PERFORMANCE TESTING

QUALITY ASSURANCE MANUAL

2018/2019 EDITION

GBCI November 2018 Page 1

 Table of Contents
1 Introduction .......................................................................................................................................... 4
1.1 GUIDING PRINCIPLES..................................................................................................................... 4
1.2 EXPECTATIONS OF PERFORMANCE TESTING AGENTS .................................................................. 5
1.3 ROLE OF GBCI CERTIFICATION ...................................................................................................... 5
1.4 THIRD-PARTY ASSESSMENTS ......................................................................................................... 6
1.5 DEFINITIONS .................................................................................................................................. 6
2 Overview ............................................................................................................................................... 8
2.1 CERTIFICATION PROCESS .............................................................................................................. 8
2.2 PERFORMANCE TESTING PROCEDURES ........................................................................................ 8
2.3 FOLLOW-UP POST SITE VISIT ....................................................................................................... 10
2.4 QUALITY REVIEW BY GBCI ........................................................................................................... 11
2.5 CURATIVE ACTION and APPEAL REVIEWS (OPTIONAL) ............................................................... 11
2.6 CUSTOMER SERVICE .................................................................................................................... 11
2.7 REVIEW CHALLENGE POLICY ....................................................................................................... 11
2.8 CERTIFICATION CHALLENGE POLICY ........................................................................................... 12
3 Roles and Responsibilities ................................................................................................................... 13
3.1 PROJECT TEAM ROLES ................................................................................................................. 13
3.2 PERFORMANCE TESTING ORGANIZATION .................................................................................. 13
3.3 CERTIFICATION BODY (GBCI) ....................................................................................................... 13
4 Quality Assurance and Quality Control ............................................................................................... 14
4.1 QUALITY ASSURANCE EXPECTATIONS FROM PERFORMANCE TESTING AGENTS ....................... 14
4.2 QUALITY MANAGEMENT PLAN ................................................................................................... 14
4.3 GBCI QUALITY OVERSIGHT PROCESS .......................................................................................... 15
4.4 QUALITY MONITORING AND EVALUATION BY GBCI ................................................................... 15
4.5 AUDITS BY GBCI ........................................................................................................................... 16
5 Impartiality .......................................................................................................................................... 19
5.1 CONFLICT OF INTEREST POLICY................................................................................................... 19
5.2 INTRODUCTION TO CONFLICTS OF INTEREST ............................................................................. 19
5.3 OVERVIEW OF CONFLICT OF INTEREST ....................................................................................... 20
5.4 DEFINING AND IDENTIFYING CONFLICTS OF INTEREST .............................................................. 20
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 5.5 NON-CONFLICTED SERVICES ....................................................................................................... 21
5.6 BEST PRACTICES TO AVOID OR MINIMIZE CONFLICTS OF INTEREST .......................................... 21
5.7 VIOLATIONS OF THE COI POLICY ................................................................................................. 22
6 Professional Conduct .......................................................................................................................... 23
6.1 PROFESSIONAL CONDUCT GUIDELINES ...................................................................................... 23
6.2 ANTI-HARASSMENT POLICY ........................................................................................................ 24
6.3 DISCIPLINARY ACTION POLICY..................................................................................................... 25
6.4 PROBATION ................................................................................................................................. 26
6.5 REVOCATION ............................................................................................................................... 26
6.6 APPEAL PROCESS ......................................................................................................................... 26

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1 Introduction
This document, the Performance Testing Quality Assurance Manual, has three primary purposes: to
serve as a reference document for Performance Testing Agents; to provide guidelines for administering
quality assurance over the performance testing process; and to improve consistency of performance
testing services delivered by Performance Testing Agents.

Adherence to the guidance in this manual will maintain a high level of consistency and accuracy with
performance testing services, and in turn maintain a high level of integrity for the WELLTM Certification
program. All Performance Testing Agents, including GBCI staff and organizations contracted with GBCI
are required to follow the guidance contained in this Quality Assurance Manual.

1.1 GUIDING PRINCIPLES

Green Business Certification Inc. employs five guiding principles to support the vision and mission of the
organization. These provide a foundation for operational strategy and growth, and serve as a tool for
evaluating both successes and new challenges. These principles are particularly relevant for conducting
performance testing services:

Assuring Validity and Quality

We ensure rigor in the design, development and implementation of the processes we use to
measure green building performance (certification) and green building practice (credentialing).
Our approaches and methodologies are designed for consistency and objectivity to assure the
validity of our certifications and credentials.

Ensuring Transparency and Clarity

We are open and authentic in the way we do business and the information we make available.
We operate within the standards and guidelines of our business. The way we conduct our
business—with a deep sense of integrity and ethical responsibility—creates a sense of
predictability in the marketplace. Our stakeholders know what they can expect from us.

Adapting to Change
We practice continuous improvement and adapt to the changing needs of the global
marketplace, advancing our knowledge and expertise to move the green building industry
forward.

Providing Excellence in Service

Our focus is on building relationships with those we serve. We provide excellence through high-
quality responsiveness to our clients and customers. Our goal is to support and partner with our
stakeholders for the long‐term.

Driving Change to Create a Lasting Impact on the World

We affect the green building environment in an enduring way by verifying knowledge and
performance. We influence long‐term beneficial change by focusing on results that matter and
recognizing leadership in the field. We feel a personal and organizational responsibility for
creating global change that is economically, environmentally, and socially sustainable and
lasting.
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1.2 EXPECTATIONS OF PERFORMANCE TESTING AGENTS
1.2.1 Confidentiality of this document
This document is an internal work product and contains proprietary GBCI information and as such may
only be shared with persons directly involved in conducting performance testing or overseeing
performance testing services. This includes GBCI staff and Performance Testing Agents.

1.2.2 Sufficient Demonstrated Competence

Performance Testing Organizations and Performance Testing Agents are expected to maintain current
familiarity with WELL program published documents, all referenced industry standards and GBCI
guidance documents. They are expected to check for updates on a quarterly basis, at minimum

Each Performance Testing Organization is responsible for maintaining sufficient environmental testing
expertise to complete technically sound performance testing in compliance with documents published by
IWBI, in particular WELL v2 TM and the WELL Performance Verification Guidebook TM.

