LEED ® CERTIFICATION POLICY MANUAL
For Use With All LEED Rating Systems
and Participation in All LEED Certification Programs administered by GBCI
January 1, 2012
This manual contains important information regarding the LEED certification program including the current policies, procedures and pricing established by GBCI® for the purposes of administering this program.
GREEN BUILDING CERTIFICATION INSTITUTE
™LEED
®Certification Policy Manual
TABLE OF CONTENTS:
General Policies
1. Introduction 03
2. Program-Specific & Rating System-Specific Appendices 03 3. LEED Certification Policy Manual Updates & Revisions Policy 04
4. LEED Green Building Rating Systems 05
5. Minimum Program Requirements (MPRs) 07
6. LEED Reference Guides 07
7. LEED Online 08
8. Site User Registration 08
9. Project Registration 09
10. Formal Inquiries 10
11. Documentation Requirements 13
12. Registration Cancellation Policy 17
13. Application Submission & Review Policies 18
14. Appeals Policy 20
15. Expiration Policy 22
16. Certification Challenge Policy 22
17. Project Monitoring Policy 26
18. Use and Disclosure of Submitted Information Policy 26
19. Trademarks Policy: Branding, Logos & Plaques 29
Rating System-Specific Appendices
A. LEED for New Construction and Major Renovations 33
B. LEED for Commercial Interiors 41
C. LEED for Core and Shell Development 48
D. LEED for Existing Buildings 55
E. LEED for Neighborhood Development 61
Program-Specific Appendices
A. LEED Volume Program 72
B. LEED Multiple Buildings and On-Campus Buildings Program 88
Pricing Appendices
A. General LEED Certification Program Fees 94
B. Rating System-Specific Fees 96
C. Program-Specific Fees 97
1. INTRODUCTION
1.1 Green Building Certification Institute: The Green Building Certification Institute (GBCI) was established in 2007 to provide professional accreditation and third-party certification related to the design and construction of sustainable buildings, interiors and neighborhoods. In early 2009, GBCI assumed responsibility for administering the LEED certification program previously administered by the U.S. Green Building Council® (USGBC®).
1.2 LEED Certification Program: The LEED certification program is a comprehensive third party review process designed to allow owners of eligible projects to apply for, and potentially achieve, LEED certification. LEED certification is an official recognition that a project complies with the requirements prescribed within the LEED Green Building Rating Systems and the LEED Minimum Program Requirements (MPRs) as created and maintained by USGBC.
1.3 LEED Certification Policy Manual: This LEED Certification Policy Manual identifies the program requirements and policies put in place by GBCI for the purposes of administering the LEED certification program. Project teams must adhere to the policies and procedures contained within this manual and in the attached appendices.
2. PROGRAM-SPECIFIC & RATING SYSTEM-SPECIFIC APPENDICES
2.1 Program-Specific & Rating System-Specific Policies: For the most part, GBCI utilizes a series of generally applicable policies and procedures with relation to the certification of buildings, interiors, and neighborhoods. These policies and procedures are represented in the General Policies section of this Policy Manual. In addition to these General Policies, GBCI maintains additional and alternative policies that apply in the event LEED certification is sought in accordance with certain rating systems or through participation in certain specialized certification programs. These additional and alternative policies are represented in the sections of this manual titled “Rating System-Specific Appendices” and “Program- Specific Appendices.”
2.2 Effect of Program-Specific and Rating System-Specific Policies: The General Policies section of this manual is applicable to all projects. The Rating System-Specific and Program-Specific Appendices are only applicable to project teams seeking to certify under the corresponding rating system or participating in the corresponding certification program. In some instances, policies set forth in the different sections and appendices of this manual may be in conflict with one another. Such conflict is unavoidable given the nuances of the different rating systems and certification programs administered by GBCI. GBCI has established the following order of precedence for policies in this manual where conflict occurs: i) General Policies are superseded by Rating System-Specific Policies; and ii) General Policies and Rating System-Specific Policies are both superseded by the Program-Specific Policies. An illustration and example are provided below for clarity:
General Policies
Rating System‐Specific Policies
Program Specific Policies
The following example demonstrates the applicability of a General Policy in the face of a conflicting Rating System-Specific Policy:
General Policy:
5.1 Minimum Program Requirements: USGBC maintains Minimum Program Requirements (MPRs) that apply to the LEED 2009 rating systems. The MPRs identify the basic construction and development activities that the LEED program was designed to evaluate. GBCI requires projects certifying to these rating systems to demonstrate compliance with the MPRs. The complete text of the MPRs can be found via the USGBC website.
LEED 2009 for Neighborhood Development Rating System-Specific Policy:
ND 5.1 Minimum Program Requirements: The Minimum Program Requirements (MPRs) referenced in Section 5.1 through 5.4 of the General Policies do not pertain to projects registered under the LEED 2009 for Neighborhood Development rating system.
In this instance, the General Policy pertaining to the MPRs conflicts with the Rating-System Specific Policy for project teams seeking certification under the LEED 2009 for Neighborhood Development rating system. Because there is a conflict between these two policies, the Rating System-Specific Policy supersedes the General Policy. Accordingly, a project team who is seeking certification under the LEED 2009 for Neighborhood Development rating system must follow the terms of the Rating System- Specific Policy.
2.3 Policy Exceptions: In the event of a natural disaster (flood, hurricane, tornado, wildfire, etc.), acts of war or civil unrest, GBCI will consider extending and/or suspending deadlines for project teams in responding to actionable items related to LEED certification. If such an event occurs, when appropriate and safe to do so, project teams may contact GBCI with details regarding their specific situations. GBCI will evaluate such requests on a case-by-case basis. GBCI will endeavor to allow project teams the additional time necessary to complete their LEED certification. This policy applies to deadlines established in the following sections of the LEED Certification Policy Manual:
Section 10: Formal Inquiries
Section 12: Registration Cancellation Policy
Section 13: Application Submission and Review Policy Section 14: Appeals Policy
Section 15: Expiration Policy
Requests for extension of deadlines established in other sections will be evaluated on a case-by- case basis.
3. LEED CERTIFICATION POLICY MANUAL UPDATES & REVISIONS POLICY 3.1 LEED Certification Policy Manual Updates & Revisions: GBCI reserves the right to update and change
the policies articulated in this manual. Updates and changes shall apply immediately upon GBCI’s publishing of the same; however, such changes will have limited implications for projects that have already been registered, or for which a LEED Project Certification Agreement or a LEED Project Application Review Agreement has been accepted by a project owner.
