LEED for HOMES QUALITY ASSURANCE MANUAL

Transcription

1 LEED for HOMES QUALITY ASSURANCE MANUAL 2017 EDITION GBCI January 2017 Page 1

2 Table of Contents 1 Introduction GUIDING PRINCIPLES EXPECTATIONS OF VERIFICATION TEAMS SCOPE OF GBCI CERTIFICATION DEFINITIONS Overview LEED FOR HOMES QUALITY ASSURANCE OVERVIEW SCOPE OF QUALITY ASSURANCE MANUAL Roles and Responsibilities VERIFICATION TEAM ROLES PROJECT TEAM ROLES Provider Quality Assurance Designee Oversight of Verification Team PROVIDER ORGANIZATION S COMMITMENT TO QUALITY DEVELOPING A QUALITY ASSURANCE APPROACH REQUIREMENTS OF Quality Assurance Plan REQUIRED RECORD KEEPING FEEDBACK GATHERING GBCI Oversight of Provider Organizations ANNUAL QA REPORTING PROVIDER AUDITS BY GBCI PERFORMANCE METRICS LEED for Homes Sampling Protocol KEY SAMPLING TERMS SCOPE AND ELIGIBILITY VERIFICATION TEAM QUALIFICATIONS PROJECT TEAM QUALIFICATIONS SAMPLING PROCESS WORST-CASE ANALYSIS DEMONSTRATION CONSISTENCY: INITIAL VERIFICATION REQUIREMENTS GBCI January 2017 Page 2

3 6.8 APPLYING SAMPLING CONTROLS SAMPLING FAILURES LABELING & CERTIFICATION SAMPLING REPORTING REQUIREMENTS Conflict of Interest (COI) Policy and Disclosure Requirements for LEED for Homes Program INTRODUCTION TO CONFLICTS OF INTEREST OVERVIEW OF CONFLICT OF INTEREST DEFINING AND IDENTIFYING CONFLICTS OF INTEREST DEFINITION OF NON-CONFLICTED SERVICES PROCESS FOR DECLARING CONFLICTS OF INTEREST BEST PRACTICES TO AVOID OR MINIMIZE CONFLICTS OF INTEREST Professional Conduct and Disciplinary Policy for the LEED for Homes Program INTRODUCTION PROFESSIONAL CONDUCT GUIDELINES TYPES OF INFRACTIONS INVESTIGATION OF COMPLAINTS TYPES OF DISCIPLINARY ACTIONS APPEAL PROCESS 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 GBCI January 2017 Page 3

4 Appendix G [Attachment]: LEED for Homes v2008 Verification and Submittal Guidelines Appendix H [Attachment]: LEED BD+C: Homes v4 and LEED BD+C: Multifamily Midrise v4 Verification and Submittal Guidelines Appendix I: Remote QA Audit Procedures Appendix J: Template- Quality Assurance Audit Documentation Form GBCI January 2017 Page 4

5 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 Green Business Certification Inc. 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 highquality 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. GBCI January 2017 Page 5

6 1.2 EXPECTATIONS OF VERIFICATION TEAMS 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 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 Green Business Certification Inc. 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 GBCI January 2017 Page 6

7 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 Business Certification Inc. (GBCI): organization that manages the accreditation of individuals and the certification of LEED buildings. QC 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 Business Certification Inc.(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 GBCI January 2017 Page 7

8 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 (Primary QAD) 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 Primary QAD is responsible for submitting their Provider Organization s Quality Assurance Plan (Quality Assurance Plan) and required annual reporting documents to GBCI for review and approval. The Provider Organization s Quality Assurance Plan is reviewed and approved by GBCI prior to a Provider Contract being executed. If a Provider Organization s Quality Assurance Plan 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. GBCI January 2017 Page 8

9 3 Roles and Responsibilities Each LEED for Homes project consists of a Project Team and a Verification Team. LEED for Homes Project Verification Team Verification Services QAD Green Rater Energy Rater Supporting Staff Project Team Design and Construction Related Services Designer Builder Sub-Contractors Consultants 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 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 (Quality Assurance Plan) 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 Quality Assurance Plan 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 GBCI January 2017 Page 9

10 viii. Confirm adequate training and credentials and oversee continued training of all members of the Verification Team 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 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) 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) 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 GBCI January 2017 Page 10

11 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. iii. 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). 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 GBCI January 2017 Page 11

