EBOOK Refrigeration Commissioning Guide for Commercial and Industrial Systems EBOOK Hướng dẫn Vận hành Lạnh cho Hệ thống Thương mại và Công nghiệp (Ashrae 2014)

The Essential Guide for Commissioning Refrigeration Systems

Because deficiencies in system design found at start-up are not easily resolved,
maintenance managers or operators may deal with unnecessary shortcomings
and expenses over the life of the facility. Commissioning helps project teams avoid
these “surprises” by establishing a consistent, stepwise process that helps “get it
right the first time.” The commissioning process starts with the initial planning and
design and continues through construction, installation, start-up, and the first year
of system operation. Commissioning also sets the stage for ongoing servicing and
maintenance of performance. The result is refrigeration systems that are easier and
less expensive to install and maintain, with lower energy costs, minimized liabilities
from refrigeration system leaks, and reduced loss of refrigerated product due to
system failures or unreliable performance.
Using this Guide will help achieve cost-effective and cost-efficient refrigeration systems
for new projects, expansions, remodels, and existing systems that simply need a tune-up.

Refrigeration Commissioning Guide for Commercial and Industrial Systems

The first of its kind, Refrigeration Commissioning Guide for Commercial and Industrial
Systems provides guidance to owners and managers of commercial and industrial
facilities that use refrigeration systems to help ensure that project requirements are
met and owners’ expectations are achieved. For commercial facility owners and
managers, this means improved profitability through lower operating and service
costs as well as reduced product loss.

Refrigeration
Commissioning
Guide for
Commercial
and Industrial
Systems

Commissioning Refrigeration Systems in
ISBN 978-1-936504-53-4

ASHRAE
1791 Tullie Circle
Atlanta,
GA 30329-2305
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9 781936 50453 4
404-636-8400 (worldwide)
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Product code: 90315 12/13

• Food Retail and Convenience Stores
• Small Retail Stores
• Food and Beverage Facilities
• Food Distribution Centers
• Industrial Plant Applications


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Refrigeration Commissioning Guide
for Commercial and Industrial Systems

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This publication was developed under ASHRAE’s Special Publication procedures and is not
a consensus document. It was developed under the auspices of ASHRAE Special Project 137
and was supported with funding from U.S. Department of Energy through
National Renewable Energy Laboratory subcontract #AGN-1-11923.

Cognizant Committee:
Refrigeration Committee

Refrigeration Commissioning Guide
Project Committee
Richard Royal—Chair
Wal-Mart Stores, Inc.
Bryan Beitler
Source Refrigeration and HVAC

Doug Scott
VaCom Technologies

Jon Edmonds
Edmonds Engineering Co.

Scott Smith
Hillphoenix

Timothy Gwyn

DC Engineering, PC

Paul Torcellini
National Renewable Energy Laboratory

Larry Meeker
Target

Robert Uhl
Safeway, Inc.

Scott Moore
PECI

Jim Vannan
Winn-Dixie

Caleb Nelson
CTA

Lilas Pratt
ASHRAE Staff Liaison
Bert Etheredge
ASHRAE Staff Support

Updates/errata for this publication will be posted on the
ASHRAE website at www.ashrae.org/publicationupdates.

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Refrigeration Commissioning Guide
for Commercial and Industrial Systems

1791 Tullie Circle, NE
Atlanta, GA 30329
www.ashrae.org
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ISBN 978-1-936504-53-4
© 2013 ASHRAE. All rights reserved.
1791 Tullie Circle, NE · Atlanta, GA 30329 · www.ashrae.org
Cover design by Laura Haass
ASHRAE is a registered trademark in the U.S. Patent and Trademark Office, owned by the American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc.
ASHRAE has compiled this publication with care, but ASHRAE has not investigated, and ASHRAE expressly disclaims any duty
to investigate, any product, service, process, procedure, design, or the like that may be described herein. The appearance of any
technical data or editorial material in this publication does not constitute endorsement, warranty, or guaranty by ASHRAE of any
product, service, process, procedure, design, or the like. ASHRAE does not warrant that the information in the publication is free
of errors, and ASHRAE does not necessarily agree with any statement or opinion in this publication. The entire risk of the use of
any information in this publication is assumed by the user.
While supported by the U.S. Department of Energy with the National Renewable Energy Laboratory, neither the United States

government nor any agency thereof, nor any of their employees, makes any warranty, express or implied, or assumes any legal liability or responsibility for the accuracy, completeness, or usefulness of any information, apparatus, product, or process disclosed,
or represents that its use would not infringe privately owned rights. Reference herein to any specific commercial product, process,
or service by trade name, trademark, manufacturer, or otherwise does not necessarily constitute or imply its endorsement, recommendation, or favoring by the United States government or any agency thereof. The views and opinions of authors expressed
herein do not necessarily state or reflect those of the United States government or any agency thereof and shall not be used for
advertising or product endorsement purposes.
Except for rights reserved by the U.S. Government, no part of this book may be reproduced without permission in writing from
ASHRAE, except by a reviewer who may quote brief passages or reproduce illustrations in a review with appropriate credit; nor
may any part of this book be reproduced, stored in a retrieval system, or transmitted in any way or by any means—electronic, photocopying, recording, or other—without permission in writing from ASHRAE. Requests for permission should be submitted at
www.ashrae.org/permissions.
Library of Congress Cataloging-in-Publication Data
Refrigeration commissioning guide for commercial and industrial systems.
pages cm
Includes bibliographical references and index.
Summary: "Provides how-to guidance for commissioning custom-engineered refrigeration systems in commercial and industrial
facilities to improve and supplement existing design, construction, and operational practices"-- Provided by publisher.
ISBN 978-1-936504-53-4 (softcover : alk. paper)
1. Refrigeration and refrigerating machinery--Industrial applications. 2. Refrigerators--Installation. 3. Commercial buildings-Equipment and supplies--Installation--Planning. I. American Society of Heating, Refrigerating and Air-Conditioning Engineers.
TP492.R3785 2013
621.5'6--dc23
2013041539

