NEBB Personnel Certification Program Policies & Procedures … · 2015. 3. 6. · NEBB Certification Board Policy & Procedure Manual 3 B. ANSI Principle A.1.5 The Certification body

NEBB Personnel Certification Program Policies & Procedures Manual

NEBB CERTIFICATION BOARD

NEBB Personnel Certification Program Policies and Procedures Manual Approved: [10/18/2014] Updated: [03/05/2015]

NEBB Cert i f icat ion Board Pol icy & Procedure Manual 1

Table of Contents Table of Contents ........................................................................................................................................................ 1 Personnel Certification Program Purpose and Scope ................................................................................................. 2 Certification Board Authority ...................................................................................................................................... 8 Certification Board Composition............................................................................................................................... 12 Certification Board Selection Process ....................................................................................................................... 15 Certification Board Meetings .................................................................................................................................... 19 Personnel Certification Program Committees .......................................................................................................... 21 Personnel Certification Program Operations ............................................................................................................ 23 Financial Management ............................................................................................................................................. 28 Organizational Chart ................................................................................................................................................. 31 Sub-Contracting ........................................................................................................................................................ 33 Confidentiality ........................................................................................................................................................... 36 Conflict of Interest .................................................................................................................................................... 39 Eligibility .................................................................................................................................................................... 43 Granting Personnel Certification .............................................................................................................................. 55 Applications for Personnel Certification & Recertification ....................................................................................... 56 Exam Administration ................................................................................................................................................. 60 Examination Development & Maintenance .............................................................................................................. 67 Recertification ........................................................................................................................................................... 72 Accommodations ...................................................................................................................................................... 75 Nondiscrimination ..................................................................................................................................................... 77 Code of Conduct ....................................................................................................................................................... 78 Discipline ................................................................................................................................................................... 80 Security ..................................................................................................................................................................... 88 Management System ................................................................................................................................................ 94 Records Management and Retention ..................................................................................................................... 105 Use of Personnel Certification Marks, Logos, and Certificates ............................................................................... 108 Personnel Certification Verification ........................................................................................................................ 111 Job Description: Certification Director ................................................................................................................... 112 Job Description: Certification Manager .................................................................................................................. 113 Job Description: Certification Board Chair .............................................................................................................. 114 Job Description: Certification Board Vice Chair ...................................................................................................... 115 Job Description: Certification Board Member ........................................................................................................ 116 Job Description: Nominating Committee Member ................................................................................................. 117 Job Description: Examination Committee Member ............................................................................................... 118 Definitions ............................................................................................................................................................... 119


Personnel Certification Program Purpose and Scope Policy #: 100 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

1 Relevant Standards

A. ANSI/IS0/IEC 17024 Standard 4.2

The Personnel Certification body shall be responsible for, shall retain authority for, and shall not delegate, its decisions relating to Personnel Certification, including the granting, maintaining, recertifying, expanding and reducing the scope of the Personnel Certification, and suspending or withdrawing the Personnel Certification.

B. ANSI/IS0/IEC 17024 Standard 8.1

There shall be a Personnel Certification scheme for each category of Personnel Certification.

C. ANSI/IS0/IEC 17024 Standard 8.2

A Personnel Certification scheme shall contain the following elements:

a) Scope of Personnel Certification;

b) Job and task description;

c) Required competence;

d) Abilities (when applicable);

e) Prerequisites (when applicable);

f) Code of conduct (when applicable).

D. ANSI/IS0/IEC 17024 Standard 8.3

A Personnel Certification scheme shall include the following Personnel Certification process requirements:

a) Criteria for initial Personnel Certification and Recertification;

b) Assessment methods for initial Personnel Certification and Recertification;

c) Surveillance methods and criteria (if applicable);

d) Criteria for suspending and withdrawing Personnel Certification;

e) Criteria for changing the scope or level of Personnel Certification (if applicable).

2 Relevant Principles

A. ANSI Principle A.1.2

The overall purpose of Certification of persons is to recognize an individual's competence to perform a task or job.


B. ANSI Principle A.1.5

The Certification body should act in a responsible manner so as to provide confidence to interested parties in its competence, impartiality and integrity.

3 Purpose & Scope: Certified Professionals (CPs)

The NEBB Personnel Certification program is designed to recognize individuals who have demonstrated the experience, knowledge, and skills necessary to provide competent testing and tuning of building systems as defined for each discipline. Certified professionals understand the standards and specifications for work in their discipline, are qualified in the proper methods and procedures for their discipline, and understand how to use properly calibrated equipment to establish, accurately measure, and verify building systems performance. Certified professionals represent their firms in matters related to their discipline in order to provide accurate and reliable reporting.

A. Building Systems Commissioning (BSC)

Individuals certified in Building Systems Commissioning (BSC) work in management positions and represent their firm on building commissioning matters. BSC certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; have experience with control strategies, sequences of operation, control systems, equipment and software; and review, check, sign and stamp the final report. BSC certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of HVAC Building Systems Commissioning by passing the BSC examination.

B. Retro-Commissioning for Existing Buildings (RCX-EB)

Individuals certified in Retro-Commissioning for Existing Buildings (RCX-EB) work in management positions and represent their firm on building retro commissioning matters. RCX-EB certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; have experience with control strategies, sequences of operation, control systems, equipment and software; and review, check, sign and stamp the final report. RCX-EB certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of technical building systems retro commissioning by passing the RCX-EB examination.

C. Testing, Adjusting and Balancing (TAB)

Individuals certified in Testing, Adjusting and Balancing (TAB) work in management positions and are qualified in proper methods and procedures for testing building systems for optimum performance. TAB certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; have experience with control strategies, sequences of operation, control systems, equipment and software; and review, check, sign and stamp the final report. TAB certificants meet a combination of education and/or experience requirements and demonstrate their


knowledge of Testing, Adjusting and Balancing of Air and Hydronic Systems by passing the TAB examinations.

D. Building Enclosure Testing (BET)

Individuals certified in Building Enclosure Testing (BET) work in management positions and are qualified in proper methods and procedures for testing building systems for optimum performance. BET certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; have experience with control strategies, sequences of operation, control systems, equipment and software; and review, check, sign and stamp the final report. BET certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Building Enclosure Testing by passing the BET examinations.

E. Cleanroom Performance Testing (CPT)

Individuals certified in Cleanroom Performance Testing (CPT) work in management positions and are qualified in proper methods and procedures for testing building systems for optimum performance. CPT Certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; and review, check, sign and stamp the final report. CPT Certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Cleanroom Performance Testing by passing the CPT examinations.