12 Developing a Quality Assurance Plan is a critical step in the overall development of a Provider Organization s approach to quality assurance. The Quality Assurance Plan 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 (Primary QAD), as described in Chapter 3 Roles and Responsibilities b. Definition of the organization s quality goals - using measurable metrics c. Establish a detailed Quality Assurance Plan - 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 Quality Assurance Plan, 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 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: As a foundation for the Quality Assurance Plan, the following must be included: i. A set of specific goals to be achieved by the Quality Assurance Plan ii. iii. A set of specific challenges to be addressed by the Quality Assurance Plan (e.g., common mistakes in the verification process, types of mistakes with higher levels of risk, potential areas where inappropriate shortcuts are possible, etc. ) 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 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, Quality Assurance Plan shall include, at minimum, procedures for tracking: 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 GBCI January 2017 Page 12

13 iii. iv. (RESNET). QAD must confirm the HERS Raters RESNET Provider and maintain a record of who the Provider is. LEED for Homes Green Raters are properly trained, and credentialed by GBCI. 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 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 In order to ensure correct application of the Verification and Submittal Guidelines by Verification Team members; Quality Assurance Plan 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 review of each project certification submittal prior to submission to GBCI. This review of the certification submittal package includes, but it not limited to: o complete review of certification submittal to ensure project information and documented verification is complete and accurate, o rating system requirements of prerequisites and attempted credits have been met o for credits wherein a calculation is required, QAD to review to ensure the calculation inputs and outputs reflect the as-built project parameters and the correct number of credit points are allocated, and o review of EnergyStar reports ensuring inputs and outputs reasonably reflect project parameters and meet rating system requirements. iv. Quality Assurance Plan 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. GBCI January 2017 Page 13

14 vii. viii. For any Provider Organization that will implement sampling, specific quality assurance measures must be included in Quality Assurance Plan to address sampling. Performance testing that falls under the RESNET protocol must be a confirmed rating, reported to HERS Provider and included in RESNET s quality assurance process via upload to RESNET registry. For Multifamily projects, each unique unit type (using RESNET definition for unit model type) must be uploaded to registry; for single-family projects, each home needs to be uploaded. Note: International projects are not accepted to RESNET registry, and therefore, do not need to be uploaded. Additionally, QAD should confirm that the outputs of the EnergyStar report related to LEED measures are reasonable, reflect the project parameters 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 In order to ensure ongoing compliance and competency of Green Raters, annual audits are required; i. For all Green Raters operating under the quality assurance protocol of Provider, a Provider QAD must conduct annual onsite QA audits at the following rates, with a minimum of 1 onsite QA audit per Green Rater per year. This onsite QA 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. ii. The onsite QA 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 onsite QA 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. The QAD must complete an Audit Documentation Form for each audit conducted and keep as part of QA records for a minimum of 2 years. Appendix J includes the Audit Documentation Form. Note: If the GR does not verify any projects in a given year, no onsite QA audit is required. QA Audit rates are represented in the following table: Table 1.1: QA Audit Rates # of projects* by GR # of Audits Required audit audits GBCI January 2017 Page 14

15 audits % of total projects iii. *For the purposes of Table 1.1, a project is defined as a building. Onsite QA 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. iv. In some cases, an onsite QA audit of a given Green Rater may not possible or may be cost prohibitive. As an alternative to the onsite QA audit, eligibility qualifications and procedures for Remote QA audits have been developed and are included in Appendix I. A Remote QA audit allows a QAD to meet the quality assurance intent of an onsite audit without having to physically visit the site In order to ensure integrity of Verification Teams; Adherence with Professional Conduct Guidelines and Conflict of Interest Protocol: Quality Assurance Plan 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 In order to ensure implementation of Quality Assurance Plan; Quality Assurance Plan shall include, at a minimum, procedures for ensuring: i. All Provider Organizations shall fully educate their verification teams on their Quality Assurance Plan, and their respective roles in implementing the Quality Assurance Plan. ii. All activities by all members of the Verification Team shall be in compliance with this Quality Assurance Plan. The Primary QAD shall track and document implementation of QA activities called for in Quality Assurance Plan (on both per-project level and annual-level). iii. A schedule/frequency for when each of the activities called for in the Quality Assurance Plan 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 Quality Assurance Plan and QA protocols In order to ensure feedback is provided through QA process; GBCI January 2017 Page 15