Performance Testing Organizations are required to meet the following in order to maintain their
approved status:
i. Maintaining at least one approved Performance Testing Agent on staff
ii. Maintaining at least one WELL AP on staff
iii. Completing at least one project per year
iv. Maintain an average customer satisfaction rating of 4 stars (see Section 4.4)
v. Maintain an average GBCI quality score of 4.5 with no score falling below 4.0 (see section 4.4)

Individual Performance Testing Agents are required to meet the following in order to maintain their
approved status:
i. Completing at least one project per year
ii. Maintain an average customer satisfaction rating of 4 stars (see Section 4.4)
iii. Maintain an average GBCI quality score of 4.5 with no score falling below 4.0 (see section 4.4)

1.2.3 Document Access and Version Control

Each Performance Testing Agent is responsible for ensuring that they have convenient access to all
necessary reference documents, including, but not limited to: the WELL Building StandardTM, WELL v2,
WELL Performance Verification Guidebook, WELL Certification Guidebook, any document that GBCI
publishes as guidance for Performance Testing Organizations and Agents (for example, this document),
and any standard referenced in the WELL Building Standard or WELL Performance Verification
Guidebook.

It is the responsibility of each Performance Testing Organization and individual Performance Testing
Agent to ensure that other members of the performance testing team adhere to the most current
versions of GBCI guidance documents, including the Performance Testing Quality Assurance Manual.

1.3 ROLE OF GBCI CERTIFICATION

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Established in 2008, GBCI exclusively administers project certifications, professional credentials, and
certificates within the framework of the U.S. Green Building Council’s Leadership in Energy and
Environmental Design (LEED) green building rating systems as well as the PEER standard for power
systems, the WELL Building Standard, the Sustainable Sites Initiative (SITES®), the EDGE Green Building
Certification system, ParkSmart, TRUE Zero Waste, Investor Confidence Project IREE and the GRESB
benchmark, which is used by institutional investors to improve the sustainability performance of the
global property sector.

GBCI provides third-party verification services for certification and credentialing through a scientific
process by which a product, process or service is reviewed by a reputable and unbiased third party to
verify that a set of criteria, claims or standards are being met. Certification and credentialing are used
within the global green building industry to demonstrate credibility, provide a metric for comparisons
and add significant value. GBCI facilitates the WELL certification process, oversees quality and
consistency for each Performance Testing Organization and Performance Testing Agent and evaluates
their work on an ongoing basis.

In addition to issuing all WELL Certifications, GBCI:

i. Credentials WELL Accredited Professionals

ii. Evaluates and approves Performance Testing Organizations and Performance Testing Agents
iii. Administers quality assurance policies and issues related policy documents
iv. Issues and enforces GBCI Professional Conduct and Disciplinary Guidelines

Performance Testing Organizations deliver performance testing services under the oversight of GBCI,
and their Performance Testing Agents are expected to review and assess individual features according to
published requirements.

1.4 THIRD-PARTY ASSESSMENTS

One of the core strengths of the WELL Certification model is that the program features are all reviewed
and assessed by an impartial third party. Third-party assessment is essential to the integrity of the
program because it gives property owners confidence and reassurance that their project is being
constructed the way it was designed.

1.5 DEFINITIONS
The following definitions are used consistently throughout this document to refer to parties involved in
the WELL Certification process:

Project team: an individual or team seeking WELL Certification of a building or space.

Green Business Certification Inc. (GBCI): organization that manages the accreditation of
individuals and the certification of WELL buildings.

WELL Reviewer: an individual who provides review of performance verification submittals for
projects applying for WELL certification.

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 International Well Building Institute (IWBI): developer of the WELL Building Standard.

Performance Testing Organization: organization authorized by GBCI to conduct the required

performance testing for projects pursuing WELL Certification.

Performance Testing Agent: individual authorized by GBCI to conduct the required performance
testing for projects pursuing WELL Certification.

Performance Verification Guidebook: This guidebook summarizes the performance testing and
submittal requirements for each performance test within the WELL Building Standard.

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2 Overview
2.1 CERTIFICATION PROCESS
Design & Construction Operation
Project Team

Register project on Prepare project Prepare Performance

WELL Online strategies documentation testing

Approved
Optiona l: submit Submit for
for D&O verifi cation review
Submit for
doc review Approved
performance review

Design and Complete Complete

GBCI

Operations documentation performance

verification review review review

2.1.1 Performance Verification

After the project is complete, the project team will contract with a Performance Testing Organization to
conduct the performance testing. The Performance Testing Agent assigned to the project must verify
(via performance testing) that the performance requirements have been met. The Performance Testing
Agent submits the performance testing results to GBCI for review. The Performance Testing Agent may
communicate the results of the performance testing to the project team but may not indicate that a
feature is earned/awarded or that a project will achieve certification. The project may require additional
site visits to address non-conforming features.

2.2 PERFORMANCE TESTING PROCEDURES

2.2.1 Preparation before going on site
The Performance Testing Agent should be familiar with the documentation-phase submittal, the project
schedule, confirm that any construction on the project has been completed, all policies and operational
strategies are in place and the project has reached a point of readiness for performance testing before
going on site.

Prior to going on site, the Performance Testing Agent completes the following preparatory tasks:
i. Request the name of a primary point of contact on the site. This individual should have
the authority to ensure that the Performance Testing Agent has access to all areas of the
site associated with the assessment, and be available on site during the entire duration
of the Performance Testing Agent’s site visit (including after regular operating hours)
ii. Communicate with the project team on the date(s) and time(s) of a visit and clearly
outline expectations including any steps the project team must take to prepare for the
site visit/assessment
iii. Provide the project team with a site visit agenda to clearly communicate what activities
will be done on site and approximately how long the site visit will take
iv. Prepare a site visit checklist of features to be assessed and/or tested
v. Prepare program required assessment materials (as applicable)

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 vi. Arrange sample preparation, delivery, and analysis with third-party laboratories, as
applicable
vii. Ensure that all areas within the project scope are accessible and available for testing.
Project teams with sensitive areas that they wish to exclude from testing (e.g. rooms
with security or privacy concerns) must contact GBCI for a waiver and receive approval
prior to scheduling performance testing
viii. Identify sampling locations and the measures that will be assessed in each location (if
applicable)
ix. Confirm with the project team that any construction is complete and project has
reached a point of readiness for performance testing

The Performance Testing Agent is responsible for procuring and bringing the necessary assessment
equipment. All equipment must meet the specifications described in the WELL Performance Verification
Guidebook and must be calibrated within the manufacturer’s specifications.
Each project should have an assigned Performance Testing Agent. Additional performance testing
experts or additional Performance Testing Agent’s may assist in conducting performance testing but the
primary Performance Testing Agent is responsible for the entire performance testing submittal to GBCI
and all associated quality scores and metrics associated with the submittal will be ascribed to the
primary Performance Testing Agent.

