LEED Certification Policy Manual

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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

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

Copyright © 2011–2012 GBCI January 1, 2012 2 | P a g e


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


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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)


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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 [ ].




http://www.gbcitalia.org/page/show/leed-italia

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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


https://www.leedonline.com/formalinquiries


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


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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


http://www.gbci.org/org-nav/contact.aspx


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.


http://www.businessdictionary.com/definition/person.html


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.


https://www.leedonline.com/irj/portal/anonymous?NavigationTarget=ROLES://portal_content/leed/rl/org.leed.legal

mailto:[email protected]





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,



representatives not previously involved in evaluating the relevant requirement for the project will review the documentation and explanation provided by the project team. If the project team does not prevail and wishes to challenge the result of the First Level Appeal, the Final Level Appeals process must be utilized.

To submit a First Level Appeal with the intent to challenge the final determination of GBCI with regard to a particular MPR, prerequisite and/or credit, the project team must provide a written explanation identifying the basis for the challenge; meaning, identification of the suspected error in the reviewer’s determination which resulted in an incorrect denial.14.3 Final Level Appeal: A project team may initiate a final level appeal only in order to challenge a First Level Appeal decision. Additional clarifications, documentation, or alternative compliance paths may not be provided in a Final Level Appeal. The project team must submit the final level appeal within twenty-five (25) business days after receiving notice from GBCI as to the determination of the First Level Appeal.

Whenever a final level appeal is lodged, the GBCI Chair in consultation with the GBCI President shall appoint three persons to serve on the Appeals Board, each of whom shall be qualified by virtue of training and experience to have the appropriate technical knowledge in the relevant LEED Rating System. The Appeals Board shall make a final determination on all determinations pertaining to MPRs, credits and/or prerequisites. No member of the Appeals Board may (a) review any matter in which his or her impartiality might reasonably be questioned or (b) review any matter which presents an actual or apparent conflict of interest relating to the project.

GBCI shall notify the project team of the names of those persons serving on the Appeals Board, and the project team shall notify GBCI within ten (10) business days of receipt of such names if the project team questions the impartiality of any member of the Appeals Board. The Chair of GBCI shall determine whether to disqualify any member from serving on the Appeals Board. In the event of disqualification, the Chair of GBCI will designate another individual to serve as an interim member. The GBCI Chair in consultation with the GBCI President shall designate the Chair of the Appeals Board.

All final level appeals must be submitted in writing and sent to GBCI by traceable email, mail or delivery service. The appeal must specify a valid basis for the appeal, but may not offer documentation other than that previously proffered to GBCI. GBCI may file a written response to the appeal request. Written briefings may be submitted by the project team and by GBCI within twenty-five (25) business days following submission of the appeal request.

The Appeals Board will endeavor to meet within sixty (60) calendar days. It shall render a decision, including a brief description of its reasons, based on the record below and written briefs (if any) without an oral hearing. GBCI will endeavor to (but does not guarantee) deliver the decision on the appeal within ten (10) business days of the meeting of the Appeals Board. Decisions of the Appeals Board shall be by majority vote.

The decisions of the Appeals Board shall be final.

14.4 Expedited Appeals: Expedited appeals shall occur in the accordance with the appeal review guidelines outlined above; however, GBCI will endeavor to deliver any expedited appeal ruling in half the time stated for a customary appeal. Applicants must contact GBCI customer service at http://www.gbci.org/org-nav/contact.aspx at least ten (10) business days prior to the submission of an expedited appeal to confirm that an expedited appeal can be accepted at any given time.

14.5 Appeal Fees: The Appeal Fee is a flat fee, per each appeal. Each appeal can address only one MPR, prerequisite, or credit. Project teams will only incur this fee in the event they elect to submit an appeal. Fees must be remitted to GBCI by credit card at the time an appeal is requested, or by check; however, GBCI shall not initiate the review of an appeal until payment has been received in full. If payment is not received within thirty (30) days after the submission of an appeal, such appeal shall be canceled.

The pricing for appeals is dependent upon the particular MPR, prerequisite or credit addressed and the rating system under which the project is registered. Appeals are categorized as either “General” or




“Complex” dependent upon the complexity of the underlying credit or prerequisite and the associated documentation requirements. All MPRs appeals are determined to be “General” at this time. The following credits are considered “Complex” due to the level of effort required for review:

Platform Rating System Version Affected credits L

EE

D O

nlin

e v2

NC 2.2 EAp1, EAp2, EAc1, EQp1 NC 2.1 EAp1, EAp2, EAc1, EQp1 CS 2 EAp1, EAp2, EAc1, EQp1 Schools 2007 EAp1, EAp2, EAc1, EQp1 CI 2 EAp1, EAp2, EAc1.3 (A&B), EQp1 EB 2 EAp1, EAp2, EAc1, EQp1 EB: O&M 2008 EAp1, EAp2, EAc1, EAc2.1, EAc2.2, EAc2.3, EQp1

LE

ED

Onl

ine

v3

NC 2009 EAp1, EAp2, EAc1, EQp1 NC-Retail 2009 EAp1, EAp2, EAc1, EQp1 CS 2009 EAp1, EAp2, EAc1, EQp1 Schools 2009 EAp1, EAp2, EAc1, EQp1 CI 2009 EAp1, EAp2, EAc1.3, EQp1 CI-Retail 2009 EAp1, EAp2, EAc1.3, EQp1 EB: O&M 2009 EAp1, EAp2, EAc1, EAc2.1, EAc2.2, EAc2.3, EQp1 Healthcare 2009 EAp1, EAp2, EAc1, EQp1

Please reference the Pricing Appendices for specifics on GBCI’s fee structure.

15. EXPIRATION POLICY

The LEED certification expiration policies require that a project team undertake some action within a specified amount of time following the award of certification or other official determination issued by GBCI, such as a Plan Approval or Precertification. To the extent a project team does not complete the specified action, the certification or designation shall expire and the project may no longer represent that it is LEED certified or that it holds such official designation. Please refer to the rating system-specific appendices of this document for certification expiration policies and guidance.

16. CERTIFICATION CHALLENGE POLICY

This Certification Challenge Policy has been put in place to protect the integrity of the LEED certification program as a credible, accurate, and industry-recognized system for evaluating the design and construction of sustainable buildings. GBCI intends this policy to function as both a quality check on GBCI LEED reviews, as well as an instrument designed to detect and remedy incidents of intentional or inadvertent misrepresentation which result in the inappropriate award of LEED certification. This policy is not meant to serve as a vehicle for the adjudication of disputes between outside parties. Accordingly, this policy and the certification challenge process detailed herein do not replace any applicable judicial or other alternative dispute resolution processes that third parties may have available to resolve such disputes between themselves. Complaints that might warrant initiation of the Certification Challenge Process should be submitted to [email protected].

16.1 Certification Challenge Overview: All persons participating in the submission of information in applying for an award of LEED certification must be truthful, forthcoming, and cooperative in their dealings with GBCI; however, it is the responsibility of the project owner to confirm and represent the



veracity and accuracy of the documentation submitted. To the extent the veracity or accuracy of such documentation, or GBCI’s evaluation of the same, is called into question, GBCI may initiate a certification challenge thereby revisiting its determination that the submitted documentation properly demonstrates that the project satisfied all credits, prerequisites, and MPRs necessary to achieve the awarded level of LEED certification. A project owner may defend against such certification challenge by electing to participate in the process described below. Based on the final determination of such a challenge, GBCI retains the right to reduce the level of LEED certification awarded or revoke an award of LEED certification altogether.

16.2 Basis for an Initiation of a Certification Challenge: GBCI reserves the right to institute investigations and review documentation for any reason or for no reason at all. In addition, GBCI encourages third parties who wish to make a complaint, or bring to light information affecting the grant of LEED certification to do so in the following manner. Parties seeking to submit a complaint or report information affecting the grant of LEED certification must have specific personal knowledge of an event or condition that would prevent a project from satisfying a particular credit, prerequisite, or MPR. Complainants must indicate the credit, prerequisite, or MPR that is affected. Further, such persons must indicate to the fullest extent possible, in the form of a written statement, details of such event or condition including the following: i) the alleged offending conduct or condition; ii) the persons involved; iii) other persons who may have knowledge of the facts and circumstances concerning the allegation, including contact information for such persons; and iv) the identity of the person presenting the complaint including such person’s full name, address, email, and telephone number. Complaints must be submitted to GBCI within eighteen (18) months of the award of LEED certification for a project. GBCI cannot guarantee anonymity to persons submitting complaints. If GBCI determines that the complaint is frivolous or irrelevant to the credits, prerequisites and MPRs required for LEED certification, no further action will be taken.

16.3 Initiation of a Certification Challenge: The GBCI President may initiate a formal investigation into the appropriateness of an award of certification to a particular project if the veracity or accuracy of the documentation supporting such award is called into question, or if GBCI’s evaluation of such documentation is suspected to have been incomplete or flawed. A formal investigation will be deemed opened upon the date that GBCI sends written notice to the project owner that such investigation has been initiated. The investigation will remain open until a final determination is reached on such certification challenge. GBCI shall not open a formal investigation related to any project beyond two (2) years after the date the project is awarded LEED certification. GBCI shall not publicly comment on an ongoing investigation prior to the forwarding of the final determination on such certification challenge to the project owner.

16.4 Certification Challenge Investigation Process: In performing a formal investigation, GBCI will review any or all of the project’s documentation that GBCI, in its sole discretion, deems relevant. GBCI may request supplemental information from the person(s) making the complaint and may require the complainant to provide a statement in the form of an affidavit attested to under penalty of perjury. GBCI may request information from the project team, project owner, and/or others involved in the project.

If GBCI determines that a site visit may be useful, GBCI, with the assistance of one or more technical consultants, may, but is not required to, conduct an on-site inspection of a project. GBCI shall notify the project owner of the necessity of the site visit in writing. GBCI representatives including staff members and/or technical consultants shall make the arrangements for the site visit.

No staff or technical consultant may: i) investigate any matter regarding a project he or she previously reviewed; ii) investigate any matter in which his or her impartiality might reasonably be questioned; or iii) investigate any matter which presents an actual, apparent, or potential conflict of interest. GBCI representatives who are tasked with conducting a site visit must sign an engagement agreement and abide by GBCI requirements regarding conflicts of interest and confidentiality.



16.5 GBCI Preliminary Staff Findings: Upon the conclusion of an investigation, if GBCI determines in its sole discretion that the project owner submitted truthful and accurate documentation when applying for certification and that sufficient evidence exists to demonstrate that (i) all prerequisites and MPRs were properly completed at the time certification was conferred and (ii) the minimum number of credits were properly completed at the time certification was conferred such that the project obtained the requisite number of points necessary to achieve LEED certification at the level awarded, no further action will be taken. The project owner and any persons submitting complaints will be notified of this decision. If GBCI determines that the documentation submitted was not completely truthful and accurate, or that insufficient evidence exists to demonstrate the project properly achieved LEED certification at the level awarded, GBCI shall transmit a statement of its findings to the project owner by email via verifiable method of delivery, setting forth the affected credits, prerequisites, and/or MPRs, and including a written statement:

a. of the facts constituting the inaccurate grant of credit, prerequisite, minimum program requirement, or falsely submitted documentation and the credits/prerequisites/minimum program requirements affected;

b. that the project owner has thirty (30) calendar days after receipt of such statement to notify GBCI if it disputes the findings and to provide a written response; and

c. identifying the proposed sanctions determined by GBCI potentially including revocation of LEED certification, or reduction of the level of LEED certification awarded.

16.6 Stage 1: Contesting GBCI Preliminary Staff Findings:

If the project owner seeks to contest the findings, or is unwilling to accept the determined sanctions, such owner must submit a written response addressing the Preliminary GBCI Staff Findings and/or the determined sanctions within thirty (30) calendar days after the owner’s receipt of such statement. The project owner may also submit additional information related to the challenged LEED program requirement(s). If the project owner accepts, or fails to timely respond to such statement and underlying findings, GBCI shall enact the determined sanctions and close the matter. Such acceptance, or failure to respond, shall constitute a waiver of the right to a review or hearing and appeal of the same.

Upon receiving a response to this statement, GBCI staff shall make a determination as to the disposition of the challenge and identify the sanctions to be imposed. GBCI shall provide notice of such determination and sanctions to the project owner along with a statement:

a. that the owner or representative thereof may request an oral hearing (in person or by phone) or a review by written briefing for the disposition of the matter, with the owner bearing its own expenses;

b. that the owner or representative may appear in person, may examine and cross-examine any witness under oath, and may produce evidence on its behalf;

c. that if the owner disputes the findings, or requests a review or hearing, the owner thereby consents to the formation of a Review Panel for the purpose of rendering a decision on the evidence before it, and further agrees to comply with any applicable sanctions subject to an appeal; and

d. those certain administrative fees, as detailed in Pricing Appendix A, apply if the project team requests a written review or hearing.

16.7 Stage 2: Written Review or Hearing of a GBCI Staff Determination: If a project owner seeks to contest the determination or sanctions issued by GBCI staff, the project owner may submit a request for either a hearing or review by written briefing. The fees outlined in Pricing Appendix A must be provided to GBCI within thirty (30) calendar days following the date the owner’s written request was received by GBCI.

If the project owner requests a hearing or written review, the GBCI Chair in consultation with the GBCI President shall appoint three persons to serve on a Review Panel, each of whom shall be



qualified by virtue of training and experience to have the appropriate technical knowledge in the relevant LEED program requirements. No member of such Review Panel may: i) review any matter regarding a project he or she previously reviewed; ii) review any matter in which his or her impartiality might reasonably be questioned; or iii) review any matter which presents an actual or apparent conflict of interest relating to the project.

If the project owner requests a written review, GBCI will forward its findings and the response of the project owner to the Review Panel. Written briefing may be submitted within thirty (30) calendar days following receipt of the request for such written review.

If the project owner requests a hearing, GBCI shall forward its findings and the response of the project owner to the Review Panel and shall designate one staff member to present the findings and any substantiating evidence, to examine and cross-examine witnesses, and to present the matter during the hearing. The Review Panel will schedule a hearing after the request is received, allowing for a period of at least thirty (30) days to prepare for such hearing, and will send by email and via verifiable means of delivery, a Notice of Hearing to the project owner. The Notice of Hearing will include a statement of the time and place selected by the Review Panel. The project owner may request modification of the time and place for good cause.

The Review Panel, GBCI, and the project owner may consult with and be represented by counsel, make opening statements, present documents and testimony, examine and cross-examine witnesses under oath, make closing statements and present written briefs as scheduled by the Review Panel. To the extent a project owner or representative fails to attend the hearing in person or by phone, such hearing shall commence as scheduled without representation by the owner. The Review Panel will determine all matters related to the hearing. Formal rules of evidence will not apply. Relevant evidence may be admitted. Disputed questions will be determined by the Review Panel.

GBCI will meet its burden of proof if it is able to demonstrate by a preponderance of the evidence, and the project owner is unable to refute either that the project owner failed to submit truthful, and accurate documentation when applying for certification, or that insufficient evidence exists to demonstrate that (i) all prerequisites and MPRs were properly completed at the time certification was conferred and (ii) that the minimum number of credits were properly completed at the time certification was conferred such that the project obtained the requisite number of points necessary to achieve LEED certification at the level awarded.

Upon the conclusion of a review or hearing, if the Review Panel determines that GBCI has not met this burden of proof no adverse action will be advised and the matter shall be closed. If the Review Panel determines that GBCI has met this burden of proof it shall identify the appropriate sanctions to be carried out by GBCI.

The Review Panel will issue a written decision following the review or hearing. This decision will contain factual findings, conclusions, and any sanctions if appropriate. Such written decision shall be sent promptly by email via verifiable means of delivery to the project owner and any persons submitting complaints.

16.8 Stage 3: Appeal of a Review Panel Decision Before GBCI Board of Directors: If a project owner seeks to contest the decision of the Review Panel, such owner may submit a request for an appeal to the GBCI Board of Directors. All requests for appeals must be submitted in writing and sent to GBCI by verified and traceable email, U.S. Postal Service mail, personal delivery, or private courier (such as Federal Express, United Parcel Service, etc), within thirty (30) calendar days after the owner’s receipt of the Review Panel’s decision. Requests for appeals must be accompanied by written briefing setting forth the basis for the appeal. If the project owner requests an appeal in accordance with this section, the fees outlined in pricing Appendix A must be provided to GBCI within thirty (30) calendar days of GBCI’s receipt of such request.



In order to overturn a certification challenge decision by the Review Panel, it shall be the burden of the project owner to demonstrate to the satisfaction of the GBCI Board of Directors that such decision was arbitrary or capricious.

The GBCI Board of Directors will render a written decision based on the record below and written briefs (if any); there will be no oral hearing. The decision of the GBCI Board of Directors will be mailed promptly by certified mail, return receipt requested, to the project owner. Decisions rendered by the GBCI Board of Directors shall be final. Persons submitting complaints shall be notified of the decision of the GBCI Board of Directors.

16.9 Revocation of LEED certification: Based on the final determination of a Certification Challenge, GBCI retains the right to reduce the level of LEED certification awarded, or to revoke an award of LEED certification.

GBCI retains the right, in its sole discretion, to revoke LEED certification from any project where it is denied access to a project for the purposes of performing an audit or site visit, or it is prevented from examining documentation related to the project’s design, construction, and/or operations pertaining to LEED certification, as a result of a project owner being unwilling or unable to provide such access or documentation.

GBCI retains the right, in its reasonable discretion, to revoke LEED certification from any project where it is denied access to, or for which it is not provided with, energy and water use data on an ongoing basis after LEED certification is conferred, as is required.

To the extent a project is subject to revocation of LEED certification, such project will be removed from the LEED certified project database and may no longer be referred to as a LEED certified project. GBCI shall identify the project’s certification as having been revoked. Additionally, if GBCI revokes certification of any project for which a Platinum-level certification was previously awarded, and for which the project owner received a rebate of any or all certification fees, the owner of such project shall be liable for refunding all monies so received to GBCI. Further, the owner of such project shall immediately terminate all use and display of any LEED trademarks, associated logos, and other intellectual property licensed by GBCI.

17. PROJECT MONITORING POLICY

17.1 Project Monitoring Policy: As set forth in the MPRs, each project that achieves LEED certification must provide to both GBCI and USGBC, or authorize both GBCI and USGBC to access and collect certain data from project metering systems and/or utility service providers. This requirement only applies to LEED 2009 and newer rating systems.

18. USE AND DISCLOSURE OF SUBMITTED INFORMATION POLICY

18.1 Distribution of Project Information: The LEED certification program consists of a documentation-based verification system. Participants in the program are required to submit extensive information related to each project. Collected information typically includes project and owner identifying information, attestations, narratives, data, calculations, maps, drawings, specifications, and other design, construction and operational related information. This information may contain personal or proprietary information as well as valuable intellectual property including copyrighted materials and/or trademarks.

This information must be provided to GBCI with a limited, non-exclusive and non-revocable license allowing GBCI to access and view all information that is submitted in the application as necessary to perform a review. This license is effective when such information is provided to GBCI. In addition,



this license allows GBCI and USGBC to use, publish and display this information to the public; provided however, that GBCI’s and USGBC’s rights are limited as follows:

18.1.1 Treatment of Trademarks Held By You. GBCI and USGBC will not use or display trademarks submitted to GBCI without permission. GBCI and USGBC may engage in conduct that constitutes fair or nominative use of these trademarks such as the display of a trademarked company name in the project directories.

18.1.2 Directories and Listings of Project Information: All projects that are registered under the LEED certification program are automatically listed in the Registered Project Directory that is available on the GBCI and USGBC websites and available to the general public. This directory represents certain project identifying information including the following: project name, project address, project type, registration date, rating system, identity of the owner, owner organization type, and project gross square footage. If the registration for a project is canceled or certification is denied, the project may be delisted from such directory.

Projects that are certified by GBCI will be automatically delisted from the Registered Project Directory and transferred to the Certified Project Directory that is similarly available on the web and displayed to the general public. Such listings include all the information provided in the Registered Project Directory, as well as the date such volume project was certified, the level of certification that was achieved, and a representation of the project checklist (also referred to as the “project scorecard”). The project checklist communicates which credits a project achieved as well as how many points were awarded per credit. In addition, we and/or USGBC may publish this information in other formats, including, without limitation, data compilations and maps. A sample of a blank project checklist relating to the LEED 2009 for New Construction and Major Renovations Green Building Rating System is represented below:


http://www.usgbc.org/LEED/Project/RegisteredProjectList.aspx

http://www.usgbc.org/LEED/Project/CertifiedProjectList.aspx


18.1.3 Collection, Analysis and Distribution of Project Performance Data18.1.3 Collection, Analysis and Distribution of Project Performance Data: Further development of the LEED program is dependent on the collection, analysis and distribution of information pertaining to sustainable design and construction and the performance of green buildings. Both GBCI and USGBC may make internal use of any information that is submitted to GBCI, including, and not limited to, the building performance data that must be submitted on an ongoing basis in accordance with the MPRs. GBCI and/or USGBC may publish this information to third parties, including the general public, in aggregated non-identifying form.

18.1.4 Distribution of Plans, Drawings and Schematics: With the exception of information provided to GBCI subcontractors, GBCI and USGBC will not distribute or publish any submitted plans, drawings, or schematics pertaining to any project without permission.

18.1.5 Subcontractors: GBCI relies on a network of subcontractors to administer the LEED certification program. USGBC similarly relies on a network of subcontractors and volunteers to further the development of the LEED program. GBCI and USGBC may disclose and/or transmit submitted information to these subcontractors and volunteers, including, without limitation, plans, drawings and schematics for the purpose of undertaking activities inherent to such programs. This includes, without limitation, the undertaking of application reviews, Project CIR reviews, challenge investigations, appeal reviews, data analysis, development of future rating systems and other functions on behalf of GBCI, USGBC or both. Subcontractors and volunteers execute agreements to perform these services and activities under conditions of confidentiality in accordance with the policies articulated in this manual.

