CHAPTER 40 OPERATION AND MAINTENANCE MANAGEMENT

CHAPTER 40. OPERATION AND MAINTENANCE MANAGEMENT

Operating a building, like operating any piece of machinery, entails dynamic assessment of when to turn systems on and what the set points of those systems should be. Examples include determining what level of lighting is needed for particular spaces and times, or how much ventilation air is necessary in certain rooms. Building operations also include deciding whether and when to turn those systems off or to a reduced level of output if they are no longer needed. Building maintenance involves performing any tasks designed to ensure that building systems are functionally available at acceptable levels when needed. Both operation and maintenance impact building performance, which is the building’s ability to fulfill its design intent.

As buildings age, their performance (particularly energy performance) drifts from design. Even new buildings can experience degradation in the first few years of operation due to errors in design or construction, manufacturing defects in equipment, or human activity (e.g., adjusting thermostat set points, adding plug loads, leaving things on when not in use). A Lawrence Berkeley National Laboratory study (Mills 2009) found that retro- or recommissioning activities that reset operating parameters to meet current facility requirements can improve existing building performance by 7 to 29%. Given the unavoidability of building system wear and performance drift, it is clear that active management of both the operation and maintenance is necessary to maintain the desired levels of building performance.

Managing operation and maintenance (O&M) includes planning, implementing, and evaluating the outcomes of both operation and maintenance activities. More specifically, this consists of setting performance goals; developing strategies to achieve the established performance goals; communicating both the goals and the results to the building managers, operators, and users; and then providing direction to building operators and maintenance staff, coordinating their efforts based on available resources, and supervising their work. This is all done with the end of achieving and maintaining the established building performance targets. Buildings may have several performance goals, including condition, availability, functionality, system reliability, water use, and indoor environmental quality. Energy use and energy cost are also two key parameters by which the performance of many buildings is measured. This chapter presents a general discussion of how buildings may be operated to minimize these. It also outlines various approaches to maintenance, as well as strategies, tools, and required documentation for both operations and maintenance management programs.

1. OPERATION AND MAINTENANCE AS PART OF LIFE-CYCLE COSTS

Building life-cycle cost is the sum total of costs associated with owning and operating a building over its lifetime. Chapter 38 offers a detailed discussion of life-cycle costs specific to operating and maintaining buildings. Figure 1 identifies the major categories of building life-cycle cost as acquisition, operation, maintenance, and decommissioning.

The costs involved with each of these components depend on many factors, such as the nature, size, location, and management of the facility. However, several studies have found that, although the costs of operations and maintenance tend to be dwarfed by the costs of beneficial use and staff salaries, they exceed the costs of design and construction many times over. For example, Romm (1994) found that, over a 30-year period, operations and maintenance costs are about three times the cost of design and construction, and Yates (2001) found that operational costs are approximately five times construction costs over a 60-year building life. Results of the Building Owners and Management Association (BOMA) 2008 Experience Exchange Report indicate that, specifically for office buildings, operation and maintenance costs are approximately 11 times that of initial design and construction costs. Figure 2 shows the results of BOMA’s 2017 analysis of office buildings: utilities, maintenance, and repair accounted for more than 50% of typical operating expenditures, further underscoring the need to prioritize building operations and maintenance management. Although the weight of cost elements clearly varies depending on the time period of study, type of facility, and other factors, it is generally understood that utility, maintenance, and repair costs are significant contributors to building life-cycle costs and that building performance cannot be optimized without also optimizing these principal factors.

Figure 1. Typical Building Life-Cycle Cost Categories

2. OPERATING A FACILITY FOR OPTIMAL PERFORMANCE

In essence, there are as many ways to operate a facility as there are facilities to be operated. During planning phases, the building design team develops the building attributes (e.g., operating set points, schedules, sequences) to meet the owner’s project requirements (OPR), including those for energy performance. Thus, buildings should generally be operated in accordance with their design. However, over the course of time, building uses may evolve. Likewise, so do standards of thermal comfort and indoor environmental quality. Frequently, building operation schemes do not reflect current building needs or the current state of technological advancement. Research has shown that many buildings have the potential to reduce energy consumption by 10 to 40% by modifying outdated operation strategies (Landsberg et al. 2009).

Table 1 Examples of General Operating Principles in Practice

Operating Principle	Building System
Operating Principle	HVAC	Lighting	Domestic Hot Water
Turn systems on only when needed	Heat and cool spaces no more than needed to maintain set points. Start morning warm-up/cool-down as late as possible while meeting IEQ set points upon occupancy.	Turn lighting on only when spaces are occupied.	Lower storage temperatures when building is unoccupied for extended periods.
Turn systems on only to extent needed and optimize system output with available free sources	Use economizers to offset need for mechanical cooling. Use recovered heat for preheating. Ventilate spaces based on demand. Reset working chilled- and heating-water temperatures based on outdoor air conditions. Use set-point setback and setups during unoccupied hours.	Use multilevel general lighting and task lighting. Coordinate lighting power with available daylighting	Use lowest storage temperature such that delivery temperature to farthest faucet matches design temperature. Use recovered heat to preheat hot water.
Turn systems off when no longer needed	When spaces are unoccupied for extended periods, reset cooling set points to maximal values and reset heating and ventilation set points to minimal values. As early as possible, allow system to coast to unoccupied set points, while maintaining IEQ set points during occupancy.	Turn lighting off when spaces are unoccupied.	Lower storage temperatures when building is unoccupied for extended periods.

In general, there are three guiding principles to optimize facility operation for energy performance: (1) only turn systems on when needed, (2) only turn systems on to the extent needed, and (3) turn systems off or to minimum acceptable output levels when acceptable. These three operating principles can be applied to all building systems that consume energy, including those for occupant conveyance and service water. Table 1 provides examples of the principles in practical applications. Often these principles are instituted with the aid of existing control algorithms, though sometimes additional equipment is also required.