2.2.2 Conduct while on-site

While on site, the Performance Testing Agent must maintain impartiality and not convey the results of
the assessment to the project team or owner. Be professional, composed, able to quickly adapt to site
conditions that might not have been expected, and calmly update the project team representative on
any updates to the original site visit plan. The Performance Testing Agent is required to carefully record
their assessment observations for each measure evaluated and whether each measure has passed or
failed.

After the Performance Testing Agent/organization have completed their in-house quality review of the
test results for quality and accuracy, the Performance Testing Agent may provide the results to the
project team. However, the Performance Testing Agent must not indicate or imply that a feature or part
has been earned/awarded, or that the project will achieve certification. They should notify project
teams when they have submitted the testing results to GBCI for approval. The Performance Testing
Agent may not communicate the certification status of the project to the Owner or project team until
after GBCI has issued the final certification decision.

Please be reminded that as stated in the Conflict of Interest Policy (Section 5.1 of this Manual), the
Performance Testing Agent is not permitted to provide consulting, design, construction and/or
operational services or advice to the Owner or project team at any point during the certification process;
this includes during site visits.

Documentation collected on-site should capture the specific parameters of the performance testing.
Documentation should include:

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 i. Annotated documents identifying sampling locations
ii. Photographs of testing parameters (e.g., flow rates on air pumps)
iii. Photographs of the testing that has been conducted: Photographs should capture the
equipment set-up, sampling location, should be clearly numbered and labeled with
location and date stamp (mark the location of the photograph on the site plan or floor
plan), and submitted to GBCI as part of the documentation. All photographs must be
date stamped and geo-tagged.
iv. Photographs for all features requiring photographic evidence: Photographs should
capture the specific parameter that is required to be documented within context of the
project space. Photographs should not include confidential customer information (such
as drawings, paperwork or information on computer screens). Multiple photographs
may be necessary to fully document feature requirements. All photographs should be
clearly labeled with location and date stamp (mark the location of the photograph on
the site plan or floor plan), and submitted to GBCI as part of the documentation. All
photographs must be date stamped and geo-tagged. If it is not clear what is being
documented in the photograph, additional annotation on the photograph may be
necessary.

2.2.3 Liability Disclosure

The project team is solely responsible for the selection, design, installation and operation of all
strategies. The Performance Testing Agent is responsible only for reviewing and assessing compliance of
the strategy as set forth in the program requirements. As such, the assessment in no way constitutes a
warranty as to the appropriateness of the selected strategies nor the quality with which they have been
implemented. The Performance Testing Agent may wish to consider including this language in their
contract with the client.

2.3 FOLLOW-UP POST SITE VISIT

Performance Testing Agents may communicate the results of performance testing to the project team.
Project teams may conduct curative action in any areas with results that indicate that the project would
not pass the feature requirements and conduct retesting prior to the Performance Testing Agent
submitting results to GBCI. Any changes to the project space or curative action taken must be disclosed
to GBCI in the performance testing results submittal. If re-testing has occurred, non-passing results do
not need to be submitted.

If there are no outstanding items that need to be addressed by the project team, the Performance
Testing Agent must inform them when the performance testing results have been submitted to GBCI for
review. It is important to keep the project team informed on the status of their project in the
certification process. GBCI is the certification body authorized to issue certifications and will
communicate the certification outcome directly to the project team.

Additional requirements:

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 i. Report templates: GBCI will provide submittal templates for performance testing results.
Information submitted to GBCI must also include all raw data collected on site, all data
calculations, and photographs taken on site.
ii. Coordination with Third-party laboratories: For performance testing site visits, the Performance
Testing Agent is responsible for all necessary coordination with third party laboratories as
applicable and all performance testing equipment.
iii. If more than one Performance Testing Agent is providing services for a specific project, a single
Performance Testing Agent must be designated as responsible for all testing results, compiling
and submitting the performance testing results to GBCI for review. GBCI’s quality review,
feedback and quality score will be tracked to the designated Performance Testing Agent.
2.4 QUALITY REVIEW BY GBCI
After the Performance Testing Agent submits the performance testing results to GBCI, GBCI will conduct
a review of the Performance Testing Agent’s work, assess the quality and completeness of the
submission and provide feedback to the Performance Testing Agent. GBCI’s quality oversight of
Performance Testing Agents will include a desk review, and may include a conference call, site visit
and/or observation of the Performance Testing Agent in the field. If there are questions, the
Performance Testing Agent may need to request additional information from the project team as
necessary. After GBCI confirms that the Performance Testing Agent’s assessment is accurate, GBCI will
issue the Final WELL Report to the project team.

2.5 CURATIVE ACTION and APPEAL REVIEWS (OPTIONAL)

Curative action and appeal reviews provide for additional rounds of review and/or testing and allows a
project team to submit supplementary information, provide corrective action for features not awarded,
or add new features not previously attempted. If needed, the Performance Testing Agent will conduct
follow-up testing and submit their updated results to GBCI. The project team must pay additional fees to
pursue this type of curative action or appeal review. GBCI will perform a review of the updated
information submitted by the Performance Testing Agent and provide a response to the project team
with their final decision. There is no limit on how many times a project team may submit for curative
actions and appeal reviews.

2.6 CUSTOMER SERVICE

Performance Testing Agents approved by GBCI are acting as a representative of GBCI’s certification
programs and the WELL program. As such, Performance Testing Organizations and their Performance
Testing Agents are expected to act at all times with the highest degree of professionalism and ethics,
and follow the highest standard of quality customer service. It is important to note that one poor
customer experience can jeopardize perceptions about a new certification standard or program,
therefore it is essential that all Performance Testing Agents provide best-in-class customer service at all
times, without exception. GBCI will be monitoring customer satisfaction via customer satisfaction ratings
and feedback surveys that GBCI will send to project teams.