18.1.6 Disclosure of Project Team Information: GBCI and USGBC may publish the names of the members of your project team, the projects that such project team members have participated in and their organizational affiliations.

18.1.7 Additional Uses by Permission: GBCI and USGBC may seek permission to use submitted information in ways not identified above.

18.2 Confidential Projects: Projects within LEED Online may be marked as “confidential.” As used herein, the term “confidential” means the following:

a) The project name, project street address, and the identity of the owner will not appear within the Registered Project Directory or Certified Project Directory. All other information may be disclosed, including, but not limited to, the city and state in which the project is located and the total project square footage.

b) The project scorecard will not be represented in the Certified Project Directory upon a grant of certification.

c) Information regarding the project, including, but not limited to, performance data, may be published by USGBC and/or GBCI; however, all project data shall be rendered in the aggregate with no identifying information.

The option to indicate a project is confidential is initially presented during the registration process. Following registration, projects may be rendered confidential or non-confidential at any time. For

IF A PROJECT IS INDICATED TO BE CONFIDENTIAL, SUCH PROJECT MAY NOT BE MARKETED OR REPRESENTED TO THE GENERAL PUBLIC AS BEING CERTIFIED. NO INTELLECTUAL PROPERTY INCLUDING THE LEED CERTIFICATION TRADEMARKS MAY BE UTILIZED OR DISPLAYED IN RELATION TO SUCH PROJECT. IF A PROJECT IS INDICATED TO BE CONFIDENTIAL, CERTIFICATION MAY BE COMMUNICATED TO GOVERNMENT ENTITES FOR THE LIMITED PURPOSES OF COMPLYING WITH BUILDING LAWS, TAXATION, AND ADMINISTRATIVE PROCEEDINGS RELATED TO LANDUSE ENTITLEMENTS.



example, a project owner may choose to indicate that a project is confidential at the time it is registered and remove the confidentiality designation upon achieving certification. Following registration, and prior to the acceptance of certification, the project administrator and project manager(s) can adjust the confidentiality setting from the “Project Information” page within LEED Online. After acceptance of certification, the project administrator and project manager(s) can adjust the confidentiality settings by contacting GBCI customer service. Project Owners may change the confidentiality setting for a project at any time by contacting GBCI customer service.

18.3 Compelled Disclosures. Nothing in this Policy Manual shall serve to prevent USGBC or GBCI from disclosing information where legally compelled to do so by duty, order or command under color of law. Unless prohibited by law, prompt notice will be provided to the project owner and project administrator of any such compelled disclosure so to facilitate an opportunity to limit or prevent such disclosure. GBCI shall not incur, nor be liable for, any cost or expense related to the attempt to limit or prevent a compelled disclosure, by protective order or other appropriate remedy. Without limitation, GBCI and/or USGBC may disclose any information submitted if such disclosure, in GBCI’s or USGBC’s sole discretion, is deemed to be in the interest of public safety.

19. TRADEMARKS POLICY: BRANDING, LOGOS & PLAQUES

19.1 GBCI & USGBC Trademarks: GBCI and USGBC own, and/or maintain a license to use, several proprietary trademarks, certification marks, and associated acronyms, logos and other graphic images, which are powerful marketing tools and valuable assets. The marks “GBCI®” and “Green Building Certification Institute™” constitute intellectual property owned by GBCI. The marks “U.S. Green Building Council®,” “USGBC®,” “LEED®,” and the LEED certification marks and related logos including but not limited to: “LEED Certified™,” “LEED Silver®,” “LEED Gold®,” and “LEED Platinum®” constitute intellectual property owned by USGBC and are used by GBCI under license.

19.2 Use of Marks Following Project Registration: Project registration alone does not entitle a project to use or display any LEED certification marks, related logos, and/or other materials, markings or advertisements that indicate or imply that a project has achieved, or will achieve, LEED certification. Neither GBCI nor USGBC has a logo or trademark that pertains to registered projects, prototypes, precertified prototypes or registered volume projects that are not certified. Use of any LEED Certification Trademark or other logo of GBCI and/or USGBC to refer to such prototypes and projects is prohibited. Regardless of the foregoing, GBCI grants a limited, revocable and non-exclusive license to use, reproduce and display the following proprietary trademarks and phrases to indicate that a project is registered under the LEED certification program: i) "LEED® registered-project;" ii) "LEED®-registered;" iii) "LEED® candidate project;" or iv) "LEED® certification candidate." In addition, GBCI grants the right to use the following language to refer to registered projects: "Registered with the certification goal of [LEED® Certified™ / LEED Silver® / LEED Gold® / LEED Platinum®]"; "Upon completion, this [building/project] will apply to become LEED® certified."; and "This project is registered under the LEED® green building certification program." The "LEED® registered-project" mark may not be used in a manner that indicates or implies, as determined by GBCI in its sole discretion, that such project has achieved, or will achieve, LEED certification at any level.

19.3 Use of Marks Following Project Certification: Limited Trademark License Granted to Owner of a Certified Project: To the extent that a project is certified by GBCI at a particular level of LEED certification, as evidenced by GBCI’s issuance of a certificate representing the same to the owner, GBCI grants the owner a limited and non-exclusive license to use certain trademarks as identified below in accordance with the following:

As used herein, the phase “LEED Certification Trademarks” refers to the following trademarks specifically designed to indicate that a project has been certified by us at a particular level of LEED



certification. Specifically, the LEED Certification Trademarks include the following wordmarks: LEED® Certified™, LEED Silver®, LEED Gold® and LEED Platinum®, as well as the following logos:

The LEED Certification Trademarks, together with the goodwill connected therewith are the sole and exclusive property of GBCI and USGBC. Any rights granted to the project owner are in the form of a mere license. Such mere license does not constitute a transfer of ownership and may be revoked and reclaimed by GBCI, consistent with the terms and policies of the LEED Project Certification Agreement and/or this manual.

As may otherwise be limited in the LEED Project Registration Agreement, the LEED Project Certification Agreement, and/or this manual, with respect to each project that is certified by GBCI, the owner may display the appropriate LEED Certification Trademarks associated with the particular level of LEED certification achieved on or within such certified project via, including, without limitation, displays in the form of banners, physical installations, or the mounting of LEED plaques. The owner may also display such LEED Certification Trademarks within materials promoting or referencing such certified project.

To the extent the owner wishes to use or display a LEED Certification Mark in the form of a logo, the logo may not be skewed or altered, including, without limitation, changes to shape, textual content, textual font, orientation of the logo, or the addition of animation incorporating the mark. The mark, including its associated words, may not have additional text wrapped around it. The mark is intended to stand alone and may not be integrated into other logos. An owner of a certified project may alter the color and appearance of the Logo in accordance with the following only: the logo may be represented in black, gray, or any other uniform color. When printing in gray, only the standard color 424U (as defined by Pantone, LLC) may be used. The mark may appear embossed, with a slight gradient, or with other lighting or shadow effects to add dimension to the graphic. If reversed, the logo may only appear in white on a dark background. The following examples demonstrate acceptable alterations.

With respect to an owner’s use of the LEED Certification Trademarks, LEED certification only

indicates that a particular project complies with GBCI’s interpretation of the LEED rating systems. Statements and representations that LEED certification indicates any specific building features or performance factors are prohibited.

To the extent an owner wishes to display or use a LEED Certification Trademark, all appropriate trademark notices must be included; meaning, where using a trademark that has been officially registered with the United States Patent and Trademark Office, such trademark must appear in conjunction with the registration symbol “®.” Similarly, where using a trademark that has not yet been so registered, such trademark must appear in conjunction with the trademark symbol "TM." Where



displaying such trademarks in text, the trademark notices must be adjacent to the first and most prominent appearance of each trademark respectively. If numerous examples of such trademarks in a lengthy text are displayed, the appropriate trademark notice must be displayed adjacent to such trademarks at the first and most prominent appearance of each trademark in each section respectively. If numerous examples of such trademarks are displayed in a website, the appropriate trademark notice must be displayed adjacent to such trademarks at the first and most prominent appearance of each trademark in each webpage within such website respectively. Further, to the extent such trademarks are displayed in text, the following acknowledgement must be included:

“The 'LEED® Certification Mark' is owned by U.S. Green Building Council, Inc.®

and is used with permission."

Subject to the LEED Project Certification Agreement, this license is transferable to subsequent owners and tenants who acquire the legal right to possess and control the real property for which LEED certification is conferred; however, such transferees take subject to the terms of this license. In other words, such owners or tenants must comply with the conditions and limitations stated herein or this license will be terminated and all rights to use and display the LEED Certification Trademarks identified herein will be revoked. Such compliance includes the performance of all mandatory ongoing obligations, including, without limitation, the reporting of data related to energy and water use per MPR6 as further described in the incorporated documents.

19.4 Unauthorized Use of USGBC and/or GBCI Marks: To the extent an owner engages in unauthorized use or reference to the marks and associated logos identified herein, GBCI, in its sole discretion, may terminate such owner’s rights to continue using any or all intellectual property owned or licensed by GBCI and/or USGBC. The unauthorized use or display of the LEED Certification Trademarks could mislead third parties as to the status of a particular building in terms of the achievement of LEED certification. The display of the LEED Certification Marks in a manner that does not comport with the limitations stated herein constitutes an infringement of GBCI and/or USGBC’s intellectual property rights in violation of applicable state and federal trademark laws. Any misuse of the LEED Certification Trademarks, or any other intellectual property held GBCI and/or USGBC may result in irreparable harm to GBCI and/or USGBC for which damages at law would be an insufficient remedy. Accordingly, it is an express condition of the license granted herein that GBCI may seek injunctive relief in any court of competent jurisdiction to specifically prohibit the continuing misuse of such intellectual property by an owner. Only GBCI and/or USGBC, at GBCI’s and USGBC’s sole discretion, have the right to challenge any unauthorized uses or infringements of the LEED Certification Trademarks, and alone have the right to prosecute any person or entity who unlawfully uses or attempts to use any of the LEED Certification Trademarks.

19.5 Plaques & Marketing Materials: USGBC and GBCI work directly with third party vendors to offer customized brand fulfillment options for each project. All Project teams who intend to display LEED plaques and/or other marketing materials are required to purchase such markings and materials directly from USGBC, GBCI or from a third-party vendor explicitly designated by either USGBC or GBCI. Details regarding the process whereby an owner may obtain a plaque and other marketing materials will be forwarded to eligible owners following the acceptance of a final certification review.

19.6 Effect of Revocation or Expiration of Certification:

a. The license herein granted above in 19.3 to an owner successful in achieving LEED certification is conditioned on the project’s ongoing status as a LEED certified project, and is subject to the terms of the LEED Project Certification Agreement and as otherwise set forth in this manual. To the extent that a project does not carry a designation of LEED certified (whether through expiration, cancellation, revocation and/or termination), the license herein granted to use and display such intellectual property related to such certification and/or the LEED program in general in connection with such project is withdrawn. If GBCI terminates the trademark license herein granted, GBCI shall remove the project from its certified project directory and the owner shall remove any and all display of the LEED



Certification Trademarks in any materials produced or displayed by the owner regarding such project, including but not limited to print and web-based promotional materials, electronic media and merchandise must be discontinued. The owner must comply with these requirements within ninety (90) days of termination of this trademark license it applies to any particular project.

b. The license herein granted above in 19.2 to relating to use of certain marks and phrases relating to the registration of a project is subject to the terms of the LEED Project Registration Agreement, the LEED Project Certification Agreement, and as otherwise set forth in this manual, and terminate automatically upon the following events: (1) the project’s withdrawal from the LEED program; (2) the project’s award of LEED certification; and (3) the cancellation of registration as provided in this manual. Upon termination of such license, GBCI shall remove the project from its registered project directory and any and all display of such marks in any materials produced or displayed regarding such project, including but not limited to print and web-based promotional materials, electronic media and merchandise must be discontinued. These requirements must be met within ninety (90) days of termination of this trademark license it applies to any particular project.



Rating System-Specific Appendix

LEED FOR NEW CONSTRUCTION AND MAJOR RENOVATIONS

This appendix to the LEED Certification Policy Manual contains additional policies and definitions applicable only to projects registered under the LEED for New Construction and Major Renovations family of rating systems. The following green building rating systems are subject to the requirements of this appendix:

Rating System Rating System Abbreviation LEED 2009 for New Construction and Major Renovations LEED-NC 2009 LEED 2009 Italia Nuove Costruzione e Ristrutturazioni LEED-NC Italia 2009 LEED for New Construction: Version 2.2 LEED-NC v2.2 LEED for New Construction: Version 2.1 LEED-NC v2.1 LEED for New Construction: Version 2.0 LEED-NC v2.0 LEED for Retail: New Construction LEED-Retail: NC LEED 2009 for Schools LEED-Schools 2009 LEED for Schools v2.0 LEED-Schools 2.9 LEED 2009 for Healthcare: New Construction and Major Renovations LEED-HC: NC 2009

Unless explicitly referenced, all rating system versions in this appendix will be collectively referred to as LEED for New Construction. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: LEED for New Construction Rating System-Specific Policies

7. LEED Online 34 9. Project Registration 35 10. Formal Inquiries 35 11. Documentation Requirements 35 12. Registration Cancellation Policy 35 13. Application Submission & Review Policies 37



7. LEED ONLINE

NC 7.1-2 Certification Application Platform: The certification process for LEED for New Construction projects will occur in either LEED Online Version 3, LEED Online Version 2, or in some cases a paper application, depending upon the version of the rating system under which the project has been registered.

The following table lists each version of LEED for New Construction and Major Renovations and the availability of each application and review format as indicated by a “Yes” in the table.

Table NC 7.1-2a: LEED-NC Rating System Versions & Certification Application Platforms LEED-Online version 3

(LO3) LEED Online version 2

(LO2) Excel Letter Templates (Paper/CD application)

LEED-NC 2009 Yes No No LEED-NC Italia 2009 Yes No No LEED-NC v2.2 No Yes No LEED-NC v2.1* No Yes Yes LEED-NC v2.0* No No Yes * The Rating System Sunset Dates for LEED-NC v2.0 and LEED-NC 2.1 have passed; meaning, GBCI no longer accepts new applications for certification under these versions. (See Section 12: Registration Cancellation Policy of the policy manual for additional information)

The following table lists each version of LEED for Healthcare: New Construction and Major Renovations and the availability of each application and review format as indicated by a “Yes” in the table.

Table NC 7.1-2b: LEED-Healthcare: NC Rating System Versions & Certification Application Platforms

LEED-Online version 3 (LO3)

LEED Online version 2 (LO2)

Excel Letter Templates (Paper/CD application)

LEED-HC: NC 2009 Yes No No

The following table lists each version of LEED for Retail: New Construction and the availability of each application and review format as indicated by a “Yes” in the table.

Table NC 7.1-2c: LEED-Retail: NC Rating System Versions & Certification Application Platforms




LEED-Retail: NC 2009 Yes No No

The following table lists each version of LEED for Schools and the availability of each application and review format as indicated by a “Yes” in the table.

Table NC 7.1-2d: LEED-Schools Rating System Versions & Certification Application Platforms




LEED-Schools 2009 Yes No No LEED-Schools v2.0 No Yes No



NC 7.1.2 Projects Not Using LEED Online (Paper/CD Applications): Based on rating system version, some projects are eligible to apply for certification outside of the LEED Online application (v2/3) and instead submit a hardcopy application via digital media. In these cases, documentation will be facilitated via the LEED Letter Templates, a resource available for download from USGBC as a Microsoft Excel document available at www.usgbc.org. See Section13: Application Submission and Review Policy of this appendix for additional information.

9. PROJECT REGISTRATION NC 9.1 Project Registration – The LEED 2009 Italia Nuove Costruzione e Ristrutturazioni Rating

System should only be selected for projects located in Italy, and meets the scope of the LEED for New Construction Rating System v2009.

10. FORMAL INQUIRIES NC 10.3 Formal Inquiry Submittal Format – A formal inquiry submitted for LEED 2009 Italia Nuove

Costruzione e Ristrutturazioni may be submitted in English or Italian.


NC 11.2.1 Narrative Length & Format – Narratives submitted for LEED 2009 Italia Nuove Costruzione e Ristrutturazioni may be submitted in English or Italian.


NC 12.2 Important Dates: LEED for New Construction

Table NC 12.2a Rating System Dates: LEED for New Construction and Major Renovations The table below lists important dates and statuses for each version of LEED for New Construction and Major Renovations.

Version Status Registration Opened Registration Closed Application Sunset Date

NC 2009 Registration Open Apr 27, 2009 TBD* TBD* NC Italia 2009 Registration Open June 1, 2011 TBD* TBD*

NC v2.2 Registration Closed Nov 15, 2005 June 27, 2009 June 27, 2015 NC v2.1 Sunset Date Passed Nov 13, 2002 Dec 31, 2005 Dec 15, 2011 NC v2.0 Sunset Date Passed Mar, 2000 Nov 13, 2002 Dec 31, 2009

*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system

Table NC 12.2b Rating System Dates: LEED for Healthcare: New Construction and Major Renovations

The table below lists important dates and statuses for each version of LEED for Healthcare: New Construction and Major Renovations.


http://www.usgbc.org/



Healthcare: NC 2009

Registration Open Nov 16, 2010 TBD* TBD*


Table NC 12.2c Rating System Dates: LEED for Retail: New Construction The table below lists important dates and statuses for each version of LEED for Retail: New Construction.


Retail: NC 2009 Registration Open Nov 16, 2010 TBD* TBD*


Table NC 12.2d Rating System Dates: LEED for Schools The table below lists important dates and statuses for each version of LEED for Schools.


Schools 2009 Registration Open Apr 27, 2009 TBD* TBD* Schools 2007 Registration Closed Apr, 2007 June 27, 2009 June 27, 2015


NC 12.2.1 Certification Application Deadlines Based on Rating System Sunset Date

Standard Review (Combined Design and Construction Review): For project teams that have selected the Standard Review method of applying for LEED Certification, applications for Preliminary Standard Review shall be submitted on or before the rating system Sunset Date for the rating system under which that project is registered. If a project’s application for the Preliminary Standard Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.

Split Review (Separate Design and Construction Reviews): For project teams that selected the Split Design & Construction review method of applying for LEED Certification, applications for Preliminary Design Review must be submitted on or before the rating system sunset date for the rating system under which that the project is registered. In addition, applications for Preliminary Construction Review must be submitted no later than eighteen (18) months after the delivery of the Final Design Review, or no later than the rating system Sunset Date, whichever occurs later. If a project’s application for either Preliminary Design Review or Preliminary Construction Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.



13. APPLICATION SUBMISSION & REVIEW POLICIES NC 13.3 Application and Review Process: Applications for certification under the LEED for New

Construction rating system may be submitted at once in their entirety (via a Standard Review) or submitted in sections (via a Split Design and Construction review). The following provisions articulate the different review processes associated with the different review pathways. These review pathways are available in both LEED Online Version 3 and LEED-Online Version 2.

Split Review: Separate Design and Construction Reviews

Application for Design Review Prior to substantial project completion (defined as the date on which the building receives a Certificate of Occupancy or similar official indication that it is fit and ready for use), the Project Administrator or Project Manager (hereafter “Project Administrator”) shall submit, via LEED Online, a complete application for Design Review. Only credits and prerequisites indicated to be fit for review at the design phase may be submitted for design review. For pre-2009 rating systems, credits and prerequisites are identified as being fit for design review or construction review in the reference guides. For post 2009 rating systems, credits and prerequisites are identified as being fit for design review or construction review in the LEED Online forms. A complete application for Design Review must include payment of the Design Review Fee and complete submittal documentation for at least one design credit or prerequisite.

Preliminary Design Review GBCI shall review and return preliminary comments for all credits and prerequisites submitted with the application for Design Review. GBCI shall designate each credit and prerequisite reviewed as "anticipated," "pending,” or "denied." GBCI targets (but does not guarantee) delivery of the Preliminary Design Review within twenty-five (25) business days of receipt of a complete application.

Response to Preliminary Design Review Within twenty-five (25) business days of GBCI’s delivery of the Preliminary Design Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Design Review. In this response the Project Administrator may elect to accept the results of the Preliminary Design Review as final, or they may elect to respond to review comments with additional information or documentation. Said response must only include revised documentation for those prerequisites or credits submitted with the initial application for Design Review- new credits or prerequisites may not be included with the response.

Final Design Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Design Review. GBCI shall designate each credit and prerequisite reviewed as “anticipated” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Design Review within fifteen (15) business days of receipt of a response to the Preliminary Design Review. The Project Administrator shall then accept or appeal the final Design Review (see section 14. Appeals Policy).

Application for Construction Review Following completion of the Design Review phase and within 2 (two) years of substantial project completion, the Project Administrator shall submit, via LEED Online, a complete application for Construction Review. A complete application for Construction Review must include payment of the Construction Review fee and complete submittal documentation for 1) all prerequisites not reviewed during the Design Review phase, and 2) at least one construction credit. The application for Construction Review may also include complete submittal documentation for new design credits not reviewed during the Design Review phase. The application for Construction Review must contain



enough credits (including the credits marked as ‘anticipated’ during the final Design Review) to result in the minimum number of points required for certification (as specified in the rating system).

Preliminary Construction Review GBCI shall review and return comments for all credits and prerequisites included in the application for Construction Review. GBCI shall designate each credit and prerequisite reviewed as "awarded," "pending,” or "denied." Additionally, credits marked as “anticipated” during the Design Review will be marked as either “awarded” or “denied.” All credits and prerequisites that were designated as “anticipated” during the design final review phase may be determined to be “awarded” at the conclusion of the full and final construction review provided the project application has not been altered in a manner that effects the satisfactory completion of such credits and prerequisites and no information submitted during any subsequent review phase calls into question the validity of information upon which such earlier determinations were based. GBCI targets (but does not guarantee) delivery of the Preliminary Construction Review within 25 business days of receipt of a completed application.