3.2 Impact of Policy Manual Updates & Revisions Posted After Project Registration: To the extent a project team has successfully completed the registration process for a particular project, such project team will
not be required to comply with revisions to sections 1-9 of this manual posted after the date such project was registered.
3.3 Impact of Policy Manual Updates & Revisions Posted After the Execution of a LEED Project Certification Agreement or a LEED Project Application Review Agreement: Upon executing a LEED Project Certification Agreement or a LEED Project Application Review Agreement with GBCI (as is necessary to submit an application to GBCI for review), such project team will not be required to comply with revisions to any sections of this manual that are published after the date that such agreement is accepted.
3.4 Fee Revisions: Regardless of when a project is registered, or when a LEED Project Certification Agreement or a LEED Project Application Review Agreement is accepted, GBCI reserves the right to change the fees associated with the certification program from time to time. GBCI will publish all current fees in revisions to the pricing appendices included in this document. In all cases, when fees are incurred, project teams are responsible for the then-current fees.
Changes to fees will not apply retroactively; meaning, if a project team has incurred and already paid a particular fee associated with some aspect of the LEED certification program, the project team will not be required to pay the difference between the fee amount already paid and the subsequently published fee.
4. LEED GREEN BUILDING RATING SYSTEMS
4.1 Overview: GBCI’s certification program is currently limited to the LEED Green Building Rating Systems. LEED consists of a set of criteria designed to quantitatively evaluate the environmental impact of buildings, interiors and neighborhoods.
4.2 Diverse Applicability of LEED: LEED consists of several different rating systems. Each rating system is tailored to a specific sector of the building and development industry.
4.3 Rating Systems: The following consists of a list of rating systems available under GBCI’s certification program. Complete rating system text can be found in LEED Online and via the USGBC website.
GBCI offers project registration and conducts application reviews for the following rating systems:
Green Building Design & Construction
LEED 2009 for New Construction and Major Renovations LEED 2009 for Core & Shell Development
LEED 2009 for Schools New Construction and Major Renovations LEED 2009 for Retail New Construction and Major Renovations LEED 2009 for Healthcare New Construction and Major Renovations LEED 2009 Italia Nuove Costruzione e Ristrutturazioni
Green Interior Design & Construction
LEED 2009 for Commercial Interiors LEED 2009 for Retail Commercial Interiors
Green Building Operation & Maintenance
LEED 2009 for Existing Buildings: Operations and Maintenance
Green Neighborhood Development
LEED 2009 for Neighborhood Development
GBCI has closed registration for the following ratings systems; however, GBCI will continue to review applications for currently registered projects until the applicable sunset date:
Green Building Design & Construction
LEED for New Construction & Major Renovations (v2.1 and v2.2)
LEED for Core & Shell (v2.0) LEED for Schools (First Edition)
Green Interior Design & Construction
LEED for Commercial Interiors (v2.0)
Green Building Operation & Maintenance
LEED for Existing Buildings: Operations & Maintenance (2008) LEED for Existing Buildings (Version 2)
4.4 Rating System Requirements: Each LEED rating system is comprised of a series of prerequisites and credits organized across a series of categories.
4.4.1 Prerequisites: Each version of LEED contains unique prerequisite requirements that must be satisfied in order to achieve certification. The term “prerequisite” refers to a mandatory project characteristic, measurement, quality, value, or function as identified within a particular rating system. Prerequisites represent the key criteria for green buildings, interiors and neighborhoods.
Each project must satisfy all specified prerequisites outlined in the rating system under which it is registered. Failure to meet any prerequisite will render a project ineligible for certification.
4.4.2 Credits: Each project must satisfy a combination of credits to achieve the desired level of certification. The term “credit” means a project characteristic, measurement, quality, value, or function as identified within a particular rating system. Each credit represents a particular facet of sustainability that contributes to the design and construction of green buildings, interiors and/or neighborhoods. Each credit is associated with a specific number of points. Projects must be awarded a minimum number of points outlined in the rating system under which it is registered to achieve a particular level of certification, such as LEED Certified™, LEED Silver®, LEED Gold®, or LEED Platinum®. Credits are selected and pursued at the option of a LEED project team.
4.5 Rating System Updates & Revisions: The rating systems and the requirements contained therein are revised on an ongoing basis in accordance with USGBC’s policies and procedures for rating system versioning and addenda. GBCI will review each submitted project application in accordance with the version of the rating system that was in place at the time such project was registered.
Project teams may elect to pursue certification by demonstrating compliance with credit and prerequisite requirements that have been revised since the time such project was registered. Such substitutions may only include revised requirements from the same rating system. For example, a project team with a project registered under the LEED for New Construction & Major Renovations v2.2 rating system may elect to follow the published addenda to the LEED for New Construction & Major Renovations v2.2 rating system; however, it may not pursue credits or prerequisites from the LEED 2009 for New Construction and Major Renovations rating system.
4.6 Rating System Closure: GBCI retains the right to close registration for any rating system at any time, for any reason, and without notice. Such closure will generally occur concurrently with the release of a new rating system. The closure of registration for a rating system means that no new projects may register under that rating system. The closure of registration is effective immediately upon the announcement of the same by GBCI.
4.7 Impact of Rating System Closure on Projects Already Registered: Closure of registration shall not immediately impact the status of registered projects. Similarly, if a project team has initiated the registration process but is awaiting the clearance of payment at the time rating system closure occurs, such project shall appear in LEED Online as active projects once payment has cleared. Projects that are registered under a rating system that is subject to closure will be allowed to proceed through the LEED
certification process in accordance with the requirements of such rating system; provided, that they adhere to the policies and timelines as outlined in this Policy Manual.
5. LEED MINIMUM PROGRAM REQUIREMENTS:
5.1 Minimum Program Requirements: USGBC maintains Minimum Program Requirements (MPRs) that apply to the LEED 2009 rating systems. The MPRs identify the basic construction and development activities that the LEED program was designed to evaluate. GBCI requires projects certifying to these rating systems to demonstrate compliance with the MPRs. The complete text of the MPRs can be found via the USGBC website.
5.2 Minimum Program Requirements: Supplemental Guidance: USGBC maintains Supplemental Guidance which provides additional information about the MPRs. This additional information includes:
i. the intent of each MPR;
ii. definitions of terms used within the MPRs;
iii. clarifications of requirements to demonstrate compliance with the MPRs; and iv. limited exemptions that may excuse a project from compliance with certain MPRs.
The complete text of the Supplemental Guidance can be found via the USGBC website.
