe project delivery methods associated with constructing a building;
 estimate first costs of an installed HVAC system;
 describe various costs associated with building operation and maintenance;
 explain various costs related to energy use; and
 explain life-cycle costs and apply life-cycle cost analysis.
Instructions
Introduction
The costs of owning and operating a building are numerous. To a building
manager, issues such as performance, adequate staffing, system upgrades, and
maintenance and repairs are the most important considerations. To a building’s
owner, however, return on investment and profitability are paramount. There-
fore, operational costs are always under extreme scrutiny.
This chapter provides a comparison of first cost associated with buying an
existing building or constructing a new one. An overview of the advantages and
disadvantages of various construction delivery methods and financing strategies
are presented. A discussion of estimated project costs, including project size,
location, and financing; service life of equipment and systems; and depreciation
must also be considered before and during construction of a property.
The costs of maintenance and operation are continuous for the duration of a
building’s lifetime and may be contracted out or managed by the owner.
Energy and utility bill analyses can help to reduce energy and utility costs.
Economic and life-cycle analyses provide tools the building manager can use
to evaluate costs and select options to meet the performance and budget objec-
tives of the program.
76 Chapter 4 Owning and Operating Costs
First Costs of Building Ownership

The first costs of building ownership include expenses associated with acquir-
ing an existing building or constructing a new one suitable to the owner’s
needs. Existing buildings must be thoroughly investigated and analyzed to
determine any capital (i.e., structural) or tenant improvement costs that are
required and to assess the remaining service life of existing building systems
and equipment. Another factor to consider is building size. Will the structure
meet future space requirements? Purchasing a larger building with future
growth in mind requires that the property owner either become a landlord and
rent space to tenants or leave the space vacant. In a strong rental market, this
can be profitable, but in a down market, it can be a financial drain.
Constructing a building requires considerably more skilled labor,
resources, and effort than buying an existing building. However, the owner is
able to dictate building size, decide what materials and finishes will be used
and which systems and equipment will be installed, and place limits on costs.
The costs of constructing a building may include purchase of land, architec-
tural and engineering design fees, construction management fees, contractor
labor, material and equipment costs, permit fees, furniture, furnishings, and
process equipment.
Whether the building is new or existing, operation, maintenance, repair,
and utility costs will be continuous. In leased buildings, maintenance and
repair costs are typically included in the lease agreement. However, utility or
energy costs may be excluded and have set limits for consumption and time of
use. When constructing a new building for owner occupancy, all operation,
maintenance, repair, and utility costs are paid by the owner.
New Building Construction

Project Delivery Methods
Constructing a new building may be an attractive option, depending on given
real-estate market conditions, when owners have specific needs that an existing
buildings can not provide. Once a decision to build is made, the process of
financing the project must be initiated before design, selection of materials, and
construction can begin (see the section “Estimating Project Costs” below).
Various project delivery methods are used for the design and construction
of new buildings. The most commonly used project delivery methods include
design-bid-build, design-build, construction-manager-at-risk, and negotiated
contracts. Each method can impact the cost of a project in different ways.
Design-Bid-Build
Design-bid-build (Figure 4-1) has traditionally been considered the least
expensive method of delivering a project, because it is based on the lowest
bid to complete the work. In this method, the owner hires a design team to
provide construction documents (drawings and specifications) for a job on
Figure 4-1 Design-bid-build methodology (adapted from Maricopa Community College Dis-
trict 2005).
which contractors bid. Once all bids are received, the contractor with the
lowest bid is typically awarded the project. During construction, the contrac-
tor may discover design errors and omissions in the documents that raise the
project cost. These increased costs, or change orders, are not included in the
original bid and typically add to the cost of construction.
Design-Build
The design-build delivery method (Figure 4-2) attempts to reduce the cost
overruns of a traditional design-bid-build project. One firm or team is hired by
the owner to deliver a complete project and to reduce the overall design and
construction time required. The design-build team submits a guaranteed maxi-
mum price (GMP) to the owner early in the project, based on preliminary
design concepts and criteria. The construction documents are prepared by the
design-build team, and construction can be expedited with early project mile-
stones. For example, grading and excavation can be initiated while the building
interior is still being designed. This delivery method generally shortens the
schedule and helps to keep project costs within the GMP.
Construction-Manager-at-Risk
A major advantage of the construction-manager-at-risk method (Figure 4-3) is
that the owner selects a construction management firm based on qualifications,
Figure 4-2 Design-build methodology (adapted from Maricopa Community College District
2005).
and negotiates a fee for its services. The design team (architect, engineers, and
consultants) is hired by the owner. The construction manager (CM) and design
team work together to develop a design and cost estimate. A GMP is provided
by the CM who then receives proposals from and awards contracts to subcon-
tractors who bid competitively for the project. The final construction cost is
composed of the CM’s fee, the design team’s fee, and the subcontractors’ costs.
Negotiated Contracts
In a negotiated contract, owner and contractor negotiate the scope of work,
quality, and schedule of a project. Architectural and engineering consultants
may be employed by the owner or the contractor to provide design services and
prepare construction documents.
Estimating Costs
Various methods can be used to estimate the initial costs of constructing a new
building. One method is to obtain data from a supplier of cost information
such as RS Means. These resources provide cost estimates that allow quick
Figure 4-3 Construction-manager-at-risk methodology (adapted from Maricopa Community

College District, 2005).
determination of the cost of a system or piece of equipment and its installation

for a particular building type. Costs depend on several variables, including
quality of materials, type of project (office, hospital, retail), project size, loca-
tion, and worker overtime and productivity. For specialized projects with large
or unique equipment, more accurate costs can be obtained by contacting ven-
dors directly.
The quality of workmanship and construction can vary among contractors
and vendors. Selection of materials should be specified to contractors by the
owner to meet the project objectives, and the qualifications of contractors
should be detailed and verified. Care should be taken to compare price propos-
als equally.
Cost estimates must reflect higher wages paid for work after hours or dur-
ing holidays. Productivity of workers is factored into costs, and interruptions
and delays can increase costs and impact the project schedule.
Project Size and Location

The size, location, scope of work, complexity, and type of construction signifi-
cantly impact project cost. Larger projects can provide cost efficiency through
economy of scale. Unit costs may run higher for smaller projects. The remote
location of a project may increase transportation costs slightly, but lower labor
rates are typical in these areas. Other factors that may affect cost include
• weather conditions, season;

• local labor conditions and union restrictions;
• building code requirements;
• availability of building materials; and
• safety and environmental considerations.
Construction Costs
Table 4-1 shows material and labor costs for various building types. Table 4-2
provides a cost correction factor (CF) for the project location. Use these two
tables to solve the problem in Example 4-1.
Table 4-1 Construction Costs for Various Facilities (Saylor Publications 2008)
Description Material, Labor Cost, Total,
HVAC (Installed Costs) $/ft2 ($/m2) $/ft2 ($/m2) $/ft2 ($/m2)
Auditoriums and theaters 13.19 (141.98) 14.69 (158.13) 27.88 (300.11)
Colleges, classrooms, and administration 14.72 (158.45) 15.31 (164.80) 30.03 (323.25)
Residences (multiple) 2.48 (26.70) 3.14 (33.80) 5.62 (60.50)
Hospitals 28.32 (304.84) 26.39 (284.07) 54.71 (588.91)
Medical clinics 16.93 (182.24) 17.34 (186.65) 32.27 (368.89)
Institutional 24.27 (261.25) 12.45 (134.02) 36.72 (395.26)
Small office buildings 8.80 (94.73) 9.43 (101.51) 18.23 (196.23)
High-rise office buildings 15.85 (170.61) 12.02 (129.39) 27.87 (300.00)
K-12 schools 14.83 (159.63) 12.01 (129.28) 26.84 (288.91)
Table 4-2 Construction Costs Correction Factors (CF) for U.S. Cities
(Saylor Publications 2008)
Major Cities Cost Correction Factor Major Cities
Anchorage, AK 1.25 Nashville, TN
Boston, MA 1.07 Portland, OR
Chicago, IL 1.06 Philadelphia, PA
Denver, CO 0.78 Richmond, VA
Houston, TX 0.72 San Francisco, CA
Las Vegas, NV 0.88 Seattle, WA
New York, NY 1.36 Washington, DC
Example 4-1
Problem A county agency in Seattle, Washington, plans to build a 300,000 ft2

(27,870 m2) hospital wing. What is the estimated cost of the HVAC system
for this building?
Solution Table 4-1 shows that hospitals have a total labor and material cost of $54.71/
ft2 ($588.91/m2). To correct for location, Table 4-2 shows that the CF for
Seattle is 0.94. To calculate the HVAC costs,
$54.71-
HVAC Costs ($) =  ---------------  300,000 ft 2  = $16,413,000 (I-P) (4-1)
 ft 2 
$588.91-
HVAC Costs ($) =  ------------------  27,870 m 2  = $16,413,000 (SI) (4-2)
 m2 
HVAC Costs ($) =  $16,413,000   0.94  = $15,428,220 (4-3)
Financing
Whether purchasing an existing property or constructing a new building, a
funding source must be identified. For an existing property, the previous
owner’s mortgage may be transferable with a down payment. New loans may
be obtained from lending institutions or the U.S. Small Business Administra-
tion (SBA) or regional equivalent.
Construction financing is unlike typical financing, as construction loans are
considered short-term loans. The acquisition of land (real estate) should be a
separate transaction from a loan to construct a new building. A land purchase
can be used to help secure a construction loan.
Once construction costs are estimated, closing costs and loan fees are
determined, as well as the down payment the owner will make on the amount
of the loan. Lenders require that the borrower have a loan-to-value (LTV) ratio
of 75% to 80%. LTV is the ratio of the completed project’s appraised fair mar-
ket value to the value of the loan. The LTV ratio informs the lender if potential
losses due to nonpayment may be recouped by selling the asset.
Example 4-2
Problem An owner wants to borrow $1,000,000 to build a small office building that
has a completed appraisal value of $1,250,000. What is the LTV value?
Solution Apply the following formula:
Loan Amount ($)

LTV = ---------------------------------------------- (4-4)
Value of Assets ($)
$1,000,000
LTV = --------------------------- = 0.80 or 80% (4-5)
$1,250,000
Construction loans usually are not awarded as a lump sum; borrowers typically
receive payments when specific phases of the project are completed. The
lender monitors the progress of the construction to ensure that the borrower’s
request for funds is appropriate for the particular stage of development and is
in accordance with the predetermined disbursement schedule.
For example, payment is provided as the following phases are completed:
• Grading and excavation
• Foundation
• Structural, number of floors complete or building top out
• Exterior close-in, building enclosure is complete
• Substantial completion
Other factors that may influence financing decisions and should be ana-
lyzed include opportunity cost, inflation, and time value of money. The oppor-
tunity cost of a decision is based on what must be given up as a result of the
decision. Any decision that requires a choice between two or more options is
considered an opportunity cost. For example, if a health maintenance organiza-
tion (HMO) decides to build a medical office building on a parcel of their own
land, the opportunity of investing the construction funds to later build a hospi-
tal on the same land is lost.
Inflation, or cost escalation, decreases the purchasing or investing power
(value) of future money as it can buy less in the future. A major measure of
inflation is the inflation rate, the annualized percentage change in a general
price index, normally the Consumer Price Index, over time.
Time value of money is the concept that money available at the present time
is worth more than the same amount in the future due to potential earning
capacity. When borrowing money, a discount rate is used to determine the
value in today’s dollars of money paid or received at some time in the future.
The discount rate differs from an interest rate, which is used to determine the
value, at some future date, of an investment made in the present.
Service Life
The time during which a particular piece of equipment, system, or component
remains in its original application is referred to as the service life. Service life
is not the average age of replacement and can be substantially longer. Failure,
obsolescence, reliability, increased maintenance costs, and other requirements,
such as energy efficiency and sustainability, all contribute to the need to
replace equipment and components. Direct digital control systems typically do
not fail and can be in service for many years. However, due to technology
enhancements in software and hardware, these systems are often replaced
before the end of their useful installed life.
Geographical location can also affect the service life of HVAC systems and
equipment. Salts from marine environments have a corrosive impact on materi-
als. Industrial and urban settings can produce high volumes of combustion
byproducts that are released into the atmosphere and fall to the ground as acid
rain. Dusty and dirty environments can cause coils to clog and require more
frequent replacement of air filters.
The estimated service life of new equipment and systems is available from
several sources, including manufacturers, associations, and government agen-
cies. Due to this information’s proprietary nature, care should be exercised
when comparing service life data from various sources.
A publicly available database on the ASHRAE Web site (www.ashrae.org)
contains the service life data for all major pieces of HVAC equipment. The
information is accessible by data query and can be customized to match spe-
cific criteria, including the following:
• State
• Building function, such as office, warehouse, etc.
• Size, ft2 (m2)
• Building age (years)
• Height (stories or floors)
• Building Owners and Managers Association (BOMA) class
Depreciation
Depreciation is the calculated loss in value of a building (asset) over time due
to wear and tear, physical deterioration, and age. U.S. federal income tax law
permits reasonable deductions from taxable income, called allowances, to
allow for depreciations. For an asset to be considered depreciable, it must meet
three primary conditions: (1) be held by the business for the purpose of produc-
ing income, (b) be consumed or wear out in the course of its use, and (3) have a
service life longer than one year. Many depreciation methods are allowed
under U.S. tax law.
Recurring Costs
Recurring costs include property insurance, property taxes, equipment rental
and disposal fees.
Property Insurance
Property insurance provides the property owner financial relief in the event that
the building suffers damage. Typical claims include loss due to fire, theft,
weather, and liability. The main types of insurance coverage include replace-
ment costs, extended replacement costs, and actual cash value. Replacement
costs pay the costs of repairing the property regardless of depreciation or
appreciation. Extended replacement cost coverage (also called guaranteed
replacement cost coverage) pays for costs over the coverage limit if construc-
tion costs have increased. Generally this does not exceed 20% of the limit. This
type of policy protects the policyholder after a major disaster, when the high
demand for building contractors and materials can increase the normal cost of
reconstruction. Actual cash value provides replacement of damaged or
destroyed property with comparable value minus depreciation.
Property Taxes
Property taxes are imposed by state, regional, or local governments and are
typically based on a percentage of the assessed value of the property.
Equipment Rental and Disposal Fees

Renting of copy and printing machines, furniture, or process equipment typi-
cally has a recurring monthly cost. Disposal fees can include recycling, dis-
posal of trash, and disposal of hazardous materials that may result in regular or
one-time fees.
Maintenance Costs
The major operating costs for HVAC systems and equipment include mainte-
nance and utility (energy, water, and sewer) fees. Maintenance costs are associ-
ated with maintaining the equipment in its operating condition and may
include preventive maintenance and repair costs. Preventive maintenance is
used to prevent failure and maintain or improve service life. Repair costs
include minor costs due to failure of components during the service life of the
system or equipment. Major repair costs may also be included in the operating
costs of the building. Costs to supply the required electricity, water, fuel, or
other natural resources are referred to as energy costs or utility costs.
There are two primary methods for maintaining systems, equipment, and
buildings. The contracted maintenance method involves a contract with an
outside firm to manage maintenance, employ maintenance technicians, and
purchase parts and supplies on the building owner’s behalf to keep the build-
ing systems functioning. The second method is for the building’s owner to
hire and manage maintenance technicians and buy all the necessary parts and
supplies. An advantage of contracted maintenance is that it establishes a fixed
fee for services rendered. Maintenance contracts typically have a set term and
must be renegotiated. Parts and supplies may not always be included in the
contract amount.
When owners manage their own facilities’ maintenance, they must con-
sider the wages and overhead costs of maintenance technicians; hiring, train-
ing, and management of maintenance technicians; and the costs for all tools,
equipment, parts, supplies, and record keeping of maintenance and service
orders. Other issues include bargaining with labor unions, employee turnover,
technician productivity, and overhead (for example, heathcare) of employees.
Contracted maintenance may present challenges. Maintenance firms may
not allocate the necessary staffing levels to handle all maintenance issues in a
timely manner, which presents an issue for tenants in a building with improper
systems operation. The building equipment may not operate in an energy effi-
cient manner. As most maintenance firms do not pay or see energy costs, they
have little or no interest in saving energy. Thus, equipment may run continu-
ously rather than when needed.
Routine maintenance is often neglected, since replacing systems or equip-
ment may be considered a capital expense and not a maintenance cost. These
costs are controlled when the owner manages his or her own maintenance,
because energy use can be controlled and optimized and routine maintenance
guidelines can be followed correctly. As a result, the service life of systems and
equipment may be extended.
Estimating maintenance costs can be difficult and demands extensive
knowledge of the facility and its systems and equipment. Some manufacturers
provide maintenance requirements for equipment, the cost of which depends
on several factors:
• Quality and type of equipment. Typically, higher-quality equipment has

lower maintenance costs but a higher capital cost. Therefore, owners tend
to protect their investment by following all required maintenance guide-
lines, which may be the same as those for a lower-quality piece of equip-
ment. Number of pieces and size of equipment also contribute to
maintenance requirements. Numerous small pieces often require more
maintenance than larger units that provide the same function.
• Equipment location and access. When equipment is installed in areas that
are difficult to access, maintenance may never be completed, or the time to
complete the maintenance may be lengthy and costly. One example is when
air-handling units are installed in a confined space and the maintenance
technician must crawl inside a long, narrow space to change the air filters.
Also, equipment mounted high above the floor may require use of ladders,
scaffolding, and additional personnel.
• Operating environment. The operating environment of the equipment can

have a severe impact on maintenance cycles. Harsh operating conditions,
such as dusty or dirty areas, extreme variations in temperature and humidity,
and debris, such as leaves or pollen, can increase the maintenance cycle.
• System run times. Maintenance intervals are based on the number of hours
a piece of equipment has been operated. The more hours of operation there
are, the more often the maintenance tasks must be performed.
• Age of systems and equipment. New equipment rarely requires more main-
tenance than the routine recommended maintenance tasks. Older equip-
ment often requires additional repair and maintenance, as components and
devices wear out and fail with extended use.
• Complex systems. Complex equipment often requires a high skill level to
maintain, which increases maintenance costs. For example, repairing a
water-cooled centrifugal chiller requires a more skilled technician than that
needed to repair an air-cooled rooftop air-conditioning unit.
• Mission-critical systems. Building functions critical to the mission of the
organization that depend on systems and equipment to operate require a
higher level of maintenance. Often, predictive maintenance techniques are
used to determine the condition of in-service equipment to estimate when
maintenance should be performed. This approach offers cost savings over
routine or time-based preventive maintenance because tasks are performed
only when necessary.
• Infrastructure conditions. Infrastructure conditions can affect the perfor-
mance and maintenance of systems. Poor quality and reliability of power
and water systems can cause major maintenance concerns.
Published cost data can provide some assistance in determining mainte-

nance costs. RS Means publishes a preventive maintenance book, Facilities
Maintenance Cost and Repair (2011), for several types of equipment. Each
piece is assigned a labor allotment, which is the number of hours that the
equipment should be serviced to maximize its life. BOMA provides mainte-
nance budgets per square foot, which are specific to different regions of the
country and different building types.
The chosen maintenance approach directly impacts facility operating costs.
Piotrowski (2001) finds that a reactive maintenance program costs $18 (U.S.
dollars) per horsepower per year, a preventive maintenance program costs $13
per horsepower per year, a predictive maintenance program costs $9 per horse-
power per year, and a proactive (reliability centered) maintenance program
costs $6 per horsepower per year.
When comparing equipment downtime to the cost of maintenance and repair,
downtime costs an average of four times more than the cost of the repair (Ring
2008). The following can be employed to help reduce maintenance costs:
• Use preventive and/or predictive maintenance when economically feasible.
• Employ a maintenance planner on staff.
• Provide proper training of maintenance staff.
Table 4-3 Potential Cost Savings for Proactive Maintenance Approaches

for Chiller Plant Example
Potential Savings,
Maintenance Approach
U.S. Dollars
Preventive maintenance $3759/year
Predictive maintenance $6765/year
Reliability centered maintenance $9020/year
Cost of Maintenance Case Study
To compare the cost savings of preventive, predictive, and reliability-centered

maintenance, consider the case of a five-story tall, 176,000 ft2 (16,350 m2)
laboratory building chiller plant located in San Francisco, California. The pre-
vious annual electrical bill was $964,000. The chiller plant consists of
• 3–40 hp (3–30 kW) chilled-water pumps

• 3–25 hp (3–19 kW) condenser water pumps
• 3–350 ton (3–1230 kW) chillers (0.353 kW/ton [0.10 kW/kW])
• 3–20 hp (15 kW) cooling tower fans
Compared to reactive maintenance, and using the data cited by

Piotrowski (2001), the following cost savings result:
• Preventive maintenance savings: $5/hp/year (U.S. dollars)

• Predictive maintenance savings: $9/hp/year (U.S. dollars)
• Reliability-centered maintenance savings: $12/hp/year (U.S. dollars)
Table 4-3 summarizes the estimated cost savings for the three proactive
maintenance approaches for the chiller plant.
When equipment is properly maintained, it also operates more effi-
ciently. In fact, energy consumption in most buildings can be reduced by
10% to 40% by improving operational strategies alone (Harrison 2009).
Given the $964,000 annual electric bill for the example building, improving
the maintenance strategy for the chiller plant is likely to generate cost sav-
ings. If the chiller plant consumed 20% of energy included in the electric
bill, a savings of $19,300 to $77,000 (U.S. dollars) could be possible. Con-
trolling energy demand and consumption with a building automation system
may result in lower energy costs.
Utility Costs
Electrical Energy
The cost of electrical energy typically follows a rate schedule and includes
direct energy consumed (kWh), demand (kW), fuel adjustment charges, service
charges, reactive power charges, and taxes (which vary by state).
Electrical energy consumption is calculated by amount of energy used mea-
sured in kilowatts (kW) multiplied by the length of time it was used. The more
electrical equipment and the longer it is used (hours), the more kilowatt-hours
(kWh) are consumed. The cost of this electrical energy is determined by multi-
plying kilowatt-hours by the cost per kilowatt-hour ($/kWh). The cost for elec-
tricity in the United States varies by state; however, the average cost is
approximately $0.10 kWh.
Example 4-3
Problem A motor consumes 50 kW for 10 hours, and the cost of electricity is $0.10/
kWh. What is the cost of the electrical energy consumed?
Solution Apply the following formula:
 $0.10 
Cost =  50 kW   10 h  ------------------ = $50 (4-6)
kWh
Electric demand refers to the maximum amount of electrical energy that is being
consumed at a given time. To record demand, electric meters typically measure
the average demand over each 15-minute period and record the highest (peak)
value for the month. The demand charge is added to the electrical utility bill.
Large electricity consumers, such as chilled-water plants, use great amounts of
electricity at very specific times, such as during the hottest time of the day.
In some areas of the United States, specific rate structures are applied at
certain times. These are sometimes referred to as time-of-use rates (on peak,
off peak). When this occurs, the metering system tracks the highest use any-
time during the month under the appropriate time window. To reduce electric
demand charges, the building operator may consider an off-peak ice or water-
storage system to move the high electrical demand to a time when high demand
charges are not in effect.
The fuel adjustment charge is a cost that utilities pass on to ratepayers to
cover increases and decreases in the cost of purchased electrical power and
cost of fuel delivered to the generating plant site.
Basic service charges recover distribution, billing, and administrative costs,

including operation and maintenance of the electrical distribution system,
meter service, billing, and record keeping
The final electrical billing charge that building operators should be aware
of is a reactive power charge. This charge is for power that must be made up
from inefficiencies at the customer’s load source. This reactive power, mea-
sured in kilovolt-amperes (kvar), results from equipment (such as motors and
fluorescent lighting) that draws more current from the electrical system than
usual. The inefficiency level is called the power factor and is expressed as a
percentage. For example, a power factor of 70% means that of the total current
supplied, only 70% is actually doing work. The remaining 30% is nonworking,
or reactive power, that must be made up by the utility. Typically, customers
with a monthly power factor of 95% or better are not required to pay power
factor correction charges. However, customers with a power factor below 95%
will ordinarily be assessed the reactive power charge.
Natural Gas
The price of natural gas has two main parts, in addition to taxes:
• Commodity costs. The cost of natural gas is usually measured in therms (th);
1 therm = 100,000 Btu (29,300 W). Gas meters calculate therms by multiply-
ing the volume (standard cubic feet) by the energy content of the gas used
during a specific period.
• Transmission and distribution costs. These represent the costs of moving
natural gas by pipeline from where it is produced to the customer’s local
gas company, and then to the customer’s facility.
Natural gas prices are mainly a function of market supply and demand. As
there are limited short-term alternatives to natural gas as a heating fuel and as a
fuel for electricity generators during peak demand periods, changes in supply
or demand over a short period may result in large price fluctuations.
Other Fossil Fuels

Propane and fuel oil are examples of other fossil fuels used in buildings. The
costs are typically calculated per unit volume or per unit mass. Trucking, deliv-
ery, and tank ownership or rental fees all impact the cost of these fuels. Operators
should be aware of processes for emergency fuel oil storage, delivery, reliability,
and back-up of emergency fuels, as many institutions have duel fuel capability.
Renewable Energy Costs

Many buildings have installed renewable energy systems that generate their own
power from natural energy sources. Solar photovoltaic panels, wind turbines,
and geothermal heating systems are the primary renewable energy systems. The
three main factors that must be considered when comparing renewable energy
sources with conventional power sources are
• capital costs (including waste disposal and decommissioning costs),

• operating and maintenance costs, and
• additional electricity or fuel costs in terms of increased grid interconnec-
tion to allow for variability of weather and load requirements.
In addition, renewable power can be obtained off site. The acquisition of

this “green power” is available by contracting for a specified percent of the
facility’s total power requirements for a specific amount of time. This type of
renewable energy is delivered through the conventional power grid. Renewable
energy costs are higher than those of conventional power due to limited
demand, however they are expected to fall in the future as demand increases.
Water and Sewer Costs

Water utilities typically charge base fees that include costs for administration,
meter use, maintaining the water distribution system, and minimum amount of
water consumption and/or wastewater disposal, regardless of the amount actu-
ally consumed or disposed. For these utilities, the variable portion of the rate
structure only takes effect when a customer uses more than the minimum
included in the base charge. Other utility companies charge a fixed monthly fee
that does not include consumption amounts.
Water use is commonly charged per hundred cubic feet. Because water is
metered and sewer disposal is typically not, the charges for the discharge of
sewer are based on water consumption. In many instances (such as irrigation),
water is consumed and not disposed into the sewer system, and the customer
may be due a credit when this occurs. In some areas, an exclusion is granted
for evaporation of makeup water sent to a cooling tower.
Regulatory Costs
Regulatory costs for operating a facility include costs associated with comply-
ing with federal, state, regional, and local regulations. Current regulations that
impact costs include the following:
• Refrigerant transition. The production phase out and availability of com-

mon refrigerants used in air-conditioning systems will impact facility man-
agers and building owners in the future. The associated costs of keeping
current equipment operating with a limited supply of existing refrigerant,
or to replace or retrofit equipment to use a newer refrigerant that complies
with existing regulations, will need to be considered.
• Reduction in oxides of nitrogen. Many states have adopted regulations that
require many facilities to reduce oxides of nitrogen (NOx) emissions. These
emissions can be reduced by making process changes (such as modifications
to the combustion process) or by installing air pollution control equipment.

All strategies to comply with these regulations should be evaluated. The cost
impacts result from retrofitting boilers and maintaining the regulatory
requirements for the emission of NO.
• Climate change legislation. Legislation and regulations are on the horizon
that limit emissions of carbon dioxide and five other greenhouse gases
(GHG). The “cap and trade” system will allow each facility to emit a lim-
ited amount of GHG daily and reduce the emissions of GHG over time. Ini-
tially, each facility would receive, on average, enough free allowances to
cover 85% of its emissions. An additional 15% would need to be purchased
through a regulated market. A facility could reduce its emissions to cover
the difference between the total allowances, or “cap,” and the needed
allowances. This annual cap will gradually be reduced, forcing reductions
in carbon emissions and creating a market of “tradable” allowances
between those with a surplus and those who need them.
• Sustainability. The environmental movement to make buildings more sus-
tainable has many economic impacts for facility managers and includes
several regulatory issues.
Many sustainable requirements that were voluntary a few years ago are
now mandated by federal and local governments. Most government-owned and
operated facilities are required to be built and operated in a sustainable manner.
These facilities often are required to have a Leadership in Energy and Environ-
mental Design (LEED®) certification by the U.S. Green Building Council
(USGBC). The USGBC provides third-party verification that the building is
built and operated in an environmentally responsible manner.
LEED equips building owners and operators with a concise framework for
identifying and implementing practical and measurable green building design,
construction, operations, and maintenance solutions. Costs involved in LEED
certification cover registration, project document review, additional fees for
sustainable design features, consultant fees to prepare submittals for review,
sustainable materials and methods, energy efficient equipment, commission-
ing, and additional controls and verification systems and procedures. These
costs may save money over the life of the building.
The U.S. General Services Administration (GSA) estimates that budget
allocations for a LEED certification can amount to 2.5% to 10% more than typ-
ical methods, depending on the certification goals of the project.
Utility Billing Analysis

The starting point for managing the energy of a facility or a plant is analyzing
its use according to the utility bill. Invoices can provide information about
which buildings are consuming the highest amount of energy and the related
costs. In a campus setting, if several buildings are linked to a single energy
meter, energy use for each building will not be available. Detailed examina-
tions of energy bills can yield
• a baseline for monitoring the energy use of separately metered buildings;

• information about how energy costs are determined, based on consump-
tion, demand, power factor, etc.;
• whether energy consumption for a building is increasing or decreasing;
• effectiveness of energy conservation measures;
• utility billing and metering errors; and
• when/if usage and metering anomalies occur and patterns change.
Utility bills should be reviewed for a period of two years in order to obtain
an accurate profile of the facility’s energy use. When reviewing the energy util-
ity billing history, objectively observe the consumption and costs from a man-
agement perspective. Review the building area, usage, operating hours, type of
equipment (mechanical, electrical, plumbing), and existing control systems to
better understand why and where the building uses energy.
When analyzing energy bills, understand the importance of how weather
can affect energy use. Weather normalization provides a method to determine
if the building is saving energy and lowering costs without concern for weather
variation. For instance, an air-conditioning unit is replaced with a more effi-
cient system, and the building owner expects to see an energy reduction and
lower costs as a result. However, the energy bills actually show a higher energy
use due to unseasonably warm temperatures. Without normalizing energy
usage information, justifying the replacement of an air-conditioning unit with
one of higher efficiency is difficult.
Data obtained from energy bills can be used to compare a building’s energy
use with that of other typical buildings. This process is called benchmarking,
and it can provide the building operator with information on how to analyze
energy use, what drives energy consumption, and how to set targets to reduce
it. The U.S. Environmental Protection Agency provides an energy performance
rating system, the ENERGY STAR® Portfolio Manager, that can be used to
assess a building’s energy performance and track savings over time. This rating
system can compare the performance of multiple buildings and allow custom-
ers to target resources where they will be best utilized.
The basic steps to evaluating energy data include
• metering energy consumption and collecting the data;

• determining the best opportunities to save energy;
• implementing energy reduction measures, such as upgrading systems,
replacing windows, and adding insulation; and
• tracking progress by analyzing meter data to see how well the energy-saving
efforts have performed.
Economic Analysis
Understanding the impact of opportunity costs, inflation, and time value of
money requires economic analysis and comparison of all owning and operating
alternatives. Simple payback and detailed life-cycle cost (LCC) analyses are
the two general categories of economic analysis.
Time Value of Money

The value of money changes over time. Consider two options:
• Receive $1000 today OR

• Receive $1000 one year from today
The prudent decision would be to receive the $1000 today. The rationale
for this decision is twofold: interest (opportunity cost) and inflation. Interest is
the ability to earn a return on money that is loaned or deposited. By receiving
the $1000 today and investing these funds in an interest-bearing bank account,
one year from today would yield an amount greater than $1000. The additional
amount received beyond the principal amount invested depends on the interest
rate being paid by the bank.
The second factor, inflation, is a decrease in the purchasing power of
money. More goods can be obtained today with $1000 than in one year. This
decrease in purchasing power is a result of inflation.
Interest
Two factors affect the calculation of interest: the amount invested and the
period of time (years) between cash flows. The basic formula is
Fn = P + In (4-7)
where
Fn = future amount of money at the end of n-th year
P = present amount of money
I = interest accumulated over n years
n = number of interest periods, years
Interest is typically stated as a percentage rate paid for the use of the money
for a specific time period, usually years. The two primary types of interest are
simple and compounded. Simple interest is earned (charged) only on the origi-
nal principal amount. The formula for determining interest is
I =  Pni (4-8)
where
I = interest accumulated over n years
P = present amount of money
i = interest rate
n = number of interest periods, years
Example 4-4
Problem A facility manager needs to borrow $15,000 to replace an air-handling unit

for 6 years at a simple interest rate of 8% per year. How much will be owned
on the loan?
Solution I =  Pni
0.08
I =  $15,000   6 years   ----------- = $7200 (4-9)
Year
The total amount owed at the end of the 6-year period would be the
$15,000 principal plus the $7200 interest for a total of $22,200.
Compounded interest is interest that is earned (charged) on the accumu-
lated interest plus the principal amount. A new principal amount is formed
by adding the accumulated interest at the end of the first interest period. This
interest compounding is shown in Table 4-4.
In our example, the amount due at the end of the loan period using sim-
ple interest is $22,000. With compounded interest, the amount due at end of
the same loan period is $23,804, a $1604 difference. Clearly, the lender
would prefer compounded interest and the borrower would prefer the simple
interest method.
Table 4-4 Compounded Interest Example

A
B C=A+B
Year Amount Due
Interest Due at Year End Total Amount Due at Year End
at Beginning of the Year
1 P = $15,000 P(i) = $15,000(0.08) = $1200 P + P(i) = $16,200
2 P = $16,200 P(i) = $16,200(0.08) = $1296 $17,496
3 $17,496 $17,496(0.08) = $1400 $18,896
4 $18,896 $18,896(0.08) = $1512 $20,408
5 $20,408 $20,4080(.08) = $1632 $22,041
6 $22,041 $22,041(0.08) = $1732 $23,804
Present Worth
To better understand the time value of money analysis, the concept of present
value must be discussed. Present value, also known as present worth, is the
current worth of a future sum of money given at a specific rate of return. A
discount rate is applied to future cash flows; the higher the discount rate is, the
lower the present value is of the future cash flows. The goal of present worth
analysis is to determine the value of several cash flows occurring at different
points in time by developing a common basis through the use of an interest or
discount rate.
The methods for finding the present worth of a single sum and uniform series
are determined using various equations and Table 4-5 for a 10% interest rate.
Single Payment, Present Worth. To find present value (P) given future
value (F):
P = F  P F i n  (4-10)
Single Payment, Compound Amount. To find future value (F) given

present value (P):
P = P  F P i n  (4-11)
Uniform Series. To find future value (F) given amortized value (A):
F = A  F A i n  (4-12)
Uniform Series. To find amortized value (A) given future value (F):
A = F  A F i n  (4-13)
Uniform Series. To find amortized value (A) given present value (P):
A = P  A P i n  (4-14)
Uniform Series. To find present value (P) given amortized value (A):
P = A  P A i n  (4-15)
where
P = present value, present worth
F = future value, future worth
A = single payment in a series of n equal payments
i = annual interest rate, discount rate
n = number of annual interest periods, years
Simple Payback
Simple payback describes the number of years required for an investment to
pay for itself through the annual savings or benefits that the investment creates.
To calculate simple payback, divide the total cost of a proposed investment by
the annualized net savings that the investment will provide. For example, a
Table 4-5 Interest Factors for i = 10%

Compound Present Capital
Compound Sinking Fund
Present Worth Amount Worth Recovery
Amount Factor Factor To
Year Factor To Find Factor To Factor To Factor To
to Find F Given Find A Given
P Given F Find F Given Find P Find A
P F
A Given A Given P
F/P P/F F/A P/A A/F A/P
1 1.1000 0.9091 1.0000 0.9091 1.0000 1.1000
2 1.2100 0.8264 2.1000 1.7355 0.4762 0.5762
3 1.3310 0.7513 3.3100 2.4869 0.3021 0.4021
4 1.4641 0.6830 4.6410 3.1699 0.2155 0.3155
5 1.6105 0.6209 6.1051 3.7908 0.1638 0.2638
6 1.7716 0.5645 7.7156 4.3553 0.1296 0.2296
7 1.9487 0.5132 9.4872 4.8684 0.1054 0.2054
8 2.1436 0.4665 11.4359 5.3349 0.0874 0.1874
9 2.3579 0.4241 13.5795 5.7590 0.0736 0.1736
10 2.5937 0.3855 15.9374 6.1446 0.0627 0.1627
11 2.8531 0.3505 18.5312 6.4951 0.0540 0.1540
12 3.1384 0.3186 21.3843 6.8137 0.0468 0.1468
13 3.4523 0.2897 24.5227 7.1034 0.0408 0.1408
14 3.7975 0.2633 27.9750 7.3667 0.0357 0.1357
15 4.1772 0.2394 31.7725 7.6061 0.0315 0.1315
16 4.5950 0.2176 35.9497 7.8237 0.0278 0.1278
17 5.0545 0.1978 40.5447 8.0216 0.0247 0.1247
18 5.5599 0.1799 45.5992 8.2014 0.0219 0.1219
19 6.1159 0.1635 51.1591 8.3649 0.0195 0.1195
20 6.7275 0.1486 57.2750 8.5136 0.0175 0.1175
21 7.4002 0.1351 64.0025 8.6487 0.0156 0.1156
22 8.1403 0.1228 71.4027 8.7715 0.0140 0.1140
23 8.9543 0.1117 79.5430 8.8832 0.0126 0.1126
24 9.8497 0.1015 88.4973 8.9847 0.0113 0.1113
25 10.8347 0.0923 98.3471 9.0770 0.0102 0.1102
26 11.9182 0.0839 109.1818 9.1609 0.0092 0.1092
27 13.1100 0.0763 121.0999 9.2372 0.0083 0.1083
28 14.4210 0.0693 134.2099 9.3066 0.0075 0.1075
29 15.8631 0.0630 148.6309 9.3696 0.0067 0.1067
30 17.4494 0.0573 164.4940 9.4269 0.0061 0.1061
Example 4-5
Problem A building manager expects a boiler to fail in 5 years and has estimated the
cost to be about $10,000 to replace. How much should be invested now in an
interest account earning a simple interest rate of 10% per year to afford a
new boiler in 5 years?
Solution To determine the Single Sum, from Table 4-5, to find P given F, at n = 5, the
factor is equal to 0.6209.
P = F  P F i n 
P = $10,000 × (0.6209) = $6209 (4-16)
Example 4-6
Problem If $12,000 is deposited in an account that pays 10% interest annually, what is
the ending balance after 7 years?
Solution To determine the Single Sum, from Table 4-5, to find F given P, at n = 7, the
factor is equal to 1.9487.
P = P  F P i n 
P = $12,000 × (1.9487) = $23,384 (4-17)
Example 4-7
Problem A variable-frequency drive is expected to save $1000 per year over 15 years.
What is the present worth for this series of payments if the interest rate is
10%?
Solution To determine the Uniform Series, from the Table 4-5, to find P given A, at n
= 15, the factor is equal to 7.6061.
P = A  P A i n 
P = $1000 × (7.6061) = $7606 (4-18)
Example 4-8
Problem A building engineer has $20,000 available today to buy a high-efficiency air-
conditioning system with a service life of 10 years. What energy savings
would be needed to justify this project if the company rate of return on the
money is 10%?
Solution To determine the Uniform Series, from the Table 4-5, to find A given P, at n
= 10, the factor is equal to 0.1736.
A = P  A P i n 
P = $20,000 × (0.1736) = $3472 (4-19)
Provided this high-efficiency air-conditioning system achieves an annual

energy cost savings of $3472 or greater, the company will earn its rate of
return at the minimum. If the energy savings are better than $3472, the actual
rate of return will be greater than 10%.
variable frequency drive costs $1350, and the annual energy savings expected
is approximately $635. Therefore, the payback is
Investment Cost Years

Payback = ----------------------------------------- =  $1350   -------------- = 2.2 years (4-20)
Yearling Savings $635
While this technique is easy to compute, it does not factor in the time value
of money, inflation, project lifetime, and maintenance costs. To account for
these factors, a more detailed life-cycle cost analysis must be performed. Sim-
ple payback is useful for making ballpark estimates of how long it will take to
recoup an initial investment.
Life-Cycle Cost Analysis

The total cost of a project, system, or piece of equipment is the purchase price
plus all costs of operation and maintenance for its entire service life. This life-
cycle cost must be evaluated for the entire life cycle of the building. The NIST
Handbook 135 (1996), defines LCC as “the total discounted dollar cost of own-
ing, operating, maintaining, and disposing of a building or a building system”
over a period of time.
LCC analysis is an economic evaluation technique for determining the total

cost of owning and operating a facility over a period of time. By using LCC
analysis, one can evaluate several alternatives that meet performance criteria
but have different first costs, maintenance costs, utility costs, and different ser-
vice lives. For example, a developer wishes to install electric heating units,
rather than hot-water heating units, due to their low first cost. However, the
high cost of electricity will result in a higher operating cost over the service life
of the electrical unit.
An examination of all building components should be completed when
comparing LCCs, as many systems add to the total cost over the life of a facil-
ity. Building envelope components, such as windows, walls, and roofing, can
affect the thermal performance of a building’s envelope. LCC analysis can help
determine whether the selection of a particular product is economically feasi-
ble based on energy cost reduction over the building’s life or within an inves-
tor’s time frame. However, energy is not the only concern, because
maintenance, repair, disposal costs, and service life must also be considered.
Once the LCC analysis is complete, the selected alternative should be the most
reasonable and cost-effective solution to the problem.
Example 4-9
Problem A water-cooled air-conditioning unit is proposed by a contractor. The system

will cost $45,000 to be installed and require $2000 worth of maintenance
each year for its expected service life of 10 years. Energy costs will be
$5000 per year.
A typical air-cooled air-conditioning unit will have a first cost of $30,000 and
require $1000 in maintenance costs each year for 10 years. Energy costs for
the air-cooled unit will be $12,000 per year. If the discount rate available is
10%, would the better investment be Alternative 1, a water-cooled air-condi-
tioning unit, or Alternative 2, an air-cooled air-conditioning unit?
Solution Yearly costs include the sum of the maintenance and energy costs (assuming
no escalation). Cash flows are shown in Table 4-6.
LCC for Alternative 1
Total Costs = First Cost + A  P A i n  (4-21)
LLC = $45,000 + $8000 × (6.1446) (4-22)
LLC = $45,000 + $49,157 (4-23)
LLC = $94,157 (4-24)
LCC for Alternative 2

Total Costs = First Cost + A  P A i n 
LLC = $30,000 + $13,000 × (6.1446) (4-25)
LLC = $30,000 + $79,880 (4-26)
LLC = $109,880 (4-27)
Alternative 1 has the lowest LCC and should be selected. Other factors to
be considered include inflation of energy and maintenance costs and differ-
ences in service life
Table 4-6 Life-Cycle Cost Analysis Example

Year Alternate 1 Alternate 2
0 $45,000 $30,000
1 $2000 + $5000 = $8000 $1000 + $12,000 = $13,000
2 $8000 $13,000
3 $8000 $13,000
4 $8000 $13,000
5 $8000 $13,000
6 $8000 $13,000
7 $8000 $13,000
8 $8000 $13,000
9 $8000 $13,000
10 $8000 $13,000
The Next Step

This chapter introduced the costs involved with owning and operating build-
ings. First costs, operating costs, maintenance costs, and service life factors
were outlined. Additionally, the methods of delivering a project, and utility
costs and analysis were presented. Economic analysis provides the reader with
necessary tools to calculate the net present value of assets and to evaluate proj-
ect alternatives. Chapter 5 discusses HVAC controls, how they can affect oper-
ating costs, and how they can help in diagnosing maintenance and operational
problems.
Summary
The owning and operating costs related to building operation and maintenance
are significant and cannot be ignored. Everyone involved in building operation
must be aware of the costs involved and how to control them. The concepts
presented in this chapter showed how first costs are impacted by construction
delivery methods, how first costs can be estimated, and how depreciation, ser-
vice life and recurring costs factor into the overall cost of ownership.
In addition to construction and ownership costs are the costs of operation
and maintenance. To control maintenance costs, services can be contracted to
an outside firm or managed internally by the owners’ maintenance staff. Both
methods have advantages and disadvantages, and factors involved in estimating
the costs of these services include quality and type of equipment installed,
access and location of equipment, system age and operating schedules, com-
plexity and critical use of the systems, and the infrastructure conditions to sup-
port these systems.
Utility costs include the costs of electricity, natural gas, fossil fuels, renew-
able energy, water, and sewer. Electrical costs include more than the cost of
energy itself, such as the rate at which energy is consumed, fluctuations in
energy prices, distribution and services fees, and charges for power due to inef-
ficiencies at the customer’s electrical load. The costs of natural gas, propane,
and other fossil fuels (heat oil) are impacted by use and delivery methods.
Renewable energy costs include capital costs for items such as solar panels and
wind generation, operation and maintenance of equipment, and any additional
costs due to weather and other load requirements. Water and sewer costs are
directly related to each other and are based on water consumption.
Refrigerants, nitrogen oxide, green house gases, and sustainable require-
ments all contribute to regulatory costs that impact the construction, operation,
and maintenance of buildings. Regulations will continue to impact operation
and maintenance budgets into the future and, as additional legislation and
restrictions are imposed, these costs will increase. As a result, sustainable
buildings are becoming more common. Operating costs for sustainable build-
ings may be offset over the building’s life cycle by reduced energy and water
consumption and the quality of materials used.
Sound energy management principles, including energy bill analysis,
should be employed when operating a facility. Reviewing invoices can provide
an energy baseline, help determine where excessive energy is used and the rate
at which it’s used, and help validate the performance of energy conservation
measures. When examining utility bills, always account for weather conditions
in order to accurately compare a building’s energy use with that of other typical
buildings over different years of operation.
Additional concepts related to asset costs include simple payback, time
value of money, interest, present worth, and life-cycle cost (LCC) analysis. The
number of years required for any investment to pay for itself, disregarding
interest, is described as simple payback. Interest is money earned on a principle
investment. Present worth is described as a future sum of money given a spe-
cific rate of return. LCC analysis is the process of evaluating costs and select-
ing an alternative based on the lowest cost to meet project requirements.