Figure 2. Facility Operating Expenditures for Typical Office Building (Adapted from the 2017 EER [BOMA])

Implementation of these principles varies with specific spaces. For example, consider two enclosed offices, one on the perimeter and one on the interior of a building. Both offices require an average illuminance level of 40 foot-candles when occupied. However, whereas the interior office will likely always require the entire amount of installed lighting power to achieve the required illuminance level, there will likely be times when artificial lighting in the perimeter office can (and should) be offset by natural daylight to reduce energy consumption. There may even be times when the perimeter office needs no artificial lighting. Any electric lighting used during such times would constitute wasted energy and degrade building performance.

Similar guidance applies to HVAC systems; spaces should be cooled, heated, and ventilated only when necessary; cooled just to the maximum acceptable temperature; and heated to the coolest acceptable temperature. Additionally, cooling, heating, and ventilation should be coordinated with occupancy needs, outdoor conditions, and the availability of non-energy-consuming alternatives, such as economizer air to offset mechanical cooling. As an illustration, consider a space-heating boiler designed to provide 600 million Btu/h with 180°F water on a design day of 0°F. On winter days when the outdoor temperature is 25°F, the facility will still require heating, but it will not require the full 600 million Btu/h. An older way of modulating boiler output is to simply periodically fire the boiler and allow it to deliver 180°F water to the radiators. With this approach, the space may experience wide and uncomfortable temperature swings. Additionally, off-design-day system losses would be similar to design-day losses (i.e., they would be maximal). A more efficient method of modulation is to reduce the boiler output, lowering the hot-water temperature as the outdoor temperature rises. This advanced operating method limits temperature swings and further improves system performance by reducing stack and distribution losses.

ASHRAE Guideline 36 provides more comprehensive guidance on operating facilities in a manner that improves building performance. It includes a list of detailed standardized sequences of operation specific to HVAC systems, which can be used to reduce energy consumption while improving indoor air quality. The sequences are also designed to elevate fault detection from lagging to real-time, which can help reduce downtime.

3. MAINTENANCE STRATEGIES FOR OPTIMAL PERFORMANCE

Maintenance tasks can include inspecting, adjusting, lubricating, cleaning, nondestructively testing, and repairing or replacing components. These activities are designed to minimize the risk of failures and to preserve the performance of building assets, thus enabling them to be used effectively to meet owner and occupant requirements for thermal comfort, indoor environmental quality, and energy efficiency. They also allow for the evaluation of conditions that can indicate the probability of acceptable future performance. These condition indicators can be evaluated by observation, as with fan belt wear, or by measurement, as with compressor amperage draw. As soon as condition indicators suggest unacceptable future performance, remedial actions should be expedited to avoid failures or excessive repair costs. Thus, to ensure acceptable building performance, condition indicators should be monitored and reviewed regularly.

The time interval between successive assessments of a particular condition indicator defines the maintenance task frequency. Tasks may be performed once per shift, daily, weekly, monthly, quarterly, semiannually, annually, or at other intervals. For example, ASHRAE Standard 180 recommends that variable-speed drives on air handlers be checked for proper operation every six months and corrected if necessary. Task frequencies are typically derived from manufacturers’ recommendations, which are based on failure mode effect analyses, average time between failures, and other reliability data. However, these frequencies can (and should) be adjusted based on actual field conditions and data. For example, if acceptable condition indicators are found on three successive inspections of heat exchanger tubes, the interval between tube inspections can be extended. Similarly, if unacceptable conditions are found in two successive inspections, the interval should be shortened, and in this case, depending on the criticality of the component, a systematic root cause analysis may need to be undertaken to identify and remedy the cause of unacceptable performance.

Condition indicators, maintenance tasks, and task frequencies are developed based on the building performance objectives, which are the desired outcomes measured in terms of equipment and system deliverables. Primary deliverables are typically occupant thermal comfort, building energy consumption, and indoor environmental quality. Other deliverables may include system uptime, mean time between failures, mean time to repair, and normalized cost data. Building performance objectives should be quantitative, and efforts should be made to define any qualitative objectives in quantitative terms that can be more easily and objectively measured.

Maintenance activities can be planned or unplanned, active or reactive but in general, there are three basic maintenance strategies that define when maintenance activities are performed. In run-to-failure maintenance, minimal or no resources are invested in maintenance until equipment or systems break down. Once breakdown occurs, the equipment is repaired or replaced. This strategy is most often used when the cost of maintenance or repair exceeds the costs of replacement and acceptable losses in the event of a failure. The equipment may or may not be monitored for proper operation, depending on the consequences of a loss of beneficial use. For example, instead of repairing a vibrating window air conditioner, it may be operated until failure, then replaced with a new unit. Other types of equipment for which this strategy might be suitable are light bulbs; batteries; baseboard, wall, and other types of electric heaters; some valves; and fractional horsepower recirculating pumps. Run-to-failure maintenance can be planned or unplanned. If unplanned, replacements are treated reactively with levels of urgency that depend on the criticality of the equipment and the system it supports. If planned, spare parts, components, or equipment are on hand to replace failed units so that interruptions of service are minimized.

Preventive maintenance is planned and scheduled, either by equipment run time or by calendar. In this strategy, maintenance tasks are performed at frequencies recommended by the manufacturer, industry standard, or as adapted to field conditions. This proactive strategy is typically used for essential building equipment such as pumps, air handlers, boilers, ductwork, elevators, and transformers. One of the disadvantages of preventive maintenance is that it can lead to excessive maintenance costs because tasks are performed on schedule regardless of whether the equipment requires them. Thus, though preventive maintenance is currently the most common maintenance strategy, strategies specifically designed to optimize maintenance intervals continue to grow in popularity.

Predictive maintenance uses measurements of the condition and/or performance quality of equipment and systems to guide maintenance activities. Current conditions and performance can be compared to benchmarks determined by industry standards or facility historical performance. Rates and types of component wear and/or performance degradation are used to predict when failure is likely to occur. Corrective maintenance action can then be planned and scheduled to take place, just in time before failure or loss of beneficial use. By basing maintenance actions on analysis of actual field data, both excessive and too infrequent maintenance can be avoided, thereby minimizing downtime and maintenance costs, maximizing maintenance personnel productivity, and optimizing plant reliability. As shown in Figure 3, Hudacheck and Dodd (1976) found that using a predictive maintenance strategy for general industrial rotating machinery can reduce maintenance costs by almost 60%.

