Frequently Asked Questions
What are the Guiding Principles?
The Guiding Principles are found in: "Federal Leadership in High Performance and Sustainable Buildings Memorandum of
Understanding (MOU)." The MOU was the Federal effort to define guiding principles of green building and to provide
leadership in the design, construction, operation, and maintenance of high performance and sustainable buildings.
The five Guiding Principles address:
· Employing integrated design;
· Optimizing energy performance;
· Protecting and conserving water;
· Enhancing indoor environmental quality; and
· Reducing the environmental impact of materials.
President Bush signed Executive Order 13423, "Strengthening Federal Environmental, Energy and Transportation
Management," on January 24, 2007. The EO makes mandatory the five Guiding Principles of the MOU for all new
construction and major renovations and sets an aggressive goal for applying these practices to 15 percent of the existing
building portfolio by 2015.
How are the Guiding Principles to be applied?
All new construction and major renovations are required to meet the Guiding Principles unless waived by the Acquisition
Executive. The Guiding Principles are to be applied to 15% of the Department of Energy’s Existing Building Portfolio by
2015.
All new buildings will incorporate the Guiding Principles of EO 13423 to the extent practical and lifecycle cost effective. As of
October 1, 2008, all new buildings and major buildings renovations at Critical Decision 1 (CD-1) or lower, with a value
exceeding $5 million, must implement the Guiding Principles of the Executive Order and attain U.S. Green Building Council
(USGBC) LEED® Gold certification. All new construction or major renovation projects must incorporate renewable energy
equipment into building design to the maximum extent feasible.
Existing buildings: All programs that own or lease real property must develop and implement a plan, as part of the
Executable Plan, to ensure that 15 % of existing buildings are compliant with the guiding principles of Executive Order
13423. The plan needs to be documented within their Ten Year Site Plans.
When should sustainable design criteria be considered?
DOE O 413.3A requires the Federal Project Director to identify in the conceptual design report and the acquisition strategy
how the project will meet or contribute to meeting the HPSB principles. The key to successfully incorporating HPSB into a
project is to use integrated design principles, as early as possible, and throughout the life of the project to both establish
expectations up front and provide the framework for tracking progress throughout the project.
Can a waiver be attained?
The process and procedures required for obtaining a waiver, exemption, or exclusion are set forth in DOE O430.2B,
Departmental Energy, Renewable Energy and Transportation Management."
In the event that a project manager has compelling reasons for attaining a certification other than LEED® Gold, or believes
that a certification can be attained from a nationally recognized certification program that exceeds LEED® Gold The pr
requirements, or to claim any exemptions, such project manager may seek to obtain a waiver from the Acquisition Executive
made in consultation with the Senior Agency Official (SAO).
A waiver for exemptions should be submitted as early as reasonable in the CD-process and not later than CD-1 to minimize
the impact from HPSB decision-making and changes on the project.
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The Federal project director should explain, in the conceptual design report and the acquisition strategy, the rationale for
claiming any exemptions to incorporating some or all of the HPSB principles into the project. This includes buildings
categorically excluded under the Energy Policy Act of 2005 for energy performance requirements, projects that are waived by
the acquisition executive, or building components and practices determined and documented by the
integrated project team as not being life-cycle cost-effective.
In no case will a waiver permit any construction or renovation project that does not meet or exceed statutory goals, including
the achievement of credits to exceed the ASHRAE 90.1-2004 standard by at least 30 percent, and that does not address
each of the five elements of the Guiding Principles. Progress in meeting this requirement will be tracked by the cognizant
Acquisition Executive.
What is a major building renovation?
Major building renovation is defined as a construction activity that results in: 1) replacement of the real property record, or 2)
renovation to change of the building usage code (conversion), or 3) significant restoration of an existing building to bring it up
to current codes and standards. In the case of option 3 - reasonable interpretation must be made by the prudent facility
manager. In general, such a significant renovation typically performs wholesale replacement of building retirement units such
as restoration of multiple floors; or wholesale replacement of at least four major building systems (HVAC, electrical,
plumbing, fire protection, life safety, security, building envelop). These activities either return a building to like new or other
significantly extend its useful life.
What is the USGBC?
The US Green Building Council (USGBC) is a non-profit organization that promotes sustainable, energy efficient and
environmentally friendly buildings through a performance based rating system known as Leadership in Energy and
Environmental Design (LEED®).
What are the LEED® rating systems?
The LEED® rating systems are voluntary, consensus-based, market-driven and performance-oriented systems developed to
provide owners with a mechanism to evaluate the design and performance of their buildings. The ratings systems are divided
into several categories, including:
LEED® NC – New Construction
LEED® CI – Commercial Interiors
LEED® CS – Core and Shell
LEED® EB – Existing Building, Operations and Maintenance
When should I be considering LEED®?
All new buildings will incorporate the Guiding Principles of EO 13423 to the extent practical and lifecycle cost effective. As of
October 1, 2008, all new buildings and major buildings renovations at Critical Decision One (CD-1) or lower, with a value
exceeding $5 million, must implement the Guiding Principles of the Executive Order and attain U.S. Green Building Council
LEED Gold certification. Follow USGBC LEED guidelines and submittal requirements located at www.usgbc.org.
Is LEED certification required for Existing Buildings?
No, LEED® certification is not required.
Does an existing USGBC LEED® certified building meet the Guiding Principles?
Yes. Department of Energy LEED® certified projects complete or under construction by October 2008 can be applied to the
goal of meeting the Guiding Principles.