5.3 Updates & Revisions to the MPRs & Supplemental Guidance: The MPRs and Supplemental Guidance will be revised and updated from time to time in accordance with USGBC’s policies and procedures for MPR addenda and versioning. Project teams must demonstrate compliance with the versions of the MPRs and Supplemental Guidance that were in place at the time their project was registered. Project teams may voluntarily elect to pursue certification by demonstrating compliance with a revised version of the MPRs and/or Supplemental Guidance rather than the version of such requirements that existed at the time such project was registered.
6. LEED REFERENCE GUIDES
6.1 LEED Reference Guides: The LEED Reference Guides are supporting documents to the LEED rating systems and they are officially incorporated into the LEED certification program. These guides provide supplementary information for all LEED rating system requirements, including, and not limited to, criteria related to exemplary performance points, the intent behind the LEED rating system requirements, as well as suggested strategies to implement sustainable building practices that will satisfy the same. Further, in some cases, these guides identify documentation requirements necessary to complete a LEED certification application. Although these guides provide suggestions on possible strategies to incorporate specific attributes of sustainable design, such suggestions do not constitute exhaustive lists of acceptable green building design practices and/or strategies.
6.2 Reference Guide Revisions: The LEED reference guides will be revised on an ongoing basis in accordance with USGBC’s policies and procedures for reference guide revisions and addenda. GBCI requires compliance with the version of the reference guide, including all published addenda, that was in place at the time of project registration. Project teams may voluntarily elect to pursue certification by demonstrating compliance with a revised version of the reference guide rather than the version that existed at the time such project was registered.
6.3 Procurement of Reference Guides: LEED reference guides are available for purchase from the USGBC website. Please note that the reference guide for the rating system LEED 2009 Italia Nuove Costruzione e Ristrutturazioni is available only at [ ].
7. LEED ONLINE
7.1 LEED Online: LEED Online is an electronic form-based project information submittal tool located on the World Wide Web.
7.2 LEED Certification Application (“Forms”): LEED Online is primarily made up of collections of electronic data entry screens or “Forms” (referred to as Submittal or Letter Templates for pre-LEED 2009 versions of LEED). These Forms collectively make up the LEED certification application. Each Form has been specifically designed to collect the information necessary to evaluate a project. The Forms also contain instructions indicating how each credit, prerequisite and MPR must be documented.
7.3 LEED Online Version 3: Project teams seeking certification in accordance with a LEED 2009 rating system version or newer must use LEED Online Version 3. The Rating System-Specific Appendices provide further details about this requirement.
7.4 LEED-Online Version 2.0: Most project teams seeking certification under a pre-LEED 2009 rating system are required to use LEED-Online Version 2.0. The Rating System-Specific Appendices provide further details about this requirement.
7.5 Form Updates and Additions: Upon registering, project teams are provided with all currently available Forms. Following registration, GBCI may subsequently update existing Forms and/or introduce new Forms. Each credit and prerequisite is associated with one Form, or a series of Forms, in LEED Online.
The associated Form(s) must be completed in order to demonstrate satisfaction of a particular prerequisite, credit or MPR. Prior to submitting an application for review, project teams will have the opportunity to upgrade to the most current version of each Form. The Help section of LEED Online contains additional information on how to upgrade to an updated Form.
7.6 Form Errors: GBCI recognizes that Forms may contain calculation or functionality errors that could potentially cause a form to misrepresent compliance or non-compliance with a prerequisite, credit or MPR. Regardless of any error in the forms, each project must demonstrate compliance with the underlying requirements of the applicable rating system, reference guide and MPRs. During a certification review GBCI may request additional documentation or resubmission of data and/or calculations as a result of such errors.
8. SITE-USER REGISTRATION
8.1 Site-User Registration: The site-user registration process is a primary function within LEED Online whereby a user of LEED Online establishes a personal site-user account or identity within the system.
To complete this process a user must access LEED Online, enter information in the site-user registration forms, and accept the current LEED Online Terms and Conditions for Use. By creating a site-user account, each person within LEED Online can be identified and thereby be selected to work on the submittals for a particular project, as well as be identified and assigned to complete specific tasks or submittals for a particular credit, prerequisite, or MPR within the LEED certification application.
8.2 Site-User Information: Each user of LEED Online must provide his or her personal identifying information including name, address, affiliation, and contact information. In addition, site users seeking to utilize the Licensed Professional Exemption program, as further identified herein, must enter information pertaining to any applicable professional licenses.
8.3 Use of Site User Information: GBCI and/or USGBC use of site user information is restricted as indicated in the LEED Online Privacy Policy which is accessible from the LEED Online homepage.
8.4 Changes to Site User Information: Site users may review and make changes to their personal site user information at any time by visiting the “Your Account” page within LEED Online.
8.5 Security: LEED Online relies on a secure login system protected by a self-selected username and password. Site-users should never share passwords. It is the site-user’s responsibility to maintain the confidentiality and security of their login credentials. Passwords may be changed at any time within LEED Online from the “Your Account” page. If you believe your site-user account login credentials have been compromised for any reason, please contact GBCI Customer Service immediately.
8.6 Access to Accepted Terms of Use: Upon completing the site-user registration process in LEED Online version 3, a user may access, review, and/or download a copy of the LEED Online Terms and Conditions for Use accepted at the time of site-user registration. To view or download this document, please visit the “Your Account” page within LEED Online.
9. PROJECT REGISTRATION
9.1 Project Registration: In order to participate in the LEED certification process a project team must first register a project with GBCI. Registration is the process whereby project teams establish a new project in LEED Online and are provided access to a LEED certification application. GBCI offers registration for all active rating systems as indicated in Section 4. LEED Green Building Rating Systems of this manual.
9.2 Registration Process: All projects must use the online registration function within LEED Online. The registration process includes entering project identifying information, accepting the LEED Project Registration Agreement, and remitting the applicable project registration fee.
9.2.1 Rating System Selection: During the registration process, project teams must choose the rating system most appropriate for their project. It is important that project teams choose the correct rating system to ensure alignment between such project’s characteristics and the rating system’s requirements. There are many tools available to assist with this decision including: i) guidance and information within the rating systems; ii) the Rating System Selector tool available within LEED Online; and iii) guidance and information within the reference guides.
9.3 Project Administrator: The individual who initially registers the project will be identified by GBCI as the project administrator. The project administrator is provided the authority to select members of the project team and to delegate certain tasks to individual team members. Subsequent team members selected by the project administrator may access and enter information in the LEED application;
however, these team members have limited capacity to administer and/or submit the application. The project administrator may be substituted at any time.
9.4 Resources Available: After the registration process is complete, the project administrator will be provided full access to the LEED Certification Application within LEED Online for the particular project type that is registered. The tools and resources available within a particular application will vary depending on which rating system is selected and which program the project team is participating in.