F. Fume Hood Testing (FHT)

Individuals certified in Fume Hood Testing (FHT) work in management positions and are qualified in proper methods and procedures for testing building systems for optimum performance. FHT certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; and review, check, sign and stamp the final report. FHT certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Fume Hood Testing by passing the FHT examinations.

G. Sound Measurement (SM)

Individuals certified in Sound Measurement (S) work in management positions and are qualified in proper methods and procedures for testing building systems for optimum performance. Sound certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; and review, check, sign and stamp the final report. Sound certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Sound Measurement by passing the Sound examinations.


H. Vibration Measurement (VM)

Individuals certified in Vibration Measurement (V) work in management positions and are qualified in proper methods and procedures for testing building systems for optimum performance. Vibration certificants: develop and plan the work; handle report preparation; recommend corrective action; set the overall safety plan; maintain instruments and calibration program; and review, check, sign and stamp the final report. Vibration certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Vibration Measurement by passing the Vibration examinations.

4 Purpose & Scope: Certified Technicians (CTs)

The NEBB Personnel Certification program is designed to recognize individuals who have demonstrated the experience, knowledge, and skills necessary to provide competent testing and tuning of building systems as defined for each discipline. Certified Technicians understand the standards and specifications for work in their discipline; are qualified in the proper methods and procedures for their discipline; and understand how to use properly calibrated equipment to establish, accurately measure, and verify building systems performance. Certified Technicians represent their firms in matters related to their discipline in order to provide accurate and reliable reporting.

A. Technical Building Systems Commissioning (BSC)

Individuals certified as Technicians in Building Systems Commissioning (BSC) work with CP’s. BSC technicians: assist in report preparation; follow the overall safety plan; maintain instruments and calibration program; have experience with control strategies, sequences of operation, control systems, equipment and software. BSC Technician’s certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of HVAC Building Systems Commissioning by passing the BSC CT examination.

B. Technical Retro-Commissioning (RCX-EB)

No Technician program at this time.

C. Testing, Adjusting and Balancing (TAB)

Individuals certified as TAB Technicians are qualified in proper methods and procedures for testing building systems for optimum performance. TAB certificants: Implement and perform the work; possess basic knowledge of report forms and assist in report preparation; follow the overall safety plan; Use and care of instruments and follow field calibration verification, have experience with basic control strategies, sequences of operation, control systems, equipment and software. TAB Technician certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Testing, Adjusting and Balancing of Air and Hydronic Systems by passing the TAB CT examinations.


D. Building Enclosure Testing (BET)


E. Cleanroom Performance Testing (CPT)

Individuals certified as CPT Technicians are qualified in proper methods and procedures for testing Cleanroom systems for optimum performance. Technician’s certificants: Implement and perform the work, Possess basic knowledge of report forms and assist in report preparation; follow the overall safety plan; Use and care of instruments and follow field calibration verification, have experience with basic control strategies, sequences of operation, control systems, equipment and software. CPT Certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Cleanroom Performance Testing by passing the CPT examinations.

F. Fume Hood Testing (FHT)


G. Sound Measurement (SM)

Individuals certified as Sound Measurement Technicians: Implement and perform the work, Possess basic knowledge of report forms and assist in report preparation; follow the overall safety plan; Use and care of instruments and follow field calibration verification, have experience with basic control strategies, sequences of operation, control systems, equipment and software. SM – CT certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Sound Measurement testing by passing the SM - CT examinations.

H. Vibration Measurement (VM)

Individuals certified as Vibration Measurement Technicians: Implement and perform the work, Possess basic knowledge of report forms and assist in report preparation; follow the overall safety plan; Use and care of instruments and follow field calibration verification, have experience with basic control strategies, sequences of operation, control systems, equipment and software. VM-CT certificants meet a combination of education and/or experience requirements and demonstrate their knowledge of Vibration Measurement by passing the Vibration examinations.

5 Program Scope Changes

The NEBB Certification Board is responsible for the development of all policies and procedures related to the following Personnel Certification programs:

1. Building Enclosure Testing (BET) 2. Technical Building Systems Commissioning (BSC) 3. Cleanroom Performance Testing (CPT) 4. Fume Hood Testing (FHT) 5. Technical Retro-Commissioning for Existing Buildings (RCX-EB)


6. Sound Measurement (SM) 7. Vibration Measurement (VM) 8. Testing, Adjusting and Balancing (TAB) 9. Process Commissioning (Cx-PC)

The Certification Board has the authority to expand and/or reduce the scope of the Personnel Certification programs and may update, modify, or change the stated purpose of the Personnel Certification programs as it may determine is necessary as allowed by these policies and procedures and the NEBB Bylaws.


Certification Board Authority Policy #: 101 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015


A. ANSI/IS0/IEC 17024 Standard 5.1.1

The Personnel Certification body activities shall be structured and managed so as to safeguard impartiality.

B. ANSI/IS0/IEC 17024 Standard 5.1.2

The Personnel Certification body shall document its organizational structure, describing the duties, responsibilities and authorities of management, Personnel Certification personnel and any committee. When the Personnel Certification body is a defined part of a legal entity, documentation of the organizational structure shall include the line of authority and the relationship to other parts within the same legal entity.

The party/parties or individuals responsible for the following shall be identified: a) Policies and procedures relating to the operation of the Personnel Certification body; b) Implementation of the policies and procedures; c) Finances of the Personnel Certification body; d) Resources for Personnel Certification activities; e) Development and maintenance of the Personnel Certification schemes; f) Assessment activities; g) Decisions on Personnel Certification, including the granting, maintaining,

recertifying, expanding, reducing, suspending or withdrawing of the Personnel Certification;

h) Contractual arrangements. [See Sub-Contracting Policy]

2 Authority NEBB is a non-profit organization governed by a Board of Directors. The NEBB Board has established the Certification Board and granted authority to the Certification Board to independently make essential decisions related to standards, policies, and procedures of the Personnel Certification program. These decisions are made independently of, and are not influenced by, any other individual or business entity within or outside of NEBB.

Issues that fall outside of the scope and purpose of the Personnel Certification programs are not within the authority of the Certification Board.

The Certification Board is responsible for the development of the requirements for eligibility, examination, and Recertification for the Personnel Certification programs listed in the Personnel Certification Program Purpose and Scope policy and as established in the NEBB Bylaws. The


Certification Board has developed the Personnel Certification program to increase the quality of testing of building systems by recognizing competent Technicians and technicians.

The Certification Board is solely responsible for essential decisions related to the development, administration, and ongoing maintenance of the Personnel Certification programs. The Certification Board ensures that all application and eligibility requirements, examination development and administration, Recertification requirements, and all Personnel Certification program policies and procedures are directly related to the scope of the Personnel Certification programs as stated above.