Figure 3. Relative Maintenance Cost for General Industrial Rotating Equipment (Adapted from Hudacheck and Dodd 1976)

Table 2 Basic Maintenance Strategies

	Basic Maintenance Strategy
	Run-to-Failure	Preventive	Predictive
Principal objective	Minimize maintenance tasks and expenses	Minimize failure and maintain durability, reliability, efficiency, and safety	Cost-effectively minimize failure and maintain durability, reliability, efficiency, and safety
Key advantages	Minimal staff requirements Minimal planning	Extends asset life Maintains energy efficiency Reduces unplanned downtime	All preventive strategy benefits Prevents unnecessary maintenance Optimizes maintenance costs Optimizes building performance Optimizes staff productivity Enhances ability to troubleshoot and identify root causes
Key disadvantages	Downtime costs Inability to plan Increased capital spending High inventory costs to minimize downtime	Does not consider asset wear, which can lead to unnecessary maintenance expense	Requires highly skilled staff to interpret data Requires monitoring and diagnostic equipment

An evolving subcategory of predictive maintenance strategies referred to under various names (e.g., condition-based maintenance, reliability-centered maintenance, benefit-based maintenance) is also in use. Each iteration focuses on a particular performance index to determine when and what maintenance should be performed. All forms of predictive maintenance, however, rely on nondestructive testing and observation to obtain the data on which future performance is predicted. Future failure predictions can be based on nearly any indicator of performance degradation that changes gradually over time. Typical nondestructive diagnostics include tools and techniques such as (1) thermal infrared imaging of electrical connections to determine whether mechanical joints are tight; (2) electrical current analysis to diagnose motor winding faults; (3) vibration analysis to identify imbalances, bearing wear, and misalignment in rotating equipment; (4) chemical analysis of oil and grease for contamination; (5) measurement of pressure differentials across filter banks and heat exchangers to determine optimum change or cleaning frequency; (6) measurement of temperature differentials to indicate proper performance of chillers and air-handling equipment; (7) sonic testing to measure material thickness at critical wear points in piping; (8) dye testing to identify cracks in components; (9) eddy current testing to evaluate the integrity of chiller heat exchanger tubes; and (10) visual inspection of fan belts to identify and characterize wear.

Condition and performance measurements can be completed either continuously or periodically. Periodic measurements tend to be performed manually by operators on routine patrols or while performing other tasks. For example, the condition of water or glycol in hydronic loops can be checked by sampling fluids while cleaning strainer baskets and changing filters. Visually checking fan belts for wear or using ultrasonic microphones to detect leaks in steam or compressed air systems or to detect dry motor bearings can easily be incorporated into regular patrols.

Although using manual patrols to detect faults does alert maintenance staff to the presence of some issues that require attention (e.g., burned-out lamps), there may be a lag between the fault occurrence and its detection. Depending on the equipment and its criticality, this lag could have a significant impact on performance. Additionally, there are some faults (e.g., failed outdoor air dampers) that are not easily discovered by patrol. Continuous monitoring provides more information and enables identification of failures as they occur. Advancements in this area, coupled with building automation systems (BAS) and controls, have given rise to automated fault detection and diagnosis (AFDD). This software-based tool can keep operations and maintenance staff better apprised of the conditions of HVAC&R equipment and systems and can help manage both equipment-level and system-level maintenance activities. With AFDD, system performance indicators are automatically monitored, measured, and compared to expected values. The expected values may be input into the AFDD tool manually, or they may be extracted from a building information model (BIM), a computer-based tool increasingly used during building design and construction. Discrepancies are identified and analyzed for root causes using algorithms based on engineering principles and empirical data, and a list of facility-specific recommended corrective action is generated.

AFDD greatly improves the operating energy efficiency of commercial HVAC systems, and its benefits have been validated in part by studies that document a wide variety of detected operating faults in common HVAC equipment (Breuker and Braun 1998; Breuker et al. 2000; Comstock et al. 2002; House et al. 2001, 2003; Jacobs et al. 2003; Katipamula et al. 1999; Proctor 2004; Rossi 2004; Seem et al. 1999). The immense value of AFDD lies principally in its ability to identify unwanted operating conditions that waste energy and that are not easily discoverable by cursory observation. This is particularly true for equipment that may be installed in locations without easy access (e.g., on roofs, above ceilings, in walls) that are inspected infrequently. Examples of detected faults include economizers in packaged air conditioners and heat pumps not operating properly; low or high (depending on the season) refrigerant charges; condenser and filter fouling; faulty sensors and controls; electrical problems; and air-handling units with too little or too much outdoor-air ventilation, poor economizer control, failed outdoor-air dampers, and other problems. For a detailed explanation of AFDD, see Chapter 63.

Choosing the Best Combination of Maintenance Strategies

The ideal maintenance program preserves the required asset reliability and availability at the lowest cost by identifying and implementing actions that reduce the probability of failure to an acceptable level. It is unlikely that a single strategy will satisfy the availability, reliability, performance, and economic criteria for all assets in a facility. Thus, optimal maintenance programs generally incorporate all three basic strategies selectively. For example, a program might use a run-to-failure replacement strategy for lighting, windows, and door weatherstripping; a preventive strategy for water heaters; and a predictive strategy for chillers and air handlers. Each basic strategy has advantages, disadvantages, and cost implications that should be considered when defining a maintenance program. Table 2 provides a simple characterization of the basic strategies.

When developing a maintenance program, the needs of each asset class or system should be considered separately. For each asset, an economic analysis weighing the costs and benefits of the three basic strategies should be performed. Because maintenance takes place over the life of an asset, the economic analysis will need to determine the net present values of costs and benefits. For details on performing net present value calculations, see Chapter 38.

The economic evaluation may include many factors; however, those that are essential to strategy selection include

Owner and occupant requirements for availability and performance of the asset
Criticality of the asset function, both stand-alone and within any applicable systems
Cost to purchase the asset
Cost to replace the asset
Life-cycle labor costs for maintenance associated with the asset
Effects and consequences of failure
Cost of downtime resulting from asset failure
Safety issues related to asset failure
Cost of required staff training to maintain the asset
Cost of required instrumentation and diagnostic tools to maintain the asset

Other factors may include benefits, such as productivity improvements, improved indoor environmental quality, and enhanced occupant comfort and satisfaction. Qualitative benefits such as these do not have simple monetary values and will need to be assigned monetary worth. To reduce subjectivity, it is recommended that formulas be developed for valuing non-monetary benefits. Once the costs and benefits have been determined and summed, they can be compared to determine which of the three strategies has the greatest benefits, or the least cost. This information can then be used to more objectively select the optimal maintenance strategy for each asset, asset class, or system.

