LEED for Homes 2017 Quality Assurance Plan SOUTHFACE LEED FOR HOMES PROVIDERSHIP 2 QUALITY ASSURANCE DESIGNEE ROLES 2 QUALITY ASSURANCE GOALS 3 TRAINING AND CONDUCT 3 Initial Training 3 Continuing Training 3 Professional Conduct 4 PROJECTS 4 Submission Package Review 4 In-Field Review 6 SIGNIFICANT NON-COMPLIANCE ISSUES 7 Training 7 Conduct 8 Submission Package Review 8 In-Field Review 9 IMPLEMENTATION 9 RECORD KEEPING 9 SOUTHFACE SUBMISSION PACKAGE 2017 11
2 LEED for Homes Providership Name Chris North Jenna Grygier Internal Staff Members Accreditations (specific to LEED for Homes) In-Training In-Training Name Abe Kruger Carl Seville Chris Cimino Jeremy Field Joe Cooper Ken Block Luis Imery Pete Moncada Pasquale Strocchia Pournamasi Rath External Representatives Accreditations (specific to LEED for Homes) In-Training In-Training In-Training Quality Assurance Designee Roles Quality Assurance Designee Role Sarah Hill Primary Provider QAD
3 Quality Assurance Goals 1. Provide Verification Teams with administrative, policy and technical updates. 2. Ensure Verification Teams continue to refine their skill sets both technically and professionally. 3. Provide feedback loops to improve Verification Team and Quality Assurance processes. 4. Confirm expectation that Green Raters effectively document and verify prerequisites/credits. 5. Collect feedback from Project Teams on certification process. Training and Conduct Initial Training The following process will be implemented to select and train additional LEED for Homes Green Raters: Application Process 1. Prospective Green Rater must submit application including a. Proof of HERS Rater Status b. Proof of Green Rater Status (or proof of registration in an upcoming GR training) c. References from their HERS Providers and other related job experience 2. will check references and verify HERS Rater and Green Rater credentials 3. will conduct a phone interview with applicant 4. Once the applicant is accepted into the LEED for Homes Providership, the applicant must adhere to the LEED for Homes Quality Assurance Plan as outlined in this document Mentorship If the Green Rater applicant has yet to complete their LEED for Homes Green Rater mentorship, will explain the USGBC mentorship requirements, ensure mentors are assigned and confirm requirements are met in accordance with USGBC policies. Continuing Training The LEED for Homes team shall be responsible for verifying that the Green Rater attends 10 out of the 12 monthly Verification Network Calls to receive USGBC updates and program specific information as well as 3 out of 4 LEED for Homes Quarterly Providership Calls. Annually, will verify that the Green Rater is in good standing with their HERS Provider, the USGBC and any other LEED for Homes Providers they may be working with and survey the Green Rater regarding credential maintenance.
4 Professional Conduct Each Verification Team member is responsible for reading the Professional Conduct Guidelines and Disciplinary Policy for the LEED for Homes Program and submitting a signed acknowledgment to the Provider QAD annually. Each Verification Team member is responsible for reading the Conflict of Interest (COI) Policy and Procedures for the US Green Building Council s LEED for Homes Program and submitting a signed acknowledgment to the Provider QAD annually. Projects Green Rater Roles Green Raters are responsible for adherence to the following as representatives under the LEED for Homes Providership Complies with the Professional Conduct and Disciplinary Policy Discloses all potential conflicts of interest per the COI Policy and Disclosure Requirements May conduct Preliminary Rating with the Project Team (either the QAD or the Green Rater must be present at the Preliminary Rating) Notifies Project QAD prior to pre-drywall verification visits to review the project documents 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 Communicates critical project issues including noncompliance with the Project QAD and Project Team Assembles and verifies final certification application is complete and that all elements have been verified per the V&S Guidelines and Notifies Project QAD when final certification application is ready to be reviewed and submitted to GBCI Sampling Protocol Green Raters are required to follow the LEED for Homes Sampling Protocol as outlined in Section 6 of the LEED for Homes Quality Assurance Manual (2017). Sampling applications must be reviewed and approved by the Provider QAD and USGBC prior to using sampling on any project. In addition, Green Raters under the LEED for Homes providership will comply with the Sampling Protocol which stipulates that no projects may use sampling at the pre-drywall phase. Green Raters must meet the following eligibility requirements in order to apply for sampling:
5 The Green Rater is a Green Rater Certificate holder in good standing with GBCI. Green Raters in Training may not apply for sampling Green Rater has verified a minimum of 3 certified projects Green Rater has submitted a Green Rater Sampling Qualifications form to QAD Green Rater has submitted a complete Sampling Application including o Builder Quality Management Plan o Sampling Application Green Rater completes and submits the Sampling Tracking Form to the QAD as part of the final submittal package Pre-drywall Project Review Per Section 4.3.3.ii of the LEED for Homes Quality Assurance Policy Manual, the QAD shall provide guidance to Green Raters during early stages of the verification process. Green Raters shall be responsible for submitting project documentation to and scheduling a phone call with the LEED for Homes QAD prior to performing pre-drywall verification visits. On this call, the Green Raters will discuss any concerns about the project and troubleshoot any verification challenges they identify. The following documents shall be submitted to and reviewed by the QAD prior to the pre-drywall review: Conflict of Interest disclosure forms, if applicable Preliminary LEED for Homes checklist with completed Durability Evaluation and Durability Inspection Checklist Preliminary HERS Building Summary Report or Mid-Rise Energy Model Form Sampling Application, if applicable Submission Package Review The LEED for Homes team shall be responsible for reviewing 100% of a Verification Team s Submission Package prior to submitting the necessary documentation to the USGBC. The review of the Submission Package shall be conducted on an ongoing basis for all Verification Teams regardless of experience level. The review shall consist of, at a minimum, the following: Review the Finalized LEED for Homes Checklist tabs against the Verification Checklist, confirm signed LEED for Homes Summary, LEED for Homes Checklist, Durability Inspection Checklist, Durability Evaluation, Quality Assurance Disclosure Form, Conflict of Interest form, Accountability Forms, Sampling Tracking Form, if applicable, confirmed HERS Building Summary Report and ENERGY STAR Report or Mid-Rise Energy Model Form, Verification Checklist and Water use Calculator if applicable; and review any CIR/ID requests if applicable.