3 Certification Board Member Individual Responsibility As the governing body for the Personnel Certification programs the members of the Certification Board have a fiduciary responsibility to the organization and to the certificants and stakeholders of the Personnel Certification programs. The Certification Board serves the need for quality testing of building systems by developing and administering robust Personnel Certification programs consistent with national accreditation standards for Personnel Certification programs.

Certification Board responsibilities include upholding the following fiduciary duties:

A) Duty of Care: Certification Board members are involved in decision making and actively participate in Certification Board meetings and deliberations. Certification Board members set aside competing personal or professional interests to protect the assets of the Personnel Certification program including financial assets as well as the Personnel Certification program’s reputation, intellectual property, and personnel. Certification Board members will act reasonably, competently, and prudently when making decisions for the Personnel Certification program.

B) Duty of Loyalty: Certification Board members put the interests of the Personnel Certification program first. The conflict of interest policy provides guidance in this area.

C) Duty of Obedience: Certification Board members work to advance the purpose of the Personnel Certification program and act in a manner consistent with the program’s goals.

4 Certification Board Roles and Responsibilities The Certification Board is solely responsible for all essential decisions related to the development, administration, and ongoing maintenance of the Personnel Certification programs. While the Certification Board may delegate ongoing program operations to NEBB employees and/or consultants as needed, these areas of decision-making responsibility may not be subcontracted to any other organization or entity.

The essential Personnel Certification decisions for which the Certification Board is ultimately responsible include:


A) Establishing the policies and procedures for granting Personnel Certification, including compliance with eligibility requirements.

B) Establishing the policies and procedures for maintaining Personnel Certification, including Recertification requirements.

C) Defining, expanding and/or reducing the scope of the Personnel Certification programs.

D) Establishing policies and procedures for suspending or withdrawing Personnel Certification, including the oversight of all disciplinary investigations and actions related to certificants.

E) Developing, maintaining, administering, and scoring the examinations in a manner consistent with generally accepted psychometric principles to ensure that all examinations are reasonably valid and reliable.

F) Establishing and enforcing a Code of Conduct for individuals holding the credentials.

G) Proposing a budget for the operation of the Personnel Certification program.

H) Providing oversight to all Personnel Certification program committees and establishing and overseeing Personnel Certification program committees as needed.

I) Establishing and implementing policies and procedures for, and overseeing the ongoing operational processes of, the Personnel Certification programs.

5 Communications The Certification Board supports the mission and purpose of NEBB. As a vital part of the organization, the Certification Board keeps the NEBB Board of Directors informed of Personnel Certification program activities and consults with the NEBB Board as needed to ensure lines of communication remain open. The NEBB Board appoints a non-voting member to the Certification Board to facilitate communication (see the Certification Board Composition policy).

6 Limitations The authority of the Certification Board is limited to the authority granted in the NEBB Bylaws or by the NEBB Board of Directors. The Certification Board does not have the authority to create a budget deficit, without the express approval of the Board of Directors.

The Certification Board will not establish policies related to the development or delivery of educational content designed to prepare individuals to take the Personnel Certification examinations. The Certification Board will retain the right to review all Recertification CE Materials and NEBB or Industry Seminars and provide the final decision on acceptance of the materials and/or seminars for CE’s for Recertification.

During their term(s) of service, members of the Certification Board will not participate in the development or delivery of any educational program and/or content designed or intended specifically to prepare individuals to take any of the Personnel Certification examinations. Members


of the Certification Board that participate in creating and/or reviewing content for the examinations, including serving as item writers/reviewers, may be subject to additional restrictions as established in these policies and procedures.


Certification Board Composition Policy #: 102 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



Personnel Certification activities shall be structured and managed so as to safeguard impartiality. This shall include balanced involvement of interested parties (see definition 3.21).

2 Composition The Certification Board is composed of 4 to 7 qualified, voting members and 2 non-voting members as follows:

Number in each Position

Voting Position

3-5

Certificant representatives (voting) • Certificant representative positions must be a majority of the voting

Certification Board positions • The 8 Personnel Certification disciplines will be represented on the

Certification Board on a rotating basis • At least 1 Certificant representative will be TAB certified • At least 1 Certificant representative will be BSC certified

1-2 Industry stakeholders (voting)

1 NEBB Board liaison (non-voting)

1 Certification Director (non-voting, ex-officio)

A. Non-voting positions

A NEBB Board of Directors Liaison will be selected to serve as a non-voting member and will serve a 1 year term with the ability to serve additional terms as appointed.

The staff Certification Director is a non-voting, ex-officio member of the Certification Board.

B. Certificant Representatives

Certificant representatives will hold credentials issued by the Certification Board, have at least 5 years of experience testing building systems, and be affiliates of NEBB. At all times, at least 1 Certificant representative will be TAB certified and at least 1 Certificant will be BSC certified. The following system of rotating representation has been established so that all 8 of the Personnel Certification programs will be represented on the Certification Board over time.

Previous experience as an examination development committee member is preferred, but not required.

Certificant representatives will serve 3 year terms.


2.2.1 Certificant Representation Rotation System

The Certification Director maintains a list of the NEBB credentials represented on the Certification Board by year. At least three credentials will be represented on the Certification Board among the Certificant Representative positions. Certificant Representatives may hold multiple credentials.

The Certification Director will advise the Nominating Committee regarding the credentials that have been most recently represented on the Certification Board as well as the credentials that that have not recently been represented. The Nominating Committee will use this information in determining the slate of Candidates (See Certification Board Selection Process policy).

C. Industry Stakeholders

Two industry representatives will be selected to represent appropriate stakeholder groups such as (but not limited to) mechanical contractors, engineers, architects, building officials, regulators, and/or building owners. The specific stakeholder groups represented may vary over time.

Industry stakeholders may be NEBB affiliates, but affiliation with NEBB is not required.

Industry Stakeholders will serve two year terms.

3 Terms Each voting Certification Board member will serve terms as noted in the Composition section above. Certification Board members are eligible to be selected for additional terms, but will not serve more than six consecutive years on the Certification Board. Certification Board member terms may be extended as needed to accommodate appointment to an Officer position to ensure the member can complete the term as Officer. No individual will serve more than 7 consecutive years.

Officers will serve two-year terms and will be eligible to serve additional terms in office if otherwise qualified and as allowed by the limits of their term as a Certification Board member.

Terms of Certification Board will be staggered so that approximately 1/3 of the positions end each year to preserve continuity among the Certification Board membership, opportunities for more experienced Certification Board members to mentor newer Certification Board members, and to facilitate an ongoing understanding of and familiarity with the history of the organization and its Personnel Certification programs.

4 Qualifications Members of the NEBB Board of Directors will not serve on the Certification Board, except in the position of Board liaison.

