LEED for HOMES QUALITY ASSURANCE MANUAL · For a given LEED for Homes project, the designated Project QAD will oversee all members of the Verification Team including: LEED for Homes

GBCI May 2015 Page 1

LEED for HOMES QUALITY ASSURANCE

MANUAL

2015 EDITION


Table of Contents

1 Introduction .......................................................................................................................................... 5

1.1 GUIDING PRINCIPLES..................................................................................................................... 5

1.2 EXPECTATIONS OF VERIFICATION TEAMS ..................................................................................... 6

1.3 SCOPE OF GBCI CERTIFICATION .................................................................................................... 6

1.4 DEFINITIONS .................................................................................................................................. 6

2 Overview ............................................................................................................................................... 7

2.1 LEED FOR HOMES QUALITY ASSURANCE OVERVIEW ................................................................... 7

2.2 SCOPE OF QUALITY ASSURANCE MANUAL ................................................................................... 8

3 Roles and Responsibilities ..................................................................................................................... 9

3.1 VERIFICATION TEAM ROLES .......................................................................................................... 9

3.2 PROJECT TEAM ROLES ................................................................................................................. 10

4 Provider Quality Assurance Designee Oversight of Verification Team ............................................... 11

4.1 PROVIDER ORGANIZATION’S COMMITMENT TO QUALITY ......................................................... 11

4.2 DEVELOPING A QUALITY ASSURANCE APPROACH ...................................................................... 11

4.3 REQUIREMENTS OF QUALITY ASSURANCE PLAN ........................................................................ 12

4.4 REQUIRED RECORD KEEPING ...................................................................................................... 15

4.5 FEEDBACK GATHERING ............................................................................................................... 16

5 GBCI Oversight of Provider Organizations .......................................................................................... 16

5.1 Annual QA Reporting .................................................................................................................. 17

5.2 PROVIDER AUDITS BY GBCI ......................................................................................................... 17

6 LEED for Homes Sampling Protocol .................................................................................................... 19

6.1 KEY SAMPLING TERMS ................................................................................................................ 19

6.2 SCOPE AND ELIGIBILITY ............................................................................................................... 19

6.3 VERIFICATION TEAM QUALIFICATIONS ....................................................................................... 20

6.4 PROJECT TEAM QUALIFICATIONS ............................................................................................... 21

6.5 SAMPLING PROCESS .................................................................................................................... 21

6.6 WORST-CASE ANALYSIS ............................................................................................................... 23

6.7 DEMONSTRATION CONSISTENCY: INITIAL VERIFICATION REQUIREMENTS ............................... 24

6.8 APPLYING SAMPLING CONTROLS ................................................................................................ 25


6.9 SAMPLING FAILURES ................................................................................................................... 25

6.10 LABELING & CERTIFICATION ....................................................................................................... 27

6.11 SAMPLING REPORTING REQUIREMENTS .................................................................................... 27

7 Conflict of Interest (COI) Policy and Disclosure Requirements for LEED for Homes Program ........... 29

7.1 INTRODUCTION TO CONFLICTS OF INTEREST ............................................................................. 29

7.2 OVERVIEW OF CONFLICT OF INTEREST ....................................................................................... 29

7.3 DEFINING AND IDENTIFYING CONFLICTS OF INTEREST .............................................................. 30

7.4 DEFINITION OF NON-CONFLICTED SERVICES .............................................................................. 31

7.5 PROCESS FOR DECLARING CONFLICTS OF INTEREST .................................................................. 32

7.6 BEST PRACTICES TO AVOID OR MINIMIZE CONFLICTS OF INTEREST .......................................... 32

8 Professional Conduct and Disciplinary Policy for the LEED for Homes Program ................................ 33

8.1 INTRODUCTION ........................................................................................................................... 33

8.2 PROFESSIONAL CONDUCT GUIDELINES ...................................................................................... 33

8.3 TYPES OF INFRACTIONS .............................................................................................................. 34

8.4 INVESTIGATION OF COMPLAINTS ............................................................................................... 36

8.5 TYPES OF DISCIPLINARY ACTIONS ............................................................................................... 37

8.6 APPEAL PROCESS ......................................................................................................................... 38

Appendix A [Attachment]: Quality Assurance Reporting Templates

Appendix B [Attachments]: Sample Quality Assurance Plans

Appendix C: Sampling-related Appendices

Appendix C-1: Sampling Protocol Application – Provider QAD

Appendix C-2: Sampling Protocol Application – Green Rater

Appendix C-3: Root Cause Analysis Template

Appendix C-4: Guidelines for Setting Maximum Sampling Size

Appendix C-5 [Attachment]: Sampling Reporting Form

Appendix D: Conflict of Interest Disclosure Form

Appendix E: Verification Team Member Annual Attestation Form- COI and Professional Conduct

Appendix F: Submittal Form for Complaints

Appendix G [Attachment]: LEED for Homes v2008 Verification and Submittal Guidelines


Appendix H: Template- Quality Assurance Field Audit Documentation Form


1 Introduction

This document, the LEED for Homes Quality Assurance Manual (QAM), has three primary purposes: to serve as a reference document for LEED for Homes Verification Teams; to provide guidelines for administering quality assurance over the verification process; and to improve consistency of verification services delivered by LEED for Homes Provider Organizations. It establishes the quality assurance guidelines for the third-party verification of projects pursuing LEED for Homes certification.

Adherence to the guidance in this manual will maintain a high level of consistency and accuracy with LEED for Homes verification services, and in turn maintain a high level of integrity for the LEED Certification program and further the mission of GBCI to advance the green building industry and the green built environment. All GBCI staff involved with performing or overseeing LEED for Homes projects are required to follow the guidance in the QAM as are all members of the LEED for Homes Verification Team.

1.1 GUIDING PRINCIPLES

The Green Building Certification Institute employs five guiding principles to support the vision and mission of the organizations. They provide a foundation for operational strategy and growth, and serve as a tool for evaluating both successes and new challenges. These principles are particularly relevant for conducting LEED for Homes verification services:

Assuring Validity and Quality We ensure rigor in the design, development and implementation of the processes we use to measure green building performance (certification) and green building practice (credentialing). Our approaches and methodologies are designed for consistency and objectivity to assure the validity of our certifications and credentials. Ensuring Transparency and Clarity We are open and authentic in the way we do business and the information we make available. We operate within the standards and guidelines of our business. The way we conduct our business—with a deep sense of integrity and ethical responsibility—creates a sense of predictability in the marketplace. Our stakeholders know what they can expect from us. Adapting to Change We practice continuous improvement and adapt to the changing needs of the global marketplace, advancing our knowledge and expertise to move the green building industry forward. Providing Excellence in Service Our focus is on building relationships with those we serve. We provide excellence through high-quality responsiveness to our clients and customers. Our goal is to support and partner with our

stakeholders for the long‐term. Driving Change to Create a Lasting Impact on the World We affect the green building environment in an enduring way by verifying knowledge and

performance. We influence long‐term beneficial change by focusing on results that matter and recognizing leadership in the field. We feel a personal and organizational responsibility for creating global change that is economically, environmentally, and socially sustainable and lasting.


1.2 EXPECTATIONS OF VERIFICATION TEAMS

1.2.1 Sufficient Demonstrated Competence

Each Provider Organization is responsible for maintaining Quality Assurance Designees (QAD) with sufficient expertise to complete a technically sound review of compliance with all prerequisites and credits in all contracted rating systems and programs. LEED for Homes Verification Team members are expected to maintain current familiarity with USGBC published documents (including LEED Interpretations) and all referenced industry standards.

1.2.2 Document Access and Version Control

Each Provider Organization is responsible for ensuring that Verification Team members have convenient (at least electronic) access to all necessary reference documents, including, but not limited to: the LEED Reference Guide (for all applicable rating systems), Rating System and Reference Guide Supplements (e.g. Advanced Energy Modeling for LEED Technical Manual), any document that USGBC or GBCI publishes as guidance to either Project Teams or Verification Teams, and any standard referenced in the LEED Green Building Rating System (e.g. ASHRAE Standard 90.1). For members of the Verification Team that are outside of the Provider Organization (i.e. contractors), the Provider Organization is responsible for confirming that the Verification Team Member is familiar with and has copies of the relevant standards. It is the responsibility of each Provider Organization to ensure that Verification Team members adhere to the most current versions of GBCI guidance documents, including the LEED for Homes Quality Assurance Manual. The most current versions of these documents are maintained in the LEED for Homes Verification Team Network on the Yammer platform.

1.3 SCOPE OF GBCI CERTIFICATION

The Green Building Certification Institute took over responsibility for LEED Certification from USGBC in 2009 as part of the new LEED v3 model in an effort to provide greater capacity, speed and performance. GBCI has now assumed responsibility for LEED for Homes certifications; GBCI administers certification for all published LEED rating systems. In addition to issuing all LEED Certifications, GBCI:

i. Credentials LEED for Homes Green Raters.

ii. Contracts LEED for Homes Provider Organizations.

iii. Trains and authorizes Provider Quality Assurance Designees.

iv. Administers quality assurance policies and issues related policy documents.

v. Issues and enforces LEED for Homes Professional Conduct and Disciplinary Guidelines.

1.4 DEFINITIONS


The following definitions are used consistently throughout this document to refer to parties involved in the LEED for Homes and Multifamily Midrise Certification Process:

Project Team: an individual or team seeking LEED Certification of a building or suite of buildings. Builder: Entity legally responsible for and actively managing the construction of the project pursuing

LEED certification.

Green Building Certification Institute (GBCI): organization that manages the accreditation of individuals and the certification of LEED buildings. Project Reviewer: an individual who provides review of certification submittals applying for LEED certification. Reviewers can be either internal to GBCI or contracted organizations. U.S. Green Building Council (USGBC): developer of the LEED Green Building Rating System. LEED for Homes: In the context of this document, refers to LEED for Homes v2008, LEED for

Homes Multifamily Midrise v2010, LEED BD&C: Homes and Multifamily Lowrise v4 and LEED

BD&C: Multifamily Midrise v4 rating systems.