ASHRAE STAFF

SPECIAL PUBLICATIONS Mark S. Owen, Editor/Group Manager of Handbook and Special Publications

PUBLISHING SERVICES

PUBLISHER

Cindy Sheffield Michaels, Managing Editor

James Madison Walker, Associate Editor
Roberta Hirschbuehler, Assistant Editor
Sarah Boyle, Assistant Editor
Michshell Phillips, Editorial Coordinator
David Soltis, Group Manager of Publishing Services and Electronic Communications
Jayne Jackson, Publication Traffic Administrator
Tracy Becker, Graphics Specialist
W. Stephen Comstock

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Contents

Preface

The Business Case for Commissioning: A Message to Owners . . . vii

Acknowledgments

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix

Chapter 1

Introduction
The Need for Commissioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Purpose and Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
How to Use this Guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Chapter 2

Commissioning during Planning and Design
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Forming the Commissioning Team . . . . . . . . . . . . . . . . . . . . . . . 13
Developing the Owner’s Project Requirements (OPR) . . . . . . . . 15
Managing the Issues Log . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Developing the Commissioning Plan . . . . . . . . . . . . . . . . . . . . . 25
Developing the Basis of Design (BoD) . . . . . . . . . . . . . . . . . . . . 28
Requirements for Construction Documents (CDs) . . . . . . . . . . . 32
Deliverables and Acceptance . . . . . . . . . . . . . . . . . . . . . . . . . . . 34

Chapter 3

Commissioning during Construction and Installation
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Installation Planning and Scope of Work . . . . . . . . . . . . . . . . . .
Prefunctional Testing and Verification . . . . . . . . . . . . . . . . . . . .
Construction and Installation Details. . . . . . . . . . . . . . . . . . . . . .
Final Installation Commissioning and Review. . . . . . . . . . . . . . .

Chapter 4

37
41
45
50

55

Commissioning during Start-Up and First-Year Operation
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
Commissioning Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59
Start-Up Report and Handoff to Owner. . . . . . . . . . . . . . . . . . . . 63
Activities in the First Year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
First-Year Final Report and Acceptance. . . . . . . . . . . . . . . . . . . 68

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Refrigeration Commissioning Guide for Commercial and Industrial Systems

Appendix A

Roles and Responsibilities Matrix. . . . . . . . . . . . . . . . . . . . . . . . . . . 73

Appendix B

Example Commissioning Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77

Appendix C

Example Acceptance Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85

Appendix D

Technical Procedures
1
2
3
4
5
6
7
8
9
10

vi

Verifying Control Functions. . . . . . . . . . . . . . . . . . . . . . . . . . 89
Verifying Refrigeration System Capacity . . . . . . . . . . . . . . . 92
Evaluating Part-Load Operation . . . . . . . . . . . . . . . . . . . . . . 96
Checking Refrigerant Temperatures and Pressures and
Evaluating Setpoints . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Verifying Operation of Alarms . . . . . . . . . . . . . . . . . . . . . . . 101
Evaluating Refrigerant Piping . . . . . . . . . . . . . . . . . . . . . . . 104
Verifying Anti-Sweat Heater Control Operation . . . . . . . . . 107
Verifying Defrost Adequacy and
Defrost Control Operation . . . . . . . . . . . . . . . . . . . . . . . . . . 109
Minimizing Air Infiltration of Boxes and Cases . . . . . . . . . . 112
Evaluating the Use of Energy-Saving Features . . . . . . . . . 113

Glossary

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117

References

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

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Preface
The Business Case
for Commissioning:
A Message to Owners

Refrigeration Commissioning Guide for Commercial and Industrial Systems provides value to owners and managers of commercial and industrial
facilities that use refrigeration systems by ensuring that project requirements
are met and owners’ expectations are achieved.
Refrigeration systems account for a significant portion of commercial
building energy use and are often the largest energy end use in food and beverage facilities. A U.S. Department of Energy (DOE) study estimates commercial refrigeration uses 1.23 quads (1.23 × 1015 Btu) (1.30 EJ) per year, which
is approximately 7% of commercial building energy use. Nearly 70% of this
commercial refrigeration use consists of supermarkets and other customdesigned refrigeration systems (DOE 2009).
Supermarkets are the largest example: a U.S. Environmental Protection
Agency (EPA) study estimates that supermarkets typically use approximately
3,000,000 kWh of electricity per year, with 60% of that energy use attributed
to refrigeration (EPA 2007). Portland Energy Conservation, Inc. (PECI) predicts that commissioning in existing grocery stores would result in 7% to 25%

energy savings per year (PECI 2010). Based on these estimates, this commissioning guide, if widely adopted, would lead to substantial U.S. national
energy savings.
Custom refrigeration systems are complex and individually designed for
each facility. Deficiencies in the system design found at start-up are not easily
resolved and, as a result, maintenance managers or operators deal with unnecessary shortcomings and expenses over the life of the facility. The value of
commissioning is to establish a consistent stepwise process that helps “get it
right the first time,” resulting in refrigeration systems that “work right” and
minimize maintenance and energy costs.
Thousands of refrigeration systems are installed every year in facilities
ranging from convenience stores to large, sophisticated frozen food distribution centers. Properly commissioned systems reduce energy costs, are easier
to maintain, help minimize liabilities from refrigeration leaks, and reduce loss
of product due to system failures or unreliable performance.
Commissioning of refrigeration systems is currently uncommon. One reason is the belief that commissioning results in added cost and time without
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Refrigeration Commissioning Guide for Commercial and Industrial Systems