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August:48–54.
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ery Methods.
Available at www.gccaz.edu/adminsvcs/oct_05/insert.pdf.
Piotrowski, J. 2001. “Proactive Maintenance of Pumps.” Retrieved August
2008, from www.maintenanceworld.com.
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line Inc. (January).
RS Means. 2008. Mechanical Cost Data. Norwell, MA: RS Means.
RS Means. 2011. Facilities Maintenance & Repair 2011 Cost Data Book. Nor-
well, MA: RS Means.
Strychaz, S.J. 2008. 2008 Current Construction Costs. Chatsworth, CA: Saylor
Publications.
Turner, W. 2001. Energy Management Handbook. Lilburn, GA: The Fairmont
Press.

4-1 The construction delivery method where discovery of design errors and omis-
sions in the construction documents leads to change orders is referred to as
____________.
a) design-bid-build
b) design-build
c) construction-manager-at-risk
d) negotiated
4-2 ____________ construction delivery method requires the design and construc-
tion team to submit a guaranteed maximum price (GMP) to the owner early in
the project based on preliminary design concepts and criteria.
a) Design-bid-build
b) Design-build
c) Construction-manager-at-risk
d) Negotiated
4-3 A developer in Boston, MA, wants to build a 250,000 ft2 office building.
____________ is the estimated cost for the HVAC system for this building.
Use Tables 1 & 2 in the chapter.
a) $4,284,050
b) $14,445,000
c) $5,851,830
d) $4,876,525
4-4 Replacement costs, extended replacement costs, and actual cash value are all
types of ____________.
a) depreciation
b) insurance coverage
c) service life
d) property taxes
4-5 ____________ is not required to determine service life in the ASHRAE data-
base.
a) State
b) Building function
c) Equipment manufacturer
d) Building Owners and Managers Association (BOMA) Class
4-6 A motor consumes 75 kW for 5 hours and the cost of electricity is $0.15 per
kilowatt-hour. ____________ is the cost of the electrical energy consumed.
a) $37.50
b) $50.00
c) $56.25
d) $75.00
4-7 ____________ is the simple payback in years for an energy efficient lighting
system that costs $10,000 and where the energy savings is expected to be
$2,500 per year.
a) Four years
b) Five years
c) Seven years
d) Ten years
4-8 The decrease in the purchasing power of money is called ____________.
a) interest
b) opportunity cost
c) inflation
d) depreciation
4-9 The electrical utility charge for power that has to be made up from inefficien-
cies at the customer’s load source is referred to as ____________.
a) regulatory charges
b) fuel adjustment charges
c) basic service charges
d) reactive power charges
4-10 Two direct digital control (DDC) systems are under consideration to replace a
pneumatic control system. One DDC system (ABC) will initially cost $90,000
to be installed and require $1000 worth of upgrades each year. This system is
expected to save an estimated $3,000 per year in energy costs. Another DDC
system (XYZ) will have a first cost of $60,000 and require $2,000 in software
and hardware costs each year. The XYZ system is expected to have an esti-
mated energy savings of $2,000 per year. Both systems are expected to last 10
years and the available discount rate is 10%. ____________ would be the bet-
ter investment and ____________ is the life-cycle cost (LCC) associated with
this selection.
a) ABC System, LCC equal to $94,968
b) ABC System, LCC equal to $56,605
c) XYZ System, LCC equal to $67,303
d) XYZ System, LCC equal to $72,171
Heating, Ventilating, and
Air-Conditioning Controls
Study Objectives
 name various types of control components and identify how they are used;
 understand how to specify control components and write control sequences;
 understand methods to effectively use controls to measure and monitor
building energy performance; and
 name several emerging control technologies and strategies.
Instructions
Introduction
The heating, ventilating, and air-conditioning (HVAC) control system is the
brain of the building. It stages equipment and systems ON and OFF in response
to building schedules, changes in building load, and changes made by the sys-
tem operator. Effective use of controls is important for both new and existing
buildings, especially as the topics of energy efficiency and occupant comfort
grow in interest to the building community and utility providers.
Controls can be classified by their primary energy source: air or electricity.
Pneumatic controls were first installed in commercial buildings in the late
1940s and use compressed air as the energy source. Many existing buildings
still contain some pneumatic controls today. Electronic controls include elec-
tronic components, digital electronic controllers, and self-powered components
and use electricity as their energy source. Today, almost all new control sys-
tems installed in buildings use digital electronic controllers.
Control methods include direct digital control (DDC), building automation
system (BAS), building management system (BMS), energy management sys-
tem (EMS), and energy management control system (EMCS). Comparing defi-
nitions, BAS, BMS, EMS, and EMCS all provide the same functionality.
106 Chapter 5 Heating, Ventilating, and Air-Conditioning Controls
Direct digital control (DDC): A type of control system where analog and
binary signals are converted to a digital format, evaluated by a control algo-
rithm in the microprocessor, and converted back to an analog or binary format
to provide a corrective action to the final control device.
BAS/BMS/EMS/EMCS: A control system that consists of DDC (and possibly
pneumatic) devices used to monitor, control, and manage mechanical and elec-
trical systems within a building. The core functionality of the system is to keep
the indoor environmental conditions within a specified range based on set-
points programmed into the system. The system also monitors equipment per-
formance and device failures and can provide notifications of unsatisfactory
operating conditions in the form of alarms to the building operator.
A control system includes both software and hardware, and in many cases a
computer network. Software typically consists of computer coding of the con-
trol sequences and a user interface. Hardware includes, but is not limited to,
controllers, sensors, meters, actuators, relays, and dampers. Although controls
are also commonly used in fire protection, lighting and security systems, these
are not the focus of this chapter.
Control Components
Control systems are composed of many different components. Some of the
most common types of control components, including software, user inter-
faces, networks, valves, actuators, dampers, temperature sensors, humidity sen-
sors, flow rate sensors, controllers, relays, transformers, fuses, and transducers,
are described below.
Software, User Interfaces, and Networks

Software, user interfaces, and networks are important parts of many control sys-
tems. The software includes a user interface (Figure 5-1) and sequences of oper-
ation for the systems and equipment written as control algorithms that can be
executed by the control hardware. The user interface is accessible through a
computer or, for some smaller control systems, through a screen that is part of
the equipment. The screen displays information about the system, and changes
can be made through a touch screen or buttons adjacent to the control panel. For
computer-based systems, the user makes changes using a keyboard and mouse.
The network is the infrastructure that provides a path for communication
between control devices and other parts of the control system, often including
servers, the Internet, multiple computers, controllers, and control devices.
Valves
Valves are used to control the flow of steam, water, gas, or other fluids. There are
many different types of valves, including single-seated, double-seated, three-way
mixing, three-way diverting, butterfly, ball, and pressure-independent valves.
Always select valves based on intended use, pressure drop, and flow rate.
Figure 5-1 Building control system user interface.
Remember that higher pressure drops will result when smaller-diameter valves
are used.
Single-seated valves provide a tight shutoff to prevent fluid flow.
Double-seated (balanced) valves balance fluid pressure to reduce the
amount of force the actuator must apply to move the valve into position. They
are commonly used when the fluid pressure is too high for a single-seated
valve to be used or when a tight shutoff is not required (ASHRAE 2009).
Three-way mixing valves are used to mix fluids that enter through two
separate inlets and exit through a common outlet.
Three-way diverting valves are used to separate a single flow entering a
valve with one inlet and two exits into two separate streams.
Butterfly valves have a heavy ring that encloses a rotating disk designed
for two-position action (open/closed). When the valve is closed, the disk fits
against the valve body or a liner within the body to prevent fluid flow
(ASHRAE 2009). Both ON/OFF and modulating butterfly valves are available
from many vendors. Figure 5-2 shows a cross section of a butterfly valve.
Ball valves bodies consist of a rotating ball with a hole drilled in it. They
have high close-off ratings and are not very expensive (ASHRAE 2009).
Actuators
An actuator is a mechanism that positions a device. It is the interface between
the control and mechanical systems (Felker and Felker 2009). Many types of
actuators, such as pneumatic valve, electric-hydraulic valve, solenoid, and
electric motor, are used in HVAC&R controls. About 90% of actuators on the
commercial market are electric. In some cases, pneumatic actuators are used
for very large valves or dampers (Felker and Felker 2009).
Figure 5-2 Cross section of a butterfly valve.
Pneumatic valve actuators use air as a primary energy source. They con-
sist of a spring and flexible diaphragm attached to the valve stem. Pneumatic
actuators can be found in older buildings and used with very large systems
(ASHRAE 2009).
Electric-hydraulic valve actuators contain an incompressible fluid, a
spring, and a flexible diaphragm attached to a valve stem. The fluid is circu-
lated by an internal electric pump (ASHRAE 2009). Figure 5-3 provides an
example of a valve actuator used to open and close a damper.
Solenoids are magnetic coils that operate a movable plunger. They are
most commonly two-position operation but can also be modulating. Solenoid
valves are generally 4 in. (102 mm) or smaller in diameter (ASHRAE 2009).
Electric motor actuators move valve stem through a gear train and link-
age. Several types include unidirectional, spring return, and reversible. Unidi-
rectional and spring-return electric motor actuators provide two-position
control. Reversible electric motor actuators can be used for floating and pro-
portional control (ASHRAE 2009).
Dampers
A damper is one or more blades in parallel or opposed arrangement used to
control airflow (Figure 5-4). Dampers are commonly used with outdoor air
intakes, air-handling units, terminal units, and smoke control systems. In air-
handling units, dampers are used to modulate airflows by mixing air and con-
trolling outdoor air intake. Parallel blade dampers are best suited for modulat-
ing control when the pressure drop of the damper comprises approximately
Figure 5-3 Valve actuators used to open/close a damper (Felker and Felker 2009).
Figure 5-4 Parallel-and-opposed blade dampers (ASHRAE 2009).
25% or more of the pressure in the subsystem. Opposed-blade dampers are best
suited for modulating control when the damper comprises approximately 15%
or less of the pressure drop in the subsystem. In both cases, the subsystem is
defined as a portion of duct with two relatively constant pressure points, such
as the return air section between the mixed-air and return plenum tees
(ASHRAE 2009).
When selecting new dampers or replacing existing dampers, it is important
to determine if leakage will be of concern. A leaky damper can result in frozen
pipes or coils in cold climates and can also reduce the tightness of the building
envelope. Although low-leakage dampers are more expensive because they
require larger actuators to overcome friction at the damper seals, the energy
savings often make up for the additional capital cost (ASHRAE 2009).
Temperature Sensors
Many different types of temperature sensors can be used for a broad range of
applications. Figure 5-5 shows a thermostat used for cold storage applications.
Temperature sensors include, but are not limited to, bimetal element, rod-and-
tube element, remote bulb element, thermistor, and resistance temperature
device types. Figure 5-6 shows a common room thermostat.
Bimetal element sensors have two thin strips of dissimilar metal fused
together. The element bends and changes position as the temperature changes.
Bimetal elements are commonly used in room, insertion, and immersion ther-
mostats.
Figure 5-5 Temperature sensor for cold storage.
Rod-and-tube element sensors have a high-expansion metal tube with a

low-expansion rod. One end of the rod is attached to the end of the tube. The
free end of the tube moves as the tube changes length with changes in tempera-
ture. Rod-and-tube element sensors are most commonly used in insertion and
immersions thermostats (ASHRAE 2009).
Remote bulb element sensors include a bulb (capsule) connected to a dia-
phragm by a capillary tube. Temperature changes at the bulb are conveyed
through the diaphragm via the capillary tube. Remote bulb element sensors are
used in systems that are filled with a vapor, gas, or liquid. They are most useful
when the measurement point is not located near the thermostat location
(ASHRAE 2009).
Thermistors are semiconductors that change electrical resistance with
changes in temperature. They are relatively inexpensive, and a large change in
resistance is possible with a small change in temperature (ASHRAE 2009).
Thermistors come in multiple temperature ranges.
Resistance temperature devices (RTDs) are temperature-sensing ele-
ments in which the resistance of the metallic material changes with changes in
temperature. RTDs can be mounted on a surface or used as immersion devices.
They are commonly used because they have linear resistance characteristics
and come in multiple temperature ranges.
RTDs are linear (opening and flow are directly proportional) and inherently
more stable than thermistors but are less sensitive and generally have a lower
resistance. A lower resistance is a disadvantage because the resistance of the
leads and connections can significantly affect the readings. Thermistors are
Figure 5-6 Temperature sensor/thermostat.
less expensive and more sensitive than RTDs but are nonlinear. Historically,
thermistors have also been prone to drift.
Humidity Sensors
Humidity sensors, also called hygrometers, measure relative humidity, dew
point, or absolute humidity of either ambient or moving air. Several types of
humidity sensors include mechanical, electronic, chilled-mirror, dispersive
infrared technology, and infrared.
Mechanical humidity sensors use a moisture-sensitive material (such as
nylon or a bulk polymer material) that retains moisture and expands when
exposed to water vapor. The size change of the material is detected by a mechan-
ical linkage and converted to a pneumatic or electric signal (ASHRAE 2009).
Electronic humidity sensors use resistance or capacitance sensing ele-
ments. When a resistance-sensing element is used, the conductive grid is
coated with a water-absorbent substance. Resistance varies with the amount of
water retained and, therefore, varies with relative humidity. When a capaci-
tance element is used, the element includes a membrane of nonconductive film
stretched across it (ASHRAE 2009).
Chilled-mirror humidity sensors measure the dew point by measuring
airflow across a small mirror within the sensor. A small thermoelectric cooler
in the sensor lowers the surface temperature of the mirror until the dew point of
the air is reached (ASHRAE 2009).
Dispersive infrared technology sensors measure absolute humidity or
dew point. An optical sensor within the device detects the amount of water
vapor in the air based on the infrared light absorption characteristics of the
water molecules (ASHRAE 2009).
Infrared humidity sensors measure absolute humidity or dew point. An
infrared humidity sensor has a sensing element behind a transparent window
and is not directly exposed to the environment where the reading is taken. This
allows for the sensor to be very stable and have a fast response time, as it is not
subject to saturation and can used for both very high and very low humidity
environments (ASHRAE 2009).
Flow Rate Sensors and Switches

Flow rate sensors measure the volume of a fluid passing a given point within
a pipe or a duct. They include orifice plate, pitot-static tube, venturi, turbine,
magnetic flow, thermal dispersion, vortex shedding, and Doppler effect
meter types. Figure 5-7 shows an airflow sensor that could be installed
within a duct.
Flow sensors that operate on a difference in pressure, including orifice
plates, venturi and pitot tube types, are generally less expensive and easier to
use. However, pressure differential devices can have a limited range and may
Figure 5-7 Airflow sensor.
not provide sufficient accuracy for all applications. When high accuracy is
needed, turbine, magnetic, and vortex shedding meter types should be used.
When replacing a flow sensor within an existing building, a Doppler meter
may be a cost effective choice because it does not require shutting down the
system or cutting the pipe to install. Pitot tube, vortex shedding, and thermal
dispersion type sensors are most often used to measure airflow.
A flow switch (Figure 5-8) uses a paddle to detect flow. Although less
expensive than flow rate sensors, flow switches tend to be less accurate.
Controllers
A controller (Figure 5-9) receives a signal from a control device and compares
it to the setpoint. After the comparison, the controller sends an output signal
back to the control device. The output signal indicates that the device should
continue operating at the same condition or that a change is needed.
The signals sent to and from the control device are either binary or analog.
A binary signal is used for two-position control: ON-OFF or open-closed. Ana-
log control is used when a range of conditions is possible, such as with a tem-
perature sensor. The control signal is processed using a microprocessor and
control algorithm within the controller. In some cases, such as with a room
thermostat, the sensor and controller are both within the same device.
Figure 5-8 Water flow switch.
Figure 5-9 Controllers.
Relays
A relay is a switching device that receives a signal from a controller and trans-
forms it in some way before relaying the signal to another controller or to an
actuator. Relays can be either electronic or pneumatic (Haines and Hittle
1993). A low-load relay can be powered from a control panel using a digital
input point to switch a high-load device or a device with a different voltage or
phase.
Transformers
A transformer is a device used to change voltage levels. Transformers have two
primary functions. First, they transform a high voltage or high current from the
power circuit down to a common secondary base. Second, they isolate the
operating coils of relays and measuring instruments from high potentials in the
power system.
A basic single-phase transformer has a primary and secondary winding.
The primary winding is connected to the power source. The secondary winding
is connected to the load. Note that there is no electrical connection between the
two windings, as energy is transferred through mutual inductance (Hughes
1988).
Transducers
A transducer is a device that transforms energy from one form to another. A
transducer is needed when two devices with different forms of energy must
interface with each other. Transducers can be pneumatic, electronic, fluidic, or
a combination of types, such as fluidic-to-pneumatic (Haines and Hittle 1993).
Fuses
A fuse is an overcurrent protection device. More specifically, the U.S. National
Electric Code defines a fuse as “an overcurrent protection device with a circuit
opening fusible part that is heated and severed by the passage of current
through it.” Fuses are often found in electrical systems but are also important
within control systems.
Utility Meters
Electricity, natural gas, and water utility meters are typically installed at either
the campus or building level. Depending on the type of meter and hardware,
the sophistication of the services provided by the utility, and the needs of the
facility, utility meter data can be sent to the building automation system. Note
that when interfacing a utility meter with a BAS, additional hardware is
required because a BAS cannot directly measure power consumption.
Figure 5-10 Pneumatic controls in an existing building.
Pneumatic Components
The use of pneumatic controls is rare in new buildings today. However, pneu-
matic controls are commonly found in existing buildings (Figure 5-10). Pneu-
matic controls are powered by compressed air, typically at 15 to 30 psig (103 to
207 kPa). However, very large valves and dampers may require higher operat-
ing pressures. Pneumatic controllers can include relays, controllers, switches,
transmitters, and actuators.
When pneumatic controls are used, the air supply must be kept clean of
dirt, oil, and water. To keep the air clean, the pneumatic system must be well
designed and include an air dryer, oil separator, and high-efficiency filters
(Haines and Hittle 1999).
In a pneumatic control system, the compressor must hold the pressure
required for proper operation and there can be no leaks in the pneumatic tub-
ing. A preventive maintenance plan for pneumatic control can be an effective
strategy to maintain proper operation.
Specifying Control Systems and

Writing Control Sequences
Efficient operation of a control system is often impacted by sufficient attention
to detail and adequate documentation during the design and specification of the
control system. A well-developed control specification is a clearly written
Figure 5-11 Sample points list for a heat pump.
description of the design intent and what is required to meet the needs of the
client. The specification should include (ASHRAE 2009)
• descriptions of the control devices needed or the performance expectations

for the devices;
• points lists (binary inputs, analog inputs, binary outputs, analog outputs)
(see Figure 5-11);
• control system schematics that show how each system component will be
controlled, including instrumentation required and any hard-wire inter-
locks; and
• sequences of operation, including both normal and abnormal operating
conditions.
When describing the control device or the performance expectations,

range, accuracy, sensitivity, drift, response time, and repeatability should be
described. Repeatability is how consistently the sensor reproduces the same
measurement.
When writing a control sequence, the following should be included:
• Overview, or purpose of the sequence, including what equipment is con-

trolled and where the equipment is located
• Scheduled run conditions during occupied and unoccupied modes
• Description of how each component in the system will operate, including
start-up and shutdown
• List of conditions that will trigger an alarm and the type of alarm (dis-
played on user interface, message sent to a PDA, auditory, etc.)
• List of failure modes and safety devices or subsystems
• Interconnections and interlocks (what systems/equipment are connected)
In addition to the control sequences for each piece of equipment, an over-

view of how each component will work together as a system should also be
written.
Common Control Strategies

Control sequences are written to state how the control system should operate.
Some common control strategies used include setpoint control, setback control,
reset control, high-limit/low-limit control, lead/standby control, lead/lag con-
trol, and high/low signal select control (Gosse 2009).
Setpoint control is control of a condition, such as temperature, relative
humidity, or dew point. The controlled condition is the setpoint. For example,
the temperature setpoint for an office could be 70°F (21°C). When using set-
point control, an offset—the difference between the setpoint and control
point—is commonly included.
For example, an office with a setpoint of 70°F (21°C) might have an offset
of 2°F (1.1°C). With a 2°F (1.1°C) offset, the control system would call for
heat starting at 68°F (20°C). The use of an offset prevents equipment from
unnecessary ON/OFF cycling. Unnecessary cycling can result in increased wear
on equipment and increased energy costs.
An offset also provides a deadband between the temperature at which the
unit is actively heating the space and the temperature at which the unit is
actively cooling the space. This can provide significant energy savings and is
required by some energy codes. Some vendors specify separate heating and
cooling setpoints with a deadband in between, rather than specifying a single
setpoint and offset.
Setback control allows a setpoint to be changed when the building sched-
ule permits. Setback control is commonly used for temperature setpoints.
When setpoint control is used as an energy efficiency strategy, it must not be
overridden, as overriding setpoints can negate anticipated energy savings.
Reset control uses a reset schedule to adjust a primary setpoint based on a
measured input. For example, as the outdoor air temperature drops to a specified
temperature, the setpoint of a hot-water boiler can be reset to a higher value.
Low-limit/high-limit controls ensure that a control point remains within a

certain range. Low-limit control keep a control point above a specified value,
while high-limit control keeps a control point below a specified value. Low-
limit control is often used with mixed-air damper control. High-limit control is
often used to limit a maximum temperature or relative humidity (Gosse 2009).
Lead/stand-by control alternates (stages) two or more similar pieces of
equipment, often parts of the same system. An example of lead/standby control
is a two-pump system where one pump is the primary pump and the second is
the standby. When using lead/standby control, alternating which piece of
equipment is lead and which is standby is common so that each has similar
runtime hours.
Lead/lag control alternates (stages) two or more similar pieces of equip-
ment, often parts of the same system. An example of lead/lag control is a two-
pump system in which one pump is the primary (lead) and the second pump
(lag) is the secondary. During high-load conditions, both pumps may be used
to meet the load. As in lead/standby control, alternating equipment as lead and
lag is common. The main difference between lead/standby and lead/lag is that,
when using a lead/standby control strategy, the standby pump is not used to
help meet the load under high-load conditions.
High/low signal select control selects the highest or lowest value from
several input signals to the controller. The controller then reacts based on the
highest/lowest value. This type of control is used for space temperature control
when a space has multiple temperature sensors (Gosse 2009).
Effective Use of Control Technology

To effectively use control technology, several factors must be successfully
deployed:
• Control system design must be coordinated with the HVAC&R system

design.
• Interoperability requirements must be identified and successfully addressed
in the design and installation of all systems and components.
• How open and/or proprietary protocols will be used must be clearly under-
stood and applied.
• Commissioning and retrocommissioning should be used.
Coordinated Design
Coordinated control system design requires that the HVAC design engineer,
controls engineer, and controls contractor work together to ensure that the
design intent for system operation is understood. Although this sounds simple,
it presents a large challenge within the industry. The design, installation, and
operation of a control system is typically a disconnected process. The HVAC
engineer often provides a general description in the design documents of how
the HVAC system should operate. The controls contractor then provides a gen-
eral description to the HVAC engineer of how the system will likely be set up.
Controls design is then left up to the controls contractor programmer without
further interaction with the engineer or the building operator (Peterson and
Sosoka 1990).
This can present design challenges, because controls programmers generally
have no experience designing or operating HVAC systems (Peterson and Sosoka
1990). Hartman (2006) calls this lack of continuity in design the “over the fence”
method. Unfortunately, this method works poorly in “today’s more complex
projects, and it often is disastrous when this disconnected process is applied to
advanced integrated technologies” (Hartman 2006). Engineers, contractors, and
operators who seek to operate energy-efficient buildings need to acknowledge
and overcome these challenges to help meet energy efficiency goals.
Interoperability
Successful interoperability is very important to proper operation of a control
system. Interoperability is the ability for control components from different
vendors, manufacturers, and systems to communicate through a common net-
work and language (Gosse 2009). An interoperable system can have one or
more networks. For example, an integrated, multiple-network system could
consist of a BACnet system and multiple ARCNET or MS/TP network seg-
ments. Gateways are generally used to connect dissimilar protocols, such as
BACnet® and LonWorks®. Routers are used to send messages from one net-
work segment to another without changing protocols. Figure 5-12 shows an
example of a networked control system.
Use of Protocols
A communication protocol is a set of rules and procedures for the exchange of
information between two connected devices over a network (ASHRAE 2009).
For successful communication to occur, either the software and hardware
attempting to communicate or a router is needed to send the message through a
gateway, which translates it from one protocol to another.
The three basic types of protocols are standard, public and private. Standard
protocols are published and controlled by a standards body. Public protocols are
published and controlled by a private organization. Private protocols, also
known as proprietary protocols, are developed and used by a specific manufac-
turer. Standard and public protocols can be used by any control vendor or device
manufacturer. With the number of control vendors in the market today, the use
of only private (proprietary) protocols presents several challenges:
• Lack of interoperability. Software may not be able to communicate with all

hardware, which prevents systems and equipment from operating as
designed.
Figure 5-12 Control system on a single network.
• Separate workstations. Equipment operators may need to have a separate

workstation (computer) or user interface for each vendor’s control system.
• Vendor lock-in. When system upgrades or component replacements are
necessary, parts and services must be sourced from the same vendor. This
reduces the potential for a competitive bid (i.e., higher pricing) and can
pose challenges within older buildings in cases where a vendor may have
stopped providing software revisions for a certain version of software or
where there is an insufficient number of control technicians with experi-
ence troubleshoot older devices.
In contrast, there are several benefits of using a standard protocol (Newman

2010):
• A single operator workstation exists for all systems.

• Competitive bidding during system expansion is possible.
• Interoperability is possible for data sharing, alarm and event management,
trending and scheduling, and networked remote device management.
Open protocols improve interoperability and provide more benefits to users

than only the use of proprietary protocols. Two commonly used open protocols
for HVAC control are BACnet and LonWorks.
BACnet, which stands for building automation and control network, was
developed by ASHRAE in 1987 as a data communications protocol for both
hardware and software. BACnet provides a standard way to handle alarming,
scheduling, trending, and other system-level functions. It can be used for
HVAC control, fire detection and alarm, lighting control, security, elevators,
and utility company interfaces.
The protocol includes many rules to allow communications between differ-
ent vendor devices to look the same on the communications network. Topical
areas of these rules include the following (Newman 2010):
• Electrical signaling
• Addressing
• Network access, including master/slave and peer-to-peer
• Error checking
• Flow control
• Message sequencing, segmentation, and checkpointing
• Presentation format, including compression and encryption
• Message format
The BACnet data structure is represented by objects. An object is a collec-

tion of information related to a specific function that can be uniquely identified
and accessed over a network using a standard process. An object can represent
a physical point or a group of points that perform a specific function. All
objects have a property set that is used to retrieve information from or to issue
commands to the object. Information about an object can be summarized
within an object table. An object table contains the name or identifier property
on the left and the property value(s) on the right (Figure 5-13).
LonWorks technology is built on the concept of a local operating network.
A local operating network is a group of devices that use the same communica-
tion protocol to share information. LonWorks control devices typically use a
Figure 5-13 Sample BACnet object table for a temperature sensor (Newman 2010).
specially designed microchip called a Neuron® chip, which uses the LonTalk®
open communication protocol.
Interoperability standards for LonWorks are created and supported by Lon-
Mark® International, a nonprofit industry-supported organization (Gosse
2009). The main differences between BACnet and LonWorks are as follows:
• LonWorks focuses on simple data communication, whereas BACnet was

specifically developed for the building automation industry.
• BACnet is software based, whereas LonWorks is based on firmware burned
to a chip.
• LonWorks is controlled by Echelon, a corporation, whereas BACnet was
developed and controlled by ASHRAE, a nonprofit organization.
Commissioning and Recommissioning Control Systems

For a control system to operate efficiently, it must be commissioned. The com-
missioning process should include start-up and testing of all parts of the sys-
tem. Design documents should include specific, required commissioning
procedures.
The commissioning process should start with checking each control device
to ensure it is installed and connected properly, correctly addressed, and field
calibrated. After each component is verified, all interlocks should be checked
for proper operation (ASHRAE 2009).
Building performance typically degrades about 30% within the first three
to four years of operation (Holness 2009). Therefore, recommissioning is
important over the life of the building. Commissioning and recommissioning
are discussed in further detail in Chapter 7.
Using the Control System for Energy Management

A properly functioning control system can be an effective way to help manage
energy consumption. In many instances control systems do not operate prop-
erly or as intended upon installation:
• A 1994 study of 60 commercial buildings found that 50% had temperature

control problems, 40% had problems with HVAC equipment, and 33% had
improperly operating sensors. Additionally, 15% of the buildings were
missing specified equipment (Piette and Nordman 1996).
• Rios (2005) discovered that for every building control system that is oper-
ated successfully, hundreds more are underutilized and incapable of achiev-
ing basic energy savings.
• Brambley et al. (2005) concluded that many control systems are malfunc-
tioning or disabled.
When using a BAS as an energy management tool, first make sure that the
control system is working properly:
• Are building schedules set up properly during occupied and unoccupied

modes?
• Are systems and equipment operating per the control sequences?
• Confirm equipment is not in-hand or running at full speed.
Using a BAS as an Energy Benchmarking Tool

Benchmarking is the process of comparing different data sets to track perfor-
mance. Benchmarking can be done against historical data for the building
itself, peer buildings, the basis of design, ASHRAE Standard 90.1 (2010), or
other metrics.
A BAS can be used to collect and trend large amounts of data. Historically,
BAS data has been used for equipment operation. With an increased interest in
energy efficiency, the use of BAS data for energy management is increasing.
Effective use of BAS data to benchmark energy consumption requires some
additional reporting features and may require that additional data points be col-
lected or that data collection intervals be changed. Additional reporting features
may be necessary to process data from trend logs into a format that can be easily
understood by others, not just the control technician and energy engineers.
Additional data, such as full load amps, airflows, or kW, may need to be
collected. Also, the collection interval, change of value (COV), or time interval
data may need to be adjusted. COV is often valuable to the equipment operator.
Using it for benchmarking, however, can be a challenge, because the time
intervals vary.
Determining What to Benchmark. When using a BAS to benchmark
energy consumption, first determine what to benchmark. Examples may
include the following:
• Whole building energy consumption, such as electricity and natural gas
• System-level energy consumption, such as chiller and boiler plants
• Equipment-level energy consumption, such as air handlers, chillers, cool-
ing tower fans, pumps, and fan coils
After deciding what to benchmark, determine which data are needed to

generate the benchmark. This includes determining what points the control
system currently trends and what meters and sensors are currently installed that
can be used to collect the necessary data. In many buildings, additional trend-
ing points and/or additional meters or sensors will likely be required.
Organizing Benchmark Data. After any additional trend points and/or
meters and sensors are determined, next identify specific metrics, their time
intervals, and how they will be displayed. A metric is unit of measure used to
assess performance (Mathew 2007). Common building-level metrics include
• kWh per unit area (ft2 or m2),
• kBtu (kJ) per unit area, and
• ENERGY STAR score from ENERGY STAR Portfolio Manager.
Common system and equipment level metrics include
• kW/ton (kW/kW) for chillers,

• W/cfm (W·s/m3) for air handlers, and
• peak W/GSF (W/gross m2) for cooling or heating.
Use of Metrics and Graphics. After metrics are selected, the time interval
and how the metrics will be displayed must be determined. Depending on the
team’s needs and the BAS’s functionality, graphics can be automatically gener-
ated from the BAS or by a report generator. In other cases, data from the BAS
may need to be exported to a spreadsheet for analysis.
When selecting what type of graphics to use, be sure to keep the purpose
and user of the graphics in mind. For example, graphics and reports provided to
the building owner should include a different level of detail than graphics or
reports used by an energy engineer. Commonly used graphics include, but are
not limited to, x-y scatter plots, bar charts, and carpet plots.
Use of Trend Logs to Troubleshoot Operational Challenges. Trending is
the process of collecting data about a specific control point over a period of
time. The time period can be either a fixed interval (such as every 15 minutes)
or at a change in value (such as a change in outdoor air temperature). Trend
data are collected by the building control system and stored in a trend log.
Trend logs can be an effective tool to help troubleshoot operational challenges
and identify sources of inefficiency. Trend logs can be used to determine if
equipment schedules are set properly, if equipment is cycling ON-OFF properly,
or if simultaneous heating and cooling are occurring.
Checking trend logs for proper equipment scheduling is fairly simple
because it is easy to see if equipment is running when the building is unoccu-
pied. Building use can change, and schedules can be overridden for a special
event, so it is important to check them regularly. When a building is scheduled
properly, the following benefits result:
• Lower energy consumption

• Increased equipment operation life and less frequent replacement of lamps,
belts and filters
When reviewing trend logs, look for when equipment was turned ON and
OFF, both manually and as automated by the control sequences. In some cases
when occupant comfort complaints are received, an equipment operator may
turn the equipment ON and OFF to resolve a heating or cooling compliant. How-
ever, turning equipment ON and OFF to solve comfort complaints often does not
address the root of the problem, can result in a slow upward trend in energy
consumption, and does not help generate an energy performance baseline for
benchmarking.
Trend logs can also be used to determine if spaces are being simultaneously
heated and cooled or to determine when systems are hunting. Simultaneous
heating and cooling can result when control sequences for variable air volume
with reheat, constant-volume systems with reheat, multizone fan systems, and
central air-conditioning systems with perimeter heating are not well aligned.
To determine if simultaneous heating and cooling are occurring, look at the
trend logs for the following:
• Heating and cooling valve positions

• Direct expansion cooling and electric heating stage status
• Outdoor air temperature (OAT)
• Return air temperature (RAT)
• Mixed-air temperature (MAT)
• Supply air temperature (SAT)
Figure 5-14 shows an air handler in both economizer and non-economizer

mode. The air handler is in economizer mode when the damper is 100% open.
The system is in economizer mode when the OAT tracks the MAT and the
RAT is greater than the OAT and the building requires cooling.
Figure 5-14 Normal system operation of an air handler.
Figure 5-15 shows a different air handler for which the economizer mode is
not working properly. More specifically, the unit is always operating with the
outdoor air damper at the minimum open position. This is indicated by the
MAT nearly tracking the RAT and the OAT.
If economizer mode were working properly, the mixed air trend would
have more variation. Were the air handler in economizer mode, the MAT would
be lower than the RAT and not track it as closely. The trend for MAT during
proper operation depends on the OAT. To determine if an economizer is operat-
ing properly, look at the OATs. If the same MAT and RAT trends were
observed in summer on a hot day, the economizer mode would be operating
properly, because the damper should be at the minimum open position.
Balancing Indoor Environmental Quality, Occupant Comfort, and
Energy Management. A comfortable space temperature and relative humidity
are important to meet occupant needs and to help maximize productivity levels.
To control overall business operation costs, balance occupant comfort needs
and energy efficiency; do not sacrifice temperature or relative humidity levels
to save energy. To ensure that comfort needs are met in an energy efficient
Figure 5-15 Air handler with improperly operating economizer mode.
manner, both comfort and energy should be quantified. To quantify comfort,

two basic approaches can be used (Tom 2008):
1. Monitor the number of comfort complaints (hot/cold calls) logged for the
building or certain areas of a building.
2. Perform a comfort survey of all building occupants.
When using either method, remember that comfort is subjective and

depends on individual perceptions. The goal should be to reduce the number of
complaints, though realize it is not possible to eliminate all complaints.
Sensor Calibration
Sensors’ loss of calibration over time results in increased energy use and
decreased occupant comfort and prevents heating and cooling loads from being
met. Critical zone sensors are likely to cause the largest energy penalties when
they are not calibrated correctly. For example, a temperature sensor in the
return air duct of an air handler can result in a large amount of energy waste.
Unless the sensor is calibrated correctly, it is hard to detect that it is not operat-
ing correctly.
Additionally, many sensor problems appear as other problems. Examples
include heating or cooling loads not being met, reset schedules not working
correctly, improper operation of economizers, simultaneous heating and cool-
ing, and equipment not modulating as expected. Critical sensors that should be
periodically calibrated include the following (BetterBricks 2009):
• MAT sensors
• RAT sensors
• OAT sensors
• SAT sensors
• Chilled-water temperature sensors
• Hot-water temperature sensors
• Carbon dioxide sensors
• Carbon monoxide sensors
• Humidity sensors
The best method to determine calibration frequency is to check the litera-

ture provided with the sensor, or contact the manufacturer to request the instal-
lation manual or user’s guide.
Tuning Control Loops

Tuning control loops improves system performance. The first step is to manu-
ally control the system at several setpoints to evaluate the following questions:
• Are there rapid fluctuations in the controlled variable?