LEED for Homes Provider: organization authorized by GBCI to oversee the verification process and provide quality assurance over a network of Green Raters. LEED for Homes Quality Assurance Designee (QAD): Individual at Provider organization responsible for developing, implementing and monitoring quality assurance protocols. QADs are designated by GBCI. LEED for Homes Green Rater: Provides the required on-site verification for LEED for Homes projects. Designated by GBCI through the LEED for Homes Green Rater Certificate program. Qualified Energy Rater: Conducts performance tests required by LEED for Homes and Multifamily Rating Systems. The Residential Energy Services Network (RESNET) administers credentials and oversees the largest body of energy raters, called Home Energy Raters (HERS Raters). In many cases, your Green Rater may also be a qualified energy rater, or HERS Rater, and can provide you with both the required onsite verification and performance testing services. Verification and Submittal Guidelines: These guidelines summarize the verification and submittal requirements for each prerequisite and credit within LEED for Homes.

2 Overview

2.1 LEED FOR HOMES QUALITY ASSURANCE OVERVIEW

The Green Building Certification Institute (GBCI) is committed to ensuring the integrity of the LEED for Homes program through the implementation of rigorous quality assurance measures throughout the verification and certification process. It is through third-party onsite verification, supplemental documentation review and performance testing by the Verification Team that the LEED for Homes credit


and prerequisite requirements are verified as met. LEED for Homes Provider organizations are charged with oversight of the Verification Team; this oversight requires that the LEED for Homes Provider organization develops, implements and maintains a rigorous quality assurance plan and on an annual basis provides a report to GBCI on the efficacy of the quality assurance plan in place, including performance metrics and any corrective action that was taken when deficiencies were identified. This LEED for Homes Quality Assurance Manual formally defines GBCI’s quality assurance policy for oversight of LEED for Homes verification services. Provider organizations shall identify one Primary Quality Assurance Designee (PQAD) to develop and implement their QA procedures. This individual is responsible for monitoring and tracking the process by which the Provider Organization assesses the ability of each member of the Verification Team to provide consistent and technically accurate verification services. The PQAD is responsible for submitting their Provider Organization’s Quality Assurance Plan (QAP) and required annual reporting documents to GBCI for review and approval. The Provider Organization’s QAP is reviewed and approved by GBCI prior to a Provider Contract being executed. If a Provider Organization’s QAP is updated after the contract is executed, it must be promptly resubmitted to GBCI for approval. For a given LEED for Homes project, the designated Project QAD will oversee all members of the Verification Team including: LEED for Homes Green Raters, Energy Raters, and other supporting staff.

2.2 SCOPE OF QUALITY ASSURANCE MANUAL

Quality Assurance oversight of a LEED for Homes project involves:

i. Verifying compliance with the LEED for Homes Rating system

ii. Mentoring and oversight of Green Raters and all Verification Team members

The LEED for Homes Verification and Submittal Guidelines are designed to focus ONLY on whether LEED measures are installed in a project or not. The Verification Team may not opine on the quality of design or construction of a LEED for Homes Project. The project team is wholly responsible for the design and construction quality of their LEED for Homes project.


3 Roles and Responsibilities

Each LEED for Homes project consists of a Project Team and a Verification Team.

3.1 VERIFICATION TEAM ROLES

All LEED for Homes projects require the verification services of a LEED for Homes Verification Team.

The Verification Team consists of a LEED for Homes Provider Quality Assurance Designee (QAD), a

LEED for Homes Green Rater, and a Qualified Energy Rater.

All LEED for Homes Provider Organizations must designate a Primary QAD for the organization. GBCI

considers the Primary QAD the primary contact at the Provider Organization.

3.1.1 Primary QAD Role:

i. Key point of contact between GBCI and the Provider Organization

ii. Oversees the development, implementation, monitoring and tracking of the Provider

Organization’s Quality Assurance Plan (QAP)

iii. Prepares and submits the Provider Organizations annual QA reporting documents as required by

GBCI

iv. Develops and implements Corrective Action Plans when QA deficiencies are identified and

incorporates these into Provider Organization’s QAP

v. Supervises all QADs within a LEED for Homes Provider Organization,

vi. Provides oversight of all Quality Assurance protocols, tracks metrics and reports on Green Rater

mentorship/oversight

vii. Serves as one of the Project QADs within the LEED for Homes Provider Organization

LEED for Homes Project

Design and Construction Related Services

Verification Team

Verification Services

Green Rater

Supporting Staff

Project Team

QAD Designer

Builder

Sub-Contractors

Consultants

Energy Rater


viii. Confirm adequate training and credentials and oversee continued training of all members of the

Verification Team

3.1.2 Project QAD Roles:

i. The designated Project QAD on a given project may NOT also be the Green Rater on that project

ii. May conduct Preliminary Rating with the Project Team (either the QAD or Green Rater must be present at the Preliminary Rating)

iii. Provides technical support for the LEED for Homes Rating System and verification/certification process to LEED for Homes Green Rater, Energy Rater and LEED for Homes Project Team as needed

iv. Implements the Provider organization's LEED for Homes Quality Assurance process for the project

v. Reviews and submits final certification application (previously referred to as Project Submittal Package) to GBCI

vi. Confirms completion of Green Rater Mentorship through signature of completion form

3.1.3 LEED for Homes Green Rater Roles:

i. May conduct Preliminary Rating with the Project Team (either the QAD or Green Rater must be present at the Preliminary Rating)

ii. Provides and oversees all verification services (including on-site verification and collating and reviewing supplemental documentation) as specified in the Verification and Submittal (V&S) Guidelines

iii. Communicates critical project issues with Project QAD and Project Team iv. Assembles and verifies final certification application is complete and that all elements have been

verified as per V&S Guidelines and v. Notifies Project QAD when final certification application is ready to be submitted to

Certification Body (GBCI)

3.1.4 Qualified Energy Rater:

i. Provides verification and performance tests associated with Energy Star for New Homes.

ii. Operates under the quality assurance protocol and credentialing of Residential Energy Services

Network (RESNET)

3.1.5 Certification Body (GBCI)

i. Reviews as-designed and as-built energy models

ii. Reviews LEED for Homes Final Certification Application, including all mandatory submittals

for certification

iii. Awards LEED certification to projects that have demonstrated achievement of all prerequisites

and attempted LEED credits.

3.2 PROJECT TEAM ROLES


The project team is responsible for the design and construction of the project pursuing LEED certification,

including:

i. Design and build project, following all applicable code requirements

ii. Compliance with all LEED prerequisites and pursued credits

iii. Contract Verification Team for mandatory verification services

iv. Notify Verification Team when project is ready for mandatory site visits

v. Register project

vi. Pay registration and certification fees to GBCI

vii. Accept final LEED Certification for the project

4 Provider Quality Assurance Designee Oversight of Verification

Team

4.1 PROVIDER ORGANIZATION’S COMMITMENT TO QUALITY

Each LEED for Homes Provider Organization shall provide oversight of their Verification Teams (including Provider Organization’s QADs, Green Raters, Qualified Energy Rater and support staff) to ensure the following:

i. An accurate understanding of the LEED for Homes Rating System and the Verification and Submittal Guidelines. Provider Organizations shall have sufficient on-the job-training and continuing educations programs to ensure that all members of their Verification Teams possess equivalent competency.

ii. Correct application of the Verification and Submittal Guidelines to accurately assess compliance with the LEED rating system including:

a. Visual verifications

b. Calculations required for verification

c. Performance tests conducted according to relevant standards or procedures

d. Special requirements, such as regional rating system differences, sampling protocols, and sub-market requirements (e.g., mid-rise)

e. Requirement that Green Raters have earned (and for the latter: maintain) the Green Rater In-training designation or Green Rater Certificate

f. Only qualified professionals (as prescribed by GBCI) perform verification services

Verification Teams may occasionally make honest mistakes in understanding, and/or verifying the LEED for Homes criteria. Provider Organizations shall have an in-house quality assurance process that identifies and resolves such errors before the final certification application is submitted to the Certification body (GBCI).

iii. Integrity of Verification Teams: Provider Organizations shall monitor their Verification Teams to ensure that they are fully abiding by GBCI’s LEED for Homes Conflict of Interest Policy and Professional Conduct, see Sections 7 and 8 in this manual.

4.2 DEVELOPING A QUALITY ASSURANCE APPROACH


Developing a Quality Assurance Plan is a critical step in the overall development of a Provider Organization’s approach to quality assurance. The QAP documents an authentic and unique set of procedures by which the organization will ensure high quality work throughout the verification process, and includes the following three elements:

i. Initial Planning a. The identification of at least one qualified person within the Provider Organization that

will be trained by GBCI to perform the role of the Primary Quality Assurance Designee (PQAD), as described in Chapter 3 Roles and Responsibilities

b. Definition of the organization’s quality goals - using measurable metrics c. Establish a detailed QAP - identify tasks (to achieve goals), as well as assigning

responsibilities for members of Verification Team and developing a schedule for each task

ii. Daily Operations a. Implementation of the procedures described in the QAP, including a list of activities

performed by each member of the Verification Team on every LEED for Homes project.

iii. Record Keeping and Feedback a. Maintain records - to track compliance with QA plan, prepare for annual reporting

required by GBCI, and to prepare for any future random auditing by GBCI b. Provide feedback – to refine the quality goals and/or quality plan

4.3 REQUIREMENTS OF QUALITY ASSURANCE PLAN

The Quality Assurance Plan (QAP) presents a framework for the procedures by which a Provider Organization ensures quality throughout the verification process. The Provider Organization’s Quality Assurance Plan shall address the following, at a minimum:

4.3.1 As a foundation for the QAP plan, the following must be included:

i. A set of specific goals to be achieved by the QAP

ii. A set of specific challenges to be addressed by the QAP (e.g., common mistakes in the verification process, types of mistakes with higher levels of risk, potential areas where inappropriate shortcuts are possible, etc. )

iii. The roles and responsibilities related to QA for each member of the Verification Team (e.g., QAD confirms credentials of Green Rater and HERS rater quarterly, Green Rater utilizes pre-drywall verification checklist to ensure thorough verification at mid-construction site visit, etc.

4.3.2 In order to ensure an accurate understanding of the LEED for Homes Rating System and the Verification and Submittal Guidelines by all Verification Team members, QAP shall include, at minimum, procedures for tracking:

4.3.2.1. Initial Training: i. Primary QAD and Project QADs are properly trained by USGBC/GBCI. ii. Energy Raters are properly trained, credentialed and operating under quality

assurance oversight, as required by Residential Energy Services Network


(RESNET). QAD must confirm the HERS Raters RESNET Provider and maintain a record of who the Provider is.

iii. LEED for Homes Green Raters are properly trained, and credentialed by GBCI.

iv. Other members of Verification Team are properly trained.

v. For Green Raters In-training (as designated by GBCI), QA shall ensure that the Green Rater In-training is undergoing the required mentorship as prescribed by GBCI.

