Step 5. Observe, Review, and Ensure Testing, Commissioning, and Owner Documentation

This section covers requirements in the codes that are not really amenable to plan review or field inspection.

These requirements include the results of testing, balancing, and commissioning, as well as documentation requirements.

Testing, Balancing, and Commissioning

These terms are used in various combinations with or without definition in all energy codes covered herein. The intent of all these requirements is to ensure that the building or system—as constructed—performs the way it is supposed to perform. This subject is covered in more detail in a topic brief entitled “Getting It Right.” This area is also covered in more detail in a section in the Compliance Toolkit entitled “Ensuring the Building Operates as Intended.”

Documentation Requirements

Most of the documentation requirements found in energy codes are provided to the code official to ensure compliance. However, there are also specific requirements for items that must be provided to the building owner in some codes. These items are typically items like as-built documents, narratives on how the building or its systems are designed to work, and proof that the building meets code. The items in the table below are specifically required in the IECC and ASHRAE Standard 90.1 to be provided to the building owner.

Residential Codes
Item 2009 IECC 2012 IECC
Maintenance Instructions Required to be furnished in Section 303.3 but no mention of who they should be provided to. Required to be furnished in Section R303.3 but no mention of who they should be provided to.
Permanent Certificate 401.3. R401.3.
Commercial Codes
Item ASHRAE Standard 90.1-2007 ASHRAE Standard 90.1-2010 2009 IECC 2012 IECC
Maintenance Instructions Part of manuals. Part of manuals. Required to be furnished in Section 303.3 but no mention of who they should be provided to. Required to be furnished in Section C303.3 but no mention of who they should be provided to.
Commissioning Plan Required in Section 6.7.2.4 for large HVAC systems, but no specific mention of building owner receiving it. Required in Section 6.7.2.4 for large HVAC systems, but no specific mention of building owner receiving it. Not required. Implicit in fact that commissioning is required.
Preliminary & Final Commissioning Report Not required. Not required. Not required. Section C408.2.4 and C408.2.5.4.
Drawings Section 6.7.2.1 for HVAC, Section 8.7.1 for Power. Section 6.7.2.1 for HVAC, Section 8.7.1 for Power, 9.7.2.1 for Lighting. Not required. Section C408.2.5.1.
Manuals Section 4.2.2.3, Section 6.7.2.2 for HVAC, Section 8.7.2 for Power. Section 4.2.2.3, Section 6.7.2.2 for HVAC, Section 8.7.2 for Power, 9.7.2.2 for Lighting. Section 503.2.9.3 (does mention maintenance manuals). Section C408.2.5.2 (does mention maintenance manuals).
System Balancing Report Section 6.7.2.3.1. Section 6.7.2.3.1. Required in Section 503.2.9.1 and 503.2.9.2, but no mention of building owner receiving it. Section C408.2.5.3