• Is there a measurable amount of hysteresis in the actuator?
• How easy/difficult is it to maintain the setpoint?
• Which operating region is most sensitive?
Hysteresis is an error that results mainly from freedom in the control ele-
ment, such as slack in an actuator linkage. If the process cannot be controlled
manually, always identify why before starting the loop tuning process. The
loop tuning process differs depending on the type of control: proportional, pro-
portional-plus-integral, proportional-integral-derivative, or ON/OFF (ASHRAE
2009).
Impact of Controls on Operating Costs

The cost of operating a building is impacted by the number of control points
included within the control system design and how these inform building oper-
ation. During design, the number and type of control points must be carefully
considered. Value engineering out control points and/or sensors during design
can increase operational costs. For example, many buildings have an insuffi-
cient number of points, sensors, and submeters to track energy consumption at
the system or equipment levels. Without this information it is very difficult, if
not impossible, to benchmark energy consumption for systems and equipment
and diagnose problems when whole building energy consumption increases.
When a sufficient number of control points, sensors, and submeters are
available to track energy consumption, savings can be significant. Studies show
that retrocommissioning existing buildings can decrease energy consumption
by 10% to 40% by improving operational strategies (Holness 2009).
Emerging Control Technologies and Strategies

Many emerging control strategies and technologies are available on the market.
This section briefly discusses smart buildings, fault detection diagnostics,
energy information systems, and wireless sensors.
Smart Buildings
Smart buildings, also referred to as intelligent buildings, use advanced technol-
ogy to operate efficiently. Use of advanced technology can include, but is not
limited to, the following:
• Controls and systems that act autonomously and can reach conclusions
through data analysis (Brambley 2010)
• Highly integrated building systems, including integration of HVAC, light-
ing, security, vertical transportation, and energy management
• Devices for the HVAC control system and business infrastructure on the
same network
Fault Detection Diagnostics

Fault detection diagnostics (FDD) is an advanced control technique that uses
mathematics to detect and diagnose mechanical equipment. FDD can also be
used to assist with the following:
• Identify operational challenges before the faults significantly decrease
equipment life or cause emergency repairs
° Detect stuck, broken, or leaking valves, dampers, or actuators
° Determine when sensors have failed or have drifted out of calibration
° Determine when control loops are not properly tuned
• Troubleshoot equipment that was not installed properly
FDD logic can be programmed into a BAS or embedded within a stand-

alone controller for a specific piece of equipment. Fault detection diagnostics
is composed of three steps: detect, diagnose, and evaluate. When a fault is
detected, an alarm can alert the BAS operator or trigger a light/sensor within a
stand-alone controller.
Today, FDD is used primarily on very expensive equipment, to ensure
occupant comfort, and for single-point alarm faults (House 2010). Although
not widely used, FDD is likely to be increasingly applied because it can
improve maintenance and energy management practices. Studies have found
that more than 50% of packaged rooftop air handlers suffer from faults that
result in inefficient operation such as improper refrigerant charge, insufficient
evaporator airflow, faulty economizers, and fouled condensers and evaporators
(Feng et al. 2005). Many of these faults are rarely detected by preventive main-
tenance programs.
Faults may only become evident after performance of the unit degrades to
the point that occupant comfort is negatively impacted because the cooling
load cannot be met (Feng et al. 2005) or the equipment fails (Schein and
Bushby 2005). Given that packaged rooftop air handlers account for about 60%
of commercial building cooling energy (Feng et al. 2005), energy savings and
maintenance benefits of FDD applications can be significant. Schein and
Bushby (2005) estimate the use of FDD could result in 10% to 30% energy
savings, depending on the age and conditions of the equipment, maintenance
practices, climate, and building use.
For an average 5 ton (17.6 kW) rooftop unit, an estimated cost savings of
about $25/ton/year ($7/kW/year) (U.S. dollars) would result, given a $300 cost
premium to implement FDD. This is approximately equivalent to an 8-year sim-
ple payback. If an annual maintenance savings of $50/ton ($14/kW) is included
within the analysis, the simple payback falls to one year (Feng et al. 2005).
Energy Information Systems

Energy information systems are software systems that display data from the
building control system in a user-friendly format. In some cases, the energy
Figure 5-16 Example of an energy information system dashboard.
information system may be the same as the BAS. In other cases, an energy
information system is an additional piece of software that imports data from
meters and sensors used for building control.
The number of vendors providing energy information systems has greatly
increased over the last several years. Energy information systems often have
different screens (dashboards) for different kinds of end users, such as facility
managers, building owners/CEOs, building occupants, and energy engineers
(Figure 5-16).
Wireless Sensors
Wireless sensors are increasingly being used in HVAC applications. However,
they are currently very expensive, some reliability concerns exist, and interop-
erability methods are still being developed.
Reliability is a concern because wireless signals do not always travel suc-
cessfully through walls or appliances (Healy 2010). An open global standard for
wireless, ZigBee (2010), has been developed the ZigBee Alliance. The standard
has been accepted and is being incorporated into the BACnet standard. Note that
only devices that remain ON to allow the device to respond to BACnet will be
incorporated into the standard. Battery powered wireless sensors sleep between
broadcasts, so they are not technically part of the BACnet network.
Wireless sensors require a power source. Some wireless sensors use batter-
ies while some sensors are beginning to use energy harvesting. Energy harvest-
ing is a strategy by which the sensor obtains energy from the surrounding
environment using mechanical actions, vibrations, light, thermal gradients, or
other sources (Gosse 2009).
When wireless sensors are used, knowing how to keep the network secure
is important. Wireless networks can be disrupted by intercepting wireless sig-
nals, jamming network communications, and infiltrating the network from out-
side of the facility. To keep a wireless network secure, encryption,
authentication, and/or other security measures should be used (Gosse 2009).
The Next Step

This chapter provided an overview of building control systems, including defi-
nitions, effective methods for design and operation, and overview of some
emerging controls technologies. Chapter 6 discusses contractor start-up and
handover procedures. As you read Chapter 6, think about how what you
learned about controls applies to these.
Summary
Building control systems are often referred to by many names, including build-
ing automation system (BAS), energy management system (EMS), building
management system (BMS), and energy management and control system
(EMCS). A building control system consists of multiple direct digital control
(DDC) devices used to monitor, control, and manage mechanical and electrical
systems within a building.
The many components that make up a control system include, but are not
limited to, software, user interface; network; valves; actuators; and various
meters, sensors, and submeters.
When specifying control systems and writing control sequences, always
clearly develop the following items for each system and piece of equipment
within the scope of work:
• Descriptions of control devices
• Points lists
• Schematics of the system
• Sequences of operation
Effective use of control technology requires the following:

• Control system design must be well coordinated between the design engi-
neer, controls engineer, and controls contractor.
• Interoperability requirements must be clearly identified to ensure installed

equipment meets necessary communication protocols.
• Control systems must be commissioned at building start-up and recommis-
sioned or retrocommissioned to ensure equipment continues to operate effi-
ciently.
The primary function of many building control systems is to turn equip-

ment ON/OFF, or stage equipment as needed to meet building loads. However, a
building control system can also be used to benchmark building energy con-
sumption using meter, sensor, and submeter data. When using a control system
for energy benchmarking, always determine the following:
• What to benchmark, such as whole building electricity consumption

• Units in which to present the data, such as kilowatt-hours per unit area
(kWh/ft2 [kWh/m2])
• What metrics, graphs, and reports should be used to analyze and present
the data
Although often overlooked, recalibration of sensors is important to keeping

a building operating efficiently. As the frequency and process for calibration
varies by sensor type, it is best to consult manufacturer literature.
Many emerging controls technologies are beginning to enter the market.
The technologies discussed in this chapter include smart buildings, fault detec-
tion diagnostics, energy information systems, and wireless controls.

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detection and diagnostics. ASHRAE Journal 47(5):68–70.
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may06/articles/thtmn/060427045651hartman.htm.
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sion/tabid/217/Default.aspx.

5-1 A control system includes ____________.

a) sensors
b) software
c) sensors, meters, software, and a user interface
d) only meters and sensors
5-2 A butterfly valve has a ____________.
a) rotating ball inside to control water flow
b) rotating disk to control water flow
c) gate that moves up and down to control water flow
d) rubber seal to regulate water flow
5-3 ____________ actuators, used in HVAC&R applications, are discussed in this
chapter.
a) Relay
b) Electric motor
c) Gear-driven
d) Bi-metal
5-4 When writing a control sequence, always include____________.
a) descriptions and vendor photos of control devices
b) descriptions of control devices, points lists, sequences of
operation, and floor plans with exact locations for sensor
placement
c) descriptions of control devices, points lists, schematic control
drawings, and sequences of operation
5-5 Interconnections and interlocks are ____________.
a) safety procedures
b) descriptions of what systems/equipment are connected or impact
other systems/equipment sequences of operation
c) procedures to turn equipment off
d) a specific type of wiring diagram
5-6 ____________ is not an effective control strategy.
a) Reset control
b) Lead/lag control
c) Setback control
d) In-hand operation
5-7 Open protocols can only be used by manufacturers who have paid dues to the
organization that manages the development of the protocol.
a) True
b) False
5-8 BACnet stand for ____________.
a) building acceleration control network
b) building and communication network
c) building automation community network
d) building automation control network
5-9 When using a building control system to benchmark energy performance, one
should ____________.
a) determine what units to use to quantify the data
b) install sensors and submeters in every duct and pipe to ensure the
maximum amount of data can be collected for the building
c) collect real-time data for all points from the control system
d) develop one large report that can be used by all parties interested
in energy consumption for the facility
Contractor Start-Up and
Handover Procedures
Study Objectives
 discuss the various activities that precede start-up of the equipment and
systems;
 discuss the various activities that follow start-up of the equipment and sys-
tems;
 explain requirements, activities, and procedures for operator training;
 outline the development, delivery, and use of record drawings;
 describe the development, requirements, and contents of operation and
maintenance manuals; and
 discuss the various issues and concerns that arise during the warranty and
post-warranty phases.
Instructions
Introduction
The start-up and handover of a building from the construction team to the oper-
ations team is critical to the building’s efficient lifelong operation. Several
important activities are performed during the start-up and handover phase.
While the contractor focuses on completing construction and moving off of the
project site, the owner and operators should focus on ensuring a professional
and positive turnover as contracted.
The design team and contractor should submit and review documents in a
timely manner so as to meet the project schedule and not impact the owner’s
ability to move into the building. The contractor should provide timely start-up
services, quality training, and documentation that demonstrate a long-term
commitment to the owner.
Once the building handover process begins, operations staff should take an
increased role to verify that operational training and documentation are pro-
vided. Establishing a location for and access to these documents is important.
138 Chapter 6 Contractor Startup and Handover Procedures
Operations staff must also work with contractors to begin operating the equip-
ment and systems within the building. The most successful start-up and hando-
ver experiences occur when building operators are involved in the building
process from the beginning, from design and construction to start-up and com-
missioning. This affords the operations team first-hand access to decision-mak-
ing and issue-resolution processes and insight into how they may impact
operation and maintenance management of the building.
Pre-Start-Up Procedures
Once equipment is installed, utilities are connected, and the control system is
fundamentally operational, several observations should be made to ensure later
activities proceed without interruption. These observations are made before
any operation or start-up of equipment or systems and are often referred to as
prefunctional checks. The primary purpose of these tests is to verify that the
equipment has been installed per the manufacturer’s instructions and industry
best practices and that they adhere to all applicable codes and standards. Vari-
ous systems, such as piping systems, also undergo observation to determine if
the system is complete and ready for operation.
Prefunctional checks are often completed by several members of the design
and construction team. These services must be included in the Architect and
Owner Agreement to ensure they are provided. The mechanical and electrical
engineers may visit the site during construction and inspect equipment and sys-
tems to verify that the installation meets the drawings’ and specifications’
intent. General contractors and construction managers routinely observe instal-
lation and record items that do not appear to be correct; these items are later
discussed during weekly job site meetings. Local city, county, and state inspec-
tors perform inspections continually during the project. Commissioning
agents, owners, lenders, and vendors all make periodic visits to the job site to
monitor progress and inspect the installation of equipment and systems.
Prefunctional Equipment Checks

In-depth inspection of major equipment and systems, such as chillers, boilers,
cooling towers, pumps, air distribution systems, chilled- and hot-water sys-
tems, package air-handling units, air compressors, generators, etc., is required
to ensure proper installation and start-up readiness. This can be as simple as
inspecting the unit to verify that all piping and electrical wiring is complete, or
as complex as determining whether all control points and safeties are wired
correctly. Table 6-1 lists examples of items checked before start-up of an air-
handling unit.
Prefunctional System Checks

Once equipment is confirmed to be properly installed, the system the equipment
serves must be inspected to verify that the system components are ready for
start-up. Major systems related to HVAC are the air-distribution, chilled-water,
Table 6-1 Air-Handling Unit Prefunctional Checklist

Check Y/N Initial
General appearance good, no apparent damage
Equipment labels affixed
Unit model and manufacturer is a specified or submitted
Access doors close tightly—no leaks
Duct boot between unit and ducting tight and in good condition
Vibration isolation equipment installed—isolators/springs
Shipping locks released
Maintenance access acceptable for unit and components per manufacturer’s
recommendations
Clean up of equipment completed per contract documents
Air filters installed
Pipe fittings complete and pipes properly supported
Valves properly sized and installed in proper direction
All condensate drain pans clean and slope to drain, per specification
Supply fan belt tension and condition good
Supply fan protective shrouds for belts in place and secure
Supply fan area clean
Return fan belt tension and condition good
Return fan protective shrouds for belts in place and secure
Return fan area clean
and hot-water systems. Others include the steam-distribution, building automa-

tion, and domestic hot-water systems. Table 6-2 lists an example of the equip-
ment items that are verified before start-up.
Utility Preparations
Several utility services must be initiated before building start-up. These typi-
cally include the main permanent electrical service, domestic water service,
natural gas service, and telecommunications.
Permanent Electrical Power

During construction, temporary electric service is provided to the site. As the
project moves from construction to near completion, the temporary power is
replaced by permanent power. Permanent power is connected when the utility
Table 6-2 Air Distribution System Prefunctional Checklist

Check Y / N Initial
Duct joints sealed properly
Thermal and sound insulation installed
Duct supported and braced per SMACNA requirements
No restrictions in ductwork
Return air and transfer grills installed as shown on drawings
Supply diffusers and registers installed as shown on drawings
Smoke and fire dampers installed per contract documents
Access panels installed per code and contract documents
Balancing dampers installed as per drawings and identified with ribbon
Balancing dampers accessible and operational
Ducts cleaned as per specifications
Duct system pressure tested
Outdoor air intake located at a remote distance from exhaust outlets and vent pipes
receives assurance that the site is ready to receive power and all necessary
requirements have been met. Requirements that must be met include:
• All main electrical wiring must be completed

• Main power panel must be ready to accept the electrical meter
• Proper documentation must be filed with the utility to schedule the meter
installation
Once the meter is set and the main power is turned on, the switchgear is
considered “hot” and power will be available to building equipment and sys-
tems upon individual start-up of each system. The initiation of electric power
does not necessarily indicate the start of a warranty period. Typically the war-
ranty period does not commence until the owner has accepted the systems and
verified their performance.
Natural Gas
Providing natural gas to a building site is similar to connecting electrical power
to the building. Gas piping must be installed and pressure tested before any
connection to a gas appliance. Once an inspector has signed off on the installa-
tion and proper documentation has been completed with the utility providing
the natural gas, a meter installation will be scheduled. The natural gas supply is
typically turned off until all gas appliances are installed, connected, tested and
started up.
Telecommunications
Telecommunications includes telephone, Internet, and cable or satellite televi-
sion. Telephone is often considered an essential service and important for the
safety and security of a building. The Internet and high-speed network services
are becoming essential and required to conduct most business services.
Several building operations that involve the programming, troubleshooting
and monitoring of mechanical and electrical systems equipment depend on the
availability of high-speed network service. Cable and satellite services are
required in most business and commercial buildings mostly to provide televi-
sion for entertainment and data communication.
All of these services are inspected and connected before the building occu-
pancy and operation. Utility providers enable service when the building owner
or tenant requests it.
Equipment and System Start-Up

Once all prefunctional checks and tests have been performed, equipment and
systems are ready to be energized for operation. To ensure that the process is
orderly and efficient, a start-up plan can be developed and meetings held to dis-
cuss and coordinate start-up activities.
Start-Up Plan
The start-up plan should be discussed early in the project and the writing of this
plan should be assigned to a member of the construction team. The plan should
provide an outline of the start-up process and general procedures of how the
start-up of the equipment and systems will be conducted. Typically, the start-up
plan addresses the start-up of the mechanical, electrical and plumbing (MEP)
systems. It also may include fire and life safety, telecommunications, security,
public address, pneumatic tube, and closed-circuit television systems.
The most important element of the plan is to set out an orderly process for
the start-up of systems and equipment and to describe the process before the
actual start-up takes place. Additional items to be included in the plan include
the following:
• Review of preoperational checks and tests

• Safety protocols
• Documentation requirements
• Schedule
• Meeting procedures
• Roles and responsibilities of the project team
Equipment may start-up when energized with temporary power for use by
the contractor or when permanent power is made available to the building.
The project team involved with start-up may include the architect, engineers,
contractors, vendors, utility provider, commissioning authority, owner’s proj-

ect team, and possibly an occupants’ representative.
Start-Up Meetings
Start-up meetings are for review of the start-up plan, revisions to the plan, and
additional concerns the team raises for discussion. Meetings usually begin
once equipment has been set and connected to the systems. Depending on the
complexity of the equipment and systems, these meetings may begin several
months or years before the equipment and systems become operational.
Initially, theses meetings may be infrequent, quick discussions of activities
and only address current concerns that impact the project. As the project con-
tinues, these meetings occur more frequently and may take several hours to
resolve. Additional meetings with specific members may be needed to allow
focused discussion of detailed technical issues.
Figure 6-1 Equipment start-up.
The importance of the start-up plan and regularly scheduled start-up meet-
ings should not be overlooked. If key issues are overlooked during design or
construction, delays may occur during start-up.
Equipment Start-Up
Once requirements have been discussed and addressed, a date is scheduled for
system start-up (Figure 6-1). Each piece of equipment has specific start-up pro-
cedures and should be scheduled accordingly. Utilities, such as permanent elec-
tric power, domestic water, and natural gas, must be supplied to equipment
during start-up, as required. In some cases, energy and other utilities may be pro-
vided to equipment beforehand to ensure optimal operability during start-up. For
example, power may be provided to an electric chiller to supply energy to crank-
case heaters with the goal of preventing refrigerant in the chiller from migrating
and keeping oil at a higher temperature than in other parts of the system.
Primary heating and cooling equipment, such as boilers, chillers, cooling
towers, and pumps, must be started first to provide chilled- and hot-water to
downstream equipment. Air-handling units, heat exchangers, and fan-coil units
Table 6-3 Water-Cooled Chiller Startup Checklist

Name No.
Address
City State Zip Code
Model No. Serial No.
Starter Model No. Serial No.
Design Conditions
Refrigeration Refrigeration
Entering Leaving Pressure
Capacity, Flow Rate, Suction Condenser
Temp., Temp., Drop,
tons (kW) gpm (m3/s) Temp., Temp.,
°F (°C) °F (°C) psi (Pa)
°F (°C) °F (°C)
Evaporator
Condenser
Electrical
Compressor Volts RLA OLTA
Oil Pump
System Checks
Oil Level 3/4 1/2 1/4 Add Oil Yes No Amount:
Recorded Pressure Drops
Evaporator Condenser
Refrigerant
Initial Charge Final Charge
are started once the primary equipment is operational. Table 6-3 shows typical
items recorded during start-up.
Large equipment, such as boilers and chillers, are often started by factory-
certified technicians per project specifications. These technicians are employed
and trained by the factory and have special expertise in the relevant equipment.
Contractors may also become certified to start-up, but they assume the risk asso-
ciated with error and, in some cases, may void the warranty of the equipment.
Smaller equipment (packaged air-conditioning units, variable-frequency
drives, water heaters, etc.) are mostly started up by the contractor responsible
for installing the unit. After start-up of large equipment, such as chillers and
boilers, the contractor should discuss the operating characteristics with factory
technicians to determine whether these systems should continue to run after
start-up. Often, this equipment is shut down when not attended by a building
operator until the entire system becomes operational.
System Start-Up
Before starting up the larger primary heat producing or removing equipment,
the system serving the smaller space air-conditioning equipment is activated.
For example, air-handling units are activated using the chilled- and hot-water
systems provided by the central heating and cooling plant. The supply and
return fans may be run and tested before full system start-up, but these are only
partial-operation tests.
Other downstream devices include variable-air-volume (VAV) terminal
units, mixing boxes, fan-coil units, and heat exchangers that can all be placed
in operational though not automatic mode. The building automation system
(BAS) must be complete and fully operational before the units can be left unat-
tended after start-up.
Poor start-up planning can result in additional costs and potential project
delays. For example, poor start-up planning for a small office building with a
thermal storage system negatively impacted project costs and schedule. The
thermal storage chilled-water system was designed to make ice at night and
store it in a tank until it was needed during the day. The system filled with
water as any typical chilled-water system would. The factory technician per-
formed start-up on the unit. However, during the process, the technician
noticed that the water system did not include the solution to prevent freezing of
the chilled water. Upon further review, the controls were not set up properly to
initiate the correct cycles of the equipment. As a result, the factory technician
had to return to the site, at an additional charge, to complete the start-up, and
building occupancy was delayed.
Equipment and System Testing

After equipment and system start-up, the final control sequences are calibrated,
calibrations are made, and proper operation is verified. The timing of these
activities is critical as the project nears completion.
Air and Water Balance

One critical task after start-up of the air-handling or air-conditioning unit is
the testing, adjusting, and balancing (TAB) of air and water in the system. Pre-
liminary water balance is typically performed before start-up of chillers and
boilers. The pumps are started and tested to ensure that proper flow is provided
through these systems. TAB of the air system includes
• setting the supply fan to provide the proper volume of air to the air distribu-
tion system;
• setting the minimum and maximum airflows on the VAV terminal units;
and
• adjusting the volume control dampers in the branch ductwork to ensure that
each space receives the required amount of conditioned air shown on the
construction drawings.
Systems with return or exhaust fans are also set to the design conditions
shown on the construction documents. Adjustment and calibration of all fans,
systems, and devices are initially set to design conditions and should be ana-
lyzed to determine additional adjustments necessary to ensure that the system
operates in the most efficient manner and to provide occupants the level of
comfort desired.
Water balance includes evaluating pump flow rates, pressure drop, and sys-
tem pressure and measuring and setting the proper flow through the heating
and cooling coils, heat exchangers, and cooling towers. Numerous additional
measurements are recorded that include air-handling unit data, motor data,
starter data, system temperatures and pressures, and fan and pump data.
All recorded information and settings are compiled into the air and water
balance report. All air and water balance activities and reporting procedures
should follow an internationally recognized industry guideline, such as those
of the Associated Air Balance Council (AABC) or the National Environmental
Balancing Bureau (NEBB).
BAS Testing and Tuning

Equipment and systems are typically operated in manual control on initial
start-up and are not controlled by the BAS until it has been thoroughly com-
missioned and tested. Commissioning includes verifying that all BAS network
devices are communicating, all inputs and outputs points are measuring the
correct values, and control sequences are completely programmed and operat-
ing correctly. Sensors, transmitters and other control devices must be calibrated
and adjusted to perform as desired.
An example of this type of commissioning is the full-load test of a central
chilled-water plant. The plant undergoes a simulated or actual cooling load.
Running equipment results in an increased temperature difference between the
chilled-water supply and return temperatures, which requires the controls to

stage additional chilled-water pumps and chillers ON to meet the cooling load.
This can be quite a complex control algorithm to test when multiple chillers
are employed at different capacities, and staging requires chillers to be started
and stopped to match the equipment loads in the most efficient manner. The
control system must respond to the increase/decrease in cooling load and
unload chillers or stage pumps OFF as required.
Elevators, Generators, and Life Safety Systems

Life safety systems are designed to prevent the loss of life from fire and
smoke. Elevators and escalators provide vertical transportation in the build-
ing. Generators serve as a source of emergency power. All of these systems
must be inspected and tested to ensure they comply with various codes and
ordinances.
It is important to notify building officials early in the building start-up pro-
cess as to the type and quantity of equipment that need to be tested, as schedul-
ing can be problematic. For example, several contractors may request
inspection and testing of elevators on the same day in a geographical area
served by only one elevator inspector.
Life safety systems include the fire alarm, fire sprinkler, and smoke evacu-
ation systems. These must be inspected, tested, and accepted before the author-
ity having jurisdiction (AHJ) grants a temporary occupancy permit. The AHJ
typically uses the National Fire Protection Association (NFPA) codes and stan-
dards, which provide testing criteria for the initial acceptance of the life safety
systems.
Functional Performance Tests

As building systems start up and become operational, they are often tested to
verify their operation. This testing determines how all of the building systems
interoperate, verifies that control systems operate as intended, and confirms
that air balance report information is correct. Systems may be tested by the
owner’s staff, the engineering team, or an independent third-party commission-
ing firm.
During the project construction phase, functional testing procedures are
developed using the contract documents, submittals, and operation and mainte-
nance documents. Once these procedures are reviewed, and when the equip-
ment is ready, the contractor performs and the commissioning agent witnesses
and documents the functional performance tests (Figure 6-2).
If tests of the equipment and systems do not meet the expected outcomes
outlined in the functional performance test procedures, the tests may be
repeated. Some tests may need to be delayed due to a seasonal deficiency, such
as a lack of sufficient cooling load until a later time when conditions are appro-
priate. Tests that are delayed are called deferred tests.
Figure 6-2 Functional performance testing.
Operator Training
Project specifications detail how the training of operation and maintenance
staff will be conducted. The general requirements specification, demonstration,
and training provides a summary of the required training activities for all con-
struction disciplines. Additional detailed technical training requirements are
included in other specification sections as required.
The specifications call for proper training and demonstration in the use of
equipment, systems, and subsystems for an allotted period of time. A recording
of the training and demonstration is provided. For simple systems, training ses-
sions may be only a few hours long. For larger systems, training sessions may
range from several days to weeks.
The contractor is required to develop and submit a training plan that
includes the following:
• Total length of the entire training

• An agenda and length for each training module
• Instructor and videographer qualifications
• Learning goals and objectives for each training module
All operation and maintenance manuals, systems manuals, and as-built

documentation should be available during the training, as these documents may
be used in draft format for training purposes.
Instruction should be delivered in both a classroom setting and on-site at
the facility. Training should not be conducted in sessions that exceed four
hours, as shorter sessions are more suitable for learning and provide partici-
pants an opportunity to reflect and review concepts discussed. Training should
be provided as soon as equipment and systems are started up, tested, and put
into service.
Once each training module is complete, the contractor must submit an
attendance record with the names of the attendees and the length of instruction.
The specifications may require the contractor to submit the results along with
an evaluation of the participants.
Pre-Training Operator Meeting

A pre-training meeting should be convened between the owner and the contrac-
tors providing the training to review plans, procedures, and evaluation meth-
ods. The owner must identify who will attend the training and make
arrangements for facility staff to attend for the entire length of the training. The
project architect, engineering team, and other consultants may participate in
the training as requested by the owner or construction manager, or as a member
of the contractor’s team. Items that should be addressed in the pre-training
meeting include the following:
• Number of participants that will attend each training module

• Skill level of the participants, such as building manager, engineer, or
apprentice
• Training schedule and availability of participants and instructors
• Coordination and roles of the various parties providing instruction
• Locations to be used for instruction
• Instructional content to be delivered and training manuals provided to the
participants
• What impact training will have on building operations and on the contrac-
tors’ remaining work
• Participant evaluation instruments, such as surveys, quizzes, or tests
• List of required audiovisual equipment, computer equipment, and software
Operator Training Content

The minimum training content delivered to the participants should include the
following:
1. Overview of building functions, descriptions of the systems installed, and

operational requirements of the building that include
a. Basis of system design

b. Design considerations
c. Operating standards
d. Regulatory requirements
e. Equipment functions
f. Operating characteristics
g. Performance curves
2. Documentation
a. Emergency manuals and procedures
b. Operating manuals
c. Maintenance manuals
d. As-built documentation
e. Project record documents
f. Warranty information
g. Maintenance service agreements
3. Operational procedures
a. Start-up and shut-down procedures
b. Equipment and system break-in procedures
c. Routine and normal operating instructions
d. Control sequence and control system procedures
e. Operating schedules and seasonal procedures
f. Building occupant demonstrations and training requirements
g. Equipment and system adjustments or alignments
h. Energy efficient optimization procedures and adjustments
i. Energy use trending and reporting procedures
j. Fire, life safety, and emergency procedures
4. Maintenance and repair
a. Testing and inspection procedures
b. Diagnostic instructions
c. Equipment and system housekeeping procedures, suggested methods,
and cleaning agents
d. Procedures for preventive maintenance and/or predictive maintenance
e. Disassembly; equipment or component removal, repair, replacement,
and reassembly instructions
f. Procedures for routine maintenance
g. Troubleshooting instructions
h. Special parts, tools, and equipment required
Operator Factory Training

Operator factory training provided at an off-site location on specific types of
equipment or systems may be included in the contractor’s scope of work. Off-
site training using factory settings for the equipment can sometimes provide a
more formalized classroom or laboratory setting. An example is a computer
laboratory where each participant is provided a computer workstation and BAS
software. The instructor can have the participants follow along with presented
demonstrations. Another example is the actual operation, maintenance, and
repair procedures demonstrated on similar equipment installed in the project
building. Participants are provided time to experiment with systems and equip-
ment and become familiar with system components and software characteris-
tics. This kind of training allows operators to devote a specific amount of time
to learning, which may not be practical given other time restrictions and
responsibilities.
Demonstration and Training Documentation

Documenting and recording training activities allows participants to review
training at a later date. Often, building staff are not employed or hired for many
months after a building becomes operational, and training may only be avail-
able through documentation and recordings. This documentation can take
many forms, including video recording, auto recording, and written transcripts.
An instructor guide can also be useful in delivering training to new staff and
providing refresher training where needed.
Operator Training Quality Control

The owner should designate a staff member, require the commissioning author-
ity, or employ a technical training consultant to verify that the quality of the train-
ing is acceptable and meets specifications. This individual or firm should verify
that training adheres to the following criteria:
• The design team participates.

• Training complies with project specifications.
• Learning goals and objectives are met.
• Instructors meet the qualifications submitted.
• Building operators attend as scheduled.
• Instruction is provided that meets the time requirements and sessions
scheduled.
• Content is delivered according to the training plan.
• Instruction is delivered in venues that suit the topic and learning objectives.
• Content being delivered meets the skill level of the participants.
• Instruction is conducted in a professional, respectful manner.
• Operation and maintenance manuals are available.
• Systems manual and as-built documentation are available.
• Validity of evaluation instruments is ensured.
• Participant evaluations reflect the nature of the instruction delivered.
• Quality of video recordings, titles, graphics, and media are provided.
• Training manuals are developed and delivered to each participant.
Substantial Completion and Occupancy Permit

As the project draws to a close, the contractor declares it has reached “sub-
stantial completion.” At this time, the design team inspects the building,
equipment, and systems and develops a punch list of items to be corrected.
The punch list is outlined in the contract documents, and punch list items
must be completed for the contractor to receive final payment.
Design team members visit the project site, perform inspections, and
update their respective punch lists. When all punch lists have been submitted to
the owner or architect, they are then sent to the general contractor who reviews
them and relays their items to the appropriate trade within whose scope an
action falls. Table 6-4 shows an example of a typical punch list.
The contractor notifies building officials that a building is ready for a final
inspection after all punch list items are addressed. This requires each of the
systems (mechanical, electrical, plumbing, and telecom) to be inspected by a
building official. Each specialty inspector inspects the systems and provides a
list of items that do not comply with applicable codes and need to be corrected.
Once all items are corrected and the AHJ has completed life safety testing,
the chief building official can make the finding that no substantial life, safety,
Table 6-4 Equipment Start-Up

Description or Date Responsible Date
Punch Item Status Accepted
Spec. Section Created party(s) Complete
General O&M Manuals
1/21/09 GC
Requirements are not provided.
General As-built drawings are not
1/21/09 GC
Requirements provided.
Mechanical SF-1 not labeled properly. 1/26/09 MC
Office 470 is missing
Mechanical 1/26/09 MC
thermostat guard.
EF-1 is not accessible for
Mechanical 1/26/09 MC
service.
MEN 201, LAV is missing
Mechanical 1/30/09 PC
escutcheon plates.
WH-1 requires relief piping
Mechanical 1/30/09 PC
per drawing M.6
Break 230—Lighting not
Electrical 1/28/09 EC
properly switched.
Storage 103—Electrical
Electrical 1/28/09 EC
panel is missing cover.
GC = general contractor, MC = mechanical contactor, EC = electrical contractor
or health hazards exist by allowing occupancy of the building. After this find-
ing, the AHJ issues a temporary certificate of occupancy (TCO), and occupants
can begin moving into the building. Any minor outstanding issues must be
resolved before issuance of a final occupancy permit.
Handover Procedures
Once construction of the building is complete, although several items may
remain to be corrected or addressed, the process of closing out the construction
contract and handing over the building to the owner begins. Several items that
may have been in development and previously provided in draft form need to
be finalized and provided to the owner. These include record drawings, opera-
tions and maintenance (O&M) manuals, system manuals, commissioning
reports, and warranty certificates and information. Each of these must be
reviewed and approved by the design team, owner, or owner’s representative
before release of final payment.
Record Drawings
The contractor will finalize the record drawings and provide these documents
to the owner. Construction drawings prepared by the design team show approx-
imate locations of where equipment, ductwork, and piping are to be installed.
Record drawings show actual locations where equipment is mounted and duct-
work and piping are routed, and revisions to notes and schedules that differ
from what the design team specified. Record drawings are commonly referred
to as as-built drawings because they detail how the building was built and
where devices and components are installed. This information is valuable to
the building operator because without accurate as-built information, locating
system components can be difficult.
The specifications detail how record drawings are to be developed during
construction and dictate that a set of construction drawings will be kept on the
project site and marked to reflect changes. These drawings should be
reviewed and verified often throughout the construction project by the design
team, construction manager, commissioning authority, and the owner’s main-
tenance staff. Construction details should also be documented with photos and
these pictures compared with the record drawings.
Delivery format of the record drawings should be specified in the Division 1
section of the project specifications. The contractor typically prints a set of con-
struction drawings and identifies them as “as-built” to avoid any confusion with
other drawings on the project site. Once construction is complete, the contractor
sends the as-built drawings to its construction office or to the design team’s
office for preparation in the specified format. These revisions include removing
mark up information from the construction as-built drawings and revising a set
of the original construction drawings. Revisions can be made with traditional
drafting tools or, more commonly, with a computer-aided design (CAD) pro-
gram. CAD drawings can be electronically transmitted to the owner or provided
on a compact disc (CD). The owner is also usually provided with a printed set of
as-built drawings, as well as the electronic files.
Over the last several years, building information modeling (BIM) has
become an alternate method to develop construction drawings. BIM creates a
digital representation of a building and its characteristics (ASHRAE 2009),
including geometry and information about building attributes. BIM allows
designers to virtually construct a building using elements or objects. These
objects are stored along with their attributes in a database and represent the
three-dimensional model of the building. Examples of objects include a wall, a
window, or a packaged air-handling unit. Once an object is placed in the
model, the program identifies the object’s relationship to other objects stored
there. Designers can construct the building three-dimensionally on a computer
screen and install objects as desired.
Contractors use BIM information to prefabricate materials that will be
installed on the project site. Traditionally, the mechanical contractor would
fabricate ductwork in the shop based on details and sizing requested from the
foreman on the job site. Using BIM information, the contractor can fabricate
the ductwork using the BIM model without information and details from the
job site. As long as all object information from the various disciplines—archi-
tectural, mechanical, electrical, fire protection, etc.—are entered into the BIM,
the installation will progress as planned. For estimation and construction pur-
poses, a set of two-dimensional drawings are provided to the contractor. Once
construction is complete, record drawings reflect an updated BIM. Generally,
BIMs take less time to update than CAD drawings because they allow for more
accurate project coordination.
Operating and Maintenance Documents

After the contractor receives and installs the equipment, it requests the opera-
tion and maintenance (O&M) manuals from the factory, vendor, or supplier.
O&M manuals are developed by the manufacturer and provided to the building
operator for all equipment and systems once construction nears completion and
the project is being closed out. The content, format and delivery of the O&M
documents are detailed in the project specifications.
These documents are traditionally provided in binders in printed form but
increasingly in electronic format as well. Advantages of electronic documenta-
tion include increased access to information, ease of updating, less required
storage space, and the ability to share documents among several users. At a
minimum, O&M manuals should be provided for the following types of equip-
ment and systems:
• Equipment
° Boilers
° Chillers
° Cooling towers
° Packaged air-handing units

° Split systems
° Fans
° Pumps
° Terminal units
° Hot-water heaters
° Plumbing fixtures
° Electricity generators
° Electrical main and subpanels
• Systems
° Building automation
° Lighting control
° Fire alarm and protection
° Security
° Elevators
ASHRAE defines an O&M manual as “a comprehensive set of documents
providing information pertaining to a specific facility, including information
regarding the design, operation, and maintenance of the facility” (ASHRAE
2008). However, in many cases, each manual is a standalone document of the
equipment supplied and makes little reference to design or to the system as
installed. The O&M information provided for the installed systems is more
likely to include specific details for those systems. For example, the final BAS
documentation tends to be very specific, as it provides the actual program
instructions, code, and diagrams. At a minimum, O&M manuals should con-
tain the following information:
• Description of equipment, operation, and functions

• Operating performance, characteristics, and limitations
• Start-up, shutdown, and operational procedures
• Maintenance schedules and procedures
• Safety and emergency procedures
• Suggested spare parts, part numbers, and locations to be obtained
• Troubleshooting and repair procedures
• Equipment warranty information
Systems Manual
The systems manual is another key document now being provided on some
projects to assist in operation and maintenance of the building. It is a system-
focused document and includes reference to the operations and maintenance
manual and additional information useful to the owner during the occupancy
and operation phases. O&M documentation tends to be generic to the

installed system, whereas the systems manual aims to be more specific.
The systems manual is the owner’s manual to a building. It is intended as a
day-to-day operational guide to the facility and is meant to be more informa-
tive to the building staff, services contractors, occupants, and users of the
building than are O&M documents. Information should be written in narrative
format and sections should relate to each other.
Warranty
At some point during project handover, the owner takes over control of the
building and becomes responsible for its operation, maintenance, safety, and
security. At this time, or at a time specified in the general requirements, war-
ranty of the building begins. Typically, the contractor provides a one-year
building warranty. However, most equipment has a manufacturer’s warranty
that lasts much longer. During the warranty phase, the contractor or subcon-
tractors are required to repair or replace any equipment, assembly, component,
or device that does not operate as intended.
In the event that the system does not perform correctly, the operator should
notify the contractor of the situation as soon as possible. The contractor should
visit the site, identify the issue, and mobilize resources to address it in a reason-
able amount of time. To address the issue properly may require the attention of
specific installation personnel, such as a design engineer, equipment supplier,
factory representative, or a combination of individuals, depending on the com-
plexity of the issue. The contractor and parties involved should meet with the
operator and explain the problem, how it was corrected, and any preventive
methods that can be employed to prevent the situation from occurring again.
The warranty phase usually lasts for several years, and the operator may be
faced with several warranty issues during this time. Contractors tend to become
difficult to contact, unresponsive, and less interested in addressing issues in
later stages of the warranty. Owners may want to establish a good working
relationship with contractors during this phase by helping them understand that
additional work may be offered to them in the future and that owners can pro-
vide references to others seeking contractor services.
When the end of the building warranty approaches, the owner and the oper-
ating staff should perform a careful review of the equipment, systems opera-
tion, and building performance. The owner may want to employ the design
engineer or the building commissioning authority to make a detailed analysis
of the operation and performance to verify that the building, equipment, and
systems are functioning as intended. A final list of issues should be developed
and presented to the contractor with the date of completion before termination
of the warranty.
Postwarranty Operation
Once the warranty phase is complete, the owner may continue working with the
design and construction team in various ways. The design team may provide
architectural and engineering support for ongoing improvements to the building

and master planning guidance for additions and development of similar facili-
ties. The commissioning firm may provide assistance with recommissioning
and continuous commissioning activities. Service agreements may be imple-
mented with several of the installing contractors to meet maintenance needs.
Problems may arise after the warranty phase that may be the design team or
contractor’s responsibility to address. These are considered design errors or
construction defects, unknown to the owner during the handover and warranty
phases of the project, that threaten the functional integrity of the building,
equipment, or systems. Some common design errors include inadequate design
of heating and cooling systems, inferior structural support systems, and
improper specification of building materials. Construction defects arise from
poor quality or substandard workmanship and may result in leaking plumbing
and piping, electrical system failures, and excessive noise and vibration.
During the postconstruction phase, the building owner and operator should
commit resources and devote time to ensure that the building is operating as
intended and is functioning to meet the operational needs of the occupants and
users. The building operational characteristics and functions will change over
time, and the operator will have to adapt the equipment and systems to meet
new requirements. Operation staff should respond to industry trends and mod-
ernize the equipment and systems as warranted.
Energy use, efficiency, and optimization should be implemented and
tracked regularly. Sustainability concerns, such as reducing greenhouse gases,
toxic chemicals, and pollutants; reuse; and recycling, should be employed.
Occupant and user documentation should be updated regularly to address
changes to the facility. The building owner and operator should try to comply
with all new building codes and ordinances and operate the building in a safe
and proper manner.
The Next Step

This chapter provided an introduction to building start-up and handover proce-
dures. Chapter 7 discusses commissioning and the types of testing that are per-
formed throughout the life of a building.
Summary
The process used to transfer a building from the construction team to the owner
and from a construction project to an operational structure includes pre-start-
up procedures, start-up events, testing and commissioning activities, operator
training, and record documentation.
Several pre-start-up procedures include the following:
• Completion of prefunctional checklist and testing
• Establishment of permanent utilities
• Start-up meetings
• Planning and coordination
Once equipment and system start-up are completed, several system tests
are performed:
• Air and water balance

• Building automation system (BAS) testing and tuning
• Functional performance testing
In the process of start-up and testing, operators will require training on

building equipment and systems. Training includes developing a plan and con-
tent, holding a pretraining conference, and delivering and maintaining the qual-
ity of the training.
This chapter described record drawings and operation and maintenance
documentation requirements and procedures and their relationship to building
operation. Finally, warranty and postwarranty processes and procedures were
addressed.