sufficient or measurable value. Certainly, commissioning is an investment, but
it provides significant financial value in several ways. First, systems operate
more reliably with lower maintenance cost and lower energy cost when commissioning is applied as described in this Guide. Second, incorporating commissioning can reduce first cost through improved understanding of system
performance and lead to better equipment design and installation methods.
Using this Guide will help achieve cost-effective and cost-efficient refrigeration systems for new projects, expansions, remodels, and existing systems
that simply need a tune-up. For commercial facility owners and managers, this
means improved profitability through lower operating and service costs as
well as reduced product loss. For industrial plants, this means improved “up

time” and improved labor productivity in addition to reduced operating cost.
The commissioning process is holistic and considers life-cycle performance, including the long-term operating (utilities and servicing) costs of the
refrigeration system. Commissioning is not another term for start-up. The
commissioning process starts with the initial planning and design and continues through construction, installation, start-up, and the first year of system
operation. Commissioning also sets the stage for ongoing servicing and maintenance of performance. This Guide provides the process and methods to help
achieve these desired results: expected performance and reliability with the
lowest life-cycle cost.

viii

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Acknowledgments

Refrigeration Commissioning Guide for Commercial and Institutional
Systems was developed to provide guidance to refrigeration system owners,
project/design managers, and refrigeration system service providers. This
Guide is the result of the collaborative effort of dedicated professionals who
unselfishly volunteered countless hours to give refrigeration system owners
and the refrigeration industry consistent validation processes that can be used
to bring order to the unorderly.
The primary authors were the members of ASHRAE Special Project
Committee 137 and provided the expertise and experience necessary to
develop the document. They represented manufacturers, contractors, and end
users of refrigeration systems.

The project would not have been possible without the financial support of
the U.S. Department of Energy (DOE) and National Renewable Energy Laboratory (NREL) as well as the invaluable support of ASHRAE. In addition,
DOE’s Better Buildings Alliance provided the project committee with the
technical services of Rebecca Legett and Robert Zogg of Navigant Consulting, Inc. I would also like to thank Paul Torcellini of NREL for his support
and help with the development of the document.
I would also like to personally thank all the members of the project committee for their diligence, creativity, persistence, and willingness to take time
to support the development and review of this Guide. They worked extremely
hard to put together practical and fundamental information covering the
aspects of commissioning applicable to a holistic approach. Their expertise
and differing views greatly enriched this Guide. The authors brought many
decades of experience, success, and failure to the text to achieve a significant
milestone for the refrigeration system owner and the refrigeration system
industry. I appreciate the patience of the committee members’ families during
the development process, and I gratefully acknowledge the support of the
committee members’ employers, including CTA; DC Engineering, PC;
Edmonds Engineering Company; Hillphoenix; National Renewable Energy
Laboratory; PECI; Safeway, Inc.; Source Refrigeration and HVAC; Target
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Refrigeration Commissioning Guide for Commercial and Industrial Systems

Corporation; VaCom Technologies; Wal-Mart Stores, Inc; and Winn-Dixie
Stores, Inc.
Additional thanks go to the ASHRAE staff, including Lilas Pratt and Bert
Etheredge, whose direction and guidance were invaluable and whose organizational skills and dedication helped keep the project committee on track.

Richard Royal
Chair, ASHRAE Special Project Committee 137

x

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1
Introduction

Refrigeration Commissioning Guide for Commercial and Industrial Systems provides user-friendly, how-to guidance for commissioning of customengineered refrigeration systems in commercial and industrial facilities. The
intended audience of this Guide includes system owners, architects, design
engineers, contractors, facility managers, and maintenance service providers,
as well providers of commissioning services.
Commissioning is a process for ensuring that a facility or system is
designed and operated as intended. Commissioning helps achieve larger goals
of sustainable design and operations, life-cycle cost-effectiveness, efficient
use of capital, minimizing overall maintenance costs and utility costs, long
equipment life and reliability, and meeting performance expectations.
ASHRAE addresses commissioning in two other publications: ASHRAE
Guideline 0, The Commissioning Process (2005), describes a general commissioning process applicable to any facility or system and ASHRAE Guideline
1.1, HVAC&R Technical Requirements for the Commissioning Process
(2007), addresses how the commissioning process is applied to heating, ventilating, and air-conditioning (HVAC) systems, with some discussion of refrigeration systems.
While Guideline 0 and Guideline 1.1 provide useful information, they do
not readily address the needs of refrigeration systems. Refrigerated facilities

are both numerous and among the most energy-intense commercial buildings.
Refrigeration Commissioning Guide for Commercial and Industrial Systems
builds on the concepts and process outlined in Guideline 0, providing specific
methods and approaches to achieve comprehensive commissioning of commercial and industrial refrigeration systems.
Development of this Guide began after multiple discussions within
ASHRAE concerning the value and need for such a publication and after consideration of many factors, such as the customized nature of refrigeration systems as contrasted to packaged HVAC systems and the typical methods of
designing and contracting for refrigeration work. These are two of the factors
that have resulted in very limited commissioning of refrigeration systems in
current practice. The value of commissioning is clear to those designing and
operating for improved sustainability in refrigerated facilities. To meet the
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Refrigeration Commissioning Guide for Commercial and Industrial Systems

apparent need and demonstrate the value of commissioning in the marketplace, it became clear that refrigeration experts should define the needs, determine the appropriate processes, and develop a guide specifically tailored for
the commissioning of refrigeration systems.