Response to Preliminary Construction Review Within twenty-five (25) business days of GBCI’s delivery of the preliminary Construction Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Construction Review. In this response the Project Administrator may elect to accept the results of the Preliminary Construction Review as final, or they may elect to respond to review comments with additional information or documentation. Unlike the Response to Preliminary Design Review, new credits or prerequisites may be included with the response to Preliminary Construction Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity to for a project team to clarify documentation submitted for new credits or prerequisites.

Final Construction Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Construction Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Construction Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the final Construction Review (see section 14. Appeals Policy).

Standard Review: Combined Design and Construction Review

Application for Standard Review

Within two (2) years of substantial project completion the Project Administrator shall submit, via LEED Online, a complete application for Standard Review. A complete application for Standard Review must include payment of the Standard Review fee and complete submittal documentation for 1) all prerequisites and 2) enough credits to result in the minimum number of points required for certification.

Preliminary Standard Review GBCI shall review and return comments for all credits and prerequisites included in the application for Standard Review. GBCI shall designate each credit and prerequisite reviewed as "anticipated," "pending,” or "denied." GBCI targets (but does not guarantee) delivery of the Preliminary Standard Review within twenty-five (25) business days of receipt of a completed application.

Response to Preliminary Standard Review Within twenty-five (25) business days of GBCI’s delivery of the Preliminary Standard Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Standard Review. In this response the Project Administrator may elect to accept the results of the Preliminary Standard Review as final, or they may elect to respond to review comments with additional information or



documentation. New credits or prerequisites may be included with the response to Preliminary Standard Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity to clarify documentation submitted for new credits or prerequisites.

Final Standard Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Standard Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Standard Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the final Construction Review (see section 14. Appeals Policy).

NC 13.3.1 Paper/CD Applications (Excel Letter Templates): Some older projects are not required to use LEED Online for the application or review process (see Table NC 7.1-2a-d). Applications submitted for review outside of LEED Online (Excel Letter Templates) follow the same progression as the Standard Review outlined above. All documentation requirements and timelines are identical with the following exceptions:

1) Rather than LEED Online, applications must be submitted to GBCI in hard copy or electronic copy on CD or DVD. All materials must be submitted in duplicate, and should be mailed to:

Green Building Certification Institute Attn: LEED Certification Manager 2101 L Street NW, Suite 500 Washington, DC 20037

2) A complete paper submittal includes the following information: 1. LEED registration information, including 8-digit project ID number, project

contact, project type, project size, number of occupants, date of construction completion, etc.

2. An overall project narrative including at least three project highlights. 3. The LEED Project Checklist/Scorecard indicating projected prerequisites and

credits and the total score for the project. 4. Documentation for all prerequisites and all attempted credits. 5. Payment of the appropriate certification review fee (see Certification Fees to

the right). 3) All communication from GBCI to the project team will occur via email, directed to the

Project Administrator. This includes all review comments and prerequisite and credit designations.

NC 13.4 Credit Review Policy for Split Reviews: The review process is designed to provide each credit with a maximum of two (2) rounds of review via the preliminary and final submittal processes. If a credit is marked as “Awarded” during the preliminary round of review, the project team is not required to re-submit. However, if the project team feels additional clarifications are necessary and/or the project team wishes to pursue a higher point threshold or a different compliance option or path, the project team may resubmit an “Awarded” credit for a final round of review. Design phase credits that have been marked as “Anticipated” will automatically be subject to a final review for the purposes of verifying accurate and sufficient documentation. Any credits submitted to GBCI for the first time during the final round of the Design Review phase will receive a final round of review during the preliminary round of the Construction Review phase—they will not receive a third round of review during the final round of the Construction Review. Any credits submitted to GBCI for the first time during the final round of a Construction or Standard Review phase will only receive one round of review, and subsequently be marked as “Awarded” or “Denied.”

If at the conclusion of two rounds of review a credit is marked as “Denied” or did not achieve the desired point threshold, the project team must utilize the appeals process as outlined in Section 14 Appeals Policy to re-attempt the credit.



NC 13.4.1 Credit Verification and Status Update Policy: For credits marked as marked as “Awarded” or “Anticipated” after the conclusion of two rounds of Design review – if, a Design phase credit is marked as “Awarded” or “Anticipated” prior to the start of the Construction Review, and any changes have occurred to the project that might affect the point total previously awarded, GBCI must be informed. In such cases, documentation for previously awarded credits must be updated to accurately reflect the project and submitted for re-review to ensure continued compliance with credit requirements. Documentation update requirements vary depending on the rating system and project specific circumstances. Project Teams must revise every aspect of the credit documentation necessary to demonstrate continued compliance. The review team reserves the right to request additional information or require an appeal if the revised documentation submitted is inadequate to verify continued compliance for a previously “Anticipated” credit.

NC 13.4.2 Innovation in Design Submittal Policy: If marked “Denied” after two rounds of review, Innovation in Design credits can be resubmitted for the purposes of attempting a strategy different from the original submission.




LEED FOR COMMERCIAL INTERIORS This appendix to the LEED Certification Policy Manual contains additional policies and definitions applicable only to projects registered under the LEED for Commercial Interiors family of rating systems. The following green building rating systems are subject to the requirements of this appendix:

Rating System Rating System Abbreviation LEED 2009 for New Commercial Interiors LEED-CI 2009 LEED for Commercial Interiors: Version 2.0 LEED-CI v2.0 LEED for Retail: Commercial Interiors LEED-Retail: CI

Unless explicitly referenced, all rating system versions in this appendix will be collectively referred to as LEED for Commercial Interiors. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: LEED for Commercial Interiors Rating System-Specific Policies

7. LEED Online 42 12. Registration Cancellation Policy 42 13. Application Submission & Review Policies 43



7. LEED ONLINE CI 7.1-2 Certification Application Platform: The certification process for LEED for Commercial Interiors and

projects will occur in either LEED Online Version 3, LEED Online Version 2, or in some cases a paper application, depending upon the version of the rating system under which the project has been registered.

The following table lists each version of LEED for Commercial Interiors and the availability of each application and review format as indicated by a “Yes” in the table.

Table CI 7.1-2a: LEED-CI Rating System Versions & Certification Application Platforms LEED-Online version 3

(LO3) LEED Online version 2

(LO2) Excel Letter Templates (Paper/CD application)

LEED-CI 2009 Yes No No LEED-CI v2.0 No Yes No

The following table lists each version of LEED for Retail: Commercial Interiors and the availability of each application and review format as indicated by a “Yes” in the table.

Table CI 7.1-2b: LEED-Retail: CI Rating System Versions & Certification Application Platforms




Retail: CI 2009 Yes No No

CI 7.1.2 Projects Not Using LEED Online (Paper/CD Applications): Based on rating system version, some projects are eligible to apply for certification outside of the LEED Online application (v2/3) and instead submit a paper (or CD) application. In these cases, documentation will be facilitated via the LEED Letter Templates, a LEED for Commercial Interiors resource available for download from USGBC as a Microsoft Excel document available at www.usgbc.org. See Section13: Application Submission and Review Policy of this appendix for additional information.

12. REGISTRATION CANCELLATION POLICY CI 12.2 Important Dates: LEED for Commercial Interiors

Table CI 12.2a Rating System Dates: LEED for Commercial Interiors The table below lists important dates and statuses for each version of LEED for Commercial Interiors.


CI 2009 Registration Open Apr 27, 2009 TBD* TBD* CI v2.0 Registration Closed Nov 17, 2004 June 27, 2009 June 27, 2015





Table CI 12.2b Rating System Dates: LEED for Retail: Commercial Interiors The table below lists important dates and statuses for each version of LEED for Retail: Commercial Interiors.


Retail: CI 2009 Registration Open Nov 16, 2010 TBD* TBD*


CI 12.2.1 Certification Application Deadlines Based on Rating System Sunset Date

Standard Review (Combined Design and Construction Review): For project teams that have selected the Standard Review method of applying for LEED certification, applications for Preliminary Standard Review shall be submitted on or before the rating system Sunset Date for the rating system under which that project is registered. If a project’s application for the Preliminary Standard Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.

Split Review (Separate Design and Construction Reviews): For project teams that selected the Split Design & Construction review method of applying for LEED Certification, applications for Preliminary Design Review must be submitted on or before the rating system sunset date for the rating system under which that the project is registered. In addition, applications for Preliminary Construction Review must be submitted no later than eighteen (18) months after the delivery of the Final Design Review, or no later than the rating system Sunset Date, whichever occurs later. If a project’s application for either Preliminary Design Review or Preliminary Construction Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.

13. APPLICATION SUBMISSION & REVIEW POLICIES CI 13.2 LEED Certification Application Review Agreement: The stated requirements in the general policies

related to the LEED certification application Review Agreement are only applicable to projects registered under the LEED 2009 for Commercial Interiors rating system and newer only.

CI 13.3 Application and Review Process: Applications for certification under the LEED for Commercial Interiors rating systems may be submitted at once in their entirety (via a Standard Review) or submitted in sections (via a Split Design and Construction review). The following provisions articulate the different review processes associated with the different review pathways. These review pathways are available in both LEED Online Version 3 and LEED-Online Version 2.0.

Split Review: Separate Design and Construction Reviews

Application for Design Review Prior to substantial project completion (defined as the date on which the building receives a Certificate of Occupancy or similar official indication that it is ready for use), the Project Administrator or Project Manager (hereafter “Project Administrator”) shall submit, via LEED Online, a complete application for Design Review. Only credits and prerequisites indicated to be



fit for review at the design phase may be submitted for design review. For pre-2009 rating systems, credits and prerequisites are identified as being fit for design review or construction review in the reference guides. For post 2009 rating systems, credits and prerequisites are identified as being fit for design review or construction review in the LEED Online forms. A complete application for Design Review must include payment of the Design Review fee and complete submittal documentation for at least one design credit or prerequisite.



Final Design Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Design Review. GBCI shall designate each credit and prerequisite reviewed as “anticipated” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Design Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the final Design Review (see section 14. Appeals Policy).

Application for Construction Review Following completion of the Design Review phase and within 2 (two) years of substantial project completion, the Project Administrator shall submit, via LEED Online, a complete application for Construction Review. A complete application for Construction Review must include payment of the Construction Review fee and complete submittal documentation for 1) all prerequisites not reviewed during the Design Review phase, 2) at least one construction credit. The application for Construction Review may also include complete submittal documentation for new design credits not reviewed during the Design Review phase. The application for Construction Review must contain enough credits (including the credits marked as ‘anticipated’ during the final Design Review) to result in the minimum number of points required for certification (as specified in the rating system).

Preliminary Construction Review GBCI shall review and return comments for all credits and prerequisites included in the application for Construction Review. GBCI shall designate each credit and prerequisite reviewed as "awarded," "pending,” or "denied." Additionally, credits marked as “anticipated” during the Design Review will be marked as either “awarded” or “denied.” All credits and prerequisites that were designated as “anticipated” during the design final review phase may be determined to be “awarded” at the conclusion of the full and final construction review provided the project application has not been altered in a manner that effects the satisfactory completion of such credits and prerequisites and no information submitted during any subsequent review phase calls into



question the validity of information upon which such earlier determinations were based. GBCI targets (but does not guarantee) delivery of the Preliminary Construction Review within 25 business days of receipt of a completed application.

Response to Preliminary Construction Review Within twenty-five (25) business days of GBCI’s delivery of the preliminary Construction Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Construction Review. In this response the Project Administrator may elect to accept the results of the Preliminary Construction Review as final, or they may elect to respond to review comments with additional information or documentation. Unlike the Response to Preliminary Design Review, new credits or prerequisites may be included with the response to Preliminary Construction Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity to clarify documentation submitted for new credits or prerequisites.

Final Construction Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Construction Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Construction Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the final Construction Review (see section 14. Appeals Policy).

Standard Review: Combined Design and Construction Review

Application for Standard Review Within two (2) years of substantial project completion the Project Administrator shall submit, via LEED Online, a complete application for Standard Review. A complete application for Standard Review must include payment of the Standard Review fee and complete submittal documentation for 1) all prerequisites, and 2) enough credits to result in the minimum number of points required for certification.


Response to Preliminary Standard Review Within twenty-five (25) business days of GBCI’s delivery of the Preliminary Standard Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Standard Review. In this response the Project Administrator may elect to accept the results of the Preliminary Standard Review as final, or they may elect to respond to review comments with additional information or documentation. New credits or prerequisites may be included with the response to Preliminary Standard Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity for project teams to clarify documentation submitted for new credits or prerequisites.

Final Standard Review

GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Standard Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Standard Review within fifteen (15) business days of receipt of a completed application. The Project



Administrator shall then accept or appeal the final Construction Review (see section 14. Appeals Policy).

CI 13.3.1 Paper/CD Applications (Excel Letter Templates): Some older projects are not required to use LEED Online for the application or review process (see Table CI 7.1-2a: LEED-CI Rating System Versions & Certification Application Platforms and Table CI 7.1-2b: LEED-Retail: CI Rating System Versions & Certification Application Platforms to determine eligibility) Applications submitted for review outside of LEED Online (Excel Letter Templates) follow the same progression as the Standard Review outlined above. All documentation requirements and timelines are identical with the following exceptions:



5) A complete paper submittal includes the following information: 1. LEED registration information, including 8-digit project ID number, project

contact, project type, project size, number of occupants, date of construction completion, etc.



the right). 6) All communication from GBCI to the project team will occur via email, directed to the

Project Administrator. This includes all review comments and prerequisite and credit designations.

CI 13.4 Credit Review Policy for Split Reviews: The review process is designed to provide each credit with a maximum of two (2) rounds of review via the preliminary and final submittal processes. If a credit is marked as “Awarded” during the preliminary round of review, the project team is not required to re-submit. However, if the project team feels additional clarifications are necessary and/or the project team wishes to pursue a higher point threshold or a different compliance option or path, the project team may resubmit an “Awarded” credit for a final round of review. Design phase credits that have been marked as “Anticipated” will automatically be subject to a final review for the purposes of verifying accurate and sufficient documentation. Any credits submitted to GBCI for the first time during the final round of the Design Review phase will receive a final round of review during the preliminary round of the Construction Review phase—they will not receive a third round of review during the final round of the Construction Review. Any credits submitted to GBCI for the first time during the final round of a Construction or Standard Review phase will only receive one round of review, and subsequently be marked as “Awarded” or “Denied.”


CI 13.4.1 Credit Verification and Status Update Policy: For credits marked as marked as “Awarded” or “Anticipated” after the conclusion of two rounds of Design review – if, a Design phase credit is marked as “Awarded” or “Anticipated” prior to the start of the Construction Review, and any changes have occurred to the project that might affect the point total previously awarded, GBCI must be informed. In such cases, documentation



for previously awarded credits must be updated to accurately reflect the project and submitted for re-review to ensure continued compliance with credit requirements. Documentation update requirements vary depending on the rating system and project specific circumstances. Project Teams must revise every aspect of the credit documentation necessary to demonstrate continued compliance. The review team reserves the right to request additional information or require an appeal if the revised documentation submitted is inadequate to verify continued compliance for a previously “Anticipated” credit.

CI 13.4.2 Innovation in Design Submittal Policy: If marked “Denied” after two rounds of review, Innovation in Design credits can be resubmitted for the purposes of attempting a strategy different from the original submission.




LEED FOR CORE & SHELL DEVELOPMENT This appendix to the LEED Certification Policy Manual contains additional policies and definitions applicable only to projects registered under the LEED for Core and Shell Development family of rating systems. The following green building rating systems are subject to the requirements of this appendix:

Rating System Rating System Abbreviation LEED 2009 for Core and Shell Development LEED-CS 2009 LEED for Core and Shell: Version 2.0 LEED-CS v2.0

Unless explicitly referenced, all rating system versions in this appendix will be collectively referred to as LEED for Core and Shell. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: LEED for Core and Shell Rating System-Specific Policies

7. LEED Online 49 12. Registration Cancellation Policy 49 13. Application Submission & Review Policies 50



7. LEED ONLINE

CS 7.1-2 Certification Application Platform: The certification process for LEED for Core and Shell projects will occur in either LEED Online Version 3, LEED Online Version 2, or in some cases a paper application, depending upon the version of the rating system under which the project has been registered. The following table lists each version of LEED for New Construction and the availability of each application and review format as indicated by a “Yes” in the table.

Table CS 7.1-2a LEED-CS Rating System Versions & Certification Application Platforms



(Paper/CD application)

LEED-CS 2009 Yes No No LEED-CS v2.0 No Yes Yes*

* LEED-CS v2.0 projects may use the paper/CD application process for Precertification only.

CS 7.1.2 Precertification Outside of LEED Online (Paper/CD Applications): LEED-CS v2.0 projects are eligible to apply for precertification outside of the LEED Online application (v2/3) by submitting a paper (or CD) application. In these cases, documentation will be facilitated via the LEED Letter Templates, a LEED for Core & Shell resource available for download from USGBC as a PDF document is available at www.usgbc.org. See Section 13: Application Submission and Review Policy for additional information.


CS 12.2 Important Dates: LEED for Core & Shell

Table CS 12.2 Rating System Dates: LEED for Core & Shell The table below lists important dates and statuses for each version of LEED for Core & Shell.


CS 2009 Registration Open Apr 27, 2009 TBD* TBD* CS v2.0 Registration Closed July 31, 2006 June 27, 2009 June 27, 2015


CS 12.2.1 Certification Application Deadlines Based on Rating System Sunset Date: This section outlines the deadlines to submit applications to GBCI based on Rating System Sunset Date. More information on each application type can be found in section CS 13. Application Submission & Review Policies of this manual.

Standard Review (Combined Design and Construction Review): For project teams pursuing the Standard Review method of applying for LEED certification, applications for Preliminary Standard Review shall be submitted on or before the rating system Sunset Date for the rating system under which that project is registered. If a project’s application for the Preliminary Standard Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.

Split Review (Separate Design and Construction Reviews): For project teams that selected the Split Design & Construction review method of applying for LEED Certification, applications for Preliminary Design Review must be submitted on or before the rating system sunset date for the rating system under which that the project is registered. In addition, applications for Preliminary Construction Review must be submitted no later than eighteen (18) months after




the delivery of the Final Design Review, or no later than the rating system Sunset Date, whichever occurs later. If a project’s application for either Preliminary Design Review or Preliminary Construction Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.

13. APPLICATION SUBMISSION & REVIEW POLICIES CS 13.2 LEED Project Certification Agreement: The stated requirements in the general policies related to the

LEED Project Certification Agreement are only applicable to projects registered under the LEED 2009 for Core and Shell Development rating system and newer only.

CS 13.3 Application and Review Process: Projects registered under the LEED for Core and Shell Development rating system may submit the entire application for certification at once (via a combined review) or submit certain sections of the application in advance (via a split review). LEED for Core and Shell Development projects may also utilize the precertification process.

The following provisions articulate the different review processes associated with the different review pathways. These review pathways are available in both LEED Online Version 3 and LEED-Online Version 2.0.

Precertification Precertification is an optional review pathway available to Core & Shell project teams designed to help core and shell developers attract tenants. Precertification does not constitute a full certification review, but instead a precertification review is focused on a project team’s intended design and construction strategies as they pertain to LEED. Precertification does not guarantee certification, but can be a useful tool in determining how, once complete, a core and shell building may fare in a LEED review. For more information on Precertification, consult the LEED for Core & Shell reference guide.

Applications for precertification of LEED Core & Shell 2009 projects must be submitted through LEED Online (v3) as described below; applications for precertification of LEED CS v2 will not use LEED Online and must instead be submitted in hardcopy as described below.

Precertification under LEED Core & Shell 2009

Application for Precertification Review (LEED 2009)

Prior to substantial project completion the Project Administrator shall submit, via LEED Online, a complete application for Precertification Review. A complete application for Precertification Review must include payment of the Precertification Review fee and complete submittal documentation for 1) all prerequisites and 2) enough credits to result in the minimum number of points required for certification. Preliminary Precertification Review (LEED 2009) GBCI shall review and return comments for all credits and prerequisites included in the application for Precertification Review. GBCI shall designate each credit and prerequisite reviewed as "anticipated," "pending,” or "denied." GBCI targets (but does not guarantee) delivery of the Preliminary Precertification Review within twenty-five (25) business days of receipt of a completed application. Response to Preliminary Precertification Review (LEED 2009)



Within twenty-five (25) business days of GBCI’s delivery of the Preliminary Precertification Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Precertification Review. In this response the Project Administrator may elect to accept the results of the Preliminary Precertification Review as final, or they may elect to respond to review comments with additional information or documentation. New credits or prerequisites may be included with the response to Preliminary Precertification Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity to clarify documentation submitted for new credits or prerequisites. Final Precertification Review (LEED 2009) GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Precertification Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Precertification Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the final Precertification Review (see section 14. Appeals Policy).

Precertification under LEED CSv2

LEED Core & Shell v2 projects do not use LEED Online for the application or review process. Applications submitted for review outside of LEED Online follow the same progression as the Precertification Review outlined above. All documentation requirements and timelines are identical with the following exceptions:


a. Green Building Certification Institute Attn: LEED Certification Manager 2101 L Street NW, Suite 500 Washington, DC 20037

2) A complete paper submittal includes the following information:

a. LEED registration information, including 8-digit project ID number, project contact, project type, project size, projected number of occupants, projected date of construction completion, etc.

b. Core and Shell Appendix 3: Project Scope Checklist c. Declaration of Intent Letter, signed by Owner or Developer d. An overall project narrative including at least three project highlights. e. The LEED Project Checklist/Scorecard indicating projected prerequisites and credits and

the total score for the project. f. Documentation for all prerequisites and all attempted credits. g. Payment of the appropriate certification review fee (see Certification Fees to the right).

3) All communication from GBCI to the project team will occur via email, directed to the Project

Administrator. This includes all review comments and prerequisite and credit designations.

Certification

Split Review: Separate Design and Construction Reviews (LEED-Online Version 2 or Version 3)

Application for Design Review

Prior to substantial project completion (defined as the date on which the building receives a Certificate of Occupancy or similar official indication that it is ready for use), the Project



Administrator or Project Manager (hereafter “Project Administrator”) shall submit, via LEED Online, a complete application for Design Review. A complete application for Design Review must include payment of the Design Review fee and complete submittal documentation for at least one design credit or prerequisite.