6 In addition, the LEED for Homes team shall ask the Green Rater process related questions on a sampling of the project s WE, MR, EQ and EA credits as well as site issues to determine if the Green Rater s verification method(s) are in accordance with the Verification and Submittal Guidelines. reserves the right to request and review documentation for any pre-requisites or credit pursued to confirm compliance with the LEED for Homes Rating System and Verification and Submittal Guidelines. In-Field Review Per the LEED for Homes Quality Assurance Manual (2017), for all Green Raters operating under the quality assurance protocol of LEED for Homes Providership, a Provider QAD must conduct annual on-site audits at the following rates, with a minimum of 1 project audit per Green Rater per year. This on-site audit is designed to be a critical evaluation of the Green Rater s verification process. The on-site audit must include both the pre-drywall and final verification stages. In the case that 2 or more projects are selected for audit, the required predrywall and final verification audit components can be spread out across the 2 required project audits, i.e. an on-site audit at the pre-drywall phase could be conducted on project 1 and an onsite audit at the final verification phase can be completed on project 2. On-site audits must include project site visits by the QAD in which the Green Rater s verification on the project selected for audit is checked for accuracy and consistency with rating system requirements and V&S Guidelines. Any inconsistencies in verification or errors in verification findings on the part of the Green Rater must be documented and recorded by QAD. Corrective action measures (e.g. additional education, follow-up auditing, etc.) must be taken to reduce the risk of future errors in the Green Rater s verification activities. These corrective action measures must also be documented by the QAD, and reported to the Primary QAD. In-field reviews shall be conducted on an ongoing basis as appropriate for the volume of completed units, and at a minimum of annually. If no LEED for Homes verifications services are performed by
7 the Green Rater for projects registered under the LEED for Homes providership within the calendar year, the first available projects will be reviewed the following year. Where feasible, each unit selected for an in-field review shall be randomly selected and/or selected from as many different builders, communities and floor plans as possible. In-field reviews are also subject to combining with other program reviews for Green Raters in multiple Green Building Verification Programs. The on-site inspection shall consist of verifying visible prerequisites and credits and may include performance testing. Prerequisites and credits not visible in the field may be assessed using information in the project file and an interview with the Green Rater. Performance testing where applicable may include envelope leakage, duct leakage, and/or any additional tests performed by the Energy Rater or Green Rater for certification such as: exhaust fan rates, outside air rates and HVAC supply balance confirmation. Remote QA Audit In some cases, an onsite QA audit of a given Green Rater may not possible or may be cost prohibitive. A remote QA audit allows a Quality Assurance Designee (QAD) to meet the quality assurance intent of an onsite audit without having to physically visit the site. The procedures described in Appendix I of the LEED for Homes Quality Assurance Manual (2017) have been provided as an alternative to the required onsite field audit. These procedures must be reviewed and requirements met in order to be eligible for this alternative. Significant Non-compliance Issues Training Significant non-compliance training issues may include, but are not limited to, missing more than 2 monthly USGBC Verification Network meetings and lapse in credential maintenance including HERS Rater Status. A Green Rater or Energy Rater failing to attend at least 10 of the 12 monthly meetings is required to schedule time to meet with LEED for Homes to discuss reasons for the absences, gain an understanding of the content missed and determine how to ensure attendance in the future. Green Raters and Energy Raters are required to disclose any lapse in credential maintenance and/or disciplinary action that has been enforced by their HERS Provider, other LEED for Homes Providers, or GBCI. Green Raters or Energy Raters who fail to maintain good standing with their HERS Provider shall not complete verification work for a LEED for Homes project until the HERS Provider QAD notifies that the Green Rater or Energy Rater is in good standing.