Members of the Certification Board will demonstrate: commitment to the Personnel Certification program, appropriate education, experience, training, leadership skills, communication skills, ability to work cooperatively as part of a group, understanding of the role and responsibilities of Certification Board members, and other qualifications as required by their position (noted in section 2 above) on the Certification Board.


Reasonable efforts will be made to reflect the diversity of NEBB certificants in the overall composition of the Certification Board. In regard to such diversity, the Certification Board will consider relevant factors including, but not necessarily limited to, geographic location, years of experience, firm size, and areas of discipline.

5 Orientation and Training Prior to serving an initial term on the Certification Board, each member will receive initial orientation and training. The initial orientation and training may include the opportunity to attend a Certification Board meeting for observation.

New Certification Board members will also receive the following documents: • Personnel Certification program policy manual • NEBB Bylaws • Candidate Handbook(s) • Recent examination development reports • Past Certification Board meeting minutes • Personnel Certification program budget • Other information and materials as needed

The Chair of the Certification Board and/or the Certification Director will meet with new Certification Board member(s) either in person or via teleconference to provide an orientation session. The orientation session will include:

• An overview of the roles and responsibilities of Certification Board members • An overview of the examination development and administration process • An overview of accreditation compliance issues • Other information about the Personnel Certification program as needed

6 Officers Officers of the Certification Board are a Chairperson and Vice-Chairperson. Officers are elected by majority vote of the Certification Board from the voting membership of the Certification Board. Officers must hold a NEBB Personnel Certification.

A. Duties of the Chair

a. Develop or approve meeting agendas b. Chair all meetings of the Certification Board c. May serve as a voting ex-officio member of all Personnel Certification committees and sub-

committees

B. Duties of the Vice Chair:

a. Perform the duties of the Chair during the Chair’s absence or inability to act b. Assist the Chair in his/her duties as needed


Certification Board Selection Process Policy #: 103 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



Personnel Certification activities shall be structured and managed so as to safeguard impartiality. This shall include balanced involvement of interested parties (see definition 3.21).

2 Nomination and Selection Timeline The Certification Director will determine the schedule for soliciting nominations, developing a slate of Candidates and selecting Certification Board members to fill vacant voting positions.

The following process will be included in the schedule:

A. Nomination Committee members meet via teleconference for general orientation and review of committee charge.

B. A call for nominations is distributed to NEBB affiliates and other pools of eligible Candidates.

C. The Nominating Committee reviews nominations and solicits additional nominations as needed.

D. The Nominating Committee delivers a slate of qualified Candidates to the Certification Board.

E. Each position will be voted on individually.

F. The Certification Board elects new Certification Board members. As needed, the Certification Board also elects officers.

G. The new Certification Board membership is announced.

Elections will be held by October of each year. Terms of newly elected individuals will begin effective on the date of election or appointment.

3 Nominating Committee The Chair of the Certification Board, with approval of the Certification Board, will appoint a 3 member Nominating Committee.

The Nominating Committee is charged with soliciting nominations for all vacant, voting Certification Board positions. Members of the Nominating Committee will serve one year terms and may be re-appointed for additional terms.


All members of the Nominating Committee will be certificants in Good Standing and Affiliates of NEBB.

No member of the Nominating Committee may be currently serving on the NEBB Board of Directors or Certification Board.

4 Nomination Process and Candidate Selection The Certification Director will review the Certification Board membership each year to determine the number and type of upcoming vacancies (see Certification Board Composition Policy).

A call for nominations will be distributed to NEBB affiliates, certificants and other relevant stakeholder groups. The call for nominations will include the job description and qualifications for each vacant Certification Board position. Nominees will be asked to submit a resume or bio with the nomination form. Any individual may submit a nomination. Self-nominations are accepted. Members of the Certification Board and NEBB personnel may actively assist the Nominating Committee to recruit and encourage nominations of qualified individuals.

All nominations will be initially reviewed by the Certification Director to determine if the nominated individuals meet the basic requirements for the vacant Certification Board position(s) (such as required Personnel Certification, years of experience). The nominations of all qualified individuals will be sent to the Nominations Committee for review.

In reviewing qualified nominations the committee will consider:

A. The required qualifications for the vacant positions (see Certification Board Composition Policy)

B. The nominee’s ability to devote the time necessary to Certification Board service C. The nominee’s previous volunteer service to the Personnel Certification program as a

committee member, item writer/reviewer, or other role (does not apply to the industry representative positions)

D. The needs and composition of the current Certification Board E. The nominee’s ability to work productively as part of a volunteer group F. The diversity of the Certification Board, including relevant factors such as geographic

location, firm size, areas of discipline, years of experience, and markets served G. Rotating representation of all NEBB Personnel Certifications as indicated by the rotation

schedule maintained by the Certification Director

As needed, the Nominating Committee may request additional information from nominees and/or may schedule telephone/virtual interviews with nominees.

Prior to being placed on the final slate of recommended Candidates each nominee will be contacted to verify that he/she:

A. Understands the requirements and responsibilities associated with the position B. Understands the time commitment and length of term associated with the position C. Is willing and able to serve in the position if elected


The Nominating Committee will prepare a slate of recommended qualified Candidates and send the ballot to the Certification Board for vote.

5 Elections Certification Board voting members and officers will be elected by the Certification Board by majority vote. The Certification Board may elect Candidates recommended by the Nominating Committee or may request that the Nominating Committee review and recommend additional Candidates.

The Board Liaison will be appointed by the NEBB Board of Directors.

6 Resignation A member of the Certification Board may resign at any time by delivering written notice to the Certification Director or Certification Board Chair. The resignation will take effect at the time specified in the resignation, or, if no time is specified, the resignation will take effect upon acceptance. The time of acceptance will be determined by the Certification Director.

The resulting vacant position will be filled as follows:

A. In the case of the resignation of the Chair, the position will be filled by the Vice-Chair and the Certification Board will appoint an individual to fill the remaining vacancy resulting from the Vice-Chair’s transition to Chair.

B. In the case of the resignation of any other voting Certification Board member the Chair, with approval of the Certification Board, will appoint a qualified individual.

C. In the case of the resignation of the Board Liaison, the NEBB Board of Directors will appoint a qualified individual.

The Chair may consult with the Certification Director and members of the Certification Board and the Nominating Committee as needed to locate qualified individuals.

Individuals who are appointed to fill a position vacated due to resignation, vacancy, or removal will be appointed to fill only the remainder of the term. Appointed individuals must meet all qualifications for the position to which they are appointed. At the end of the term, the position will be filled following the regular nomination and election procedure. Partial term appointments will not count against a Certification Board member’s term limits.

7 Vacancy Unscheduled Certification Board vacancies will be filled in the same manner as described in Section 5 (Resignations) above.

