Audit Best Practices

IN THIS ARTICLE

• Start early
• When in doubt, provide a narrative
• Utilize CDs to direct the auditor
• Use a clear file naming convention
• Pay close attention to documentation requirement numbering
• Document all decisions, pre-approvals, and exceptions in your submission
• Less is more
• If a project has documentation from another certification, like LEED, can it be used for Living Future certification?
• What is the best way to respond to the auditor’s Clarification Requests?
• What sections of documentation are often the most difficult for the auditors to review?

Start early

Living Future building certifications require a string of history that shows how project teams arrive at their particular decision-making points. Teams should complete a rough draft much earlier in the process so they can “test drive” narratives and see what is missing well before submission.

When in doubt, provide a narrative

Narratives can serve as a roadmap to help guide the auditor through the documentation, flagging where teams used exceptions, if there were any pre-approvals prior to the audit, Requests for Rulings, and all other important call-outs. Teams are responsible for pointing this out to auditors, not Living Future staff.

Utilize CDs to direct the auditor

A full set of CDs should be organized like a ‘paint by numbers’ for the auditors. Project teams should call out the exact imperative requirements and annotate for the auditor wherever possible. Some common sticking points are: site plans, exhaust fans, and windows (for site lines).

Use a clear file naming convention

Making a concerted effort to give files meaningful names helps the auditor understand what they are looking at and will save everyone time and energy in the long run. If a file contains multiple documents, or many pages, consider adding a table of contents or highlighting the most relevant information. Teams may want to consider software to assist with bulk file renaming.

During documentation submission, teams should follow the following naming convention for all uploaded documentation:

• Imperative Number_Section Title_Unique Descriptor
• For example: I10-3_VOC documentation_XX Paint company

For Clarification Request responses, teams should use the following naming convention for all uploaded documentation:

• CR Response_Imperative Number_Section Title_Unique Descriptor
• For example: CR Response_I10-3_VOC documentation_XX Paint company

For Appeals, teams should use the following naming convention for all uploaded documentation:

• Appeal_Imperative Number_Section Title_Unique Descriptor
• For example: Appeal_I10-3_VOC documentation_XX Paint company

Pay close attention to documentation requirement numbering

Pay close attention to the documentation requirement numbering because folders, files, and documents names must correlate with what is in Portal.

Please use this guide to help you coordinate the documentation requirement numbers with what’s in Portal.

Document all decisions, pre-approvals, and exceptions in your submission

Notify the auditor if there were any pre-approvals with Living Future staff prior to the audit. Teams are responsible for pointing out pre-approvals and uploading all necessary correspondence between the team and LF staff to the auditors, not Living Future staff. The best place to do this is in the narrative for that Imperative.

Any decisions made during the design process that do not follow the default, published certification requirements must have an associated Request for Ruling decision verifying that Living Future approved the deviation from the Standard or Living Future drafted custom pathway. A copy of all Request for Ruling decisions or pathways must be submitted in the relevant sections of the application.

More information on Requests for Rulings here.

Less is more

Include only the documentation that is required. Though it may seem like more information is better, this is not actually the case. Including files and additional information not outlined in the requirements makes the auditor’s job more difficult. Submissions need to be clear, concise, and organized.

If a project has documentation from another certification, like LEED, can it be used for Living Future certification?

The short answer is ‘no’. There are some areas that overlap and play into each other, but auditors would caution against this. 

What is the best way to respond to the auditor’s Clarification Requests?

The biggest mistake teams make is explaining why they didn’t do something instead of providing what was requested by the auditor. If the team didn’t get pre-approval from Living Future, the auditor does not have the power or ability to make exceptions and will therefore deny it.

Teams should fill out this form to input their responses to the auditor’s Clarification Requests and list the file names of any related documentation uploaded to the Portal to keep things organized for the auditor.

To read more about Clarification Requests.

What sections of documentation are often the most difficult for the auditors to review?

The data-heavy parts are most difficult for the auditors to review, so it is important that project teams pay close attention to formatting, file naming conventions, and keeping receipts and legal documents clear, concise, and organized.