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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.
LEED® Certification Policy Manual
Green Building Certification Institute™
GREEN BUILDING CERTIFICATION INSTITUTE™
LEED® Certification Policy Manual
TABLE OF CONTENTS:
General Policies
1.
Introduction
2.
Program-Specific & Rating System-Specific Appendices
3.
LEED Certification Policy Manual Updates & Revisions Policy
4.
LEED Green Building Rating Systems
5.
Minimum Program Requirements (MPRs)
6.
LEED Reference Guides
7.
LEED Online
8.
Site User Registration
9.
Project Registration
10.
Formal Inquiries
11.
Documentation Requirements
12.
Registration Cancellation Policy
13.
Application Submission & Review Policies
14.
Appeals Policy
15.
Expiration Policy
16.
Certification Challenge Policy
17.
Project Monitoring Policy
18.
Use and Disclosure of Submitted Information Policy
19.
Trademarks Policy: Branding, Logos & Plaques
03
03
04
05
07
07
08
08
09
10
13
17
18
20
22
22
26
26
29
Rating System-Specific Appendices
A.
LEED for New Construction and Major Renovations
B.
LEED for Commercial Interiors
C.
LEED for Core and Shell Development
D.
LEED for Existing Buildings
E.
LEED for Neighborhood Development
33
41
48
55
61
Program-Specific Appendices
A.
LEED Volume Program
B.
LEED Multiple Buildings and On-Campus Buildings Program
72
88
Pricing Appendices
A.
General LEED Certification Program Fees
B.
Rating System-Specific Fees
C.
Program-Specific Fees
94
96
97
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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 “ProgramSpecific 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
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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 SystemSpecific 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
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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 [ ].
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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.
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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.
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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
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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
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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 systemspecific 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.
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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 siteuser 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.
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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.
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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)
ii)
iii)
iv)
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.
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.
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.
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.
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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
Registration Closed
(Sunset Date Established)
Sunset Date Passed
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 systemspecific 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
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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
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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 legal@gbci.org. If a LEED certified project changes hands to a new owner,
GBCI must be notified by email sent to legal@gbci.org. 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 legal@gbci.org 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 legal@gbci.org. 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.
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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,
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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
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“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:
LEED Online v3
LEED Online v2
Platform
Rating System
NC
NC
CS
Schools
CI
EB
EB: O&M
NC
NC-Retail
CS
Schools
CI
CI-Retail
EB: O&M
Healthcare
Version
2.2
2.1
2
2007
2
2
2008
2009
2009
2009
2009
2009
2009
2009
2009
Affected credits
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1.3 (A&B), EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EAc2.1, EAc2.2, EAc2.3, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1, EQp1
EAp1, EAp2, EAc1.3, EQp1
EAp1, EAp2, EAc1.3, EQp1
EAp1, EAp2, EAc1, EAc2.1, EAc2.2, EAc2.3, EQp1
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 legal@gbci.org.
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
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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.
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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
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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.
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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 documentationbased 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,
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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:
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18.1.3 Collection, Analysis and Distribution of Project Performance Data:
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.
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.
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
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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
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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
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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
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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.
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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
LEED 2009 for New Construction and Major Renovations
LEED 2009 Italia Nuove Costruzione e Ristrutturazioni
LEED for New Construction: Version 2.2
LEED for New Construction: Version 2.1
LEED for New Construction: Version 2.0
LEED for Retail: New Construction
LEED 2009 for Schools
LEED for Schools v2.0
LEED 2009 for Healthcare: New Construction and Major Renovations
Rating System Abbreviation
LEED-NC 2009
LEED-NC Italia 2009
LEED-NC v2.2
LEED-NC v2.1
LEED-NC v2.0
LEED-Retail: NC
LEED-Schools 2009
LEED-Schools 2.9
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.
9.
10.
11.
12.
13.
LEED Online
Project Registration
Formal Inquiries
Documentation Requirements
Registration Cancellation Policy
Application Submission & Review Policies
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35
35
35
35
37
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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-NC 2009
LEED-NC Italia 2009
LEED-NC v2.2
LEED-NC v2.1*
LEED-NC v2.0*
LEED-Online version 3
(LO3)
Yes
Yes
No
No
No
LEED Online version 2
(LO2)
No
No
Yes
Yes
No
Excel Letter Templates
(Paper/CD application)
No
No
No
Yes
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-HC: NC 2009
LEED-Online version 3
(LO3)
Yes
LEED Online version 2
(LO2)
No
Excel Letter Templates
(Paper/CD application)
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
LEED-Online version 3
(LO3)
Yes
LEED Online version 2
(LO2)
No
Excel Letter Templates
(Paper/CD application)
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
LEED-Schools v2.0
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LEED-Online version 3
(LO3)
Yes
No
LEED Online version 2
(LO2)
No
Yes
January 1, 2012
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(Paper/CD application)
No
No
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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.