4.3.2.2. On-going Training:

i. QAD participates in USGBC/GBCI’s monthly program update meetings. ii. All Verification Team members are updated, at least quarterly, on the LEED for

Homes program, including Addenda (Addenda, LEED Interpretations etc.) and other newly published guidance.

4.3.3. In order to ensure correct application of the Verification and Submittal Guidelines by Verification Team members; QAP shall include the following required processes and policies:

i. The Provider Organization’s QAD shall provide an additional layer of quality assurance, and shall act as a “second set of eyes” for the Verification Team. Consequently, a QAD for a LEED for Homes project may not also be the Green Rater for that project.

ii. The QAD shall provide guidance to Green Raters during early stages of the verification process (e.g.., before pre-drywall verification) to identify challenges in verifying credits for the particular project. This level of engagement should be proportional to the Green Rater’s level of experience, and with the complexities of the project.

iii. The QAD shall perform detailed reviews of the Green Rater’s work and the Energy Rater’s reports, including 100% paper review of certification application packages prior to submittal to GBCI.1

iv. QAP should include any additional oversight and/or review steps deemed necessary to be implemented by the QAD

v. The QAD shall work with the Verification Team to resolve all issues detected during project reviews that affect project certification.

vi. For Green Raters that are inexperienced, or have a record of prior quality problems, the QAD shall provide a higher level of oversight and mentoring.

vii. For all Green Raters operating under the quality assurance protocol of Provider, a Provider QAD must conduct annual on-site audits at the following rates, with a minimum of 1 project audit per Green Rater per year. This on-site audit is designed to be a critical evaluation of the Green Rater’s verification process and must be conducted in such a way that the QAD is able to confirm that the Green Rater accurately verified the project’s compliance with rating system requirements. As such, the audit is to be conducted on a project for which the Green Rater is providing verification services.

1 RESNET requires 10% paper review.


The on-site audit(s) must include both the pre-drywall and final verification stages. In the case that 2 or more projects are selected for audit, the required pre-drywall and final verification audit components can be spread out across the 2 required project audits, i.e. an on-site audit at the pre-drywall phase could be conducted on project 1 and an on-site audit at the final verification phase can be completed on project 2.

A QAD may delegate an audit to another QAD at a different Provider organization.

Note: If the GR does not verify any projects in a given year, no on-site audit is required.

Table 1.1 On-site audit rates

# of projects* by GR On-site audit rate

1-20 10%

21-49 5%

50+ 3%

*For the purposes of Table 1.1, a projects is defined as a building.

When calculating number of projects required for audit, round the calculated number (based on %) to the nearest whole number. For example, 35 projects multiplied by .05 = 1.75 or 2 project audits. If the decimal is less than .5, round down (e.g. 1.4=1project audit).

On-site audits must include project site visits by the QAD in which the Green Rater’s verification on the project selected for audit is checked for accuracy and consistency with rating system requirements and V&S Guidelines. Any inconsistencies in verification or errors in verification findings on the part of the Green Rater must be documented and recorded by QAD. Corrective action measures (e.g. additional education, follow-up auditing, etc.) must be taken to reduce the risk of future errors in the Green Rater’s verification activities. These corrective action measures must also be documented by the QAD, and reported to the Primary QAD.

viii. For any Provider Organization that will implement sampling, specific quality assurance measures must be included in QAP to address sampling.

ix. Performance testing that falls under the RESNET protocol must be reported to HERS Provider and included in RESNET’s quality assurance process. Additionally, QAD should confirm that the outputs of the Energy Star report related to LEED measures are reasonable, reflect the project and meet rating system requirements. If the QAD has questions related to the accuracy of the Energy Star report they should immediately follow-up with the HERS Rater and request additional information. A QAD is not required, nor advised, to accept performance test results wherein they have a significant concern.


4.3.4 In order to ensure integrity of Verification Teams;

Adherence with Professional Conduct Guidelines and Conflict of Interest Protocol: QAP shall include, at a minimum, procedures for tracking:

i. All verification members are trained annually about the LEED for Homes Professional Conduct Guidelines and are required to sign the form annually.

ii. All verification members are trained annually about the LEED for Homes Conflict of Interest policy and are required to sign the form annually.

4.3.5. In order to ensure implementation of QAP;

QAP shall include, at a minimum, procedures for ensuring: i. All Provider Organizations shall fully educate their verification teams on their

QAP, and their respective roles in implementing the QAP. ii. All activities by all members of the Verification Team shall be in compliance

with this QAP. The PQAD shall track and document implementation of QA activities called for in QAP (on both per-project level and annual-level).

iii. A schedule/frequency for when each of the activities called for in the QAP will be implemented

iv. Process for identifying and responding to failures once they occur and developing and implementing appropriate corrective action procedures

v. A process for accessing and annual reporting the organization’s compliance with the QAP and QA protocols

4.3.6. In order to ensure feedback is provided through QA process;

QAP shall include, at a minimum, procedures for ensuring:

i. A process for providing feedback to the Verification Team on every LEED for Homes project on specific areas for improvement and areas of success

ii. A process for collecting feedback to provide to USGBC and/or GBCI on specific areas for improvement to the LEED for Homes Rating System, the Verification and Submittal Guidelines, or related LEED for Homes tools (e.g., Workbook) and certification processes, to be relayed by PQAD

4.4 REQUIRED RECORD KEEPING

4.4.1 Record Keeping The following and any other critical documentation of the quality assurance process must be retained by Provider for a minimum of 2 years following project certification:

i. Training related records: a. GBCI LEED for Homes Green Rater certificates b. Records of any in-house training and who attended c. Brief records of any field evaluations/audits, including which rater was evaluated,

and any errors found

ii. Verification Team member credentials d. Records of status of Green Rater Certificates e. Records of HERS Rater credentials and HERS Providers for all HERS Raters

performing services on LEED projects


iii. Process related records: a. Records that program updates are communicated to raters (meeting minutes, copies

of emails or newsletters, Addenda etc.) b. Record of QAD attendance to GBCI/USGBC monthly program calls or review of

call archive; attending staff member is documented.

iv. COI records: a. Provider’s COI Policy. (This must comply with LEED for Homes COI Policy.) b. Copies of COI forms that were submitted (as part of the complete submittal

package) c. All members of Verification Team read and sign COI policy annually.

v. Disciplinary records: a. Copies of complaint forms are retained. b. Responses to validated complaints are documented. c. All members of Verification Team read and sign Professional Conduct policy

annually.

vi. Project related records: a. Record that QA communicated with Green Rater during preliminary stages, to

discuss any potential challenges with project (e.g., email) b. Record that QA held pre-submittal review with green rater (e.g., email) c. Complete submittal package. This must also be submitted to the certification body

(GBCI) for every project. vii. Sampling records:

a. Records showing which units were in each sample set and which were selected for verification for a given project

b. QAD and Green Rater approved sampling applications c. Building Quality Management Plans d. Results of any verification failures. e. Records of measures taken in response to failures.

Also note Annual QA Reporting requirements, in Section 5. 4.5 FEEDBACK GATHERING

The Provider Organization’s QAD(s) shall solicit feedback from the Verification Team during all project reviews (pre- and post-submittal). The purpose of this feedback is to assess how well their QAP is working, and where improvements could be made. For example, if Green Raters are not fully aware of recent Addenda, the Provider Organization may choose to provide more frequent updates to their Green Raters.

This feedback may require follow-up action including:

Refinement of the Provider Organization’s QAP.

Suggestions to USGBC or GBCI for refinement of rating systems, Verification and Submittal Guidelines, applicable tools, etc.

5 GBCI Oversight of Provider Organizations Upon application to become a LEED for Homes Provider GBCI will review the Provider Organization’s QAP. GBCI will communicate directly with the Primary QAD if further information or documentation is


needed to complete the review. Results of this review will be provided to the Primary QAD within 30 business days of receipt of the QA Plan and QA Activities Report. 5.1 Annual QA Reporting

GBCI requires the following submittals from the Primary QAD at each LEED for Homes Provider Organization on an annual basis:

i. Quality Assurance Plan is submitted to GBCI for review and approval prior to execution

of Provider Contract.* ii. Submitted annually, Statement of Compliance with Quality Assurance Protocols

(Appendix A-1), signed by Primary QAD iii. Submitted annually, LEED for Homes Verification Team Members Reporting Form

(Appendix A-2) which includes: a. Name of all Verification Team members operating under Provider

Organization, b. Status (employee, contractor, terminated), c. Status of GBCI credentials, d. Status of HERS credentials (if any), e. Number of LEED for Homes projects, and f. Status of annual in-field audit (i.e. date completed, or date scheduled if

incomplete) iv. Submitted annually, (Verification Team) Knowledge Gaps Reporting Form (Appendix

A-3) *The QAP is submitted with application to become a LEED for Homes Provider, prior to execution of a Provider contract. QAP must be re-submitted to GBCI for review and approval immediately if any substantial updates are made after execution of Provider contract. QAP is not required as an annual submittal to GBCI, unless it has changed since previously submitted, reviewed and approved by GBCI. 5.2 PROVIDER AUDITS BY GBCI

GBCI will select a percentage of Provider Organizations for audit annually. A Provider may be selected for audit one of three ways:

1. Provider is randomly selected 2. Quality Assurance reporting documents from the Provider were incomplete and/or caused concern 3. Provider has been placed on probation under the Professional Conduct and Disciplinary Policy and

is therefore subject to audit during probationary period If selected for an audit, Providers shall make all their QA records, as described in Section 4.4.2, available to GBCI upon request. An audit may consist of a meeting approximately 2 hours in length conducted in-person or via a WebEx-like platform wherein the Primary QAD makes QA records available for review by GBCI. In the case that GBCI determined a project specific audit and/or re-rating is needed, Provider shall cooperate fully. 5.3 PERFORMANCE METRICS


GBCI maintains the following Performance Metrics on all LEED for Homes Providers to track compliance

with all applicable rating system verification and quality assurance policy documents, a high standard of

customer service provided to LEED project team members and compliance with Professional Conduct and

Disciplinary Policy.