ASHRAE. 2005. ASHRAE Guideline 0-2008, Commissioning Process.
Engineers, Inc.
Maintenance Documentation for Building Systems. Atlanta: American
Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.
ASHRAE. 2009. An Introduction to Building Information Modeling: A Guide
for ASHRAE Members. Atlanta: American Society of Heating, Refrigerat-
ing and Air-Conditioning Engineers, Inc.
Masterspec. 2008. Section 01820, Demonstration and Training. Salt Lake City,
UT: ARCOM.

6-1 Prefunctional system checks determine if ____________.

a) shipping locks are released
b) equipment labels are affixed
c) the duct system is pressure tested
d) air filters are installed
6-2 Utility preparations that should be completed before building start-up include
____________.
a) installing chilled- and hot-water systems
b) removing job-site trailers
c) programming the BAS
d) connecting permanent electrical power
6-3 ____________ should be started up after larger primary equipment.
a) Variable-air-volume terminal units
b) Boilers
c) Chillers
d) Cooling towers
6-4 ____________ require the recording of evaporator temperature during start-up.
a) Hot-water boilers
b) Water-cooled chillers
c) Electric generators
d) Cooling towers
6-5 Prefunctional equipment checks include ensuring that ____________.
a) duct joints are sealed properly
b) pipe fittings are complete and pipes are properly supported
c) thermal and sound insulation is installed
d) balancing dampers are accessible and operational
6-6 Air and water balance typically are performed ____________.
a) before prefunctional testing
b) after equipment start-up
c) after system start-up
d) during warranty
6-7 ____________ can perform functional performance testing.

a) Owners
b) Design teams
c) Contractors
d) Operators
6-8 Record drawing development should begin ____________.
a) during pre-start-up procedures
b) at the beginning of construction
c) in the warranty phase
d) after equipment and systems start-up
6-9 Operator training sessions should be limited to ____________ hours.
a) one
b) two
c) four
d) eight
6-10 The main difference between a systems manual and O&M manual is that
____________.
a) a systems manual tends to be a generic document and does not
relate to the actual system installed
b) a systems manual is provided in electronic format, and O&M
documents are provided in printed format.
c) O&M manuals are intended to be day-to-day operational guides to
the facility
d) a systems manual is more specific to the actual systems being
installed
Commissioning and
Testing
Study Objectives
 describe the commissioning process;

 describe the functional testing performed during commissioning;
 outline the testing, adjusting, and balancing process, the instruments uti-
lized, and the reporting requirements; and
 describe the existing-building commissioning process.
Instructions
Introduction
As design and construction budgets and schedules decrease, the need increases
for a process to maintain quality workmanship and system performance.
Through the design, construction, and occupancy stages of a project, commis-
sioning and performance testing provide an effective way to verify that the
building meets the owners’ requirements and can be operated and maintained
effectively. Commissioning also provides special documentation that helps
capture and record operating conditions during all phases of a project.
Testing, adjusting and balancing (TAB) is critical to the performance of
HVAC systems and provides accurate data for the commissioning process.
Selection of the contractor, instruments used, and processes employed all
contribute to successful TAB. A building operator can greatly increase the
comfort level and operational effectiveness of a building by better under-
standing TAB and by using the testing process discussed in this chapter.
Many existing buildings have comfort issues, perform poorly, waste
energy, and are not maintained and operated correctly. Applying the existing-
building commissioning process provides a systematic method of analyzing
equipment and systems, determining deficiencies, and improving perfor-
mance.
162 Chapter 7 Commissioning and Testing
Definitions
commissioning (Cx). The process of verifying and documenting that the facil-
ity and all of its systems and assemblies are planned, designed, installed,
tested, operated, and maintained to meet the owner’s project requirements
(OPR) (ASHRAE 2005).
commissioning authority. The entity, individual, or firm identified to lead and
coordinate the activities of the commissioning team and implement the com-
missioning process. This entity may be the owner’s operation staff, someone
hired by the owner, or a member of the design or construction team.
commissioning agent. An individual employed to perform the commissioning
activities required by the project. The tasks a commissioning agent may per-
form include writing the commissioning plan, reviewing drawings and docu-
ments, developing test procedures, witnessing equipment start-ups and
functional testing, and resolving issues identified during the commissioning
process.
commissioning team. Individuals involved with the project who have specific
responsibilities that relate to the commissioning of the project. The commis-
sioning team typically includes the owner, owner’s technical staff, architect,
mechanical and electrical engineers, construction manager, contractor and sub-
contractors, vendors, and others who may join the team during construction, as
required.
testing, adjusting, and balancing (TAB). A process used on HVAC systems or
other building systems to test, determine, achieve, and document proper air and
water flow rates.
functional performance testing. A process to verify that the installed systems
are functioning to performance levels acceptable by the owner, owner’s repre-
sentative, or commissioning authority. Typically, the functional performance
testing procedures are developed by the commissioning authority, conducted
by the installing contractor, and witnessed by the commissioning authority who
determines whether the test results meet the performance criteria listed.
Commissioning Benefits
The benefits of commissioning are numerous and depend on the scope of
implementation, the determination of the commissioning team to address
issues documented during the commissioning process, and the level of quality
the owner seeks to achieve. The following items are typical benefits that can be
achieved on a project employing a commissioning process:
• Documentation of the owner’s project requirements

• Documentation of the engineers’ design assumptions, intent, and decisions
• Improved coordination between design, construction, and occupancy
• Fewer system deficiencies
• Reduced contractor callbacks
• Construction cost savings

• Improved operator knowledge
• Increased energy savings
• Improved building occupant productivity
Commissioning Process
The commissioning process begins in the conceptual stages of a project and
continues through design and construction and into the operation and occu-
pancy phase.
Predesign Phase
It is critical to engage the commissioning authority early in a project. The owner
must define the scope of commissioning, develop selection criteria, and then
choose the commissioning authority.
During the predesign phase, several key concepts are discussed, and deci-
sions are made that must be documented. The commissioning authority can
help develop the owner’s project requirements (OPR), develop the initial com-
missioning plan, and define the commissioning process.
The scope of commissioning must be broadly defined early in the project.
The agency contracting for commissioning should determine what activities
the authority will perform, what deliverables will be provided, and what equip-
ment and systems will require commissioning. Although details of the systems
and equipment are undetermined until later in the design phase, major systems
that will require commissioning should be apparent. Typically, these will
include many of the mechanical and electrical systems. Other systems and
equipment may include fire protection, telecommunication, security, elevators,
and, in some cases, the building envelope. Special process equipment, such as
refrigeration, instrumentation and mission-critical equipment, may be included
in the scope of commissioning.
In some cases, the commissioning scope may be defined by building codes,
standards, or nongovernmental agency programs. The Leadership in Energy
and Environmental Design (LEED®) rating system developed by the United
States Green Building Council (USGBC) requires commissioning as a prereq-
uisite for all new construction projects awarded certification. LEED defines the
scope of both fundamental commissioning of building energy systems and
enhanced commissioning. Other green rating systems include the Building
Research Establishment (BRE) Environmental Assessment Method
(BREEAM®), Comprehensive Assessment System for Building Environmental
Efficiency (CASBEE®), GB Tool, Green Globes®, Green Guide for Health
Care, and Collaborative for High Performance Schools (CHPS). These sug-
gest a form of commissioning and define the level of commissioning required.
Authority selection is critical to the success of the commissioning. The
contracting agency should carefully define the scope of the commissioning ser-
vices expected. Selection criteria should evaluate the experience of the firm in
relation to the project and the experience of the individuals who will be
assigned to the project. The contractual relationship of the commissioning
authority, design team, and contractor should be evaluated to determine if a
conflict of interest exists between the contractor or design team and the com-
missioning authority.
Other selection criteria should include the authority’s professional registra-
tions and certifications; their ability to provide full-service testing and verifica-
tion of systems; and their expertise in the design, construction, and operation of
these systems. Membership in a national organization is desirable. These typi-
cally provide certification exams, guidelines, and best practices. Currently,
these organizations include ASHRAE, Building Commissioning Association
(BCA), Associated Commissioning Group (ACG), and National Environmen-
tal Balancing Bureau (NEBB).
OPR Review. The OPR is a written document that details the functional
requirements of a project and expectations for how it will be used and operated.
These include project goals, measurable performance criteria, cost consider-
ations, benchmarks, success criteria, and supporting information (ASHRAE
2005). This document is typically written in narrative form and addresses the
following:
• Owner and user requirements. Description of the primary purpose, pro-

gram, and use of the proposed project and any pertinent project history.
Provide any overreaching goals relative to program needs, future expan-
sion, flexibility, quality of materials, and construction and operational
costs.
• Environmental, energy, and sustainability goals. Description of specific
environmental, sustainability, or energy-efficiency goals relative to
ASHRAE standards, LEED (certified, silver, gold, and platinum), net-zero
energy use, renewable energy cogeneration, and water conservation. Goals
or requirements for buildings include siting, landscaping, façade, fenestra-
tion, envelope, and roof features that may impact energy use.
• Indoor environmental quality requirements. Description of program, usage
area, anticipated schedules, space environmental requirements (including
lighting, space temperature, humidity, acoustics, air quality, ventilation and
filtration criteria, etc.); desired user ability to adjust system controls; desire
for specific types of lighting; and accommodations for after-hours use.
• Equipment and system expectations. Description of quality, reliability,
type, automation, flexibility, and maintenance requirements for each sys-
tem to be commissioned. Also includes any specific energy targets, desired
technologies, or preferred manufacturers for building systems.
• Building occupant and O&M personnel requirements. Description of how
the facility will be operated and by whom. Details the current O&M staff
skills, knowledge, and abilities. Describes the desired level of training and
orientation required for the building operators and occupants to effectively
operate and use the building.
• Project requirements. Description of requirements that impact the design

and construction team, such as availability of existing records; design
deliverables; design reviews; project communications; constructability
considerations; drawing development and reproduction; computer-aided
design (CAD); building information modeling (BIM) requirements; and
project delivery methods, including design/bid/build, design/build, design/
assist, and integrated project delivery.
Commissioning Plan. The initial commissioning plan outlines scope,

schedule, responsibilities, communications, resource allocation, design review,
documentation, team composition, and a general list of commissioned equip-
ment and systems. The plan is updated throughout the commissioning process.
Design Phase
Commissioning activities during the design phase include review of the basis
of design (BOD), development of commissioning specifications, focused
review of the drawings and technical specifications, and development of pre-
liminary prefunctional construction checklists.
Review of the BOD. The commissioning authority reviews the BOD,
which is prepared by the design team, to verify that it meets OPR requirements.
In addition, the BOD is reviewed for clarity, completeness, and any issues that
will impact the design, construction, cost, schedule, maintenance, or operation
of the facility. The following is a sample list of items for review:
• Codes, standards, and guidelines

• Outside ambient conditions
• Performance criteria (i.e., temperature, humidity, energy, noise, life cycle,
lighting, and electrical power)
• Assumptions about how the facility will be used, including occupancy type
and anticipated schedule of operation
• Design assumptions, calculation methods, and software applications
employed
• Expectations of operation and maintenance, system complexity, and staff
training requirements
• Narratives of design and system operation
• List of major equipment selections and rationale
Commissioning Specifications. Specifications are written to address gen-

eral and specific requirements of the commissioning process and obligations
and responsibilities of the contractor. The general requirements section of the
specifications details the summary of work, required documentation, testing,
training, and closeout activities. Specific equipment and component perfor-
mance documentation requirements and use of construction checklists may be
integrated into other specification sections with appropriate cross references.
Design Review. Review of the drawings and specifications may be dictated

by project delivery method, funding requirements, or scope of work. A review
and backcheck of the construction documents at various stages of development
is typical; however, a review of the design development documents can identify
issues early in the design process. LEED defines the requirements for the com-
missioning authority review as follows: “at a minimum, one commissioning
design review of the owner’s project requirements (OPR), basis of design
(BOD), and design documents prior to mid-construction documents phase and
back-check the review comments in the subsequent design submission” (Ellis
2010).
The design review is not intended to be a peer, code, or constructability
review. However, these issues are often addressed, as they affect the quality of
the design, construction, and operation of the building. The main focus of a
design review is to verify that drawings and specifications adhere to the
requirements of the OPR and BOD, and that the building can be operated and
maintained efficiently. The following list outlines key areas on which to focus
during the design review:
• Appropriateness of equipment type and capacity

• Clearance requirements for accessibility and maintenance
• Clarity and detail of drawings and specifications
• Supply and ventilation airflow capacities
• TAB requirements
• System integration requirements
• Clarity of control system sequence of operation and control drawings
• Control system software and hardware requirements
• Domestic water system requirements
• Electrical distribution requirements
• Lighting control requirements
• Fire and life safety requirements
All issues determined by the commissioning authority as critical to the

project are documented and reviewed by the engineer of record and, if war-
ranted, revisions are made to the BOD and construction documents. When
comments are provided by the commissioning authority to the design team,
they should be made in a suggestive and collaborative manner with the inten-
tion of adding value to the design process.
Prefunctional Construction Checklists. Preliminary checklists are devel-
oped for all commissioned equipment being installed and must be completed
by contractors prior to equipment start-up. Checks include examining equip-
ment and devices to document that correct installation methods were followed
and to identify any deficiencies observed (see Chapter 6).
The commissioning plan is updated to reflect changes to the commission-
ing scope, schedule, level of commissioning team involvement, commissioned
equipment and systems included, and commissioning team directory. In some
instances, the owner or contracting agency will request that the commissioning
authority assist in the contractor bid or proposal phase of the project. This may
require the commissioning authority to be available during the pre-proposal
meeting and job walk and respond to any questions.
Construction Phase
In this phase of the project, the commissioning authority focuses on coordinat-
ing the commissioning team, performing site observations, documenting proj-
ect changes and deficiencies, developing functional testing procedures,
witnessing testing, attending equipment and system start-up, verifying training,
and reviewing the quality and accuracy of as-built documents. During meet-
ings, the progress of the commissioning and documentation is reviewed.
Scheduling of tests and technical issues are also discussed, and action steps are
suggested to keep the project moving forward.
Commissioning Project Meetings. To ensure that the construction team is
informed of the commissioning process and responsibilities, the commission-
ing authority holds a scoping meeting, prior to construction, with the commis-
sioning team to review the following:
• OPR
• BOD
• Commissioning plan, schedule, and expectations
• Construction checklists, functional performance testing, and responsibilities
for participating in the commissioning activities and providing submittals
• O&M manuals
• Training
In addition to the scoping meeting, several commissioning meetings are

held to discuss and review the quality of the commissioning process.
Commissioning Issue Log. Various issues are discovered by the commis-
sioning team during the prefunctional and functional testing phases, on-site
observation, or start-up. All issues are recorded on the master commissioning
issue list and managed by the commissioning authority. Issues are typically
discussed during commissioning meetings, when commissioning agents are
on-site, or through regular communication channels. The commissioning
authority assists in providing suggested solutions for the team to consider. The
contractor is responsible for resolving all issues.
Site Observations. The commissioning authority frequently makes site
visits to observe the installation of equipment and systems as required, docu-
ment any issues or concerns, and verify compliance with the OPR, contract
documents, and future operation and maintenance requirements. A site obser-
vation report is developed and provided to the commissioning team with com-
ments and photographs. Over the course of the project, the commissioning
authority prepares reports that detail the activities. During the early stages of
construction, these reports are issued when commissioning activities are com-
pleted and increase in frequency during the final stages of construction.
Submittal Review. Using the contract drawing and specifications, the

commissioning authority develops a list of commissioned equipment and
request submittals. A review of the submittals is performed to make certain that
equipment being provided complies with the OPR and BOD.
Prefunctional Testing. Observation is made of the installation or review is
made of the completed installation and documentation to verify that the system
components were installed correctly and completely and are ready for start-up.
(See Chapter 6 for additional information.)
Equipment and Systems Start-Up. Commissioning may require on-site
observation of the start-up of equipment and related systems. During this time,
the commissioning agent documents the start-up process, technical ability of the
start-up technician, problems encountered, and procedures utilized. Once start-
up is complete, a commissioning field report is prepared to document the event.
Development of Functional Performance Testing Procedures. Draft
functional performance test procedures are developed for the commissioning
team’s review and comment. Team members must be involved in developing
the test, as procedures must accurately reflect the sequence of operation of the
system or equipment being tested. Once these testing procedures are reviewed
and approved by all commissioning team members, they can be employed dur-
ing functional performance testing.
Functional Performance Testing. When all test procedures are finalized,
and testing is scheduled, the contractor performs the functional performance
tests outlined in the written procedures, and the commissioning agent wit-
nesses the testing and evaluates the outcome. Deficient issues are noted, and
retesting is scheduled accordingly.
Functional Performance Testing (Retesting). When the contractor has
resolved issues due to a failed test, the commissioning agent witnesses the
retesting of systems and verifies that operation is acceptable.
Operation and Maintenance Documentation. The commissioning agent
verifies that proper operation and maintenance documentation has been sup-
plied by the contractor and that it meets the contract requirements, commis-
sioning plan, and OPR and can be utilized by the facility management team to
operate and maintain the building.
Training. Review of the contactor’s training plan, agenda, training sched-
ule, instructor qualifications and lesson plans is required by the commissioning
authority. Once the training is initiated, the commissioning authority may wit-
ness the training and document training activities to verify that building staff
and building occupants have been provided training suitable to operate and
maintain the building. Once training is complete, a survey of the participants is
employed to evaluate the effectiveness of the training.
Occupancy and Operations Phase

During the occupancy and operation phase, the project transitions from the
contractor to the owner and the owner’s operation and maintenance staff.
Commissioning Report. A commissioning report is developed as the proj-
ect progresses to ensure highest quality. From the early stages of the project, all
documents are arranged and archived for inclusion in the commissioning report.
Once functional performance testing is complete and all issues are resolved, the
commissioning authority prepares the report and includes all documents,
results, and outcomes of the commissioning process. This report typically
• Executive summary
• Design phase activities: review of the OPR, BOD, drawing and specifica-
tions
• Construction phase activities: installation checks and functional testing
results
• Deficiency resolution, performance tests, and evaluation
Systems Manual. The systems manual provides a detailed description of

operating and maintenance procedures customized for the specific equipment
and systems installed in the building. This document includes final version of
the following:
• OPR
• BOD
• Commissioning report
• Single-line drawings
• As-built control drawings
• Control sequences
• Initial controls setpoints
• Time-of-day schedules
• Guidelines for tracking procedures
• Benchmarks for energy use and equipment efficiencies
• Written narratives of equipment and system operation
• Maintenance procedures
• Start-up tests
• Retesting documentation and suggested retesting and calibration schedule
• Plans and schedules for retesting
• Trending information and analysis to provide the owner with a baseline for
future building analysis.
Warranty Review. Working with the owner, operation and maintenance

staff, and building occupants, the commissioning authority coordinates review
of the building’s operation and performance before the end of the contractor
warranty period. Any operational problems identified are brought to the
owner’s attention to be resolved by the contractor or equipment manufacturer.
The commissioning authority verifies that the building operates as intended,
warranty issues are addressed, and issues are documented accordingly in the
systems manual.
Commissioning Building Review. After the building has been operating

for 10 to 12 months, the commissioning agent should review the building’s
operation. This review should focus on operational characteristics, deficien-
cies, and maintenance issues. A resolution plan for issues should be developed
and provided to the owner.
Recommissioning
A project may be recommissioned as a result of a change in building use, or in
the event of operational problems.
Functional Acceptance Testing

Functional performance tests attempt to verify that equipment and systems
operate per the OPR, BOD, drawings, and specifications. These tests enable
the owner to record the initial operation of building systems. Data from the
tests can serve as a benchmark for evaluating equipment conditions, operating
characteristics, and performance at a later date.
Chilled-Water System. Testing of the chilled-water systems includes veri-
fying that primary and secondary chilled-water pumps (Figure 7-1), condenser
water pumps, cooling tower fans, chiller refrigeration system, and controls all
perform according to the documented sequence of operation. This typically
Figure 7-1 Chilled-water pumps.
includes testing the chilled-water system in response to a change in load condi-

tions.
Hot-Water Heating System. Hot-water system testing includes verifying
that the boiler, pumps, valves, and controls operate per the documented
sequence of operation.
Air Distribution System. Testing the air-handling unit includes verifying
that outdoor, return, and exhaust air dampers; supply and return fans; chilled-
and hot-water valves; humidifier; and controls perform according to the docu-
mented sequence of operation. The variable-air-volume (VAV) terminal units
are tested to verify proper airflow, and temperature is provided to the space per
the sequence of operation.
Packaged Air-Conditioning Units. Equipment is tested by verifying how
the refrigeration system; supply and return fans; outdoor, return, and exhaust
air dampers; and controls operate per the documented sequence of operation.
Fan-Coil Units and Split-System Air-Conditioning Units. Testing fan-
coil units requires verifying how the supply fan, chilled-water valve, and/or
hot-water valves operate per the sequence of controls. The split-system air-
conditioning units require testing of the entire system to verify that all equip-
ment performs according to the sequence of operation.
Electrical Emergency Power System. Verifying operation of the emer-
gency power system requires testing the automatic transfer switches and fuel-
driven generators to ensure performance in the proper sequence and for the
correct time and duration required by construction drawings, specifications,
building codes, and ordinances (Figure 7-2).
Figure 7-2 Electrician testing controls.
Building Automation Controls. Once individual equipment and system

control sequences are verified, the functions of the building automation system
(BAS) should be tested. This includes verifying that the graphical user inter-
face displays all system information clearly and correctly, schedules are cor-
rect, all alarms are displayed and operate correctly, and energy management
functions are configured correctly.
Lighting Control System. Testing the interior and exterior lighting control
system includes verifying that lighting operates correctly and is scheduled
according to the owner’s and users’ needs. This also includes testing occu-
pancy sensors, dimming controls, and photocells.
Renewable Energy Systems. Renewable energy systems testing includes
verifying that solar photovoltaic components, solar heating systems, and wind
generation equipment provide renewable energy to the building power supply.
Plumbing Systems. Testing the domestic hot-water heater and circulating
pump includes verifying that the heater operates correctly and the circulation
pump distributes hot water throughout the building as required.
Fire Alarm and Protection. Testing the fire alarm and protection system
includes verifying that all alarms operate in accordance with local codes and
ordinances.
Building Envelope. The performance objective of envelope commission-
ing is to verify that the exterior enclosure meets the requirements of the OPR
(NIBS 2006), including control of heat flow, airflow, noise, fire, light, rain and
moisture penetration, structural performance, durability, security, reliability,
aesthetics, value, constructability, maintainability, and sustainability.
Testing, Adjusting, and Balancing (TAB)

Test, adjust, and balance HVAC systems in accordance with construction docu-
ments and at desired levels of performance.
Scope of Work
The testing, adjusting, and balancing (TAB) scope of work typically includes
preparing a submittal, reviewing equipment and systems submitted, observing
field conditions and recording data, testing and balancing each system and sub-
system, and documenting the results of testing in the TAB report.
Retaining TAB Services

TAB services can be acquired in various ways:
• The mechanical contractor uses their own employees or subcontractor.

• The general contractor subcontracts to perform TAB services.
• The owner contracts directly with the TAB firm.
Sometimes employing the mechanical contractor to perform TAB on a sys-

tem they installed may result in incorrect reporting of actual air and water
flows. Requiring the general contractor to subcontract TAB services directly is
a better option, as they are not under the mechanical contractor. When the
owner selects and contracts directly with the TAB contractor, he or she receives
an independent assessment of the system performance.
In either case, TAB supervisors and technicians should be certified by a
nationally recognized organization to ensure that proper methods and proce-
dures are followed. The National Environmental Balancing Bureau (NEBB),
the Associated Air Balance Council (AABC), and the Testing Adjusting and
Balancing Bureau (TABB) provide certifications of TAB supervisors and tech-
nicians (see Figure 7-3).
Design Phase TAB Requirements

The mechanical engineer must detail mechanical drawings with information
sufficient to adequately set air and water flow rates for the system being
installed or tested. These details typically show final volume control dampers,
flow measuring stations, test ports, access panels, supply and return airflow
capacities, chilled- and hot-water flow capacities, system static pressures, min-
imum and maximum airflow rates, coil pressure drops, ventilation rates, con-
trol diagrams, and sequences of operation.
Specifications should detail items to be tested, such as air distribution,
chilled- and hot-water, smoke control, and sound and vibration testing systems
and equipment. Acceptable tolerances, instrument certification, BAS contractor
Figure 7-3 Technician testing outdoor airflow.
responsibility, and the requirements of the TAB report should also be detailed in
the specification.
Construction Phase TAB Requirements

In the construction phase, the TAB contractor reviews drawings and specifica-
tions and walks the site to become familiar with the building, equipment, and
systems installed and to verify the proper installation of or to confirm the fol-
lowing:
• Ductwork
• Access doors
• Dampers, including fire and smoke, and their accessibility
• Completed building envelope
• Air filters
• VAV terminal units and reheat coils and their accessibility
• Test ports, gages, and piping
• System has been cleaned and flushed
• Confirmed successful start-up
Various elements of the piping and ductwork may require testing before
system completion. One example is duct shaft pressure testing, where each sec-
tion should be tested for leaks, as opposed to testing the entire shaft at the com-
pletion of the project. Once the system is complete and operational, the TAB
technician begins the TAB phase. The technician measures and records data
that are incorporated into the TAB report. The TAB phase of a project is com-
plete when the engineer of record accepts the final TAB report.
TAB Instruments
TAB instruments require regular calibration from the manufacturer. Once a cal-
ibration is conducted, a certificate of calibration is provided to the owner of the
test instrument. These certificates of calibration are often requested as a sub-
mittal prior to conducting any TAB work. Typical instruments used for TAB
include:
• Manometers
• Airflow capture hood
• Tachometer
• Ammeter (clamp-on type)
• Thermometers (noncontact dial and digital thermometers)
• Rotating vane anemometer
• Sling or digital psychrometers
• Sound meter
• Air differential pressure gages (Figure 7-4)
Figure 7-4 Technician measuring airflow.
TAB Procedures and Measurements

Many different systems are installed in buildings, and each requires specific
TAB testing procedures. The procedure outlined below is typical for a pressure
independent VAV system with a single supply fan.
• Verify the system is complete and ready for testing.

• Verify that each branch volume control damper is full open.
• Record air-handling unit model, serial number, variable-frequency drive
(VFD) data, and motor nameplate data.
• Verify that the construction air filters have been replaced with new clean
filters.
• Record fan actual RPMs and compare to design RPMs.
• Record operating motor amperage and voltage and compare data to motor
nameplate data. If necessary, adjust the motor amperage and voltage to
match motor nameplate data.
• Measure duct static pressure in the main supply trunk duct prior to any
branch takeoffs.
• Adjust minimum outdoor air damper to the required minimum outdoor air;
measure and record the minimum outdoor air volume flow rate.
• Set each zone thermostat for full cooling.
• Starting with the VAV terminal unit closest to the supply fan, calibrate to the
maximum airflow requirements shown on the VAV terminal unit schedule.
• Measure, record, and adjust volume control dampers to deliver the required
airflow to each diffuser or grille. Typically adjustments are ±10%.
• Continue moving downstream in the duct system, calibrating each VAV ter-
minal unit to the maximum air volume flow rate.
• Once all VAV terminal units are set for maximum airflow, and volume
control dampers are adjusted and set for required airflow, set the variable-
frequency drive to the maximum setting.
• Verify that the most remote VAV terminal units have the minimum static
pressure required to operate.
• Measure duct static pressure in the main return trunk duct.
• Set each zone thermostat to call for heating or minimum cooling.
• Calibrate each VAV terminal unit to the minimum airflow shown on the
VAV terminal unit schedule.
• Once all VAV terminal units are set for minimum airflow, adjust the variable-
frequency drive to the minimum setting.
• Verify that the duct static pressure sensor location is suitable to measure the
maximum and minimum static pressure of the system.
The testing and balancing of chilled- and hot-water systems should be com-
pleted prior to testing and balancing the air distribution system. This procedure
includes setting and recording pump flow capacities; verifying pump impeller
size; recording pump head; adjusting balancing valves on coils and exchang-
ers; setting and recording variable-frequency drive speed; and recording the
coil design flow and actual flow in the TAB report.
TAB Report
The TAB firm should produce and submit a TAB report soon after the project is
complete. In some cases, the TAB firm will submit a preliminary TAB report
while the final report is being completed. The mechanical engineer reviews the
report, provides comments for corrective action, or accepts the report as is.
During the commissioning acceptance phase, the commissioning authority
may require verification of TAB readings and compare findings with the values
in the report. The TAB report should include the following information:
• Air-handling unit manufacturer’s model and serial number

• VAV terminal unit manufacturer, size, model, maximum and minimum set-
tings, and calibration factors
• Motor and VFD drive nameplate information
• Motor actual voltage and amperage
• Sheave and belt data
• Filter conditions (new, partial, dirty)
• Design and actual supply and return airflow
• Design and actual minimum outdoor airflow
• Motor actual voltage, amperage, and rpm
• Fan design and actual rpm
• Static pressure readings
• Diffuser and grille airflow readings
Operation and Occupancy Phase TAB Requirements

Anytime the HVAC system is modified or the building interior is altered, a
retest and rebalance of the entire air distribution system should be considered.
As the HVAC system was installed to condition the space as designed, any
change in the design of the space typically impacts air distribution, heating and
cooling capacities, ductwork sizing, and final airflow, requiring some of these
parameters to be adjusted.
To keep the air-conditioning system operating as efficiently as possible,
improve performance, and maintain comfort, the VAV terminal units may
require calibration, repair, and maintenance. Modifications to the temperature
control system will most definitely affect the operation of the air-handling and
air distribution system. In both cases, a TAB technician is required to perform
the necessary testing and adjustments.
Existing Building Commissioning

Existing building commissioning (EBCx), also called retrocommissioning, is a
process applied to an existing building that has never undergone any form of
commissioning. The EBCx process is very different from the commissioning
process in that it focuses on solving a problem and making improvements to
the building as required. This type of commissioning is implemented for vari-
ous reasons, including energy analysis and reduction, improving performance,
resolving system and equipment issues, and to comply with an existing build-
ing sustainability rating system (for example, LEED Existing Building Opera-
tion and Maintenance). The typical EBCx process involves planning,
investigation, implementation, and reporting phases.
Planning Phase
The objective of the planning phase is to determine the owner’s needs and
requirements for the facility. The following items are completed during the
planning phase as described below:
Define Roles and Responsibilities. Roles and responsibilities of all EBCx
participants are defined during this phase, along with the EBCx plan. Parties
whose roles are defined may include a commissioning authority, mechanical
and electrical engineers, contractors, equipment suppliers, maintenance and
operation staff, building occupants, building managers, building owners, and
utility providers.
Define Scope of Work. A clearly defined scope of work for the project
should be developed that includes the desired outcome of the project, a sched-
ule for work to be completed, and identification of a funding mechanism.
EBCx Goals. Goals and objectives developed for the commissioning pro-
cess provide a focus for the commissioning team in the planning effort and are
reflected throughout the EBCx plan.
Current Facility Requirements (CFR). The CFR defines current opera-

tional needs and requirements of the building and is often based on interviews
with key occupants, operation and maintenance staff, and information obtained
from sources including architectural, mechanical, and electrical drawings;
plans and specifications; submittals; O&M documents; BAS data; technical
guides; and resources. Items in a CFR include number of occupants, desired
temperature and humidity setpoints, operating schedule, filtration, ventilation,
pressurization, sound, lighting levels, and space area requirements. This docu-
ment is similar to the OPR in the new building commissioning process.
Preliminary Building Benchmarking. Information should be obtained to
quantitatively measure building performance. Typically, energy usage for each
type of fuel, building area, and type of building are required to benchmark a
building. Once this information is analyzed, a rating is provided to determine
how the building performs with respect to other buildings of similar type and
size. Buildings on a campus can be difficult to benchmark, as a utility meter
may serve several buildings of different size and type.
Review Existing Building Documentation. Review available building
documentation, such as building plans and specifications, O&M documents,
repair records, and written control sequences for each system. This information
provides a better understanding of the building in order to determine what doc-
uments will be available in later phases of the ECBx.
Interview Key O&M Personnel. Key O&M personnel are interviewed for
their extensive knowledge and experience working in the building. Building
operators work daily in the facility and may provide details about a system that
could otherwise take months to determine. These individuals can suggest areas
to investigate, provide insight into what caused an issue, and describe what
attempts have been make to remedy the problem.
Perform an Initial Building Walk-Through. An initial building walk-
through of all major spaces is performed to obtain knowledge of the types of
spaces included and their condition, occupancy levels, energy systems, HVAC
equipment and systems, lighting controls, and any obvious existing issues or
problems associated with building performance and energy use.
Develop a EBCx Plan. Once sufficient information is obtained, the EBCx
plan is developed to document goals, roles, responsibilities, communication
protocols, major activities and tasks, and the overall EBCx project schedule. A
major focus for this plan is to outline the scope of work for the EBCx investi-
gation phase. The plan is intended as a framework for the entire EBCx process
and is a working document that evolves during commissioning.
Investigation Phase
The objective of the investigation phase is to conduct a site investigation to
compare actual building conditions and system performance with the CFR.
This phase concludes with the completion and review of a master list of find-
ings that identifies facility improvement measures (FIMs) that, upon imple-
mentation, will improve building and system performance to meet the CFR.
Commissioning Coordination. Periodic meetings with the commissioning

team during the investigation phase and throughout the entire commissioning
process to discuss commissioning status, system performance, and various
issues keep all parties well informed and coordinated. Participation in these
meetings is critical to solicit additional input and discuss any concerns, as well
as to address any simple repairs or adjustments needed during this phase.
Detailed Documentation Review. Review available building documenta-
tion to understand the building energy usage and to evaluate system integra-
tion. The review process includes evaluation of available drawings, control
system graphics, repair and maintenance records, and O&M manuals.
In-Depth Site Review/Survey. Conduct a thorough and detailed building
walk-through to evaluate issues identified in the planning phase and observed
during the drawing and documentation review. Valuable information can be
gathered during the walk-through when maintenance staff are involved. Impor-
tant facility information not determined during the documentation review must
be recreated during the site survey as needed. If control sequences are changed
or are not well documented, detailed technical interpretation of control system
logic to reconstruct a well-defined written control sequence of operation may
be required.
Systems Diagnostic Monitoring. Develop a diagnostic monitoring plan
and perform comprehensive system diagnostic monitoring. Diagnostic moni-
toring methods may include trending, portable data logger trending, and energy
data collection. The collected data are analyzed to identify issues and improve-
ment opportunities and to highlight particular problems that may require more
rigorous and focused investigation. Analyzing the diagnostic monitoring data
can assist in determining if the system meets the CFR.
Functional Performance Test Development. Develop test procedures for
the systems identified in the project scope of work. Functional performance
tests verify the intended operation of individual components and associated
controls under various conditions and modes of operation. Functional perfor-
mance tests are prepared so that the complete sequence of operations is
included in the test procedures. Test plans typically focus on confirming that a
system meets performance requirements set forth in the CFR.
Functional Performance Testing. Perform system testing to evaluate
building systems performance. In addition, any anomalies or issues identified
in earlier investigation phase steps should be considered for further evaluation
during system testing to determine root causes and possible solutions. The test-
ing process should include verification and calibration of critical sensors that
are essential to effective and efficient operation of building systems. Sampling
of equipment, systems, and devices is required in some buildings and areas.
Simple Repairs or Improvements. Identify simple repairs or improve-
ments required to complete monitoring and testing. Repairs or improvements
may be authorized under direction of the commissioning authority or facility
operation and maintenance staff. This process is intended to be iterative and
flexible. Therefore, some implementation may occur during the investigation
phase and, conversely, further investigation may occur during the implementa-
tion phase.
Master List of Findings. Create a master list of findings (Table 7-1) that
identifies possible facility improvement measures (FIMs). The following infor-
mation on each FIM is desirable so that the owner will have sufficient informa-
tion to make an informed decision when selecting the FIMs for
implementation:
• Item number
• Date identified
• Finding/issue description
• Recommended action/solution/measure
• Implementation action taken
• Date resolved
Implementation Phase
The objective of the implementation phase is to implement the facility
improvement measures selected from the master list of findings and to verify
that predicted results and system performance are achieved.
Analyze, Prioritize, and Select Facility Improvement Measures. The
implementation phase begins with the analysis, prioritization, and selection of
FIMs for implementation. The owner evaluates and prioritizes the measures
recommended for implementation by the commissioning team, with their
assistance. The final selection of measures for implementation is frequently
influenced by many factors, including budgetary constraints, anticipated facil-
ity impacts, future capital plans, and available implementation resources.
Prepare an Implementation Plan. Depending on which FIM measures
are selected, the commissioning team prepares an implementation plan to
Table 7-1 Master List of Findings
Item Date Recommended Date

Finding Implementation Taken
Number Identified Action Resolved
Temperature in Room 2121 Room thermostat

Calibrate
1.1 3/21/08 is six degrees below replaced as thermostat 3/18/08
thermostat
setpoint could not be calibrated.
Control loop tuned and
Hot-water valve on AHU-3
1.2 3/21/08 Tune PID loop hot-water valve is 4/4/08
coil hunting excessively
controlling properly.
Replace filters Filters replaced and
and institute O&M staff has received
Filters in AHU-15 are filter manage- training on how to
1.3 3/22/08 4/15/08
clogged ment training develop and institute a
program with filter management
O&M staff program.
guide the implementation process and provide details on steps to be followed.