11. DOCUMENTATION REQUIREMENTS
NC 11.2.1 Narrative Length & Format – Narratives submitted for LEED 2009 Italia Nuove
Costruzione e Ristrutturazioni may be submitted in English or Italian.
12. REGISTRATION CANCELLATION POLICY
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
NC 2009
NC Italia 2009
NC v2.2
NC v2.1
NC v2.0
Registration Open
Registration Open
Registration Closed
Sunset Date Passed
Sunset Date Passed
Apr 27, 2009
June 1, 2011
Nov 15, 2005
Nov 13, 2002
Mar, 2000
TBD*
TBD*
June 27, 2009
Dec 31, 2005
Nov 13, 2002
Application
Sunset Date
TBD*
TBD*
June 27, 2015
Dec 15, 2011
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.
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Version
Status
Registration Opened
Registration Closed
Healthcare: NC
2009
Registration Open
Nov 16, 2010
TBD*
Application
Sunset Date
TBD*
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
Table NC 12.2c 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.
Version
Status
Registration Opened
Registration Closed
Retail: NC 2009
Registration Open
Nov 16, 2010
TBD*
Application
Sunset Date
TBD*
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
Table NC 12.2d Rating System Dates: LEED for Schools
The table below lists important dates and statuses for each version of LEED for Schools.
Version
Status
Registration Opened
Registration Closed
Schools 2009
Schools 2007
Registration Open
Registration Closed
Apr 27, 2009
Apr, 2007
TBD*
June 27, 2009
Application
Sunset Date
TBD*
June 27, 2015
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
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.
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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
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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
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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.
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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.
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Rating System-Specific Appendix
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-CI 2009
LEED-CI v2.0
LEED-Retail: CI
LEED 2009 for New Commercial Interiors
LEED for Commercial Interiors: Version 2.0
LEED for Retail: Commercial Interiors
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.
12.
13.
LEED Online
Registration Cancellation Policy
Application Submission & Review Policies
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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)
Yes
No
LEED-CI 2009
LEED-CI v2.0
LEED Online version 2
(LO2)
No
Yes
Excel Letter Templates
(Paper/CD application)
No
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
LEED-Online version 3
(LO3)
Yes
Retail: CI 2009
LEED Online version 2
(LO2)
No
Excel Letter Templates
(Paper/CD application)
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.
Version
Status
Registration Opened
Registration Closed
CI 2009
CI v2.0
Registration Open
Registration Closed
Apr 27, 2009
Nov 17, 2004
TBD*
June 27, 2009
Application
Sunset Date
TBD*
June 27, 2015
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
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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.
Version
Status
Registration Opened
Registration Closed
Retail: CI 2009
Registration Open
Nov 16, 2010
TBD*
Application
Sunset Date
TBD*
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
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
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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 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
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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.
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 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
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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:
4) 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
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.
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).
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.”
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.
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
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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.
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Rating System-Specific Appendix
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-CS 2009
LEED-CS v2.0
LEED 2009 for Core and Shell Development
LEED for Core and Shell: Version 2.0
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.
12.
13.
LEED Online
Registration Cancellation Policy
Application Submission & Review Policies
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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
LEED-CS 2009
LEED-CS v2.0
LEED-Online version 3
(LO3)
Yes
No
LEED Online version 2
(LO2)
No
Yes
(Paper/CD application)
No
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.
12. REGISTRATION CANCELLATION POLICY
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.
Version
Status
Registration Opened
Registration Closed
CS 2009
CS v2.0
Registration Open
Registration Closed
Apr 27, 2009
July 31, 2006
TBD*
June 27, 2009
Application
Sunset Date
TBD*
June 27, 2015
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
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
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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 LEEDOnline 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)
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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:
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:
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
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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.
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 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
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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
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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.
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.
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Rating System-Specific Appendix
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
LEED 2009 for Existing Buildings: Operations and Maintenance
LEED for Existing Buildings: Operations and Maintenance
LEED for Existing Buildings: Version 2.0
Rating System Abbreviation
LEED-EB:O&M 2009
LEED-EB:O&M
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.