The following Performance Metrics may be tracked by GBCI for each Provider Organization:

i. Annual QA reporting documents are submitted to GBCI on time, are complete and they

demonstrate Provider Organization’s compliance with LEED for Homes Quality Assurance

Policy Manual.

ii. Provider Organization and associated Verification Team members consistently delivery high

quality customer services to LEED for Homes project team. GBCI/USGBC will document and

track customer service issues reported to GBCI/USGBC (positive and negative) related to each

Provider Organization and their associated Verification Team members

iii. Primary and Project QADs at Provider Organization are responsive to GBCI and USGBC staff.

iv. Primary QAD attends 100% of monthly Verification Team Network calls, or assigns

representative to attend and report out to PQAD. PQAD maintains documentation of

attendance.

v. Members of the Verification Team at the Provider Organization and associated team members

abide by Professional Conduct Guidelines.

vi. All Conflicts of Interests requiring disclosure are properly disclosed in accordance with COI

policy and disclosure requirements.

vii. Certification submittals are complete and accurate upon submittal to GBCI.

viii. Provider QADs demonstrate knowledge of applicable rating systems and technical competency

related to credit language and verification. This is assessed during certification reviews and

interactions with GBCI and USGBC staff.

ix. Provider QADs demonstrate knowledge and implementation of all applicable policy documents.

This is assessed during certification reviews and interactions with GBCI and USGBC staff.


6 LEED for Homes Sampling Protocol

This section outlines the conditions and required methods for performing verification on multifamily and

single family projects that intend to utilize sampling – a process by which fewer than 100% of the units

undergo verification steps. Both Verification Team and Project Team members are expected to be familiar

with the details of this sampling protocol when sampling is applied.

This document is a companion to the LEED for Homes Verification & Submittal Guidelines. This sampling

protocol refers only to the verification and performance testing requirements, not implementation of LEED

prerequisite or credit requirements by the project team. Every unit must be built to meet all LEED for Homes

prerequisites and pursued credit requirements whether sampling is used or not.

6.1 KEY SAMPLING TERMS

i. Failed Item – A category of failure, corresponding to a LEED for Homes prerequisite or

pursued credit. For the purposes of follow-up inspections, a “failed item” is not limited to the

specific instance in a unit.

ii. Failure – When one or more of the requirements in a prerequisite or pursued credit are not met

during verification.

iii. Metropolitan Area – Metropolitan and statistical areas as defined by the United States Office of

Management and Budget (OMB) and published at

www.census.gov/population/www/metroareas/metrodef.html. In areas not included in any

defined Metropolitan Area, individual counties may be a substitute for the purposes of this

sampling protocol.

iv. Pursued Credit – A LEED for Homes credit (optional measure) that was planned to be earned

by the project.

v. Sample Set – a group of similar units that are all ready for the same phase of verification during a

site visit. Only one unit in each sample set is to be randomly selected for sampling controls. The

maximum sample set size is determined by the verification team based on project team

experience and project specifics. Note that a large project may have numerous sample sets.

(Again, one unit in each sample set is sampled.) See example scenarios in Appendix E.

vi. Sampling Controls – A collection or set of required verification steps performed for a sample set

of units, typically corresponding to the Verification & Submittal Guidelines for a specific

prerequisite or credit. “Sampling controls” may refer to the entire set of verification steps, or to a

particular phase of verification (e.g. pre-drywall, final).

vii. Verification Phase – A time period associated with specific verification measures. The

verification team will determine how many phases are needed, but typical projects include two

phases: 1) pre-drywall phase and 2) final verification phase.

6.2 SCOPE AND ELIGIBILITY

The LEED for Homes Sampling Protocol may not be appropriate for every project, and Verification

Teams must meet qualifications described in section 6.3 before applying sampling to projects pursuing LEED for

Homes.

http://www.census.gov/population/www/metroareas/metrodef.html


6.2.1 Every project using the sampling protocol must meet the following criteria2:

For all projects:

i. All units/buildings in the project must be of the same construction type, using the same

envelope systems.

ii. All units/buildings must earn the same set of LEED for Homes credits.

For multifamily projects:

i. All units within a multifamily project must be in one building; for multi-building projects,

sampling across multiple buildings is only allowable if each building has the same

construction type, envelope type, systems, and green measures.

For single family projects:

i. All homes in the project must be within the same subdivision or metropolitan area and climate zone.

ii. The project must have at least one home available and eligible for sampling controls in any 90 calendar day period.

iii. The project must have at least one home start in any 90 calendar day period. If a 90-day period elapses without a home start, the sampling process must start over with the initial verification requirements (see Section 6.7.2. below).

6.3 VERIFICATION TEAM QUALIFICATIONS

Each QAD and Green Rater must meet the following requirements before applying the sampling

protocol. It is the responsibility of the QAD to ensure that the Green Rater meet the requirements

below.

The requirements for QAD approval include:

i. QAD has provided proficient QA review on minimum of 3 certified projects

ii. Corresponding Provider Organization has submitted all quality assurance reporting documents in good standing for applicable year

The requirements for Green Rater approval include:

i. The Green Rater is Green Rater Certificate holder in good standing with GBCI. Green Raters In-training may not apply sampling.

ii. GR has verified a minimum of 3 certified projects

iii. Green Rater eligibility is confirmed by QAD

Note: For projects that will sample EnergyStar measures, the overseeing HERS Provider must be an

approved Sampling Provider by RESNET.

2 These requirements are somewhat more restrictive than what is included in the RESNET sampling standards.


6.4 PROJECT TEAM QUALIFICATIONS

The builder must have a quality management process in place that ensures quality and consistency throughout the construction process and is documented in a Quality Management Plan (QM Plan). The Provider must review the Builder’s QM Plan to ensure it includes how the organization ensures consistency throughout the construction process. See below for information about developing a quality management process. This information can be shared with the Builder to help develop a QM Plan if they do not have one in place. The project team is expected to have an in-field liaison to the verification team that can implement in-house QA protocols, coordinate site visits with the verification team, and facilitate responses to failures. Many builders have existing and well-developed quality management plans. For those builders that do

not yet having a QM Plan, development of a robust QM Plan is key element to successful LEED

projects. The builder’s quality management plan is the builder’s commitment to their share of the

quality management process.

Basic elements of a Builder’s Quality Management Plan include:

i. Designate and train builder’s in-field supervisors and their specific oversight and sign-off responsibilities;

ii. Develop detailed scopes of work for each trade that are focused on quality-critical tasks;

iii. Include scopes of work, and compliance requirements in all trade contracts;

iv. Plan and conduct kick-off meetings for each project (e.g., subdivision) where performance goals and consequences of missing performance goals are clearly specified;

v. Provide appropriate training on green home building, inspections, and performance testing requirements to all trades before starting work on the project;

vi. Require trade and builder supervisor approval and sign-off on all quality-critical measures; and

vii. Schedule the LEED for Homes Rater to be on-site during the completion of each measure (that requires testing) in the first unit in each sample set.

The following references may serve as resources for developing a Builder’s Quality Management

Plan:

US DOE Building America Quality Assurance Roadmap for High Performance Residential

Buildings

www.toolbase.org/Best-Practices/Quality-Management/quality-assurance-roadmap

NAHB Research Center National Housing Quality Certified Builder Program for builders

and contractors

http://www.homeinnovation.com/services/certification/~/media/Files/Certification/Qual

ity%20Management%20Systems/Quality-Certified-Builder-Requirements.pdf

6.5 SAMPLING PROCESS

http://www.toolbase.org/Best-Practices/Quality-Management/quality-assurance-roadmap


The sampling process consists of five main steps, outlined below.

6.5.1 Preparation and Planning

The project team must work with the verification team to complete the following steps:

i. Preliminary review –The builder and project team must meet with the Provider QAD and/or Green Rater to conduct a preliminary rating. During this meeting the verification team will review the scope and eligibility requirements for sampling, as well as the basic sampling process.

ii. Planning sample sets – The project team is required to work with the verification team to develop a plan for organizing units into sample sets. The plan should take into consideration any differences between unit models, as well as construction schedule, and it should identify the sample sets and sampling rates.

FAQ: What if the construction schedule changes? This step is designed to identify issues that might

affect how units are grouped into sample sets. If the construction schedule changes, the

verification team should be flexible and update the sample sets as necessary. However, a

slower-than-planned construction schedule may require smaller sample sets and increase the

overall sampling rate.

6.5.2 Determining the maximum sample set size (i.e. sampling rate)

Multifamily Projects- The maximum allowable sample set for multifamily projects in the LEED for

Homes program is 10 units which provides for a minimum of 10% sampling rate. More than ten

units within a sample set, or less than a 10% sample rate, for multifamily buildings is NOT allowed.

The maximum sample set may be set lower, which would raise the percentage of units sampled, based

on the experience level of the builder with LEED for Homes and sampling.

Single Family Projects- The maximum allowable sample set for single family projects in the LEED

for Homes program is 7 buildings. More than seven units within a sample set for single family

buildings in NOT allowed. The maximum sample set may be set lower, which would raise the

percentage of units sampled, based on the experience level of the builder with LEED for Homes and

sampling.

Remember, the maximum allowable sample set size is different for multifamily buildings and single

family developments. Also, the verification team has limited discretion on setting the sampling rate,

and may only increase (not decrease) the sampling rate relative to the guidelines in Appendix C-5.

FAQ: What if the number of units ready for verification is larger or smaller than the maximum sample set

size? If the number of units ready for verification exceeds the maximum sample set size, the

units can be grouped into multiple sample sets. If the number of units ready for verification

is smaller than the maximum sample set size, then the sample set simply includes all of the

units.

Example: A project is allowed a maximum sample set of 7 units by the verification team. If

the project has 12 units ready for verification at once, the units should be grouped into two

different sample sets – with 7 and 5 units, respectively. If the project has only 5 units ready


for verification at once, the sample set is equal to 5 units, but future sample sets could be as

many as 7 units.

6.5.3 Organizing Units into Sample Sets

When defining sample sets, all units within a given sample set must meet the following requirements:

i. All units/homes are at the same stage of construction (e.g. pre-drywall, final) and available for sampling controls. The Green Rater must be able to choose randomly from among the units within the sample set.

ii. All units/homes within the same sample set are eligible and available for the applicable sampling controls within a 30 calendar day period. If the number of units eligible and available for the sampling controls is fewer than the planned sampling rate, the sample set must be cut off at the number of units that are available within that 30-day period – i.e., the actual sampling rate will need to be greater than the planned sample rate.

iii. All units must have the same basic design and layout, as it pertains to the sampling controls being applied. For example, units with different ventilation system layouts may not be included in the same sample set when conducting air flow tests.