2.7 REVIEW CHALLENGE POLICY

The Review Challenge Policy protects the integrity and fairness of the certification programs
administered by GBCI. This policy is a quality check on the GBCI certification process by providing a
mechanism to challenge a review ruling rendered by GBCI. It is anticipated that resolution of technical
issues or disputes related to the requirements of a rating system or standard can be accomplished
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though our traditional customer support channels. If, however, resolution of the technical issue at hand
has not been satisfactorily achieved via GBCI’s customer support channels, the owner or project team
administrator may initiate a Review Challenge. More details on the Review Challenge Policy are available
on our website at: http://www.gbci.org/sites/default/files/gbci-review-challenge-policy.pdf.

2.8 CERTIFICATION CHALLENGE POLICY

The Certification Challenge Policy protects the integrity of the certification programs administered by
GBCI. This policy is intended to function as both a quality check on the GBCI certification process, as well
as an instrument designed to detect and remedy incidents of intentional or inadvertent
misrepresentation which result in the inappropriate award of certification. This policy is not meant to
serve as a vehicle for the adjudication of disputes between outside parties. More details on the
Certification Challenge Policy are available on our website at: http://www.gbci.org/gbci-certification-
challenge-policy

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3 Roles and Responsibilities
Each WELL project consists of a project team and Performance Testing Agent(s). GBCI is the certification
body conferring WELL Certification.

3.1 PROJECT TEAM ROLES

The project team is responsible for the design, implementation, construction and ongoing operations of
the project pursuing WELL Certification, including:
i. Registering project in WELL Online
ii. Pays registration and certification fees to IWBI
iii. Designs, builds and operates project, following all applicable code requirements
iv. Ensures compliance with all WELL features (preconditions and pursued optimizations) and
submits for optional Design + Operations review, and mandatory documentation review
v. Contracts Performance Testing Organization for mandatory performance testing services
vi. Notifies assigned Performance Testing Agent when project is ready for performance testing
vii. Accepts final WELL Certification for the project

3.2 PERFORMANCE TESTING ORGANIZATION

i. Confirms adequate training and credentials for their Performance Testing Agents
ii. Performance Testing Agent assigned to the project oversees performance testing and is
accountable for the quality and completeness of performance testing results and supporting
documentation submitted to GBCI
iii. Performance Testing Agent assigned to the project submits for Performance Verification
review

3.3 CERTIFICATION BODY (GBCI)

i. Reviews and approves applications from Performance Testing Organizations
ii. Maintains a public list of approved Performance Testing Organizations and Performing
Testing Agents
iii. Reviews WELL submittals (e.g., documentation submittal), including all mandatory
submittals for certification
iv. Reviews performance testing results submitted by Performance Testing Agents
v. Awards WELL Certification to projects that have demonstrated achievement of all
preconditions, and attempted WELL optimizations

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4 Quality Assurance and Quality Control
GBCI is committed to ensuring the integrity of WELL Certification through the implementation of
rigorous quality assurance measures throughout the verification and certification process.

4.1 QUALITY ASSURANCE EXPECTATIONS FROM PERFORMANCE TESTING AGENTS

Every Performance Testing Organization is responsible for their Performance Testing Agents and for
maintaining sufficient expertise to complete technically sound performance testing for projects pursuing
WELL Certification. Quality management measures must be employed to ensure that the Performance
Testing Agents complete the performance testing accurately and with technical rigor in accordance with
the certification program’s requirements (WELL Performance Verification Guidebook, WELL Building
Standard and WELL Certification Guidebook), and procedural consistency in accordance with the
requirements of GBCI’s Performance Testing Quality Assurance Manual (this document).

4.2 QUALITY MANAGEMENT PLAN

Prior to approval as a Performance Testing Organization by GBCI, an organization must submit a detailed
Quality Management Plan, which presents a framework for the procedures by which a Performance
Testing Organization ensures quality is maintained and managed (including providing continuing
education and training) across their team of Performance Testing Agents.

The Performance Testing Organization’s Quality Management Plan should address the following, at a
minimum:
i. A set of specific goals to be achieved by the Quality Management Plan
ii. The roles and responsibilities related to Quality Management for the Performance Testing
Agent and other individuals who provide internal quality assurance
iii. There is at least one GBCI approved Performance Testing Agent on staff
iv. An approved , GBCI approved Performance Testing Agent must be assigned to each project
and this same Performance Testing Agent must be on site at all times during WELL
performance testing and must conduct or oversee all testing
v. Quality Control process to ensure an additional layer of quality assurance is provided via
detailed quality review of all work prior to submittal to GBCI
vi. Process in place to monitor work of the Performance Testing Organization and each
Performance Testing Agent receiving scores below 4.5, and that address issues as needed
vii. Process for tracking and keeping records to confirm that Performance Testing Agents are
trained annually on, and have agreed to, the following:
a. Professional Conduct Guidelines outlined in this document
b. Conflict of Interest policy outlined in this document
viii. Process to ensure that all Performance Testing Agents are educated on the Performance
Testing Organization’s Quality Management Plan, and their respective roles in implementing
the Quality Management Plan
ix. Process for responding to GBCI-issued Corrective Action Requests (CAR) and developing and
implementing appropriate corrective action procedures
x. Process to ensure ongoing professional development of Performance Testing Agents to
ensure they are up to date with industry trends

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4.3 GBCI QUALITY OVERSIGHT PROCESS
GBCI is committed to ensuring the integrity of all its certification programs through the implementation
of rigorous quality assurance and quality control measures throughout the assessment and certification
process. The specific quality assurance and quality control measures that GBCI will implement are:
i. Quality Monitoring by GBCI
ii. Annual Audits by GBCI

4.4 QUALITY MONITORING AND EVALUATION BY GBCI

GBCI will monitor the work submitted by Performance Testing Agents to assess the ongoing quality of
their work product. Quality scores for Performance Testing Organizations will be calculated based on the
aggregate score received for Performance Testing Agents associated with that organization. For
organizations with only one Performance Testing Agent, quality scores for the organization will be
determined by the scores for their sole Performance Testing Agent.