Final Design Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Design Review. GBCI shall designate each credit and prerequisite reviewed as “anticipated” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Design Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the Final Design Review (see section 14. Appeals Policy).

Application for Construction Review Following completion of the Design Review phase and within 2 (two) years of substantial project completion, the Project Administrator must submit, via LEED Online, a complete application for Construction Review. A complete application for Construction Review must include payment of the Construction Review fee and complete submittal documentation for 1) all prerequisites not reviewed during the Design Review phase, 2) at least one construction credit. The application for Construction Review may also include complete submittal documentation for new design credits not reviewed during the Design Review phase. The application for Construction Review must contain enough credits (including the credits marked as ‘anticipated’ during the final Design Review) to result in the minimum number of points required for certification (as specified in the rating system).

Preliminary Construction Review GBCI shall review and return comments for all credits and prerequisites included in the application for Construction Review. GBCI shall designate each credit and prerequisite reviewed as "awarded," "pending,” or "denied." Additionally, credits marked as “anticipated” during the Design Review will be marked as either “awarded” or “denied.” All credits and prerequisites that were designated as “anticipated” during the design final review phase may be determined to be “awarded” at the conclusion of the full and final construction review provided the project application has not been altered in a manner that effects the satisfactory completion of such credits and prerequisites and no information submitted during any subsequent review phase calls into question the validity of information upon which such earlier determinations were based. GBCI targets (but does not guarantee) delivery of the Preliminary Construction Review within 25 business days of receipt of a completed application.

Response to Preliminary Construction Review



Within twenty-five (25) business days of GBCI’s delivery of the preliminary Construction Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Construction Review. In this response the Project Administrator may elect to accept the results of the Preliminary Construction Review as final, or they may elect to respond to review comments with additional information or documentation. Unlike the Response to Preliminary Design Review, new credits or prerequisites may be included with the response to Preliminary Construction Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity for project teams to clarify documentation submitted for new credits or prerequisites.

Final Construction Review GBCI shall review and return comments for all credits and prerequisites included in the response to the Preliminary Construction Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Construction Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the Final Construction Review (see section 14. Appeals Policy).

Standard Review: Combined Design and Construction Review (LEED-Online v2 or v3)

Application for Standard Review Within two (2) years of substantial project completion the Project Administrator must submit, via LEED Online, a complete application for Standard Review. A complete application for Standard Review must include payment of the Standard Review fee and complete submittal documentation for 1) all prerequisites and 2) enough credits to result in the minimum number of points required for certification.

Preliminary Standard Review

GBCI shall review and return comments for all credits and prerequisites included in the application for Standard Review. GBCI shall designate each credit and prerequisite reviewed as "anticipated," "pending,” or "denied." GBCI targets (but does not guarantee) delivery of the Preliminary Standard Review within twenty-five (25) business days of receipt of a completed application.

Response to Preliminary Standard Review Within twenty-five (25) business days of GBCI’s delivery of the Preliminary Standard Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Standard Review. In this response the Project Administrator may elect to accept the results of the Preliminary Standard Review as final, or they may elect to respond to review comments with additional information or documentation. New credits or prerequisites may be included with the response to the Preliminary Standard Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity for project teams to clarify documentation submitted for new credits or prerequisites.

Final Standard Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Standard Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Standard Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the final Construction Review (see section 14. Appeals Policy).

CS 13.4 Credit Review Policy for Split Reviews: The review process is designed to provide each credit with a maximum of two (2) rounds of review via the preliminary and final submittal processes. If a credit is marked as “Awarded” during the preliminary round of review, the project team is not required to



re-submit. However, if the project team feels additional clarifications are necessary and/or the project team wishes to pursue a higher point threshold or a different compliance option or path, the project team may resubmit an “Awarded” credit for a final round of review. Design phase credits that have been marked as “Anticipated” will automatically be subject to a final review for the purposes of verifying accurate and sufficient documentation. Any credits submitted to GBCI for the first time during the final round of the Design Review phase will receive a final round of review during the preliminary round of the Construction Review phase—they will not receive a third round of review during the final round of the Construction Review. Any credits submitted to GBCI for the first time during the final round of a Construction or Standard Review phase will only receive one round of review, and subsequently be marked as “Awarded” or “Denied.”


CS 13.4.1 Credit Verification and Status Update Policy: For credits marked as marked as “Awarded” or “Anticipated” after the conclusion of two rounds of Design review – if, a Design phase credit is marked as “Awarded” or “Anticipated” prior to the start of the Construction Review, and any changes have occurred to the project that might affect the point total previously awarded, GBCI must be informed. In such cases, documentation for previously awarded credits must be updated to accurately reflect the project and submitted for re-review to ensure continued compliance with credit requirements. Documentation update requirements vary depending on the rating system and project specific circumstances. Project Teams must revise every aspect of the credit documentation necessary to demonstrate continued compliance. The review team reserves the right to request additional information or require an appeal if the revised documentation submitted is inadequate to verify continued compliance for a previously “Anticipated” credit.

CS 13.4.2 Innovation in Design Submittal Policy: If marked “Denied” after two rounds of review, Innovation in Design credits can be resubmitted for the purposes of attempting a strategy different from the original submission.




LEED FOR EXISTING BUILDINGS, OPERATIONS AND MAINTENANCE

This appendix to the LEED Certification Policy Manual contains additional policies and definitions applicable only to projects registered under the LEED for LEED for Existing Buildings, Operations and Maintenance family of rating systems. The following green building rating systems are subject to the requirements of this appendix:

Rating System Rating System Abbreviation LEED 2009 for Existing Buildings: Operations and Maintenance LEED-EB:O&M 2009 LEED for Existing Buildings: Operations and Maintenance LEED-EB:O&M LEED for Existing Buildings: Version 2.0 LEED-EB v2.0

Unless explicitly referenced, all rating system versions in this appendix will be collectively referred to as LEED for Existing Buildings. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: LEED for Existing Buildings, Operations and Maintenance Rating System-Specific Policies

3. LEED Certification Policy Manual Updates & Revisions Policy 56 7. LEED Online 56 12. Registration Cancellation Policy 56 13. Application Submission & Review Policies 57



3. LEED CERTIFICATION POLICY MANUAL UPDATES AND REVISIONS POLICY

EB 3.1-2 Impact of Policy Manual Updates & Revisions: Projects applying for recertification under LEED for Existing Buildings: Operations & Maintenance must be registered as a new project. Projects applying for recertification are treated in identical fashion to new projects applying for first-time certification. As such, recertification applications are subject to all LEED certification program requirements and deadlines applicable to newly registered projects, including the process of executing all applicable registration agreements and certification review agreements. The date of registration should be considered with respect to sections 3.2 and 3.3 of the General Policies section of this manual, not the date of the project’s initial registration with GBCI. See Section EB 13.4.1 for details regarding recertification.

7. LEED ONLINE

EB 7.1-2 Certification Application Platform: The certification process for LEED for Existing Buildings projects will occur in either LEED Online Version 3, LEED Online Version 2, or in some cases a paper application, depending upon the version of the rating system under which the project has been registered.

The following table lists each version of LEED for Existing Buildings and the availability of each application and review format as indicated by a “Yes” in the table.

Table EB 7.1-2: LEED-EB:O&M Rating System Versions & Certification Application Platforms




LEED EB:O&M 2009 Yes No No LEED EB:O&M No Yes No LEED-EB v2.0 No Yes Yes* * Only EBv2.0 projects registered prior to November 2005 are eligible to apply for certification using Excel Letter Templates

EB 7.1.2 Projects Not Using LEED Online (Paper/CD Applications): LEED EBv2.0 projects registered prior to November, 2005 are eligible to apply for certification via a paper (or CD) application. In these cases, documentation will be facilitated via the LEED Letter Templates, a resource available for download from USGBC as a Microsoft Excel document at www.usgbc.org. See Section 13: Application Submission and Review Policy of this appendix for additional information.


EB 12.2 Important Dates: LEED for Existing Buildings

Table EB 12.2 Rating System Dates: LEED for Existing Buildings

The table below lists important dates and statuses for each version of LEED for Existing Buildings.


EB: O&M 2009 Registration Open Apr 27, 2009 TBD* TBD* EB: O&M 2008 Registration Closed Mar 8, 2008 June 27, 2009 June27, 2015

EB v2.0 Registration Closed Nov 17, 2004 May 31, 2008 May 31, 2014





EB 12.2.1 Certification Application Deadlines Based on Rating System Sunset Date

Existing Buildings: Operations and Maintenance Initial Certification Review (Hereafter ‘Initial Certification Review’): Applications for Preliminary Initial Certification Review shall be submitted on or before the rating system Sunset Date for the rating system under which that project is registered. If a project’s application for the Preliminary Initial Certification Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.

Existing Buildings: Operations and Maintenance Recertification Review (Hereafter ‘Recertification Review’): Applications for Recertification Review shall be submitted on or before the rating system Sunset Date for the rating system under which that project is registered. All LEED for Existing Buildings recertification projects must be registered under the LEED for Existing Buildings Rating System version that is current at the time of the recertification registration. Please note that recertification project teams may opt to use a newer version of LEED for Existing Buildings if one becomes available during the recertification application process (i.e., if a project registered for recertification before LEED for Existing Buildings: Operations & Maintenance was required, it can upgrade to the new rating system version). If a project’s application for the Preliminary Recertification Review is not submitted in accordance with these terms, the corresponding project registration will be cancelled and such project is no longer eligible for certification under the version of the rating system for which it is registered. No discounts, refunds, or fee waivers will be issued.


EB 13.2 LEED Project Certification Agreement: The stated requirements in the general policies related to the LEED Project Certification Agreement are only applicable to projects registered under the LEED 2009 for Existing Buildings: Operations and Maintenance rating system and newer only.

EB 13.4 Application and Review Process: Projects registered under the LEED for Existing Buildings rating system must submit the entire application for certification or recertification at once (via an initial certification review or a recertification review)—there is no split design and construction review path available.

The following provisions articulate the initial certification review and recertification review process pathways. These review pathways are available in both LEED Online Version 3 and LEED Online Version 2.

Initial Certification Review: Any first-time certification application to the LEED for Existing Buildings: Operations & Maintenance program is considered an initial LEED for Existing Buildings: Operations & Maintenance certification. This includes applications for both buildings never certified under LEED and buildings previously certified under LEED for New Construction, LEED for Schools, or LEED for Core & Shell.

Performance Period Prior to applying for certification or recertification, a project must complete a performance period. LEED for Existing Buildings: Operations & Maintenance certification application must include performance data for both the building and the site over the performance period. The performance period may not have any gaps, defined as any period of time longer than 1 full week. For the initial LEED for Existing Buildings: Operations & Maintenance certification, the performance period is the most recent period of operations preceding certification application; it must be a



minimum of 3 months for all prerequisites and credits except Energy and Atmosphere Prerequisite 2 and Credit 1, which have longer minimum durations of 1 year.

At the project team’s option, the performance period for any prerequisite or credit may be extended to a maximum of 24 months preceding certification application. Consistent start times and durations of the performance periods for each prerequisite and credit are preferred but not strictly necessary. However, all performance periods must overlap and terminate within 1 week of each other.

Application for Standard Review Within sixty (60) calendar days of conclusion of the Project performance monitoring period, the Project Administrator shall submit, via LEED Online, a complete application for Initial Certification Review, in the format of the Standard Review. A complete application for Standard Review must include payment of the Standard Review fee and complete submittal documentation for 1) all prerequisites, and 2) enough credits to result in the minimum number of points required for certification.


Response to Preliminary Standard Review Within twenty-five (25) business days of GBCI’s delivery of the Preliminary Standard Review, the Project Administrator must submit, via LEED Online, a response to the Preliminary Standard Review. In this response the Project Administrator may elect to accept the results of the Preliminary Standard Review as final, or they may elect to respond to review comments with additional information or documentation. New credits or prerequisites may be included with the response to Preliminary Standard Review, however it should be noted that GBCI will only review such documentation once, there will not be an opportunity to clarify documentation submitted for new credits or prerequisites.

Final Standard Review GBCI shall review and return comments for all credits and prerequisites included in the response to the preliminary Standard Review. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the Final Standard Review within fifteen (15) business days of receipt of a completed application. The Project Administrator shall then accept or appeal the Final Review (see section 14. Appeals Policy).

Recertification Review: Any LEED for Existing Buildings: Operations & Maintenance application for a building previously certified using LEED for Existing Buildings: Operations & Maintenance is considered a LEED for Existing Buildings: Operations & Maintenance recertification. These buildings can apply for recertification as frequently as each year but must file for recertification at least once every 5 years to maintain their LEED for Existing Buildings: Operations & Maintenance status. The project must recertify all prerequisites but may drop previously earned credits or add new credits as desired.

EB 13.4.1 Recertification Application Policies: The following policies apply to the LEED for Existing Buildings recertification application process only:

A. Prerequisites and credits based only on policies and plans need only provide the original policy or plan, highlight any updates to it, and confirm that it has been in effect for the entire recertification period.



B. Design & Construction streamlined paths in the LEED Online forms, where available, may be used for credits that were earned in the previous EB: O&M certification. This may be done even if the project did not use the D&C streamlined path in the previous LEED EB: O&M certification.

C. One-time assessments required for certain credits (occupant survey, transportation survey, outdoor air measurements, waste audit, etc.) do not have to be conducted again if they occurred within 24 months before end of the recertification performance period.

D. Compliance with EAp2/c1 may be shown by generating an Energy Star SEP for each year of the recertification period and averaging them. Prorate any partial years in the average according to their duration. Alternatively, projects may document points in EAc1 based on only the most recent year of the recertification period if EAp2 compliance can be demonstrated for the entire recertification period.

E. The performance period for credits based on ongoing performance (solid waste management, green cleaning, etc.), if the credit was attempted in the initial application, must begin within 90 days of the initial certification date and last through the entire recertification period.

F. Any and all facility alterations or additions that occur during the recertification period must be included in applications for MRc3, MRc9 and IEQc1.5, regardless of whether these credits were attempted or earned in the initial certification. If facility alterations or additions affect compliance with any other credits (such as IEQc2.4), compliance must be documented after the alteration or addition is complete.

G. All other credits added for recertification that were not attempted for the initial certification may use standard initial certification performance periods (i.e. minimum three months), but may elect to use the entire recertification period at the project team’s discretion.

EB 13.4.2 Consequence of Failure To Recertify: Applications for recertification must be filed at least once every five (5) years to maintain the certification for any project that is certified under any LEED for Existing Buildings rating systems. If a project is not submitted for recertification by the 5 year mark, the next application will be considered an initial certification application. If a project is not recertified at the conclusion of a recertification review, the project will no longer be a certified project. If this occurs, the rights and license to use the intellectual property identified in Section 19: Trademarks Policy: Branding, Logos & Plaques of this Manual are automatically revoked.

EB 13.5 Paper/CD Applications (Excel Letter Templates): Some older projects are not required to use LEED Online for the application or review process (see Table EB 7.1-2a: LEED-EB Rating System Versions & Certification Application Platforms to determine eligibility) Applications submitted for review outside of LEED Online (Excel Letter Templates) follow the same progression as the Standard Review outlined above. All documentation requirements and timelines are identical with the following exceptions:



2) A complete paper submittal includes the following information:



1. LEED registration information, including 8-digit project ID number, project contact, project type, project size, number of occupants, date of construction completion, etc.



the right).

All communication from GBCI to the project team will occur via email, directed to the Project Administrator. This includes all review comments and prerequisite and credit designations.

EB 13.5 Innovation in Operations Credit Submittal Policy: If marked “Denied” after two rounds of review, Innovation in Operations credits can be resubmitted for the purposes of attempting a strategy different from the original submission.




LEED FOR NEIGHBORHOOD DEVELOPMENT This appendix to the LEED Certification Policy Manual contains additional policies and definitions applicable only to projects registered under the LEED for Neighborhood Development family of rating systems. The following green building rating systems are subject to the requirements of this appendix:

Rating System Rating System Abbreviation LEED 2009 for Neighborhood Development LEED-ND 2009

Unless explicitly referenced, all rating system versions in this appendix will be collectively referred to as LEED for Neighborhood Development. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: LEED for Neighborhood Development Rating System-Specific Policies

5. Minimum Program Requirements (MPRs) 62 9. Project Registration 62 10. Formal Inquiries 64 12. Registration Cancellation Policy 64 13. Application Submission & Review Policies 65 Smart Location and Linkage (SLL) Prerequisite Review Full-Stage Submission & Review Policies 15. Expiration Policy 70 19. Trademarks Policy: Branding, Logos & Plaques 71



5. MINIMUM PROGRAM REQUIREMENTS

ND 5.1 Minimum Program Requirements: The LEED 2009 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.

9. PROJECT REGISTRATION ND 9.1 Registration Process: Because LEED for Neighborhood Development projects may have significantly

longer entitlement and construction periods than projects based on a single building, the registration and application review processes operate differently for such projects. LEED for Neighborhood Development projects are registered and reviewed based on a three-stage registration and application review process.

ND 9.2 Three-Stage Registration System: Under the LEED for Neighborhood Development certification program there are three stages during which a project may be registered and an application may be submitted to GBCI for review. A project may be entered into the program at any stage depending on how far along such project is in the development process. In order for a project to be registered at a particular stage, the project team must demonstrate that the project is eligible for such registration based on the following criteria:

Stage 1 – An application for Stage 1 may only be submitted for those projects that have achieved land use entitlement for no more than 50% of the square footage of all buildings within the project boundary, whether new or renovated, as measured on an aggregate basis. Projects with more than 50% of new and/or renovated square footage already entitled are not eligible for Stage 1 registration.

Stage 2 – An application for Stage 2 may only be submitted for those projects that have achieved land use entitlement by public authorities with jurisdiction over the project for 100% of the square footage of all buildings within the project boundary, whether new or renovated. The project may be under construction or portions completed, but may not have more than 75% of its total building square footage constructed, whether new or renovated.

Stage 3 – An application for Stage 3 may only be submitted for those projects that are completed. A project is complete when: i) the appropriate regulatory authorities have issued certificates of occupancy for all buildings within the project and have accepted all infrastructure within the project; ii) every aspect of the project that pertains to a prerequisite has been completed; and iii) every aspect of the project that pertains to a credit that is being pursued has been completed.

The phrase “land-use entitlement” refers to the existing or granted right to use property for specific types and quantities of residential, commercial, industrial or other land-uses. To demonstrate compliance with this requirement the project must provide documentation evidencing that it holds a land-use entitlement by right or that such land-use entitlement as relied upon in the project plan has been granted to the project through all required federal, state or local government regulatory approval process. In this context “by right” is meant to indicate that the development as planned conforms with the laws and regulations related to permitted land-use in the jurisdiction under which the project is to be constructed such that additional land-use approvals are unnecessary as a matter of law. For these purposes, comprehensive, sector, and/or master plan amendments do not equate to a land-use entitlement.

While a project team must select which stage it intends to submit under at the time of registration, a project must demonstrate that it has achieved the specified level of land-use entitlements for the particular stage at the time that the project’s application is submitted to GBCI for review. To the extent a project team selects the incorrect stage, or, if prior to submission the level of land-use entitlements awarded to the project changes, project teams may transfer to the correct stage at no additional cost; however, this process requires that the project team complete alternative and/or



additional forms in order to prepare a complete application. Application submission deadlines and/or registration cancellation policies shall not be extended or waived on the grounds that a project has completed an application for the incorrect stage.

ND 9.3 Resources Available Upon Registration: Upon completing the LEED for Neighborhood Development registration process, a project team is provided with the following resources further defined herein: i) an optional and complimentary one-hour introductory teleconference; ii) access to all available submittal forms; and iii) the ability to submit Credit Interpretation Requests.

ND 9.4 Registration of Large Projects: Due to the potential hardship larger projects may have in meeting the requirements in the LEED for Neighborhood Development rating system, such as the distance and proximity requirements, GBCI encourages the separation of projects larger than 320 acres into multiple LEED for Neighborhood Development projects each consisting of 320 acres or less.

ND 9.5 Registration Fees: Upon registering a project, the project team must remit the LEED for Neighborhood Development project registration fee. This fee is not discounted based on membership in USGBC. The LEED for Neighborhood Development project registration fee is assessed in accordance with the fee structure outlined in the pricing appendix of this document.

ND 9.6 Registration for Subsequent Stages: To the extent a Project team is seeking to participate in the LEED for Neighborhood Development program at multiple stages, such project team must enter LEED Online and complete the registration process, including the acceptance of the LEED Project Registration Agreement and the GBCI Certification Policy Manual under the then current terms offered by GBCI at the time of registration for each subsequent stage, including the payment of any and all applicable registration fees.

The acceptance of the Registration Agreement and referenced documents at a subsequent stage shall supersede the agreements and all related documents that pertain to project registration and the review of a project application for any and all prior stages including the requirements of the previous rating system version. Accordingly, LEED for Neighborhood Development projects that are registered at a subsequent stage are NOT grandfathered into any version of the LEED for Neighborhood Development rating system based on the registration of the project at the initial or immediately previous stage. If a project is registered and submitted for review at a subsequent stage, that project must be submitted in accordance with the requirements of the most recent version of the LEED for Neighborhood Development Rating System at the time of such registration.

REGARDLESS OF A PRIOR DETERMINATION BY GBCI TO APPROVE OR PRECERTIFY A PROJECT PLAN AT AN EARLIER STAGE, IF A PROJECT IS REGISTERED AT A SUBSEQUENT STAGE FOLLOWING THE RELEASE OF AN UPDATED VERSION OF THE LEED FOR NEIGHBORHOOD DEVELOPMENT RATING SYSTEM, THAT PROJECT MUST DEMONSTRATE COMPLIANCE WITH THE REQUIREMENTS OF THE MOST CURRENT VERSION OF THE LEED FOR NEIGHBORHOOD DEVELOPMENT RATING SYSTEM AT THAT TIME TO ACHIEVE PRECERTIFICATION OF THE PROJECT PLAN OR CERTIFICATION AT A SUBSEQUENT STAGE.