Additional Considerations:

An individual LEED for Homes project may have more than one sample set. Sample sets may vary

in size based on factors such as construction timeline and variation in model types.

Units/Homes grouped into a sample set for one verification phase (e.g. pre-drywall) may be grouped

differently for the next verification phase (e.g. final).

6.6 WORST-CASE ANALYSIS

As early as possible, the project team must work with the verification team to identify the credits being

earned by all units in the building/individual homes in the sample set, and determine the worst-case set

of measures to include in the checklist.

For multifamily projects, if one or more units– but not all units in the building - contain additional

LEED measures not reflected in the worst-case analysis, those additional measures must be

disregarded for the purposes of the LEED for Homes certification (i.e., the credits may not be

awarded).

In the case of a Single Family project, if one or more homes contain additional LEED measures not

reflected in the worst-case analysis, the project team may either:

i. Rate the home as if it was the same as the others in the sample set (i.e., without credit for the additional LEED measure); or

ii. Rate, verify, and certify the home separately (i.e. as a separate project).

FAQ: What if in a Multifamily setting, the project includes customer options that may result in some homes

earning additional credits? Generally, unless a measure is earned in every unit, the additional


credits must be ignored for the purposes of LEED for Homes, and the worst-case set of

credits are used to create the sampling controls and rate the building.

In a case where residents are given different options for how to meet a credit (e.g. EPP

flooring) but each unit is guaranteed to satisfy the credit requirements – albeit in different

ways – credit may still be awarded. For example, if customers are given only a choice

between bamboo flooring and FSC flooring, credit may be awarded in MR 2.2 for EPP

flooring – because in either case the credit will be earned.

6.7 DEMONSTRATION CONSISTENCY: INITIAL VERIFICATION REQUIREMENTS

Prior to implementation of sampling on the project, the following requirements must be met to

demonstrate consistency of builder:

6.7.1 For Multifamily Projects- At least five (5) consecutive units must be individually and sequentially

verified without a failure. If a failure occurs, sampling may not proceed until five (5) further units in

the subdivision are sequentially verified without another failure.

FAQ: If the initial verification requirements are met for 5 consecutive units in the pre-drywall phase, can

sampling be used – even if the initial verification requirements for the final verification phase have not been

completed? Yes. Once the sampling controls for a given phase are completed, sampling may

begin for that phase.

In this example, the initial verification requirements still must be completed for 5

consecutive units at the final verification phase before sampling may be used in the final

construction phase.

6.7.2 For Single Family Projects- Note that there are two distinct situations:

i. First LEED for Homes sampling project within a metropolitan area - The initial

verification requirements for the first project in a given metropolitan area are that at least seven

(7) consecutive homes must be individually and sequentially verified without a failure. If a failure

occurs, sampling may not proceed until seven (7) homes are sequentially verified without another

failure.

ii. Subsequent sampling projects in a metropolitan area - The initial verification requirements

for subsequent projects within a given metropolitan area are that at least three (3) consecutive

homes must be individually and sequentially verified without a failure. If a failure occurs,

sampling may not proceed until three (3) homes in the subdivision are sequentially verified

without another failure.

FAQ: If the initial verification requirements are met for 7 consecutive homes in the pre-drywall

phase, can sampling be used – even if the initial verification requirements for the final verification


phase have not been completed? Yes. Once the sampling controls for a given phase are

completed, sampling may begin for that phase.

In this example, the initial verification requirements still must be completed for 7

consecutive homes at the final verification phase before sampling may be used in

the final construction phase.

The following rule set applies to all project types:

i. Initial verification requirements apply to each verification phase (e.g. pre-drywall and final inspection). Once the initial verification requirements are completed for one phase (pre-drywall), sampling may be used for that phase even if the initial verification requirements are not met for other phases (final inspection).

ii. The verification team has the discretion to increase the number of units sampled in the initial verification step for any reason, including: prior bad experiences with the builder or developer, concerns or questions that arise during the initial verification, changes to the construction crew, changes to the designs, etc.

iii. Over time, if there is a significant change to the construction crew or site supervisor, or substantial change in architectural designs, the initial verification requirement – verifying five (5) units consecutively without a failure - must be repeated.

6.8 APPLYING SAMPLING CONTROLS

Sampling Controls are exactly what measures will be verified within a given sample set. The Provider

QAD and Green Rater select the elements to include in the sampling controls based on the LEED for

Homes Verification & Submittal Guidelines. The Provider QAD and Green Rater may elect to verify

certain measures in every unit/homes (i.e. verify 100% of certain credits or prerequisite, rather than

sampling) in addition to sampling all measures in certain randomly selected units/homes.

The pre-determined sampling controls (i.e. all measures to be verified) must be completed at least once

in full for each sample set. Sampling controls may all be completed on a single unit/home or

distributed across several units/homes within a given sample set.

FAQ: What does it mean to distribute sampling controls across several units/homes? Sampling controls

include verification for various prerequisite and credits. It is not required that verification for

all prerequisites and credits be conducted on a single unit/home; instead, it is acceptable to

conduct verification for some measures on one unit/home within the sample set and

conduct verification for other measures on a different unit/home within the sample set.

6.9 SAMPLING FAILURES

When one or more of the verification requirements for a prerequisite or pursued credit are not met, this

is considered a failure and the relevant requirement is referred to as a “failed item”. This section describes

how failures must be handled by the project team and verification team.

6.9.1 Contingency planning - Testing and/or verification for any item(s) that may become inaccessible

during the construction process (e.g. wall insulation) must be timed so additional testing and/or


verifications can occur on other units/homes in the sample set before they become inaccessible for

inspection or testing.

6.9.2 Failures during the initial verification step – If a failure occurs during the initial verification steps, the

failed item(s) must be corrected and sampling controls must continue to be completed on all

units/homes until the requirements outlined in Section 6.7 are satisfied.

6.9.3 Failures during sampling-

i. First failure during sampling: The first time a failure occurs during sampling (i.e. after the initial verification step), the failed item(s) must be corrected, and testing and verification must continue on two (2) additional units/homes from the sample set. In a case where the sample set is 2 or 3 units/homes, this may require verification of the failed item(s) in every unit/home in the sample set. All failures must be documented in Sampling Tracking Sheet.

ii. Second failure during sampling: When a second failure of the same verification requirement occurs during sampling, the following actions are triggered:

a. The builder must conduct a “root cause analysis” to identify the source of the problem causing the failure and undertake any remedial actions necessary to fix the underlying problem, including re-designs and re-training of trades and crew. This root cause analysis must be submitted to the Provider QAD (see Appendix C for a template).

b. All failures must be documented in Sampling Tracking Sheet.

c. The problems that led to the failure must be corrected and the failed item must be tested and/or verified for every unit in the sample set; in addition:

1. The verification team may increase the sampling rate for the failed item for the remainder of the project, or remove it from the sampling controls altogether (i.e. require verification of the failed item in every unit).

2. If the root cause analysis reveals failures that may have affected earlier sample sets, the Provider QAD must determine if further verification on previous sample sets is necessary.

FAQ: If a failure occurs for an optional credit, can the project just choose to drop the credit? Yes.

If a failure occurs in the verification of a credit requirement, the project team may

choose to simply drop the credit and have it removed from future sampling

controls. However, it still is considered a failure and a root cause analysis will still be

required for the purposes of identifying and correcting potential weakness in the

builder’s quality management process.

iii. Multiple failures during sampling – if a project experiences three total failures within a ninety (90) calendar day period – even if the failures are for different verification requirements – in addition to the actions required after a second failure during sampling - the following actions are triggered:

a. The sampling process must start over with the initial verification requirements (see Section 6.7). The maximum sample set size must be decreased (i.e. the overall sampling rate must be increased) for the remainder of the project.

b. All failed items must be tested and/or verified in every unit in the sample set for applicable prerequisite or credit to be awarded.


c. If the multiple failures (more than 2) all apply to the same failed item, the failed item must be removed from the sampling controls – i.e. the builder shall submit to 100% testing and verification for that failed item for the remainder of the project.

FAQ: If the project team makes a change during design but does not alert the Green Rater, does it

still count as a “failure” because the Green Rater cannot verify the item? Yes, the project team

is responsible for notifying the verification team of any changes that may affect

LEED for Homes measures. If the requirements for a planned measure are not met,

this should be counted as a failure unless there is clear evidence (i.e. in scopes of

work, written communication to crew members) that the measure was removed

during design.

6.10 LABELING & CERTIFICATION

6.10.1 For Multifamily Projects- Each multifamily building is provided with a LEED for Homes certificate, and no distinction shall be made between units that undergo verification and those that do not. Since certificates are awarded to the entire building and not individual units, certification may not proceed until the sampling protocol is successfully completed for the entire building. Within multi-building developments, individual buildings may be certified as separate projects prior to the entire development being completed.

6.10.2 For Single Family Projects- Every home subjected as part of sampling protocol shall be provided

with an individual LEED for Homes certificate, and no distinction shall be made between homes that undergo verification and those that do not. No home in a sample set may be certified as a LEED Home until the sampling protocol is successfully completed for the entire sample set.

When submitting a project for certification, project teams are encouraged to review the batch

submittal guidelines published by GBCI. These guidelines outline how to streamline the

documentation and certification review process.

Upon submittal for certification, the Provider QAD must submit detailed information about how the

sampling protocol has been applied, including:

i. Number of homes in the project

ii. Number of homes in the initial verification phase

iii. Number of sample sets

iv. Number of homes tested and verified

v. Number and types of failures, as well as remedial actions taken

6.11 SAMPLING REPORTING REQUIREMENTS

The following submittals are required before sampling activity commences:

i. Quality Assurance Designee Sampling Application – an approved QAD Sampling Application must be on file with GBCI prior to implementing sampling.


ii. Green Rater Sampling Application – the QAD must confirm the Green Rater’s eligibility to apply sampling and keep a GR Sampling Application on file. The GR Sampling Application does not need to be submitted to GBCI prior to implementing sampling.