For more information, please review the registration sections of the Rating System-Specific and Program-Specific Appendices.
9.5 Project Registration Fees: The project registration fee is a flat fee due upon registration. Such fees vary across the different rating systems and certification programs. The current registration fees are listed in the Pricing Appendices of this manual.
Fees may be remitted to GBCI by credit card at the time of registration or by check; however, GBCI will not fully process the registration for any project until payment has been received in full. If payment is not received within 30 days after a project is registered, such registration may be canceled at the discretion of GBCI.
GBCI will not refund fees in the event a project team withholds a LEED certification application and/or terminates the registration for a project.
10. FORMAL INQUIRIES
10.1 Formal Inquiries: Project teams may encounter challenges in applying the rating system requirements and MPRs to their projects. The Formal Inquiry process is designed to mitigate these challenges.
Through this process, project teams can obtain information regarding how rating system requirements and MPRs are interpreted by GBCI as it pertains to their specific project or portfolio of projects.
Project teams may elect that their formal inquiry be considered as project-specific (Project CIR), or as a precedent-setting ruling (LEED Interpretation.) All Formal Inquiries are first subject to the Project CIR process, regardless of any election by the project team for consideration as a LEED Interpretation.
At the time of submittal, the project team may elect to have their formal inquiry also considered as a LEED Interpretation.
10.1.1 Project Credit Interpretation Ruling (Project CIR): The Project CIR program is administered by GBCI. Project CIRs provide answers to technical inquiries about applying LEED in situations not already addressed by the rating systems, reference guides and MPRs. Project CIRs will only apply to the specific project for which the Formal Inquiry was submitted. Accordingly, the Project CIR will not be precedent-setting and will not automatically carry forth and apply to other projects submitted by the same or any other project team.
10.1.2 LEED Interpretations: The LEED Interpretations program is administered by USGBC. This program is designed to provide feedback to project teams in the form of official addenda. Like Project CIRs, LEED Interpretations provide answers to technical inquiries about applying LEED in situations not already addressed by the rating systems, reference guides and MPRs.
LEED Interpretations differ from Project CIRs in that, as USGBC issued addenda, these rulings are precedent-setting and applicable to all projects registered in the future. As in the case with all addenda, projects registered before a LEED Interpretation is published may voluntarily elect to follow these revisions.
10.2 Formal Inquiry Submission Process: Formal Inquiries may be submitted for any rating system under which projects can be registered and/or submitted. The submission process will be undertaken for all Formal Inquiries as follows:
Submission of a Formal Inquiry for Registered Projects
To submit a Formal Inquiry for the purposes of obtaining a Project CIR or LEED Interpretation for projects registered under a LEED 2009 rating system, project teams must log into LEED Online v3 and complete a Formal Inquiry submittal form. This form is accessible from the ‘Projects’ tab in LEED Online.
To submit a Formal Inquiry for the purposes of obtaining a Project CIR or LEED Interpretation for projects registered under a Pre-LEED 2009 rating system, project teams must log into LEED Online v2 and complete a Formal Inquiry submittal form. This form is accessible within a specific project in LEED Online, under the ‘Formal Inquires’ tab.
The option to submit a Formal Inquiry for consideration as a LEED Interpretation is available on the Formal Inquiry form in LEED Online.
Formal Inquiries may not be submitted for a project that has completed the certification review process.
Submission of Formal Inquiry without a Registered Project
Formal Inquiries can also be submitted before a project is registered. To submit a Formal Inquiry without a registered project, please access the Formal Inquiry form located at https://www.leedonline.com/formalinquiries. Formal Inquiries submitted before a project is registered are limited to the LEED 2009 rating systems and can only be submitted in relation to
prerequisites and MPRs. At this time, there is no process to submit a Formal Inquiry regarding LEED 2009 rating system credits until the project is registered.
The option to submit a Formal Inquiry for consideration as a LEED Interpretation is available on the Formal Inquiry form in LEED Online.
10.3 Formal Inquiry Format: Each Formal Inquiry request must pertain to no more than one credit, prerequisite, or MPR. When submitting a Formal Inquiry, the project team must provide a brief but clear description of the challenge or question encountered. The request must include a reference to the particular credit, prerequisite, or MPR in question. Only the specific inquiry and the essential background information necessary to generate a ruling should be provided. The project team should offer potential solutions or a proposed interpretation emphasizing the intent of the credit, prerequisite, or MPR.
Formal Inquiries must be submitted in English and contain no more than 600 words or alternatively 5000 characters including spaces. Formal Inquiries must be submitted through LEED Online.
Drawings, plans, or specifications may not be included with a request.
10.4 Formal Inquiry Review Process: All Formal Inquiries are first subject to the Project CIR process, regardless of any election by the project team for consideration as a LEED Interpretation. The review process for each is as follows:
10.4.1 Project CIR Review Process: Upon receiving a Formal Inquiry, GBCI will begin its review process for the purposes of rendering a Project CIR. GBCI endeavors to deliver each Project CIR within twenty (20) business days of receipt of a Project CIR request and processing of the associated Fee. In select cases, a revision to a Project CIR is required to clarify the ruling.
GBCI reserves the right to revise any Project CIR prior to the submission of the project application for final construction or final combined review.
10.4.2 LEED Interpretations Review Process: When a project team indicates they want to also submit their inquiry as a LEED Interpretation request, at the conclusion of GBCI’s Project CIR process, GBCI will forward the project team’s initial inquiry and GBCI’s ruling to USGBC.
The inquiry and ruling will be forwarded to USGBC at the same time that GBCI forwards the completed Project CIR to the project team. The project team cannot add additional information or documentation for the purposes of the LEED Interpretation review.
Please Note:
1. The LEED Interpretation process is not undertaken by GBCI. GBCI makes no representations as to the duration or quality of any LEED Interpretation performed by USGBC. GBCI bares no responsibility or liability for any damages or losses related to or resulting from the LEED Interpretations review process.
2. USGBC intends to publish each LEED Interpretation, including the initial inquiries submitted by project teams. By requesting that a Formal Inquiry be submitted to USGBC as a LEED Interpretation, project teams thereby grant USGBC permission to publish this information to the general public.
For more information regarding the LEED Interpretations processes, including timelines, please refer to USGBC’s program guidance document: LEED Interpretations Guidance, available at the USGBC website.
10.5 Applicability of Project CIRs: Upon submitting a project application to GBCI for review, the project team may elect to satisfy the credit, prerequisite or MPR as it has been interpreted in a Project CIR or, the project team may demonstrate compliance with the requirement as it is written in the rating system or MPRs. Project CIRs do not in any way guarantee that a prerequisite, credit or MPR has been achieved or that it will be satisfied. Rather, a Project CIR provides an interpretation of a LEED
program requirement that shall serve as criteria by which, in conjunction with the program requirement itself, GBCI will evaluate a submitted project application.