7.
12.
13.
LEED Certification Policy Manual Updates & Revisions Policy
LEED Online
Registration Cancellation Policy
Application Submission & Review Policies
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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
LEED EB:O&M
LEED-EB v2.0
LEED-Online version 3
(LO3)
Yes
No
No
LEED Online version 2
(LO2)
No
Yes
Yes
Excel Letter Templates
(Paper/CD application)
No
No
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.
12. REGISTRATION CANCELLATION POLICY
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.
Version
Status
Registration Opened
Registration Closed
EB: O&M 2009
EB: O&M 2008
Registration Open
Registration Closed
Apr 27, 2009
Mar 8, 2008
TBD*
June 27, 2009
Application
Sunset Date
TBD*
June27, 2015
EB v2.0
Registration Closed
Nov 17, 2004
May 31, 2008
May 31, 2014
*TBD – To Be Determined. At the time of publishing, a sunset date has yet to be determined for the applicable rating system
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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.
13. APPLICATION SUBMISSION & REVIEW POLICIES
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
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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.
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 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.
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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:
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:
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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).
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.
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Rating System-Specific Appendix
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-ND 2009
LEED 2009 for Neighborhood Development
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.
9.
10.
12.
13.
15.
19.
Minimum Program Requirements (MPRs)
Project Registration
Formal Inquiries
Registration Cancellation Policy
Application Submission & Review Policies
Smart Location and Linkage (SLL) Prerequisite Review
Full-Stage Submission & Review Policies
Expiration Policy
Trademarks Policy: Branding, Logos & Plaques
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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
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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 (Precertification), 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 (Precertification), 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.
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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.
10. FORMAL INQUIRIES 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
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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 PreCertified 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.
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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
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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 fullstage 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 fullstage 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
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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
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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
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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.
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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.
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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.
3.
4.
5.
6.
9.
10.
11.
12.
13.
14.
15.
16.
Program-Specific & Rating System-Specific Appendices
LEED Certification Policy Manual Updates & Revisions Policy
LEED Green Building Rating Systems
Minimum Program Requirements (MPRs)
LEED Reference Guides
Project Registration
Formal Inquiries
Documentation Requirements
Registration Cancellation Policy
Application Submission & Review Policies
Appeals Policy
Expiration Policy
Certification Challenge Policy
Volume Program Glossary
73
73
73
74
74
74
76
77
78
79
84
85
85
86
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2. PROGRAM-SPECIFIC & RATING SYSTEM-SPECIFIC APPENDICES
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
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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
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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
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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 Portfolio
Administrator
Prototype
Administrator
Volume Project
Administrator
Add/delete Team Members Assign Credits Portfolio
Prototype
Volume
Project
Prototype
Volume
Project
Yes
Yes
Yes
Yes
Yes
No
Yes
Yes
Yes
Yes
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.
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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.
11. DOCUMENTATION REQUIREMENTS
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 creditspecific QC process must demonstrate how LEED documentation for the prototype
credit will be checked by multiple parties in the organization.
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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 projectspecific 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.
12. REGISTRATION CANCELLATION POLICY
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
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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.
13. APPLICATION SUBMISSION & REVIEW POLICIES
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
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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.
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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:
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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
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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)
ii)
iii)
the source of, and scope of, the failure in the QC process for the audited project;
all related issues on other volume projects under the prototype that have not been
certified including those that have not yet been submitted; and
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
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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 reprecertifying 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.
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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.
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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.
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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, organizationlevel 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.
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Program-Specific Appendix
LEED MULTIPLE BUILDING AND ONCAMPUS 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.
3.
4.
9.
10.
11.
13.
14.
16.
Program-Specific and Rating System-Specific Appendices
LEED Certification Policy Manual Updates & Revisions Policy
LEED Green Building Rating Systems
Project Registration
Formal Inquiries
Documentation Requirements
Application Submission and Review Policies
Appeals Policy
Certification Challenge Policy
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2. PROGRAM-SPECIFIC & RATING SYSTEM-SPECIFIC APPENDICES
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.
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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.
10. FORMAL INQUIRIES
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 oncampus 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.
11. DOCUMENTATION REQUIREMENTS
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 oncampus 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 oncampus 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 oncampus 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.
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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 OnCampus 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 noncontiguous 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.
13. APPLICATION SUBMISSION & REVIEW POLICIES
Under the Multiple Buildings and On-Campus
MBC 13.1 LEED Certification Application Review:
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
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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 rereview 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.