The following submittal is required as part of the final submittal application:

i. A Sampling Tracking Sheet that identifies the following must be submitted with application for certification.

a. Number of buildings and units (as applicable) in the project

b. Number of buildings/units in the initial verification phase

c. Number and organization of sample sets

d. Actual buildings/units tested and verified

e. Number and types of failures, as well as remedial actions taken

Note: If the project is applying to sample only Energy Star-related measures as verified solely by the

qualified Energy Rater (HERS Rater), the sampling tracking form is still required as part of the final

certification submittal.

GBCI March 2015 Page 29

7 Conflict of Interest (COI) Policy and Disclosure Requirements for

LEED for Homes Program

This policy document formally defines the types of services that can be provided by members of a Verification Team for a LEED for Homes project and the required disclosure policies. All LEED for Homes Quality Assurance Designees (QADs) are responsible for enforcement of this policy for all LEED for Homes Verification Teams. All conflict of interest disclosures must be signed by the QAD (as well as by the LEED for Homes Green Rater under the QAD’s supervision on that project) – using the form in Appendix D.

Under the Residential Energy Services Network (RESNET) National Standards, Home Energy Rating System (HERS) Raters are allowed to perform design and/or construction related services. However, this is not permitted on a LEED for Homes project since they are considered a member of the Verification Team.

7.1 INTRODUCTION TO CONFLICTS OF INTEREST

Generally, a conflict of interest (COI) is a situation in which an individual has competing professional or personal interests on any given LEED for Homes project. Such situations include:

i. Professional: Decisions may be influenced by competing professional obligations, for example having both a role on a project team and verification team

ii. Financial: Decisions may be influenced by financial gain, or potential business opportunity

iii. Legal: Decisions may be influenced by liability risks

iv. Ethical: Decisions may be influenced by reasons other than compliance with the required standards.

The following sections provide additional guidance on how to navigate these types of issues if they occur and when and how to declare these conflicts to GBCI. The Conflict of Interest policy identifies the following types of actions that Verification Team members are permitted to perform on a specific LEED for Homes project (outside of standard verification tasks); actions that are considered a conflict of interest but are permitted with proper disclosure; and finally, actions that Verification team members are prohibited from performing.

7.2 OVERVIEW OF CONFLICT OF INTEREST

The following summarizes the LEED for Homes Conflict of Interest Policy:

i. On a given LEED for Homes project, there is a major conflict of interest if any member of the Verification Team contributes to design and/or construction related services (i.e., becomes a de-facto member of the Project Team). Note: Anyone providing verification-related services is considered to be on the Verification Team.


ii. Members of the LEED for Homes Provider organization that are not members of the Verification Team for a given project participate in design and/or construction related services. These types of services are permitted, however, the Provider organization must disclose their involvement in design and/or construction related services as per disclosure requirements.

iii. Members of a Verification Team on a given LEED for Homes project (Project #1) are permitted to provide design and/or construction related services to another LEED for Homes project (Project #2), provided that they are not members of the Verification Team on Project #2. Verification Team members in this situation must disclose their involvement in design and/or construction related services on Project #2 as per disclosure requirements.

7.3 DEFINING AND IDENTIFYING CONFLICTS OF INTEREST

There are three types of verification-related services, as pertains to the Verification Team discussed in this document: Prohibited, Conflicted and Non-conflicted.

7.3.1 Prohibited Services - Definition of a Major Conflict of Interest

The following types of services constitute major conflicts of interest and may not be performed by any member of a LEED for Homes Verification Team:

i. Design support services related to the LEED for Homes Program, including:

a. Specifying products,

b. Creating drawings, details, or specifications, and

c. Performing design-related calculations. (e.g., Manual J and D calculations or calculating the volume of cisterns for rain-water / gray-water storage to be use for equipment sizing).

d. Design of any aspects of building envelope or systems

ii. Designing /specifying the durability related measures.

iii. Selling any product that will be installed in the LEED for Homes project.

iv. Installation services of any product in the project.

v. Construction support services related to the LEED for Homes program (e.g. air sealing services, etc.).

vi. Acting as responsible party / signing any Accountability Form.

vii. Involvement in financing, sale, or purchase of the project.

Additional Considerations

The LEED for Homes QAD must ensure that major conflicts of interest do not occur on any LEED for Homes project.

If the QAD becomes aware of a major conflict of interest, they shall notify LEED for Homes Program Staff immediately. GBCI Program Staff will work with the QAD and the Project Team to address the situation.

7.3.2 Conflicted Services- Definition of a Minor Conflict of Interest


While it is prohibited for members of the Verification Teams to engage in any Prohibited Services, other members of the Provider and/or Green Rater organization may provide these services, provided they are properly disclosed. In such cases, the Provider and/or Green Rater organization may not bundle any conflicted services in the same contract as for LEED for Homes Verification Services. A separate contract must be used that clearly states that these additional services are not required as part of LEED for Homes verification services under the LEED for Homes program. Provider and Green Rater organizations that choose to engage in these conflicted services may need to consider additional liability insurance coverage. The following types of services are considered minor conflicts of interest and must be disclosed (unless otherwise noted):

i. Other members of the Provider organization, who are not members of the Verification

Team, may provide design and/or construction related services with proper disclosure. Such services may include: a. Design support services related to the LEED for Homes Program, including:

1. Specifying products, 2. Creating drawing, details, or specifications, and 3. Performing design-related calculations. (e.g., Manual J and D calculations or

calculating the volume of cisterns for rain-water / gray-water storage to be use for equipment sizing).

b. Construction support services related to the LEED for Homes program (e.g., air sealing services, installation services, etc.).

c. Acting as responsible party / signing any Accountability Form. d. Designing /specifying the durability related measures.

ii. Members of the Verification Team provide Energy Modeling Services iii. Members of the Verification Team may engage in permitting support services, with proper

disclosure. iv. Members of the Verification Team that are paid directly or indirectly by the electric and/or

natural gas utility serving this home, must disclose this type of financial arrangement. v. Members of the Verification Team provide verification services without charge (voluntarily)

to the Project Team, this must be disclosed.

7.4 DEFINITION OF NON-CONFLICTED SERVICES

The following types of services are not considered a conflict of interest and may be performed in addition to verification services without disclosure. These types of services will typically be provided by the Verification Team on every LEED for Homes project.

i. Educating the Project Team (including trades) on the LEED for Homes rating system and verification procedures

ii. Educating the Project Team (including trades) on general green building best practices. iii. Educating the Project Team on subcontracts, and scopes of work for trades.

Additional Considerations


Education services (items in section 7.4); the Verification Team may only identify options available to a Project Team. Remember, the Verification Team is prohibited from providing design or construction services to the project team. Additionally, any services provided outside of standard verification required by the V&S Guidelines must be clearly identified as services that are not required for certification and separated from the mandatory verification services in contracts and scopes of work..

7.5 PROCESS FOR DECLARING CONFLICTS OF INTEREST

7.5.1 Disclosure Requirements of Minor Conflicts of Interest:

In instances where the Verification Team provides additional services that require COI disclosure, the following steps must be completed:

i. QAD shall interview and request information from members of the Verification Team to fully understand the extent of COI.

ii. The COI disclosure form must be completed and signed by the Green Rater. iii. The COI disclosure form must be reviewed and signed by the QAD. iv. A copy of the COI disclosure form must be submitted to:

a. The Principle Contact of the Project Team (prior to any verification services being performed)

b. GBCI (with the application for certification), and c. The homeowner (in the LEED for Homes Operation and Maintenance Manual and

with the copy of the LEED for Homes Certification Certificate) v. The COI disclosure form shall be maintained in Provider’s records for that project (for two

years), as per the Providers QAP protocol.

7.6 BEST PRACTICES TO AVOID OR MINIMIZE CONFLICTS OF INTEREST

7.6.1 QAD Identifying and Monitoring of Conflicts of Interest

As early as possible for every LEED for Homes project, the QAD shall determine if there is a potential conflict of interest. The QAD shall determine this by identifying the following:

i. The full range of services being conducted by members of the Provider Organization and

Green Rater organization, in the case of independent Green Rater, who are not members of the Verification Team for the project

ii. The full range of services being conducted by the Project QAD, Green Rater and Energy Rater

iii. The full range of services being conducted by other members of the Verification Team iv. If a minor COI exists, complete a COI Disclosure Form immediately. v. If a major COI exists, notify GBCI immediately. In most cases, the project will not be able

to proceed unless the major COI is addresses and resolved (e.g. the member of the Verification Team with the major COI is replaced with another professional)

vi. The full range of services being conducted by the Energy Rater (i.e. HERS Rater)


In instances where a COI exists for any member of the Verification Team, the COI Disclosure Form must be immediately completed by applicable parties.

At the pre-submittal stage, the QAD’s review of the project should include follow-up questions to all members of the Verification Team to ensure no additional COIs have arisen that were not previously identified and prepared for disclosure.

7.6.2 Violations of COI Policy

Violations of the LEED for Homes COI Policy include:

i. Verification Team members performing prohibited services ii. Failure to complete and submit COI Disclosure Forms, when needed.

Provider organizations that violate the COI Policy will be subject to disciplinary action, as described in the Professional Conduct Guidelines and Disciplinary Policy, Section. In general, violations of the policies contained within this manual will trigger disciplinary actions ranging from probation to suspension and could jeopardize project certification for related project(s). Repeated violations will result in revocation of Provider status and possibly applicable Verification Team member credentials.

8 Professional Conduct and Disciplinary Policy for the LEED for

Homes Program

8.1 INTRODUCTION

The professional behavior of all participants in the LEED for Homes program is a critical element in market acceptance and overall success of the program. Members of the Verification Team represent USGBC, GBCI and are the face of the LEED for Homes program. As such, they are expected to act with the highest degree of professionalism and ethics. This policy document includes a formal statement of the expectation for all members of the Verification Team on a LEED for Homes project and the disciplinary procedures for those that fail to meet these expectations. Note: these professional conduct guidelines and disciplinary policy are largely based on the Residential Energy Services Network (RESNET) National Standards.

8.2 PROFESSIONAL CONDUCT GUIDELINES

All members of the Verification Team on a LEED for Homes project will conduct themselves in a professional, respectful manner and perform requirements as specified. This includes the following conduct:


i. Comply with the technical standards and procedural requirements that are set forth by the LEED for Homes program.

ii. Commit to objectivity and neutrality in conducting a rating.

iii. Not engage in conduct that is detrimental to the reputation or best interests of the USGBC, GBCI or LEED for Homes program. Green Raters or Providers should raise concerns about the program directly with the USGBC and GBCI.

iv. Refrain from speaking negatively about other LEED for Homes Green Raters or Providers in public. Green Raters or Providers should submit a complaint form or communicate directly with GBCI if they have a complaint regarding another Green Rater or Provider.

v. Not disclose information concerning the rating of a specific home to parties other than the client, client’s agent, USGBC, or GBCI, without written permission of the client or client’s agent.

vi. Respond promptly and effectively to customer inquiries. Provider QADs and Green Raters need to be knowledgeable about the LEED for Homes program and be able to communicate program requirements effectively.