8 Removal

Any member of the Certification Board may be removed for cause, as determined by the Certification Board, by a two-thirds vote at any meeting in which a quorum is present.


Reasons for removal may include, but are not limited to:

A. Failure to attend and/or participate in Certification Board meetings

B. Failure to prepare adequately for meetings or to complete required assignments in a timely manner

C. Change in employment of other circumstances which result in the individual no longer being qualified to hold his/her Certification Board position

D. Failure to abide by the Bylaws, policies, and/or procedures of NEBB and the Personnel Certification program

E. A conflict of interest that cannot be adequately resolved

Only the Certification Board may remove a Certification Board member.


Certification Board Meetings Policy #: 104 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

1 Quorum and Voting

A. Quorum

A two-thirds majority of the voting Certification Board members constitute a quorum at any meeting.

B. Voting

At all meetings of the Board of Directors, a simple majority of the Directors present at the meeting at which a quorum is present shall be the act of the Board of Directors for transactional and non- transactional items. An abstaining vote is counted neither for nor against, but the BOD member counts in establishing the number of votes required to pass a motion.

Proxy voting is not permitted. Any action taken by the majority of the voting Certification Board members is considered to be an act of the Certification Board, unless otherwise specified in Bylaws or these policies.

In the absence of a scheduled meeting, the Certification Board may resolve matters via email vote. Email votes should be reserved for issues that require quick resolution and do not require lengthy discussion or in situations where a special meeting cannot be convened in a timely manner. Email votes must be unanimous to be considered as an act of the Certification Board. In addition, issues resolved via email vote must be reported at the next meeting of the Certification Board.

2 Regular and Special Meetings

A. Scheduling Meetings

The Certification Board will hold at least 2 regular meetings each year. Additional meetings of the Certification Board may be called by the Chair or by a majority of the voting Certification Board members, with appropriate notice to all Certification Board members stating the purpose of the meeting.

Meetings may be held in person or by other permitted means, including teleconference or video conference, so long as all Certification Board members in attendance can participate and be heard, and a quorum is present.

B. Meeting Notices

Certification Board members will receive notice of regularly scheduled or special


meetings at least 10 days in advance. When necessary to respond to a time sensitive issue, a meeting may be scheduled with less advance notice if the Certification Board unanimously consent to waive the normal meeting notice requirements.

Meetings called for the purpose of removing a Certification Board Member are not subject to waiver of the normal meeting notice requirements.

C. Agendas

The Certification Director, or other designated representative, will distribute meeting agendas at least one week in advance of any regular or special meeting. Any Certification Board member may recommend items for the agenda. The Chair, or his/her designated representative, will approve meeting agendas before they are distributed to the Certification Board.

Meeting agendas may be sent via email or any other means approved by the Chair.

When necessary to respond to a time sensitive issue, a meeting agenda may be distributed with less advance notice if the officers of the Certification Board unanimously consent to waive the normal requirements.

D. Minutes

The Certification Director will attend all meetings of the Certification Board and will record the official minutes of the meetings.

Meeting minutes will be considered confidential unless otherwise specified. Minutes of any executive session will be considered confidential. Meeting minutes will normally include the decisions made by the Certification Board. Minutes are not required to include all discussion or background information presented to the Certification Board.

Written minutes of each meeting will be prepared within 2 weeks following each meeting and will be distributed to all members of the Certification Board. Meeting minutes will be retained according to the requirements of the record retention policy.


Personnel Certification Program Committees Policy #: 105 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015




2 Authority to Establish Committees The Certification Board may establish committees, sub-committees, working groups, and task forces (hereinafter referred to collectively as committees) as needed to fulfill the mission and purpose of the Certification Board and meet the goals of the Personnel Certification programs. With the exception of the Nominating Committee, the Certification Board may create, modify, and dissolve committees as needed.

3 Selection of Committee Members Committee members and Committee Chairs will be appointed by the Certification Board Chair, with the approval of the Certification Board.

Committees will have a minimum of three members, with the exception of the Nominating Committee which has three members. There is no mandatory limit on the maximum number of committee members, unless otherwise stated in these policies, but in appointing committee members the Chair will consider the anticipated workload of the committee and the need for the committee to be able to work efficiently.

With the exception of members of the Certification Board, all committee members will be NEBB affiliates and certificants in good standing. Failure to maintain NEBB affiliation and Personnel Certification may result in the loss of an appointed committee position.

Committee members are appointed for two-year terms and may be reappointed for additional terms.

To the extent reasonably possible, committee composition will reflect the diversity of NEBB certificants. The following attributes will be considered in the appointment and composition of committees: geographic representation, firm size, experience level, and discipline area.

The Certification Director may serve as a non-voting ex-officio member of any committee.


4 Committee Charges In addition to their specific committee assignment(s) and tasks, all committee members are responsible for:

A. Maintaining confidentiality as required by the duties of their committee assignment(s) B. Following all policies and procedures C. Actively participating in committee meetings D. Responding to committee communications in a timely manner E. Completing committee tasks and assignments in a timely manner F. Communicating with the Committee Chair in the event that he/she cannot attend a meeting

or complete an assignment G. Notifying the Committee Chair of any conflict of interest

5 Limitations Members of committees appointed to write and/or review examination items cannot participate in the development or delivery of any Personnel Certification review materials or courses intended to prepare individuals to earn the Personnel Certifications during their service on these committees and for a period of two years after completing service on the committees.

6 Committee Authority Unless otherwise noted in this policy manual, all committees serve in an advisory capacity to the Certification Board. Committees are not authorized to act independently without direct Certification Board authorization. All committees will regularly report their activities and recommendations to the Certification Board.


Personnel Certification Program Operations Policy #: 106 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



The Personnel Certification body shall manage and be responsible for the performance of all personnel involved in the Personnel Certification process.


The Personnel Certification body shall have sufficient personnel available with the necessary competence to perform Personnel Certification functions relating to the type, range and volume of work performed.

C. ANSI/IS0/IEC 17024 Standard 6.1.3

The Personnel Certification body shall define the competence requirements for personnel involved in the Personnel Certification process. Personnel shall have competence for their specific tasks and responsibilities.

D. ANSI/IS0/IEC 17024 Standard 6.1.4

The Personnel Certification body shall provide its personnel with documented instructions describing their duties and responsibilities. These instructions shall be kept up-to-date.


A. ANSI Principle A.3

Competence of the personnel of the Personnel Certification body is necessary to deliver Personnel Certification that provides confidence.

3 Personnel Certification Program Management NEBB will employ qualified personnel to manage the day-to-day operational affairs of the Personnel Certification program.

Employees, Certification Board members, committee volunteers, and consultants will have the necessary education, training, technical knowledge, and/or experience to successfully perform the duties and responsibilities that are assigned to them.