If a project team elects to submit under a prerequisite, credit or MPR as interpreted in a Project CIR, The project applicant must demonstrate satisfaction of the criteria articulated in the Project CIR via thorough documentation in the project application. Project applications must include both the Project CIR request and the Project CIR in order to ensure that the ruling is applied during a review.
Specifically, the project teams should reference the Project CIR within the documentation for the requirement in question.
If a Project CIR is revised, the project applicant must demonstrate satisfaction of the criteria articulated in the revised Project CIR rather than the initial Project CIR. If a Project CIR revision is release after a review of the credit, prerequisite or MPR has been reviewed, the original Project CIR may be used throughout the remainder of the certification project for that particular credit. Following the release of a Project CIR revision, the project team may still elect to satisfy the requirement as it is written in the rating system or MPRs.
All Project CIRs are project specific; meaning, a Project CIR only applies to the project under which it was submitted. Accordingly, the Project CIR will not be precedent-setting and will not automatically carry forth and apply to other projects submitted by the same or any other project team. All previously public and precedent-setting CIRs which pertained to pre-LEED 2009 rating systems are now included as LEED Interpretations.
If a project team elects to submit a Formal Inquiry before registering a project, the corresponding Project CIR can only be applied to a single project that is subsequently registered. In order to have a Project CIR attached to a registered project, please contact GBCI customer service via the contact form, available at http://www.gbci.org/org-nav/contact.aspx.
10.6 Applicability of LEED Interpretations: LEED Interpretations do not in any way guarantee that a prerequisite, credit or MPR will be satisfied or has been achieved. Rather, LEED Interpretations provide official interpretations of LEED requirements by USGBC which future projects will be reviewed against.
As in the case with all addenda, all projects registered after the release of a LEED Interpretation must comply with such addenda. Projects registered before a LEED Interpretation is published may elect to follow the addenda. Project teams electing to follow such addenda must reference the same within their project application’s documentation.
It may be the case that a LEED Interpretation contradicts a Project CIR. If this occurs, the project team may apply either ruling.
10.7 Appeals: Both Project CIRs and Formal Inquiries may be appealed by the project team upon issuance of the ruling.
10.7.1 Project CIR Appeals: The process to appeal a Project CIR is the same as the process to submit a new one, including the submission of the Project CIR fee.
10.7.2 LEED Interpretation Appeals: Currently, LEED Interpretation appeals may be made at no additional cost to the project team. Project teams are to use the version of LEED Online in which the issue was originally submitted to appeal their LEED Interpretation.
10.8 Fees: The fees related to Formal Inquiries are flat fees that must be remitted for each Formal Inquiry submitted by a project team. Project teams will only incur these fees in the event they elect to submit a Formal Inquiry. The current fee to submit a Project CIR request is standard across all rating systems. Fees must be remitted to GBCI by credit card at the time the Formal Inquiry is submitted, or by check.
10.8.1 Project CIR Fees: GBCI shall not deliver a Project CIR until payment has been received in full and processed. If payment is not received within 30 days after a submission of a Formal
Inquiry, such request shall be canceled. The current fee to submit a Formal Inquiry for the purposes of obtaining a Project CIR request is identified in the Pricing Appendices to this manual. Please note: the fee to submit a Project CIR appeal is the same as the fee to submit an initial Project CIR request.
10.8.2 LEED Interpretations Fees: All fees collected with regard to the LEED Interpretations program are forwarded to USGBC. This fee is imposed over-and-above the Project CIR fee. Project teams only incur a LEED Interpretation fee in the event they elect to participate in the program.
Fees must be remitted to GBCI by credit card at the time a CIR Request is submitted, or by check. If funds are not received within 30 days, GBCI will cancel the Project Team’s request for a LEED Interpretation and not forward any materials to USGBC at the conclusion of its review. If a Project CIR request is determined to be submitted in the incorrect format for review, GBCI or USGBC will return any fees provided in relation to the associated LEED Interpretation request. Please reference the Pricing Appendices of this Policy Manual for the current LEED Interpretation fee.
11.DOCUMENTATION REQUIREMENTS
11.1 LEED Certification Application Documentation Requirements: The LEED certification program is a documentation-based verification program. Each LEED rating system and version thereof consists of unique documentation requirements to complete a LEED certification application. Within the LEED certification application, a series of required documents, attestations, data, or other information must be indicated in order to demonstrate the satisfaction of each MPR, prerequisite, and attempted credit.
Specific documentation requirements vary across the different rating systems; though, usually consist of forms, calculations, narratives, maps, drawings, specifications, and other related media (collectively, “documentation”). Please refer to the rating system-specific and program-specific appendices of this manual for more detailed information regarding the documentation process.
11.1.1 Language and Measurement Requirements: Unless otherwise indicated in the rating system- specific or program-specific appendices, all documentation submitted to GBCI must be written in the English language. All units of measurement must be Imperial Units.
11.1.2 Classified Information and Export Controls: GBCI does not wish to receive classified information through LEED Online. Any information or material sent through LEED Online will be deemed not to be classified. Further, by submitting information through the use of LEED Online, project team members represent that such information, be it submitted in connection with a LEED certification application or otherwise, is not controlled for export under the International Traffic in Arms Regulations, 22 C.F.R. Part 120 et seq., or the Export Administration Regulations, 15 C.F.R. Part 730 et seq.
11.2 Minimum Narrative Requirements: Most LEED submittal paths require one or more narrative descriptions of the features or strategies used by the project team in pursuit of each MPR, prerequisite, and credit.
11.2.1 Narrative Length & Format: Narratives typically consist of between 100 and 1000 words.
Project teams shall not submit narratives in excess of 1500 words. The LEED documentation forms provide adequate space for narrative descriptions. In the alternative, a project team may include each narrative as a separate document within an application. If a project team elects to attach a document containing a narrative rather than enter it in the designated location on the form, the project team must type: “See Attached Documentation,” in the applicable narrative box. In the event that the project team uploads a narrative as a separate document, the narrative shall not be in excess of 1500 words. Where appropriate, narratives may be submitted in list or outline form.
11.2.2 Narrative Content: The documentation forms within the LEED certification application provide guidance specifying the content requirements for each narrative. Project teams shall fully comply with the guidance provided in each form to the best of their ability. Where directed, project teams shall provide the following information: who on the project team is involved, when and where the activities occurred, what strategies were employed, and how these strategies meet the intent or requirements of the submittal path. In addition, project teams shall provide a description of unique circumstances, if any exist, that warrant the attention of the GBCI review team.