Elements of Effective Operations and Maintenance Programs

Simply put, building operation is the engaging, disengaging, and modulation of building systems, and building maintenance is the series of activities performed to keep those building systems in acceptable working order. Often, the function of many building systems is largely automated, though building operators are still tasked with ensuring that those systems function correctly as intended. Additionally, all building maintenance activities are performed by people. Thus, building operations and maintenance management is essentially management of the people who operate and maintain buildings. A general definition of management is the planning, organizing, and control of a process or activity to achieve a certain outcome. A successful O&M management program can, therefore, be defined as one that manages the activities of the people who operate and maintain buildings, achieving effective use and preservation of assets.

Organization

Whether for a single building or a facility complex of buildings, operations and maintenance management is a team effort. It demands the participation of the building owner, occupants, facility manager, and various other staff. A successful program requires (at least)

Senior management’s commitment, in both form and action, to support the program
A shared understanding and appreciation of both the quantitative and qualitative benefits of operations and maintenance activities
A written program with clear objectives, methods, and targets that are directly tied to owner and occupant requirements and to business objectives
Development and integration of long- and short-term performance goals, objectives, and plans along with the tactical, day-to-day operational activities
Sufficiently budgeted resources (including people, training, and tools) to fulfill duties
Regular evaluation of performance, progress and outcomes with course corrections implemented as necessary
A well-organized system for maintaining records

The importance of senior management’s commitment to operation and maintenance cannot be overstated. Senior management provides direction and leadership, and sets the course for the organization on every front. Without management support, operation and maintenance initiatives will lack adequate resource allocation and fail. Demonstrated support necessarily takes several forms, including

Establishing a policy statement that aligns facility performance with business performance
Assigning an accountable O&M advocate
Establishing a team to track facility performance that includes representatives from finance and human resources departments as well as the operations and maintenance functional group
Budgeting resources to support the program
Measuring and reviewing performance on a regular basis, recognizing and rewarding success.

Ultimately, the implementation team will be responsible for performing the operation and maintenance tasks. The challenge for management personnel is to harmonize the two functions of operations and maintenance to deliver an effective and cohesive program.

Communication is also critical to success and best achieved through documentation of the program. The level of detail should allow each team member to comprehend his/her individual role, responsibilities, and objectives, as well as how his/her contributions complement those of others. This helps ensure that everyone is working toward a common end and facilitates continuity when members leave or join the team.

An essential aspect of the written program is specifying the relationship between asset and building performance and the organization’s productivity. Communicating how the facility’s performance fits into the organization’s mission and success makes it easier for business managers to make budget and resource allocation decisions that support facility operation and maintenance objectives.

Like a building, the O&M management program is dynamic; it should be considered a living document. Over the life of a building, performance objectives are likely to change, as for example, when building tenants change or building systems are upgraded. At regular intervals and most especially at times of significant change, the O&M management program should be re-evaluated and updated to ensure that it continues to be aligned with building owner and occupant objectives.

O&M Goals and Targets

Setting goals is a process that begins with the end in mind and bridges the gap between the desired outcome and the point of origin. Objectives are broad statements describing fundamental desired outcomes, and goals are statements that describe the intermediate steps or achievements necessary to support the larger objective. For example, an organization’s senior management might establish an objective of being recognized amongst its peers for sustainability. To support this objective, several operations-related goals might be established, such as reducing water consumption by 2% annually, reducing energy waste by 15% by the end of the year, or achieving a total energy utilization index (EUI) of 155,000 Btu/ft² · yr in two years. The measurable parts of the goals are the targets. To be effective, all goals must have targets. Targets should be clearly defined and specifically linked to building systems and equipment performance parameters. They should also be attainable by the equipment and systems to which they pertain; be results oriented and relevant to the overall objective; and establish a time frame to create an appropriate sense of urgency.

Many facility goals will be related to the operation and performance of the building as a whole or to certain building systems. However, the maintenance program is generally established to mitigate the degradation and failure of specific assets while enabling assets to deliver the required performance. Therefore, the maintenance program also needs goals and targets specific to maintaining equipment reliability: the probability that equipment or a system will perform its intended function for a specified period of time when used under specific conditions and environment. A related concept is durability, or the average expected service life. Manufacturers quantify durability as design life, which is the average number of hours or years of operation before failure, extrapolated from accelerated life tests and from stressing critical components to economic destruction. Chapter 38 tabulates median years of equipment service life for many typical pieces of HVAC equipment. A common goal for a maintenance program is to have equipment attain or exceed its design life.

Another common reliability-related maintenance goal focuses on uptime, the percentage of time the equipment is operable when needed. For example, the reliability of data centers is often defined, in part, by uptime, with target values ranging from 99.671% uptime (an allowable downtime of 28.8 h per year) to 99.995% uptime (an allowable downtime of 26 min per year). Other related concepts that are more qualitative include capability, the ability of a system to satisfactorily provide the required level of service; and maintainability, which is a singular, calculated value representing the ease, accuracy, safety, and economy of performing maintenance.

The term sustainability is also increasingly used in relation to operation and maintenance programs. In recent years, the term has been used generally to mean providing for the needs of the present while not compromising the ability of future generations to meet their own needs. However, when applied to operation and maintenance practices, its historical definition (able to be maintained at a certain level) is more useful. ASHRAE Guideline 32 suggests using the term to indicate that the performance level of operation and maintenance practices can be upheld and that they can keep building systems operating at their intended levels of performance.

By adding a measurable target to any of these reliability-related concepts, they can be converted into a goal suitable for the maintenance group. When establishing maintenance goals, consideration must also be given to available financial and human resources, the age of equipment and systems, and capital projects planned for the near future. Additionally, maintenance goals must balance the criteria of building operating plans and the criticality of equipment and systems. For example, in systems for which continuous operation is a critical requirement, procedures must be established to perform maintenance while equipment is operating, or redundant capacity may be needed to allow for off-line maintenance without interruption of operation of the equipment or system.