4.4.1 Quality Metrics

The following are examples of parameters that may be evaluated (list is not exhaustive), to monitor the
quality of work and performance of each Performance Testing Agent and Performance Testing
Organization.
i. Quality and completeness of performance testing results submitted to GBCI
ii. Adherence to GBCI protocols and procedures
iii. Customer experience

4.4.1.1 Performance Testing Evaluation Metrics:

The quality of performance testing results submitted to GBCI will be evaluated based on two core
competencies:
i. Technical Competency: evaluation of the technical accuracy of the performance testing
completed by the Performance Testing Agent
ii. Submittal quality and adherence to GBCI protocols: evaluation of the completeness of the
submittal to GBCI including calculations and analysis of the performance testing results

Each of these competencies is scored on a scale of 1-5, with 1 representing poor quality and 5 high
quality. The following table outlines the qualitative significance of the scores received by a Performance
Testing Agent with respect to whether performance is meeting GBCI Quality Expectations or not. All
Performance Testing Agents are expected to maintain average quality scores of 4.5 or above, with no
one score falling below 4.0.

4.4.1.2 Qualitative Significance of Scores

The following table outlines the qualitative significance of the scores received by Performance Testing
Agent with respect to whether performance is meeting GBCI quality expectations or not.

Score Range Qualitative Evaluation

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 4.5 or above Performance is meeting GBCI quality expectations

4.0-4.4 There is room for improvement

3.5-3.9 Performance is critically below GBCI Quality Expectations and there is significant room for
improvement – Corrective Action Request likely to be issued

<3.5 Performance is unacceptable and the integrity of the certification program is compromised –
Corrective Action Request will be issued, and approved status will be reviewed

4.4.1.3 Customer Experience Evaluation Metrics:

The quality of the customer experience will be evaluated based on customer satisfaction ratings and
periodic feedback surveys sent by GBCI to the customer. The results from the ratings and the surveys
will be considered in the overall quality evaluation of the Performance Testing Agent’s work.

i. Customer Satisfaction Rating

Customer Feedback Survey: After each performance testing event, the Owner/project team may
complete a customer satisfaction rating on a scale of 1 to 5 stars, with 1 representing poor customer
satisfaction and 5 high customer satisfaction.

ii. Customer Feedback Survey

GBCI will periodically send surveys to owners/project teams to gather more detailed feedback on
their customer experience. The customer survey may evaluate the following:
a. Clarity of communication
b. Technical understanding of the project and requirements
c. Responsiveness to inquiries
d. Timeliness
e. Conduct of the site visit
f. Professional conduct
g. Overall satisfaction with the Performance Testing Agent

4.4.3 GBCI Quality Expectations:

Performance Testing Agents must maintain an average of 4.5 or above score for the Performance
Testing (with no one score below 4.0) and an average of 4 stars or above for customer satisfaction
metrics. Note that if GBCI quality expectations are not met, GBCI may remove the Performance Testing
Agent from the approved list. In instances where a Performance Testing Organization has only one
Performance Testing Agent, this may result in the Performance Testing Organization also being removed
from the approved list.

4.5 AUDITS BY GBCI

A Performance Testing Agent may be selected for audit one of three ways:
i. Performance Testing Agent is randomly selected. GBCI will select a percentage of active
Performance Testing Agents for audit annually
ii. Performance Testing Agent quality scores caused concern

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 iii. Performance Testing Agent has been placed on probation under the Professional Conduct and
Disciplinary Policy and is therefore subject to audit during probationary period

The project audit will include documentation submitted to GBCI for review and may include a
conference call and/or a site visit to the project. If potential non-conformities are found, the audit may
be expanded to include other project audits, to confirm whether or not it is a systematic failure.
Expenses associated with additional site visits may be billed directly to the Performance Testing
Organization.

If selected for an audit (whether annual or for cause), the Performance Testing Organization and
assigned Performance Testing Agent must be prepared provide all information related to the project as
outlined below in section 4.5.1 Record Keeping, and any other documentation requested by GBCI to
ensure the completion of a smooth audit review. If the Performance Testing Organization or their
Performance Testing Agent does not cooperate with the audit process, GBCI may initiate disciplinary
action (outlined in section 6.3).

4.5.1 Record Keeping

The following and any other critical documentation of the quality assurance process must be retained by
the Performance Testing Organization for a minimum of 3 years following project certification:
i. Performance Testing Organization credentials:
a. Records of approved Performance Testing Agents
b. Records of WELL AP
ii. Communication records:
a. All communication (e-mails, meeting minutes, etc.) between the Performance Testing
Organization, Performance Testing Agent, project team and associated third parties
such as laboratories
iii. Lab related records:
a. Order forms
b. Chain of custody forms
c. Lab results
iv. COI records:
a. Compliance with GBCI COI Policy
b. Copies of COI forms that were submitted (as part of the performance testing submittal
to GBCI)
v. Project related records:
a. Record of all projects that the Performance Testing Organization has been contracted
with to conduct performance testing for WELL certification and the assigned
Performance Testing Agent
b. Records (e.g., photographs, video, field notes) showing testing parameters (e.g., flow
rates, height and location of equipment)
c. Raw data from all performance tests
d. Calculations and analysis of testing results
e. Complete submittal package
vi. Equipment records:

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 a. Records showing that the equipment used complies with the device requirements
outlined in the Performance Verification Guidebook
b. Equipment maintenance and calibration records detailing that equipment used was
within calibration period as specified by the manufacturer

4.5.2 Project Documentation and Communications

Performance Testing Organizations must maintain documents submitted to GBCI, as outlined in Section
4.5.1 above, for a minimum of 3 years after project completion. Aside from certification submittal
requirements, these need not be provided to GBCI, but must be made available in case GBCI requests
them in the event of an audit, or if there is a complaint or Certification Challenge according to GBCI’s
Certification Challenge Policy.

4.5.3 Audit Findings Report

After the audit, GBCI will provide the Performance Testing Organization with an Audit Report informing
them of the findings. If there are no issues, the report will state as-such and no further action on the
part of the audited Performance Testing Organization or the Performance Testing Agent will be
required. If there are minor non-conformities discovered during the audit, GBCI may request additional
information and/or hold a call with the Performance Testing Organization and the Performance Testing
Agent to seek further clarification and provide recommendations for future assessments.