All members of the Verification Team for a LEED for Homes project will present an accurate representation of services and fees. For example, they will:

i. Fully disclose all applicable charges, as well as the general scope and deliverables of services,

prior to conducting a rating or other service. Verification services will be separated from consulting services in scopes of work, contracts and statement of fees.

ii. Make no representations regarding their services or qualification that are false or misleading.

All members of the Verification Team for a LEED for Homes project will work to minimize conflicts of interest (COIs), and disclose any COIs that are present. For example, they will:

i. Comply with the LEED for Homes Conflict of Interest (COI) Policy, including reporting any conflicts of interest that are listed.

ii. Not allow an interest in any business or individual to affect the results of a rating.

8.3 TYPES OF INFRACTIONS

Specific types of infractions include, but are not limited, to the following: Quality Assurance Designee (QAD)

i. Submitting an inaccurate or incomplete submittal packages to GBCI. ii. Unprofessional behavior, including one validated complaint, speaking negatively about the

USGBC, GBCI or the LEED for Homes program publicly, speaking negatively about another Verification Team member or Provider organization publicly.

iii. Failing to maintain a QA Plan and/or provide GBCI with current version. iv. Failure to implement and follow QA Plan (e.g., not providing adequate oversight of Green

Raters, including communication of program updates, not maintaining records (certification packages) for certified homes for at least 2 years).

v. Failure to file a COI form when disclosure is required.


vi. Failure to follow LEED for Homes requirements (from USGBC or GBCI).

vii. Failure to resolve issues identified in complaints.

viii. Disclosing information about a home’s rating to another party (other than the client, client’s agent, USGBC, GBCI) without written permission of the client or client’s agent.

ix. Falsely representing fees, charges, or scopes of work.

x. Falsely representing qualifications or previous experience.

xi. Knowingly submit false information to the USGBC or GBCI.

xii. Negligently issuing ratings (e.g., not completing QAD tasks).

xiii. Submission of a certification package that is based on a rating that is biased (i.e., not objective or neutral).

Green Raters

i. Unprofessional behavior.

ii. Failure to follow Provider’s QA plan.

iii. Submitting an inaccurate or incomplete submittal package to QAD.

iv. Failure to file a COI form when it was needed.

v. Failure to comply with LEED for Homes program requirements or procedures.

vi. Failure to resolve issues that were identified in a complaint.

vii. Disclosing information about a home’s rating to another party (other than the client, client’s agent, USGBC, or GBCI) without written permission of the client or client’s agent.

viii. Falsely representing fees, charges, or scopes of work.

ix. Falsely representing qualifications or previous experience.

x. Submission of false information to the Provider, GBCI or USGBC.

xi. Negligently issuing ratings (e.g., not completing verification tasks).

xii. Conducting a rating that is biased (i.e., not objective or neutral).

xiii. Providing verification services before earning the LEED for Homes Green Rater In-training status or after failure to maintain “active status” of LEED for Homes Green Rater certificate.

Note: Green Rater’s must also abide by the Professional Conduct Guidelines they agreed to in accordance with their certificate issued by GBCI.

Energy Raters Complaints about Energy Raters should be sent to RESNET and will be subject to RESNET disciplinary action. When USGBC/GBCI is notified about an Energy Rater that is being disciplined by RESNET, USGBC will implement similar disciplinary action against that professional if they are also serving as a LEED for Homes Green Rater. Energy Raters that have had their Rater Certification suspended by RESNET cannot act as a LEED for Homes Green Rater or an Energy Rater on a LEED for Homes project.


8.4 INVESTIGATION OF COMPLAINTS

8.4.1 Complaint Submittal Process

GBCI has developed a standard complaint form (see Appendix E). All formal complaints must use this form, be signed by the complainant and be submitted directly to GBCI by the complainant. The completed form shall include the following information:

i. The name of the complainant and contact information, ii. The accredited Provider Organization (or related Verification Team Member) that is the

subject of the complaint, iii. A complete description of the alleged violation(s), iv. A recitation of all the facts documenting the complaint including contact information, and v. Copies of any relevant documents.

GBCI will investigate all formal complaints and respond within thirty (30) days. In general, this response will include:

i. Dismissal of complaint (i.e., no action taken against), or ii. Validation of complaint

a. Requirement that Provider Organization (and related members of the Verification Team) correct the problem and put in place a process to ensure it does not occur again.

b. If complaint was serious, suspension or revocation of authorization to serve as a Provider and the possibly the credentials of related Verification Team members.

8.4.2 Investigation Process for Complaints

Upon receipt of a formal and complete complaint, GBCI will review and consider the documentation contained in the formal complaint in making a decision whether to proceed or dismiss the complaint. In cases where the documentation submitted does not meet the minimum standards for a complaint, the complaint may be dismissed. GBCI shall notify both parties of the findings. In cases where GBCI finds that the complaint should proceed to the next step, GBCI shall send a copy of the complaint to the subject of the complaint immediately. The respondent has 30 days to submit a full and complete response to the complaint. All relevant information and documentation shall be included in the response. The response shall be in writing and sent to GBCI by registered mail. E-mail to [email protected] OR Mail to: LEED for Homes Quality Assurance Team Lead Green Building Certification Institute 2101 L St. NW Suite 500 Washington, DC 20037

mailto:[email protected]


Upon receipt of the response, GBCI shall review the information and consult advisory groups as needed. Within thirty (30) days of receiving the subject’s response, GBCI shall come to a decision. At that time, GBCI staff will inform both parties of the decision.

8.5 TYPES OF DISCIPLINARY ACTIONS

Generally, there are three types of disciplinary that may be taken against a Provider Organization, and the members of a Verification Team.

i. Probation, ii. Suspension, and iii. Revocation

These are each described below.

8.5.1 Probation

GBCI will inform the Provider of Probation status. Relevant Verification Team members will receive written (electronically or in paper form) notice of probation directly from GBCI. GBCI will hold a meeting with the LEED for Homes Provider Organization (and relevant Verification Team members) to discuss how infraction can be remediated and not repeated.

During probation, the Provider Organization (and relevant Verification Team members) will be closely monitored from GBCI. The Provider Organization (and relevant Verification Team members) will be allowed to continue operating (e.g., verifying projects) during the probation period. GBCI will warn the Provider Organization (and relevant Verification Team members) of possible upcoming suspension if infraction is not remediated and steps are not taken to ensure that infraction does not occur again.

8.5.2 Suspension

The LEED for Homes Provider Organization (and relevant Verification Team members) will receive written (electronically or in paper form) notice from GBCI of suspension. The Provider Organization has 30 days to correct the problem and put in place a process to ensure it will not happen again. GBCI may allow Provider Organization (and relevant Verification Team members) to continue operating (e.g., verifying projects), or may place restrictions on operation (e.g., no new projects allowed to register with this Provider Organization, Green Rater).

8.5.3 Revocation

The LEED for Homes Provider Organization will receive written (electronically or in paper form) notice from GBCI that the executed contract for providing rating services or Provider services has been revoked. AND/OR


The relevant Verification Team members will receive written notice (electronically or in paper form) from the GBCI that they shall be prohibited from providing verification services to LEED for Homes projects.

AND

GBCI will decide how projects that have been registered, but not certified, with the Provider Organization will continue to pursue certification.

8.6 APPEAL PROCESS

In the event that a complaint has been denied, or if a Provider Organization (and relevant Verification Team members) has been placed on probation, or if a Provider’s authorization has been suspended or revoked , the Provider Organization (and relevant Verification Team members) shall have the right to an appeal. In order to be considered, the appeal must be filed within 30 days of notice of suspension or revocation. The appeal shall be submitted to GBCI in the form of a signed letter, containing all pertinent and substantive information. This includes a description of the circumstances of the case and arguments that are in contradiction to the proposed suspension or revocation. The appellant Provider Organization (and relevant Verification Team members) may request a telephonic hearing with the Director of Certification at GBCI. In such an event, GBCI shall, not later than fourteen (14) calendar days after the filing of the notice of appeal, notify the appellant Provider Organization (and relevant Verification Team member’s) of the date of the hearing, which shall be held as expeditiously as possible, but not later than thirty (30) calendar days after the receipt of the notice of appeal. A ruling on the appeal will be made not later than fourteen (14) calendar days after the hearing has concluded.


APPENDIX A: QUALITY ASSURANCE REPORTING TEMPLATES

Appendix A consists of A-1, A-2 A-3, and A-4; all are provided as attachments to this document in the form

of an excel spreadsheet.

Attachment A-1- Annual Statement of Compliance with QA Protocols

Attachment A-2- Verification Team Members Reporting Form

Attachment A-3- Knowledge Gaps Reporting Form

Attachment A-4- COI Reporting


APPENDIX B: SAMPLE QUALITY ASSURANCE PLAN (FOR PROVIDER

ORGANIZATION)

The following Quality Assurance Plans are included to serve as examples of custom designed quality

assurance plans. They were provided as a resource to other Provider organizations from Southface and

Everyday Green respectively. The plans are meant to serve solely as examples and should not be copied; it is

critical that the measures identified in a Provider’s QA Plan represent the specific QA approach taken by each

individual organization. For this reason, each Provider organization must develop, maintain and implement a

unique QA Plan that represents the specific measures employed to ensure quality throughout verification

activities for the given organization. Special thanks to Southface and Everyday Green for sharing these QA

plans as an educational resource.