The plan typically indicates which improvements will be made during the
implementation phase and which will be deferred, with a timetable for planned
implementation as projects for capital improvement. The ultimate goal is hav-
ing the systems perform efficiently to meet the CFR.
Implement Selected FIMs. As defined by the implementation plan,
selected improvements to the systems and operations are undertaken and com-
pleted.
Verify Successful FIM Implementation. Functional testing or retesting
may be required for modified or upgraded systems to demonstrate that
improvements are successful. If testing does not show successful improve-
ments based on the agreed benchmarks, further modifications or refinements to
the upgrades may be required to achieve acceptable results based on the recom-
mendations of the EBCx team and the program requirements.
Reporting Phase
The objective of the reporting phase is to ensure a smooth handoff and transi-
tion from the commissioning process/team to the personnel responsible for
operating and maintaining the building over its life cycle. Successful transi-
tions ensure that all necessary documentation, training, and knowledge of
equipment and systems are provided to the O&M personnel, and that imple-
mented improvements become part of the standard operating practice so that
the CFR is met and positive results persist into the future.
Update O&M Manuals and As-Built Documentation. Update O&M
manuals and as-built documentation as required.
Develop Final Report and Update Documentation. The final report is a
record of the EBCx activities and measures that were implemented. It is an
important document for the building and an invaluable resource for current and
future building operators.
Compile a Systems Manual. A systems manual is a compilation of impor-
tant building documentation. The system manual greatly enhances the building
personnel’s ability to operate the building effectively. The systems manual
should include the following information:
• Index of documentation
• Current facility requirements
• Original construction record documents, specifications, submittals, TAB
report, and EBCx final report
• Building energy model reports
• Measurement and verification plan
• Master list of findings
• Implemented FIM projects and associated documentation, such as specifi-
cations, record drawings, O&M manuals, and warranty information
• Listing of recommended operational record keeping procedures
• Updated system sequences of operation based on the CFR

• Ongoing optimization guidance, including training materials
• EBCx final report
Develop Training Plan. Establish a training plan for future training based
on current training needs, estimated future needs (including “refresher” train-
ing), and training for continuous skill improvement. The training plan should
include the goals and objectives of the training program. Specific learning
objectives tied to actual operational activities should be developed. Classroom
and building equipment areas should be utilized to provide the appropriate
learning environment. Training workbooks and O&M material should be made
available during training sessions. At the conclusion of the training sessions, an
informal survey of the occupants should be conducted to determine if the goals
and objectives of the training have been met.
Hold a Lessons Learned Meeting. Hold a “lessons learned” meeting with
the building operating personnel and commissioning team members. This can
help operating personnel maintain the performance benefits from EBCx,
increase their knowledge, and expand their ability to identify and address
improvement measures in the buildings in which they work.
The Next Step

This chapter introduced commissioning and testing, adjusting and balancing.
Chapter 8 provides an introduction to managing potential building risks and
providing risk assessment.
Summary
This chapter provided an introduction to commissioning, defined key terms,
and described the benefits of commissioning, including reduced costs and defi-
ciencies, improved documentation, coordination, operator knowledge, and
increased energy savings. Commissioning begins in the predesign phase, at
which time a commissioning agent is selected, scope is defined, and the OPR
and initial plan are developed.
In the design process, commissioning focuses on review of the BOD, draw-
ings and technical specifications, development of a commissioning specifica-
tion, and prefunctional construction checklists. During the construction phase,
the commissioning activities include meetings, submittals review, log updates,
installation observation and verification, observation of equipment and systems
startup, functional performance testing of the equipment and systems, verifica-
tion of training requirements, and preparation of operation and maintenance
documentation. Commissioning continues into the occupancy and operations
phase where the commissioning report and systems are completed and war-
ranty and building review activities are performed.
This chapter also outlined procedures for testing, adjusting, and balancing
(TAB) HVAC systems. Topics discussed included scope of work, acquisition of
TAB services, design and construction phase TAB requirements, TAB instru-
ments, and the TAB process, with an example of a typical VAV system balanc-
ing procedure and reporting requirements.
Finally, existing building commissioning was discussed and the process
defined in four phases: planning, investigation, implementation, and reporting.
The planning phase outlined the following roles and responsibilities of the
commissioning team: scope of work, goals, development of the current facility
requirements (CFR), benchmarking, review of documentation, interviews and
the development of an EBCx plan. During the investigation phase, the process
focuses on review of documentation, site survey, diagnostic monitoring, func-
tional performance testing, simple repairs, and the development of a master list
of findings.
The process continues with the implementation phase. Facility improve-
ment measures (FIMs) are analyzed, prioritized, and selected; an implementa-
tion plan is prepared; FIMs are implemented; and results obtained through
testing to determine the successful FIMs are implemented. The ECBx process
concludes with the reporting phase, where O&M manuals are updated, a final
report and systems manual are prepared, an operator training plan is developed,
and a lesson-learning meeting is held.

AABC. 2002. National Standards for Total System Balance, Sixth edition.
Washington, DC: Associated Air Balance Council.
ASHRAE. 2003. ASHRAE Handbook—HVAC Applications. Atlanta: Ameri-
can Society of Heating, Refrigerating and Air-Conditioning Engineers.
ASHRAE. 2005. ASHRAE Guideline 0-2005, Commissioning Process.
Engineers.
Maintenance Documentation of Building Systems. Atlanta: American Soci-
ety of Heating, Refrigerating and Air-Conditioning Engineers.
Ellis, R. 2010. LEED® commissioning design review: As with so many things,
the when is as important as the what or how. Engineered Systems. http://
findarticles.com/p/articles/mi_m0BPR/is_7_25/ai_n31357982/.
Gillespie, K., K. Strum, K. Heinemeier, and G. Stranske. 2007. Developing a
design review tool for use in the commissioning process. Proceedings of
the National Conference on Building Commissioning, May 2–4.
NEBB. 2005. NEBB Procedural Standards for Testing, Adjusting, and Balanc-
ing of Environmental Systems, Fourth edition. Gaithersburg, MD: National
Environmental Balancing Bureau.
NIBS. 2006. NIBS Guideline 3-3006, Exterior Enclosure Technical Require-
ments for the Commissioning Process. Washington, DC: National Institute
of Building Sciences.

7-1 Functional performance testing is performed during the ____________ phase

of the commissioning process.
a) predesign
b) design
c) construction
d) occupancy/operations
7-2 The BOD is reviewed during the ____________ phase of the commissioning
process.
a) predesign
b) design
c) construction
7-3 The desired level of training and orientation required for the new building
operators and occupants to operate the building is documented during the
____________ phase of the commissioning process.
a) predesign
b) design
c) construction
7-4 ____________ is a benefit of commissioning.
a) documentation of the owner’s project requirements
b) fewer system deficiencies
c) improved operator knowledge
d) all of the above
7-5 ____________ is required of the TAB contractor during the construction
phase.
a) Installation of the ductwork
b) Verification that test ports are installed
c) Verification that volume control dampers are shown on the plans
d) Flushing and cleaning the system
7-6 When testing, adjusting, and balancing a variable-air-volume (VAV) system,

the VAV terminal units should initially be set to ____________.
a) minimum airflow
b) heating airflow
c) maximum airflow
d) 50% of design airflow
7-7 Once the initial TAB work is complete, it is prudent to consider performing
TAB again ____________.
a) once a year
b) when the building interior is altered and ductwork is relocated
c) when the system is performing poorly and comfort levels are not
being maintained
d) b and c
7-8 The systems manual is developed during the ____________ phase of the exist-
ing building commissioning process.
a) planning
b) investigation
c) implementation
d) reporting
7-9 The ECBx goals are developed during the ____________ phase of the existing
building commissioning process.
a) planning
b) investigation
c) implementation
d) reporting
7-10 The FIMs are identified during the ____________ phase of the existing build-
ing commissioning process.
a) planning
b) investigation
c) implementation
d) reporting
Risk Assessment and
Emergency Preparedness
Study Objectives
 define risk;
 list several types of risk that can occur within a facility and summarize how
to manage them before and during a risk event;
 describe how to develop an emergency response plan; and
 describe what to do after an emergency event.
Instructions
Introduction
Knowing what to do during an emergency event requires planning, preparation,
and practice. Plans must be in place so that building occupants know how to
proceed, and the development of these plans is often the responsibility of the
facility manager.
Defining Risk
Risk is a source of danger likely to result in suffering, harm, or loss. The two
basic types are risk are man-made risks and natural disasters. Man-made risks
include terrorism attacks and fires. Natural disasters include but are not limited
to floods, tornados, hurricanes, pandemic flu, and fires. In many cases, risk is
determined by assessing the probability and consequences of the threat.
Regardless of the type of risk, every facility must have a risk event plan in
place to minimize the damage and danger to the following:
• Building occupants
• Documents and assets within the facility
• The building itself, including structural integrity and indoor air quality
• The surrounding community, including air and water quality
188 Chapter 8 Risk Assessment and Emergency Preparedness
Emergency Response Plans

Developing an Emergency Response Plan
The first step in developing an emergency response plan is to identify what
type of risks may impact the facility, both internally and externally. Table 8-1
lists common natural and man-made disasters that may impact your facility.
While reviewing the types of risk, consider the following:
• The impact each risk has on the well-being of the building occupants
• How building occupants will be educated about what to do during an emer-
gency event
• What is needed to recover from the disaster, considering both the people
that occupy the facility and assets within and around the facility
After risks are identified, develop a plan for each. Specifics of the plan will
depend on many site-specific factors. However, in general, the plan should
• How building occupants will be communicated with during the emergency

• How building occupants will be kept safe
• What should be included in emergency supply kits
• How emergency kits will be procured and/or assembled
• How to evaluate when the facility or general location should be evacuated
• What to do after the evacuation, including remediation and reconstruction
Table 8-1 Types of Natural and Man-Made Disasters

(www.ready.gov 2010)
Natural Disasters Man-Made Disasters
Earthquake Biological release
Extreme heat Blackout
Fire Chemical threat
Flood Cyber attack
Hurricane Explosion
Influenza pandemic Nuclear threat
Landslide Radiation threat
Tornado
Tsunami
Volcano
Wildfire
Winter storms and extreme cold
The following is a list of methods for communicating with building occu-

pants about emergency plans before an emergency occurs:
• Newsletters
• Company intranet
• Periodic e-mails
• Signs posted around the facility
• Announcements or reminders at staff meetings
• Wallet-sized cards provided to building occupants with instructions for
what to do during a disaster
Emergency kits fully stocked with necessary supplies should be procured

and stored in a location that is easily accessible in the event of an emergency.
Encourage building occupants to create their own portable emergency kits with
personal items, such as essential medications.
As building occupants consider what to include in personal portable emer-
gency kits, suggest that personal information, such as insurance or bank cards,
be kept in a safe, nearby location. Emphasize that protecting personal informa-
tion is important to prevent identity theft or other undesirable outcomes. Items
recommended for an emergency kit include but are not limited to the following:
• Battery-powered radio with extra batteries
• Important records, stored in a portable, waterproof and fireproof container:
° Site maps and building plans
° Insurance policies for the facility and assets
° Employee contact and identification
° Bank account records for the facility
° Supplier and shipping contact lists
° Computer backups
° Emergency or law enforcement contact information
• Emergency supplies, such as (FEMA 2010i):
° Water (if possible, store one gallon [3.8 L] per person per day for drink-
ing and sanitation
° Food (at least a three-day supply of nonperishable food)
° Flashlight and extra batteries
° First-aid kit
° Whistle to signal for help
° Dust masks
° Moist towelettes for sanitation
° Wrench or pliers to turn off utilities
° Can opener, if food supply is canned
° Plastic sheeting and duct tape to seal the room if it is unsafe to leave the
facility
° Garbage bags and plastic ties for personal sanitation
Figure 8-1 Except from emergency response plan (available at www.ready.gov).
Once the plan is complete, schedule drills so building occupants become

familiar with the plan’s procedures. Drills can include walk-throughs, practice
evacuations, and training seminars. During a walk-through drill, the emergency
management team and response teams perform the emergency functions they
would perform if there were an emergency. During a practice evacuation,
building occupants should walk the actual evacuation route and move to a safe
location.
Even after the plan is complete, remember that an emergency plan is not a
static document. It should be reviewed and updated annually. Updates to the
plan should be shared with building occupants.
A few excerpts from an emergency plan template are found in Figure 8-1.
The plan should be well organized and concise. Critical information, such as
emergency contact information, should be easy to find.
Developing an Evacuation Plan

An evacuation plan is a standard procedure for quickly and safely exiting a
facility in an emergency. The plan should include the following (FEMA
2010m):
• A process for knowing who is in the building, including employees, cus-

tomers, and visitors
• Names of those with authority to order an evacuation, including a chain of
command in case the top authority is unavailable
• Names of who will shut down critical operations and lock the doors
• Clearly marked building and site plans that identify evacuation routes (At
least two exit routes should be identified, as one may be blocked.)
• An identified location where building occupants can go as they evacuate
the facility
• Names of those with authority to provide an all-clear signal that it is safe to
re-enter the building
• Actions necessary to help people with disabilities safely exit the building
Lighting systems should be evaluated to determine if the level of emer-

gency lighting within the facility is sufficient for building occupants to exit
safely. If the lighting levels are not sufficient, replace, supplement, or make
sure occupants have access to flashlights to use during an emergency. The
building should also have a method to audibly communicate that an evacuation
is necessary, such as a PA (public address) or alarm system. The system should
be tested regularly.
Developing a Shelter-in-Place Plan

A shelter-in-place plan is a standard procedure for keeping building occupants
safe in an emergency situation, such as a tornado or chemical incident, where it
is not possible to evacuate the facility.
First, determine a strategy for how to account for who is in the building.
Second, establish a warning system to alert the occupants of the emergency sit-
uation and direct them to shelter location(s). Third, create a roster or checklist
that can be used to take a head count as people enter the shelter(s). Fourth,
obtain emergency supply kits and place them in the shelters. Finally, practice
the shelter-in-place plan with building occupants.
After the plan is developed, be sure to clearly communicate it to the people
who regularly occupy the facility. Also be sure to explain that if an emergency
occurs, they should follow it without question. In some cases, some individuals
may be confused or feel uncomfortable entering a shelter. To reduce confusion
and avoid misunderstanding, communication before an emergency event is
very important (FEMA 2010l).
Continuity Planning
A continuity plan is a procedure for how a business will continue to operate
when impacted by an emergency or other unplanned event. To develop the plan,
it is necessary to identify what types of risk may impact the facility and to care-
fully assess the internal and external functions of the facility and the activity that
occurs within it. Consider what staff members, materials, procedures, and
equipment are essential to keep the facility open and operational. Some specific
tasks to complete the assessment include the following (FEMA 2010d):
• Review the business process flow chart if it is available.

• Identify mission-critical operations and what is necessary to keep them
functional.
• Create a list of emergency payroll, expedited financial decision-making,
and accounting system requirements to track and document costs during a
disaster event.
• Establish how succession management procedures will be handled; include
the name of at least one person who is not at the location for which the plan
is being developed.
The business continuity plan should identify suppliers, shippers, resources,

and other businesses that interact daily with the occupants of your facility.
Accurately record all contact information and keep it where it can be found if it
is needed during an emergency. Be sure that more than one company can meet
your facility’s needs, as the primary service provider may not be able to in an
emergency. Even if the emergency does not occur near your facility, an emer-
gency near your primary supplier can have a large negative impact on your
business (FEMA 2010d).
To develop the section of the plan to determine what to do if your facility is
not accessible, ask the following questions:
• Can the business functions at the facility be performed from a different

location, such as from one’s home?
• Can relationships with other companies be developed in case a disaster
makes your facility unusable?
To ensure that employees who are helping to keep the business open before
it returns to regular operating conditions are paid, develop a payroll continuity
plan. After all of the high-level details are determined, assemble a team to
gather detailed information. Be sure to include building occupants from all lev-
els of the organization, as well as representatives among those who oversee
emergency management at the facility (FEMA 2010d).
After the plan development team is formed, the team should work together to
coordinate necessary actions and share the plan. The plan should be shared with
building occupants, first responders, emergency managers, and utility providers,
as well as those who regularly do business in and with the facility’s occupants.
Activating an Emergency Response Plan

When an emergency occurs, first determine if it is necessary to evacuate or shel-
ter in place. If necessary, gather information from local TV or radio stations
and/or official instructions. Remember that information about the emergency
may not be provided immediately and a decision may be needed quickly before
information has been broadcast on TVs or radios.
If an evacuation is necessary, employees should leave the facility as quickly
and safely as possible. After the facility is evacuated, account for all building
occupants, including workers, visitors, and customers.
If the shelter-in-place plan is enacted, announce that it is necessary to move
safely and quickly to the shelters. As people arrive at the shelters, account for
all workers, visitors, and customers. Remind everyone that they are being
asked to enter the shelter for their safety, that it is best to remain calm and fol-
low directions given to them, and that information will be provided to them as
it becomes available.
Types of Risk and What to Do During an Emergency

A building can be impacted by fire, flood, airborne releases, biological
releases, chemical threats, pandemic flu, cyber attack, earthquakes, tornados,
and other threats. In general, when an emergency occurs, the local fire depart-
ment or other local emergency responder, including the incident commander,
will arrive at the scene.
After the incident commander arrives, an incident command post will be
established within the perimeter of the emergency. For facilities that have in-
house safety or emergency response staff, the incident commander will work
alongside the in-house staff. The specific actions necessary to respond can vary
depending on the risk. How to respond to several specific risks are briefly dis-
cussed below.
Fires and What Do to During a Fire

Fire is the most common type of business disaster. In the United States each
year, fires result in over 4000 deaths and 20,000 injuries. Property damage
from fires results in about $8.6 billion (U.S. dollars) in damage in the United
States. The most important preparations for a fire are as follows (FEMA
2010f):
• Have the facility inspected for fire safety to make sure it is in compliance
with fire codes and regulations. Also be sure all fire extinguishers are
inspected and tested at required intervals.
• Make sure fire extinguishers and smoke detectors are installed at necessary
locations and that they are working properly.
• Be sure a warning notification system is in place if building occupants must
be notified of a fire. In many commercial buildings, this is done via lights
and auditory alarms integral to the fire detection system.
• Have a process to alert the fire department.
• Have an evacuation plan, and ensure that building occupants know how to
follow it in the event of a fire.
When developing an evacuation plan, be sure that the plan addresses how
to help people with disabilities. To ensure the plan accounts for their specific
disabilities, talk to individuals to learn what their needs would be in the event
of a fire. Then work with them to make sure their needs can be met if an emer-
gency occurs. Topics to discuss include the following (FEMA 2010f):
• Physical limitations
• Medical procedures
• Equipment instructions or needs
Multistory and high-rise buildings present unique challenges during an

evacuation. General tips include the following:
• Know where the closest emergency exit is, including an alternate exit if the
first choice is blocked.
• Face away from windows and glass.
• Do not use elevators.
• When using stairs to exit the building, stay to the right and allow emer-
gency personnel to come up.
Building occupants must be told not to use elevators during a fire. If occu-
pants were to try to use the elevator, they could become trapped, and the eleva-
tor likely would not work properly. Heavy smoke can block photoelectric eyes
used to close the door, preventing it from closing (Shear 1983).
Floods and What do to During a Flood

A flood is a temporary condition where two or more acres (0.81 hectare) of
normally dry land or two or more properties are covered by water or mudflow
(FEMA 2010h). Floods are the most common natural disaster in the United
States. Although low-lying areas and locations downstream of dams are most
susceptible, floods can occur in every U.S. state and territory.
To determine the risk of flooding for a specific location in the United
States, flood insurance rate maps (FIRMs) are available from the Federal
Emergency Management Agency (FEMA 2010e). Floods can occur slowly,
such as during a long rain event or melting of snow, or quickly, such as a flash
flood. The most common causes of flooding are as follows:
• Tropical storms and hurricanes

• Spring thaw
• Heavy rains
• West Coast threats—during the rainy season in the western United States,
the potential for flooding increases between November and April
• Areas surrounding levees and dams
• Tsunamis
• Flash floods
• Around new development—construction and development alters natural
drainage conditions, increasing the risk of flooding
A flash flood is the rapid flooding of low-lying areas in less than six hours
from intense rainfall. The rainfall is normally part of one or more thunder-
storms. During flash floods, large rocks may be sent into motion, trees are torn
from the ground and buildings and bridges can be destroyed. Flash floods are
the most common weather-related cause of death in the United States (FEMA
2010g).
Several different terms are used to classify flood hazards. In the event of a
flood, follow the recommended actions in Table 8-2.
Airborne Releases and Planning How to Respond

Airborne releases of toxic chemicals or gases can have detrimental impacts on
building occupants and the surrounding environment. Toxic chemicals can be
released directly within a building or through the outdoor air supply. Over
time, the toxin will circulate through the building via the supply air.
To minimize the impacts of an airborne release, have a plan in place and
follow it when necessary. When developing the plan, determine the location of
all outdoor air intakes for the facility. If they are located near ground level or
locations that could be vulnerable, determine how to protect the outdoor air
supply by, for example, disguising or relocating it. Other questions a plan
should consider are as follows (Welden 2010):
• Who will turn off the air handlers in the event of an airborne release?
• What happens if there is a false alarm?
• Should counter measures, such as high-efficiency filters or ultraviolet
lights, be installed? If so, where?
• What type of airborne release is most likely to occur at the facility? Deter-
mine correct capture methods, as they can vary greatly by type of release.
Table 8-2 Flood Classifications and What to Do (FEMA 2010g)

Classification Description Action to Take
Listen to the radio or television for
Flood watch Flooding is possible
information
Listen to the radio or television for
information AND
Flash flood watch Flash flooding is possible
Be prepared to move to higher
ground
If advised to evacuate, do so
Flood warning Flooding is occurring or will be occurring soon
immediately.
Seek higher ground on foot imme-
Flash flood warning A flash flood is occurring
diately
When developing the plan, remember that it must be activated quickly. A

toxin release can circulate within a building in a few minutes, so every minute
counts, and decision-making must be immediate (Welden 2010).
If the airborne release occurs outside of the facility, there may be enough
time to create a temporary barrier using seal-the-room technique. If seal-the-
room is used, the following steps must be completed before the emergency
(FEMA 2010l):
• Select the location where seal-the-room can be applied. If possible, choose

an interior room with as few windows and doors as possible. If the facility
has more than one story, select multiple seal-the-room locations.
• Have a process in place to request that everyone move quickly to the seal-
the-room locations.
• Designate a person to turn off all fans and HVAC equipment.
• After all personnel have moved into the seal-the-room location, cover all
doors and vents with plastic sheeting and seal securely with duct tape.
When taping, tape the corners first, then the edges (Figure 8-2).
Figure 8-2 Taping methods for sheltering in place (FEMA 2010l).
The cleanup process after release varies greatly, depending on the type of
contaminant. For example, the release of liquid chlorine should be handled
very differently than the release of radiological material, which can contami-
nate carpet, walls, furnishings, and all other parts of a building. The cost of
cleaning radiological material is about $1000 (U.S. dollars) per hour (Welden
2010). Additionally, radiological material must be disposed of in a special
facility.
Biological Releases and Planning How to Respond

A biological attack is the release of germs or biological substance with intent
to harm living creatures. Harm from biological substances can occur through
inhalation, via the skin, or through ingestion. Examples of biological releases
include anthrax and the smallpox virus.
Evidence of a biological attack is not immediately obvious. It may be
impossible to determine that an attack has occurred until an unusual pattern of
illness is reported by local healthcare workers. This is how the anthrax mail-
ings attack was detected.
If there is suspicion of a biological attack, it will take time for emergency
response teams to understand exactly what the resulting illness is, how it must
be treated, and what the dangers are. If a biological attack is detected, informa-
tion will be broadcast via radio and television.
During a biological attack, the following questions require answers from
media sources (FEMA 2010a):
• What population groups are in danger?

• What are the signs and symptoms of the disease?
• Are medications or vaccines available? If so,
° who should get one?
° when and where are they being distributed?
• Where should you go to seek emergency help?
When a biological emergency is declared, do not assume that everyone

who becomes sick needs emergency care. The symptoms of many ordinary ill-
nesses are often similar to the symptoms of exposure to a biological agent.
Examples of common symptoms include the following:
• Temperature of greater than 100°F (38°C)

• Nausea and vomiting
• Stomach ache
• Diarrhea
• Pale or flushed face
• Headache
• Cough
• Ear ache
• Thick discharge from nose
• Sore throat
• Rash or skin infection
• Red or pink eyes
• Loss of appetite
• Loss of energy or decrease in activity
To determine whether someone needs to seek emergency medical attention,

carefully consider how or when they would have been exposed to the biologi-
cal agent.
If you are aware of a biological agent or are concerned that one may
have been released, move quickly out of danger. Cover your mouth and nose
to prevent inhalation using layers of fabric, such as a cotton t-shirt or towel.
Use several layers of paper, tissue or paper towel if fabric is not available.
After moving out of danger, wash with soap and water. Then contact author-
ities. If you become sick, seek emergency medical attention. Stay tuned to
television and radio to learn the symptoms of the disease and if treatment is
available.
If you have been exposed to a biological agent, carefully follow the instruc-
tions of doctors and public health officials. If the disease is contagious, under-
stand that you may need to be quarantined during and after your medical
evaluation and treatment. If the disease is not contagious, you still must be
medically evaluated and treated but will not need to be quarantined (FEMA
2010a).
Chemical Threats and Planning How to Respond

A chemical attack is the intentional release of a toxic substance that can poison
people or the surrounding environment. Signs of a chemical attack include the
following:
• Many people have watery eyes, are choking, are having trouble breathing,
are twitching, or are loosing coordination.
• Many sick or dead birds, fish, or other small animals appear in the area.
If signs of a chemical attack are present, find clean air quickly and move
out of the impacted area. If you and others impacted by the attack are inside,
determine whether escaping the building will provide a source of clean air and,
if so, whether it can be done without passing through a contaminated area. If
you cannot exit the building without traveling through the contaminated area,
shelter in place (see the section “Developing a Shelter-In-Place Plan”).
If you and others impacted by the attack are outside, quickly determine
whether entering a building is the fastest way to get clean air. If you can enter a
building, determine if it is possible to shelter in place.
If exposed to a chemical attack, do the following:
• Immediately strip and wash with water, as the chemical must be removed
as quickly as possible. If soap is available, use soap but do not scrub the
chemical into your skin. Use a hose or drinking fountain if they are the only
available source of water.
• Seek medical attention immediately.
Epidemic Flu and Planning How to Respond

Flu is an illness caused by a number of different influenza viruses. The impacts
of the flu can range from mild to deadly. Annual outbreaks of seasonal flu usu-
ally occur during the late fall through early spring. Most people have natural
immunity, and a seasonal flu vaccine is available (DHHS 2010).
A flu epidemic occurs when a new virus appears against which there is no
pre-existing immunity and the disease infects a substantially higher number of
people than usual in a given period of time. If a flu epidemic spreads to other
countries, it is called a pandemic. Epidemic/pandemic flu also differs from the
seasonal flu in that seasonal flu shows up at the same time each year, although
the strain varies slightly (Grantham 2010).
On average, pandemics occur every 25 to 40 years (IFMA 2006). Three
pandemic flu events occurred in the twentieth century. The impacts of an epi-
demic/pandemic are more severe than those of seasonal flu. Some challenges
with epidemic/pandemic flu include the following (DHHS 2010):
• There is little to no pre-existing immunity to the flu strain.

• Healthy people may have an increased risk for serious complications.
• Healthcare systems may be overwhelmed trying to care for many individu-
als in need.
• Vaccine is not commonly available at early stages of the pandemic.
• Symptoms are more severe than for seasonal flu.
• Possible closures of schools and businesses, cancellations of large public
gatherings, and other widespread restrictions occur.
To minimize the impacts of the flu at a facility, provide the following to

employees:
• Tissues
• Antibacterial soap
• Information about where flu shots can be provided
• Alcohol-based hand-rub dispensers
Encourage employees who have the flu to stay home. One effective way to
reduce the spread of the flu is to keep ill people away from healthy people. If
the functions employees are performing are critical to the business, try to
develop telecommuting policies to allow sick employees to work from home

while ill (FEMA 2010k).
Cyber Attacks and How to Prevent Them

Every networked computer is vulnerable to cyber attack. The type and level of
information protection needed vary greatly by business sector and size. The
consequences of an attack vary too, from small inconvenience to large catastro-
phe. A cyber attack completed by one person can cause significant damage to a
business and/or the nation’s critical infrastructure.
Cyber security can be very complicated. When more than basic actions are
needed, a computer security or IT professional should be consulted (FEMA
2010j). Some basic actions to take to prevent cyber attacks include the follow-
ing (FEMA 2010j):
• Use antivirus software. Be sure that the software is kept up-to-date and that
the auto-update feature is enabled.
• Don’t open e-mail from unknown sources. When receiving suspicious e-
mails, do not open any attachments. Always delete the message from your
inbox and from the deleted items or junk folder.
• Select difficult passwords. Some general rules for creating difficult pass-
words include the following:
° Use eight or more characters, include both lower and uppercase letters
and numbers.
° Change passwords frequently.
° Do not share passwords.
• Protect computers from Internet intruders by using firewalls. Firewalls
keep unwanted or dangerous Internet traffic from reaching your computer,
while allowing acceptable data to reach your computer. The two types of
firewalls are
° soft firewalls, which run on personal computers, and
° hard firewalls, which protect computer networks or groups of computers.
• Back up data on computers. Data should be backed up on-site at a mini-
mum. Some facilities should consider backing up data off-site.
• Download security protection updates (patches) regularly. Most major soft-
ware companies, such as those who sell operating systems, provide patches
that can be downloaded for free. Patches fix holes that make software sus-
ceptible to cyber attacks.
For large facilities, or even small- to medium-sized facilities where com-

puters are used frequently, establish a policy using the basic actions recom-
mended above. If the facility has an IT department, it is likely best suited to
develop a cyber attack prevention policy and to ensure the policy is followed
and kept up-to-date. Whoever creates and enforces the cyber attack prevention
policy should do the following:
• Train employees how to update virus protection software, download secu-

rity patches, and create strong passwords.
• Be sure important information about cyber security practices are included
in the employee handbook. Laptops and other mobile devices and required
policies for these devices should also be addressed.
• Make sure employees know who to contact if a problem occurs.
Earthquakes and What to Do

An earthquake is the sudden and rapid shaking of the earth as a result of break-
ing and shifting subterranean rock. Forty-five states within the United States
and territories have a moderate-to-high risk of an earthquake.
Earthquakes are impossible to predict, so always have a plan in place. The
following steps should be followed toward developing an earthquake emer-
gency plan:
• Develop a list of all facilities within the building, including their functions
(office space, show room, parking, etc).
° Determine what business functions, spaces, equipment, personnel, or
other facility-specific needs would be disturbed in the event of an earth-
quake.
° Determine an earthquake recovery objective for each facility. A recov-
ery objective is the amount of time (hours, days, weeks, or months)
needed to restore the building to a functional condition. Recovery
objectives can help managers of multibuilding organizations to priori-
tize which buildings should be restored first (FEMA 2010n).
° Ensure that the appropriate members of the management team know
what agreements govern post-earthquake use of each facility. Some
conditions exist under which the facility may not be used. To determine
facility-specific conditions, review leases, loan documents, insurance
policies, franchise agreements, building code regulations for damaged
structures, and vendor service agreements (FEMA 2010n).
• Assemble or purchase emergency supply kits. General kits for employees
and building occupants should include nonperishable food items, water, a
battery-powered radio, flashlight, and extra batteries. Individual building
occupants should also be encouraged to assemble emergency supply kits
that include important documents, prescription medications, bedding, and
clothing.
• Plan for building occupants to know what to do and where to go if an earth-
quake occurs. The plan should include locations within, close to, and out-
side of the general area of the building. Be sure to identify safe areas in
each location, such as under sturdy furniture, against inside walls, away
from glass, and away from heavy bookcases or other heavy furniture.
• Encourage building occupants to participate in a local community emer-
gency response team class.
• Prepare the facility:

° Fasten shelves securely to walls.
° Place large or heavy objects on lower shelves.
° Do not hang heavy items, such as large artwork or mirrors, on the wall
close to where people sit.
° Brace overhead light fixtures.
° Make sure electrical wiring and gas connections are in good repair.
° Make sure deep cracks in ceilings and foundations are repaired in a
timely manner. If necessary, seek advice from a structural expert to
determine whether cracks are structural defects.
Tornados and What to Do

Tornados are destructive, whirling, funnel-shaped moving clouds. They can
appear suddenly and may be invisible until they pick up dust and debris. Torna-
dos are most common in the Midwest, Southeast, and Southwestern parts of the
United States, but they can occur in any part of the world at any time of year.
Planning and practicing what to do during a tornado is important, so that
building occupants know how to react safely to survive. Table 8-3 lists tornado
classifications and what actions to take. To prepare for a tornado,
• make emergency supply kits that include nonperishable food, water, a

flashlight, and extra batteries, and
• develop a plan for where building occupants should take shelter.
Recommended safe locations are basements and underground shelters. If it

is not possible to seek shelter below ground, select interior rooms or hallways
on the lowest floor of the facility. Within high-rise buildings, select small inte-
rior rooms or hallways on the lowest floor of the facility. Be sure building occu-
pants know of the selected locations and are instructed to do the following:
• Stay away from windows, doors, and outside walls.

• If outside and it is not possible to seek shelter, lie flat in a ditch or other
low-lying area. Do not shelter under a bridge overpass.
• Stay in the shelter location until the tornado has passed and it is safe to exit.
Table 8-3 Tornado Classifications and What to Do (FEMA 2010o)
Classification Description Action to Take
Tornado watch A tornado is possible Listen to the radio or television for information
Listen to the radio or television for information

Tornado warning A tornado is actually occurring AND
Be prepared to move to a safe location
What to Do After an Emergency

Responding and acting during an emergency is only one step of the recovery
process. After the emergency, other things must be addressed by the facility
management team and building owner (Baird 2010). This section provides gen-
eral recommendations and insights for what to do after an emergency. If your
facility experiences an emergency, you will have to draw on resources outside
of this course to successfully manage the process.
After the emergency, the remediation process begins. During remediation,
keep the following goals in mind:
• Eliminate or control of hazard(s).

• Prevent further damage.
• Make undamaged areas of the building available for use.
Remediation is the process of sealing the damaged portion of the facility to

prevent any further damage and eliminating and/or controlling hazards. The
remediation process should be completed as quickly as possible. If necessary,
remediation work should be completed during evening, weekend, and holiday
hours. Facility custodial staff can be a valuable part of the remediation team. If
custodial staff members work overtime, be sure to compensate them appropri-
ately. Any overtime charges incurred should be reimbursed by the insurance
carrier (Baird 2010).
During remediation, it is very important to control and eliminate hazards.
Electrical hazards should be managed by trained electricians. Electricians
should make sure wires and conduit are not exposed, isolate any damaged cir-
cuits, and restore power when possible. General contractors and construction
personnel can aid in the remediation process by removing unsafe roofs, cano-
pies, ceilings, or other building components that could collapse during the
reconstruction process. Broken glass, sharp steel, and other hazards should also
be removed from the site (Baird 2010).
Potential for water damage should be minimized. Roofs should be flood
tested to determine if they were damaged. Any holes in the roof should be
repaired. When repairing roofs, make sure the repair will last at least four to six
months, as it will take time for the facility to become completely operational
again. If repairs are too temporary, they may fail and lead to more damage.
Reconstruction is a more time consuming and expensive process than
remediation. The minimum goal of reconstruction should be to restore the
building to the condition it was in before the emergency occurred. During the
planning process, clearly determine the scope of work, including what can be
refurbished and what must be replaced. After scope of work is established,
reconstruction is similar to renovation, involving architects, engineers, and a
construction team.
What to Do after a Fire

Fires are the most common type of business disaster. After a fire, two types of
investigation must occur before people can return to the building. First, law
enforcement officials must investigate the building to determine the cause and
origin of the fire. Second, insurance companies representing the owner and/or
companies that occupied the building and any companies implicated for caus-
ing the fire need to investigate the building. Investigations completed by insur-
ance companies are more time consuming than those completed by law
enforcement. After all investigations are complete, a disaster recovery service
should be hired to help manage the recovery process (Baird 2010).
The Next Step

This chapter discussed many common risks that might impact a building and
its occupants and what to do during and after an emergency event. Chapter 9
introduces activities for greening facilities, and concepts for high-performance
building operations and maintenance.
Summary
All facilities are at risk of disaster, regardless of their location. The develop-
ment of an emergency response plan requires the following:
• Identification of potential risks

• Determination of the impact each risk would have were it to occur
• Determination of the proper response for each type of potential risk
• Determination of how to recover from the disaster
If the emergency response plan is activated, first determine if the facility

should be evacuated or if building occupants should shelter in place. Sheltering
in place includes moving to a designated area of the building and following the
emergency procedures for the specific type of emergency. For a tornado, shel-
tering in place includes moving to the lowest level of the building. For an air-
borne release, sheltering in place includes covering doors, windows, fans, and
vents with plastic.
Types of natural disasters discussed within the chapter include the following:
• Earthquakes
• Fires
• Floods
• Influenza epidemics
• Tornados
Types of man-made disasters discussed within this chapter include the

following:
• Biological releases
• Chemical threats
• Cyber attacks
Responding and acting during an emergency is only one step of the recovery
process. After an emergency, other tasks must be addressed by the facility man-
agement team. These tasks are generally classified as remediation and recon-
struction. Remediation is the process of sealing the damaged portion of the
facility to prevent any further damage and eliminating and/or controlling haz-
ards. Reconstruction is the process of returning the facility to a usable condition.

Baird, S. 2010. When disaster strikes. Emergency preparedness FMJ article,
www.ifma.org/tools/ep/fmj/disasterstrikes_baird.cfm. International Facility
Management Association, Houston, TX.
DHHS. 2010. Know what to do about the flu. http://www.flu.gov/video/web-
casts/index.html. U.S. Department of Health and Human Services, Wash-
ington, D.C.
FEMA. 2010a. Biological threat. www.ready.gov/america/beinformed/
biological_symptoms.html. Ready Campaign, Federal Emergency Manage-
ment Agency, Washington, D.C.
FEMA. 2010c. Chemical threat. www.ready.gov/america/beinformed/chemi-
cal.html. Ready Campaign, Federal Emergency Management Agency,
Washington, D.C.
FEMA. 2010c. Continuity of operations planning. www.ready.gov/business/
plan/planning.html. Ready Campaign, Federal Emergency Management
Agency, Washington, D.C.
FEMA. 2010d. Earthquakes. www.ready.gov/america/beinformed/earth-
quakes.html. Ready Campaign, Federal Emergency Management Agency,
Washington, D.C.
FEMA. 2010e. FEMA issued flood maps. http://msc.fema.gov/webapp/wcs/
stores/servlet/CategoryDisplay?catalogId=10001&storeId=10001&catego-
ryId=12001&langId=-1&userType=G&type=1. Federal Emergency Man-
agement Agency, Washington, D.C.
FEMA. 2010f. Fires. www.ready.gov/america/beinformed/fires.html. Ready
Campaign, Federal Emergency Management Agency, Washington, D.C.
FEMA. 2010g. Floods. www.ready.gov/america/beinformed/floods.html.
Ready Campaign, Federal Emergency Management Agency, Washington,
D.C.
FEMA. 2010h. Floodsmart. www.floodsmart.gov. National Flood Insurance
Program, Federal Emergency Management Agency, Washington, D.C.
FEMA. 2010i. Get a kit. www.ready.gov/america/getakit. Ready Campaign,
Federal Emergency Management Agency, Washington, D.C.
FEMA. 2010j. Improve cyber security. www.ready.gov/business/protect/cyber-

security.html. Ready Campaign, Federal Emergency Management Agency,
Washington, D.C.
FEMA. 2010k. Influenza pandemic. www.ready.gov/america/beinformed/
influenza.html. Ready Campaign, Federal Emergency Management
FEMA. 2010l. Make a shelter plan. www.ready.gov/business/plan/
shelterplan2.html. Ready Campaign, Federal Emergency Management
FEMA. 2010m. Make an evacuation plan. www.ready.gov/business/plan/evac-
plan.html. Ready Campaign, Federal Emergency Management Agency,
Washington, D.C.
FEMA. 2010n. Quakesmart. www.quakesmart.org. Federal Emergency Man-
agement Agency, Washington, D.C.
FEMA. 2010o. Tornados. www.ready.gov/america/beinformed/tornadoes.html.
Ready Campaign, Federal Emergency Management Agency, Washington,
D.C.
Grantham, B. 2010. Pandemic Flu and You – Preparing for the Next Wave or
Virus. IFMA Webinar, January 12.
IFMA. 2006. IFMA pandemic preparedness manual. www.ifmafoundation.org/
documents/public/Pandemic.pdf. International Facility Management Foun-
dation, Houston, TX.
Shear, M. 1983. Handbook of Building Maintenance Management. Reston,
VA: Reston Publishing Company.
Welden, M. 2010. Protection for an airborne accidental release. Facility Man-
agement Journal January/February:88–90.