Reviewing Performance Data

Equipment- and system-level data should be reviewed regularly to ensure that all equipment is operating as intended. These data reviews can be thought of as an extension of the maintenance inspections. The frequency of the review should be such that any necessary adjustments to the equipment or system can be made within a reasonable time after discovery to minimize energy waste. In a facility equipped with a building automation system (BAS), it is important that operation and maintenance staff spend time each day looking at the system’s alarm history and analyzing the data it presents. Dillenbeck and Sheppard (2018) suggest conducting the alarm review during a daily meeting, during which the operator’s log from the previous shift is reviewed line by line. The log should include the entry date and item number, location and description of the fault, action taken, and follow-up action recommended or requested. The log should also include a space for system specialists to indicate their notes, additional findings, actions taken or planned, and whether any additional follow-up by the operator is required. Automated fault detection and diagnosis (AFDD) software can be a valuable tool here because some fault conditions are not individually alarmed. For example, consider an outdoor air damper that has failed in the open position. A BAS may not alarm this specific condition, but the fault can be inferred by knowledgeable and attentive operators from the unusually low (or high, depending on the season) temperature in the mixed air stream as compared to return and supply air temperatures.

In reviewing the daily log, pay special attention to any parameters that are not within allowable tolerances, because this can help to identify system correction or improvement opportunities. Regardless of the nature of the poor performance, a thorough analysis should be conducted to ensure that the root causes of any problems have been identified. Only then can proper solutions be devised and implemented. There are a variety of analysis methodologies that may be used to pinpoint sources of poor performance. In selecting a problem-solving approach, care must be taken that the rigor of the analysis be commensurate with the scale and scope of the problem.

Although daily logs are an important tool for the operations and maintenance team, they should not be viewed in isolation. Data trends are equally important. Trended data can help predict future performance in advance of potentially unwanted conditions, and this advance notice can often help to save energy as well.

Commissioning Before, During, and After Turnover

Commissioning is a quality assurance strategy that goes far beyond equipment check/test/start procedures or the testing and balancing of distribution systems. It is a formal process for integrating all project requirements throughout all the phases of building development. Commissioning verifies and documents that the facility and its systems are planned, designed, constructed and/or installed, tested, operated, and able to be maintained in order to meet the owner’s project requirements. It includes the development and documentation of the owner’s project requirements (OPR), the required function of the facility and how its success will be determined, and regular reviews to ensure the OPRs are continuously met as the project progresses. Chapter 44 provides an overview of commissioning for HVAC systems. ASHRAE Standard 202 and Guideline 0 offer guidance and define the standard of care that should be taken in delivering a commissioning project with all the major systems typical of a complete facility.

Ideally, the systems and equipment of every new construction, addition, and alteration project should be commissioned before turning over the facility to the operations and maintenance team. This helps to ensure that a fully functioning and high-quality facility is delivered and that the facility management team is adequately trained and prepared to operate and maintain it. Commissioning facility projects also helps to enhance communication and reduce misunderstandings, reduce the number of change orders, reduce the total cost of project delivery, and improve the delivered quality and value for the building owner and occupants.

Commissioning activities take place through the project delivery process, and a well-written commissioning specification will include provisions for the commissioning authority (CxA), the entity contracted to manage the commissioning process, to provide quality assurance services through the warranty period or first year of occupancy. In addition to ensuring that systems continue to function without issue, involvement of the CxA through the initial occupancy period ensures that the building operators and maintenance team are adequately prepared to fulfill their duties as planned. The commissioning authority’s continued participation also helps to identify and address deficiencies in operator or maintenance personnel training. With the growing introduction of building controls and the fast pace of technological advancement, this benefit cannot be overestimated.

Periodically, existing buildings may need to be commissioned. Over time, equipment performance may drift from design or building function may change. Both recommissioning systems that were previously commissioned and retrocommissioning systems that have not previously undergone commissioning largely follow the same process as the commissioning of a new facility. However, there are some key differences. For example, in commissioning, the OPR are provided to the commissioning authority as part of the design documents that establish acceptable performance levels. However, in retro or recommissioning, the commissioning authority must develop and define the current facility requirements in conjunction with the building owner and occupants. Guidance for facility retrocommissioning and recommissioning is provided in ASHRAE Guideline 0.2

Both recommissioning and retrocommissioning have a high potential to reset system performance to near original levels. However, drift from initial performance is a naturally occurring eventuality. To better ensure that building systems remain optimal throughout the facility service life, a policy of ongoing commissioning (OCx) should be considered. Ongoing commissioning is a continuation of the commissioning process throughout the service life of the building. With ongoing commissioning, the original owner’s project requirements are dynamically updated as they change. These updated requirements are referred to as the current facility requirements (CFR). Ongoing commissioning is cyclical and activities are repeated at intervals appropriate for the facility, its use, and its management team. Guidance for ongoing commissioning is also provided in ASHRAE Guideline 0.2

4. DOCUMENTATION

Information on the facilities, systems, and equipment is essential for appropriate and informed operation and maintenance. It also aids in staff training; troubleshooting; updating program elements such as schedules and operating strategies; updating maintenance approaches; budgeting; assessing and communicating performance; and managing facility upgrade and retrofit projects. ASHRAE Guidelines 0 and 4 provide detailed guidance on preparing accurate, relevant operation and maintenance documentation that is easy to use and update. Additionally, ASHRAE Standard 90.1 includes documentation requirements for specific systems, such as building envelope, lighting, power, HVAC, service hot water, conveyance, and others. The design and commissioning team should ensure that a comprehensive systems manual (as outlined in these guidelines) is provided to the owner.

For new construction, the design team should establish operation and maintenance documentation requirements as part of the owner’s project requirements. Deliverables should support the expected maintenance strategy, skills of the maintenance and operations staff, and anticipated resources to be committed to performing operations and maintenance tasks. The requirements for operation and maintenance programs developed for existing facilities are the same, but the O&M staff may play a larger role in developing the documents (rather than the design team).