The following example is provided for the purposes of clarity: A project achieves Stage 1 (conditional approval) under LEED 2009 for Neighborhood Development. Prior to registering for Stage 2 (Pre-certification), registration for the 2009 version of LEED for Neighborhood Development is closed and registration for the 2012 version becomes available. If the project is to be registered for Stage 2 (Pre-certification), such registration would need to be completed under the LEED 2012 for Neighborhood Development, and subsequently the application for Stage 2 (Pre-certification) would be reviewed by GBCI for compliance with the requirements of the 2012 rating system version. For the Stage 2 review, the project would not be grandfathered under the LEED 2009 requirements.



ND 9.7 Fee Waiver for Registration at Subsequent Stages: To the extent a project has successfully achieved an official designation of “Conditional Approval of a LEED for Neighborhood Development Plan” or “Pre-Certified LEED for Neighborhood Development Plan” from GBCI at an earlier stage, and such designation is current and in good standing in accordance with the timeframes specified in the Expiration Policy section of this appendix, GBCI hereby waives the registration fee to the extent a project is at this time registering for a subsequent stage. GBCI reserves the right to revoke this fee waiver at any time and without notice as it pertains to future registrations.

ND 9.8 Complementary One-Hour Introductory Teleconference: Upon completion of registration for a LEED for Neighborhood Development project, the project team may elect to participate in a one-hour introductory teleconference for the purposes of reviewing the LEED for Neighborhood Development 2009 application and submittal requirements. This call is voluntary, but strongly recommended. This call provides the project team the opportunity to ask questions related to the LEED for Neighborhood Development certification program as well as to discuss any overarching issues regarding its project.

GBCI will provide a LEED for Neighborhood Development project administration representative and a LEED for Neighborhood Development application reviewer for this teleconference.

The Project Administrator may contact GBCI directly to schedule the teleconference by contacting GBCI customer service via http://www.gbci.org/org-nav/contact.aspx. GBCI shall maintain a calendar of available time slots during which the project administrator can schedule a call. Teleconferences will be scheduled on a first-come first-serve basis. Project teams are strongly encouraged to participate in the call no later than 90 (ninety) days after project registration. This call must take place prior to the first submission of a LEED for Neighborhood Development application to GBCI for either the SLL Prerequisite Review, or a Preliminary Stage 1, 2, or 3 Review, whichever occurs first. To the extent the project team completes such submission prior to the schedule date for the teleconference it thereby waives its right to schedule and participate in the conference call for that stage.

The project administrator may reschedule the call up to six (6) calendar days prior to the scheduled appointment. If for any reason the project team is unable to attend such call without the notice herein specified they thereby waive its right to schedule and participate in the conference call for that stage.

Each project team is allowed to participate in only one call per project per stage. If a project team seeks additional information related to a particular program requirement, it is encouraged to submit a Credit Interpretation Request in accordance with the terms of this manual.

At this time all calls are administered in the English language. Please contact a representative of GBCI via http://www.gbci.org/org-nav/contact.aspx if you require special accommodations.


ND 10.1 Formal Inquiry Content: LEED for Neighborhood Development project teams may include a site plan with any formal inquiry provided that the document is relevant and necessary to illustrate a specific inquiry. The site plan must be provided electronically in .pdf format.

ND 10.2 Formal Inquiry Submittal Process: Formal inquiries may be submitted with regard to any LEED for Neighborhood Development project that is currently registered and in good standing.

12. REGISTRATION CANCELLATION POLICIES ND 12.1 Rating System Sunset Policy: The Rating System Sunset Policy does not pertain to projects

registered under the LEED for Neighborhood Development rating system.

ND 12.2 Deadline to Submit A Project Application Following Project Completion: Applications for a Stage 3 Certified Neighborhood Development shall be submitted to GBCI no later than three (3) years





after the Project Completion Date. A project is complete when it has achieved Certificates of Occupancy for all relevant buildings within the project, or similar official indication that such buildings are fit and ready for use, and acceptance has been granted by all public authorities with jurisdiction for all relevant infrastructure constructed within the project.

ND 12.3 Cancellation Due To Inactivity: Applications for a Stage 1, Stage 2, or Stage 3 review shall be submitted to GBCI no later than three (3) years after the date of project registration for that stage, OR, to the extent a project team elects to participate in a SLL Prerequisite Review, one (1) year after the date of delivery by GBCI of the Final SLL Prerequisite Review, whichever occurs later. If a project application is not submitted before this date, the project registration for such project shall be canceled by GBCI.

ND 12.4 Effect of Cancellation: If registration is canceled for a LEED for Neighborhood Development project, that project shall be removed from the LEED Project Directory, and the project forms and all information contained therein shall be removed from LEED Online. No refunds of any fees will be provided in the instance that project registration is canceled in accordance with these terms.

If an owner seeks to achieve (i) LEED certification, (ii) an official designation of Conditional Approval of a LEED for Neighborhood Development Plan, or (iii) an official designation of Pre-Certified LEED for Neighborhood Development Plan, in relation to a project for which registration is canceled due to inactivity, such owner must register the project as a new project at the appropriate stage of review under the most recent version of the LEED for Neighborhood Development rating system.

If a registration for a LEED for Neighborhood Development project has been canceled as a result of a failure on behalf of the project team to submit a project application within a certain amount of time following project completion, such project may no longer participate in the LEED certification program. However, individual buildings contained within the canceled project may be registered under the appropriate current rating system for which registration remains open.

ND 12.5 Extensions: In its sole discretion, GBCI will consider granting extensions of required timelines to a project that is able to demonstrate hardship in meeting such deadlines and cancellation policies based on extenuating circumstances, due to size or complexity of the project.

13. APPLICATION SUBMISSION & REVIEW POLICIES ND 13.1 Application Submission & Review Policies Overview: In accordance with Section 5 of this

LEED for Neighborhood Development Program Specific Appendix, projects participating under the LEED for Neighborhood Development program may be registered and reviewed at three distinct stages in the development process. In addition, during the initial stage for which a project is registered, the project team may submit the section of the project application pertaining to the Smart Location and Linkage (SLL) Prerequisites for review prior to submission of a complete application. The following policies detail the processes and timelines related to the submission and review of project applications at these three distinct stages as well as the submission of an application for a review of the SLL Prerequisites.

ND13.1.2 Owner Information Post-Certification: Changes in owner or owner contact information must be communicated to GBCI for as long as the project remains in good standing.

SMART LOCATION AND LINKAGE PREREQUISITE REVIEW ND 13.2 Smart Location and Linkage Prerequisites: The LEED for Neighborhood Development Rating

System contains a unique category of prerequisites and credits referred to as Smart Location and Linkage (“SLL”). This category focuses on the selection of sites that minimize the adverse environmental effects of new development and avoid contributing to sprawl and its consequences. This category contains five prerequisites which form the base of a LEED for Neighborhood Development type development.



ND 13.3 SLL Prerequisite Review Option: Upon completing the registration process, the project team may select an optional submittal and review path that allows for a preliminary determination as to whether a project site complies with the applicable prerequisites. The SLL Prerequisite Review consists of a preliminary and final review of the section of the application pertaining to the SLL Prerequisites of the applicable LEED for Neighborhood Development Rating System version. All determinations thereof are subject to appeal. This SLL Prerequisite Review option can be utilized only once, and only during the initial stage under which a project is registered.

To procure a SLL Prerequisite Review, a project team must complete and submit the portion of its application relating to SLL prerequisites and submit the same to GBCI through LEED Online. To exercise this option, this submission must occur prior to the date occurring eighteen (18) months after the date of registration. If a project team elects not to participate in an SLL Prerequisite Review, or is unable to submit such portion of its application to GBCI within the specified time period, the project team must follow the standard full-stage LEED for Neighborhood Development project application review path.

ND 13.4 SLL Prerequisite Review Process: The review of an application for the purpose of conducting an SLL Prerequisite Review shall proceed as follows:

Application for Smart Location & Linkage (SLL) Prerequisite Review To submit an application for SLL Prerequisite Review, the owner or project administrator must elect to do so within LEED Online and submit complete documentation for each of the five Smart Location & Linkage Prerequisites. Upon receipt of such documentation, GBCI shall provide a LEED 2009 Project Application Review Agreement in electronic form that must be signed by the owner and returned to GBCI with payment of all applicable fees. This agreement must be returned within sixty (60) days of receipt of the same by the project team or such submission shall be canceled. Prior to the commencement of a review, the owner or project administrator must return a fully executed LEED 2009 Project Application Review Agreement along with all applicable fees to GBCI.

Preliminary Review for Smart Location & Linkage Prerequisite Review GBCI shall review and return comments for all prerequisites included in the application for the SLL Prerequisite Review. GBCI shall designate each reviewed prerequisite as "anticipated," "pending,” or "denied." GBCI endeavors to deliver a Preliminary SLL Prerequisite Review within twenty (20) business days of receipt of a completed application.

Response to Preliminary Review for Smart Location & Linkage Prerequisite Review Within twenty (20) business days of GBCI’s delivery of the Preliminary SLL Prerequisite Review, the owner or project administrator may submit a response to the Preliminary SLL Prerequisite Review. This response must include revised documentation for any attempted prerequisite marked as ‘pending’ or ‘denied’ during the Preliminary SLL Prerequisite Review.

Final Review for Smart Location & Linkage Prerequisite Review GBCI shall review and return comments for the prerequisites included in the response to the Preliminary SLL Prerequisite Review. GBCI shall designate each credit and prerequisite reviewed as “anticipated” or “denied.” GBCI endeavors to deliver a Final SLL Prerequisite Review within twenty (20) business days of receipt of a completed application. The owner or project administrator shall then accept or appeal the Final SLL Prerequisite Review.

ND 13.5 SLL Prerequisite Review Results: GBCI does not provide an official designation or certificate recognizing that a project has successfully demonstrated compliance with the SLL Prerequisites until the conclusion of a full-stage review. Further, the designation of “anticipated” shall not serve as a binding decision for the purposes of a complete final review. Participating in an SLL prerequisite review and receiving a designation of “anticipated” with regard to any or all SLL Prerequisites does



not guarantee award of the same at the conclusion of a full-stage review. SLL prerequisites that were designated as “anticipated” may be determined to be “awarded” at the conclusion of the full and final certification review provided the project application has not been altered in a manner that effects the satisfactory completion of such prerequisites and no information submitted during such full-stage review calls into question the validity of information upon which such earlier determinations were based.

If at the conclusion of the Final Review for the SLL Prerequisite Review process, and any applicable appeal thereof, it is determined that a project does not meet the SLL prerequisites as documented, the project team is eligible to submit new documentation pertaining to these prerequisites with the application for the initial full-stage review, provided that all other requirements for such application are satisfied.

ND 13.6 SLL Prerequisite Review Appeals: GBCI’s determination as to the satisfaction of the SLL prerequisites as reflected in the final review may be appealed in accordance with the provisions reflected in the general policies section of this manual pertaining to appeals.

ND 13.7 SLL Prerequisite Review Cancellation: To the extent a project selects to undergo an SLL Prerequisite Review and is unable or unwilling to submit the project information necessary to complete an SLL Prerequisite Review application prior to the deadlines identified in this section of this manual, GBCI shall cancel the remaining SLL Prerequisite Review processes. If an SLL Prerequisite Review is canceled as a result of inaction on the part of the project team, no refund of any fees related to Project registration or the SLL Prerequisite Review shall be provided.

ND 13.8 Expedited SLL Prerequisite Reviews: Expedited SLL Prerequisite Reviews shall occur in accordance to the application review guidelines outlined above. GBCI endeavors to deliver any expedited Preliminary and Final SLL Prerequisite Review in 50% less time than stated for a customary SLL Prerequisite Review. Applicants must contact GBCI Customer Service at http://www.gbci.org/org-nav/contact.aspx at least 10 (ten) business days prior to the submission of an expedited review to confirm that an expedited application can be accepted at any given time.

ND 13.9 Fees Related to the SLL Prerequisite Review: Upon selecting to undergo an SLL Prerequisite Review, the project team must remit the SLL Prerequisite Review fee to GBCI. This fee is not discounted based on membership in USGBC. The SLL Prerequisite Review fee is a fixed flat fee and does not depend on square footage or acreage. Fees must be remitted to GBCI by credit card at the time of submission, or by check; however, GBCI shall not initiate a SLL Prerequisite Review until payment has been received in full. If payment is not received within 30 days after a project team submits for a SLL Prerequisite Review, such review shall be canceled. Please reference the Pricing Appendices for specifics on GBCI’s fee structure.

FULL-STAGE SUBMISSION & REVIEW POLICIES ND 13.10 Full-Stage Review: In accordance with the section of this LEED for Neighborhood

Development program-specific appendix, under the LEED for Neighborhood Development program, projects can be registered and an application submitted for review at three distinct stages in the development process depending on the land-use entitlements that the project has achieved. The full-stage review of an application at any stage consists of a preliminary and final review of the complete project application to determine compliance with all requirements of the applicable LEED for Neighborhood Development Rating System version.

ND 13.11 Full-Stage Review Process: The review of an application for the purpose of conducting a full-stage review shall proceed as follows:

Application for Stage 1, Stage 2, or Stage 3 Review In accordance with the Stage eligibility requirements, the owner or project administrator shall submit a complete application for Stage 1, Stage 2, or Stage 3 review. The owner or project




administrator is required to update any previously reviewed information in the SLL Prerequisite Review, if pursued, as having ‘changed’ or ‘no change’; previously reviewed information will not be re-reviewed unless the owner or project administrator has designated the information as having changed. A complete application for Stage 1, Stage 2, or Stage 3 review must include payment of all applicable fees (see the section titled ‘Certification Fees’) and submittal documentation (completed for the relevant stage) for all prerequisites and attempted credits.

Preliminary Stage 1, Stage 2, or Stage 3 Review GBCI shall review and return preliminary comments for all prerequisites and credits included in the application for Stage 1, Stage 2, or Stage 3 review. GBCI shall designate each prerequisite and credit reviewed as “anticipated,” “pending,” or “denied.” Prerequisites marked as “anticipated” during the SLL Prerequisite Review, if pursued, will be marked as “awarded” unless new information has been submitted warranting re-review. GBCI shall endeavor to deliver a Preliminary Stage 1, Stage 2, or Stage 3 Review within thirty (30) business days of receipt of a complete application.

Response to Preliminary Stage 1, Stage 2, or Stage 3 Review Within forty-five (45) business days of GBCI’s delivery of the Preliminary Stage 1, Stage 2, or Stage 3 Review, the owner or project administrator may submit a response to the Preliminary Stage 1, Stage 2, or Stage 3 Review. Said response must include revised documentation for any attempted prerequisite or credit marked as “pending” or “denied” during the corresponding Preliminary Stage 1, Stage 2, or Stage 3 review.

Final Stage 1, Stage 2, or Stage 3 Review GBCI shall review and return comments for all prerequisites and credits included in the response to the Preliminary Stage 1, Stage 2, or Stage 3 Review. GBCI shall designate each prerequisite and credit reviewed as “awarded” or “denied.” GBCI endeavors to deliver a Final Stage 1, Stage 2, or Stage 3 Review within twenty (20) business days of receipt of a completed application. The owner shall then accept or appeal the Final Stage 1, Stage 2, or Stage 3 Review.

Transition between the 3 Stages of Approval/Certification Due to the longer scale of the approval and construction of LEED for Neighborhood Development projects, GBCI has established expiration terms between the 3 Stages of Approval/Certification. Please refer to the Expiration Policies section of this appendix for more information.

ND 13.12 Full-Stage Review Results: LEED certification is only conferred in the event a project successfully achieves Stage 3, however GBCI does provide official designations at Stages 1 and 2. The official designations and certification awarded to projects that complete a review at Stage 1, Stage 2, and Stage 3 are as follows:

Conditional Approval of a LEED for Neighborhood Development Plan (Stage 1): As used herein, the phrase “Conditional Approval of a LEED for Neighborhood Development Plan” pertains to Stage 1 of the LEED for Neighborhood Development Rating System, and refers to GBCI’s determination that if a project is completed consistent with its Stage 1 LEED for Neighborhood Development Plan and the accompanying Stage 1 prerequisite and credit submittals provided through LEED Online for a Stage 1 project application, then the completed project should satisfy all prerequisites and achieve a minimum number of points outlined in the LEED for Neighborhood Development rating system such that it should be eligible to receive LEED certification at a particular level, such as LEED Certified, LEED Silver, LEED Gold or LEED Platinum.

Pre-Certified LEED for Neighborhood Development Plan (Stage 2): As used herein, the phrase “Pre-Certified LEED for Neighborhood Development Plan” pertains to Stage 2 of the



LEED for Neighborhood Development Rating System, and refers to GBCI’s determination that if a project is completed consistent with its Stage 2 LEED for Neighborhood Development Plan and the accompanying Stage 2 prerequisite and credit submittals provided through LEED Online for a Stage 2 project application, then the completed project should satisfy all prerequisites and a minimum number of points outlined in the LEED for Neighborhood Development Rating System such that it should be eligible to receive LEED certification at a particular level, such as LEED Certified, LEED Silver, LEED Gold or LEED Platinum.

LEED Certified Neighborhood Development (Stage 3): As used herein, the phrase “LEED Certified Neighborhood Development” pertains to Stage 3 of the LEED for Neighborhood Development Rating System, and refers to GBCI’s determination that a Completed Project, as represented in the LEED certification application submitted to GBCI, satisfies all prerequisites and has achieved a minimum number of points outlined in the LEED for Neighborhood Development rating system to achieve a particular level of LEED certification, such as LEED Certified, LEED Silver, LEED Gold or LEED Platinum.

ND 13.13 Expedited Stage 1, Stage 2, or Stage 3 Reviews: Expedited Stage 1, Stage 2, or Stage 3 Reviews shall occur in the accordance with the application review guidelines outlined above. GBCI endeavors to deliver any expedited preliminary and final Stage 1, Stage 2, or Stage 3 Review in 50% less time than stated for a customary LEED for Neighborhood Development Stage Review. Applicants must contact GBCI customer service at http://www.gbci.org/org-nav/contact.aspx at least 10 (ten) business days prior to the submission of an expedited review to confirm that an expedited application can be accepted at any given time.

ND 13.14 Changes to the Project Boundary: LEED for Neighborhood Development projects must define the “Project Boundary,” in accordance with the definition reflected in the LEED for Neighborhood Development Rating System. Project teams may not alter the Project Boundary between reviews or stages; meaning, the Project Boundary, as represented in an application submitted for a Preliminary SLL Prerequisite Review or a Preliminary Stage 1, Stage 2, or Stage 3 review may not be changed prior to the associated Final review and/or prior to any review occurring at that stage and/or any subsequent stage.

ND 13.15 Effect of Denial of Conditional Approval, Pre-Certification or LEED Certification: To the extent a project fails to achieve an official designation of “Conditional Approval of a LEED for Neighborhood Development Plan,” “Pre-Certified LEED for Neighborhood Development Plan,” or “LEED Certified Neighborhood Development,” such project is determined to be ineligible to participate in the LEED for Neighborhood Development program. Individual buildings contained within the canceled project may be registered under the appropriate current rating system for which registration remains open.

ND 13.16 LEED Project Application Review Fee: Under the LEED for Neighborhood Development program there is a flat fee for projects of less than or equal to twenty (20) acres. For projects larger than twenty (20) acres, the fee charged is based on the flat fee for the first twenty (20) acres and an additional fee for each additional acre. For projects larger than three-hundred and twenty (320) acres, there is a flat fee. The LEED certification application review fee is not discounted based on membership in USGBC. All fees are on a per-project and per-review basis. To the extent expedited reviews are available and a project team elects to participate in an expedited review, such project team must remit a premium fee over and above the total standard review fees due. Please reference the Pricing Appendices for specifics on GBCI’s fee structure.

ND 13.17 Reduced Fees for Multiple-Stage LEED Project Reviews: To the extent a project has successfully achieved an official designation of Conditional Approval of a LEED for Neighborhood Development Plan or Pre-Certified LEED for Neighborhood Development Plan from GBCI at an earlier stage, and such designation is current and in good standing in accordance with the timeframes specified in the Expiration Policy section of this appendix, GBCI shall reduce the LEED certification




application review fee to the extent a project is at this time procuring review for a subsequent stage. GBCI reserves the right to modify or terminate this review fee discount at anytime and without notice as it pertains to the procurement of LEED certification application reviews occurring in the future. Project teams may not bundle fees; meaning, project teams may not remit fees in advance for review services to occur at subsequent stages. Please reference the Pricing Appendices for specifics on GBCI’s fee structure.

15. EXPIRATION POLICY ND 15.1 Expiration Policy: To the extent a project has successfully achieved an official designation of

Conditional Approval of a LEED for Neighborhood Development Plan or Pre-Certified LEED for Neighborhood Development Plan from GBCI at the conclusion of Stage 1 or Stage 2, such designation shall remain current and in good standing for a limited number of years following the grant of such official determination. Project teams may extend the time period under which such official determinations remain valid by registering a project for a subsequent stage under the LEED for Neighborhood Development program.

ND 15.2 Expiration of Conditional Approval of a LEED for Neighborhood Development Plan: If GBCI grants Conditional Approval of a LEED for Neighborhood Development Plan for a project at the conclusion of a Stage 1 review, the Owner or project administrator will have three (3) years from the date GBCI grants such official designation to register the project for Stage 2 or Stage 3.

ND 15.3 Expiration of Pre-Certified LEED for Neighborhood Development Plan: If GBCI grants an official designation of a project indicating it is a Pre-Certified LEED for Neighborhood Development Plan at the conclusion of a Stage 2 review, the Owner or project administrator will have seven (7) years from the date GBCI grants such official designation to register the project for Stage 3.