8-1 Some buildings are not susceptible to risks and do not need to have emergency
plans.
a) True
b) False
8-2 ____________ is/are the most helpful way to communicate the emergency
plan to building occupants.
a) Signs posted around the building
b) It is not necessary to inform building occupants about emergency
plans
c) Yelling as loudly as possible
d) Providing lengthy policies in a three-ring binder
8-3 ____________ should be included in an emergency supply kit.
a) Water, dust masks, and laptops
b) Water, nonperishable food, flashlights, and a can opener
c) Dusk masks, fresh fruit, and plastic sheeting
d) All of the above
8-4 During an emergency the first thing to determine is ____________.
a) how much it will cost to hire a remediation team
b) whether it is necessary to evacuate or shelter in place
c) where the emergency kits are stored
d) whether the elevators are working properly
8-5 To prepare for a fire emergency, make sure that ____________.
a) fire extinguishers are inspected and tested at required intervals
b) elevators are up to code
c) building outdoor air intakes are not at vulnerable locations
d) flashlights within the emergency kits have extra batteries
8-6 If a biological attack occurs in your facility, assume that anyone who gets sick
needs immediate emergency care.
a) True
b) False
8-7 A pandemic flu is a ____________.

a) sickness that causes people to cough
b) viral infection that the immune system has not seen before
c) flu transferred from animals, especially pigs, to people
d) viral infection where everyone exposed has a high risk of death
8-8 Tornados can occur anywhere in the world.
a) True
b) False
8-9 It is not necessary to consider how persons with disabilities may need addi-
tional assistance during an emergency when developing an emergency plan.
a) True
b) False
Greening Your Facility
Study Objectives
 understand the difference between green buildings and sustainable buildings;

 outline the steps necessary to develop a plan to green a facility;
 list several areas related to green buildings and greening strategies; and
 describe several different green certification and rating systems.
Instructions
Defining Green Buildings

Most engineers, facility managers, building operators, and other professionals
in the building industry have heard of green buildings and sustainable build-
ings. As with any focus area, many different definitions exist for what appear
to be similar or related terms, such as green and sustainable.
ASHRAE defines a green building as one that achieves high performance
over its entire life cycle in the following areas (Grumman 2003):
• Minimal consumption of nonrenewable natural resources, land, water, and

other materials
• Minimal atmospheric emissions that have negative environmental impacts,
such as greenhouse gases, particulates, or acid rain
° Minimal discharge of harmful liquid effluents and solid wastes; solid
wastes include food waste, non-recyclable materials and building
demolition waste
• Minimal negative impacts on site ecosystems
• Maximum quality indoor environments for building occupants, including air
quality (temperature and relative humidity), lighting levels, and acoustics
Sustainability is commonly defined as “meeting the needs of the present

generation without compromising the ability of future generations to meet
210 Chapter 9 Greening Your Facility
Figure 9-1 The triple bottom line (Hodges 2009).
their needs,” as stated in Our Common Future, also commonly referred to as

the Brundtland Report (Brundtland 1987). More practically, sustainability is
often aligned with the triple bottom line, measured in terms of its environ-
mental, social, and economic impacts (Figure 9-1).
Economic impacts include capital and life-cycle costs of equipment or a
particular process. Social impacts range from impacts on employees to impacts
on regional or global citizens. The scope of social impacts varies widely from
impacts on employee morale to perceptions of social justice.
In discussions of green and sustainable buildings, the terms high-performance
buildings, net zero buildings, and intelligent buildings may also be used. As there
are many synergies between these terms and green buildings, each is briefly
defined below.
• High-performance building. A high-performance building is “a building

that integrates and optimizes on a life cycle basis all major performance
attributes, including energy [and water] conservation, environment, safety,
security, durability, accessibility, cost-benefit, productivity, sustainability,
functionality and operational considerations” (Energy Independence and
Security Act 2007).
High-performance buildings often are designed to include energy-
efficient systems and advanced control strategies. Operating a high-per-
formance building requires operators with in-depth knowledge of
HVAC, lighting, and control systems. Proactive energy and maintenance
management practices are important to maintain optimized building per-

formance.
• Net zero energy building (NZEB). This is a building that produces as much
energy as it consumes over the course of one year. Typically an NZEB will
consume less energy than a regular building and will also use renewable
energy sources, such as solar and/or wind (DOE 2009). See “Green Build-
ing Case Studies” later in this chapter for an example of an NZEB.
• Intelligent building. An intelligent building uses technology to provide a
safe, healthy, and comfortable indoor environment for building occupants.
Interoperable technology is used to integrate information for decision-mak-
ing, including operations and maintenance and building optimization deci-
sions (CABA 2008).
Similar to high-performance buildings, intelligent buildings include
energy-efficient systems and advanced control strategies, as well as proac-
tive energy and maintenance management practices. Intelligent buildings
emphasize controls and system integration, especially between HVAC and
lighting.
Regardless of how a green building is defined by your organization, it has
been determined that a building with good operations and maintenance prac-
tices that is poorly designed will often outperform a well-designed building
with poor operations and maintenance practices (ASHRAE 2009). As cited by
ASHRAE, both the United States Department of Energy (U.S. DOE) and the
Building Owners and Managers Association (BOMA) International Building
Energy Efficiency Program (BEEP®) report that the manner in which a build-
ing is operated can decrease energy bills by 5% to 20% without a significant
capital investment.
When the goal is to operate and maintain a green building, facility manag-
ers and building operators must be provided with the necessary skills, methods,
and tools to accomplish that goal. This chapter provides an overview of what’s
needed to operate and maintain green facilities.
Impact of Reactive Maintenance on Energy Efficiency

Green buildings place great emphasis on energy-efficient design and operations.
An energy-efficient building starts with an energy-efficient design that includes
the selection of energy-efficient systems and equipment. After the building is
operational, it must be properly maintained to operate efficiently and to help
meet energy efficiency goals. Figure 9-2 shows the interdependence of energy
and maintenance. Achieving energy efficiency requires that effective mainte-
nance practices be in place. Similarly, the availability of energy efficiency per-
formance data supports proactive maintenance management decision-making
processes (Lewis 2009).
ASHRAE presidents Bill Harrison (2008–09) and Gordon Holness (2009–
10) acknowledged the importance of this interdependency in their State of the
Society addresses. Harrison emphasized that energy consumption in buildings
Figure 9-2 Interdependent relationship between energy efficiency and maintenance

(Lewis 2009).
could be reduced by 10% to 40% by improving building operational strategies,

and Holiness stated how existing buildings offer many opportunities to apply
sustainable and energy-efficient design and operations strategies.
Developing a Plan to Green an Existing Facility

To green an existing facility, a plan must be developed with clearly defined
goals. To determine what goals should be set, determine which specific green
strategies to implement. The most common categories of green strategies
include site, water efficiency, energy efficiency, materials and indoor envi-
ronmental quality. To help define goals, a sustainability audit can be per-
formed.
A sustainability audit determines and documents the existence, plans, and
activities for different sustainability practices currently in place or in discus-
sion at the facility. The audit should also document current policies and indi-
viduals involved. To perform the audit, interviews with key stakeholders and
facility management records should be collected. Records collected should
include but are not limited to the following:
• Utility bills
° Energy consumption and cost data
° Water consumption and cost data
° Steam consumption and cost data (if applicable)
° Gas consumption and cost data (if applicable)
° Fuel oil (if applicable)
• What is recycled and fees or revenue generated

• Waste disposal fees
• Energy and/or water submeter data (if available)
To help determine the type of data to collect and the level of detail needed
to complete the audit, sustainability rating and certification systems can be
used to help define categories and create a data collection checklist. Grouping
similar items within a checklist will help to streamline the data collection pro-
cess and make it easier to assign tasks to different individuals.
As the audit is performed, data collected should be organized and clearly
documented. If the audit is being conducted for multiple buildings, also list the
age, general condition, and potential/planned major renovations or changes to
each building. Information about the buildings is important to prevent recom-
mendations from being applied to buildings that are scheduled for deconstruc-
tion or major renovation (Hodges 2009). After completing the audit, goals
should be determined.
To help ensure the goals are quantifiable and realistic, ask other facility
managers for success stories and lessons learned. Determining which sustain-
ability goals to set commonly begins by identifying “low-hanging fruit”—
those items that are the least resource intensive and that will result in the larg-
est benefit. When implementing what may appear to be easy goals with a quick
payback, be sure that their implementation will not be part of a larger project.
For example, re-lamping an office building may not be the best goal to start
with if a future short-term project is to perform a building-level lighting audit
to improve energy efficiency. The lighting audit could reveal that the ballasts of
the re-lamped fixtures should be replaced, not just the lamps.
In addition to identifying the low-hanging fruit, consider classifying goals
by reduced environmental impact and/or by cost. Classifying goals beyond
identification of low-hanging fruit can help in assigning priorities and deter-
mining which goals best align with organizational strategic and sustainability
objectives. A three-level rating system of “green,” “greener,” and “greenest”
can be used to identify goals by environmental impact; green goals are those
with the lowest environmental benefits and greenest goals are those with the
greatest environmental benefits.
If many goals are defined, or have been classified using multiple criteria, a
simple numerical weighting system can be used to help rank and quantita-
tively prioritize them. The use of a simple weighting system may also help
align what may appear as conflicting or indirectly related priorities. Alter-
nately, symbols can be used to graphically compare multiple criteria. For
example, plus (+), minus (–), and zero (0) can be used to identify whether a
goal has a positive, negative, or neutral environmental, economic, or social
impact on the facility, building occupants, and/or the surrounding community
(Figure 9-3).
Figure 9-3 Symbol-based goal classification method (adapted from Hodges [2009]).
After the goals are defined, they should be prioritized. Then a process to
achieve the first goal should be determined. Some questions to ask while devel-
oping the process and implementing the goals include the following:
• Should a top-down or bottom-up approach be used?

• Is buy-in from employees and/or building occupants needed? If so, how
will it be sought?
• Is a task force needed?
• Will employees or building occupants need to be educated or trained?
° Is a behavior change program needed?
• Is it necessary to calculate the return on investment (ROI) or perform other
financial calculations to seek buy-in from the building owner and/or CEO?
• How will the environmental benefits and cost/savings be quantified?
• Are any rebates or tax incentives available? If so, when do they expire?
A checklist of goals can be created and revisited periodically to celebrate

successes, remind the team of prior commitments, and to serve as a road map.
Depending on the needs of the team, the checklist can be a brief summary of
tasks or a detailed list that includes goals, their current status, their current pri-
ority, their cost to implement, and recommendations for how to move forward.
As the process for achieving a specific goal is defined, a goal-specific
checklist should be created. This list can include each task necessary to meet
the goal, who will complete each task, and due dates. The checklist should be
provided to all members of the implementation team and updated regularly.
As tasks are completed, data should be collected to demonstrate the environ-
mental and cost impacts. As the data are collected, metrics to quickly summarize
the results should be determined. The metrics should be reported and displayed
to interested parties both numerically and graphically.
Possible metrics include energy saved (units of energy and/or cost savings),
volume or weight diverted from the landfill, greenhouse gas emissions
reduced, and the extent to which the ecological footprint was decreased. An
ecological footprint is a very broad calculation of the environmental impact of
a specific activity or building that compares the demand of the activity or
building on the environment and the ecological capacity of the Earth expressed
as a unit of land area.
As a goal is met, identify the next goal in the list and work to meet that
goal. Greening a facility is a continual process. As additional goals are met,
continue to collect data to measure the results. The keys to green building oper-
ation are continual monitoring of results and continual reduction of negative
environmental impacts resulting from building operation.
Areas of Green and Strategies to Green a Facility

The United States Green Building Council (USGBC) Leadership in Energy
and Environmental Design (LEED®) and ASHRAE/USGBC/IES Standard
189.1 (ASHRAE 2010c) classify green strategies into five categories:
• Site sustainability
• Water use efficiency
• Energy efficiency
• Indoor environmental quality
• Materials and resources
Each of these categories is defined below using definitions from ASHRAE/

USGBC/IES Standard 189.1.
Site Sustainability
Site sustainability includes the site where a building is located, the mitigation
of heat island effects, and light pollution reduction. For existing buildings,
decisions for where to locate the building have already been made. However,
heat islands and light pollution levels can often be reduced.
A heat island is an area where the temperature is significantly warmer than
the surrounding area. Heat islands are typically found in urban environments
and result from large amounts of reflective surface areas, such as concrete,
asphalt, and buildings. As existing buildings age, and site features must be
replaced, determine which of the following strategies can be used to reduce
heat island effects (ASHRAE 2010c):
• Limiting the amount of hardscape surfaces (roadways, sidewalks, and park-
ing lots) on the site
• Selecting paving materials with a minimum solar reflective index of 29
• Using porous pavers
• Replacing roofs with solar reflective indexes that meet ANSI/ASHRAE/
USGBC/IES Standard 189.1
When exterior site lighting needs to be replaced (Conley 2010), do one of

the following:
• Carefully select luminaires that will minimize light trespass from the site.
° Determine if sensors, timers, and/or motion sensors can be used to
reduce the number of hours that exterior lights are used. If sensors can-
not be used, consider the use of dusk-to-dawn fixtures.
• Understand that exterior night lighting alone will not protect property and
is a poor security device. If exterior lighting is being used as a property
protection method, consider other means of night security, such as alarms
or security guards.
Water Use Efficiency

Water use at a facility includes both potable (drinking) and nonpotable water.
Water is used at a facility for domestic uses (such as drinking, hand washing,
food preparation, toilet flushing) and process uses (such as chillers and cooling
tower processes). Water may also be used on the building site for irrigation or
vehicle washing. To reduce water consumption at the site do the following
(ASHRAE 2010c):
• Replace non-native plants with biodiverse, native, and adapted plants. In

many cases, turfgrass is not native and requires irrigation.
• If irrigation is necessary,
° replace or install an irrigation system with smart controllers that use
evapotranspiration and weather data to set irrigation schedules, and
° use rainwater and/or condensate collection for landscape irrigation.
Within the facility, water use can be reduced by doing the following
(ASHRAE 2009):
• Replace existing toilets, faucet aerators, and showerheads with low-flow

models.
• Replace urinals with low-flow or waterless models.
• Replace appliances, clothes washers, dishwashers, ice makers, and com-
mercial kitchen appliances with water-efficient models, such as those that
carry the United States Environmental Protection Agency (EPA) ENERGY
STAR or WaterSense labels.
• Eliminate the use of once-through cooling within HVAC systems and
equipment.
• Install meters and overflow alarms on cooling towers and evaporative cool-
ers for makeup water and blowdown.
• Install water meters and submeters to track water consumption and detect
leaks.
Energy Efficiency
Energy efficiency includes using energy in a nonwasteful manner as well as
using on-site renewable energy sources and energy metering. When making a
facility more energy efficient, energy reduction strategies should be imple-
mented before renewable energy strategies. Implementing energy reduction
strategies first will reduce the capacity of renewable energy needed.
Figure 9-4 Demonstration unit: Solar panel and inverter.
Some strategies to improve a facility’s energy efficiency include the fol-

lowing:
• Install variable-frequency drives on fan and chiller motors.

• Replace windows with low-e glazing and low U-factors at end of life or
when economically justifiable.
• Recommission or retrocommission systems and equipment to restore per-
formance to as-designed conditions or other optimal operating conditions.
• Review sequences of operation for all equipment, and adjust operating
parameters as needed.
• Seal the building envelope to reduce infiltration.
• Replace equipment with higher-efficiency systems at end of life or when
economically justifiable.
Renewable energy strategies include photovoltaic, solar thermal, wind,

and geothermal. Photovoltaic panels convert energy from the sun into electric-
ity. The energy collected from the solar panel is direct current (DC). For the
electricity to be used in most commercial applications, an inverter must con-
vert the DC current to alternating current (AC) (Figure 9-4). Solar thermal
systems transfer heat from the sun to a fluid, such as domestic hot water.
Wind energy is generated through wind turbines that may be located on the
facility site or at a utility plant. If the wind turbines are located at a utility plant,
the utility billing process allows the person responsible for making utility deci-
sions to elect to purchase wind-generated power. A ground-source heat pump
(a type of geothermal system) extracts heat from the ground and delivers the
heat through a series of tubes to the building in winter. In summer, heat from
the building can be rejected from the building into the ground (Grumman
2003).
Energy metering and submetering are also important parts of energy effi-
ciency. Meters and submeters should be installed to track electricity, gas, and
district steam use. To use the data for proactive energy management decisions
and to understand peaks and troughs in the data, more meters should be
installed than just the ones provided by the utility.
Indoor Environmental Quality

Indoor environmental quality includes temperature, relative humidity, indoor
air quality (IAQ), acoustics, and daylighting. IAQ is impacted by the odors and
particulates that enter the building through outdoor air and by activities that
occur within the building. Some examples of odors and particulates include the
following:
• Tobacco smoke
• Vehicle exhaust
• Off-gassing from carpet and paints
• Food preparation
• Manufacturing processes
To provide an indoor environment that meets sustainability goals, the fol-

lowing are recommended:
• Use MERV filters or air cleaners of MERV 8 or greater to reduce particu-

late matter (ASHRAE 2010c).
• Comply with ASHRAE Standard 62.1 (ASHRAE 2010b).
• Establish/enforce a no-smoking policy inside and within a 10 ft (3 m)
radius outside of the building.
• Install carbon dioxide sensors in densely occupied spaces.
• Comply with ASHRAE Standard 55 (ASHRAE 2010a).
• If the replacement of wall or roof assemblies is necessary, comply with
outdoor/indoor transmission class (OITC) and sound transmission classes
(STCs) per ANSI/ASHRAE/USGBC/IES Standard 189.1 (ASHRAE
2010c).
• Use daylighting when possible; turn off electric lighting when daylight lev-
els are sufficient to perform tasks.
• Use low-emitting adhesives, sealants, and floor coverings when repairing
or upgrading interior finishes.
Materials and Resources

Materials and resources include a wide range of sustainable considerations,
including construction waste management, refrigerants, storage and collection
of recyclables, and reduced impact materials.
Construction Waste. The focus of sustainable construction management is
to reduce the volume of construction and demolition waste placed in a landfill
or burned in an incinerator. To reduce the volume of waste, the following strat-

egies can be used:
• Recycle steel, copper, aluminum, and any other materials that can be
recycled.
• Reuse materials and resources such as soil, sand, and stone on the site.
• Donate materials such as office equipment and furnishings to charitable
organizations.
Refrigerants. When replacing HVAC&R equipment, eliminate items that

uses chlorofluorocarbon (CFC) based refrigerants. If replacing fire suppression
systems, install systems that do not contain ozone-depleting substances, such
CFCs, hydrochlorofluocarbons (HCFCs), or halons (ASHRAE 2010c). Also
comply with current safety and environmental practices for handling refrigerants.
Collection of Recyclables. If a recycling program is not in place in your
facility, work with the management team to develop one. First, determine what
can be recycled locally. This may include paper, corrugated cardboard, glass,
plastic, and metals. Then determine how building occupants will deposit recy-
clable materials into designated bins, and work with the custodial team to
determine how recyclable content will be collected for pickup.
During the program’s development, contact the local recycling facility so that
collection times, fees (if any), and other details are properly coordinated. Addi-
tionally, some recycling facilities and local governments provide educational
materials and other resources for free or for a small fee to help companies start
recycling programs.
Reduced Environmental Impact of Materials. To reduce the environ-
mental impact of materials used within a facility, environment-friendly prod-
ucts can be purchased. There are many categories of these products, including
but not limited to those made with the following:
• Postconsumer recycled content

• Regionally extracted, harvested, recovered, or manufactured materials
• Biobased products, such as those composed of solid wood, engineered
wood, bamboo, cotton, cork, and agricultural fibers
Products that are biodegradable and/or minimize chemical use can also be
purchased:
• Biodegradable, green cleaning products

• Nonchemical water treatments used within cooling towers
• Green chemicals for HVAC uses, such as coil cleaner and/or biocides
If a detailed analysis of environmental impacts of materials procured is

necessary, or to compare alternatives, life-cycle assessment (LCA) can be
used. LCA is comparative analysis that evaluates resource consumption and
environmental burdens associated with a product, process, or activity over the

life of the product (SETAC 1990; Bakst et al. 1995).
Green Building Rating and Certification Systems

Over the last decade, numerous green building rating and certification systems
have been developed. As these systems continue to penetrate the market, many
discussions have occurred about their value and benefits. Although compliance
with these systems requires additional data tracking, paperwork, and often a
fee, some benefits of completing the documentation for a certification process
• A project history is provided for green elements of the building.

• Documentation can be used to hold team members accountable for sustain-
ability goals and to help transfer information during the handover processes
between design, construction, and operations.
As a large investment of time and financial resources is often spent design-

ing, procuring, and installing green products, the goals set during the design
must not be forgotten as the project transitions from design, to construction, to
commissioning and startup, to operations. Each team must determine if a certi-
fication will be sought and, if so, define which rating or level of certification
should be achieved. In many cases, the highest possible rating may not always
be economical. Following are some examples of different building and product
certification systems used worldwide. The list does not include all certification
systems, but it provides general information about some most commonly used
and relevant to professionals who operate and maintain buildings.
ASHRAE Building eQ
In 2010, ASHRAE released the new Building Energy Quotient (Building eQ)
rating system (Figure 9-5). The system has as-designed and in-operation com-
ponents. The in-design rating provides an assessment of the design and results
of building energy modeling. The operational component is for buildings in
operation and is based on actual utility bills.
Having a system with both as-designed and in-operation ratings provides a
metric to demonstrate the divergence between estimated and actual building
performance. The rating is based on a numeric scale where zero is best and 100
is the median. Values greater than 100 indicate that the building performs
below average. The numeric rating allows buildings to be compared to other
peer buildings.
Building eQ focuses on energy but includes a side-by-side comparison of
the as-designed versus in-operation ratings for the following:
• Peak energy demand reduction and demand management opportunities and

use of on-site renewable technologies
Figure 9-5 ASHRAE Building eQ rating system.
• IAQ indicators
• Suggested energy efficiency improvements and tips, including potential
commissioning activities, energy efficiency improvements, and tips on how
to improve building energy efficiency
The rating helps owners and building operators understand the energy effi-
ciency potential of their building and its current operating performance. It
informs the maintenance decision process and equipment upgrades and is
based on market forces rather than prescriptive mandates (Jarnagin 2009).
BOMA BESt
The Building Operators and Managers Association Building Environmental
Standards (BOMA BESt) is Canada’s national environmental certification
program for all types of existing buildings. The BOMA BESt program builds
on the BOMA Go Green program, which sets a minimum standard for best
practices. The Go Green best practices include an energy audit, energy man-
agement and reduction plan, water audit, recycling program, hazardous mate-
rials management, indoor environmental management, and tenant
communications.
The BOMA BESt program includes four certification levels:
• Level 1: Meet Go Green best practices

• Level 2: Meet Go Green best practices and achieve 70% to 79% on the Go
Green Plus assessment
• Level 3: Meet Go Green best practices and achieve 80% to 89% on Go

• Level 4: Meet Go Green best practices and achieve 90% to 100% on Go
The Go Green Plus assessment is a two-level questionnaire about six cate-

gories of best practices: energy, water, waste reduction and site, emissions and
effluents, indoor environment, and environmental management system. The
first level of the questionnaire consists of 14 questions and can be completed
quickly. The second level is composed of about 150 questions. Included are
yes/no questions and questions that require specific energy and water bill data
(BOMA 2008).
BOMA 360 Performance Program®

The BOMA 360 Performance Program was launched in June 2009. The pro-
gram recognizes outstanding building management and operations best prac-
tices of individual buildings and building portfolios. Best practices included
in the program are building operations and management, life safety/security/
risk management, training and education, energy, environmental/sustainabil-
ity, and tenant relations/community involvement. Qualified buildings receive
a plaque to display in the building and are recognized in the directory of
BOMA 360 Performance Buildings on the BOMA International Web site.
BREEAM®
The Building Research Establishment Environmental Assessment Method
(BREEAM) is the oldest building assessment system. It was started in 1988
by BRE, the national building research organization in the United Kingdom.
BREEAM includes the following assessment areas: management, energy
use, health and well-being, pollution, transportation, land use, ecology,
materials, and water. Credits are awarded based on performance. A weight-
ing method is used to add credits together to generate a single score. Build-
ings are rated on a scale of pass, good, very good, or excellent. BREEAM
has been adopted in Canada, as well as in several European and Asian coun-
tries (Kibert 2008).
Forest Stewardship Council (FSC)

The Forest Stewardship Council (FSC) is a nonprofit organization that coordi-
nates the development of forest management standards, provides publication
information about FSC certification, and works with other organizations to pro-
mote FSC certification. The FSC certifies paper, furniture, and building materi-
als, including lumber, plywood, flooring, doors, windows, and kitchenware
(FSC 2009).
Green Globes®
Green Globes is a question-driven building rating protocol developed from
BREEAM. Green Globes was acquired by the Green Building Initiative (GBI)
in 2004. In 2005, the GBI was the first green building organization to be accred-
ited as a standards developer by the American National Standards Institute. The
categories of Green Globes include project management—policies and prac-
tices; site; energy; water; resources, building materials, and solid waste; emis-
sions and effluents; and indoor environment. Between one and four Green
Globes are awarded, depending on the number of points earned (Kibert 2008).
Green Globes has separate rating systems for new and existing buildings.
Green Seal
Green Seal is a nonprofit organization that has developed environmental certi-
fication standards for products and services since 1991. The standards are
based on the International Organization for Standardization standard for envi-
ronmental labeling programs (ISO 2000) and international standard for eco-
labeling (ISO 2009). Some standards relevant to facility management include
the following (Green Seal 2010):
• Cleaning products
• Chillers (motor driven and three-phase electrical)
• Compact fluorescent lamps (CFLs)
• Fleet vehicle maintenance and operations
• Motion sensors
• Paint
• Windows
Labs21
Labs21 is a joint effort between the U.S. EPA and the U.S. DOE. Labs21
efforts within the area of sustainability rating systems and tools includes: (1) an
energy benchmarking tool and (2) environmental performance criteria that
expand on LEED® but are specifically for labs (Mathew et al. 2004). The mis-
sion of Labs21 is to improve the energy and environmental performance of labs
in the United States through benchmarking and by identifying best practices.
The benchmarking tool allows users to input data and compare a building
to other similar buildings within the database. Both whole-building metrics,
such as total kBtu/ft2·year (kW/m2·year), as well as system-level metrics, such
as ventilation system W/cfm (W/L·s), can be used to compare performance.
The benchmarking tool can filter data to obtain an appropriate building peer
group based on four parameters: climate zone, lab type, lab area ratio, and
occupancy hours. Unlike ENERGY STAR Portfolio Manager, Labs21 does not
provide a one to 100 rating (Mathew 2008).
LEED-EBOM®
The United States Green Building Council (USGBC) has a certification for
existing buildings called Leadership in Energy and Environmental Design:
Existing Buildings Operations and Maintenance (LEED-EBOM); EB stan-
dards for existing buildings were previously titled “LEED-EB.” LEED-EBOM
is a voluntary performance standard for sustainable operations and mainte-
nance for buildings not undergoing a major renovation. The certification
received from complying with LEED-EBOM is based on actual building per-
formance, not design expectations. LEED-EBOM includes five categories: site
selection, water efficiency, energy and atmosphere, indoor environmental qual-
ity, materials and resources, and innovation (USGBC 2010). In February 2010,
457 LEED-EB/LEED-EBOM buildings had received a certification, and
another 2786 buildings were registered under LEED-EBOM.
EPCs and DECs

In 2008, the United Kingdom enacted an energy labeling program, Energy Per-
formance Certificates (EPCs) and Display Energy Certificates (DECs). The
program is a legal requirement of the Energy Performance of Buildings Direc-
tive of the European Union. The program goals are to improve energy effi-
ciency, reduce carbon emissions and energy consumption, and improve energy
security in Europe by reducing dependence on foreign oil.
To generate an EPC for a building, a software package is used to determine
an asset rating. A rating of zero indicates that the building produces zero car-
bon. A rating of 100 is the median, and values greater than 100 indicate poor
performance. The rating also includes a recommendations report that provides
guidance on how to improve building energy performance. The guidance is
grouped as low cost, no cost, or higher payback improvements.
Display Energy Certificates (Figure 9-6) must be displayed in buildings
over 10,000 ft2 (1000 m2) that are publicly occupied. The DECs must be
renewed annually. Both EPCs and DECs are produced by energy assessors that
hold approved qualifications (Davies 2009).
Benchmarking Tools
The use of the building control system and energy information systems as tools
for benchmarking were discussed in Chapter 5. However, if the building con-
trol system or an energy information system cannot be used to benchmark
building energy performance, other tools are available. One free, publicly
available tool is ENERGY STAR® Portfolio Manager.
ENERGY STAR Portfolio Manager is a voluntary energy performance rat-
ing system that can quantify how much energy and water a building uses. Port-
folio Manager was developed by the U.S. EPA and initially released in 1999
for office buildings. Since 1999, the system has been expanded to support
Figure 9-6 Example of a United Kingdom Display Energy Certificate.
office buildings, dormitories, warehouses, K-12 schools, supermarkets, grocery

stores, hotels, acute care, and children’s hospitals of at least 5000 ft2 (465 m2).
The Web-based ENERGY STAR Portfolio Manager software tool can
benchmark and track energy and water consumption for a single building or
portfolio of buildings. To benchmark a facility, enter the following information:
• Building address
• Year built
• Building type, such as office, retail, etc.
• Gross floor area
• Number of occupants
• Number of personal computers
• Operating hours per week
• 12 months of energy consumption data
After all the data are entered, an energy performance relative rating from
1 to 100 is generated. The rating compares a specific facility to similar build-
ings across the United States. A rating of 50 indicates that the building’s
energy performance is better than 50% of all similar buildings nationwide.
Buildings with a rating of 75 or higher qualify to apply for an ENERGY
STAR label (Roskoski et al. 2010). ENERGY STAR buildings are generally
about 40% more energy efficient than standard buildings (CABA 2008).
In addition to ENERGY STAR Portfolio Manager, other products are also

available to benchmark energy, water, greenhouse gases, and other sustainable
metrics. These include commercial products and products available through
local utilities. The key to any benchmarking process is not benchmarking in
itself, but using benchmark data to meet green goals and reduce energy and
water consumption.
Using Benchmarking Tools to Improve Energy Efficiency

The first step to improve building energy performance is to benchmark con-
sumption. Second, conduct an energy audit. There are three levels of energy
audits (Mazzucchi 1992):
• Level 1: Walk through

• Level 2: Survey and analysis
• Level 3: Detailed simulation and analysis
After the audit is complete, determine which actions to take. Actions spe-
cific to energy efficiency include determining and prioritizing the following
(Borst 2010):
• Low-cost/no-cost improvements
• Capital improvements
• Maintenance tasks
• Energy conservation measures (ECMs)
• Retrofit projects
• Education and training
Selecting Energy Efficient Equipment and

Building Products
The selection of energy- and water-efficient equipment and products can
reduce consumption of these resources. ENERGY STAR and WaterSense® are
two labeling programs for identifying energy- and water-efficient products,
respectively. ENERGY STAR was developed by the U.S. EPA and the U.S.
Department of Energy. WaterSense was developed by the U.S. EPA.
ENERGY STAR is an international standard for energy-efficient consumer
products and a voluntary climate protection program. ENERGY STAR quali-
fies commercial food service products (fryers, food holding cabinets, refrigera-
tors and freezers, steam cookers, dishwashers, ice makers, griddles, and
commercial ovens), air-conditioning units, boilers, fans, furnaces, air sources
and geothermal heat pumps, light bulbs, and residential water heaters (DOE
2010) through third-party testing (Figure 9-7). Most ENERGY STAR qualified
products use up to 50% less energy than conventional appliances.
Figure 9-7 Third-party testing for ENERGY STAR qualified products: commercial oven testing.
Replacing existing food service equipment can have a large impact on

reaching energy reduction goals. When comparing all commercial facility
types, commercial kitchens consume about 2.5 times more energy than other
commercial buildings. Within a commercial food service facility, food prepara-
tion equipment energy use is about 35%, while HVAC systems consume about
28% of the total energy consumption (IFMA 2009).
WaterSense is a partnership program that aids in identifying water-efficient
products by labeling them. To receive the label, the products must be tested and
certified by an independent certification and testing organization. In general,
WaterSense labeled products use about 20% less water than conventional prod-
ucts. WaterSense labeled products include irrigation systems, toilets, shower-
heads, faucet aerators, and urinals (WaterSense 2010).
Green Building Case Studies

Many examples exist of successful green building renovations and green prac-
tices implemented by facility management teams. This section highlights three
case studies: the ASHRAE Headquarters renovation, the Aldo Leopold Legacy
Center, and the Burton Federal Building.
ASHRAE Headquarters Renovation

In 2008, the ASHRAE headquarters in Atlanta underwent a major renovation.
The 34,500 ft2 (3205 m2) building (initially built in 1965) was one of the first
six buildings in Georgia to receive a LEED® New Construction Platinum (ver-
sion 2.2) certification. The renovation included installing a cool, white roof
Figure 9-8 ASHRAE headquarters score card.
membrane to reduce the heat island effect, redeveloping the landscape to elim-
inate the need for irrigation, reducing overall water consumption by more than
50% by using low-flow fixtures, and reusing over 75% of the existing building
structure.
The building was also designed to include a living lab, which provides
building energy data that can be accessed via the Internet. The Web site pro-
vides a score card (Figure 9-8), load profile calendar and charts, whole-building
energy consumption charts, and whole-building carbon dioxide emissions from
electricity consumption (ASHRAE 2011). Additionally, several online training
modules are available, including meter monitoring and preventive maintenance,
as well as many others.
NZEB: Aldo Leopold Legacy Center

The Aldo Leopold Legacy Center, located in Baraboo, WI, is recognized by the
U.S. Department of Energy as a net zero energy building. Construction of the
building was completed in April 2007. The 11,900 ft2 (1100 m2) interpretive
center and commercial office building achieved a LEED New Construction
Platinum (version 2/version 2.1) certification, with 61 points.
The cost of construction (excluding land) was about $3.9 million (U.S. dol-
lars). The photovoltaic (PV) system alone cost $240,000. The simple payback
of the PV was 97 years, given first cost and local electric rates for Baraboo.
However, if the same system had been installed in Milwaukee, WI, about 120
miles (193 kilometers) away, the payback would have been approximately 14
years (U.S. DOE 2008).
Features of the building that classify it as a net zero energy building include
the following (U.S. DOE 2008):
• 39.6 kW rooftop photovoltaic array that produces about 10% more energy
than what is needed over one year. To be classified as a net zero energy
building, the building must generate at least as much energy as it consumes.
• Wood harvested from the site is used to supplement the winter heating
load. This wood is considered a locally harvested, renewable resource.
• Building HVAC systems include heat pumps, radiant floor pumps, air-
handling units, and a building control system. The control sequences
include natural ventilation mode.
• Ongoing data collection and monitoring are a priority of the building oper-
ations team to optimize building performance. Numerous building and site
sensors, the on-site weather station, and the control system are used for
monitoring and decision making.
Burton Federal Building

In the summer of 2007, Lawrence Berkeley National Laboratory completed a
pilot study at the Burton Federal Building in San Francisco, CA, to compare
the energy consumption of workstation luminaires to standard overhead office
lighting in 15 cubicles. Indirect/direct pendant-hung luminaires with separate
control for ambient and task lighting were installed, as well as occupancy sen-
sors for both task and ambient lighting.
The study results found that the use of the workstation luminaires reduced
energy consumption by as much as 78% compared to typical national office
building energy use. Given an electrical cost of $0.15/kWh (U.S. dollars), a
typical rate for office buildings in San Francisco, the simple payback to install
the luminaires was about six years (Rubinstein 2009a, 2009b).
Green Professional Credentials

Green professional credentials can demonstrate knowledge of green building
design and operations. Because a full review of all green certifications is
beyond the scope of this course, only three certifications available in the mar-
ketplace are briefly discussed.
The most recognized certification is the USGBC Leadership in Energy and
Environmental Design Accredited Professional (LEED AP). The LEED AP was
established in 2001, and by 2010 more than 100,000 professionals had earned
certification. With the success of the LEED AP, the USGBC developed an addi-
tional certification, the LEED Green Associate, as well as several LEED AP
specialties: building design and construction, interior design and construction,
homes, operations and maintenance, and neighborhood development.
ASHRAE has two certifications related to green buildings, the Operations

and Performance Management Professional (OPMP) and the Building Energy
Modeling Professional (BEMP). Those who earn the OPMP have demon-
strated knowledge and understanding of facility management and the impact of
HVAC&R operations on building performance. By the mid-2010, about 60
professionals had earned the ASHRAE OPMP certification.
Those who have earned the BEMP certification have demonstrated the abil-
ity to evaluate, choose, use, calibrate, and interpret energy models. By mid-
2010, about 60 professionals had earned the ASHRAE BEMP certification.
The Next Step

This chapter defined what a green building is and discussed different green
practices that can be used in existing facilities. The next chapter discusses
health and safety. Having proper health and safety practices in place is an
essential foundation for achieving green building goals.
Summary
A green building is one that achieves high performance over its entire life
cycle. The term green means minimal consumption of natural resources, mini-
mum atmospheric emissions and waste discharges, and minimal impact on the
site ecosystem while providing maximum indoor environmental quality for
building occupants.
Sustainability, similar to green, seeks to minimize negative environmental
impacts while also seeking to minimize negative economic and social impacts.
The terms green, sustainable, high performance, and intelligent buildings have
many similar characteristics and are sometimes used interchangeably.
To operate a green building requires acknowledging the interdependent
relationship between energy and maintenance management. Installing energy-
efficient systems and equipment alone will not result in energy-efficient opera-
tions. For a facility to be energy efficient, effective maintenance management
practices must also be in place.
Developing a plan to green an existing facility requires setting goals. Goals
can be determined by performing a sustainability audit. A sustainability audit
typically includes reviewing documentation and interviewing stakeholders
about green site and materials practices, energy and water efficiency practices,
and practices that promote healthy indoor environmental quality. To determine
which goals to prioritize, either a numerical or symbol-based weighting system
can be used.
Actions that can be used to green the site at an existing facility include, but
are not limited to the following:
• Reducing impacts from heat island effects

• Minimizing light pollution from the site
Actions that will reduce water consumption include, but are not limited to
the following:
• Replacing non-native plants with native and/or adapted plants to reduce or

eliminate the need for irrigation
• Replace existing toilets or urinals with low-flow models
• Replace appliances and small systems and equipment with ENERGY
STAR labeled products
• Install meters and submeters to help benchmark and reduce water con-
sumption
Actions that will reduce energy consumption include, but are not limited to
the following:
• Installing variable-frequency drives on fan and chiller motors

• Replacing existing windows with low-e glazing and low-U-factor windows
• Performing recommissioning or retrocommissioning
• Reviewing, updating, and/or revising control sequences
• Installing solar technologies
Actions to improve indoor environmental quality include, but are not lim-
ited to the following:
• Developing and implementing tobacco smoke and vehicle exhaust policies

that prohibit smoking within a certain distance from the facility and mini-
mize vehicle idle time, respectively
• Installing carbon dioxide sensors in densely occupied spaces
• Complying with ASHRAE Standard 62.1 and ASHRAE Standard 55
• Using daylighting when possible
• Using low-emitting adhesives, sealants, and floor coverings when repairing
or updating interior finishes
Actions to reduce the environmental impact of materials used within a

facility or procured to perform necessary business functions include, but are
not limited to the following:
• Recycling
• Eliminating the use of CFC- and HCFC-based refrigerants
• Procuring products made with postconsumer recycled content
• Procuring locally sourced products
There are multiple green building rating and certification systems on the
market today. The ones discussed in this chapter include ASHRAE Building
EQ, BOMA BESt, BOMA 360 Performance Program, BREEAM, Forest Stew-
ardship Council, Green Globes, Green Seal, Labs21 energy benchmarking tool,
LEED-EBOM, and United Kingdom Energy Performance Certificates and Dis-

play Energy Certificates.
Benchmarking is an important step in determining if greening goals have
been met. Many benchmarking tools are available, including ENERGY STAR
Portfolio Manager, tools from local utilities, building automation systems, and
commercial software products. The key to benchmarking success is using the
benchmark data for decision making to reduce energy and water consumption
and/or waste generated.
ENERGY STAR and WaterSense are two publicly available programs that
label products as energy or water efficient. ENERGY STAR products include
commercial food service equipment, refrigerators, freezers, air-conditioning
units, boilers, fans, furnaces, and air source and geothermal heat pumps.
ENERGY STAR labeled products are up to 50% more energy efficient than
equivalent non-labeled products. WaterSense products include irrigation sys-
tems, toilets, shower heads, faucet aerators, and urinals. WaterSense products
use about 20% less water than equivalent non-labeled products.
Green professional credentials can be one way to demonstrate knowledge of
green existing buildings. The most common professional credential is the
USGBC LEED AP. Two green building related credentials available through
ASHRAE are the Operations and Performance Management Professional
(OPMP) and the Building Energy Modeling Professional (BEMP) certifications.