By meeting the Guiding Principles do we meet the criteria for LEED Gold?
No. Additional LEED® credits will need to be achieved.
What is a LEED AP?
LEED® AP stands for LEED Accredited Professional.
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What is the difference between LEED registration and certification?
LEED® registration is the first step to getting your project LEED® certified. Projects can register with the USGBC online at
www.USGBC.org and are eligible to download credit templates and other resources once registration has been complete.
LEED registration notifies the USGBC that you plan to attempt LEED certification, and requires general information about
your project scope and budget.
LEED certification is the independent, third-party verification that a building project meets the performance requirements of
the USGBC rating system. Certified projects receive a LEED® plaque and national recognition by having the project featured
within a USGBC publication or online.
What is the process for LEED® certification?
- Register Project via www.USGBC.org
- Identify points in each category by performing a checklist provided by the USGBC
- Design and Construct to meet the point requirements
- Submit certification application to the USGBC for review and comment
- Receive LEED certification
Do we need to use the HPSB Guiding Principles Checklist for Existing Buildings and the Assessment Compliance
Forms?
DOE has modified the LEED® EB checklist to serve as an assessment tool to evaluate whether a building has met the
Guiding Principles and to assess potential LEED points. Using the Checklist gives you a quick snapshot of the percentage of
Guiding Principles and LEED credits achievable or achieved. The checklist can be used for final assessment to verify that
you have met 100% of the Guiding Principles and have documentation that complies with the Guiding Principles or LEED®
credits. The Assessment Compliance Forms allow a site to document that they have the required documentation to meet the
intent of each Guiding Principle.
How should we do an assessment?
An assessment is the entire process by which existing buildings in the portfolio are identified to meet the 15% requirement
and by which actions are taken to meet the goal and document compliance. The assessment includes fives steps:
assembling the project team, the initial assessment to identifying suitable buildings, the final assessment to comply and
document, reassessment as needed, and reporting. Each step is explained on the Instructions for Existing Buildings tab.
Only buildings (for this purpose, the term building includes real property trailers) are to be assessed. The universe of
buildings includes all buildings owned and leased by the Department of Energy. However, certain buildings are exempt from
the assessment requirement. These include:
· Any buildings that are under 1,000 gross square feet.
· Any building that is excess, shutdown and utility service disconnected.
· Buildings that are out-granted in their entirety to an entity outside the Department who is wholly responsible for all costs as
long as the out grant exists beyond FY2015.
· Any building in a shutdown pending disposition status as long as the disposition is planned to occur before FY2015.
What documentation is required?
Each Guiding Principle on the Checklist for Existing Buildings corresponds to an Assessment Compliance Form that
describes the documentation required to verify compliance.
The Real Property Owning Program should develop and sponsor the establishment of guidance and procedures as required
for the organization to ensure compliance with DOE policies. The guidance and procedures must include the controls
necessary to ensure that the Assessment Compliance Forms are kept current including any related database, and that the
records are reconciled based on periodic inventories. The records should include the appropriate documents to meet
reporting requirements. The records on site should include the appropriate back-up documents to meet reporting
requirements.
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How does the Assessment Compliance Tool relate to FIMS?
The Secretary's memorandum of February 29, 2008 on DOE Leadership in High Performance and Sustainable Buildings
states that progress will be tracked in DOE's Facilities Information Management System (FIMS) for meeting the EO 13423
requirement to ensure that 15% of the existing buildings are in compliance with the Guiding Principles by 2015 for both DOE
existing owned and leased space. Results of site sustainability assessments for compliance with the Guiding Principles will
be reported in FIMS at the building level and aggregated to the site and program levels.
Can a PSO prepare one Summary Checklist for multiple buildings as a base template?
Yes, a PSO may consider completing one Compliance Summary Checklist or Existing Buildings Checklist as a base
template for multiple buildings that exist on one site as a means to facilitate the assessments. The Site may have a single
purchasing policy for paints and adhesives or have standard construction specifications. If these correspond to Guiding
Principles, then they may be documented once on a "campus" template. However, documentation is still required for those
measures that are building specific.
What is included in design and construction costs?
When determining project cost, include construction costs (labor, materials, equipment, finances, services, utilities,
overhead, contractor’s profit) and soft costs (architectural and engineering fees, legal fees, pre- and post-construction
expenses). Do not include non-infrastructure equipment costs (such as for computing and audio visual equipment) or
consider the source of funding when determining project cost.
What happens if the Guiding Principles change?
The Guiding Principles may change as the Interagency Sustainable Buildings Working Group reviews building practices.
DOE's High Performance and Sustainable Buildings Working Group will provide updated guidance as appropriate.
What is the Interagency Sustainability Working Group (ISWG)?
The Interagency Sustainability Working Group (ISWG) was established in September 2001 in response to Executive Order
13123–Greening the Government Through Efficient Energy Management. Under the new executive order, Executive Order
13423–Strengthening Federal Environmental, Energy, and Transportation Management, issued in January 2007, the ISWG
is charged by the executive order Steering Committee to provide interagency assistance for implementing the EO 13423
sustainable building design requirements.
Is there a website that describes Executive Order 13423 and the High Performance and Sustainable Building
Guiding Principles?
Yes. The Whole Building Design Guide at: http://www.wbdg.org
Who do I contact at the Department of Energy for assistance?
Your Program's Headquarters Energy or Real Property Points of Contact.
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