8 Conduct Significant non-compliance conduct issues may include, but are not limited to failure to submit completed and signed acknowledgments. A Verification Team failing to submit a signed acknowledgment for each team member annually on the Professional Conduct Guidelines and Disciplinary Policy for the LEED for Homes Program and the Conflict of Interest (COI) Policy and Procedures for the US Green Building Council s LEED for Homes Program to the Provider QAD shall not complete any verification work for a LEED for Homes project until submitting all forms of acknowledgment. Project Review and Submittal Significant non-compliance with project review and submittal guidelines may include, but are not limited to, failure to schedule a meeting with the Provider QAD prior to pre-drywall verification visits, repeated submittals of incomplete Submission Packages and/or the inability to answer process related questions. A Green Rater receiving notification of non-compliance is required to schedule time to meet with LEED for Homes to review the Submission Package components/process and to discuss the cause of the issue. A Green Rater receiving two notifications of non-compliance within a one year period is required to schedule time to meet with LEED for Homes to evaluate the Green Rater s future in the LEED for Homes Providership. Sampling Protocol Significant non-compliance with Sampling Protocol shall include, but is not limited to, the discovery of an incomplete or inaccurate Sampling Protocol application and supporting documentation and not following the requirements of the Sampling Protocol or LEED for Homes Sampling Protocol as outlined in Section 6 of the LEED for Homes Quality Assurance Manual (2017). A Green Rater receiving notification of Sampling Protocol non-compliance is required to schedule time with the LEED for Homes QAD to review the Sampling Protocol components/process and to discuss the cause of the issue. A Green Rater receiving two notifications of Sampling Protocol non-compliance is required to schedule time to meet with LEED for Homes to evaluate the Green Rater s future in the LEED for Homes Providership and may be removed from the project and/or prohibited from participating in sampling and/or the LEED for Homes certification process until further notice.
9 In-Field Review Significant non-compliance for in-field reviews shall include, but are not limited to, failure to schedule in-field QA reviews with the QAD, the discovery of any unmet prerequisite, inappropriate project certification level or inaccurate project files. A Green Rater receiving a notification of in-field review non-compliance is required to schedule time to meet with LEED for Homes to discuss the infraction and evaluate the need for supplemental trainings and may also be required to complete additional in field reviews until successfully resolving the discrepancy. A Green Rater receiving two notifications of in-field review non-compliance or one notification for two consecutive years is required to schedule time to meet with LEED for Homes to evaluate the Green Rater s future in the LEED for Homes Providership. In addition, the Green Rater may be required to attend additional training and/or removed from the project. Failure to coordinate in-field QA visits with or communicate active LEED for Homes verifications services provided to the LEED for Homes QAD may result in probation, suspension, or termination from the LEED for Homes Providership. Certification submittals may not be processed for Green Raters who are on probation or suspension for failure to schedule in-field QA visits with the Provider QAD. Although we aspire to coordinate scheduling and travel to minimize costs to Green Raters, reserves the right to choose any project registered under its providership for in-field audit. Green Raters shall submit a Quality Assurance Disclosure Form for all projects submitted for certification and facilitate access to sites identified for in-field QA visits. Implementation The most current GBCI and LEED for Homes Quality Assurance Plan shall be sent electronically to the Verification Teams annually and will be discussed in the quarterly LEED for Homes Providership call. Verification Teams will also have access to a posted version of the LEED for Homes Quality Assurance Plan and the GBCI LEED for Homes Quality Assurance Policy Manual on the Green Rater Resources Website Page. Record Keeping LEED for Homes shall keep the following information on record for the outlined timeframes for USGBC auditing purposes: 2 Years Training o Annual Green Rater Credential Status Survey
10 o o o Annual HERS Rater Credential Status Survey Quarterly meeting agendas and presentations staff attendance records for the monthly USGBC Verification Network Calls Professional Conduct o Signed Acknowledgments of: Professional Conduct Guidelines and Disciplinary Policy for the LEED for Homes Program Conflict of Interest (COI) Policy and Procedures for the US Green Building Council s LEED for Homes Program In-field Review o Annual In Field Quality Assurance Report Minimum of 3 Years Submission Package (see below for documentation listing) Records showing QAD communicated with the Green Rater during the preliminary verification stages Permanent Disciplinary Records o USGBC Project Complaint Form o Documentation of Non-compliance Notification
11 Submission Package 2017 Pre-drywall Submittal Package Green Rater Registration Date Project Name Project ID# Project Address Preliminary Checklist including completed Durability Evaluation and Durability Inspection Checklist Plans Sampling Application (if applicable) Conflict of Interest Disclosure Form (if applicable) Preliminary HERS Report or as-designed Mid-Rise Energy Model Forms Final Review Submittal Package Signed Quality Assurance Disclosure Form LEED for Homes Checklist (signed) o Final Summary o Final Checklist o Final Durability Inspection Checklist (signed) o Final Verification Checklist o Accountability Forms (signed) o Water Use Calculator (signed and submitted if applicable) LEED for Homes Conflict of Interest form (if applicable) Confirmed ENERGY STAR Report and Building Summary Report or Mid-Rise Energy Model Form Sampling Records including application and Sampling Tracking Sheet (if applicable) Plans o House o Site
12 V4 Final Review Submittal Package (See V4 Verification and Submittal Guidelines)