O&M Documents

For projects involving new equipment, it is critical that all information required to operate and maintain the systems and equipment be compiled before project turnover to the owner’s staff. Moreover, it is essential that the information be made available to the entire facilities department so that everyone responsible and accountable for operating and/or maintaining equipment has sufficient information to successfully perform their role. Whether operation and maintenance documentation is being assembled by the design team or by the facilities team, it is a good practice to compile the information into a series of interrelated manuals as it becomes available. In addition to being used by the facilities team to operate and maintain the building, this information can be used to support design and construction activities, commissioning, initial training of O&M staff, and facility start-up.

A complete operation and maintenance library includes a document directory, an emergency information and procedures manual, a facility operating manual with operating procedures and as-built construction documents for all major systems, and a facility maintenance manual with detailed maintenance procedures and commissioning test reports for all major systems and equipment. Recommended contents for each manual are provided in Table 3.

The O&M library will serve the facility for the building’s lifespan. It contains many documents and manuals that will likely evolve and grow in number over time. During this time, staff turnover may also occur any number of times. An operation and maintenance document directory lists and identifies the location of all the information and documents held by the facilities team. A directory that is well organized and current facilitates quick reference by both existing and new technicians and operators.

Additionally, regardless of building type, function, or size, it is imperative that emergency information be directly distributed to emergency response personnel. Including this critical information in the operation and maintenance library ensures that it is immediately available when needed by nontechnical persons (e.g., security and medical responders), as well as by technical persons (e.g., building operators, utility personnel, firefighters).

Table 3 Recommended Tables of Contents for Manuals Forming O&M Documentation Library

Operating Manual	Safety Manual	Maintenance Manual
General information - Building function - Building description with as-built construction documents - Energy budget - Operating standards with sequences of operation, set points, and acceptable ranges of values - Operating logs - Communication requirements: (1) performance, progress, and status reporting to management, and (2) advising occupants of seasonal changes and other alterations Technical information - System descriptions, including as-built drawings - Seasonal start-up and shut-down procedures - Operating routines and procedures - Seasonal shutdown procedures - Emergency procedures - Other special procedures, for example operation during extreme weather - Basic troubleshooting Required testing - List of systems requiring testing, along with required test frequencies and procedures (e.g., fire protection system, boilers and pressure vessels, etc.) - Log of test dates and results - Contact information for contractors providing third-party testing	Communication protocols Objectives Key performance indicators (KPIs) Regulations Responsibilities and accountabilities Building and building maintenance related hazards Training requirements for emergency topics, type, and frequency Required safety measures - Safe work practices - Engineering controls - Administrative controls - PPE What to do in the event of an emergency, including the following, as applicable - - Fire - Security breach - Flood - Gas - Power outage - Plumbing overflow - Elevator - HVAC - Refrigerant release - Chemical spill	Equipment inventory - Equipment description, function, and associated system - Data sheets (approved submittals) with operating and nameplate data - Purchase date and warranty information - Equipment location Maintenance program and procedure information - Maintenance plan with KPIs - Manufacturer installation, operation, and maintenance (IOM) instructions - Spare parts information (may be in the IOMs) - Corrective and planned maintenance task lists with frequencies, as applicable - Health and safety plan (HASP) - Required personal protective equipment (PPE) - Emergency procedures - Reports for air and water distribution systems testing, adjusting, and balancing (TAB); systems commissioning; factory tests; etc. - Repair histories

Documentation Methods

There are two basic methods for collecting and archiving operation and maintenance documents: (1) hard-copy paper documents and (2) soft-copy, electronic documents maintained in a computer database. The chosen method should be aligned with maintenance program complexity and scope, as well as the accessibility needs of facility management and the skill level of maintenance staff. Both methods allow staff to enter, archive, update, and evaluate information on building systems and assets efficiently and effectively. However, with advances in communications technology and the prevalence of computers and other smart devices, many staff members find it easier to maintain, access, and update documents electronically and, at times, remotely. Nevertheless, in general, operators of small, single, and simple buildings still tend to rely on paper documents whereas operators of large, complex buildings and facilities are more inclined to use computer-based documentation methods. Regardless of which method is used, it is important that O&M staff be provided adequate time to regularly collect and document the required performance information. Otherwise, the data collected may not be of the quality or accuracy needed to support effective decision making.

A computerized maintenance management system (CMMS) is a software tool to

Plan, schedule, and track maintenance activities
Store maintenance histories and asset inventory information
Communicate building operation and maintenance information
Generate reports to quantify maintenance productivity.

It can be used by facility managers, maintenance technicians, third-party maintenance service providers, and asset managers to track the status, asset condition, and cost of day-to-day maintenance activities. The number and type of modules used in a CMMS are specified by the facility management team, depending on the facility’s needs and the management team’s goals. Typical CMMS modules include provisions for requesting, generating, and tracking the progress of work orders; inventory control; maintenance planning; equipment histories; maintenance contracts; and key performance indicator (KPI) tracking, analyzing, and reporting.

Although a CMMS is not required to manage maintenance activities, they are becoming more commonly used (Sapp 2016). When implementing a CMMS in a new or existing facility or upgrading an existing CMMS, the requirements of the tool, as well as communication protocols and interfaces, must be carefully planned. Although using a CMMS has the potential to increase the facility management team’s efficiency and serve as a historical maintenance archive, more than 50% of CMMS implementations fail (Berger 2009). One reason for failure is inadequate data population. To overcome this challenge, especially when new buildings and major renovations are designed and constructed using building information modeling (BIM), open information exchanges should be used. A supplement in the ASHRAE Handbook Online version of this chapter provides a brief overview of what open information exchange standards are, followed by a descriptive list of current and developing open information exchange standards. Selecting the right software does not guarantee that using a CMMS will improve maintenance productivity, so it is important to evaluate, document, and align facility management processes with how the CMMS will be used. When implementing or upgrading a CMMS, adequate time should be allocated to design new processes and develop a set of system requirements, using a participatory approach that includes all stakeholders (Berger 2009).