11.3 Attestations: In addition to the documentation necessary to complete a LEED certification application, some Forms may require a separate validation of the submitted documentation by a specific project team member referred to as a “Required Signatory.” In some other sections, project teams may alternatively provide an attestation by a member of the project team who holds a specific license, a
“licensed professional,” rather than submit the indicated documentation.
11.3.1 Required Signatories: Some elements of LEED documentation require validation by a Required Signatory. These sections of the application must be completed by a particular project team member. In such cases, the specified project team member must possess a particular degree of technical proficiency or declaratory authority. Required Signatories must provide the specific declarations and/or calculations pertaining to an applicant project as explicitly provided in LEED documentation forms. Only those persons with the requisite proficiency or authority are permitted to act as Required Signatories.
The Owner is designated as a Required Signatory on a select number of Forms within the LEED Certification Application. This means the owner must log into LEED Online and administer the signatory process to complete these Forms. Project owners may authorize specific members of the project team to administer these required signatories on the owner’s behalf. This authorization must be confirmed for GBCI through the use of the Confirmation of Owner’s Authority form. This form is downloadable within the “Legal Page” within LEED Online. To the extent an owner-based Required Signatory is improperly completed, GBCI may, at its sole discretion, void the entered signature and deny the credit, prerequisite, or MPR.
11.3.2 Licensed Professional Exemption: The Licensed Professional Exemption offers an alternative way to provide verification for a number of submittals required in the LEED certification application. As used herein, the phrase “Licensed Professional” refers to a person holding an official license to practice as a Professional Engineer, Registered Architect, or Registered Landscape Architect. The Licensed Professional Exemption process is currently limited to official licenses granted by an governmental authority within the United States. Persons holding official licenses granted outside the United States are not eligible to participate in the Licensed Professional Exemption.
An eligible licensed project team member may participate in this program by providing GBCI with information regarding his or her license. A licensed professional must provide the following information for each license under which he or she intends to submit information: i) name as it appears on the license; ii) license professional category (Professional Engineer, Registered Architect, and Registered Landscape Architect); iii) license number; iv) the country in which the license is held; v) the state, territory, or province that issued the license; and vi) the license expiration date. Licensed professionals enter this information by updating their site- user account settings within LEED Online. This information will be retained in the project team member’s profile and can be used in relation to multiple projects. Such licensed project team member can thereafter execute certain form sections restricted to licensed professionals to provide project information.
By entering license information in LEED Online and completing one or more forms via a Licensed Professional Exemption, a project team member provides certain information which GBCI will rely upon in determining if such project is eligible for LEED certification. Further, by entering such information, the project team member: i) represents that he or she currently holds the requisite license in good standing; and ii) explicitly warrants that the information provided in his or her declarations is true. If it is determined that a claimed licensed professional did not hold such license in good standing at the time such representations were made, GBCI, in its sole discretion, may invalidate the Licensed Professional Exemption entry in the forms and deny or revoke the applicable credit, prerequisite or MPR.
Prior to submitting a complete LEED certification application to GBCI, the owner must represent that each licensed professional on the project team who has registered as such with GBCI meets each of the Licensed Professional Exemption requirements, including holding a license in good standing in the applicable jurisdiction. It is the responsibility of each owner to notify GBCI immediately in the event that a licensed professional who has provided an attestation within the LEED certification application is subject to an adverse change in the license status, or good standing, prior to a final award or denial of LEED certification.
11.4 Retention of Project Information: The LEED certification process requires both the submission and retention of certain information and documentation demonstrating compliance with program requirements. Owners must retain all documentation related to the satisfaction of all prerequisites, credits, and MPRs, including, but not limited to, all documentation in support of the information submitted to GBCI within the LEED Certification Application. Such information must be maintained at the site of the completed project for a period of not less than two (2) years commencing on the date of award of LEED certification. If this information is not maintained at the site, the Owner must be able to make such information available at the site upon GBCI’s request during such two year period.
Following acceptance of a final review, GBCI does not guarantee the availability of any documentation or information uploaded to LEED Online other than the LEED Certification Scorecard and Review Summary Report.
11.5 LEED Pilot Credit Library: The LEED Pilot Credit Library is a program administered by USGBC designed to test and refine new credits. Project teams that are eligible and that elect to participate in this program can earn points toward LEED certification.
11.5.2 Pilot Credits: USGBC intends to develop new credits from time to time and to publish them in the LEED Pilot Credit Library located on its website. These credits are referred to as “Pilot Credits” on account that they are being introduced in a testing or “beta” phase of development.
11.5.3 Pilot Credit Registration: Project teams may elect to visit the USGBC website and attempt to become participants in the LEED Pilot Credit Library Program. To participate in the LEED Pilot Credit Library Program, USGBC requires participants to register under one or more credits. Like the rating systems, Pilot Credits are only available for a limited time and they may be revised according to USGBC’s policies on Pilot Credit revisions and expiration. GBCI does not control the number of Pilot Credits, if any, or the period of time that a particular Pilot Credit, is available for registration. Accordingly, USGBC may close registration with respect to any Pilot Credit at any time.
11.5.4 Applicability of Pilot Credits: If a project team registers under one or more Pilot Credits, such project team may submit these Pilot Credits as part of the LEED certification application.
Participants in the Pilot Credit Program can earn no more than a total of five additional points towards LEED certification. If awarded, these points are allocated under the Innovation in Design / Innovation in Operations category. Please note; participation in the Pilot Credit Library Program does not increase the total number of points a project team can earn under the Innovation in Design / Innovation in Operations category. The total number of points available under this category is established in the rating systems.
11.5.5 Pilot Credit Submission and Review Process: GBCI will review each submitted Pilot Credit to determine if the Project Team has demonstrated satisfaction of the same. To submit Pilot Credits, project teams must enter the required information under Innovation in Design Credit 1 (IDc1) or Innovation in Operations Credit 1 (IOc1) in the LEED certification application.
To be awarded a point associated with a Pilot Credit, each of the following must be provided:
i) Pilot Credit Specific Documentation: If the Pilot Credit indicates that supporting documentation must be provided. This documentation must be uploaded into the IDc1 or IOc1 Form.
ii) Registration Confirmation: If USGBC provides an email confirming that a project team has registered under one or more Pilot Credits in association with a particular project, this email confirmation must be uploaded into the IDc1 or IOc1 Form. If such an email confirmation is not available, the project team must collect and provide some other indication from USGBC that the project was so registered and under which Pilot Credits.