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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
B.
Rating System-Specific Fees
C.
Program-Specific Fees
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96
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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.
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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 50,000- 500,000
Square Feet*
Square Feet*
LEED for New Construction, Commercial
Interiors, Schools, Core & Shell full certification
Design Review
USGBC Members
Non-Members
Expedited Fee**
Construction Review
USGBC Members
Non-Members
Expedited Fee**
Combined Design & Construction Review
USGBC Members
Non-Members
Expedited Fee**
LEED for Existing Buildings
Initial Certification Review
USGBC Members
Non-Members
Expedited Fee**
Recertification Review***
USGBC Members
Non-Members
Expedited Fee**
LEED for Core & Shell: Precertification
USGBC Members
Non-Members
Expedited Fee**
Fixed Rate
Based on Gross
Floor Area*
More Than
500,000 Square
Feet*
Fixed Rate
$2,000
$0.04/sf
$20,000
$2,250
$0.045/sf
$22,500
$5,000 regardless of gross floor area
$500
$0.010/sf
$5,000
$750
$0.015/sf
$7,500
$5,000 regardless of gross floor area
$2,250
$0.045/sf
$22,500
$2,750
$0.055/sf
$27,500
$10,000 regardless of gross floor area
Based on Gross
Fixed Rate
Fixed Rate
Floor Area*
$1,500
$0.03/sf
$15,000
$2,000
$0.04/sf
$20,000
$10,000 regardless of gross floor area
$750
$0.015/sf
$7,500
$1,000
$0.02/sf
$10,000
$10,000 regardless of gross floor area
Fixed Rate
$3,250
$4,250
$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
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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.
** 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:
Appeals:
First Level Appeal Fee:
Expedited First Level Appeal Fee:
Final Level Appeal Fee:
Expedited Final Level Appeal Fee:
General:
$500
$1,000
$500
$1,000
Complex:
$800
$1,300
$800
$1,300
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
LEED Interpretation Fee
$220
$180/$380* (members/non-members)
* LEED Interpretation Fees are remitted to USGBC
Certification Challenges:
Written Review Fee:
Hearing Fee:
Appeal Fee:
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$1,000
$2,500
$2,500
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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)
Initial Stage Review For
Projects 320 Acres Or
More
Expedited Initial Stage
Review
$350
(Per-Acre Fee for Each Additional
Acre)
$123,000
(Flat Fee)
$25,000*
$350
$10,000
Subsequent Stage Review
(Per-Acre Fee for Each Additional
(Total for first 20
For Projects Under 320
Acre)
Acres)
Acres **
Subsequent Stage Review
$115,000
For Projects 320 Acres
(Flat Fee)
Or More**
Expedited Subsequent
$15,000*
Stage Review**
*
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.
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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 Programspecific appendix in this document.
The table below summarizes the program costs, as well as the payment triggers.
Basic Program Fees
Transaction
Program Admission Fee
USGBC Members
Non-members
Prototype Fee
(same for all prototype sizes)
USGBC Members
Non-members
Fee
Trigger
$10,000
At participant’s entry into the program
$15,000
At participant’s entry into the program
$30,000
At prototype registration
$45,000
At prototype registration
Volume Projects Fee*
Purchase of first volume project
bundle
Initial 25-project bundle
$35,000
Second 25-project bundle
$15,000
Subsequent 25-project bundles
$10,000
Purchase of second volume project
bundle
Purchase of third, fourth, etc. volume
project bundle
Additional Fees
Transaction
Fee
Trigger
Corrective Action Fee
$20,000
Additional Credit, Re-Precertified Credit, Additional
Credit Approach, Appeal, or CIR Review
(Prototype)
$1,000
Individual Credit, Appeal, or CIR Review
(Volume Project)
$500
*Volume project bundles expire after
three years.
Submission of a corrective action
report following a failed volume
project
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
Submission of individual credits,
appeals, or CIRs for a volume project.
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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.
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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
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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.
Design Review
USGBC Members
Non-Members
Master Site
Individual Campus Project*
$1,200
$1,500
20% discount from standard certification fees**
$500
$750
20% discount from standard certification fees**
$1,500
$2,000
20% discount from standard certification fees**
Construction Review
USGBC Members
Non-Members
Combined Review
USGBC Members
Non-Members
Additional Fees
Additional Credit
Appeals
Project CIRs
Expedited Fee***
$500
$500 per credit
$220 per credit
N/A
$500 per credit
$220 per credit
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.
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