16 Quality Assurance Plan 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 Primary QAD 4.4 REQUIRED RECORD KEEPING 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. iii. iv. 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 Process related records: a. Records that program updates are communicated to raters (meeting minutes, copies of s 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. 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. vii. Project related records: a. Record that QAD communicated with Green Rater during preliminary stages, to discuss any potential challenges with project (e.g., ) b. Record that QA held pre-submittal review with green rater (e.g., ) c. Complete submittal package. This must also be submitted to the certification body (GBCI) for every project. Sampling records: GBCI January 2017 Page 16

17 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 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 Quality Assurance Plan 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 Quality Assurance Plan. 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 Quality Assurance Plan. 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) GBCI January 2017 Page 17

18 iv. Submitted annually, (Verification Team) Knowledge Gaps Reporting Form (Appendix A-3) *The Quality Assurance Plan is submitted with application to become a LEED for Homes Provider, prior to execution of a Provider contract. Quality Assurance Plan must be re-submitted to GBCI for review and approval immediately if any substantial updates are made after execution of Provider contract. Quality Assurance Plan 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 inperson 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 Quality Assurance Designees and LEED for Homes Provider organizations to track a consistent standard of quality, 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 QAD Performance Evaluation: The quality of the QADs quality oversight is assessed for each certification submittal by LEED Homes QC Reviewers. Every review is evaluated on the following key metrics: 1. Credit-by-credit and Prerequisite Review (50% weighting) this metric evaluates the accuracy of the certification submittal with regards to the rating system requirements of credits/prerequisites reported as achieved in the workbook. 2. Required Submittal Components QA Review Tab (10%) and Submittal Components (10% weighting) this metric evaluates the quality of the certification submittal with regards to the completeness and consistency of the required submittal components. 3. QA Evaluation (30% weighting) this metric evaluates the QAD s overall quality assurance process for the given project, including their oversight of the Verification Team and overall project knowledge. GBCI January 2017 Page 18

19 Scoring: Each aspect is scored on a 1-5 point scale. The scorings and their respective weightings are then combined to calculate an overall score for the quality of the certification submittal. As a recognition of high quality, QADs that meet and sustain minimum performance thresholds may qualify for a sampling rate where only select projects are sampled for QC review. The number of major and minor issues observed by the QC Reviewer during the project review has a direct impact on scoring. See Table 1.1 for general quantitative guidance on how major and minor issues impact scoring. Additionally, the significance of the 1-5 point scoring system is defined below in Table 1.2. Table 1.1: Scoring based on Issues Observed Score # Major # Minor 1 >4 > Examples of minor issues include, but are not limited to: i. Points earned by project are mistakenly not awarded on checklist ii. 1-2 small oversights in the certification submittal iii. QAD did not have sufficient information or ready access to supplemental documentation for a given credit of concern, however after follow-up it was confirmed that credit was accurately awarded. Examples of major issues include, but are not limited to: i. There are 1 or more errors in the workbook that impact credit achievement (as reported) and represent a QA oversight ii. A credit or prerequisite is inaccurately awarded in the workbook iii. QAD lacked a sound QA process that was well executed for this project iv. QAD did not know the Green Rater process well and/or did not have a system for sharing information in place and follow-up with the Green Rater appropriately v. QAD was not familiar with the project type, scope, boundary, parameters, etc. Table 1.2 Significance of Scoring System Score QAD Evaluation Range 5 QAD is exceeding expectations QAD is meeting expectations GBCI January 2017 Page 19

20 There is room for improvement, and the QAD needs to review their processes and protocols to ensure that all issues are caught and that all submissions are complete and accurate The QAD is not meeting minimum expectations and there is significant room for improvement <3.5 The QAD is producing unacceptable work and the integrity of the LEED Rating System is compromised Provider Performance Metrics: 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 Primary QAD. Primary QAD 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. GBCI January 2017 Page 20

21 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 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. GBCI January 2017 Page 21

22 6.2.1 Every project using the sampling protocol must meet the following criteria 1 : 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 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. 1 These requirements are somewhat more restrictive than what is included in the RESNET sampling standards. GBCI January 2017 Page 22

23 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. iii. iv. Develop detailed scopes of work for each trade that are focused on quality-critical tasks; Include scopes of work, and compliance requirements in all trade contracts; 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. vii. Require trade and builder supervisor approval and sign-off on all quality-critical measures; and 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 NAHB Research Center National Housing Quality Certified Builder Program for builders and contractors ity%20management%20systems/quality-certified-builder-requirements.pdf 6.5 SAMPLING PROCESS GBCI January 2017 Page 23

24 The sampling process consists of five main steps, outlined below 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 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 GBCI January 2017 Page 24