A. Certification Director

The Certification Director is responsible for the day-to-day management and operation of the Personnel Certification program, for overseeing Personnel Certification program employees, and for ensuring that the policy decisions made by the Certification Board are implemented.


The Certification Director coordinates, manages, executes and supports the activities of the Certification Board and, specifically, the examination process, in accordance with the direction assigned by the Certification Board, and the policies and procedures of the Certification Board. The Certification Director is the primary point of contact for the psychometric consultants / testing company, and supervises the role and function of exam administration vendors. The Certification Director provides administrative support to the Certification Board and committees and notifies the Certification Board of any areas of noncompliance with policies and procedures.

Table 1: Summary of Leadership and Management Responsibilities

Responsibility Certification Board Committees Certification

Director

Policies and procedures for earning and maintaining Personnel Certification, including maintenance and Recertification requirements

> Establishes policies and procedures

> Implements policies and procedures

Defining, expanding and/or reducing the scope of the Personnel Certification program

> Establishes and changes scope

> Implements

Policies and procedures for suspending or withdrawing Personnel Certification, including the oversight of all disciplinary investigations and actions related to certificants

> Establishes policies

> Oversees investigations

> Makes disciplinary determinations

> Ad-hoc Review Committee implements investigations and code of ethics enforcement per the disciplinary policy

> Coordinates activities, monitors compliance with policies, and provides administrative support

Developing, maintaining, administering, and scoring the examinations in a manner consistent with generally accepted psychometric practices


> Oversees the committees appointed for exam development and maintenance

> Discipline specific exam development committees in consultation with the psychometric consultant / vendor develop and maintain the examination

> Supports the exam committees

> Primary point of contact for testing consultants

> Monitors compliance

Establishing and enforcing an code of conduct for individuals holding the credentials


> Oversees disciplinary process

> Ad hoc review committee conducts investigations and makes recommendations

> Ad hoc appeals committee reviews

> Coordinates committee and Certification Board activities and provides administrative support

> Reports alleged


appeals and makes determinations

violations as needed

Proposing a budget for the operation of the Personnel Certification programs

> Provides input into the budget development process

> Committee input is solicited as needed

> Develops budget for Certification Board review

Policies and procedures for and overseeing the ongoing operational processes of the Personnel Certification program

> Establishes policies and monitors compliance

> Participate in implementation as assigned

> Implements policies

> Develops and implements operational procedures

C. Certification Manager

This position reports to the Director of Certification and requires good communication and project management skills. Candidate should be organized, details oriented, self-motivated and have the ability to set, manage and meet priorities under changing conditions. Candidate will also provide administrative and customer service support in a small office, team oriented environment.

4 Job Descriptions

Each employee and key Personnel Certification program volunteers (including Certification Board members and Committee members) will have a written job description.

Job descriptions will include the position qualifications; any requirements for education, training, and technical knowledge; experience requirements; and a list of responsibilities for the position.

Job descriptions will be reviewed and updated regularly.

5 Qualifications

Qualifications for all employee and volunteer positions are defined in the job description for each position.

6 Orientation All employees and volunteers will receive sufficient orientation and training to successfully perform their assigned duties and responsibilities.

Initial orientation for Certification Board members is included in the Certification Board Composition Policy.

Initial orientation for employees will include the receipt of background information and materials, which may include, but not be limited to: Bylaws, policies and procedures, operational procedures,


past meeting minutes (as appropriate), Candidate Handbook, and other resource materials as needed.

The Certification Director will provide orientations for Personnel Certification program employees.

The designated psychometric consultants will provide orientation and training for item writers, examiners, and other individuals directly involved with the development, review and/or administration of the examination.

7 Professional Development

All individuals involved with the Personnel Certification program, whether they are paid employees or volunteer Certification Board members or committee members are expected to participate in ongoing training/professional development activities that are directly related to their specific Personnel Certification program responsibilities.

The Certification Director will keep a current training log to include professional development activities completed by Personnel Certification program employees for the personnel file of each employee. Each employee’s training and development activity log will be updated at least annually.

Recertification activities completed by the Certificant representative Certification Board members will serve to document their ongoing professional development activities. While it is essential that Certification Board members remain up-to-date in the environmental balancing industry, Certification Board officers are also encouraged to seek professional development activities related to professional Personnel Certification programs by attending workshops, seminars, and conferences like those listed in the employee training section below.

Employees are required to complete at least one relevant training/professional development activity each calendar year. Training/professional development activities may include, but are not necessarily limited to:

• Courses, seminars, workshops, and articles related to business/non-profit administration or tasks specifically related to the employee’s role (such as customer service, quality improvement, project management, etc.).

• Courses, conferences, seminars, and workshops related to professional Personnel Certification programs (including attendance at educational events such as those sponsored by the Institute for Credentialing Excellence (ICE), the Council for Licensure, Enforcement and Regulation (CLEAR), the American Society of Association Executives (ASAE), Personnel Certification Networking Group (CNG), the Association of Test Publishers (ATP), the American National Standards Institute (ANSI), and the Association Forum of Chicagoland.

• Reading books, journals, and/or articles directly related to the development and administration of professional Personnel Certification programs and professional Personnel Certification examinations.

• Providing and/or participating in in-service training sessions.


8 Performance Reviews

All key individuals involved with the Personnel Certification program, whether they are paid employees or volunteer Certification Board members, will participate in an annual performance review evaluation.

The individual(s) being reviewed and the individuals listed below as having input into the performance review will fill out an evaluation form prior to the scheduled performance review. The individual responsible for the review will collect the evaluation forms and will conduct the evaluation. A summary of the reviews will be documented and retained on file as required by the record retention policy. Individuals will have the opportunity to document any disagreement with the review on the summary review form before it is filed.

At a minimum the review process will include:

• Review of areas of growth, development, and improvement since the last review • Establishment of goals for the next year (and beyond if applicable) • Review of previously established goals

The evaluation process will vary depending on the position as outlined in the table below. Evaluation forms will be distributed to all individuals/groups that have input into each performance review prior to the date of the review. After the performance review has been conducted and finalized it will be submitted for acceptance as indicated in the table below.

Table 2: Performance Review Process

Position Input into Performance Review

Performance Review Conducted By

Performance Review Accepted By

Certification Director Certification Board Executive Vice President

Executive Vice President

Certification Manager Certification Director Certification Director Executive Vice President

Certification Board Certification Board members

Certification Board self-evaluation

Certification Board

Committee Chairs Committee Members Certification Board Chair

Certification Board Chair


Financial Management Policy #: 107 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



The Certification body shall be responsible for the impartiality of its Personnel Certification activities and shall not allow commercial, financial or other pressures to compromise impartiality.