ASHRAE. 2009. Energy Efficiency Guide for Existing Commercial Buildings:
The Business Case for Building Owners and Managers. Atlanta: American
ASHRAE. 2010a. ANSI/ASHRAE Standard 55-2010, Thermal Environmental
Conditions for Human Occupancy. Atlanta: American Society of Heating,
Refrigerating and Air-Conditioning Engineers.
ASHRAE. 2010b. ANSI/ASHRAE Standard 62.1-2010, Ventilation for Accept-
able Indoor Air Quality. Atlanta: American Society of Heating, Refrigerat-
ASHRAE. 2010c. ANSI/ASHRAE/USGBC/IES Standard 189.1-2009, Stan-
dard for the Design of High-Performance, Green Buildings. Atlanta: Ameri-
can Society of Heating, Refrigerating and Air-Conditioning Engineers.
ASHRAE. 2011. ASHRAE Headquarters Renewal. American Society of Heat-
ing, Refrigerating and Air-Conditioning Engineers. http://images.ashrae.biz/
renovation/.
Bakst, J., J.C. Lacke, K.A. Weitz, and J.L. Warren. 1995. Guidelines for assess-
ing the quality of life cycle inventory analysis. Report prepared under EPA
contract number 68-D2-0065. Environmental Economics and Management
Center for Economics Research, Research Triangle Park, NC. http://
nepis.epa.gov/Exe/ZyPURL.cgi?Dockey=10000VPN.txt.
BOMA. 2011. BOMA BESt. www.bomabest.com. Building Owners and Man-
agers Association International, Washington, DC.
Borst, R. 2010. Greening your building for optimal performance. NFMT Con-
ference presentation, March 18, Baltimore, MD.
Brundtland, G.H. 1987. Our Common Future. World Commission on Environ-
ment and Development. Oxford: Oxford Press.
CABA. 2008. Bright green buildings: Convergence of green and intelligent
buildings. Continental Automated Buildings Association, Ontario, Canada.
http://www.caba.org/brightgreen.
Conley, B. 2010. Lighting solutions. Sustainability “How-To Guide” Series.
IFMA Foundation, Houston, TX. http://www.ifmafoundation.org/docu-
ments/public/LightingGuide.pdf.
Davies, H. 2009. Energy labeling in the UK. ASHRAE Journal 51(12):20–21.
Energy Independence and Security Act. 2007. 401 PL 110-140.
DOE. 2008. Aldo Leopold Legacy Center, Zero energy buildings. U.S. Depart-
ment of Energy, Energy Efficiency and Renewable Energy, Washington,
DC. http://zeb.buildinggreen.com/overview.cfm?ProjectID=946.
DOE. 2009. Net-zero energy building definitions. Building Technologies Pro-
gram—Net-Zero Energy Commercial Building Initiative. U.S. Department
of Energy, Energy Efficiency and Renewable Energy, Washington, DC.
www1.eere.energy.gov/buildings/commercial_initiative/m/
zero_energy_definitions.html.
DOE. 2010. Find ENERGY STAR Products. www.energystar.gov/
index.cfm?c=products.pr_find_es_products.
FSC. 2009. The history of FSC-US. Forest Stewardship Council, Minneapolis,
MN. www.fscus.org/about_us.
Green Seal. 2010. www.greenseal.org. Accessed May 5, 2010.
Grumman, D. 2003. ASHRAE Green Guide. Atlanta, GA: American Society of
Heating, Refrigerating and Air-Conditioning Engineers.
Hodges, C. 2009. Getting started. Sustainability “How-To Guide” Series.
IFMA Foundation, Houston, TX. http://www.ifmafoundation.org/docu-
ments/public/GettingStarted.pdf.
IFMA. 2009. Restaurant & Food Service FM Community of Practice Webinar,
May.
ISO. 1999. ISO 14024-1999, Environmental labels and declarations—Type I
environmental labelling—Principles and procedures. Geneva, Switzerland:
International Organization for Standardization.
ISO. 2000. ISO 14020-2000, Environmental labels and declarations—General
principles. Geneva, Switzerland: International Organization for Standard-
ization.
Jarnagin, R. 2009. ASHRAE Building EQ. ASHRAE Journal 51(12):18–19.
Kibert, C. 2008. Sustainable Construction, Green Building Design and Deliv-
ery. Hoboken, NJ: John Wiley & Sons.
Lewis, A. 2009. A framework for improving building operating decisions for
energy efficiency. Doctoral dissertation in progress, University of Reading,
Reading, UK.
Mathew, P. 2008. Technical Bulletin: Guidance on Using the Labs21 Bench-

marking Tool for LEED-EB. Berkeley, CA: Lawrence Berkeley National
Laboratory. http://labs21benchmarking.lbl.gov/docs/Apply-
ing+Labs21+Benchmarking+for+LEED-EB+12-13-10.pdf.
Mathew, P., D. Sartor, O. Van Geet, and S. Reilly. 2004. Rating energy effi-
ciency and sustainability in laboratories: Results and lessons from Labs21
program. Proceedings of the 2004 ACEEE Summer Study of Energy Effi-
ciency in Buildings, Washington DC, ACEEE. http://www.epa.gov/
lab21gov/pdf/bench_aceee_508.pdf.
Mazzucchi. 1992. A guide for analyzing and reporting building characteristics
and energy use in commercial buildings. ASHRAE Transactions
92(1):1067–80.
Roskoski, M., L. Gilmer, and G. Hughel. 2010. EPA’s ENERGY STAR Portfo-
lio Manager. Sustainability “How-To Guide” Series. IFMA Foundation,
Houston, TX. www.ifmafoundation.org/programs/sustain_wp.cfm.
Rubinstein, F. 2009a. Achieving 60-80% lighting energy savings in open plan
offices with intelligent workstation lighting. Unpublished study. Lawrence
Berkeley National Laboratory, Berkeley, CA.
Rubinstein, F. 2009b. Initial results of testing of workstation-specific lumi-
naires at Phillip Burton Federal Building. Green Intelligent Buildings Con-
ference, September 30,2009, Santa Clara, CA.
SETAC. 1990. A technical framework for life cycle assessment. Society of
Environmental Toxicology and Chemistry, Washington DC. Workshop
Report, August 8–23, 1990.
USGBC. 2010. LEED Existing Buildings: Operations & Maintenance. U.S.
Green Building Council, Atlanta, GA. http://www.usgbc.org/Display-
Page.aspx?CMSPageID=221.
WaterSense. 2010. WaterSense, An EPA Partnership Program. www.epa.gov/
watersense/.

9-1 A green building ____________.

a) minimizes the consumption of renewable resources
b) minimizes the consumption of non-renewable resources
c) minimizes indoor environmental quality
d) maximizes negative environmental impacts during the design of
the building
9-2 Maintenance and operations practices impact the energy consumption of a
facility.
a) True
b) False
9-3 Green practices as defined by ASHRAE/USGBC/IES Standard 189.1-2009
include the following categories ____________:
a) indoor water quality
b) energy efficiency
c) water efficiency
d) site sustainability
e) b, c, and d
9-4 When developing a plan to reduce energy consumption, the first step should be
to place solar panels on the roof of the facility.
a) True
b) False
9-5 Indoor environmental quality includes ____________.
a) temperature
b) relative humidity
c) indoor air quality
d) acoustics
e) All of the above
9-6 The ASHRAE Building eQ rating system includes ____________.
a) building energy consumption
b) volume of paper recycled at the facility
c) recommendation to reduce landscape irrigation water required
e) tips for how to procure local wood-based products
9-7 The United States Green Building Council Leadership in Energy and Environ-
mental Design for Existing Buildings Operations and Maintenance (LEED-
EBOM) rating system rewards points based on data from energy models.
a) True
b) False
9-8 ENERGY STAR Portfolio Manager is used to ____________.
a) label commercial kitchen appliances by energy consumption
b) benchmark energy performance of commercial buildings
c) set federal taxes for commercial buildings
d) label appliances and small systems and equipment to help consumers
identify energy-efficient products
Health and Safety
Study Objectives
 describe the relevant health and safety codes and regulations;

 list the elements of a health and safety program;
 explain the job hazard assessment and various safe work practices; and
 describe what tests and inspections are required for building systems.
Instructions
Introduction
The health and safety of building occupants are extremely important when
operating, maintaining, and managing a facility. Building operation and main-
tenance managers should be aware of all standards, regulations, and procedures
necessary for safe operation of their facility. This chapter outlines the impor-
tance of health and safety issues and provides an appreciation for maintaining
an up-to-date health and safety program, applicable regulations, and safe work
practices.
Maintaining a safe and healthy environment for the public and employees
is not only required by law but also makes good organizational and business
sense. It should be the first priority and take precedent over any other issue.
Building operators and managers should strive to understand regulations,
develop a health and safety program, and implement policies and procedures
that are applicable to specific worksite hazards.
Building operators and maintenance personnel are far more at risk of hav-
ing specific job-related accidents than are other occupations. Working around
operating machinery, electricity, and high-pressure/high-temperature equip-
ment presents a specific set of hazards and dangers. Due to the nature of this
work and environment, building operators and maintenance personnel are
exposed to numerous hazards that may include the following:
238 Chapter 10 Health and Safety
• Falling
• Electrocution
• Cuts, abrasions, burns, and injuries from handling toxic hazardous materials
To prevent and reduce injuries and accidental death, a hazard analysis and
safety plan (HASP) should be completed before conducting any maintenance
or repair task. The HASP cites the proper personal protection equipment that
should be used.
The required inspection and testing of building life safety systems, vertical
conveyance, boilers, and fire-suppression systems are required by codes and
standards. Operating staff should be trained to conduct required tests and
inspections or know how to have the testing completed through inspection
agencies that adhere to the required standards.
Understanding these issues and putting proper programs and procedures in
place through training and documentation will limit workplace hazards and
dangers related to the operation and maintenance of the facility. Any health and
safety program should include required training and refresher training in order
to remain effective.
Health and Safety Regulations

The predominant regulatory agency for health and safety in the United States is
the Occupational Safety and Health Administration (OSHA). This agency was
created by the U.S. Congress and signed into law in 1970 as the Occupational
Safety and Health Act of 1970. OSHA’s role is to assure safe and healthful
working conditions for men and women by authorizing enforcement of the
standards developed under the Act, assisting and encouraging the states in their
efforts to assure safe and healthful working conditions, and providing research,
information, education, and training in the field of occupational safety and
health.
The act covers more than 90 million employees throughout the
United States. This landmark legislation, the first national safety and
health law, establishes standards requiring employers to provide their
workers with workplaces free from recognized hazards that could
cause serious injury or death. It also requires the employees to abide
by all safety and health standards that apply to their jobs. (OSHA
2011)
Section 5 of the 1970 OSH Act (OSHA 2011) provides a general duty
clause that requires the following duties be performed:
(a) Each employer
(1) shall furnish to each of his employees employment and a
place of employment which are free from recognized hazards
that are causing or are likely to cause death or serious physi-
cal harm to his employees;
(2) shall comply with occupational safety and health standards

promulgated under this Act.
(b) Each employee shall comply with occupational safety and health
standards and all rules, regulations, and orders issued pursuant to
this Act which are applicable to his own actions and conduct.
OSHA states its responsibility is to assure the safety and health of Ameri-
can workers by doing the following:
• Setting and enforcing workplace and occupational safety and health stan-
dards
• Providing training, outreach, and education
• Establishing partnerships
• Encouraging continual improvement in workplace safety and health
OSHA and its state partners have approximately 2100 inspectors, plus
complaint discrimination investigators, engineers, physicians, educators, stan-
dards writers, and other technical and support personnel spread over more than
200 offices throughout the United States. Staff establish protective standards,
enforce standards, and reach out to employers and employees through techni-
cal assistance and consultation programs.
The Occupational Safety and Health Act of 1970 encourages individual
states to develop and operate their own job safety and health programs. OSHA
approves and monitors state plans and provides up to 50% of an approved
plan’s operating costs. In 2010, 22 states and jurisdictions were operating com-
plete state plans (covering both the private sector and state and local govern-
ment employees), and five—Connecticut, Illinois, New Jersey, New York, and
the Virgin Islands—covered public employees only. The states and territories
with safety and health plans include Alaska, Arizona, California, Connecticut,
Hawaii, Illinois, Indiana, Iowa, Kentucky, Maryland, Michigan, Minnesota,
Nevada, New Mexico, New Jersey, North Carolina, Oregon, Puerto Rico,
South Carolina, Tennessee, Utah, Vermont, Virgin Islands, Washington, and
Wyoming (Figure 10-1).
States must establish job safety and health standards that are “at least as
effective as” comparable federal standards (OSHA 2011), with the option to
promulgate standards covering hazards not addressed by federal standards. A
state must conduct inspections to enforce its standards, cover public (state and
local government) employees, and operate occupational safety and health train-
ing and education programs. In addition, most states provide free on-site con-
sultation to help employers identify and correct workplace hazards.
In addition to the laws and regulations in the United States regarding health
and safety, other countries and provinces have their own health and safety laws
and regulations. The operator and maintenance manager should become famil-
iar with these regulations in a specific location where the work is conducted.
OSHA may commence standards-setting procedures on its own initiative
or in response to petitions from other parties, including the Secretary of
Figure 10-1 States with OSHA plans.
Health and Human Services (HHS), the National Institute for Occupational
Safety and Health (NIOSH), state and local governments, any nationally rec-
ognized standards-producing organization, employer or labor representatives,
or any other interested person.
If it is determined that a specific standard is necessary, any of several advi-
sory committees may be called upon to develop specific recommendations.
There are two standing committees, and ad hoc committees may be appointed
to examine special areas of concern to OSHA. All advisory committees, stand-
ing or ad hoc, must have members representing management, labor, and state
agencies, as well as one or more designees of the Secretary of HHS. The two
standing advisory committees are as follows:
• National Advisory Committee on Occupational Safety and Health

(NACOSH), which advises, consults with, and makes recommendations to
the Secretary of HHS and to the Secretary of Labor on matters regarding
administration of OSHA.
• Advisory Committee on Construction Safety and Health (ACCSH), which
advises the Secretary of Labor on formulation of construction safety and
health standards and other regulations.
Facility operators and managers should review and stay well informed of
all applicable legislation. Because laws vary by city, county, state, and country
and are subject to change regularly, legal counsel should be consulted when
specific issues, concerns, or questions are raised that are relevant to the safety
and healthful operations practices in the facility.
Health and Safety Policies

Health and safety policies include program requirements, procedures, guide-
lines, codes, and standards that are tailored to a specific company or organiza-
tion and critical to its success and mission. Each organization has safety issues
that are specific to the type of work performed or activities that occur within
the building.
The health and safety policies developed for each organization should set
the tone about the importance of proper compliance with sound health and
safety practices. Company and organization-specific policies should include
and/or reference government regulations.
Organizational Health and Safety Programs

An effective safety and health program depends on the credibility of manage-
ment’s involvement in the program; inclusion of employees in safety and
health decisions; rigorous worksite analysis to identify hazards and potential
hazards, including those that could result from a change in worksite conditions
or practices; stringent prevention and control measures; and thorough training.
The program should address hazards, regardless of whether they are regulated
by government standards.
Effective safety and health programs do the following:
• Reduce the extent and severity of work-related injuries and illnesses

• Improve employee morale and productivity
• Reduce workers’ compensation costs
Most governmental agencies issue guidelines to encourage employers to do

more than just comply with regulations to prevent occupational injuries and ill-
nesses. An effective program looks beyond specific requirements of law to
address all hazards. It seeks to prevent injuries and illnesses, regardless of
whether is an issue. Major elements of an effective occupational safety and
health program include the following:
• Developing policies that clearly state responsibilities for the program and
the priority of safety and health in relation to other organizational values.
• Explaining how this policy is communicated to employees.
• Setting goals to measure how effectively the safety and health program
goals are met and communicated to employees.
• Describing how top management is visibly involved in the safety and
health program.
• Assigning responsibilities for all aspects of the program so that managers,
supervisors, and employees know what performance is expected of them.
• Ensuring that responsible parties have the authority and resources neces-
sary to meet expectations.
• Describing the system used for holding managers and supervisors account-
able for safety and health and how that system is documented.
• Indicating how employees are held accountable for safe and healthful
actions.
• Describing the program performance evaluation process—for example the
following:
° Who evaluates the program and at what time of the year?
° What are the deficiencies?
° What are the recommended improvements?
° How is the evaluation report distributed?
° How are people held accountable to ensure the recommendations from
the evaluation are accomplished?
In addition to these major elements, program involvement from employees,
and elements such as work-site analysis and training, are also important to a
program’s success.
Employee Involvement
Employees should be involved in the development and implementation of a
health and safety program. Their involvement will help foster a positive cultural
acceptance for health and safety and help encourage all employees to follow the
plan. To determine how to involve employees, consider the following:
• How employees will be involved in the structure and operation of the pro-
gram.
• What decisions affect the safety and health of the workplace.
• Providing specific information to employees to support employee involve-
ment in decision-making, including the topics of problem resolution, haz-
ard analyses, accident investigations, safety and health training, or
evaluation of the safety and health program.
• How employees can participate in hazard recognition training or other spe-
cific training.
Worksite Analysis
Worksite analysis includes an assessment of the health and safety hazards, a
schedule of the site safety inspections, results of previous safety violations, a
communication protocol, and training guidelines. This analysis typically
• Identification of all hazards by conducting baseline worksite surveys for

safety and health and periodically updating the comprehensive surveys.
Include an analysis for planned and new facilities, processes, materials,
equipment, and routine job hazards. Explain how new or significantly
modified equipment, materials, processes, and facilities are analyzed for

potential hazards prior to purchase and use.
• Schedule of regular site safety and health inspections so that new or previ-
ously missed hazards and failures in hazard controls are identified. Include
schedules and types of inspections, the qualifications of those conducting
the inspections, and how corrections are tracked to completion.
• Description of how results from analyses, such as for job hazards, are used
in training employees to do their jobs safely and for planning and imple-
menting the hazards correction and control program.
• Description of how employees notify management when they observe con-
ditions or practices that may pose safety and health hazards. The reporting
system must include protection from reprisal, timely and adequate
response, and correction of identified hazards.
• Description of how “imminent danger” situations are reported by employ-
ees and handled by management.
• Description of training and/or guidance given to investigators, provision of
criteria used for deciding which accidents/incidents will be investigated,
and description of how near-miss incidents are handled.
Hazard Prevention and Control

Hazard and prevention control includes the following:
• Description of procedures used for preventive maintenance of equipment.

Include information on scheduling, and describe how the maintenance
timetable is followed.
• Discussion of procedures that are in place to ensure that all current and
potential hazards are corrected in a timely manner through engineering
techniques, safe work practices, provisions of personal protective equip-
ment, and administrative controls.
• Explanation of proper lockout/tag out procedures to protect personnel from
the dangers of accidental or unexpected startup of electrical equipment.
Safety and Health Training

Safety and health training includes describing the following:
• Formal and informal safety and health training programs for employees.
Specifically address how employees are taught to recognize hazards related
to their jobs.
• How often and in what way courses are evaluated and updated.
• How frequently training is performed and what prompts additional training.
• Formal and informal safety and health training for supervisors.
• How top-level managers are trained in their safety and health responsibilities.
Management Commitment and Employee Involvement

Management commitment and employee involvement are complementary:
• Management commitment provides the motivating force and resources for

organizing and controlling health and safety activities within an organization.
• Employee involvement provides the means through which workers develop
and express their own commitment to safety and health protection.
Safe Work Practices

Organizations should establish safe work practices to address significant haz-
ards and/or to deal with circumstances that may present significant risk and lia-
bility to the organization. Safe work practices are generally written methods
that outline how to perform a task with minimum risk to people, equipment,
materials, environment, and processes. The practices should reflect the organi-
zation’s approach to controlling hazards and should closely reflect the activi-
ties conducted during the normal course of work.
Safe work practices should be developed as a result of completing a hazard
assessment (see Table 10-1). All safe work practices documentation should be
readily available to the workforce and kept in an easily accessible location cen-
tral to the work being performed. Some safe work practices will require specific
job procedures, which must clearly list in chronological order each step required
to complete the process (IHSA 2011).
Hazard Assessments
A hazard assessment is employed to identify and address existing conditions
that pose actual or potential safety hazards. When various hazards are identi-
fied, they can be eliminated or addressed through design changes, procedural
and/or administrative controls, personal protective equipment, or other appro-
priate means, or by a combination of methods to protect workers from safety
hazards.
In its simplest form, a hazard assessment answers the question “What if?”
For example, what if
• there is not a guardrail around an elevated work platform?

• seat belts are not worn in all company vehicles?
• workers do not wear eye protection while grinding?
• workers do not test the atmosphere before entering a vessel?
Benefits of performing a hazard assessment include the following:
• Reducing the number and severity of workplace injuries

• Identifying the need for worker training
• Identifying poor or missing procedures
Table 10-1 Hazard Assessment

Source Assessment of Hazard Protection
Impact—chipping, grinding machining, Flying fragments,
masonry work, woodworking, sawing, objects, large chips, Spectacles with side protection, gog-
drilling, chiseling, powered fastening, particles of sand, dirt, gles, face shields
riveting, and sanding etc.
Faceshields, goggles, spectacles with
Hot sparks side protection (For severe exposure
use faceshield.)
Heat—furnace operations, pouring,
Splash from
casting, hot dipping, and welding Faceshields worn over goggles
molten metals
High-temperature Screen face shields, reflective face
exposure shields
Goggles, eyecup and cover types (For
Chemicals—acid and chemical handling, Splash
severe exposure, use face shield.)
degreasing plating
Irritating mists Special-purpose goggles
Dust—woodworking, buffing, general
Nuisance dust Goggles, eyecup and cover types
dusty conditions
Light and/or Radiation
Welding helmets or welding shields
Welding: electric arc Optical radiation
Typical shades: 10–14.
Welding goggles or welding face
shield
Welding: gas Optical radiation
Typical shades: gas welding 4–8,
cutting 3–6, brazing 3–4
Use of a cutting torch, Spectacles or welding faceshield
Optical radiation
brazing torch soldering Typical shades, 1.5–3.
Spectacles with shaded or special-
Glare Poor vision
purpose lenses, as suitable
• Increasing worker participation and ownership of workplace health and

safety
• Reducing production losses and damage to equipment and property
• Providing a useful tool when investigating incidents.
Personal Protective Equipment

Personal protective equipment (PPE) refers to items worn by an operation and
maintenance worker to provide protection from recognized hazards (Figure 10-
2). PPE typically includes a high-visibility safety vest, safety glasses, hard hat,
and safety shoes. PPE worn depends on the specific job to be performed. For
example, PPE worn in the electric power industry generally includes face
Figure 10-2 Personal protective equipment.
shields, ear plugs, insulating (rubber) gloves with leather protectors, and
flame-resistant clothing. In other environments, additional PPE, such as fall
protection equipment, respirators, chemical-resistant or cut-resistant gloves,
and/or chaps, may be required, depending on the results of the hazard assess-
ment (OSHA 2010.)
Safety Vests. Safety vests are required in several different work situations
and are worn to allow each worker to be seen by others. The high visibility and
reflectivity of the vests promote worksite safety and accident avoidance. Safety
vests are available in orange, yellow, and lime green colors.
Both OSHA and the American National Standards Institute (ANSI) publish
standards based on minimum protection levels for reflective safety vests. There
are three basic classes of visibility safety vests, depending on the environment.
• Class 1: Intended for workers who have ample separation from vehicular
traffic that does not exceed 25 mph (40 km/h). This type of safety vest is
recommended for parking service attendants, workers in warehouses with
equipment traffic, shopping cart retrievers, sidewalk maintenance workers,
and delivery vehicle drivers.
• Class 2: For workers who need greater visibility in poor weather conditions
and whose activities occur near roadways where traffic speeds exceed 25
mph (40 km/h). These garments are suitable for railway workers, school
crossing guards, parking and toll gate personnel, airport ground crews, and
law enforcement personnel directing traffic.
• Class 3: Provide the highest level of visibility to workers in high-risk envi-
ronments that involve high task loads, a wide range of weather conditions,
and traffic exceeding 50 mph (80 km/h). Class 3 garments provide cover-
age to the arms and/or legs as well as the torso and can include pants, jack-
ets, coveralls, or rain gear. These garments are recommended for all
roadway construction personnel and vehicle operators, utility workers, sur-
vey crews, emergency responders, railway workers, and accident site inves-
tigators.
Eye and Face Protection. Eye and face protection must be ANSI compliant.
The following minimum requirements must be met by all eye and face protective
devices:
• Provide adequate protection against the particular hazards for which they
are designed
• Be of safe design and construction for the work being performed
• Be reasonably comfortable when worn under the designated conditions
• Fit snugly and not interfere with the movements of the wearer
• Be durable
• Be capable of being disinfected
• Be easily cleaned
• Be distinctly marked to indicate the manufacturer
Head Protection. Head protection mainly includes protective helmets
(hard hats) that are typically furnished by the employer and used when poten-
tial hazards such as falling or flying objects could result. Hard hats are worn at
all times by workers on construction sites unless they are inside the cab of a
vehicle, a trailer, or a substantially completed building.
Hard hats should comply with the design requirements specified in ANSI
Z89.1-1997. They are specified by type and class as follows:
• Type I: Helmets intended to reduce the force of a blow to the top of the
head only
• Type II: Helmets intended to reduce the force of a blow to the top of the
head or off center
• Class G, General: Helmets that reduce the danger of contact with low volt-
age conductors, up to 2200 V
• Class E, Electrical: Helmets that reduce the danger of contact to high volt-
age conductors, up to 20,000 volts
• Class C, Conductive. Not intended to provide protection against electrical
hazards
Noise Protection. Some areas will have significant ambient noise where
operators, maintainers, and building managers need to perform work. Exposure
to prolonged excessive noise levels can result in permanent loss of hearing acu-
ity, development of tinnitus (i.e., ringing of the ears), possible increase in blood
pressure, and stress-related problems. Noise may also cause difficulty in com-
municating or working effectively and safely.
OSHA has a provision to limit the amount of noise a worker can be exposed
to daily. The OSHA provision for an eight-hour (time-weighted average) action
level exposure is 85 decibels (dB) of sound pressure measured on the A-

weighted scale (dBA). This means that if a worker’s daily noise exposure level,
averaged over eight hours, exceeds 85 dBA, the worker must be enrolled in a
hearing conservation program and must be provided hearing protection. For sin-
gle exposures of shorter or longer duration, the exposure limit must be adjusted.
Earplugs or earmuffs should be used in noisy work environments. The two
types of insert earplugs are premolded and formable.
• Premolded earplugs are pliable devices of fixed proportions. They are

available in two standard styles, single flange and triple flange; both come
in various sizes and will fit most people’s ears. While premolded earplugs
are reusable, they may deteriorate and should be replaced periodically.
• Formable earplugs come in one standard size. Most are made of a com-
pressible material that expands to form a seal in the ear canal upon inser-
tion. After insertion, each earplug must be held in place while it expands
enough to remain firmly seated. When earplugs are properly inserted, they
provide acceptable noise attenuation values. These plugs are typically con-
sidered disposable after one day’s use.
Earmuffs are cup devices worn over both ears to reduce the noise level that
reaches the ear. Their effectiveness depends on an airtight seal between the
cushion and the head. Generally, earmuffs are more likely to be worn correctly
than earplugs. Thus, the actual noise reduction provided by earmuffs is gener-
ally closer to the rated value.
In addition to the PPE listed, appropriate clothing should be worn accord-
ing to the hazard assessment. Proper garments for operation and maintenance
personnel typically include long pants, long-sleeve shirts, work boots, steel-toe
work boots, and proper outer wear to maintain warmth and comfort when
working in cold and wet environments.
Ladder Safety
Ladders are tools, and basic safety rules that apply to most tools also apply to
the use of a ladder. General ladder safety tips include the following (ALI 2011):
• Do not use a ladder if you are tired, dizzy, ill, or have difficulty maintaining
balance.
• Do not use a ladder in high winds, storms, or rain.
• Wear clean, slip-resistant footwear when using a ladder.
• Always inspect the ladder to ensure it is in good working condition prior
to use.
• Ensure that the ladder is placed on firm, level ground and that all points of
the ladder have firm contract with the ground.
• Ladders should not be placed in front of closed doors that can open toward
the ladder; if this is the case, the door must be blocked open, locked, or
guarded.
When climbing a ladder, always use three points of contact to minimize the
chance of slipping and falling. At all times during ascent or descent, the
climber must face the ladder and have two hands and one foot, or two feet and
one hand, in contact with the ladder cleats and/or side rails at all times. Note
that the climber must not carry any objects in either hand that can interfere
with a firm grip on the ladder (ALI 2011).
There are many different sizes and types of ladders. The correct ladder
should be selected for the task to be performed. Always check that the ladder
rating is greater than the combined weight of the climber, tools, and supplies
placed on the ladder. The length of the ladder must be sufficiently long enough
for the climber to avoid the top rung or step (ALI 2011).
Ladders are generally manufactured from one of three materials: wood, fiber-
glass, or aluminum. The location and type of work dictates the appropriate mate-
rial type for the ladder used. For example, when working around live electrical
wires, aluminum ladders cannot used because the ladder could conduct electric-
ity. Also, wood and fiberglass ladders tend to weigh more than aluminum ladders
and are more difficult to move from one location to another (ALI 2011).
Each type of ladder has its own set of guidelines and safety requirements.
The ladders used by operation and maintenance staff typically include step,
single, extension, combination, and fixed types (ALI 2011).
Step ladders typically range in size from 3 to 20 ft (6.1 m) in length along
the side rail. The highest standing level is required to be marked on the specifi-
cations label on the side rail of the ladder. When planning a job, the maximum
work height is determined by adding the height and reach of the user to the
highest standing level of the stepladder (ALI 2011).
A single ladder is a non-self-supporting portable, single-section ladder
whose length can be adjusted. Single ladders are rated for heavy-duty or
extra-heavy-duty service and range in length of up to 30 ft (9.1 m) as mea-
sured along the side rail. When erecting a single ladder, exercise care to place
the ladder as close to 75° from the horizontal as possible for optimum resis-
tance against the bottom of the ladder. If the ladder is not properly angled, it
may slide out of position. A simple rule for setting up a ladder at the proper
angle is to place the base at a distance from the wall or upper support equal to
one-quarter of the length of the ladder side rails (ALI 2011).
The extension ladder is a non-self-supporting portable ladder that is adjust-
able in length. It consists of two or more sections that travel in guides or brack-
ets that permit length adjustment. An extension ladder is similar to a single
ladder, but it can be adjusted for various heights. Adjusting these types of
extension ladders to the height they will be used can be difficult and dangerous.
The user should become familiar with the extension system (guides or brack-
ets) to prevent improper use (ALI 2011).
Ladders that are attached to the exterior or interior of a building are referred
to as fixed ladders. Often these ladders provide access to the roof or other non-
occupied spaces of a building. Because these ladders are permanently installed,
they must be maintained similarly to any other building element.
Inspections of fixed ladders and ladder safety systems should be made at

least annually to identify signs of rust, corrosion, and deterioration. The
inspection must include all of the major components, including rungs, side
rails, supports, fasteners, anchors, clearances, hatches, hatch opening arms,
grab bars, platforms, and side rail extension anchors. The fixed ladder should
not be used if any bolts or welds are not secure or missing or if the joints
between the rungs and the side rail are not tight (ALI 2011).
Confined Spaces
Many workplaces contain spaces that are considered “confined” because their
configurations make it difficult for employees who must enter, work in, and
exit these spaces. A confined space has limited or restricted means for entry or
exit and is not designed for continuous employee occupancy.
Confined spaces include, but are not limited to, underground vaults, tanks,
storage bins, manholes, pits, silos, process vessels, and pipelines. OSHA uses
the term “permit-required confined space” (permit space) to describe a con-
fined space that has one or more of the following characteristics:
• Contains or has the potential to contain a hazardous atmosphere

• Contains materials that have the potential to engulf an entrant
• Has walls that converge inward or floors that slope downward and taper
into a smaller area that could trap or asphyxiate an entrant
• Contains any other recognized safety or health hazard, such as unguarded
machinery, exposed live wires, or heat stress
Slip, Trip, and Fall Prevention

Each year, physical injuries due to common slips, trips, and falls from a level
surface account for a significant percentage of all reportable accidents. Most of
these accidents are preventable through proper housekeeping, correct walking
surfaces, and suitable precautions. Several rules and methods to prevent slips,
trips, and falls include the following:
• Working areas should be clean and orderly. Tools must not be left lying on
floors, walkways, or decking where they present tripping hazards.
• Small, loose items, such as trash or other objects and debris, should not be
left lying around, particularly in areas where personnel walk.
• Adequate lighting must be provided to allow personnel to see potential
obstructions and prevent falls. Make sure that all halls, passageways, and
stairs have adequate illumination; replace all burned out bulbs or defective
receptacles.
• Water, oil, and other liquids that could present slippery and unsafe condi-
tions must be cleaned up immediately. Tracking liquids from even a small
spill will significantly reduce the coefficient of friction between shoes and
any hard floor material, making it easier to slip.
• Electrical extension cords and electrical wiring must be kept clear of walk-
ways and work areas. Electrical wiring that is a permanent part of the facil-
ity should be covered, elevated, buried, or secured to prevent tripping
hazards.
• Walkways and work surfaces must be properly maintained during inclem-
ent winter weather. Ice on sidewalks and parking lots accounts for many
falls. Either physically remove the ice or apply a chemical deicer on trav-
eled pathways to remove ice.
• Walkways and gratings must be kept free of obstacles that could cause
trips. Openings in walkways and gratings are very hazardous and should
never be left unattended—either close, repair, or cover before leaving them.
If not immediately repaired, the openings must be roped or barricaded off
until corrected.
Fall Protection
Fall hazards of 4 ft (1.2 m) or more should be evaluated to determine what
preventive steps might be implemented to prevent falls. Fall protection is
required at heights of 6 ft (1.8 m) or greater. All fall protection products fit
into four functional categories: fall arrest, positioning, suspension, and
retrieval (Figure 10-3).
Fall Arrest. A fall arrest system is required if any risk exists that a worker
may fall from an elevated position. A full-body harness distributes the forces
Figure 10-3 Fall protection.
throughout the body, while the shock-absorbing lanyard decreases the total fall
arresting forces. A fall arrest system will only come into service if a fall occurs.
As a general rule, the fall arrest system should be used any time a walkway/
work height of 6 ft (1.8 m) or more is reached. The working height is the dis-
tance from the walkway/work surface to grade or a lower level. A full-body
harness with a shock-absorbing lanyard or a retractable lifeline is the only
product recommended.
Positioning. A positioning system holds a worker in place while keeping
his/her hands free to work. Whenever the worker leans back, the system is acti-
vated. However, a personal positioning system is not specifically designed for
fall arrest purposes.
Suspension. Suspension equipment lowers and supports a worker while
allowing a hands-free work environment, and is widely used in window wash-
ing and painting industries. Suspension system components are not designed to
arrest a free fall. Therefore, a backup fall arrest system should be used in con-
junction with the suspension system.
Retrieval. Preplanning for retrieval in the event of a fall should be consid-
ered when developing a proactive fall management program.
Lifting Safety
Back injuries due to improper lifting of materials are very common in office
settings and very debilitating and costly to the company. The first rule is avoid-
ance: do not attempt to lift heavy or bulky objects if an alternate means of
movement is available. Employees should use mechanical material-handling
equipment whenever practical. If the material must be lifted manually, the fol-
lowing procedures should be followed:
• Make certain that the load lifted can be safely handled. Consider the size,
weight, and shape of the load. If necessary, get help.
• Generally, male employees should not attempt to lift more than 60 lbs (27
kg) at any one time; female employees should not attempt to lift more than
42 lbs (19 kg), or 70% of the male amount.
• Place feet about shoulder width apart.
• Place one foot beside the object being lifted and the other foot in front of
the object.
• Bend at the knees to grasp the load.
• Maintain a slight arch in the back when positioning your body over the
load.
Safe Driving
Operation and maintenance staff frequently drive to and from various locations
to perform work activities and must be informed of where driving hazards
occur and what can be done to promote vehicle safety. According to the U.S.
Bureau of Labor Statistics National Census of Fatal Occupational Injuries,

more than 2400 deaths in the year 2006 resulted from occupational motor vehi-
cle incidents in the United States. That number is more than 42% of the annual
number of fatalities from occupational injuries.
Employing a workplace driver safety program makes good business sense
and also improves employee relations because it demonstrates that employers
are concerned about the safety and well being of their employees (Figure 10-4).
A driver safety program can save lives and reduce the risk of life-altering inju-
ries among the workforce, protect an organization’s human and financial
resources, and guard against potential company and personal liabilities associ-
ated with crashes when employees are driving on company business.
The Network of Employers for Traffic Safety (NETS) recommends a 10-
step program that provides guidelines for what an employer can do to improve
traffic safety performance of employees and minimize the risk of motor vehicle
crashes. The 10-step program helps ensure that capable drivers are hired,
allows only eligible drivers to drive on company business, and ensures proper
training and supervision and that properly maintained company vehicles are
provided to drivers. Adherence to these 10 steps can also help keep motor vehi-
cle insurance costs as low as possible.
• Step 1—Senior Management Commitment and Employee Involvement:

Senior management can provide leadership, set policies, and allocate
resources (staff and budget) to create a safety culture. Actively encouraging
Figure 10-4 Safe driving.
employee participation and involvement at all levels of the organization is a

good practice and will help the effort to succeed.
• Step 2—Written Policies and Procedures: A written statement emphasizing
the commitment to reducing traffic-related deaths and injuries is essential to
a successful program. Policies and procedures should be clear, comprehen-
sive, enforceable, and communicated to all employees. Alcohol and drug
prohibition and policies for seat belt and cell phone use should also be docu-
mented in the policies.
• Step 3—Driver Agreements: Establish a contract with all employees who
drive for work purposes, whether they drive assigned company vehicles or
their personal vehicles. By signing an agreement, the driver acknowledges
awareness and understanding of the organization’s traffic safety policies,
procedures, and expectations for driver performance, vehicle maintenance,
and reporting of moving violations.
• Step 4—Motor Vehicle Record (MVR) Checks: Check the driving records of
all employees who drive for work purposes. The MVR should be reviewed
periodically to ensure that the driver maintains a good driving record.
• Step 5—Crash Reporting and Investigation: Establish and enforce a crash
reporting and investigation process. All crashes, regardless of severity,
should be reported to the employee’s supervisor as soon as feasible after
the incident.
• Step 6—Vehicle Selection, Maintenance, and Inspection: Selecting, prop-
erly maintaining, and routinely inspecting company vehicles are important
to preventing crashes and related losses.
• Step 7—Disciplinary Action System: Develop a strategy to determine the
course of action after the occurrence of a moving violation or “prevent-
able” crash. A variety of corrective action programs are available, most of
which are based on a system that assigns points for moving violations.
• Step 8—Reward/Incentive Program: Develop and implement a driver
reward/incentive program to make safe driving an integral part of your
organization’s culture. Safe driving behaviors contribute directly to the bot-
tom line and should be recognized as such.
• Step 9—Driver Training/Communication: Provide continuous driver safety
training and communication. Even experienced drivers benefit from peri-
odic training and reminders of safe driving practices and skills.
• Step 10—Regulatory Compliance: Ensure drivers adhere to highway safety
regulations. Clearly establish which local, state, and/or federal regulations
govern your vehicles and drivers.
Electrical Safety
Electricity has long been recognized as a serious workplace hazard, exposing
employees to electric shock, electrocution, burns, fires, and explosions. Electri-
cians, maintenance technicians, engineers, and other professionals work with
electricity directly, including working on overhead lines, cable harnesses, and
circuit assemblies. Others, such as office workers and sales people, work with
electricity indirectly and may also be exposed to electrical hazards.
An electric shock can range from a slight tingling sensation to immediate
cardiac arrest. The severity depends on the following:
• The amount of current flowing through the body

• The current path through the body
• The length of time the body remains in the circuit
• The frequency of the current
Electrical accidents are largely preventable through safe work practices.