GBCI will not accept or review a Pilot Credit submittal without this email confirmation or other official indication from USGBC that this requirement has been completed.
GBCI will not accept or review a Pilot Credit without this confirmation.
iii) Participant Survey Confirmation: As part of the rating system development and feedback process, project teams are required to participate in a USGBC survey regarding the Pilot Credit. The project team must provide a written confirmation from USGBC that this requirement has been completed. This confirmation must be uploaded into the IDc1 or IOc1 Form. GBCI will not accept or review a Pilot Credit without this confirmation.
iv) USGBC Clarifications and Technical Guidance: As part of the LEED Pilot Credit Library Program, participating project teams may be able to request clarifications from USGBC regarding Pilot Credits similar to the technical guidance provided through the Project CIR and LEED Interpretations process. To the extent a project team is relying on a clarification or technical guidance provided by USGBC in demonstrating compliance with a pilot credit, this information must be uploaded into the IDc1 or IOc1 Form.
11.5.6 Formal Inquiries and Appeals: Project teams may not submit formal inquiries or appeals in relation to pilot credits.
11.6 Alternative Compliance Paths: USGBC has developed a series of Alternative Compliance Paths (ACPs) for projects located outside the United States. Such projects may submit information demonstrating compliance with either an ACP or the original credit requirement. Project teams may not combine ACPs with the original credits requirements. ACPs cannot be used by projects located within the United States.
Projects may use ACPs only within applications under the following rating systems:
Green Building Design & Construction
LEED 2009 for New Construction and Major Renovations LEED 2009 for Core & Shell Development
Green Building Operation & Maintenance
LEED 2009 for Existing Buildings: Operations and Maintenance
LEED Online v3 functionality for ACPs is currently unavailable. This functionality is scheduled to be released in the first half of 2012. Interim guidance regarding the documentation of ACPs can be found at the USGBC website under the applicable rating system pages.
12. REGISTRATION CANCELLATION POLICY
12.1 Overview of Registration Cancellation Policy: Project teams must comply with all cancellation policies pertaining to rating system sunset dates, cancellations due to inactivity, and submission deadlines following project completion. Projects that are unable to demonstrate compliance with these policies, in GBCI’s sole discretion, will be subject to registration cancellation in accordance with the following terms.
12.2 Cancellation Based on Passage of Rating System Sunset Date: After the close of registration of a rating system, projects that are registered under a particular rating system shall be allowed to proceed through the LEED certification process until the occurrence of the rating system sunset date in accordance with the following. Each rating system, under which certification is offered by GBCI, passes through three (3) possible statuses as follows:
Registration Open: GBCI allows the registration of new projects under this rating system and is accepting new certification applications from projects registered under this rating system.
Registration Closed: GBCI is no longer allowing new projects to register under this rating system;
however, GBCI is accepting new certification applications from projects registered under this rating system. The sunset date is established upon closure of registration for the rating system. The sunset date for any rating system shall occur no sooner than six (6) years after the close of registration for that rating system.
Sunset Date Passed: GBCI is no longer allowing new projects to register under this rating system nor accepting new certification applications from projects registered under this rating system. All project registrations associated with projects for which a certification application has not been submitted are canceled. Projects for which a certification application has already been submitted may proceed through the certification process as outlined in the rating system specific appendices.
The specifics of this policy vary across the different rating systems. Please refer to the rating system- specific appendices for detailed requirements.
12.3 Cancellation Due To Inactivity: Subsequent to registering a project with GBCI, project teams shall maintain a substantial level of activity designed to effect a complete application for LEED certification. GBCI reserves the right to cancel any registered project that remains inactive, as determined solely by GBCI. The definition of the phrase “substantial level of activity” varies across the different LEED rating systems. Please refer to the rating system-specific appendices for detailed requirements.
12.4 Cancellation Due To Failure To Meet Deadline Following Project Completion: All applications for certification must be received within a specific time period following project completion. The definition of the term “project completion” as well as the time allotted for submitting an application varies across the different LEED rating systems. Please refer to Section 13: Application Submission and Review Policies of the rating system-specific appendices for detailed requirements.
12.5 Effect of Registration Cancellation: No refunds of any fees will be provided in the instance that project registration is canceled in accordance with these terms. In addition, if registration is canceled for a
Sunset Date Passed Registration Closed (Sunset Date Established)
Registration Open
project, that project may be removed from the LEED Project Directory and the project forms and all information contained therein may be removed from LEED Online.
If LEED certification is sought in relation to a project for which registration is canceled, the project must be registered as a new project under the rating system particular to that project type for which registration remains open. If, at the time of registration cancellation, no applicable rating system remains open for registration, such project is ineligible for consideration under the certification program.
13. APPLICATION SUBMISSION & REVIEW POLICIES
13.1 LEED Certification Application Review: Upon submission of an application, GBCI conducts a technical review of the information and documentation submitted to determine if a project complies with all applicable MPRs, prerequisites and attempted credits.
13.2 LEED Project Certification Agreement: Prior to the commencement of a review of an application by GBCI, the owner of each applicant LEED 2009 project must execute an agreement, the LEED Project Certification Agreement, with GBCI. This agreement is executed electronically within LEED Online.
The LEED Project Certification Agreement contains the terms under which GBCI’s review services are offered and also the conditions and limitations of the license that conveys upon certification.
The current version of the LEED Project Certification Agreement may be reviewed at anytime by accessing the “Legal” page within LEED Online; however, this version of the agreement is provided for reference only. GBCI retains the right to change these terms from time to time, and a new version of this agreement may be in place at the time it is presented for acceptance. Upon the acceptance of the LEED Project Certification Agreement, an archived copy of the same will be maintained within the
“Project Information” page within LEED Online. This archived document may be reviewed and/or downloaded from this location by the project team at any time thereafter.
Project owners seeking to authorize members of the project team to accept this agreement on their behalf may do so through the use of a Confirmation of Agent’s Authority form, downloadable from the Legal page in LEED Online. This form allows a project owner to designate specific members of the project team that may accept the LEED Project Certification Agreement on the owner’s behalf. No member of the project team may accept this agreement unless a Confirmation of Agent’s Authority form is submitted listing them as the owner’s agent for these purposes. GBCI may, at its sole discretion, render any improperly accepted LEED Certification Agreement or LEED Project Review Agreement null and void and without affect. Further, GBCI will not commence a review of any application, and no submission deadlines will be extended in the event of an improperly accepted LEED Project Certification Agreement.
13.3 Application Review Process: The requirements, schedule, and policies for a LEED review will vary across the different rating systems and certification programs. Please refer to the rating system-specific and program-specific appendices for additional details.