5. STAFFING

In addition to maintaining building assets in acceptable working order, it is important for maintenance staff to be able to provide good customer service. This means responding effectively to service requests and complaints from building occupants. The level of customer service provided, and how that service is perceived, are both determinants of success and continued support for the maintenance organization. Thus, determining quantity and necessary skills of staff is critical. Questions that every operation and maintenance department must answer include

How many persons are needed to operate the facility? How many are needed to maintain the facility?
What skills must the operations and maintenance teams possess?
Should the facility operation and/or the facility maintenance be self-performed or contracted with a service provider?

One of the first steps in estimating staff size requirements is to translate the maintenance plan into a series of tasks and then to estimate the time necessary to perform each task, considering the number and frequency of all tasks, as well as when they can or need to be completed. The size of the staff should be such that work loads are appropriate and that personnel can perform their assigned maintenance tasks and duties both safely and within acceptable time limits. References, such as APPA (2011), provide standard labor units for maintenance tasks to help develop projections of time requirements.

Facility operating hours also affect staff sizing. For example, hospital maintenance staff need to be on site around the clock to ensure building systems and other critical systems are functioning properly and to address any operational issues that may arise. Other considerations for staff sizing include available funding, staff sourcing, labor agreement provisions, vacations, sick days, when maintenance is likely to be required, and business imperatives.

Table 4 Common Roles Within Operations and Maintenance Department

Role or Job Function	Key Responsibilities:
Shift Operator	Provide patrols and respond to emergent issues, including BAS alarms Document condition indicators as required Document conditions and issues requiring resolution or further attention Attend each day’s roundup meeting
Equipment or system specialist	Triage reports from operators Determine skills, tools, etc. required to resolve outstanding issues Prioritize work Ensure that corrective work is not dropped, waylaid, or misinterpreted Work with site trades Manage service contracts Manage special system requirements (such as water treatment) for performance and safety
BAS and controls programmers and technicians	Diagnose and resolve issues with the BAS instruments, electronic components, and computer code
Planner/scheduler	Review operator and system reports Issue work requests Plan and schedule work Review and update task descriptions
Project leader	Work with stakeholders to develop project scopes Maintain a prioritized list of proposed projects Develop and execute capital funded projects Assist in bidding work and securing contractors Work with the contractors to execute the work
Project comptroller	Track operating, maintenance, and capital project costs Prepare regular reports for business management
Facility manager, head of section, or department head	Oversee the BAS/HVAC section. Provide guidance and direction to the department staff Mange operating and capital budgets Communicate facility and departmental needs and performance to senior management

As with other organizational departments, the maintenance department should be staffed by people with a variety of talents. The nature of the job tasks dictates the required levels of skill staff members must possess to perform the work. For example, facilities with large central heating plants may require stationary operating engineers, and industrial facilities with large centrifugal chillers requiring a compressor teardown to inspect bearings every five years require a different level of skilled maintenance than a facility served by a single residential-style furnace or small packaged rooftop unit. Factors to consider when defining needed skill sets include the complexity and criticality of the equipment and systems to be maintained, the rigor of the maintenance program, the actual maintenance tasks that must be performed, and whether any special skills or certifications are required to perform them.

In addition to tradespeople and regardless of facility size, equipment type, or system complexity, there are certain roles that every operation and maintenance department needs to fulfill. In large organizations, the roles may be discrete; in small organizations, individual staff members may need to take on multiple responsibilities. Exact titles vary depending on the preference of the defining organization, but the essential functions, adapted from Dillenbeck and Sheppard (2018), include operators, specialists, planners, project leaders and department heads. Table 3 provides a summary of each role.

Training

To be effective and efficient, operation and maintenance management staff must have both technical and managerial skills. Managerial skills include providing direction, guidance, correction, and coaching to the personnel who operate and maintain the facility. Facility management responsibilities may include developing operation and maintenance strategies; determining program goals and objectives; and administering contracts with tenants, service providers, and labor unions. Even when specialized contract maintenance companies provide certain services, the facility manager needs to be skilled in these areas to be a smart consumer of services.

Technical skills include the ability to understand how mechanical and electrical systems operate and how equipment maintenance is performed, as well as the analytical problem solving expertise of a physical plant engineer. Additionally, because the interest in sustainable, high-performance buildings continues to grow, it is also suggested that staff be trained in how to recommission and/or retrocommission systems. Doing so will help ensure continued efficient system operation, minimal operation and maintenance costs, and occupant satisfaction.

The training program should be established with a written training plan. Ideally, the training plan would originate in the predesign phase of a construction project and be incorporated into the project commissioning plan and construction documents. However, the training plan can be a stand-alone document and can be initiated at any time in the life of the facility. The plan should identify the knowledge and skills necessary for everyone with a stake in the facility. This includes the owner, facility managers, building operators, and occupants. However, all stakeholders will not require the same degree or amount of training. Facility managers and operators will require in-depth systems and equipment training, whereas the training requirements for occupants will be more cursory and simply provide a general awareness of how occupant behavior can impact facility performance. The plan will necessarily evolve over time. It should always be reviewed annually and define

The skills, knowledge, and performance expected to meet the key responsibilities of each job (refer to Table 4 for key responsibilities for some technical jobs)
Who needs to be trained, what current knowledge and skill levels are, and the budget and other resources allocated for training
The training schedule and how it fits into the larger project
The duration of initial training and requirements for refresher courses and/or continuous education
Specifications for trainers as well as training materials, delivery methods, and archives of reference materials
Specifications for documentation, verification, and records of training efforts and accomplishments

For construction projects, training should incorporate the owner’s project requirements; for existing facilities, it should integrate the current facility requirements. Training for the facility management team should cover all the building systems and equipment, including mechanical, electrical, plumbing, controls, conveyance, and any special or unique systems (e.g., those for laboratories and cleanrooms) in the facility. As appropriate to specific job duties, training should cover the OPR and/or current facility requirements, as well as routine operation and maintenance. It should also include simple and major repairs, overhauls, failure modes, system interactions, and emergency operations and procedures. ASHRAE Guideline 1.3-2018 provides additional guidance for development and implementation of training programs that support acceptable building performance.