If there are major non-conformities, GBCI will issue a Corrective Action Request to the Performance
Testing Organization, which may place the Performance Testing Agent(s) under Probation status (see
Disciplinary Action section 6.3 of this manual). In instances where a Performance Testing Organization
has only one Performance Testing Agent and that agent is placed on probation, the Performance Testing
Organization will effectively be under probation status.

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5 Impartiality
All Performance Testing Agents shall be responsible for the impartiality of their assessment and review
activities and shall not allow commercial, financial or other pressures to compromise their impartiality.
Impartiality refers to the presence of objectivity, which is understood to mean that conflicts of interest
(COI) do not exist, or are resolved in consultation with GBCI in advance, so as to not to adversely
influence the activities of the Performance Testing Agent. Note Performance Testing Agents will be
required to re-confirm that they are abiding by GBCI’s code of conduct and whether there is a COI, each
time performance testing results are submitted to GBCI.

The Performance Testing Organization and Performance Testing Agent shall identify risks to its
impartiality on an ongoing basis. This shall include those risks that arise from its activities and
relationships both as a company and from the relationships of its personnel. A relationship presenting a
risk to the impartiality of the Performance Testing Organization and the assigned Performance Testing
Agent can be based on personal relations (such as friend, relative, etc.), ownership, governance,
management, personnel, shared resources, finances, contracts, marketing (including branding), and
payment of a sales commission or other inducement for the referral of new clients, etc.

5.1 CONFLICT OF INTEREST POLICY

This policy document formally defines the types of services that can be provided by a Performance
Testing Organization’s, Performance Testing Agent assigned to a WELL project and the required
disclosure policies.

The Conflict of Interest policy identifies the following types of actions that Performance Testing Agents
are permitted to perform on a specific WELL project (outside of performance testing tasks); actions that
are considered a conflict of interest but are permitted with proper disclosure; and finally, actions that
the Performance Testing Agent is prohibited from performing.

All conflict of interest disclosures must be signed by the Performance Testing Organization and the
assigned Performance Testing Agent.

5.2 INTRODUCTION TO CONFLICTS OF INTEREST

Generally, a conflict of interest (COI) is a situation in which an individual has competing professional or
personal interests on any given WELL project. Such situations include:
i. Professional: Decisions may be influenced by competing professional obligations, for
example having both a role on a project team and being the assigned Performance Testing
Agent
ii. Financial: Decisions may be influenced by financial gain, or potential business opportunity
iii. Legal: Decisions may be influenced by liability risks
iv. Ethical: Decisions may be influenced by reasons other than compliance with the required
standards

The following sections provide additional guidance on how to navigate these types of issues if they occur
and when and how to declare these conflicts to GBCI.

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5.3 OVERVIEW OF CONFLICT OF INTEREST
The following summarizes the Conflict of Interest Policy:
i. On a given WELL project, there is a major conflict of interest if the Performance Testing
Agent (individual) contributes to consulting, design, construction and/or operation related
services
ii. Employees of the Performance Testing Organization that are not the assigned Performing
Testing Agent for a given project may participate in consulting, design, construction and/or
operations related services for said project. These types of services are permitted, however,
the Performance Testing Agent and Performance Testing Organization must disclose their
involvement in consulting, design, construction and/or operations related services to GBCI
in the appropriate section of the performance testing submittal template
iii. Performance Testing Agents on a given WELL project (Project #1) are permitted to provide
consulting design, construction and/or operations related services to another WELL project
(Project #2), provided that they are not the assigned Performance Testing Agent on Project
#2

5.4 DEFINING AND IDENTIFYING CONFLICTS OF INTEREST

There are three types of performance testing-related services, as pertains to the Performance Testing
Agent discussed in this document: Major, Minor and Non-conflicted.

5.4.1 Prohibited Services - Definition of a Major Conflict of Interest

The following types of services constitute major conflicts of interest and may not be performed by the
assigned Performance Testing Agent (an individual) for a given project:
i. Design or consulting support services related to WELL, including:
a. Specifying products,
b. Creating drawings, details, or specifications, and
c. Performing design-related calculations.
d. Design of any aspects of building envelope or systems
ii. Selling any product that will be installed in the WELL project
iii. Installation services of any product in the project
iv. Construction support services related to the WELL program (e.g. air sealing services, etc.)
v. Acting as responsible party / signing Letters of Assurance
vi. Ongoing operations related to the WELL project
vii. Involvement in financing, sale, or purchase of the project

The Performance Testing Organization and assigned Performance Testing Agent must ensure that major
conflicts of interest do not occur on any WELL project.

If the Performance Testing Organization or Performance Testing Agent becomes aware of a major
conflict of interest, they must contact GBCI at WELLPerformanceTesting@gbci.org immediately for
discussion and resolution prior to completing any performance testing.

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5.4.2 Conflicted Services - Definition of a Minor Conflict of Interest
While it is prohibited for the Performance Testing Agent assigned to a particular WELL project to engage
in any Prohibited Services, other members of the Performance Testing Organization may provide these
services, provided they are properly disclosed.

In such cases, the Performance Testing Organization may not bundle any conflicted services in the same
contract as for performance testing services associated with WELL certification. A separate contract
must be used that clearly states that these additional services are not required as part of WELL
performance testing services under the WELL program.

The following types of services are considered minor conflicts of interest and must be disclosed to GBCI
on the performance testing submittal template (unless otherwise noted):
i. Other members of the Performance Testing Organization, who are not the assigned
Performance Testing Agent for a project, may provide consulting, design, construction
and/or operational related services with proper disclosure. Such services may include:
a. Design support services related to the WELL program, including:
 Specifying products
 Creating drawing, details, or specifications
 Performing design-related calculations
b. Construction support services related to the WELL Building Standard
c. Acting as responsible party / signing any Letters of Assurance
d. Designing /specifying the durability related measures
e. Ongoing operations related to the WELL project
ii. Performance Testing Agent providing services without charge (voluntarily) to the project
team must be disclosed

5.5 NON-CONFLICTED SERVICES

Educating the project team on the WELL Building Standard and Performance Verification guidelines and
procedures, is not considered a conflict of interest and may be performed in addition to performing
testing services without disclosure