THE NEED FOR
COMMISSIONING

2

Refrigeration systems for most commercial and industrial facilities are
custom-engineered for each application, with individual equipment selected
and matched to meet project needs and designer preferences. In contrast, a

rooftop cooling unit or a packaged water chiller is factory built as a package
subject to standards and certification as a combined system, with performance
and specifications fully described and catalogued. While factory packages still
need commissioning, the more customized nature of refrigeration is an important factor in defining how refrigeration commissioning will be accomplished.
Refrigeration system designers choose the type of refrigerant, control valves,
compressor technology, method of oil management, capacity control measures, type of condensing (air or water cooled), and control system design and
strategies. Supermarket store-planners determine which display cases will be
used, what configuration will be laid out, and what merchandise will be in the
cases. Temperature, load, and evaporator layout can be completely unique
from project to project, requiring that compressors, condensers, evaporators,
valves, and receivers be designed specifically for each project. Various control
system providers and programmers contribute their products and services to
the completed system, which adds another layer of customization. There are
not only numerous manufacturers of compressors, condensers, cases, coils,
and controllers but also numerous owners and contractors with their unique
specifications—resulting in the possibility for infinite variations.
As with most construction projects, speed to market is critical. While
many companies have well-established specifications and criteria, limited
design time can make design coordination difficult. For example, to start pursuing permits for a new facility, a preliminary refrigeration design may be
completed early in the process. That design is then distributed for bidding and
construction several months later. When the equipment is received directly
from the providers, the contractor must integrate everything on site. This process can result in the design’s intent being lost. The commissioning process
can help to preserve that intent for manufacturers and programmers.
Historically, the design and construction of commercial and industrial
refrigeration systems have not followed the approach where the architect is
responsible for all design engineers and a general contractor is responsible for
all contractors. Refrigeration design has typically been separate from the
architect’s responsibility. The entire refrigeration scope may be assumed by a
design-build contractor responsible for engineering the systems, providing the
equipment, and performing the installation. The owner may have multiple

design, equipment, and installation providers, all under separate contracts.
Owners with multiple facilities may establish detailed criteria, design the
refrigeration systems in house, rely on an original equipment manufacturer
(OEM), or use a design consultant with refrigeration specialization. Because
much of the commercial refrigeration business involves repetitive construction (e.g., multifacility operations), refrigeration design often evolves from
one project to the next following a general criteria or relies on the experience

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1 ~ Introduction

ENERGY SAVINGS FROM COMMISSIONING
AS RELATED TO RETAIL SALES DOLLARS—A CASE STUDY
Background: A study of several recently opened stores owned by a large supermarket chain
revealed that each store had major shortcomings in the operation of its refrigeration and control
systems. The chain has a large development department that includes architects, engineers, project managers (PMs), construction managers, and others, so the store designs were based on a
well-developed set of specifications and criteria drawings and should have all been operating the
same way. Further investigation revealed that the contractors for the subject stores had not followed the plans and specifications.
Problem: One specific store in California had been open for more than a year at the time of
the study. The store had been designed to meet California Title 24 standards (CA 2013a, 2013b)
and the store design had been evaluated by a leading engineering firm using energy modeling
software. The modeling had shown that with all efficiency measures working properly the store
energy use would be 2,800,000 kWh/year. However, the actual energy use for this store during the
first year of operation was 3,500,000 kWh/year.
Lessons Learned: The Energy Management team developed and implemented a strategy to

retrocommission the store systems. The result was a reduction in annual energy usage of 750,000
kWh and annual cost savings of $90,000, bringing the system more in line with the expectations
generated by the model (see the figure).
Support for changes to address this issue at other stores and in future new construction
required attention from retail management. But, the value of these savings is difficult to grasp
when the focus is on sales dollars. Translating the savings into equivalent sales dollars shows that
the average supermarket would have to sell approximately $4,500,000 in groceries (or about 10
weeks’ worth of sales) in order to make up the dollar value of 750,000 kWh in energy savings.
Additional savings would also result from reduced maintenance and/or a possible increase in sales
from improved conditions in the store.
The magnitude of the savings demonstrated the cost-effectiveness of a new construction commissioning process that clearly defines expectations and verifies that equipment and controls are
performing according to expectations. Subsequently, other stores in the chain also experienced
savings ranging from 4% to 24% after similar retrocommissioning.
Commissioning should start before design so that expectations are met at the start of operation rather than errors being discovered and having to be fixed only after excessive energy consumption is realized.

Energy Usage in Kilowatt-Hours as Designed, Before and After Commissioning

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Refrigeration Commissioning Guide for Commercial and Industrial Systems

of “what works” and ensures product temperature requirements are met.
Design practice, equipment sizing, and performance expectations are highly

dependent on the experience of designers and contractors. Most refrigeration
components (unlike HVAC equipment) are not certified to a rating standard,
and generally equipment catalogs do not reference a test standard. Rules of
thumb and experience factors are inherent throughout the design, construction, and operation of systems and are related to the built-up nature of nearly
all refrigeration systems and related control systems.
Several retail chains have in recent years changed from reliance on vendor- or contractor-provided engineering to employing a refrigeration design
consultant and incorporating refrigeration with the other mechanical engineering responsibilities (e.g., HVAC, plumbing). This approach adds refrigeration
to the traditional mechanical, electrical, plumbing (MEP) design consultants
and creates a mechanical, electrical, plumbing, and refrigeration (MEPR)
team responsible to the owner and architect. In addition, it has become more
prevalent for the general contractor to assume responsibility for the refrigeration subcontractor. To address the fragmentation of the process, commissioning seeks to provide a common thread with the purpose of creating highperformance refrigeration systems that meet specifications as well as minimize energy consumption while increasing reliability and maintainability.