Self-Performance Versus Contract

For most enterprises with large facilities, maintenance organizations are not usually part of the core business, and economic considerations become an important factor in determining whether maintenance will be self-performed or provided by a contractor. For self-performance, another cost factor to consider is the cost of training for development and training for various credentials. Wage structures, the available labor pool, staff skills, and ability to perform specialized tasks are among the other factors considered when deciding to self-perform or contract facility O&M.

Often, owners of (one or even several) small buildings cannot justify the expense of employing in-house maintenance personnel. Thus, they may decide to contract out all operations and maintenance work. In these cases, it is important that the contract specifies that the work to be carried out is consistent with the recommendations in this chapter as well as industry standards and guidelines such as ASHRAE Standards 180 and 100 and ASHRAE Guidelines 4 and 36. The contract should also specify periodic operational checks of equipment operating schedules, set points, and indoor air quality. There should also be provisions to protect key building owner intellectual property and ensure it is available for continued use beyond the service provider’s contract. Such intellectual property includes

Equipment tagging database and equipment tags installed in the field
Preventive maintenance task list and schedule for each piece of equipment
Operator’s log books and electronic logs
Records of inspections and preventive and corrective maintenance performed
End-of-life and capital upgrade plans
BAS and other programmable system hardware and software, including all passwords and access permissions

When the owner employs in-house operations and maintenance staff, responsibilities should include operation checks and maintenance duties (as needed and within staff capabilities), in addition to responding to occupant complaints and overseeing corrective actions. At minimum, it is reasonable to expect changing filters, belts, and motors; lubricating bearings; and similar routine maintenance. In many buildings, particularly larger ones or campuses, in-house maintenance staff may include specialized expertise, reducing the need to retain contractors. However, whenever the operator cannot service and repair the systems or components installed, the owner should ensure that qualified contractors and technicians perform the work. Additionally, when there are regulatory or certification requirements to perform specialized work, the owner’s in-house staff must either possess the certification, or the work must be contracted out to someone who does possess the required certification.

Commonly, a mix of the two approaches is used: routine performance checks and inspection tasks are self-performed, and repairs to major equipment are contracted to factory-authorized service providers. This approach can reduce expenses associated with the tools and training necessary for infrequently needed maintenance activities.

Often, with the mixed approach, cost-plus service agreements (in which the service provider is paid for all allowed expenses, plus a fee for profit) are used because they make it easy to begin work when only a partial scope of required work is known, especially in cases where costs can unexpectedly increase, such as with emergency repairs. Where maintenance programs are well defined, and thus conducive to firm, fixed-price contracts, alternative contracting methods can be used. These agreements may have some form of indefinite-quantity, indefinite-delivery provisions to cover unplanned maintenance or repair requirements. Recently, performance incentives such as savings sharing, extending the contract term, and award fees have been provided to contractors.

6. MANAGING CHANGES IN BUILDINGS

For building projects, the owner should always work with the design team to clearly define facility requirements. Even so, some of those requirements will likely evolve during the facility’s life. Existing building systems and equipment are based on the technology available to planners and designers at the time of preparation, construction, and installation. Data from the Energy Information Agency’s 2012 Commercial Building Energy Consumption Survey suggest that, in the United States, the median age of commercial buildings in use is over 40 years. In 2009, new buildings represented only about 2% of construction costs across the United States (Holness 2009). Thus, even though operation and maintenance programs for targeted building performance may be followed, new technologies (e.g., high-efficiency equipment, better control systems, sustainability advances) with the potential to increase overall building performance are likely to become available. Additionally, ownership, occupants, or building function may change, or the building footprint may be expanded. Satisfactory performance may even be redefined. Undoubtedly, such changes will also impact operation and maintenance programs.

Managing such changes is key to continued acceptable building performance. Operation, maintenance, and maintainability of all building systems for the service life of the building should be considered during the initial design. A facility with adequate space to inspect, repair, and replace components and equipment should be part of the owner’s project requirements. The owner and designer must agree on the criticality of each system and establish criteria for access, redundancy, and component isolation. This work helps prepare for future replacements, upgrades, and renovations.

Many renovation and retrofit projects will necessarily occur while the facilities are still operation. Construction projects in occupied buildings require a higher level of planning. Operation during construction can impact system design and create challenges for project scheduling. Often, this necessitates a phased installation. In these cases, it is generally helpful to select the construction team before design completion. This allows the expertise of all parties to contribute to discussions of constructability, maintainability, budget consequences, and other concerns before the design is finalized. See Chapter 60 for information on integrated teams.

In all projects in existing buildings, but especially those retrofit projects that involve major conversions to new technologies, the value of the project should be assessed in terms of life-cycle costs. In addition to life-cycle factors of acquisition, operating, and maintenance costs, other important considerations include (1) indirect costs of conversion, including potential revenue losses from associated downtime; (2) service life of the retrofitted equipment or system; and (3) remaining service life of the building and whether it will be extended by the new system.

After the renovation or retrofit project has been implemented, the new equipment and all building systems affected by it should be commissioned in accordance with ASHRAE Guideline 0. This quality assurance strategy helps ensure that all is operating as intended and delivering the expected results. Following the recommended commissioning process also ensures that the documentation library is updated to reflect the most current operating protocols, parameter set points, and safety and maintenance requirements and procedures. If a CMMS is in place, its database should also be updated to reflect the current equipment inventory. If BIM was used in the original facility design, the building information housed in its database should also be updated.

Properly commissioning a retrofit or renovation project also involves providing training to facility operations and maintenance personnel so that they know how to efficiently operate and effectively maintain the new equipment. This helps to preserve its benefits for enhanced building performance throughout the service life. As with new construction projects, much of the training material will be derived from the installing contractor’s submittals, as-built record drawings, and test records. Training materials for HVAC systems should be prepared in accordance with ASHRAE Guideline 1.3. Training materials for other building systems may follow the principles detailed in Guideline 1.3 but should align with the system manufacturer recommendations and fulfill the facility operating and maintenance staff knowledge needs.

REFERENCES

ASHRAE members can access ASHRAE Journal articles and ASHRAE research project final reports at technologyportal.ashrae.org. Articles and reports are also available for purchase by nonmembers in the online ASHRAE Bookstore at www.ashrae.org/bookstore.

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The preparation of this chapter is assigned to TC 7.3, Operation and Maintenance Management.