Examples of these practices include the following:
• De-energizing electric equipment before inspection or repair

• Keeping electric tools properly maintained
• Exercising caution when working near energized lines
• Using appropriate protective equipment
OSHA standards cover electrical hazards in many different industries.

OSHA’s general industry electrical safety standards are published in Title 29
Electronic Code of Federal Regulations (CFR), Parts 1910.302 through
1910.308, Design Safety Standards for Electrical Systems, and Parts 1910.331
through 1910.335, Electrical Safety-Related Work Practices Standards (GPO
2011). OSHA’s electrical standards are based on the National Fire Protection
Association standards NFPA 70, National Electric Code (NFPA 2011b) and
NFPA 70E, Electrical Safety Requirements for Employee Workplaces (NFPA
2012).
Table 10-2 indicates the general relationship between the amount of current
received through the body and the reaction when current flows from a person’s
hand to a person’s foot for just one second.
Most electrical accidents result from one of the following three factors:
• Unsafe equipment or installation
• Unsafe environment
• Unsafe work practices
Some ways to prevent these electrical accidents are through the use of insula-
tion, guarding, grounding, protective devices, and safe work practices.
Insulators, such as glass, mica, rubber, or plastic, used to coat metals and
other conductors help stop or reduce the flow of electrical current. Proper insula-
tion helps prevent shock, fires, and short circuits. The insulation must be suitable
for the voltage and the following conditions: temperature, moisture, oil, gaso-
line, corrosive fumes, or other substances that could cause the insulator to fail.
Insulation on conductors is often color coded. Insulated equipment ground-
ing conductors usually are either solid green or green with yellow stripes. Insu-
lation covering grounded conductors are generally white or gray. Ungrounded
Table 10-2 Effects of Electric Current in the Human Body

Current Reaction
Below 1 mA Generally not perceptible
1 mA Faint tingle
Slight shock felt, not painful but disturbing. Average individual can let go.
5 mA
Strong involuntary reactions can lead to other injuries.
6–25 mA (women) Painful shock, loss of muscular control1.
9–30 mA (men) The freezing current or “let-go” range1; individual cannot let go but can be
thrown away from the circuit if extensor muscles are stimulated.
Extreme pain, respiratory arrest, severe muscular contractions.
50–150 mA
Death is possible.
Rhythmic pumping action of the heart ceases. Muscular contraction and
1000–4300 mA
nerve damage occur; death is likely.
10,000 mA Cardiac arrest, severe burns; death is probable.
1. If the extensor muscles are excited by the shock, the person may be thrown away from the power source.
conductors, or “hot wires,” are generally black or red, although they may be
any color other than green, white, or gray.
Understanding some electrical terminology is also important to electri-
cal safety. Thus, the guarding, grounding, and circuit protection devices are
discussed.
guarding: Locating or enclosing electric equipment to make sure people do not
accidentally come into contact with energized parts. Effective guarding requires
equipment with exposed parts operating at 50 V or more to be placed where the
equipment is accessible only to authorized, qualified individuals.
grounding: A path of low resistance is intentionally created to connect a tool or
electrical system to the earth. Grounding prevents electrical accidents by creat-
ing a common return path or direct connect to earth for electric current to flow
through. Grounding is normally a secondary protective measure to protect
against electric shock. Circuit protection devices are the first measure of protec-
tion. Grounding is not a guarantee that a person will not be shocked, injured, or
killed by an electrical current. The National Electrical Code® (NEC®) outlines
the grounding requirements of most jurisdictions.
circuit protection devices: These limit or stop the flow of current automati-
cally in the event of a ground fault, overload, or short circuit in the wiring sys-
tem. Examples of these devices are fuses, circuit breakers, ground-fault circuit
interrupters, and arc-fault circuit interrupters. Fuses and circuit breakers open
or break the circuit automatically when too much current flows through them.
Fuses melt and circuit breakers trip the circuit open. Fuses and circuit break-
ers are designed to protect conductors and equipment. They prevent wires and
other components from overheating and open the circuit when there is a risk
of a ground fault.
Ground-fault circuit interrupters (GFCIs) are used in wet locations, con-
struction sites, and other high-risk areas. These devices interrupt the flow of
electricity within as little as 1/40 of a second to prevent electrocution. GFCIs
compare the amount of current going into electric equipment with the amount
of current returning from it along the circuit conductors. If the difference
exceeds 5 mA, the device automatically shuts off the supply of electricity. Arc-
fault devices provide protection from the effects of arc-faults by recognizing
characteristics unique to arcing and de-energizing the circuit when an arc-fault
is detected.
lockout/tagout: Procedures that protect personnel from the dangers of acciden-
tal or unexpected startup of electrical equipment and are required by OSHA
Standard 1910.333, Selection and Use of Work Practices (OSHA 1994).
Requirements for construction applications are in 29 CFR1926.417, Lockout
and Tagging of Circuits (OSHA 1996). These procedures ensure that electrical
equipment is de-energized before it is repaired or inspected and protects
against electrocution and/or shock.
The first step before performing any inspection or repair is to turn the cur-
rent off at the disconnect switch and padlock the switch in the OFF position.
This applies even for low-voltage circuits. A tag (label) should be left at the
disconnect switch or controls of the equipment being locked out of service to
let everyone in the area know which equipment and/or circuits are being
inspected or repaired. Only qualified electricians who have been trained in safe
lockout/tagout procedures should maintain electrical equipment.
Lockout/tagout procedures should be employed on high-pressure systems
that contain fluids, gases, or hazardous substances. The source must be isolated
and lines evacuated before any work is performed on the systems or equipment.
A few other important lockout/tagout requirements are as follows:
• Every lock must have only one unique key.

• An individual lock and key should be issued to each maintenance worker
authorized to lock out and tag the equipment.
• When an employee is repairing a piece of equipment, he or she should lock
out the switch with the individual lock issued to them. Only authorized
workers should be permitted to remove it.
Hazardous and Toxic Materials

Hazardous materials are generally defined as any item or agent (biological,
chemical, or physical) that has the potential to cause harm to humans, animals,
or the environment, either by itself or through interaction with other factors.
Hazardous materials are defined and regulated in the United States primarily
by laws and regulations administered by the U.S. Environmental Protection
Agency (EPA), OSHA, the U.S. Department of Transportation (DOT), and the
U.S. Nuclear Regulatory Commission (NRC)(IHMM 2011).
All potential hazards from all chemicals produced or used within the facil-
ity must be evaluated, and information concerning their hazards must be com-
municated to all employees. The transmittal of information should be
accomplished by comprehensive hazard communication programs, which must
include container labeling and other forms of warning, material safety data
sheets, and employee training (IHMM 2011).
Building Operating Regulations

The operator must comply with all federal, state, and local laws and regulations
that relate to the maintenance and operation of equipment and systems within
the buildings operated. These regulations include permitting, inspection, per-
sonnel safety, control of hazardous substances, certification, and recordkeeping.
Boiler emissions and other operations that can cause high pollution levels, cre-
ate visible smoke, and create nitrogen oxides must be monitored continuously.
Elevator Testing
The periodic testing of elevators should be in accordance with ASME A17.1-
2004, Safety Code for Elevators and Escalators (ASME 2004). This code cov-
ers the design, construction, operation, inspection, testing, maintenance, altera-
tion, and repair of the following equipment:
• Hoisting and lowering mechanisms, equipped with a car or platform, which

move between two or more landings
• Power driven stairways and walkways for carrying persons between landings
• Hoisting and lowering mechanisms equipped with a car that serves two or
more landings and is restricted to the carrying materials.
° The amounts of material that can be carried are limited by size or
access to the car.
Always check state and local codes and with the authority having jurisdic-
tion (AHJ) to verify which regulations are applicable.
Fire Protection System Testing

Fire alarm systems are expected to help protect people, property, and assets in
the event of a fire. As with any other system, electronics and mechanical com-
ponents can degrade over time and compromise system performance. Proper
testing, inspection, and maintenance can aid fire alarm systems in operating at
optimum performance. In addition to ensuring protection, maintaining a sys-
tem in good condition reduces expenses by preventing unbudgeted emergency
repairs and costly false alarms (Lohr 2002).
Most fire protection system manufacturers recommend at least one full
annual test and inspection after initial installation and acceptance. Various
agencies, organizations, and local authorities recommend, and in some cases

mandate, testing intervals. NFPA 72, National Fire Alarm and Signaling Code
(NFPA 2010b) deals with the application, installation, performance, and main-
tenance of protective signaling systems and their components.
Chapter 7 of NFPA 72 is devoted to inspection, testing, and maintenance.
Inspection, testing, and preventive maintenance or repair may include a variety
of fire alarm and notification systems, equipment, and components, such as
manual alarm devices; smoke and heat detectors; tamper switches; pressure
switches; water flow switches; remote and graphic annunciations; main fire
alarm panel and components; voice alarm systems, speakers, horns, and other
audible and visual devices; wiring circuits and junctions; all other alarm, detec-
tion and control, and ancillary devices; and emergency power operations (Lohr
2002).
Water-based fire suppression systems require inspection, testing, and pre-
ventive maintenance or repair of all mechanical devices, including valves,
sprinklers, couplings, piping and connections, water motor gongs and alerting
devices, tamper switches, pressure switches, water flow switches, standpipes,
backflow preventers, private fire service mains, pumps, and test headers. All
water-based fire suppression system inspections, tests, and maintenance per-
formed must comply with the current edition of NFPA 25, Standard for the
Inspection, Testing, and Maintenance of Water-Based Fire Protection Systems
(NFPA 2011a). The operator is responsible for meeting the inspection, mainte-
nance, and testing frequencies and methods outlined in NFPA 25. Documenta-
tion of these inspection, maintenance, and testing results must be recorded on
the applicable form, as found in the current edition of NFPA 25 (Lohr 2002).
The local AHJ and insurance companies also influence, recommend, or set
forth standards deemed necessary for the proper inspection and operation of
fire and life safety systems. Some AHJs may establish guidelines that exceed
NFPA guidelines.
Boiler and Vessel Inspections

Boiler operation and inspections must be in accordance with applicable codes
and regulations, including but not limited to the following:
• ASME Boiler and Pressure Vessel Code

• National Board Inspection Code (NBIC)
• Environmental Protection Agency
• Local requirements
• ASME CSD-1-2006, Control and Safety Devices for Automatically Fired
Boilers (ASME 2006)
• NFPA 85, Boiler and Combustible Systems Hazards Code (NFPA 2011c)
Boiler inspections must include internal and external operating inspections

and tests. The NBIC document, Inspection of Boiler and Pressure Vessels,
requires that unfired pressure vessels with a design operating pressure in
excess of 60 psi (410 kPa) and a capacity in excess of 15 gal (57 L) be

inspected annually. A certificate of inspection or an equivalent approved form
must be completed and posted on or near the boiler or pressure vessel. Inspec-
tions must be made by inspectors certified by the National Board of Boiler and
Pressure Vessel Inspectors and employed by an independent firm specializing
in boiler and unfired pressure vessel inspections.
The building operator must be familiar with the requirements of the local
air quality management requirements and must be responsible for obtaining
operating permits for boilers, generators, and other emissions-producing equip-
ment regulated by the district.
Fire Extinguishers
Portable fire extinguishers are a first-aid device and are very effective in sup-
pressing small fires. The use of an appropriate fire extinguisher by a trained
person can save both lives and property. Fire extinguishers are categorized by
the class and size of the fire they are designed to suppress.
The class of fire is determined by what material is burning, such as paper,
wood, grease, oils, electrical components, metal, etc. Not all extinguishing
agents work on all fires. There are four classes of fires, assigned letters A, B, C,
and D. All fire extinguishers are labeled using these letters to designate which
classes of fires they can handle. Some extinguishers are rated for two or more
classes (such as ABC) and can be used on fires of all rated classes. A descrip-
tion of each class follows:
• Class A: Ordinary combustibles such as wood, cloth, paper, and trash hav-
ing glowing embers. These are the most common combustibles in office
environments. Water may also serve as a Class A extinguishing agent. Only
use water or an extinguisher labeled exclusively for Class A fires.
• Class B: Flammable liquids such as solvents, gasoline, oil, and oil-based
paints. Class B extinguishers should be used for cooking-grease fires.
• Class C: Class C extinguishers should be used for electrical fires, such as
those resulting from electrical equipment, wiring, fuse boxes, circuit break-
ers, machinery, and appliances.
• Class D: Class D fire extinguishers are commonly found in chemical labo-
ratories. Class D extinguishers should be used for fires that involve com-
bustible metals, such as magnesium, titanium, potassium, and sodium.
Portable extinguishers are also rated for the size and quantity of fire they can
handle. The rating is expressed as a number from 1 to 40 for Class A fires and
from 1 to 640 for Class B fires. This rating also appears on the fire extinguisher
label. The larger the rating number is, the larger the fire of the specified class on
which the extinguisher can be used (USFA 2011).
An annual maintenance inspection to comply with NFPA 10, Standard for
Portable Fire Extinguishers (NFPA 2010a) must be conducted by an approved
third party trained in fire extinguisher maintenance. The third party is typically
a fire specialist company that supplied the extinguishers.
A record and certification of the annual check will be attached to the neck
of each extinguisher. The date, printed on the tag, indicates the year and month
that the annual check was performed. The tag is valid for one year. For exam-
ple, a tag that displays “January 2009” indicates the annual inspection must be
repeated in January 2010. While the building owner may have a contract with
the supplier to provide this service, the operation and maintenance staff are still
responsible for ensuring that these inspections are performed and that each
extinguisher has a current certification tag attached (USFA 2011).
Summary
This chapter discussed the health and safety codes and regulations necessary to
operate a facility safely. Understanding health and safety policies and estab-
lishing procedures are important to ensure safe facility operation. Various safe
work practices were described, including the following:
• Hazard assessments
• Personal protective equipment
• Ladder safety
• Confined spaces
• Slip, trip, and fall prevention
• Lifting safety
• Driving safety
• Electrical safety
• Hazardous and toxic materials
Finally, operating and testing procedures for specific systems were also
presented, including the following:
• Elevator testing
• Fire protection system testing
• Boilers and vessel inspections
• Fire extinguishers

ALI. 2011. The American Ladder Institute. www.americanladderinstitute.org.
ANSI. 1997. ANSI Z89.1-1997, American National Standard for Industrial
Head Protection. Washington, DC: American National Standards Institute
ASME. 2004. ASME A17.1-2004, Safety Code for Elevators and Escalators.
New York: American Society of Mechanical Engineers.
ASME. 2006. ASME CSD-1-2006, Control and Safety Devices for Automati-
cally Fired Boilers. New York: American Society of Mechanical Engineers.
GPO. 2011. Electronic Code of Federal Regulations. U.S. Government Print-

ing Office, Washington, DC. http://ecfr.gpoaccess.gov/cgi/t/text/text-
idx?c=ecfr&tpl=/ecfrbrowse/Title29/29tab_02.tpl.
IHMM. 2011. Institute of Hazardous Materials Management. www.ihmm.org.
IHSA. 2011. Infrastructure Health and Safety Association. www.ihsa.ca/.
Lohr, M. 2002. Fire alarm system testing, inspection, and maintenance. EC&M
Magazine online. http://ecmweb.com/news/electric_fire_alarm_system/.
NFPA. 2010a. NFPA 10, Standard for Portable Fire Extinguishers. Quincy,
MA: National Fire Protection Association.
NFPA. 2010b. NFPA 72, National Fire Alarm and Signaling Code. Quincy,
MA: National Fire Protection Association.
NFPA. 2011a. NFPA 25, Standard for the Inspection, Testing, and Mainte-
nance of Water-Based Fire Protection Systems. Quincy, MA: National Fire
Protection Association.
NFPA. 2011b. NFPA 70®, National Electrical Code®. Quincy, MA: National
Fire Protection Association.
NFPA. 2011c. NFPA 85, Boiler And Combustion Systems Hazards Code.
Quincy, MA: National Fire Protection Association.
NFPA. 2012. NFPA 70E, Electrical Safety Requirements for Employee Work-
places. Quincy, MA: National Fire Protection Association.
OSHA. 2011. OSH Act of 1970. U.S. Department of Labor, Occupational
Safety and Health Administration, Washington, DC. http://www.osha.gov/
pls/oshaweb/owasrch.search_form?p_doc_type=oshact.
OSHA. 1994. Standard 1910.333, Selection and Use of Work Practices. U.S.
Department of Labor, Occupational Safety and Health Administration,
Washington, DC.
OSHA. 1996. Standard 29 CFR1926.417, Lockout and Tagging of Circuits.
U.S. Department of Labor, Occupational Safety and Health Administration,
Washington, DC.
USFA. 2011. United States Fire Administration. www.usfa.dhs.gov/citizens/
all_citizens/home_fire_prev/extinguishers.shtm.

10-1 The United States Occupational Safety and Health Act signed into law in
____________.
a) 1960
b) 1965
c) 1970
d) 1975
10-2 Operators and maintenance managers should stay current with health and
safety regulations by ____________.
a) periodically reviewing federal OSHA regulations
b) keeping informed of state regulations regarding health and safety
c) attending industry functions where health and safety issues are
discussed
d) All of the above
10-3 An effective safety and health program does not provide ____________.
a) reductions in the extent and severity of work-related injuries and
illnesses
b) reductions in the number of workplace inspections
c) reductions in workers compensation costs
d) improvements in employees productivity and morale
10-4 A hazard assessment plan answers the question, “____________.”
a) When will a hazard happen?
b) What if a hazard exists?
c) How can a hazard be avoided?
d) Who caused the hazard?
10-5 Personal protective equipment typically worn includes a ____________.
a) high-visibility safety vest, sunglasses, hard hat, and safety shoes
b) high-visibility safety vest, safety glasses, hard hat, and shoes
c) high-visibility safety vest, safety glasses, hard hat, and safety shoes
d) safety vest, safety glasses, hard hat, and safety shoes
10-6 An operations and maintenance worker should wear ____________ to prevent

over exposure to daily noise levels.
a) a hard hat
b) safety glasses
c) safety shoes
d) earplugs
10-7 The first rule when lifting is ____________.
a) placing feet about shoulder width apart
b) avoidance; do not attempt to lift heavy or bulky objects if an
alternate means of movement is available
c) making certain that the load lifted can be safely handled
d) men not lifting more than 60 lbs (27 kg) at one time
10-8 ____________ mA of electrical current will cause cardiac arrest, severe burns,
and probable death.
a) 9–30
b) 50–150
c) 1000–4300
d) 10,000
Skill Development
Exercises
To receive full continuing education credit, all questions must be answered and
submitted at www.ashrae.org/sdlonline. Please log in using your student ID
number and the SDL number. Your student ID number is composed of the last
five digits of your Social Security number or another unique 5-digit number
you create when first registering online. The SDL number for this course can
be located near the top of the copyright page of this book.
Chapter 1 Skill Development Exercises

Total number of questions: 7
1-1 Maintenance is/are ____________.
a) the process of fixing things only when they break
b) day-to-day activities necessary to preserve, retain, or restore
equipment to a specified operating condition
c) the allocation of funds to keep systems and equipment operating at
optimum performance
1-2 “CMMS” stands for ____________.
a) computerized maintenance management software
b) computer minded mapping system
c) computerized maintenance mapping system
d) computerized maintenance management system
1-3 ____________ are examples of construction contract types.
a) Design-bid-build, construction manager at risk, and owner at risk
b) Owner at risk, negotiated contracts, and design-own
c) Design-build, construction manager at risk, and bank negotiated
d) Design-build, construction manager at risk, and design-bid-build
1-4 Pneumatic controls are not found in any existing buildings today.
a) True
b) False
1-5 Development and delivery of record drawings and operations and maintenance
manuals are part of the ____________ process.
a) contractor start-up and handover
b) design
c) operations
d) testing, adjusting, and balancing
1-6 Commissioning is the process of verifying and documenting that the facility
and all of its systems and assemblies are planned, designed, installed, tested,
operated, and maintained to meet the owner’s project requirements.
a) True
b) False
1-7 If a building is designed to be energy efficient, it will operate in an energy effi-
cient manner, regardless of the maintenance management practices used.
a) True
b) False

2-1 ____________ is not an unplanned approach to maintenance.
a) Emergency maintenance
b) Preventive maintenance
c) Reactive maintenance
d) Run-to-failure maintenance
2-2 Preventive maintenance is a form of scheduled maintenance based on
____________.
a) equipment condition
b) available funding levels
c) calendar or run time
2-3 Vibration analysis is a form of predictive maintenance that is used to determine
the condition of rotating equipment.
a) True
b) False
2-4 ____________ is not a nondestructive predictive maintenance technique.
a) Bearing replacement
b) Vibration analysis
c) Motor current analysis
d) Use of pressure gages
e) Oil analysis
2-5 When a maintenance organization transitions from reactive to proactive main-
tenance management, predictive maintenance should be used for all equip-
ment, regardless of type, age or equipment function.
a) True
b) False
2-6 ____________ is a basic type of maintenance contract? List all that apply.
a) Labor only
b) Materials only
c) In-house labor
d) Labor, material, and overhead
e) a, b, and d
Skill Development Exercises Chapter 2
2-7 When performing a condition assessment, ____________ is not typically

included.
a) determining if the salary of maintenance technicians should be

increased
b) determining if the maintenance work being performed is sufficient
c) determining if the equipment has any deficiencies
d) documenting the working condition of all equipment
2-8 Accurate and complete maintenance and operations documentation is not
important to the control of budgets within the maintenance organization.
a) True
b) False
2-9 The failure pattern for HVAC equipment always increases as equipment ages.
a) True
b) False

3-1 A computerized maintenance management system (CMMS) has
____________.
a) inventory management
b) preventive maintenance
c) equipment histories
d) work order management
e) all of the above
3-2 ____________ is a benefit of a CMMS.
a) Electronic storage of records
b) Report generation to justify staffing requirements
c) Increased budget accountability
d) All of the above
e) Only a and c
3-3 ____________ typically use work orders.
a) Maintenance technicians
b) Maintenance planners
c) Authorized building occupants
d) All of the above
3-4 When determining what to include in an inventory, ____________ should not
be part of the decision-making criteria.
a) quantity of items as dependent upon frequency of use
b) quantity of items as dependent upon available storage space
c) best price
d) method of delivery and quality of service provided
3-5 The hierarchy within a work order module is used ____________.
a) to set up master and submaster work orders
b) to link work orders with inventory records
c) to link work orders with asset records
d) to electronically document the organizational hierarchy within the
maintenance department
3-6 The CMMS planning process generally is more time consuming than the
implementation process.
a) True
b) False
3-7 When implementing a CMMS, it is generally a good idea to ____________.
a) be aware it may be difficult to collect all existing data required to
populate the system
b) populate the CMMS with data several years after it has been in use
c) provide proper training to users
d) keep corporate leadership informed about the process and needs of
the planning and implementation team
e) a, c, and d
3-8 When implementing a CMMS, it is generally not a good idea to
____________.
a) focus only on the look and feel of the software
b) see the CMMS as a static reporting tool
c) see the CMMS as a location-specific tool
d) select the CMMS for current and anticipated future needs
e) a, b, and c
3-9 CMMS pricing can be based on the modules implemented, amount of custom-
ization required, and the number and type of site licenses.
a) True
b) False

4-1 The construction delivery method where discovery of design errors and omis-
sions in the construction documents leads to change orders is referred to as
____________.
a) design-bid-build
b) design-build
c) construction-manager-at-risk
d) negotiated
4-2 ____________ construction delivery method requires the design and construc-
tion team to submit a guaranteed maximum price (GMP) to the owner early in
the project based on preliminary design concepts and criteria.
a) Design-bid-build
b) Design-build
c) Construction-manager-at-risk
d) Negotiated
4-3 A developer in Boston, MA, wants to build a 250,000 ft2 office building.
____________ is the estimated cost for the HVAC system for this building.
Use Tables 1 & 2 in the chapter.
a) $4,284,050
b) $14,445,000
c) $5,851,830
d) $4,876,525
4-4 Replacement costs, extended replacement costs, and actual cash value are all
types of ____________.
a) depreciation
b) insurance coverage
c) service life
d) property taxes
4-5 ____________ is not required to determine service life in the ASHRAE data-
base.
a) State
b) Building function
c) Equipment manufacturer
d) Building Owners and Managers Association (BOMA) Class
4-6 A motor consumes 75 kW for 5 hours and the cost of electricity is $0.15 per
kilowatt-hour. ____________ is the cost of the electrical energy consumed.
a) $37.50
b) $50.00
c) $56.25
d) $75.00
4-7 ____________ is the simple payback in years for an energy efficient lighting
system that costs $10,000 and where the energy savings is expected to be
$2,500 per year.
a) Four years
b) Five years
c) Seven years
d) Ten years
4-8 The decrease in the purchasing power of money is called ____________.
a) interest
b) opportunity cost
c) inflation
d) depreciation
4-9 The electrical utility charge for power that has to be made up from inefficien-
cies at the customer’s load source is referred to as ____________.
a) regulatory charges
b) fuel adjustment charges
c) basic service charges
d) reactive power charges
4-10 Two direct digital control (DDC) systems are under consideration to replace a
pneumatic control system. One DDC system (ABC) will initially cost $90,000
to be installed and require $1000 worth of upgrades each year. This system is
expected to save an estimated $3,000 per year in energy costs. Another DDC
system (XYZ) will have a first cost of $60,000 and require $2,000 in software
and hardware costs each year. The XYZ system is expected to have an esti-
mated energy savings of $2,000 per year. Both systems are expected to last 10
years and the available discount rate is 10%. ____________ would be the bet-
ter investment and ____________ is the life-cycle cost (LCC) associated with
this selection.
a) ABC System, LCC equal to $94,968
b) ABC System, LCC equal to $56,605
c) XYZ System, LCC equal to $67,303
d) XYZ System, LCC equal to $72,171

5-1 A control system includes ____________.
a) sensors
b) software
c) sensors, meters, software, and a user interface
d) only meters and sensors
5-2 A butterfly valve has a ____________.
a) rotating ball inside to control water flow
b) rotating disk to control water flow
c) gate that moves up and down to control water flow
d) rubber seal to regulate water flow
5-3 ____________ actuators, used in HVAC&R applications, are discussed in this
chapter.
a) Relay
b) Electric motor
c) Gear-driven
d) Bi-metal
5-4 When writing a control sequence, always include____________.
a) descriptions and vendor photos of control devices
b) descriptions of control devices, points lists, sequences of
operation, and floor plans with exact locations for sensor
placement
c) descriptions of control devices, points lists, schematic control
drawings, and sequences of operation
5-5 Interconnections and interlocks are ____________.
a) safety procedures
b) descriptions of what systems/equipment are connected or impact
other systems/equipment sequences of operation
c) procedures to turn equipment off
d) a specific type of wiring diagram
5-6 ____________ is not an effective control strategy.
a) Reset control
b) Lead/lag control
c) Setback control
d) In-hand operation
5-7 Open protocols can only be used by manufacturers who have paid dues to the
organization that manages the development of the protocol.
a) True
b) False
5-8 BACnet stand for ____________.
a) building acceleration control network
b) building and communication network
c) building automation community network
d) building automation control network
5-9 When using a building control system to benchmark energy performance, one
should ____________.
a) determine what units to use to quantify the data
b) install sensors and submeters in every duct and pipe to ensure the
maximum amount of data can be collected for the building
c) collect real-time data for all points from the control system
d) develop one large report that can be used by all parties interested
in energy consumption for the facility

6-1 Prefunctional system checks determine if ____________.

a) shipping locks are released
b) equipment labels are affixed
c) the duct system is pressure tested
d) air filters are installed
6-2 Utility preparations that should be completed before building start-up include
____________.
a) installing chilled- and hot-water systems
b) removing job-site trailers
c) programming the BAS
d) connecting permanent electrical power
6-3 ____________ should be started up after larger primary equipment.
a) Variable-air-volume terminal units
b) Boilers
c) Chillers
d) Cooling towers
6-4 ____________ require the recording of evaporator temperature during start-up.
a) Hot-water boilers
b) Water-cooled chillers
c) Electric generators
d) Cooling towers
6-5 Prefunctional equipment checks include ensuring that ____________.
a) duct joints are sealed properly
b) pipe fittings are complete and pipes are properly supported
c) thermal and sound insulation is installed
d) balancing dampers are accessible and operational
6-6 Air and water balance typically are performed ____________.
a) before prefunctional testing
b) after equipment start-up
c) after system start-up
d) during warranty
6-7 ____________ can perform functional performance testing.

a) Owners
b) Design teams
c) Contractors
d) Operators
6-8 Record drawing development should begin ____________.
a) during pre-start-up procedures
b) at the beginning of construction
c) in the warranty phase
d) after equipment and systems start-up
6-9 Operator training sessions should be limited to ____________ hours.
a) one
b) two
c) four
d) eight
6-10 The main difference between a systems manual and O&M manual is that
____________.
a) a systems manual tends to be a generic document and does not
relate to the actual system installed
b) a systems manual is provided in electronic format, and O&M
documents are provided in printed format.
c) O&M manuals are intended to be day-to-day operational guides to
the facility
d) a systems manual is more specific to the actual systems being
installed

7-1 Functional performance testing is performed during the ____________ phase
of the commissioning process.
a) predesign
b) design
c) construction
7-2 The BOD is reviewed during the ____________ phase of the commissioning
process.
a) predesign
b) design
c) construction
7-3 The desired level of training and orientation required for the new building
operators and occupants to operate the building is documented during the
____________ phase of the commissioning process.
a) predesign
b) design
c) construction
7-4 ____________ is a benefit of commissioning.
a) documentation of the owner’s project requirements
b) fewer system deficiencies
c) improved operator knowledge
d) all of the above
7-5 ____________ is required of the TAB contractor during the construction phase.
a) Installation of the ductwork
b) Verification that test ports are installed
c) Verification that volume control dampers are shown on the plans
d) Flushing and cleaning the system
7-6 When testing, adjusting, and balancing a variable-air-volume (VAV) system,
the VAV terminal units should initially be set to ____________.
a) minimum airflow
b) heating airflow
c) maximum airflow
d) 50% of design airflow
7-7 Once the initial TAB work is complete, it is prudent to consider performing
TAB again ____________.
a) once a year
b) when the building interior is altered and ductwork is relocated
c) when the system is performing poorly and comfort levels are not
being maintained
d) b and c
7-8 The systems manual is developed during the ____________ phase of the exist-
ing building commissioning process.
a) planning
b) investigation
c) implementation
d) reporting
7-9 The ECBx goals are developed during the ____________ phase of the existing
building commissioning process.
a) planning
b) investigation
c) implementation
d) reporting
7-10 The FIMs are identified during the ____________ phase of the existing build-
ing commissioning process.
a) planning
b) investigation
c) implementation
d) reporting

8-1 Some buildings are not susceptible to risks and do not need to have emergency
plans.
a) True
b) False
8-2 ____________ is/are the most helpful way to communicate the emergency
plan to building occupants.
a) Signs posted around the building
b) It is not necessary to inform building occupants about emergency
plans
c) Yelling as loudly as possible
d) Providing lengthy policies in a three-ring binder
8-3 ____________ should be included in an emergency supply kit.
a) Water, dust masks, and laptops
b) Water, nonperishable food, flashlights, and a can opener
c) Dusk masks, fresh fruit, and plastic sheeting
d) All of the above
8-4 During an emergency the first thing to determine is ____________.
a) how much it will cost to hire a remediation team
b) whether it is necessary to evacuate or shelter in place
c) where the emergency kits are stored
d) whether the elevators are working properly
8-5 To prepare for a fire emergency, make sure that ____________.
a) fire extinguishers are inspected and tested at required intervals
b) elevators are up to code
c) building outdoor air intakes are not at vulnerable locations
d) flashlights within the emergency kits have extra batteries
8-6 If a biological attack occurs in your facility, assume that anyone who gets sick
needs immediate emergency care.
a) True
b) False
8-7 A pandemic flu is a ____________.

a) sickness that causes people to cough
b) viral infection that the immune system has not seen before
c) flu transferred from animals, especially pigs, to people
d) viral infection where everyone exposed has a high risk of death
8-8 Tornados can occur anywhere in the world.
a) True
b) False
8-9 It is not necessary to consider how persons with disabilities may need addi-
tional assistance during an emergency when developing an emergency plan.
a) True
b) False

9-1 A green building ____________.
a) minimizes the consumption of renewable resources
b) minimizes the consumption of non-renewable resources
c) minimizes indoor environmental quality
d) maximizes negative environmental impacts during the design of
the building
9-2 Maintenance and operations practices impact the energy consumption of a
facility.
a) True
b) False
9-3 Green practices as defined by ASHRAE/USGBC/IES Standard 189.1-2009
include the following categories ____________:
a) indoor water quality
b) energy efficiency
c) water efficiency
d) site sustainability
e) b, c, and d
9-4 When developing a plan to reduce energy consumption, the first step should be
to place solar panels on the roof of the facility.
a) True
b) False
9-5 Indoor environmental quality includes ____________.
a) temperature
b) relative humidity
c) indoor air quality
d) acoustics
e) All of the above
9-6 The ASHRAE Building eQ rating system includes ____________.
a) building energy consumption
b) volume of paper recycled at the facility
c) recommendation to reduce landscape irrigation water required
e) tips for how to procure local wood-based products
9-7 The United States Green Building Council Leadership in Energy and Environ-
mental Design for Existing Buildings Operations and Maintenance (LEED-
EBOM) rating system rewards points based on data from energy models.
a) True
b) False
9-8 ENERGY STAR Portfolio Manager is used to ____________.
a) label commercial kitchen appliances by energy consumption
b) benchmark energy performance of commercial buildings
c) set federal taxes for commercial buildings
d) label appliances and small systems and equipment to help consumers
identify energy-efficient products

10-1 The United States Occupational Safety and Health Act signed into law in
____________.
a) 1960
b) 1965
c) 1970
d) 1975
10-2 Operators and maintenance managers should stay current with health and
safety regulations by ____________.
a) periodically reviewing federal OSHA regulations
b) keeping informed of state regulations regarding health and safety
c) attending industry functions where health and safety issues are
discussed
d) All of the above
10-3 An effective safety and health program does not provide ____________.
a) reductions in the extent and severity of work-related injuries and
illnesses
b) reductions in the number of workplace inspections
c) reductions in workers compensation costs
d) improvements in employees productivity and morale
10-4 A hazard assessment plan answers the question, “____________.”
a) When will a hazard happen?
b) What if a hazard exists?
c) How can a hazard be avoided?
d) Who caused the hazard?
10-5 Personal protective equipment typically worn includes a ____________.
a) high-visibility safety vest, sunglasses, hard hat, and safety shoes
b) high-visibility safety vest, safety glasses, hard hat, and shoes
c) high-visibility safety vest, safety glasses, hard hat, and safety shoes
d) safety vest, safety glasses, hard hat, and safety shoes
10-6 An operations and maintenance worker should wear ____________ to prevent
over exposure to daily noise levels.
a) a hard hat
b) safety glasses
c) safety shoes
d) earplugs
10-7 The first rule when lifting is ____________.

a) placing feet about shoulder width apart

b) avoidance; do not attempt to lift heavy or bulky objects if an
alternate means of movement is available
c) making certain that the load lifted can be safely handled
d) men not lifting more than 60 lbs (27 kg) at one time
10-8 ____________ mA of electrical current will cause cardiac arrest, severe burns,
and probable death.
a) 9–30
b) 50–150
c) 1000–4300
d) 10,000
ASHRAE LEARNING INSTITUTE
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Return to: ASHRAE, Education Department, 1791 Tullie Circle NE, Atlanta, GA 30329
Fax: 404-321-5478
Flexible and Effective Continuing Education
for HVAC&R Professionals
Fundamentals of Building Operation, Maintenance, and Management ad-

dresses current issues related to the operation, maintenance, and manage-
ment of buildings. Ten chapters comprise the course, and exercises at the
end of each chapter help readers assess their understanding of the material
and apply what they learn to real-world situations. Heating, ventilating, and
air-conditioning (HVAC) systems and equipment are the primary focus, as
they account for a majority of operation and maintenance efforts. How-
ever, plumbing, electrical, and life safety systems, as well as other building
systems are also presented. Additional topics include economics, comput-
erized maintenance management systems, risk assessment, building start-
up, commissioning, greening facilities, health, and safety. Skill Development
Exercises at the end of each chapter help readers assess their understand-
ing of the material and apply what they learn to real-world situations. An-
swers to to these exercises can be submitted online to earn PDH, CEU,
or LU credits.
This dual-unit (I-P/SI) course provides an indispensable introduction to
these topics and an invaluable instructional resource for both experienced
building professionals and individuals entering into the field.
1791 Tullie Circle

Atlanta, GA 30329-2305
Telephone: 404/636-8400
Fax: 404/321-5478
E-mail: edu@ashrae.org
www.ashrae.org/ali
9 781933 74290 8
Product Code: 98021 11/11

Fundamentals of Building Operation Maitenance and Managment

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Fundamentals of

A Course Book for

Includes Skill Development Exercises

A Course Book for Self-Directed or Group Learning

No part of this publication may be reproduced without permission in writing from

eLearning Assistant Editor

HVAC Systems ASHRAE Learning Institute Telephone: 404/636-8400

Karen M. Murray Email: kmurray@ashrae.org

We hope your educational experience is satisfying and successful.

American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

Chapter 4: Owning and Operating Costs . . . . . . . . . . . . . . . . . . . . . 75

Chapter 8: Risk Assessment and Emergency Preparedness . . . . . . 187

Operation and maintenance make up the largest portion of the eco-

The authors would like to acknowledge the ASHARE Learning Insti-

The following individuals provided helpful feedback during the peer

Mark Anderson Howard McKew

The following organizations and companies granted permission to use

Automated Logic National Aeronautics and

Angela Lewis, PE, LEED AP Bradley Brooks, EdD, LEED AP

 list topics important to understanding the fundamentals of building opera-

Importance of Building Operation,

conditions require building systems to remain in service longer and often

skills to meet evolving challenges. This self-directed learning course provides

Types of Maintenance Techniques

monitors the conditions of bearings and automatically controls a pump to add

Computerized Maintenance Management Systems

Owning and Operating Costs

Heating, Ventilating, and Air-Conditioning Controls

Contractor Start-Up and Handover Procedures

Commissioning and Testing

Risk Assessment Procedures

Greening Your Facility

Health and Safety

involvement, work-site hazard analysis, hazard prevention and control, train-

The Next Step

References and Bibliography

Skill Development Exercises for Chapter 1

1-1 Maintenance is/are ____________.

 understand the differences between various maintenance approaches;

and emergency maintenance. [This] includes operational factors such as sched-

Maintenance Strategy and Control

Regardless of which strategy is used, maintenance should be seen as a way

• Control availability of equipment at minimum cost.

The maintenance department is responsible for the following tasks:

• Equipment often fails with little or no warning.

• Elevate the importance of energy management within the organization by

A systems manual is a composite document that includes the operation

effectiveness of the preventive maintenance tasks already in place (Wester-

Following are ten key steps to establish a predictive maintenance program:

1. Identify the following information for the most critical equipment:

Predictive maintenance techniques include chemical analysis, vibration

Figure 2-1 Technician performing vibration analysis on a chiller motor.

• Looseness and bent shafts

To perform vibration analysis, a technician connects a sensor to an acceler-

Figure 2-2 Thermographic inspection report.

scanner is used to systematically scan temperature profiles to find problems

dynamic fluid flow pressures are typically measured. Differential pressure

Motor current analysis is used to diagnose rotor problems, which can

• Broken or cracked rotor bars

refrigerant to a system, or performing major repairs that have a high potential

Reliability-Centered Maintenance (RCM)

To understand failure rates, the relationship between reliability and failure

Transitioning from Reactive to

Table 2-1 Maintenance Classes (Modified from Ring [2008a])