PURPOSE
AND SCOPE

4

The purpose of this Guide is to outline a commissioning process for
refrigeration systems that can be readily adopted by a wide range of owners,
designers, and contractors of commercial and industrial refrigeration systems
in the United States and globally. The Guide is designed to start at project
conception and extend through the first year of operation. Moreover, it also
establishes a basis for a continuous improvement process lasting throughout
the life of the facility.
This Guide is intended to improve and supplement existing design, construction, and operational practices. Since most companies have successfully
refined their practices to achieve on-time and on-budget projects, commissioning must be carefully considered and adopted such that the existing
responsibilities for design, supplier compliance, and contract completion are
not diminished. Table 1-1 shows the people involved in commissioning a project and describes their roles or interests in the process.
A key concept in the Guide is that the commissioning work is a process or
function that entails multiple entities and individuals over the course of a project—commissioning is not simply the work of a single commissioning authority (CxA). The Guide is designed to be flexible and to acknowledge the varied

methods of designing and contracting refrigeration work across industry segments and from company to company. The Guide can be easily adopted in part
or in whole, without assuming one contracting method over another. Users of
the Guide will need to determine the elements that are appropriate to their
projects, interests, and capabilities and define the responsibilities within available company and project team resources.
This Guide does not attempt to comprehensively address system design,
detailed construction specifications, construction methods, or detailed routine
start-up procedures (e.g., oil and refrigerant charging methods), and it does
not include safety topics.

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1 ~ Introduction

Table 1-1 Potential Participants in the Commissioning Process

Owner

In general, “owner” relates to “who is paying the bills” and has the greatest interest in life-cycle cost
and getting value from the system. Examples include the following:
• Individual owner of business who may be very involved with project specifics, such as an
independent store or specialty food manufacturer owner
• Owner not directly involved with project specifics, such as a property investment/management
firm funding an expansion of a refrigerated warehouse
• Large company or chain where the owner is represented by an employee or a third-party agent

Tenant

The tenant directly or indirectly pays for operating costs. Some projects are built to suit the needs
for a particular tenant based on medium- or long-term arrangements.

Engineering
Team

Refrigeration design engineer(s), including the following:
• Consulting refrigeration engineer
• Engineer(s) for design-build contractor
• Refrigeration equipment supplier(s)
• Individual acting as Engineer of Record, as required
Other engineers and disciplines, including the following:
• Thermal envelope designer, in the case of a refrigerated warehouse
• Control system designer, vendor, or contractor
• Electrical engineer, related to refrigeration equipment and controls integration with other
systems

Contractors

Refrigeration contractor(s), including the following:
• One contractor providing and installing refrigeration equipment and controls
• A separate controls contractor
• A separate contractor for walk-ins or thermal envelope and doors

Safety and
Code
Consultants

Depending on the type of project, the location, and the type of equipment, additional consultants or
specialists may be responsible for safety concerns and complying with safety regulations. Special
concerns arise from certain system types (such as ammonia systems).

Commissioning services may be provided by the following:
• Independent third-party commissioning consultants who manage and coordinate the overall
commissioning process (see the sidebar “Best Practices for a Commissioning Authority:
Commissioning
Independence, Perspective, and Understanding” in Chapter 2 of this Guide)
Service
• A member of the design team
Providers
• The design-build refrigeration contractor
• Technical commissioning specialists who provide third-party testing and verification to
implement the technical aspects of commissioning
Operations and maintenance personnel are responsible for keeping the equipment operating and
maintaining temperature limits. They may be in house or outside contractors and may be different
after the warranty period. The operations interests for a facility can vary widely:
Operations and • Chain supermarkets often have an operations division that prefers a standardized view of
refrigeration focused on reliability, maintainability, and energy performance.
Maintenance
Personnel
• An industrial project may require close coordination by plant operators, maintenance personnel,
and production staff, particularly on an existing facility expansion.
• For a new facility, the on-site operations staff may be involved late in the process, only as they
are hired or assigned to the location.

Energy and
Sustainability
Consultants

Various parties may be involved with energy efficiency and sustainability, including the following:
• Corporate departments measuring facility performance with metrics such as energy, water, and
sustainability
• Energy efficiency consultant engaged by owner
• Utility and related program consultants for incentives and design assistance programs
• Labeling and certification program consultants (e.g., bEQ, LEED®, Green Globes, ENERGY
STAR®)

Other

Projects with new or special equipment, systems, or technology may include an associated
representative to assist with design integration and commissioning. An Information Technology
representative may be necessary to support data communications and management of information
resources required to meet commissioning objectives.

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Refrigeration Commissioning Guide for Commercial and Industrial Systems

The Guide emphasizes refrigeration systems commonly used in commercial and smaller industrial facilities (e.g., retail food stores, halocarbon systems for warehouses, and small food facilities, etc.). While the commissioning
processes outlined will also apply to commissioning of large industrial ammonia-based refrigeration systems and large built-up central compressor plants,
specific technical procedures related to large industrial and ammonia systems

are not addressed in this Guide.
The phases of commissioning described in Refrigeration Commissioning
Guide for Commercial and Industrial Systems are, in order:
1. Planning and Design
2. Construction and Installation
3. Start-Up and First-Year Operation
This Guide is intended to be used within a variety of construction and
contracting arrangements, including the following:
• Design-build projects by refrigeration contractors
• Owner-designed projects installed by a refrigeration contractor
• Projects designed by the owner’s consultant and installed by a refrigeration contractor
This Guide is expected to be used frequently by design-build contractors,
who manage the commissioning process largely on the owner’s behalf and/or
execute the technical procedures. While the benefit of an independent thirdparty perspective may not be achieved with this approach, this reflects the
reality of the industry and how many commercial and industrial projects are
contracted as well as the fact that a great deal of the relevant expertise resides
with design-build contractors. For this reason, the Guide is designed to
accommodate a “self-managed” method as well as apply to commissioning
activities performed by consultants and independent third parties. Additional
perspective on third-party commissioning authorities is provided in the Chapter 2 sidebar “Best Practices for a Commissioning Authority: Independence,
Perspective, and Understanding.”
This Guide is designed to address the characteristics of typical refrigeration applications and systems, including the following:
• Refrigeration systems must perform (maintain temperatures) at all
hours of operation, in contrast to air-conditioning systems, which
may be designed to meet temperatures a certain percentage of hours.
The consequences of failing to maintain temperatures are therefore
more problematic in refrigeration systems than in air-conditioning
systems. Thus, safety factors are a practical necessity for refrigeration systems, though the amount of safety factor realized by the
installed equipment and systems is rarely quantitatively tested.
• Refrigeration systems are custom built from components rather than