ND 15.4 Effect of Expiration: To the extent that a project which has successfully achieved an official designation of Conditional Approval of a LEED for Neighborhood Development Plan or Pre-Certified LEED for Neighborhood Development Plan from GBCI at the conclusion of Stage 1 or Stage 2 is not registered for a subsequent stage under the LEED for Neighborhood Development program prior to the date upon which expiration is set to occur, such project shall no longer be held out with such designation(s).

Additionally, in accordance with the various sections of this appendix, such project will no longer be eligible for certain benefits within the LEED for Neighborhood Development certification program including but not limited to waived or discounted fees for registration or review services. Further, such project will be removed from the LEED project database and may no longer be referred to as a LEED for Neighborhood Development project or be represented as holding the applicable official designation by GBCI.

To the extent a project is subject to expiration and dismissed from the LEED for Neighborhood Development program, the project may at a later date re-enter the LEED for Neighborhood Development program by registering under a subsequent stage under the most recent version of the LEED for Neighborhood Development rating system in accordance with the provisions of the registration section of this manual; however, such official designation as awarded by GBCI shall no longer apply in good standing, nor shall any associated benefits (such as discounted fees, if applicable) confer.

ND 15.5 Registration of Projects Subject to Expiration: To the extent a project achieves an official designation of Conditional Approval of a LEED for Neighborhood Development Plan or Pre-Certified LEED for Neighborhood Development Plan though such designation is subject to expiration in accordance with the terms of this manual, such project may continue to participate in the LEED for Neighborhood Development program by registering as a new project and entering the program at a subsequent stage.



If such designation has expired, the project team and/or owner will not be eligible for any benefits (such as discounted fees, if applicable) associated with the holding an official designation in good standing.

ND 15.6 Extensions: In its sole discretion, GBCI will consider granting extensions of required timelines to a project that is able to demonstrate hardship in meeting such timelines based on extenuating circumstances, due to size or complexity of the project.

19. TRADEMARKS POLICY: BRANDING, LOGOS & PLAQUES

ND 19.6 Effect of Revocation or Expiration of Certification: The license herein granted to an owner successful in achieving certification or any other official designation is conditioned on the project’s ongoing status as a LEED certified project in good standing. Accordingly, to the extent a project does not carry a designation of certification in good standing, the permission to use and display such intellectual property related to certification and the LEED program in connection with such project is withdrawn. In the event such permission is withdrawn, the owner must cease the use and display of such marks and logos as soon as commercially feasible.



Program-Specific Appendix

LEED VOLUME PROGRAM

As described in the general policies of the LEED Certification Policy Manual, GBCI has put in place specialized certification programs that provide alternative methods by which participants may certify buildings. Such specialized certification programs rely on certain unique policies that differ from the standard certification program. The LEED Volume Program is one of these specialized certification programs. The Volume Program is designed to provide a streamlined approach to the certification of multiple uniform projects by standardizing the necessary submittal documentation. The Volume Program largely follows the general policies of the standard certification program; however, it differs substantially with regards to the registration and review processes. This difference is largely a result of the prototyping process and bulk pricing inherent to the Volume Program. This appendix identifies these unique policies that must be followed by all volume participants. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: Volume Program Specific Policies

2. Program-Specific & Rating System-Specific Appendices 73 3. LEED Certification Policy Manual Updates & Revisions Policy 73 4. LEED Green Building Rating Systems 73 5. Minimum Program Requirements (MPRs) 74 6. LEED Reference Guides 74 9. Project Registration 74 10. Formal Inquiries 76 11. Documentation Requirements 77 12. Registration Cancellation Policy 78 13. Application Submission & Review Policies 79 14. Appeals Policy 84 15. Expiration Policy 85 16. Certification Challenge Policy 85 Volume Program Glossary 86




VO 2.1 Program-Specific Policies: In addition to the LEED Volume Program specific appendix, the Volume Program relies on several additional guidance documents including, LEED Volume Program: Overview and Process, LEED Volume Program: Submittal Guidance, and LEED Volume Program; Pricing Summary and Audit Rates. These documents further communicate the specific policies and submittal procedures that pertain to the Volume Program.

3. LEED CERTIFICATION POLICY MANUAL UPDATES & REVISIONS POLICY VO 3.1 LEED Certification Policy Manual Updates & Revisions: In addition to the provisions related to

revisions of the Policy Manual stated in general policy 3.1, the guidance documents referenced in Section VO 2.1 of this appendix will also be subject to revisions on an ongoing basis. Volume Participants are required to follow the versions of the policy manual and these referenced guidance documents that are in place at the time of prototype registration. In the alternative, Volume Participants may voluntarily elect to follow the most current version of the policy manual and these guidance documents.

VO 3.2 Impact of Policy Manual Updates & Revisions Posted After Project Registration: Section 3.2 of the general policies does not apply under the Volume Program.

VO 3.3 LEED Certification Policy Manual Updates & Revisions: Section 3.3 of the general policies does not apply under the Volume Program.

4. LEED GREEN BUILDING RATING SYSTEMS

VO 4.3 Currently Offered Rating Systems: Project registration and certification via the Volume Program is currently offered for the following LEED Green Building Rating Systems:

Green Building Design & Construction LEED® 2009 for New Construction and Major Renovations LEED® 2009 for Retail New Construction and Major Renovations

Green Interior Design & Construction LEED® 2009 for Commercial Interiors

LEED® 2009 for Retail Commercial Interiors Green Building Operations & Maintenance LEED® 2009 for Existing Buildings: Operations & Maintenance

VO 4.5 Rating System Updates and Revisions: Each prototype, and all volume projects registered in accordance with such prototype, are required to comply with the version of the rating system that is in place at the time such prototype is registered. Project teams may voluntarily elect to pursue prototype precertification or volume project certification by demonstrating compliance with a revised credit or prerequisite rather than the version of the credit or prerequisite that existed at the time the prototype was registered.

VO 4.6 Rating System Closure: Unlike the standard certification program, under the Volume Program, the closure of registration for a rating system means that no new prototypes may be registered under that particular rating system. In relation to prototypes that are registered under a rating system that is later closed, volume participants may continue to purchase volume project bundles under such prototype for one additional year after the rating system closure date. The purchase of volume project bundles allows a participant to register and submit volume projects within the purchased bundle for review during a period of three years after the date of purchase.

VO 4.7 Impact of Rating System Closure on Projects Already Registered: If a volume participant has already completed the registration process for a prototype or volume project at the time a rating system is closed, such prototype or volume project will not be affected. Similarly, with regards to a prototype



for which a project team has initiated the registration process, but for which payment has not cleared at the time rating system closure occurs, such prototypes shall appear in LEED Online as active prototypes at the time payment is received. Volume projects that pertain to a prototype that was precertified in accordance with a closed rating system may continue to be registered for one year after the closure of the rating system.

VO 4.8 Rating System Sunset Dates: Sunset dates do not apply under the Volume Program.

5. MINIMUM PROGRAM REQUIREMENTS (MPRS)

VO 5.4 Updates & Revisions to the MPRs & Supplemental Guidance: The MPRs and Supplemental Guidance will be subject to revisions and updates from time to time in accordance with the USGBC policies and procedures for addenda to MPRs. GBCI requires volume participants to demonstrate that all prototypes, and all volume projects registered in accordance with such prototypes, comply with the version of the MPRs and Supplemental Guidance that was in place at the time of prototype registration. Volume participants may voluntarily elect to pursue prototype precertification or volume project certification by demonstrating compliance with a revised version of the MPRs and Supplemental Guidance rather than the version of these requirements that existed at the time the prototype was registered.

6. LEED REFERENCE GUIDES

VO 6.2 Reference Guide Revisions: The LEED reference guides will be subject to revision on an ongoing basis in accordance with the USGBC 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 prototype registration. Volume participants may voluntarily elect to pursue prototype precertification or volume project certification by demonstrating compliance with a revised version of the reference guide rather than the version that existed at the time such prototype was registered.

9. PROJECT REGISTRATION Section 9 of the LEED Certification Policy Manual general policies is deleted in its entirety and replaced with the following:

VO 9.1 Eligibility Requirements: Prior to registering a prototype, all parties seeking to take part in the Volume Program must apply to GBCI and be accepted as participants. Each applicant must complete a questionnaire and submit supporting documentation to GBCI including detailed information about the applicant and the group of projects for which certification is sought. The purpose of this application process is to assess the readiness and compatibility of each applicant with the program eligibility requirements and the certification processes in general. Once it is determined that the applicant is qualified, GBCI sends a welcome letter, inviting the new participant into the program.

VO 9.2 Program Admission and Portfolio Set-up: Upon payment of the program admission fee, a LEED Account Manager is assigned and a portfolio is activated for the participant in LEED Online version 3. A portfolio is an administrative project grouping tool that exists as a separate page in LEED Online. The portfolio allows each volume participant to register one or more prototypes, to purchase volume project registration bundles, to register volume projects, and to group and administer such registered volume projects. In addition, volume participants may track and administer individual projects created under the standard certification program within their portfolios.

VO 9.3 Prototype Registration: Upon the creation of the portfolio, a volume participant may register one or more prototypes. To register a prototype, the volume participant must enter basic information about the prototype and accept the LEED Volume Program Service & Licensing Agreement. Upon completing this process, the volume participant must remit the applicable prototype fee. GBCI reserves the right to delay the processing of a prototype registration until the prototype fee has been



received. GBCI also reserves the right to cancel registration if such payment is not received in full and processed within 30 days.

VO 9.4 Prototype Fees: The prototype fee is a flat fee, which includes prototype registration and basic review services to determine if the prototype is eligible for precertification. Please note that the prototype fee for the initial prototype in a portfolio is greater than each subsequent prototype fee respectively. This initial premium offsets certain additional services provided to volume participants in accordance with an initial prototype registration such as evaluations as to eligibility identified in section VO 9.1 of this appendix and training programs provided by GBCI included in section VO 9.5. Refer to Pricing Appendix C of this document for current prototype fees.

VO 9.5 Training: Upon registering a prototype, each volume participant is required to have at least one representative complete an orientation and training program. This program requires such representative to participate in webinars, review guidance documents, and attend a one-day in-person training session. No additional fees are required for up to three representatives to undergo this orientation and training program. It is highly recommended that the Prototype Administrator undertake this orientation and training program. GBCI may offer one-day in person training sessions in other locations in the future; however, at this time all training sessions will occur in Washington, District of Columbia, United States of America. GBCI will not reimburse any travel expenses related to the attendance of such to send the representative(s) to the in-person session. At this time, attendance for the orientation and training program is limited to three representatives per registered prototype. If a participant is interested in sending more than three representatives to the training program, they can contact their engagement administrator to inquire if any additional space is available. In some cases, depending on availability, additional attendees may be able to be accommodated for an additional fee.

VO 9.6 Volume Project Registration: Once a prototype has been registered, volume project bundles can be purchased for the prototype. Under the Volume Program, the rights to register volume projects are exclusively sold in bulk quantities. Volume participants may elect to purchase such rights in bundles of 25 volume project increments only; meaning, with each bundle purchased, the volume participant may register 25 volume projects. Volume participants may purchase multiple bundles.

Bundles must be purchased on a prototype by prototype basis; meaning, each volume project that is registered out of the bundle must be registered in accordance with the prototype under which the bundle was purchased. In other words, the rights to register projects may not be transferred from one prototype to another.

Each bundle purchased will expire three years after the date of purchase respectfully; meaning, volume participants have three years from the date of the purchase of a bundle to register each of the 25 bundled volume projects and submit them for certification. As used herein, the term “submit” refers to the submission of a particular volume project for a preliminary review as described in Section VO 13.3 of this appendix. At the conclusion of such three year period, all rights to register the remaining volume projects in the bundle will expire. Accordingly, all volume projects in such bundle that have been registered though not yet submitted will be canceled and removed from LEED Online. To the extent these rights to register volume projects expire and/or such volume project registrations are canceled, no refunds will be issued.

To the extent a volume participant has purchased a volume project bundle, they have registered fewer than 25 projects from such bundle, and the rights to register additional projects within the bundle have not expired, such volume participant may register a volume project within their portfolio. To complete the registration process, the volume participant must enter basic information related to a volume project.

Under the volume program, participants may register volume projects one at a time, or, in the alternative, volume participants may register multiple volume projects simultaneously by uploading into LEED Online a completed pre-defined .csv file as provided by GBCI. Under no circumstances



may a volume participant register more projects than are remaining in the bundle or bundles that have been purchased for such prototype.

Please note: While project bundles may be purchased at anytime following prototype registration, actual construction of a volume project for Design & Construction rating systems may not begin until such prototype is precertified. As used herein, the start of actual construction refers to the start of placement of permanent improvements including construction of a structure on a site, such as the pouring of slab or footings, the installation of piles, the construction of columns, or the placement of a manufactured home on a foundation, or, in cases involving interior construction within an existing structure, the installation or alteration of any wall, ceiling, floor, or other structural part of a building.

For volume projects using LEED for Existing Buildings: Operations and Maintenance, the performance period must include a minimum of three months after precertification has been achieved. It must also include a minimum of three months during which the building is under the participant’s management, in the case of new acquisitions.

VO 9.7 Volume Project Fees: Per section VO 9.6 of this appendix, under the Volume Program, the rights to register volume projects are sold in bulk quantities only. Volume participants may purchase such rights in bundles of 25 volume project increments. The associated volume project fee includes the cost to register and certify each of the 25 projects provided per bundle. Volume project bundles decrease in cost for prototypes with high numbers of volume projects. Refer to Pricing Appendix C of this document for current volume project fees.

VO 9.8 Project Administrator: Under the LEED Certification Program, certain individuals are assigned roles that allow them special access in LEED Online for the purpose of managing the applications for their projects. The Volume Program has three layers of administrative access: i) Portfolio Administrators; ii) Prototype Administrators; and iii) Volume Project Administrators. The roles and responsibilities of each administrator are identified in the following table:

Administrator Add/delete Team Members Assign Credits

Portfolio Prototype Volume Project Prototype Volume

Project Portfolio

Administrator Yes Yes Yes Yes Yes

Prototype Administrator No Yes Yes Yes Yes

Volume Project Administrator No No Yes No Yes

10. FORMAL INQUIRIES VO 10.5 Applicability of Project CIR’s: Unlike the standard certification program, under the Volume

Program there are two forms of Project CIR’s. To the extent that a volume participant submits a formal inquiry pertaining to a prototype (a “Prototype CIR”), the Prototype CIR is applicable to the particular prototype for which such formal inquiry was submitted and all buildings in the participant’s portfolio where the technical approach is similar for the given prerequisite or credit. To the extent a volume participant submits a formal inquiry pertaining to a particular volume project (a “Volume Project CIR”) the Project CIR is applicable only to the specific volume project for which it is submitted.



VO 10.6 Project CIR Fees: The fees associated with Prototype CIRs and Volume Project CIRs are flat fees that must be remitted for each formal inquiry submitted to GBCI. Volume participants will only incur these fees in the event they elect to submit a formal inquiry. GBCI reserves the right to delay the commencement of a Project CIR or Prototype CIR review until payment has been received in full and processed. If payment is not received and processed within 30 days after a submission of a formal inquiry, GBCI reserves the right to cancel such inquiry. Current pricing for Prototype CIRs and Volume Project CIRs is listed in Pricing Appendix C of this document.


VO 11.1 LEED Project Application Documentation Requirements: In lieu of full LEED submittals for every project as required per Section 11 of the general policies, the volume program relies on of the aspect of uniformity across multiple projects and the control measures put in place and maintained by each volume participant to consistently deliver LEED certified projects. This efficiency is based on the submission of additional submittal documents during the prototype precertification process which in turn allow for more streamlined documentation processes to occur at the time of volume project submission. See the LEED Volume Program Submittal Guidance for Design and Construction or the LEED Volume Program Submittal Guidance for Operations and Maintenance documents for more details regarding volume-specific submittals.

Prototype Prototype precertification documentation contains the following sections:

General Submittals: The following materials demonstrate the overall technical and managerial uniformity established by the prototype.

a. Volume Certification Narrative: A high-level overview of the volume participant’s organization and building program that describes what is intended to be certified through the volume certification process.

b. Quality Control Plan (QC Plan): A high-level overview of the volume participant’s quality control management program that will assure that LEED credit requirements are validated throughout the implementation of design standards on actual volume projects.

c. Education Plan: A high-level overview that describes how the volume participant communicates the new requirements of the quality control program through all participants that manage or oversee the design and construction of volume projects.

Credit Submittals: The following materials are completed for each prototype credit, in order to demonstrate that both the technical requirements are met, and that the organization’s processes are in place for the credit to be achieved with the same approach every time.

a. Technical Documentation: Completed LEED documentation which demonstrates that the prototype will meet the credit requirements through a given technical credit approach. This includes completion of the standard LEED submittal forms, plus accompanying items such as plans, schedules, and calculations.

b. Quality Control Process (QC process): Demonstration of the credit-specific management process that will be used to ensure the credit requirements are met. The QC process for each credit can be described independently, or it can reference a particular section in the general QC Plan. Regardless of the format used, the credit-specific QC process must demonstrate how LEED documentation for the prototype credit will be checked by multiple parties in the organization.



c. Education Process: Demonstration of how both the technical requirements and the QC process for the prototype credit will be communicated to the parties who will be responsible for ensuring that the LEED standards are met.

d. Audit Documentation: Identification of the deliverables that will be collected for the prototype credit to demonstrate that the QC process was completed and that the technical requirements were met. This can include items such as checklists, reports, site photographs, and contracts.

Volume Projects Basic information must be provided to GBCI for every volume project. This will include registration information, such as project name, address, square footage and completion date, as well as the LEED volume project scorecard and completed project information forms in LEED Online. On the LEED volume project scorecard, the project team will need to indicate a final tally showing which prototype credits were achieved by the volume project. When project-specific variances occur for prototype credits that prevent the volume project from achieving the credit requirements, such credits should be removed from the scorecard. Pro-active removal of a prototype credit from the LEED volume project scorecard does not constitute a “failure” in the context of the Consequences of Failure identified in Section VO 13.5 of this appendix. For every volume project, the participant collects documentation for all completed credits according to the processes set-up in the QC Plan. Unless the volume project is selected for audit, the QC output documentation is maintained by the participant, and is not required to be submitted to GBCI.

Audited Volume Project Documentation: Volume projects selected for audit require submission of specific audit documentation for each attempted prerequisite and credit. The audit documentation consists of the completed QC output documentation that was identified during the prototype precertification process. The goal of the audit process is to verify that the applicant organization’s quality control and education processes are working properly, such that any credits marked as complete on a volume project scorecard have been thoroughly verified within the organization.

To the extent a project is audited, a volume participant may elect to submit supporting documentation in the format used for the standard LEED certification program, as indicated in the LEED Online forms, in lieu of audit documentation based on the specific QC Plan of the volume participant.


Section 12 of the LEED Certification Policy Manual general policies is deleted in its entirety and replaced with the following:

VO 12.1 Three Year Volume Project Submission Deadline: Per Section VO 9.6 of this appendix, each bundle purchased will expire three years after the date of purchase respectfully; meaning, volume participants have three years from the date of the purchase of the bundle to register each of the 25 bundled volume projects and submit them for certification. As used herein, the term “submit” refers to the submission of a particular volume project for a preliminary review as described in Section VO 13.3 of this appendix. At the conclusion of such three year period, all rights to register the remaining volume projects in the bundle will expire. Accordingly, all registered volume projects in such bundle that have been registered, though not yet submitted, will be canceled and removed from LEED Online. To the extent these rights to register volume projects expire and/or such volume project registrations are canceled, no refunds will be issued.

VO 12.2 Volume Project Registration Cancellation Due to Failure to Meet Submission Deadline Following Project Completion: All applications for certification under the LEED green building rating



systems currently offered to volume program participants per Section VO 3 of this appendix must be received within a two-year time period following project completion. As used herein, “project completion,” refers to the date on which the building or space receives a Certificate of Occupancy or similar official indication that it is ready for use.

VO 12.3 Effect of Registration Cancellation: If registration is canceled for any volume project, that volume project shall be removed from the registered projects directory and the project forms and all information contained therein shall be removed from LEED Online. No refunds of any fees will be provided in the instance that project registration is canceled in accordance with these terms.

If an owner seeks to achieve LEED certification in relation to a volume project for which registration is canceled in accordance with the foregoing terms, such owner must register the volume project as a new project under a new prototype if applicable, or, as an individual “one off” project under the standard certification program in accordance with the rating system applicable to that project type. All registration and certification fees shall apply. If, at the time of registration cancellation, no applicable prototype exists and/or no applicable rating system remains open for registration, such project is ineligible to further participate in the LEED program.


Section 13 of the LEED Certification Policy Manual general policies is deleted in its entirety and replaced with the following:

VO 13.1 Prototype and Volume Project Submission and Review Overview: Under the Volume Program, the first step of towards LEED certification is to register, apply for, and achieve precertification with regards to a particular prototype. Following the precertification of a prototype, volume participants using Design and Construction rating systems may proceed with the construction and submission of applications for subsequent volume projects. Following precertification of the prototype, participants using the Operations and Maintenance rating systems may begin the minimum 3 month performance period. Upon completion of the performance period, Operations and Maintenance volume projects may be submitted for review. As further detailed below, all volume projects submitted for certification will receive a preliminary review of the volume project scorecard and project information forms. A certain percentage of volume projects will be selected to undergo audit reviews after this preliminary review. Volume projects that are not selected for audit review will be able to proceed to certification after the preliminary review. Audited projects may be deemed certified upon the conclusion of the audit process. Accordingly, unlike the standard certification program, the submission and review of applications under the Volume Program occurs at two distinct phases: 1) submission and review of a prototype during the Prototype Precertification phase; and 2) submission and review of volume projects during Certification phase.