5.6 BEST PRACTICES TO AVOID OR MINIMIZE CONFLICTS OF INTEREST

5.6.1 Performance Testing Agent Identifying and Monitoring of Conflicts of Interest
As early as possible for every WELL project, the Performance Testing Agent shall determine if there is a
potential conflict of interest. The Performance Testing Agent shall determine this by identifying the
following:
i. The full range of services being conducted by members of the Performance Testing
Organization
ii. Complete the COI disclosure section of the performance testing submittal template

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 iii. If a major COI exists, notify GBCI at WELLPerformanceTesting@gbci.org immediately. In
most cases, the project will not be able to proceed unless the major COI is addressed and
resolved (e.g. the team member with the major COI is replaced with another professional)

5.7 VIOLATIONS OF THE COI POLICY

Violations of the COI Policy include:
i. Performance Testing Agents performing prohibited services
ii. Failure to notify GBCI, when a COI or potential COI exists
Performance Testing Agents that violate the COI Policy will be subject to disciplinary action, as described
in the Section 6.3 of this manual.

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6 Professional Conduct
6.1 PROFESSIONAL CONDUCT GUIDELINES
GBCI is committed to integrity in the delivery and certification of all programs. To ensure consistency
and quality of program delivery, GBCI strictly enforces guiding principles and rules of conduct for all
Performance Testing Agents. The professional behavior of all participants in the certification program is
a critical element in market acceptance and overall success of the program. All Performance Testing
Agents are contractually required to abide by the Professional Conduct Guidelines and Anti-Harassment
Policy when delivering services in all markets. Note that a Performance Testing Agent may be required
to take Professional Conduct/Anti-Harassment Training (either in-person or online) to demonstrate
compliance with GBCI’s professional conduct policy.

Professional Conduct Guidelines:

All Performance Testing Organizations and their Performance Testing Agents shall commit to these
Professional Conduct guidelines:
i. May not offer, accept or solicit money (bribes), property, service or other items of value by
way of gift, favor, inducement or loan with the intent that the offer would influence, or that
the recipient would be influenced by, such conduct in the discharge of their Performance
Testing Agent duties. This is a serious offense which will result in revocation of the
approved status of a Performance Testing Agent, and may result in the revocation of the
approved status of the associated Performance Testing Organization.
ii. May not use their official position to secure special advantage in business, personal gain or
other benefit derived from such relationship
iii. Must maintain objectivity and neutrality when conducting an assessment or audit and when
presenting results to GBCI
iv. Have in place a Quality Management Plan, as required by GBCI (defined in Section 4.2 of this
manual)
v. Not engage in conduct that is detrimental to the reputation or the best interests of GBCI,
USGBC, IWBI, WELL Building Standard or any other program certified by GBCI or competitor
standards within the green building and health and wellness industries
vi. Refrain from speaking negatively about other Performance Testing Organizations, their
Performance Testing Agents or other persons involved in the performance testing
profession
vii. Refrain from initiating contact with and/or marketing services to project owners for a
specific project that is already under contract with another Performance Testing
Organization
viii. Report violations of the professional conduct of other Performance Testing Organizations or
Performance Testing Agents to GBCI, for review and possible disciplinary action
ix. Comply with the technical standards and procedural requirements and request the input of
GBCI whenever there is doubt about any project’s compliance with the requirements and
intent of any given feature

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 x. Not disclose information concerning the status of a specific project to parties other than the
project owner or the owner’s agent without written permission of the owner or the owner’s
agent, except to report to GBCI for the purposes of certification
xi. Commit to ongoing professional development and education to maintain Performance
Testing Agent approved status, to advance current knowledge, education, training, and
experience, so that customers and the public can be assured of receiving competent and
reliable services from Performance Testing Agents
xii. Fully disclose all applicable charges, as well as the general scope and deliverables of
services, prior to conducting any service
xiii. Make no representations regarding services or qualification that are false or misleading
xiv. Comply with the Conflict of Interest (COI) Policy outlined in section 5, including reporting
any conflicts of interest that are listed
xv. Maintain supportive and professional tone with project teams during all communications
and interactions

6.2 ANTI-HARASSMENT POLICY

All Performance Testing Organizations and Performance Testing Agents shall commit to this
Anti/Harassment policy:

All individuals deserve to be treated with dignity and respect. GBCI is therefore committed to fostering a
work environment free from harassment, intimidation and coercion based on or related to race, color,
gender, religion, national origin (including ancestry), age, disability, veteran status, marital or familial
status, sexual orientation, political affiliation, personal appearance, or any other classification protected
by applicable law. Violation of this commitment is inconsistent with GBCI’s philosophy of mutual respect
for all individuals, and will not be tolerated.

Illegal and improper harassment may include, but is not limited to:
i. Offensive or abusive physical contact
ii. Use of offensive nicknames or terms of endearment
iii. Unwelcome comments about a person’s clothing, body, appearance, or personal life
iv. Offensive jokes or unwelcome innuendoes
v. Use of email or internet system to retrieve or transmit offensive or harassing messages
vi. Any suggestion that one’s membership in a protected class would affect one’s job or
working conditions
vii. Other conduct referring to race, gender, religion, etc., even if not objectionable to some
Performance Testing Agents, if it creates a working environment that others may
reasonably find hostile or offensive

Sexual harassment may consist of unwelcome sexual advances, requests for sexual favors, or other
verbal or physical conduct of a sexual nature when one or more of the following occur:
i. Submission or rejection of such conduct is made a term or condition of an individual’s
contract

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 ii. Submission or rejection of such conduct is used for the basis for an employment
decision, such as promotion, demotion, termination, or compensation
iii. Such condition interferes with an individual’s work performance or creates a hostile,
intimidating, or offensive work environment

Violations of this policy are not permitted and will result in disciplinary action, up to and including
revocation of approved Performance Testing Agent status, and the possible revocation of approved
Performance Testing Organization status.

6.3 DISCIPLINARY ACTION POLICY

It is GBCI’s expectation that all Performance Testing Agents adhere to the policies and protocols in this
manual and perform work of the highest quality with utmost integrity. GBCI may institute disciplinary
action if a Performance Testing Agent is found to be in violation of any policies outlined in this manual; if
a Performance Testing Agent is not meeting quality expectations; or if non-conformities are found
during audits by GBCI. Disciplinary action may also be triggered due to customer complaints (refer to
Appendix A for the customer complaint investigation process).