D. ANSI/IS0/IEC 17024 Standard 4.4

The Certification body shall have the financial resources necessary for the operation of a Personnel Certification process and have adequate arrangements (e.g. insurance or reserves) to cover associated liabilities.

2 Resources The Certification Board will have sufficient and adequate resources to conduct effective and thorough Personnel Certification and Recertification program activities.

3 Certification Board Compensation Certification Board members are not compensated for their services.

4 Budget Development The Certification Board is responsible for general oversight regarding the day to day administration of the operations budget for the Personnel Certification program in accordance with NEBB policies and procedures. The Personnel Certification program operations budget includes revenue associated with the Personnel Certification examination and Recertification processes and expenses related to developing and administering the Personnel Certification examination and Certification process.

Items directly related to the administration of the Personnel Certification program, exam development and administration, and Recertification program are included under the oversight of the Certification Board (these activities include processing applications for initial Personnel Certification and Recertification, administering the examination, scoring and reporting exam results, developing items and content for the exams, conducting job analysis surveys and cut score studies, etc.).

The Certification Director will develop a draft operations budget for review by the Certification Board.

The Certification Board recommends the budget for Personnel Certification program operations to the NEBB Board of Directors for approval.


5 Monitoring Once approved, the budget is included in the overall NEBB budget by the Board of Directors and the Certification Board is accountable for ensuring that the Personnel Certification program operational budget, as approved, is followed. The Certification Director and the Certification Board work together to ensure that the approved budget is followed and provide periodic reports to the Board of Directors as needed.

Any changes from the approved budget will be reported to the Board of Directors. Expenses outside of the approved budget will require Board approval if they are not balanced by a corresponding increase in income or reduction in other expenses.

6 Financial Resources In developing a budget and financial plan for the Personnel Certification program the Certification Director and Certification Board will consider historical information and exam development and maintenance costs (such as those for job analysis studies, cut score reports, item writing, etc.) that occur periodically.

The Certification Board has no authority to take on any debt or liability without approval from the Board of Directors. The Board of Directors may choose to designate additional funding in support of the Personnel Certification program.

The Board of Directors will not withhold or approve funding in a manner that will prevent the Certification Board from making independent decisions regarding the Personnel Certification program.

7 Accounting Procedures The Certification Director and Certification Board will follow all established NEBB policies and procedures with regard to accounting procedures, expense reimbursements, and annual audits.

8 Fees Personnel Certification and Recertification fees and other fees or charges directly related to the Personnel Certification application, examination and Recertification requirements will be proposed by the Certification Director and Certification Board in the operations budget. Fees must be approved by the Board of Directors in compliance with this policy.

All fees will be applied uniformly to applicants/certificants according to the approved fee schedule.

9 Financial Controls Reimbursement of expenses for staff, volunteers, Certification Board members, and committee members will be made in compliance with NEBB policies and procedures.

The Certification Director and Certification Board will follow all financial control policies established by NEBB.


10 Fiscal Year The fiscal year is January 1 through December 31, subject to modification at any time by the NEBB Board of Directors.


Organizational Chart Policy #: 108 Approval Date: 10/18/2014 Changes to be authorized by: NEBB Board of Directors Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015




2 Organizational Structure of NEBB Certification Board

Mike LockeChairman

Stan FleischerVice Chairman

Rick FarringtonExam Chair (CBEC)

Marty LoftDisciplinary Chair

IndustryRepresentative

Dave MuggahFHT Rep

NameTitle

Brian HillCPT Rep

NameTitle

NameTitle

NameTitle

NameTitle

NameTitle

Tom MeyerStaff Liaison

Don HillBoD Liaison

NEBB Certification Board 2015 - 2016


3 NEBB Personnel Certification Program Employee Organizational Structure

NEBB Executive Vice President – Jim Huber

Operations Manager – Tiffany Suite

Director of Certifications – Tom Meyer

Manager of Certifications – Sheila Simms


Sub-Contracting Policy #: 109 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



The Personnel Certification body shall have a legally enforceable agreement covering the arrangements, including confidentiality and conflict of interests, with each body that provides outsourced work related to the Personnel Certification process.


When a Personnel Certification body outsources work related to Personnel Certification, the Personnel Certification body shall:

a) Take full responsibility for all outsourced work;

b) ensure that the body conducting outsourced work is competent and complies with the applicable provisions of this International Standard;

c) Assess and monitor the performance of the bodies conducting outsourced work in accordance with its documented procedures;

d) Have records to demonstrate that the bodies conducting outsourced work meet all requirements relevant to the outsourced work;

e) Maintain a list of the bodies conducting outsourced work.


Decisions for granting, maintaining, recertifying, extending, reducing, suspending or withdrawing Personnel Certification shall not be outsourced.

2 Definitions The services of consultants, vendors, and other contractors and sub-contractors (herein after referred to as “contractors”) described in this policy refer to work contracted by the Certification Board to an external organization, company, or person under a written agreement. The term “contracting” in this policy describes situations in which substantive work is conducted by an individual, company, or organization other than NEBB.

This policy does not apply to employees of NEBB or to vendor relationships for the purchase of equipment, supplies, maintenance services, etc.

3 Contracts The Certification Board may retain the services of contractors as needed to conduct the operations of the Personnel Certification program in compliance with Certification Board policies and procedures and within the approved operational budget. These services may include psychometric


consultation, examination security or administration services, and other similar services. Certification Board will be responsible for determining the need for a contractor and for selecting qualified subcontractors.

Legal contracts for contractor services will be reviewed by the Certification Board upon the recommendation of the Executive Vice President. Contracts will be approved and signed by the Executive Vice President in accordance with policies and procedures. All contractors must sign confidentiality and conflict of interest forms or must include these provisions in their contract. Provisions for monitoring and evaluating the work performed by the contractor will be included in the contract.

Essential Personnel Certification decisions, including but not limited to, eligibility requirements, Recertification policies, and establishing the examination passing point(s), cannot be delegated to any contractor. The Certification Board is responsible for any contracted work.

4 Qualifications The Certification Director and Certification Board are responsible for reviewing the qualifications of any potential contractors prior to engaging their services.

Contractors must be qualified to perform the work for which they are being engaged. Prior to engaging the services of a contractor the Certification Director will determine the qualifications for the work to be done. The Certification Director will assist the Certification Board in checking and verifying the qualifications of contractors.

5 Monitoring The Certification Director will retain a list of all contractors for the purpose of monitoring their performance and compliance with policies and procedures.

The Certification Director will regularly communicate with contractors and will report to the Certification Board as needed regarding the performance of these companies and/or individuals.

Any identified problems, including, but not limited to the following, will be reported to the Certification Board and will be addressed in keeping with the contract with that individual/company and with Certification Board/NEBB policies and procedures.