GBCI will strive to meet the timelines stipulated within our application review policies as they are set forth in the rating system-specific and program-specific appendices of this manual. However, if GBCI is unable to meet these projected timelines, no project team shall be entitled to a refund of any portion of the fees associated with registration, LEED certification application review services, and/or any other fees that have been remitted to GBCI in relation to the LEED certification program. To the extent that GBCI is unable to meet the timelines stipulated within these review policies, the applicable submission deadlines shall be extended by one day for each day that GBCI is late in returning the review.
To the extent that a project team selects to undergo an expedited review and GBCI is unable to meet the expedited timelines stipulated within such application review policies, GBCI shall refund any premium
fees paid to GBCI associated with upgrading a standard review to an expedited review. No additional compensation will be issued.
13.4 Project Closeout: Upon the conclusion of a final review (as explained in the rating system-specific appendices), GBCI will give an opportunity to accept or appeal GBCI’s determination regarding the certification or denial of the project. To the extent the GBCI’s final review is accepted, the owner thereby relinquishes the right to appeal such results. If the owner does not accept or request an appeal of the results of the final review within twenty-five (25) business days, such results shall be deemed conclusive.
Accordingly, following Project Closeout, the project team may not revise the forms, reattempt any denied credits or prerequisites, submit Project CIR requests, or attempt to achieve additional credits.
This preclusion further applies even if addenda is released by USGBC that would support the acceptance of a denied credit, prerequisite or MPR.
13.5 Owner Information and Transfer of Project Ownership: GBCI must be provided with current contact information for the project owner for the duration of time that the project is registered or maintains LEED certification.
If a project changes hands, the former project owner must notify GBCI of the transfer by following the steps outlined below:
LEED Online v3: For all projects registered in LEED Online v3, if at the time of transfer a project is registered but not yet certified, the project registration transfer must be initiated via the
“Change of Ownership Agreement” available at the LEED Online v3 Legal Page. This .pdf document must be downloaded, completed offline with signatures, scanned, and submitted to GBCI via email to [email protected]. If a LEED certified project changes hands to a new owner, GBCI must be notified by email sent to [email protected]. Such notice must include a brief description of the transfer and the parties involved. In addition, the original owner must explicitly provide permission for GBCI to grant the new owner access to all project information and documentation related to the project
LEED Online v2: For all projects registered in LEED Online v2, if at the time of transfer a project is registered but not yet certified, please contact [email protected] to initiate the transfer of the project registration. If a LEED certified project changes hands to a new owner, GBCI must be notified by email sent to [email protected]. Such notice must include a brief description of the transfer and the parties involved. In addition, the original owner must explicitly provide permission for GBCI to grant the new owner access to all project information and documentation related to the project
Additional documentation may be required by GBCI to substantiate the transfer of registration or project ownership. Such documentation may vary depending on circumstances specific to the project type and the means by which the project is transferred. GBCI may, in its sole discretion, require the submission of such additional information prior to granting any subsequent owner access to any project information.
13.6 LEED Certification Application Review Fee: The LEED certification application Review Fee is determined based on the size of the project being submitted for review. In addition, GBCI may calculate the LEED certification application Review Fee at a premium rate depending on the review path the project team elects to follow during the LEED certification process. GBCI shall not initiate a review until payment has been received in full. The fees associated with reviews vary across the different rating systems. Details are listed in the program-specific appendices.
14. APPEALS POLICY
14.1 Appeals Generally: Upon the conclusion of a final review, the project team is presented with the option to formally accept the determination of GBCI or to initiate an appeal. GBCI provides two levels of appeal, and the first level of appeal is split into two formats. At the first level of appeal, project teams may either choose to amend or supplement the LEED certification application with regards to any particular MPR, prerequisite and/or credit and resubmit, or, in the alternative, project teams may challenge the accuracy of the reviewer’s decision regarding the sufficiency of the submitted materials.
If a project team chooses this second form of appeal and is not successful, it may initiate a second level appeal.
Please be aware that the appeals process is only available up and until the project team accepts GBCI’s final determination regarding the award or denial of LEED certification. The opportunity to appeal the results of a final review, or the results of a previous appeal, is only available for twenty-five (25) business days after the results of the final review or appeal are published. Each appeal can only apply to a single MPR, prerequisite or credit; however, multiple appeals can be submitted simultaneously. In this Section 14, “project team” shall mean “project team and/or owner.”
14.2 First Level Appeal: To initiate a first level appeal, the project team must elect to do so via the same platform through which the project application was submitted for review (usually LEED Online). The project team must remit the appeal fee as well as identify the basis of the appeal. GBCI endeavors to deliver a decision on all First Level Appeals within twenty-five (25) business days from the initial filing of the appeal. GBCI’s appeal decision shall identify the technical basis underlying such decision. GBCI will acknowledge the filing of the appeal to the project team.
14.2.1 Clarifications or Submission of New Credits via First Level Appeal: The appeals process may be used as a mechanism for submitting clarifications and/or new documentation to support the application materials related to any particular MPR, prerequisite or credit. In addition, project teams can elect to pursue additional credits and/or compliance paths that were not previously submitted for review. Utilizing the appeals process in this way is common, and is functionally similar to the process of submitting clarifications following a preliminary review. In this type of appeal, the project team is not challenging the accuracy of a GBCI decision but instead is providing supplemental information (often in response to the technical advice identified in comments by a reviewer) necessary to properly demonstrate compliance with the rating system requirement.
To submit a First Level Appeal with the intent to supplement information previously provided, or to pursue a new credit or compliance path, the following information must be provided:
1) An explanation addressing the issues in the technical comments provided with the denial of the MPR, prerequisite and/or credit and supplemental documentation if necessary; or, 2) The form related to the new credit or compliance path that the project team is pursuing
including all necessary documentation to substantiate the same.
This manner of appeal is available only via the First Level Appeal process; however, project teams can repeat this process as many times as necessary with further appeals. With each new appeal, project teams must remit the appropriate fees and provide the required documentation.
14.2.2 Appeals as a Challenge to a GBCI Determination via First Level Appeal: The appeals process may be used as a mechanism for challenging a ruling rendered by GBCI. For such appeals, the project team must provide written documentation explaining the basis for the appeal. The submission of new MPR, credit or prerequisite documentation (such as calculations, drawings, plans, etc) is not permitted. The project team should clearly indicate in the appeal documentation that they are challenging a GBCI ruling and not providing additional clarifications or documentation. For appeals challenging a GBCI ruling, the First Level Appeals process may only be utilized once per credit, prerequisite or MPR. For challenges to GBCI determinations,