factory-assembled packages. As such, each system is unique and
performance is greatly affected by component interactions and control methods. Compressors and condensers are selected to meet the
needs of multiple loads and multiple application conditions, with
control valves and electronic control systems often selected and
applied by parties different than the provider of the major components.

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1 ~ Introduction

• Retail chain stores and other large users commonly purchase equipment directly from multiple vendors to increase competition and
obtain the best-in-class product for each use. Equipment may be
specified and purchased under blanket bidding/purchase agreements.
• The owner (or engineer) often defines the manufacturer and the type
of operating controls energy management system (EMS) that will be
included with the equipment from one or more OEMs and installed
by one or more contractors and then addressed by another controls
contractor to include HVAC and lighting. This increases the integration challenges and can contribute to uncertain responsibilities and a
lack of coordination between system design features, control system
capability, and programming.
As previously stated, this Guide is intended to address the needs of all
custom-designed refrigeration systems, including those for industrial applications, retail food stores, and other commercial applications. However, retail
food stores provided the largest source of examples concerning design, construction, and facility operations, and the examples vary by business size

(including national chains, independent chains, and individually owned
stores), responsibility for design and design methods, contracting choices, and
type of maintenance operations. Historically a large portion of refrigeration
design in this sector has been provided by manufacturers and design-build
contractors, along with a smaller portion of owner-designed and consultantdesigned refrigeration and HVAC systems. Plus, supermarkets are remodeled
and expanded over the life of the facility, providing multiple opportunities to
realize benefits from commissioning. Using examples from this wide range of
industry characteristics has resulted in a Guide that is expected to be adaptable
to other industrial and commercial refrigeration applications.
Because commissioning is undertaken to achieve a project that meets
owner expectations, this Guide is designed on the assumption that the owner
(or owner’s representative) will provide the assignment, directions, and overall impetus for commissioning. Commissioning will be most successful when
all project participants fully understand the commissioning process and take
initiative and action in their areas of responsibility and expertise.
There are two major aspects of the Guide: the commissioning process and
the technical procedures used in commissioning. The process could be considered the “business of commissioning” while the procedures are the “nuts and
bolts” (i.e., how to commission).
In some cases, these constructs may overlap or not be perfectly separated.
Users of the Guide may choose to draw the line between the process and technical procedures in a manner that best suits their businesses and facility
designs and construction methods. This Guide provides examples of only the
most common technical procedures; individual Commissioning Plans should
include the identification and development of project-specific technical procedures to ensure effective component- and system-level commissioning.

HOW TO USE
THIS GUIDE

Refrigeration Commissioning Guide for Commercial and Industrial Systems traces the development of refrigeration systems from concept through
design, construction, and start-up. Chapters 2, 3, and 4 cover the phases of
commissioning: Planning and Design, Construction and Installation, and

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Refrigeration Commissioning Guide for Commercial and Industrial Systems

Start-Up and First-Year Operation. Each chapter includes a flowchart with
steps outlined that users can follow to ensure that the end result will meet the
expectations of the owner as well as a roles and responsibilities table that
breaks out the possible interested parties and their involvement in the commissioning process. Sidebars are dispersed throughout the Guide to offer realworld examples to strengthen points and provide additional ideas and insights.
The appendices provide resources for viewing the roles and responsibilities of
people involved in commissioning for all phases in one table (Appendix A),
an example Commissioning Plan (Appendix B), an example acceptance plan
(Appendix C), and technical procedures that describe activities that may be
conducted when commissioning refrigeration systems (Appendix D). Also
included is a glossary of terms commonly used in refrigeration commissioning practice.
During the development of this Guide there was much discussion regarding the need for consistent terminology within the refrigeration industry, and
the committee spent some time coming to a consensus on the terminology and
acronyms used in this Guide. Though there is no separate acronyms section
included, the acronyms are indicated throughout the text when the terms are
used and they are included in the glossary entries.

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2
Commissioning during
Planning and Design

INTRODUCTION
Objectives

The core objective of commissioning during planning and design is to
ensure that a project is designed to be “commissionable.” Starting the commissioning process in this phase helps to establish a framework by which
commissioning is embedded in the project from the beginning. Specifically, it
ensures that the Owner’s Project Requirements (OPR) are the foundation of
the project and that all subsequent phases of the project are based on this welldefined set of requirements. This chapter describes the key documents developed and activities undertaken in this phase to help ensure the project achieves
the goals defined in the OPR and to facilitate commissioning of the project.