VO 13.2 Prototype Precertification: Prototype precertification is conferred based on two principals: i) that if the prototype design is implemented as submitted, the resulting volume project should satisfy at a minimum all MPRs, prerequisites, and enough LEED credits to achieve certification at the LEED Certified™ level or higher; and ii) the prototype as submitted contains sufficient processes and measures to ensure that each volume project will be built in a manner that complies with the prototype. Accordingly, applications for precertification must include sufficient documentation, including technical information, to demonstrate how each MPR, prerequisite and credit will be met by volume projects. Applications must also include descriptions of the quality control procedures and education plans that will be put in place such that appropriate managerial, administrative and construction practices will be consistently implemented ensuring compliance with the prototype.

Each application for prototype precertification will undergo a comprehensive review upon submission. If GBCI determines that the prototype has successfully fulfilled the foregoing conditions, the prototype



will be designated as precertified. The anticipated timelines related to the prototype precertification application review process are as follows.

Prototype Review Timeline:

Preliminary Review Upon the submission of an application for prototype precertification via LEED Online by the Prototype Administrator, GBCI shall review and return comments for all prototype credits and prerequisites included in the application. GBCI shall designate each prototype credit and prerequisite reviewed as "anticipated," "pending,” or "denied." GBCI targets (but does not guarantee) delivery of the preliminary review within thirty-five (35) business days of receipt of a complete precertification application.

Response to Preliminary Review Within thirty-five (35) business days of GBCI’s delivery of the preliminary review, the Prototype Administrator must submit a response to the preliminary review via LEED Online. In this response, the Prototype Administrator may elect to accept the results of the preliminary review as final, or they may elect to respond to review comments with additional information or documentation. New prototype credits or prerequisites may be included with the response to the preliminary review; however, it should be noted that GBCI will only review such documentation once. There will not be an opportunity to clarify documentation related to prototype credits or prerequisites submitted with a response to GBCI’s preliminary review.

Final Review Upon receipt of a response to a preliminary review, GBCI shall review the participant’s comments and documentation for all prototype credits and prerequisites included in the response. GBCI shall designate each prototype credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the final review within twenty-five (25) business days of receipt of a completed application.

Prototype Closeout Upon the conclusion of a final review, the project administrator may either accept or appeal the results of such final review. If the project administrator 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.

VO 13.2 Additions or Changes to Prototypes: If at any time following the precertification of a particular prototype, a volume participant seeks to change the prototype, the volume participant must report these changes to their LEED Engagement Administrator. As used herein, the phrase “change the prototype” refers to any modification to a precertified prototype that alters the QC process, requires modifications to audit documentation, alters the number of points to be achieved for any particular prototype credit, or changes the paths or methodology employed to demonstrate compliance with any particular rating system requirement.

In the alternative to making such changes, volume participants can add additional credit approaches or additional prototype credits to an existing precertified prototype. Regardless of whether a volume participant is submitting a change or an addition as described herein, such revised prerequisites or credits must be individually precertified or re-precertified. Volume participants seeking to undertake this process do so at anytime following precertification. The submission of additional or revised credits can be made through a process which uses similar technology mechanisms to the appeals process for standard one-off projects, but is not an appeal. Submission of additional or revised credits must include the submission of the same documentation indicated for prototype precertification per Section VO 11 of this appendix, and it must also include updates to the prototype’s general submittals to reflect the additional or revised credits.



The timelines related to this process are the same as indicated above in Section VO 13.2 for precertification. The current Additional Credit fee, Additional Credit Approach fee, Re-Precertified Credit fee and Prototype Credit Appeal fee are listed in Pricing Appendix C of this document. Such fees are charged on a credit-by-credit or prerequisite-by-prerequisite basis; meaning, volume participants must remit additional fees to the extent they are revising or adding multiple prerequisites or credits.

VO 13.3 Certification: After a prototype has achieved precertification, the participant enters the certification phase. At this point, for Design and Construction prototypes, construction on all volume projects registered under the prototype may commence. For Operations and Maintenance prototypes, the minimum three months of performance period after precertification for all volume projects registered under the prototype may commence. To ensure successful implementation of the precertified prototype standards during this phase, including the requirements for both managerial and technical uniformity, it is critical that all stakeholders maintain the processes established in the QC Plan and education plan.

For each volume project, the volume participant must collect documentation for all completed credits and prerequisites according to the processes set-up in the QC Plan; however, this information need not be submitted to GBCI unless the pertinent volume project is audited. In all cases, this documentation must be maintained by the volume participant whether or not an audit occurs.

A certain quantity of volume projects are audited by GBCI to ensure compliance with the prototype. The first three volume projects submitted under a precertified prototype are automatically selected for audit. The auditing of all other volume projects submitted under a particular prototype is determined at random. The total number of audits that will be performed are based on the quantity of bundles purchased. Following the initial three audits, the ratio of audits to bundles is as follows:

• If 1 bundle (25 volume projects) is purchased, seven additional projects are randomly audited for a total of 10 audits. • If 2 bundles (50 volume projects) are purchased, nine additional projects are randomly audited for a total of 12 audits. • If more than 2 bundles (more than 50 volume projects) are purchased, 5% of all additional volume projects purchased are audited.

The chart below indicates a sampling of the auditing ratio for different quantities of bundles purchased.

# of

Projects Initial Audits

Random Audits

Total Audits

% of Total Audited

% Randomly Audited

25 3 7 10 40% 28% 50 3 9 12 24% 18% 75 3 10 13 18% 14% 100 3 12 15 15% 12% 150 3 14 17 11% 9% 200 3 17 20 10% 8% 500 3 32 35 7% 6%

If a volume project is selected for audit, the volume participant must submit Audit Documentation for each of the prerequisites and credits included on the submitted scorecard. Per Section VO 12 of this appendix, the information submitted must include the completed QC output documentation that was represented as the basis for prototype precertification. The anticipated timelines related to volume project application submission, review and auditing processes are as follows:



Volume Project Review Timeline:

Application for Review Upon the completion of prototype precertification, a volume project administrator may submit a volume project application for review via LEED Online. A preliminary application for certification review must include documentation to substantiate the satisfaction of: 1) all prerequisites; and 2) enough credits to result in the minimum number of points required for certification.

Preliminary Review Upon receipt of a volume project application, GBCI shall review the submitted scorecard and project information forms and either return the project to the volume project administrator with all credit and prerequisite reviewed as "awarded" or select the project for an audit. If the project is selected for an audit, the application will be reviewed and returned to the volume project administrator with all credit and prerequisite reviewed as "pending." GBCI targets (but does not guarantee) delivery of the preliminary review within ten (10) business days of receipt of a completed application.

Response to Preliminary Review If a volume project was selected for an audit review, within fifteen (15) business days of GBCI’s delivery of the preliminary review, the volume project administrator must submit a response to the preliminary review via LEED Online. In this response the volume project administrator must provide the QC output, identified as audit documentation during the precertification phase, for the project.

For volume projects not selected for audit review, the volume project administrator shall then accept or appeal the preliminary review as final. By accepting the results of a final review, the owner relinquishes the right to appeal such results. Individual credits may be added through the appeals mechanism as indicated in section VO 14.4 below. If the project administrator 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.

Final Review (For Audited Projects Only) GBCI shall review and return comments for all credits and prerequisites. GBCI shall designate each credit and prerequisite reviewed as “awarded” or “denied.” GBCI targets (but does not guarantee) delivery of the final review within twenty five (25) business days of receipt of a completed application. The volume project administrator shall then accept or appeal the final review. By accepting the results of a final review, the owner relinquishes the right to appeal such results. Individual credits may be added through the appeals mechanism as indicated in section VO 14.4 below. If the project administrator 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.

GBCI retains the right to ask for audit documentation for any volume project, regardless of whether or not the project was selected for audit, for a period of 2 years after the project is submitted for certification.

VO 13.4 Individual Credits: For a specific volume project, the participant may wish to submit additional Individual Credits that were not included in the prototype precertification. Review and approval of individual credits can be accomplished through a process that uses similar technology mechanisms to the appeal process for standard one-off projects, and also uses the same review timeline as the appeal process, but is not an appeal. Accordingly, the project team should not include individual credits on the initial scorecard submitted with the basic information and PI forms. Instead, for projects that are not selected for audit, the participant can submit individual credits toward a higher level of certification after receiving notification of a grant or denial of certification. For projects that are selected for audit, the individual credits can be submitted after the review of the audit documentation



is complete. Since, per Section VO 13.3, a volume project is required to include enough prototype credits in the preliminary application for certification review to substantiate the satisfaction of: 1) all prerequisites; and 2) enough credits to result in the minimum number of points required for certification, individual credits typically represent a small portion of the overall credits submitted with any volume project. Documentation for individual credits consists of standard LEED submittals, including LEED forms and any accompanying documents. No QC or education requirements apply to individual credits. There are no consequences for failing individual credits (other than not earning those credits).

VO 13.5 Consequences of Failure: The integrity of the volume program depends on the aspects of uniformity amongst volume projects and the reliability of the precertified QC processes to ensure that volume projects comply with the requirements of the LEED rating system. Accordingly, if the audit process indicates that a volume project does not comply with the prototype under which it has been registered and submitted, such a determination signals a failure in the reliability of the prototype. Such failure will result in the following consequences:

If an audit of a volume project indicates the failure of a precertified prototype credit, the volume participant may initiate an appeal of such review in accordance with Section 14 of the policy manual. To the extent that the volume participant does not prevail during the course of such appeal, the failed prototype credit shall be removed from the prototype. If a credit is removed from the prototype, subsequent volume projects may continue to be certified under such precertified prototype; however, they will not be awarded points for the particular credit that has been removed. Volume participants may still earn points for such credit by submitting the same as an individual credit per Section 13.4. To reinstate a removed credit, a volume participant must re-precertify the failed credit.

Volume participants seeking to re-precertify a credit following its removal from a prototype may do so through the appeals mechanism as it applies to the prototype. The re-precertification process requires the submission of same documentation as indicated for precertification per Section 11 of this appendix. This documentation need only be submitted for the particular credit being re-precertified. The timelines related to re-precertification are the same as indicated above in Section VO 13.2 for precertification. The current Re-Precertified Credit fee is listed in Pricing Appendix C of this document. Such fees are charged on a credit-by-credit basis; meaning, volume participants must remit additional fees to the extent they are re-precertifying more than one credit.

To the extent an audit of a volume project indicates the failure of one or more prototype prerequisites, the failure of three or more prototype credits, or the failure of one or more prototype credits, the result of which is a reduction in the level of LEED certification from that indicated on the volume project scorecard submitted for preliminary review, such events shall constitute a failure of the QC process and a failed volume project. To the extent an audit of a volume project indicates the failure of a prerequisite, this too, constitutes a failure of the QC process and a failed volume project because the project cannot achieve the level of LEED certification indicated on the volume project scorecard.

To the extent a failure of the QC process is observed, no further volume projects may be reviewed or certified in accordance with such prototype until the volume participant has submitted a corrective action report which GBCI reviews and accepts. Corrective action reports must identify the following:

i) the source of, and scope of, the failure in the QC process for the audited project; ii) all related issues on other volume projects under the prototype that have not been

certified including those that have not yet been submitted; and iii) the proposed changes to the prototyped QC processes, general submittals, technical

documentation, education process, and audit documentation that will be implemented to remedy such failure on all current and future projects, including corrective action that will be completed with regards to all projects that have been submitted and are awaiting review. Such report must provide this information for each failed credit or prerequisite. Prior to the commencement of review of the corrective action report, the volume



participant must remit the then current Corrective Action fee to GBCI. The Corrective Action fee is listed in Pricing Appendix C of this document. GBCI will endeavor to review such corrective action report within twenty-five (25) business days of its receipt.

Following the submission, review and approval of a corrective action report, the next three volume projects submitted for certification will be audited. These additional audits are imposed over and above the audit rates described in Section VO 13.3 of this appendix. The cost for GBCI to undertake these three additional audits is included in the Corrective Action fee remitted with the submission of the corrective action report per above.

In the event that one of these additional three audits indicates the failure of three or more prototype credits, the failure of a prototype prerequisite, and/or the failure of one or more prototype credits, such that the project cannot achieve the level of LEED certification indicated on the volume project scorecard as was submitted during preliminary review, such failure indicates an ongoing failure of the QC process. In the event that such ongoing failure occurs, the prototype is considered to be suspended and must be re-precertified in its entirety. Further, no additional volume projects may be submitted under a suspended prototype until it is re-precertified. To re-precertify a suspended prototype, the entire prototype must be submitted for precertification as though it were a new prototype. Upon re-precertifying a prototype, the volume participant must remit the then current Prototype Fee. This fee must be received by GBCI prior to the commencement of review. The fee associated with the undertaking of a re-precertification is the equivalent of the Prototype Fee as listed in Pricing Appendix C of this document.

VO 13.7 Volume Project Submission Queues: Volume participants can submit projects at any time after they have achieved precertification of a prototype until the bundle expires. When a volume project is in the audit review process, subsequent volume projects will remain in a queue, and the review timeline for the subsequent volume projects of the same prototype will commence when the audit reviews for all preceding volume projects are finalized, including any appeals, additional credit reviews, corrective action processes, and/or re-precertification. Multiple audit reviews may run concurrently. However, the first three audit reviews must be completed before subsequent audit reviews begin. audits, Volume projects that have been submitted and remain in the queue will not be canceled per the three year volume project submission deadline articulated in Section VO 13.1 of this appendix.

For purposes of clarity: In the instance a project is selected for audit, the audit must be complete prior to the commencement of the preliminary review for the next project in line. If there is a failure in the QC process as further explained in Section VO 13.5 above, such processes and procedures related to remedying such failures must be complete prior to the commencement of a preliminary review of any additional volume projects.

VO 13.8 Review Process Timelines: GBCI will strive to meet the timelines stipulated within the application review policies as they are set forth in this appendix. 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 project application review services, and/or any other fees that have been remitted to GBCI in relation to the volume program.

14. APPEALS POLICY VO 14.5 Appeal Fees: Under the Volume Program, there are two forms of appeal. The first form of

appeal occurs at the prototype level. The second form of appeal occurs at the volume project level. There are different fees associated with each level of appeal. Upon requesting the undertaking of an appeal, volume participants must remit the then current prototype or volume project level appeal fee as indicated in Pricing Appendix C of this document.



15. CERTIFICATION EXPIRATION POLICY The certification expiration policy is not applicable under the LEED Volume Program.

16. CERTIFICATION CHALLENGE POLICY VO 16.1-9 Certification Challenges: Under the Volume Program, certification challenges can occur; though,

only at the volume project level only. Accordingly, GBCI will not initiate a challenge of a precertified prototype.



VOLUME PROGRAM GLOSSARY

Audit Documentation: The deliverables identified in the precertification phase and collected in the certification phase for each prototype credit to demonstrate that the quality control process is followed and the technical requirements are met.

Credit Approach: The specific Case, Option or Path—as outlined in the requirements of a prerequisite or credit in the LEED rating system—used to document a prototype credit. Each prototype credit may include only one credit approach. An allowance is given for up to five additional credit approaches per prototype.

Credit Submittals: The portion of the submittals provided for a prototype during the precertification phase that provides detailed documentation for each prototype credit or prerequisite. Credit submittals for each prototype credit include: technical documentation, quality control process, education process, and audit documentation information.

Education Plan (General Submittals): The participant's internal training methods for staff, consultants, and contractors on how to implement LEED measures and incorporate them into existing quality control programs. The training must be directed at those responsible for meeting new requirements, such as local design and construction teams, and those who verify that new requirements have been met, such as corporate review of local work, or project managers who review on-site procedures.

Education Process (Credit Submittals): Demonstration of how the technical requirements and management procedures for a given prototype credit will be communicated to each of the responsible parties participating in the quality control process. The credit-specific education process must tie into the general education plan for the prototype.

General Submittals: The portion of the submittals provided for a prototype during the precertification phase that demonstrates the overall uniformity in design, construction, and management processes for the prototype. General submittals include: the volume certification narrative, quality control plan and education plan.

Individual Credit: A LEED credit not included in the prototype, which is reviewed using the standard LEED submittal forms.

Individual Project: A standard LEED project completed outside of the Volume Program that is not associated with a prototype. Individual projects follow standard documentation requirements, including full LEED forms and supporting materials. Volume participants may choose to pursue individual projects, in cases where a specific building or space does not meet the technical and managerial uniformity of a prototype.

LEED Account Manager: GBCI’s point-of-contact with a volume participant. The account manager assists volume participants throughout the process, from initial recruitment and pre-registration activities through the prototype precertification and certification phases.

LEED Volume Project Scorecard: The tool used to document the number of credits attempted and points earned for individual volume projects during the certification phase.

Portfolio: The grouping tool in LEED Online that allows each volume program participant to organize their prototype(s), volume projects under the prototype(s), and individual projects in one place.

Portfolio Administrator: The volume participant’s program-level management contact with GBCI. The portfolio administer must be employed by the participant, and must sign legal documents related to LEED certification. The employee should be knowledgeable about the LEED rating system and volume certification program.

Prototype: A conceptual building or framework representing a group of projects which have major design and construction elements, and/or operations and maintenance elements, as well as management procedures in common, and therefore can pursue a common set of LEED prototype credits. A prototype is based on one specific version of the LEED rating system.



Prototype Administrator: The primary day-to-day contact responsible for managing all submittals for the prototype. The prototype administrator is responsible for coordinating with the portfolio administrator, and with all those who participate in the quality control process. The role may be held by the same person who serves as the portfolio administrator. The role may also be held by someone outside the participant organization, such as a consultant.

Prototype Credit: A LEED prerequisite or credit with a similar technical approach or outcome to the same prerequisite or credit within other projects under a prototype because of sufficient uniformity in the building, site, or management traits. Within a given prototype, the prototype credit must be earned using the same LEED compliance path and credit form path, and use the same techniques, methods and management strategies.

Prototype Precertification: The process in which prototype standards are developed and reviewed prior to the implementation of volume projects. Precertification of a prototype confirms that the LEED credit requirements can be met, and the steps and measures required to ensure compliance for future projects are in place.

Quality Control Plan (General Submittals): The general methods the participant uses to ensure that the sustainable intent for its volume projects becomes reality, ensuring that LEED requirements have been incorporated into its standard building practices and processes. The QC Plan describes generic, organization-level checking and verification processes used for any building design and construction and across multiple types of building project issues and technical goals.

Quality Control Process (Credit Submittals): Builds on and supplements the prototype- level QC Plan by providing detailed, credit-specific methods tailored to, and suitable for, each specific type of building process (i.e. plan review, commissioning, field inspections, periodic preventive maintenance, review of automation trend logs, etc.). Describes all aspects of the participant's internal verification processes (who, what, when, where, how, and to what extent). This level of detail is required for all prototype credits.

Start of Actual Construction: The start of placement of permanent improvements including construction of a structure on a site, such as the pouring of slab or footings, the installation of piles, the construction of columns, or the placement of a manufactured home on a foundation, or, in cases involving interior construction within an existing structure, the installation or alteration of any wall, ceiling, floor, or other structural part of a building. For volume projects, the start of actual construction may not begin until prototype precertification has been achieved.

Technical Documentation: The documentation that is required to demonstrate that each of the attempted prerequisites and credits for a prototype meet the LEED requirements. Technical documentation is submitted in the precertification phase, and is typically based on standard LEED submittal forms.

Volume Certification Narrative: A high-level overview of the volume participant’s organization and construction program that describes what is intended to be certified through the Volume Program.

Volume Participant: An organization that owns, manages or leases real estate is eligible to use volume certification. (Note: consultants, architects, and contractors are not.)

Volume Project: A design and construction project at a single location which follows a prototype, and for which the volume certification process is used to document LEED certification.

Volume Project Administrator: The person who is responsible for managing submittals for a given volume project, and for coordinating with the prototype administrator on the quality control and education processes. This role may be held by the same person as the prototype administrator.

Volume Project Bundle: A package of services that a participant purchases in order to pursue LEED registration and certification for volume projects. Purchasing a volume project bundle entitles the participant to register and submit for certification twenty-five (25) volume projects within three years from the time of purchase.



Program-Specific Appendix

LEED MULTIPLE BUILDING AND ON-CAMPUS BUILDING PROJECTS PROGRAM

As described in the general policies of the LEED Certification Policy Manual, GBCI has put in place specialized certification programs that provide alternative methods by which participants may certify projects. Such specialized certification programs rely on certain unique policies that differ from the standard certification program. The LEED Multiple Buildings and On-Campus Building Projects Program (“MBOC”) is one of these specialized certification programs. The Multiple Buildings and On-Campus Program is designed to provide a streamlined approach to projects where several buildings are constructed at once or in phases, with common ownership or planning and the ability to share amenities or common design features by standardizing the necessary submittal documentation. Throughout this appendix, the term “campus” is used to represent all of these permutations, while the term “project” will be used to describe an individual building or interior space pursuing certification. The Multiple Buildings and On-Campus Program largely follows the general policies of the standard certification program; however, it differs substantially with regards to the registration and review processes. This appendix identifies these unique policies that must be followed by all Multiple Buildings and On-Campus participants. Only those sections which contain variances from the “General Policies” are listed.

TABLE OF CONTENTS: LEED for Multiple Building and On-Campus Building Project-Specific Policies

2. Program-Specific and Rating System-Specific Appendices 89 3. LEED Certification Policy Manual Updates & Revisions Policy 89 4. LEED Green Building Rating Systems 89 9. Project Registration 89

10. Formal Inquiries 90 11. Documentation Requirements 90 13. Application Submission and Review Policies 91 14. Appeals Policy 92 16. Certification Challenge Policy 92




MBC 2.1 Program-Specific Policies: In addition to the LEED Multiple Buildings and On-Campus Program-Specific Appendix, the Multiple Buildings and On-Campus Program relies on the additional guidance document, 2010 LEED Application Guide for Multiple Buildings and On-Campus Building Projects (2010 AGMBC). This document further communicates the specific policies and submittal procedures that pertain to the Multiple Buildings and On-Campus Program.