Note: If a Performance Testing Organization has only one Performance Testing Agent on staff, these
disciplinary actions will impact the approved status of the Performance Testing Organization.

There are three types of disciplinary action that may be taken against a Performance Testing
Organization and their Performance Testing Agent(s):
i. Corrective Action Request
ii. Probation
iii. Revocation of approved status and agreement with GBCI

These are each described below; GBCI maintains a record of all disciplinary actions.

6.3.1 Corrective Action Request

GBCI may issue a Corrective Action Request (CAR) to the Performance Testing Agent when an infraction
or a non-conformity is seen due to any of the reasons noted above. The Performance Testing Agent
must provide a written root cause analysis and corrective action plan within 20 business days to address
the issues outlined in the CAR and put in place a process to ensure that infractions will not reoccur.

GBCI will hold a meeting with the Performance Testing Organization and the Performance Testing Agent
to discuss their corrective action plan and will communicate approval of the plan or if any additional
information is needed. GBCI will then closely monitor the work of the Performance Testing Organization
and their Performance Testing Agent and impose heightened quality oversight. Depending on the
nature of the infraction, GBCI may allow the Performance Testing Agent to continue operating (e.g.,
conducting performance testing), or may place restrictions on operation (for example, probation). Note
that the Performance Testing Organization may be required to pay additional fees (including expenses
associated with additional site visits) to GBCI for increased quality oversight of projects submitted during
the CAR period.

If GBCI observes the same or new infractions occurring, and/or the corrective action plan provided by
GBCI November 2018 Page 25
the Performance Testing Organization is not working, GBCI may issue a second CAR or, depending on the
severity of the infraction, may place the Performance Testing Agent under Probation or revoke the
Performance Testing Organization’s approved status. The Performance Testing Organization has 20
business days to provide a written root cause analysis and corrective action plan to address the issues
raised in the second CAR and put in place a process to ensure that infraction(s) will not reoccur.

6.4 PROBATION
A Performance Testing Agent who receives a CAR may be placed under probation status and this will be
communicated within the CAR.

Note that during the probation period, the Performance Testing Agent or Performance Testing
Organization may be required to pay additional fees (including expenses associated with additional site
visits) to GBCI for increased quality oversight of projects submitted during the probation period.

At GBCI’s discretion, the Performance Testing Agent’s name may be temporarily removed from the list
of approved Performance Testing Agent’s and the Performance Testing Agent or approved Organization
may be prohibited from taking on any new projects during this period.

The Performance Testing Agent will be remain under probation status until GBCI deems that the
infractions/non-conformities have been addressed satisfactorily by the Performance Testing Agent and
clears the CAR against the Performance Testing Agent. If the infractions/non-conformities are not
sufficiently addressed, the next step in the disciplinary process will be triggered, which is revocation.

6.5 REVOCATION
If the Performance Testing Agent does not address the issues during probation to the satisfaction of
GBCI and/or the nature of the infractions are sufficiently serious (e.g. acceptance of a bribe), GBCI will
revoke the Performance Testing Agent’s approval. Note that it is not necessary for a Performance
Testing Agent to receive a CAR or be under probation first in order to trigger a revocation. Depending on
the seriousness of the infraction, GBCI reserves the right to revoke a Performance Testing Agent’s
approval to conduct WELL performance testing without issuing CARs or placing the Performance Testing
Agent under probation.

If issues or infractions are widespread throughout an organization, GBCI reserves the right to terminate
the contract with the Performance Testing Organization and, depending on the nature of the infraction,
potentially all associated Performance Testing Agents to conduct WELL performance testing.

The Performance Testing Agent will receive written (electronically or in paper form) notice from GBCI
that the approval for providing Performance Testing Agent services has been revoked and the
Performance Testing Agent has been removed from all public databases. The Performance Testing Agent
is expected to cooperate with GBCI to determine how projects that are in progress (have begun or
completed testing) but have not yet submitted, with the Performance Testing Agent will be supported to
final certification.

6.6 APPEAL PROCESS

In the event that a Performance Testing Agent is notified that their approved status will be revoked, the
Performance Testing Agent shall have the right to an appeal.

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In order to be considered, the appeal must be filed within twenty (20) business days of notice of
suspension or revocation. The appeal shall be submitted to GBCI in the form of a signed letter,
containing all pertinent and substantive information. This includes a description of the circumstances of
the case and arguments and supporting documentation that are in contradiction to the proposed
revocation.

The appellant Performance Testing Agent may request a telephonic hearing with GBCI. In such an event,
GBCI shall, no later than twenty (20) business days after the filing of the notice of appeal, notify the
appellant Performance Testing Agent of the date of the hearing, which shall be held as expeditiously as
possible, but not later than thirty (30) business days after the receipt of the notice of appeal. A ruling on
the appeal will be made not later than twenty (20) business days after the hearing has concluded.

GBCI November 2018 Page 27

APPENDIX A: Complaint Investigation Process

GBCI has a formal complaint submittal process. If an individual or organization reaches out to GBCI with
any complaints and grievances that they may have with any Performance Testing Agent or Performance
Testing Organization the following information will be requested:
i. The name of the complainant and contact information
ii. The Performance Testing Agent and/or Performance Testing Organization that is the
subject of the complaint
iii. A complete description of the alleged violation(s)
iv. A recitation of all the facts documenting the complaint including contact information
v. Copies of any relevant documents supporting the complaint

Upon receipt of a formal and complete complaint, GBCI will review and consider the documentation
contained in the formal complaint in making a decision whether to proceed or dismiss the complaint. In
cases where the documentation submitted does not meet the minimum standards for a complaint, the
complaint may be dismissed. GBCI shall notify both parties of the findings.

In cases where GBCI finds that the complaint should proceed to the next step, GBCI shall send a copy of
the complaint to the subject of the complaint immediately. The subject of the complaint has thirty (30)
business days to submit a full and complete response to the complaint. All relevant information and
documentation shall be included in the response. The response shall be in writing and sent to GBCI.
Once the investigation is complete the complaint will either be dismissed or the Disciplinary Policy noted
in Section 5 will be triggered.

GBCI will only inform the complainant of the outcome once the full investigation and/or disciplinary
process is complete.

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