Process

The main commissioning activities during the Planning and Design Phase
are the development or compilation of several key documents: the OPR, the
Basis of Design (BoD), and construction documents (CDs). The Commissioning Plan is developed and refined concurrent with development of these documents. As explained in ASHRAE Guideline 0 (2005), the OPR describes what
the owner’s requirements are for the project, the CDs show how the requirements are tangibly met, and the BoD ties the two together.
Although these documents are developed during the Planning and Design
Phase, they must be revisited and revised as needed throughout the project.
For example, if a requirement in the OPR cannot be met, the designer must
specify why in the BoD, detail what was done instead, and seek approval from

the owner to have the OPR revised. In this regard, the OPR, BoD, and CDs,
along with the Commissioning Plan, will be living documents throughout the
life of the project. As the project progresses and new team members become
involved in the project, these foundational documents must be made available
and presented with clear expectations so that everyone involved may be held
accountable.
As much as possible, the procedures, documents, guidelines, and forms to
be used during the construction, start-up, and first-year commissioning activities should be identified during the project design, realizing that some details
may change based on final design, equipment, and vendor selections. An

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Refrigeration Commissioning Guide for Commercial and Industrial Systems

important step during planning and design is to define the details and costs
associated with making the facility commissionable and to include information to define expectations and form a basis of comparison. Examples of commissionable items include pressure taps, flowmeters, specifications for data
logging and history capacity, etc. These are often relatively minor costs when
included in the initial design but can be physically impossible or difficult from
a budget standpoint to add after a project is designed and under construction.
Figure 2-1 details activities related to commissioning during the Planning
and Design Phase and the order in which they should ideally occur. Activities
may vary depending on the nature of the project.

Defining the Scope
of Commissioning

for a Specific
Project

The scope of commissioning for a specific project must be defined at the
outset of the project by the owner, with involvement of the initial design team
and other stakeholders. The owner and executives of the key parties set the
tone for commissioning: defining expectations, gaining understanding, and
providing the support necessary for success. Defining the commissioning
scope includes describing the roles, responsibilities, technical considerations,
and processes necessary to achieve the functional and performance goals of
the project. Design team members, the owner or owner’s representatives, contractors (in the case of a design-build project), and others involved in planning
and design are typically all involved in defining the expectations of facility
performance and/or how the facility and systems will be commissioned.
Expectations and budgets go hand in hand. Particularly when the commissioning process is new, upper-level management support is essential to help
define how commissioning fits into the business process, how financial value
will be determined, and how sufficient budgets and manpower support will be
allocated. The nature and extent of the commissioning to be performed as well
as the expectations that define success must be decided and clearly stated.
The areas of design, specification, equipment, construction, and performance that affect commissioning or are affected by commissioning should be
decided on in order to define responsibility and involvement. Table 2-1 provides an example means of defining scope and involvement.

Roles and
Responsibilities

The roles and responsibilities of all entities directly or indirectly involved
in the commissioning process should be established as part of the Commissioning Plan. Key roles in the commissioning process include, but are not limited to, the following:
• Owner: The entity who owns the building and the project. The owner
may assign a representative to perform commissioning tasks and be
responsible for core project parameters such as budget, schedule, and
other project-specific restrictions and limitations—typically this person is the owner’s project manager (PM). The owner may set very

detailed and specific project requirements or, as in the case of a
design-build project, leave more of the means and methods up to the
manufacturers and contractors.
• Commissioning Authority (CxA): The entity managing the commissioning process. The CxA may be a subcontractor to the designer or
an independent contractor but should be independent of the design
team so as not to pose a conflict of interest.

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2 ~ Commissioning during Planning and Design

Figure 2-1 Planning and Design Commissioning Flowchart

• Refrigeration Designer: The entity designing the refrigeration system. Depending on the applicable state and local codes, the refrigeration designer may be a licensed, professional Engineer of Record.
Depending on the owner or specific project, the refrigeration
designer could be an employee of the owner, a consultant to the
owner, or an employee of the contractor, such as in a design-build
project.
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Refrigeration Commissioning Guide for Commercial and Industrial Systems

Table 2-1 Example Scope Definition Document
Design Topic

Example Details

Standard
Documents

List of standard references and materials used for facility design
(e.g., equipment lists, details, specifications) that are to be
employed as part of the basis for overall project design.

Site-Specific
Documents

List of site-specific development documents (e.g., surveys,
planning reports) that are to be employed as part of the basis for
overall project design.

Design and
Contracting
Summary

Definition of intended responsibility for design and construction,

including as applicable design professionals, project managers
(PMs), consultants, contractors, and how these will be selected at
each phase of the project.

Design and
Selection Criteria

Ambient conditions, codes and standards, criteria for system
options (air vs. water, refrigerants, direct vs. indirect, etc.),
guidelines for future capacity and functional flexibility, and tenant
requirements.

Design Options

Options to be developed for owner consideration and required
analysis (e.g., first cost, energy analysis, life-cycle calculations).

Operational
Requirements

Temperature requirements in spaces and for equipment,
operational hours, traffic peak and hourly assumptions, pull-down
loads, and product definitions.

Economic
Considerations

Facility life expectancy, incremental payback requirement, and
budgets.

Load
Calculations

Definition of responsibility for load calculations, tools to be used
(e.g., peak design or modeling), and parameters required for
subsequent commissioning.

System Design

Standard product specifications, acceptable manufacturers and
product configurations.

HVAC/Mechanical Coordination of space conditions, methods of heat recovery, and
Integration
requirements for performance measurement and commissioning.

Control System
Integration

Network design, integration with other systems, standard vendors
or functional requirements, and functional definitions—where
responsibilities, required level of detail, and sensor and data
requirements must be adequately defined to support the
commissioning process during system troubleshooting.