Appendices B consists of B-1 and B-2; both are included as attachments to this document:

Appendix B-1- Southface Quality Assurance Plan (2013)

Appendix B-2- Everyday Green Quality Assurance Plan (2013)


APPENDIX C-1: PROVIDER QAD SAMPLING APPLICATION

The following form must be completed and signed by the Provider QAD and submitted to GBCI for

approval prior to the use of sampling on a project. Sampling may not be applied by a QAD until the QAD

has been approved for sampling by GBCI. Note: Any Green Rater applying sampling must meet the

qualifications set forth in Section 6.3; it is the Primary QADs responsibility to confirm Green Rater is

qualified. Approval is only required once in perpetuity for each Provider QAD; however, the allowance for a

QAD to apply sampling may be revoked at any time by GBCI

Basic Information

Name: Company:

Phone #: E-mail:

Experience

Date of QAD training

(mo/yr):

# of years working on

LEED for Homes:

# of Energy Star

buildings labeled:

# of LEED projects

certified:

Please list below all Energy Star projects that involved sampling. Please provide the project name, completion date or

current status, number of buildings and units in the project, and Provider QADs role on the project.

QAD Signature:___________________________________ Date:_________________________

GBCI Staff Use Only

Name of Reviewer: Date Approved:

Date Denied:


APPENDIX C-2: GREEN RATER SAMPLING QUALIFICATIONS

Any Green Rater applying sampling must meet the qualifications set forth in Section 6.3; it is the Primary

QADs responsibility to confirm Green Rater is qualified. The following form must be completed and signed

by the Primary QAD and Green Rater. This form does not need to be submitted to GBCI, but must be

retained by Provider as a QA record.

Basic Information

Name: Company:

Phone #: E-mail:

LEED-H Provider (s):

Experience

Date passed Green

Rater exam:

# of years working

on LEED for

Homes:

# of years working on

Energy Star for Homes:

# of LEED projects

certified:

Please describe any formal or informal training received by Green Rater related to sampling.

Please list below all Energy Star projects that involved sampling. Please provide the project name, completion

date or current status, and number of buildings and units in the project.

Signed (Green Rater): Date:

Signed (Primary QAD): Date:


APPENDIX C-3: ROOT CAUSE ANALYSIS TEMPLATE

The following form is a template, to be used by the builder to describe the underlying causes for a verification

failure and how the failure has been remedied. The root cause analysis must be kept by the Provider QAD for

at least two years.

Related Credit or Prerequisite:

Failed Item:

Description of

problem(s) uncovered by the analysis:

Explanation of the underlying reason(s) that the problem(s) occurred, including flaws in project design or

implementation of the quality management process:

Description of the process to correct the underlying cause(s), including when and how the process was

executed:


APPENDIX C-4: GUIDELINES FOR SETTING MAXIMUM SAMPLE SET

SIZE

The following section outlines how the maximum sample set size is determined for LEED for Homes

projects. The verification team has limited discretion on determining the maximum sample set size, and may

only increase (not decrease) the sampling rate relative to the guidelines below. By request, GBCI may

consider exceptions to the guidelines below. Any exceptions would need to be granted prior to sampling

activity commencing

For Multifamily Projects:

Maximum

Sample Set Size

Minimum

Sampling Rate Builder Experience with Sampling

10 units 10% Certified 2 LEED projects, both with sampling

OR

Certified 3 LEED projects, including 1 with sampling

7 units 14% Certified 1 LEED project with sampling

OR

Certified 2 LEED projects

5 units 20% Has never used sampling, and/or new to LEED for Homes

For Single Family Projects:

Maximum

Sample Set Size

Minimum

Sampling Rate Builder Experience with Sampling

7 homes 14% Certified 2 LEED projects, both with sampling

OR

Certified 3 LEED projects, including 1 with sampling

5 homes 20%

Certified 1 LEED project with sampling

OR

Certified 2 LEED projects AND completed an ENERGY

STAR project with sampling

3 homes 33% Has never used sampling, and/or new to LEED for Homes


APPENDIX C-5: SAMPLING REPORTING FORM

Appendix C-5 is provided as an attachment to this document.


APPENDIX D: CONFLICT OF INTEREST DISCLOSURE FORM FOR THE LEED FOR HOMES PROGRAM

For any project where the Verification Team performs any of the services wherein Conflict of Interest Disclosure is required, as described in Section 7 of the LEED for Homes Quality Assurance Manual, the COI disclosure form below must be completed. A copy of the COI disclosure form must be submitted to:

The Principle Contact of the Project Team (prior to any verification services being performed)

GBCI (with certification submittal), and

The homeowner (in the LEED for Homes Operation and Maintenance Manual and with the LEED for Homes Certification Certificate).

Before completing this form, read the Conflicts of Interest Policies and Procedures for the LEED for Homes Program thoroughly, included in Section 7 of the LEED for Homes Quality Assurance Manual. Check the applicable disclosure(s) for the services classified as Conflicted below:

[ ] 1. At least one member of the Verification Team has provided consulting services for this home that are unrelated to required third-party verification required by GBCI for the LEED for Homes Rating System.

A. Providing feedback on Project Team’s contracts with other subcontractors, scopes of work, and plans (not including feedback on design measures)

B. Permitting services support

C. Other (specify) ______________________________________________________ [ ] 2. At least one member of the Verification Team is paid directly or indirectly by the electric

and/or natural gas utility serving this home. [ ] 3. At least one member of the Verification Team is providing verification services without

charge (voluntarily) to the Project Team.

[ ] 4. At least one member of the LEED for Homes Provider Organization (other than those actively serving on the Verification Team) or a member of the same organization that employs any other active member of the Verification Team provided services to this project that are in the list of the Section 7.1.3 Prohibited Services

A. Design support services related to the LEED for Homes Program, including:

Specifying products,

Creating drawing, details, or specifications, and

Performing design-related calculations, other than energy modeling.

For project located at: ___________________________________________________

City: ____________________________________ State: ______________________

Information on the LEED for Homes Project


I hereby attest that the above information is true and correct to the best of my knowledge. As a LEED for Homes Quality Assurance Designee, I hereby agree to abide by the rating quality assurance policy of USGBC. While I acknowledge the conflict of interest described above, I hereby affirm that this did not affect the overall quality or integrity of the LEED for Homes Rating for this project.

_______________________________________ Quality Assurance Designee’s Printed Name

____________________________________ ____________ Quality Assurance Designee’s Signature Date

B. Designing /specifying the durability –related measures.

C. Selling any product that will be installed in the LEED for Homes project.

D. Installation services of any product in the project.

E. Construction services of any kind

F. Acting as responsible party / signing any Accountability Form.

G. Involvement in financing, sale, or purchase of the project. If you have checked any box under 4. above, please describe the nature of the service provided:

Name of member(s) of the LEED for Homes Provider Organization (other than the Verification Team) who provided these services: ____________________________________________ Note: Members of the Verification Team are prohibited from delivering any design and/or construction related (i.e., installation) services to this project.

[ ] 5. Other. Check this option if there is any other potential conflict of interest, or perceived conflict of interest, that pertains to the Verification Team and is not addressed above. Explain circumstance and involved Verification Team member(s) here.

I hereby attest that the above information is true and correct to the best of my knowledge. As a LEED for Homes Green Rater, I hereby agree to abide by the rating quality control provisions of GBCI. While I acknowledge the conflict of interest described above, I hereby affirm that this did not affect the overall quality or integrity of the LEED for Homes verification for this project.

____________________________________________________ LEED for Homes Green Rater’s (or Energy Rater’s) Printed Name

__________________________________________________ ____________ LEED for Homes Green Rater’s (or Energy Rater’s) Signature Date


APPENDIX E: VERIFICATION TEAM MEMBER ANNUAL

ATTESTATION FORM- COI AND PROFESSIONAL CONDUCT

LEED for Homes Quality Assurance protocols require that all QADs and Green Raters read the

Conflict of Interest Policy and Professional Conduct guidelines (Sections 6 & 7) of this manual,

annual and attest to compliance.

The Primary QAD at each Provider Organization is to obtain a signed copy of this form for each

QAD and Green Rater under their oversight annually and retain a copy in their QA records.

_____________________________________________________________________________

To be signed by Verification Team Member:

I hereby attest that I have read and understood and agree to comply with the Conflict of Interest and Disclosure Policy and Professional Conduct Guidelines contained in the LEED for Homes Quality Assurance Manual.

____________________________________________________ Verification Team Member’s Printed Name

_________________________________________________________________ Role Played within LEED for Homes Verification (e.g. Green Rater and/or QAD)

__________________________________________________ ____________ Verification Team Member’s Signature Date


APPENDIX F: SUBMITTAL FORM FOR COMPLAINTS

AGAINST LEED FOR HOMES VERIFICATION TEAMS

DATE SUBMITTED

Date:

NAME OF COMPLAINANT AND CONTACT INFORMATION

Name:

Address:

City:

State/Zip:

Phone:

E-mail Address:

Role in LEED Project:

SUBJECT OF COMPLAINT

Name:

Address:

City:

State/Zip:

Phone:

E-mail Address:

RELATED LEED PROJECT

Project Name:

Project Address:


TYPE OF COMPLAINT

Complaint is filed against:

o LEED for Homes Provider

o LEED for Homes Green Rater

o USGBC/GBCI

DETAILED DESCRIPTION OF COMPLAINT

[Enter description here]

LIST OF SUPPORTING DOCUMENTATION

[List supporting documentation here]

REQUESTED RESOLUTION

(USGBC/GBCI does not guarantee that this will occur, but values your opinion)

[Describe requested resolution here]

Please submit form by e-mail to [email protected]

OR via mail to:

LEED for Homes Quality Assurance Team Lead

Green Building Certification Institute

2101 L Street, NW

Suite 500

Washington, DC 20037

Only complete submittals will be processed.

mailto:[email protected]


APPENDIX G: LEED for Homes Verification and Submittal Guidelines v2008

See attachment G.


APPENDIX H: Quality Assurance Field Audit Documentation Form Each Provider is required to maintain record of the Quality Assurance Field Audits conducted for each Green Rater. This template form is provided to assist in record keeping. If the Provider has a different form that captures this information, they may use it as an alternative. An editable version of this form is available upon request to [email protected].

FIELD AUDIT INFORMATION Date of Audit: Green Rater of Audit: QAD conducting Audit: Project ID Number: Verification visit type: □ Mid-construction site visit □ Final construction site visit DESCRIPTION OF AUDIT PROCEEDURE: FIELD AUDIT FINDINGS Was the Green Rater’s verification on the given project shown to be accurate? Comments on accuracy: Describe any key observations or concerns noted by QAD: Describe any follow-up education or corrective action required:

Documents

LEED for HOMES QUALITY ASSURANCE MANUAL · For a given LEED for Homes project, the designated Project QAD will oversee all members of the Verification Team including: LEED for Homes