3. LEED CERTIFICATION POLICY MANUAL UPDATES & REVISIONS POLICY MBC 3.1 LEED Certification Policy Manual Updates & Revisions: In addition to the provisions related to

revisions of the Policy Manual stated in general policy 3.1, the guidance documents referenced in Section MBC 2.1 of this appendix will also be subject to revisions on an ongoing basis. Multiple Buildings and On-Campus Participants are required to follow the versions of the application guide and policy manual and that is in place at the time of project registration. In the alternative, Multiple Buildings and On-Campus Participants may voluntarily elect to follow the most current version of the policy manual and application guide.

4. LEED GREEN BUILDING RATING SYSTEMS MBC 4.3 Currently Offered Rating Systems: Project registration and certification via the Multiple

Buildings and On-Campus Program is currently offered for the following LEED Green Building Rating Systems:

Green Building Design & Construction LEED® 2009 for New Construction and Major Renovations™

LEED® 2009 for Core and Shell™ LEED® 2009 for Schools™

Green Interior Design & Construction LEED® 2009 for Commercial Interiors™ Green Building Operation and Maintenance LEED® 2009 for Existing Buildings, Operations and Maintenance™

MBC 4.3.1 Application Guidance for Rating Systems Prior to 2009: This appendix provides guidance and policies for registering and certifying Multiple Buildings and On-Campus projects using the LEED 2009 Rating Systems only. For guidance and policy regarding the application of the Multiple Buildings and On-Campus Program to rating systems prior to LEED 2009, please reference 2005 LEED Application Guide for Multiple Buildings and On-Campus Building Projects (2005 AGMBC).

9. PROJECT REGISTRATION MBC 9.1 Project Registration: Each project registered under the Multiple Buildings and On-Campus

program must be independently registered. Instructions for completing this process are contained in the 2010 AGMBC.

MBC 9.1.1 Block Registration: Project teams are required to first register a Block within LEED Online. The Block acts as a grouping mechanism and allows individual project registrations to be linked together. The Master Site and projects (individual buildings or spaces) are registered separately within the Block. Instructions for completing this process are contained in the 2010 AGMBC.
















MBC 9.1.2 Master Site Registration: All campus credit and prerequisite information should be documented within the Master Site registration. The Master Site is a holding place for all campus credits. All projects submitted for certification on the campus that reference the Master Site can utilize the credits pre-approved in the Master Site review. The Master Site can be submitted for review either prior to or at the same time as the first building submitting for certification review. Similar to the review process for individual projects, teams can choose to submit the Master Site for a standard (combined) or split (design and construction) review. At no time will the Master Site become LEED certified. Instructions for completing this process are contained in the 2010 AGMBC.


MBC 10.2 Formal Inquiry Submittal Process: Unlike the standard certification program, under the Multiple Buildings and On-Campus Program there are two forms of Project CIRs. A formal inquiry may be submitted for a campus credit or pre requisite for a maser site project (a “master site CIR”), or for an individual project within a multiple buildings and on-campus group.

MBC 10.4 Applicability of Project CIRs: To the extent that a multiple buildings and on-campus participant submits a formal inquiry pertaining to a master site CIR, the Project CIR is applicable to the particular master site for which such formal inquiry was submitted and all multiple buildings and on-campus projects registered in accordance with such master site. To the extent a multiple buildings and on-campus participant submits a formal inquiry pertaining to a particular multiple buildings and on-campus project, the Project CIR is applicable only to the project under which the formal inquiry was submitted.


MBC 11.1 LEED Certification Application Documentation Requirements: In lieu of full LEED submittals for every project as required per Section 11 of the general policies, the multiple buildings and on-campus program relies on of the aspect shared site amenities across multiple projects to drive efficiency through reduced documentation. This efficiency is based on the submission of additional submittal documents during the master site certification process which in turn allows for more streamlined documentation processes to occur at the time of additional multiple buildings and on-campus project submission. Instructions for completing this process are contained in the 2010 AGMBC.

MBC 11.1.1 Master Site Documentation: Project teams are required to submit the following information with the Master Site:

• a general narrative of the overall campus project • a schematic site plan showing the location of the LEED Campus Boundary and the

location of each individual project pursuing LEED certification • a list of the campus-wide credits which have been/will be submitted • a list of the individually registered projects to which the campus credits will apply

MBC 11.1.2 Campus Credits: Projects within a campus are eligible to use campus credits established in the applicable Application Guide for Multiple Buildings and On-Campus (“AGMBC”) projects. Campus credits are structured similarly to documentation requirements for non-campus projects, however their scope is extended beyond a single project and address LEED requirements as applied to the entire multiple buildings and on-campus group. Campus credits will contain specific documentation requirements at both the campus and individual project level. Instructions for proper documentation are contained in the applicable Application Guide for Multiple Buildings and On-Campus Buildings Projects.



MBC 11.1.3 Alternative Compliance Paths for Campuses: There are no pre-approved rating system alternative compliance paths (i.e. new campus credits not contained in the AGMBC available for campus projects at this time. If a project team wishes to gain approval for an alternative compliance path, they may either submit the approach during the regular certification review, or submit an inquiry via the Project CIR process if feedback is required prior to submitting a project for certification review.

MBC 11.1.4 List of Available Campus Credits: For a complete list of all available campus credits, please reference the applicable Application Guide for Multiple Buildings and On-Campus Buildings Projects.

MBC 11.1.5 No Requirement for Campus Credits: Project teams may elect to pursue any or all of the credits or prerequisites listed in Tables 1A and 1B of the 2010 AGMBC either as individual project credits or as campus credits.

MBC 11.1.6 LEED Campus Boundary: A LEED Campus Boundary must be defined. Project teams must use their own judgment in drawing a reasonable boundary. The following points should be considered when defining this boundary:

• Projects may elect to use the legal limits of the campus (e.g. property boundary) or

define an alternative boundary for LEED purposes that is wholly contained within the legal ownership rights of the site. The entire area contained within this boundary is required to be under the same ownership or property manager or developer.

• All individual LEED project boundaries must be wholly contained within the LEED Campus Boundary.

• The LEED Campus Boundary may include projects for which LEED certification will not be pursued and it is not necessary that the sum of all individual LEED project boundaries make up the entire LEED Campus Boundary area. However, all site features and amenities within the LEED Campus Boundary will be considered during the review of the campus credits.

• The LEED Campus Boundary must be a single unbroken site, unless the non-contiguous parcels meet the conditions stated in the MPR Supplemental Guidance.

• To comply with the minimum project area to site area ratio requirement the gross floor area used for the calculation should include all projects within the LEED Campus Boundary, those pursuing LEED certification and those not pursuing LEED certification.

• If the LEED Campus Boundary changes or if any subsequent projects change the Master Site registration’s credit performance, all affected credits must be re-reviewed at the expense of the project team.

MBC 11.1.8 Individual LEED Project Boundary: Each individually registered project must

have its own LEED Project Boundary. The LEED Project Boundary must include all land that is associated with and supports normal project operations, including all land that was or will be disturbed for the purpose of undertaking the LEED project. In some instances this may be coincident with the area disturbed during construction of the project.


MBC 13.1 LEED Certification Application Review: Under the Multiple Buildings and On-Campus Program, the first step towards achieving LEED certification is to register, and apply for Master Site review. The Master Site can be submitted for review either prior to or at the same time as the first



building submitting for certification review. Similar to the review process for individual projects, teams can choose to submit the Master Site for a standard (combined) or split (design and construction) review. Instructions for completing this process are contained in the 2010 AGMBC.

MBC 13.1.2 Application for Master Site Review: GBCI will review all campus credits submitted via the Master Site. GBCI may issue pre-approval of campus credits pursuant to the requirements of the campus credit as established in the AGMBC. Pre-approval of a campus credit does not constitute achieving a MPR, Credit, or Prerequisite.

MBC 13.1.4 Adding Credits to the Master Site: After the Master Site has gone through the Master Site review process, new credits can be added to the Master Site registration at any time. Review of these credits is facilitated through the appeals process in LEED Online. Such campus credits will be available only to projects associated with the Master Site that have not yet submitted for review.

MBC 13.1.5 Applying Similar Credits Across Rating Systems: The project team may apply credits and prerequisites earned in the Master Site review to individual projects registered under different rating systems within the same Block and campus, provided that the credit is earned by applying the most stringent version of the credit requirements from those rating systems.

MBC 13.1.6 Campus Credit Cross-Checks: Pre-approved campus credits in the Master Site registration will be cross-checked for consistency with every new individual project’s overall submittal documentation. If an inconsistency is found, or if other information provided in subsequent individual project applications calls into question the potential achievement of any LEED requirement, GBCI reserves the right to request additional information and/or deny the associated credits or prerequisites. If any of the circumstances listed above occurs, the campus credit will have to be re-reviewed at the Project Team’s expense.

MBC 13.1.7 Master Site Credit Re-Review: In the case a Campus Credit Cross-Check requires a re-review of campus credit, revised credit documentation must be submitted for the Master Site registration. Review of these credits is facilitated through the appeals process in LEED Online. Such campus credits will be available only to projects associated with the Master Site that have not yet submitted for review.

14. APPEALS POLICY MBC 14.1 Appeals related to Campus Credits: GBCI review decisions related to pre-approval of a campus

credit at the campus level and/or subsequent project-level review decisions related to pre-approved campus credits may be appealed per the normal appeal processes.

MBC 14.5 Appeal Fees: Under the Multiple Buildings and On-Campus Program, there are two forms of appeal. The first form of appeal occurs at the Master Site level. The second form of appeal occurs at the multiple buildings and on-campus individual project level. There are different fees associated with each level of appeal. Upon requesting the undertaking of an appeal, multiple buildings and on-campus participants must remit the then current Master Site or multiple buildings and on-campus project level appeal fee as indicated in Pricing Appendix C of this document.

16. CERTIFICATION CHALLENGE POLICY MBC 16.1-9 Certification Challenges: Under the Multiple Buildings and On-Campus Program, certification

challenges occur at the individual project level.



PRICING APPENDICIES These pricing appendices depict indicate the current fees associated with participation in the LEED certification program. Included in these appendices are fees associated with the LEED certification program in general, as well as certain rating system-specific and program-specific fees.

TABLE OF CONTENTS: Pricing Appendices A. LEED Certification Program Fees 94 B. Rating System-Specific Fees 96 C. Program-Specific Fees 97

FEE REVISIONS

GBCI reserves the right to change its fees. All changes to fees will be published in future revisions to this Policy Manual. In all cases, participants in the LEED certification program 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.

Please note: Project teams may decide to leave the LEED certification program at anytime and incur no additional fees. No refunds are available.



A. LEED Certification Program Fees Registration Fee: The registration fee is a flat fee paid up front at the time of registration. The registration fee is as follows:

USGBC Members: $900 Non-Members: $1200

Certification Fee: The certification fee is based on the size of the project and the rating system that the project was registered under. Fees may be remitted to GBCI by credit card at the time a project team submits their application for review or by check; however, GBCI will not deliver a review until payment has been received in full. The applicable certification fee must be paid at the time a project team submits their application for review. The following fees are for single-building LEED projects only.

LEED CERTIFICATION PROGRAM APPLICATION REVIEW FEES

Less than 50,000 Square Feet*

50,000- 500,000 Square Feet*

More Than 500,000 Square

Feet*LEED for New Construction, Commercial Interiors, Schools, Core & Shell full certification Fixed Rate Based on Gross

Floor Area* Fixed Rate

Design Review USGBC Members $2,000 $0.04/sf $20,000 Non-Members $2,250 $0.045/sf $22,500 Expedited Fee** $5,000 regardless of gross floor area Construction Review USGBC Members $500 $0.010/sf $5,000 Non-Members $750 $0.015/sf $7,500 Expedited Fee** $5,000 regardless of gross floor area Combined Design & Construction ReviewUSGBC Members $2,250 $0.045/sf $22,500 Non-Members $2,750 $0.055/sf $27,500 Expedited Fee** $10,000 regardless of gross floor area

LEED for Existing Buildings Fixed Rate Based on Gross Floor Area* Fixed Rate

Initial Certification Review USGBC Members $1,500 $0.03/sf $15,000 Non-Members $2,000 $0.04/sf $20,000 Expedited Fee** $10,000 regardless of gross floor area Recertification Review*** USGBC Members $750 $0.015/sf $7,500 Non-Members $1,000 $0.02/sf $10,000 Expedited Fee** $10,000 regardless of gross floor area LEED for Core & Shell: Precertification Fixed Rate USGBC Members $3,250 Non-Members $4,250 Expedited Fee** $5,000


* To determine the certification fee, please calculate the total square footage of your project in accordance with the following: The total square footage of all floor areas of the spaces within the building with headroom height of 7.5 ft (2.2 meters) or greater, including, but not limited to, basements, mezzanine and intermediate‐floored


tiers, and penthouses. Spaces such as common areas, mechanical spaces, and circulation should be included in the gross square footage of the building. Measurements must be taken from the exterior faces of exterior walls OR from the centerline of walls separating buildings and/or interior spaces as necessary.

tiers, and penthouses. Spaces such as common areas, mechanical spaces, and circulation should be included in the gross square footage of the building. Measurements must be taken from the exterior faces of exterior walls OR from the centerline of walls separating buildings and/or interior spaces as necessary.

Please exclude the following from the total square footage calculations used to determine the certification fee: i) all non‐enclosed (or non‐enclosable) roofed‐over areas such as exterior covered walkways, porches, terraces or steps, roof overhangs, and similar features; ii) all air shafts, pipe trenches and chimneys; and iii) all parking areas, whether underground, structured, or at grade.

Please exclude the following from the total square footage calculations used to determine the certification fee: i) all non‐enclosed (or non‐enclosable) roofed‐over areas such as exterior covered walkways, porches, terraces or steps, roof overhangs, and similar features; ii) all air shafts, pipe trenches and chimneys; and iii) all parking areas, whether underground, structured, or at grade.

** The availability of expedited reviews is limited based on GBCI’s capacity. Contact GBCI at least ten (10) business days prior to submitting an application to request an expedited review. All expedited review fees are in addition to the regular review fee.

*** The Existing Building Recertification Review fee is due when project application is submitted for recertification review. Before submitting a project application, contact GBCI to obtain a promotion code.

Appeal Fees: The following fees pertain to the appeals process as outlined in Section 14. Appeals Policy: Additional Program Fees: The following fees pertain to certain additional program features that are available to assist project teams in completing the certification process. These additional program features are optional.

Interpretation Fees: Project CIR Fee $220 LEED Interpretation Fee $180/$380* (members/non-members)

* LEED Interpretation Fees are remitted to USGBC Certification Challenges: Written Review Fee: $1,000 Hearing Fee: $2,500 Appeal Fee: $2,500

Appeals: General: Complex: First Level Appeal Fee: $500 $800 Expedited First Level Appeal Fee: $1,000 $1,300 Final Level Appeal Fee: $500 $800 Expedited Final Level Appeal Fee: $1,000 $1,300



B. Rating System-Specific Fees

LEED FOR NEIGHBORHOOD DEVELOPMENT

LEED-ND Project Registration Fees

$1,500

LEED-ND Project Application Review Fees

SLL Prerequisite Review $2,250

Expedited SLL Prerequisite Review

$5,000*

Initial Stage Review For Projects Under 320 Acres

$18,000 (Total for first 20

Acres)

$350 (Per-Acre Fee for Each Additional

Acre) Initial Stage Review For Projects 320 Acres Or

More

$123,000 (Flat Fee)

Expedited Initial Stage Review

$25,000*

Subsequent Stage Review For Projects Under 320

Acres **

$10,000 (Total for first 20

Acres)

$350 (Per-Acre Fee for Each Additional

Acre) Subsequent Stage Review

For Projects 320 Acres Or More**

$115,000 (Flat Fee)

Expedited Subsequent Stage Review**

$15,000*

* Expedited review fees constitute premiums calculated over and above the total applicable base fee. ** Reduced fees for subsequent stage reviews require that a project hold an official designation of

Conditional Approval of a LEED for Neighborhood Development Plan, or, Pre-certified LEED for Neighborhood Development Plan in good standing in order to be eligible for the fee discounts listed herein.



C. Program-Specific Fees

LEED Volume Program Pricing Overview

A goal of the LEED Volume Program is to reduce costs by taking advantage of uniformity in building design, construction and management practices. For organizations that will certify 25 or more projects within three years, the volume program offers valuable economies of scale. Certification costs per volume project drop significantly as the quantity of projects rises. Details on the basic program fees, potential additional costs and audit rates are noted below. For more information on the volume certification process, refer to the Program-specific appendix in this document.

The table below summarizes the program costs, as well as the payment triggers.

Basic Program Fees Transaction Fee Trigger Program Admission Fee USGBC Members Non-members

$10,000 $15,000

At participant’s entry into the program At participant’s entry into the program

Prototype Fee (same for all prototype sizes) USGBC Members Non-members

$30,000 $45,000

At prototype registration At prototype registration

Volume Projects Fee* Initial 25-project bundle Second 25-project bundle Subsequent 25-project bundles *Volume project bundles expire after three years.

$35,000 $15,000 $10,000

Purchase of first volume project bundle Purchase of second volume project bundle Purchase of third, fourth, etc. volume project bundle

Additional Fees Transaction Fee Trigger

Corrective Action Fee $20,000 Submission of a corrective action report following a failed volume project

Additional Credit, Re-Precertified Credit, Additional Credit Approach, Appeal, or CIR Review (Prototype)

$1,000

Submission to re-precertify a failed prototype credit, or to add an additional prototype credit, additional prototype credit approach, a prototype credit appeal, or prototype CIR

Individual Credit, Appeal, or CIR Review (Volume Project)

$500

Submission of individual credits, appeals, or CIRs for a volume project.



Basic Program Fees A breakdown of the fees and the services included is detailed below.

Program Admission Fee Cost: $10,000 member price/ $15,000 non-member price Payment: Paid at the time when a participant joins the LEED Volume Program Services:

• LEED account management services • Portfolio account in LEED Online • Participant orientation program, including webinars and a one-day, in-person training

session. (Attendance is required; any travel costs to attend the session are the responsibility of the participant.)

Prototype Fee Cost: $30,000 member price/$45,000 non-member price Payment: Paid at the time of prototype registration Services:

• Ability to register a prototype • Ability to submit a prototype for precertification • Up to 5 additional prototype credit approaches included (refer to Section 2.1 of LEED

Volume Program: Overview and Process for more detail)

Volume Projects Fee Cost: $35,000 for initial 25-project bundle $15,000 for second 25-project bundle $10,000 for each subsequent 25-project bundle Payment: Paid at the purchase of the first, second, third, etc. volume project bundle Volume project bundles are available for purchase at the time of prototype registration, or any

time after prototype registration. Services:

• Ability to register and submit 25 volume projects for certification, per bundle, within three years from the time of purchase

• Standard audit reviews included

Additional Fees Additional fees are required when a failure of a volume project triggers a corrective action, a failed prototype credit needs to be re-precertified, or a participant chooses to submit additional information for review, beyond the initial prototype precertification and the typical submittals for volume projects.

Corrective Action Fee Cost: $20,000 Required: After a failed volume project triggers corrective action

Payment: Paid upon the submission of a corrective action report Services: Includes review of all of the four required submissions following a failed volume project,

including a corrective action report and additional audits of the next three volume projects over and above the prototype’s standard audit rate.



Note that the corrective action report is the first step, which must be submitted, reviewed

and approved prior to the submission of the next three volume projects for additional audit reviews.

Additional Credit, Re-Precertified Credit, Additional Credit Approach, Credit Appeal, or Project

CIR Fee (Prototype) Cost: $1,000 Payment: Paid at the submission to re-precertify a failed prototype credit, or to add an additional

prototype credit, additional prototype credit approach, a prototype credit appeal, or prototype CIR

Services: Review of one of the following: • Re-precertification of one failed prototype credit • One additional prototype credit submitted after precertification • One additional credit approach for a prototype credit included in the original precertification • One appeal of a prototype credit during the precertification phase • One Project CIR for the prototype

Individual Credit, Credit Appeal or Project CIR Fee (Volume Project) Cost: $500 Payment: Paid at the submission of an individual credit, prototype credit appeal, or volume project CIR Services: Review of one of the following:

• One individual credit, using standard one-off LEED submittals for a specific volume project • One prototype credit appeal for a specific volume project • One Project CIR for a specific volume project




LEED Multiple Buildings and On-Campus Program Pricing Overview

Registration Fees: Both the Master Site and all projects associated with a campus are subject to the standard registration fees available in pricing appendix A.

Certification Fees: A unique certification fee structure is available for LEED 2009 (New Construction, Core & Shell, Schools, Commercial Interiors and Existing Buildings: Operation & Maintenance Rating Systems) multiple buildings and on-campus projects pursuing certification under the approach outlined in Part 1 of the 2010 LEED Application Guide for Multiple Buildings and On Campus Building Projects. The certification rates are provided below.

Master Site Individual Campus Project* Design Review USGBC Members $1,200

20% discount from standard certification fees** Non-Members $1,500

Construction Review

USGBC Members $500 20% discount from standard certification fees**

Non-Members $750 Combined Review USGBC Members $1,500

20% discount from standard certification fees** Non-Members $2,000 Additional Fees Additional Credit $500 N/A Appeals $500 per credit $500 per credit Project CIRs $220 per credit $220 per credit Expedited Fee*** Please contact GBCI

Please note that all fees are subject to change. No refunds are available.

* Fees only applicable to LEED 2009 individual project certifications under the direction of the 2010 Application Guide for Multiple Buildings and On-Campus Projects Part 1 Guidance. Please contact GBCI for more information on Multiple Buildings and On-Campus Projects LEED v2 rating system fee structures.

** See current GBCI Certification Fees in appendix A.

*** Expedited fees constitute premiums calculated over and above the total applicable fee for certification review. Applicants must contact GBCI at least ten (10) business days prior to the submission of an expedited review to ensure such requests can be processed.

LEED Certification Policy Manual

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Transcript of LEED Certification Policy Manual