• Refrigeration Contractor/Installer: The entity hired to install the
refrigeration system or certain aspects thereof.
• Refrigeration Original Equipment Manufacturer (OEM): Manufacturer of the refrigeration equipment, e.g., refrigerated cases, compressor racks, condensers, etc.
• Other Contractors/Specialists: Other entities hired either directly by
the owner or as subcontractors to the designer who are responsible

for certain aspects of the refrigeration system or its supporting elements (e.g., a control system contractor).
• Building Service, Operations, and Maintenance Staff: People who
will occupy, operate, and support the refrigeration system and the
building itself throughout the life of the system.
Table 2-2 shows an example of commissioning roles and responsibilities
during the Planning and Design Phase. This table is an example for a project

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2 ~ Commissioning during Planning and Design

Table 2-2 Example of Roles and Responsibilities Matrix
in the Planning and Design Phase for an Owner-Specified Project
Role

Responsibilities in the Planning and Design Phase

Owner or Owner’s
Representative

• Provide OPR, site information, financial information, and
product/equipment specifications.
• If desired, undertake cost/benefit analysis of energysaving features.

• Provide direction on the extent of required commissioning
to be reflected in the OPR and Commissioning Plan.
• Review and approve BoD, Commissioning Plan, CDs, and
sequence of operations (SoO) and accept deliverables.
• Identify which technical procedures must be performed as
part of the commissioning process.

Commissioning
Authority (CxA)

• Lead development of Commissioning Plan.
• Review OPR, BoD, CDs, SoO, and product/equipment
specifications.
• Work with owner to identify technical procedures that are
relevant to the project.

Refrigeration Designer
(Engineer of Record)

• Develop the BoD, CDs, and SoO.
• Review product/equipment specifications and modify as
needed.
• Provide input on cost/benefit analysis of energy-saving
features, Commissioning Plan, and systems manual.

Refrigeration
Original Equipment
Manufacturers (OEMs)

• Provide input on cost/benefit analysis of energy-saving

features.

Control System
Contractor

• Provide input on cost/benefit analysis of energy-saving
features.

Facility Operations and
Maintenance Staff

• Provide input on site information, OPR, and BoD.

that is largely owner specified, with the owner providing many of the system
specifications to the refrigeration designer and contractors (as opposed to a
design-build project, where the owner may provide minimal detail in the
requirements). An example of a full roles and responsibilities matrix for all
phases in one table is provided in Appendix A.

FORMING THE
COMMISSIONING
TEAM

The formation of the Commissioning Team is the first step in successfully
executing the commissioning process in the Planning and Design Phase. It is
crucial for the owner to have appointed a CxA prior to the development of any
project documents or requirements. The CxA can also help the owner decide
what other entities are required to make up a complete Commissioning Team
and also solicit the appropriate input from the team and the owner to generate
project documents.

Since the activities of the CxA ideally extend from initial design through
the first year of operation, the owner must contract for these services, whether
from one entity or several, separate from the construction contracts. The
means of contracting for CxA services will vary based on the practice followed by each owner, but a clear delineation of the CxA’s role, responsibilities, and authority is essential. Moreover, the CxA’s activities must be
coordinated with the commissioning-related work to be carried out by vendors

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Refrigeration Commissioning Guide for Commercial and Industrial Systems

ROLE AND RESPONSIBILITY OF THE COMMISSIONING AUTHORITY
The text included in this sidebar is an excerpt from Annex L of ASHRAE Guideline 0 (2005).
This annex provides an example of how to implement part of Guideline 0; it is not intended to be
a comprehensive representation or a best practice example.
2. THE COMMISSIONING AUTHORITY (CxA)
2.1 The primary role of the CxA is to verify
achievement of the OPR throughout the project, from
Pre-Design Phase through Occupancy and Operations Phase. The Owner should perform this role.
2.2 When the Owner cannot perform the CxA
duties with qualified personnel, then the CxA
should have a separate professional services agreement with the Owner, as this avoids conflicts of
interest and provides independence from the other
parties (the Owner’s project manager, designers of

record, construction managers, suppliers, and construction contractors). This professional services
agreement defines the duties, rights, and responsibilities of the CxA for each phase of the project.
This separate relationship allows the CxA to act
independently as director of Commissioning Process activities, to focus on achieving the OPR, and
to communicate directly with the Owner.
2.3 The CxA is a group of personnel with
expertise and experience in the design, construction,
and operations of the various systems and assem-

blies included in the project. These personnel are
led by an individual who has expertise and experience in successfully implementing the Commissioning Process.
2.4 If the CxA is an employee, associate, or
partner of the same organization as the designer of
record or construction management firm, there is a
conflict of interest. While not a recommended
approach, in these instances the CxA must have a
separate professional services agreement, be organizationally separate from the design team or construction management team, and define and manage
the conflicts of interest to provide the Owner with
the independence required for the Commissioning
Process to be successful.
2.5 The CxA does not perform testing; it directs
the process and directs the recording of the results.
The CxA plans, schedules, and supervises Commissioning Process activities to verify achievement of
the OPR. The Contractor completes construction
checklists, performs tests, and accomplishes other
Commissioning Process activities.

and contractors as defined in the CDs. As detailed in Annex L of ASHRAE
Guideline 0 (2005), the CxA’s role must be considered and refined for each
project to suit the owner’s business practices as well as project-specific necessities and constraints.

In this Guide it is not assumed that there will be one CxA throughout the
entire project. While a single CxA entity is suggested as the best practice
model, the industry requires time and experience for these skills and capabilities to develop and be offered by engineering practitioners and service providers. For some companies (e.g., multifacility operations), other methods may
be more consistent with their business practices.

Contracting for
CxA Services

14

The CxA’s role and responsibilities can be defined in a CxA specification
or in a project-specific request for proposal (RFP) describing the tasks the
CxA will perform at each phase of the project. Annex E of ASHRAE Guideline 0 (2005) provides an example format that can be used to define responsibilities and request proposals for CxA services.
Depending on the content of the project documents, the commissioning
services may be engaged using one of the following methods:
• Solicit proposals from prospective third-party CxAs.

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