• failure to meet contractual obligations of perform contracted services • lack of compliance with confidentiality, conflict of interest, security, or other policies and

procedures

If corrective actions are necessary they will be documented and the Certification Director will follow-up to ensure any corrective actions are completed satisfactorily.


6 Evaluation Prior to engaging the services of a contractor the Certification Board, with the assistance of the Certification Director, will determine the Scope of Services to be performed. The Personnel Certification

Director will monitor the work performed in relation to the Scope of Services during the project and upon its completion. Any failure to complete the work as defined in the Scope of Services will be brought to the attention of the contractor and to the attention of the Certification Board and any appropriate corrective actions will be identified.

In


Confidentiality Policy #: 110 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



Personnel acting on the Personnel Certification body's behalf shall keep confidential all information obtained or created during the performance of the body's Personnel Certification activities, except as required by law or where authorized by the applicant, Candidate or certified person.


The Personnel Certification body shall require its personnel to sign a document by which they commit themselves to comply with the rules defined by the Personnel Certification body, including those relating to confidentiality, impartiality and conflict of interests.


The Personnel Certification body shall establish documented policies and procedures for the maintenance and release of information.


The Personnel Certification body shall, through legally enforceable agreements, keep confidential all information obtained during the Personnel Certification process. These agreements shall cover all personnel.

E. ANSI/IS0/IEC 17024 Standard 7.3.3

The Personnel Certification body shall ensure that information obtained during the Personnel Certification process, or from sources other than the applicant, Candidate or certified person, is not disclosed to an unauthorized party without the written consent of the individual (applicant, Candidate or certified person), except where the law requires such information to be disclosed.

F. ANSI/IS0/IEC 17024 Standard 7.3.4

When the Personnel Certification body is required by law to release confidential information, the person concerned shall, unless prohibited by law, be notified as to what information will be provided.


G. ANSI/IS0/IEC 17024 Standard 7.3.5

The Personnel Certification body shall ensure that the activities of related bodies do not compromise confidentiality.


A. ANSI Principle A.4

Managing the balance between confidentiality and openness affects stakeholders' trust and their perception of value in the Personnel Certification activities.

3 Confidentiality The Certification Board is committed to protecting confidential and/or proprietary information related to applicants, Candidates, certificants and the examination development, maintenance, and administration process. The confidentiality policy applies to all NEBB employees, Certification Board members, committee members, contractors, and other individuals who are permitted access to confidential information.

Information about applicants/Candidates/certificants and their application status and their examination results are considered confidential and may not be disclosed, divulged, or made accessible. Exam scores and/or other confidential information will be released only to the individual Candidate unless a signed release is provided or as required by law. Personal information submitted by applicants/Candidates/ certificants with an application or Recertification application is considered confidential. Personal information retained within the Candidate/Certificant database will be kept confidential.

Information related to the development, administration and maintenance of the examinations is considered confidential.

Confidential materials include, but are not limited to: an individual’s application status, personal applicant/Candidate/Certificant information, exam development documentation (including job analysis reports, technical reports, and cut score studies), exam items and answers, exam forms, and individual exam scores.

NEBB and the Certification Board will not disclose confidential applicant/Candidate/Certificant information unless authorized in writing by the individual or as required by law. When required by law to release confidential information NEBB will notify the affected individual to the extent permitted by law.

4 Verification of Personnel Certification The names of certified individuals and their Personnel Certification status are not considered confidential and will be published by NEBB (see the Personnel Certification Verification Policy).


5 Aggregate Personnel Certification Data Aggregate exam statistics (including the number of exam Candidates, pass/fail rates, and total number of certificants) will be publicly available. Aggregate exam statistics, studies and reports concerning Candidates/certificants will contain no information identifiable with any Candidate, unless authorized in writing by the Candidate.

6 Confidentiality Agreements Applicants for Personnel Certification will be required to read and acknowledge a confidentiality statement as part of the application process.

Before beginning his/her term of office each Certification Board member will sign a confidentiality form stating that the member will not disclose any confidential information. Certification Board members will not disclose confidential information related or discussed during Certification Board meetings. This includes any verbal or written information that is identified as a confidential matter.

All employees will be required to sign a confidentiality form prior to being permitted access to confidential information.

7 Handling Confidential Information All confidential materials will be identified as confidential information and will be retained in a secure manner as required by the security policy. Certification Board members will keep confidential and secure any confidential materials that are sent to them. These materials will be kept in a secure and private location at all times until they are returned to the Certification Director or destroyed as directed by the Certification Director.

NEBB employees, Certification Board members, committee members, contractors, and other individuals must exercise good judgment and care at all times to avoid unauthorized or improper disclosures of confidential information. Conversations in public places, such as restaurants, elevators, and public transportation, should be limited to matters that do not pertain to information of a sensitive or confidential nature. In addition, these individuals should be sensitive to the risk of inadvertent disclosure and should for example, refrain from leaving confidential information on desks or otherwise in plain view and refrain from the use of speaker phones to discuss confidential information if the conversation could be heard by unauthorized persons.

8 Access to Confidential Information Access to confidential information will be limited to those individuals who require access in order to perform necessary work related to the Personnel Certification program. Access will be granted in compliance with the provisions of the security policy. NEBB employees, Certification Board members, committee members, contractors, and other individuals will use confidential information solely for the purpose of performing services for the NEBB.

This policy is not intended to prevent disclosure where disclosure is required by law.


Conflict of Interest Policy #: 111 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



The Personnel Certification body shall document its structure, policies and procedures to manage impartiality and to ensure that the Personnel Certification activities are undertaken impartially. The Personnel Certification body shall have top management commitment to impartiality in Personnel Certification activities. The Personnel Certification body shall have a statement publicly accessible without request that it understands the importance of impartiality in carrying out its Personnel Certification activities, manages conflict of interest and ensures the objectivity of its Personnel Certification activities.


The Personnel Certification body shall identify threats to its impartiality on an ongoing basis. This shall include those threats that arise from its activities, from its related bodies, from its relationships, or from the relationships of its personnel. However, such relationships do not necessarily present a body with a threat to impartiality.


The Personnel Certification body shall analyze, document and eliminate or minimize the potential conflict of interests arising from its Personnel Certification activities. The Personnel Certification body shall document and be able to demonstrate how it eliminates, minimizes or manages such threats. All potential sources of conflict of interest that are identified, whether they arise from within the Personnel Certification body, such as assigning responsibilities to personnel, or from the activities of other persons, bodies or organizations, shall be covered.


The Personnel Certification body shall require its personnel to sign a document by which they commit themselves to comply with the rules defined by the Personnel Certification body, including those relating to confidentiality, impartiality and conflict of interests.


The Personnel Certification body shall require its personnel to declare any potential conflict of interest in any Candidate.



A. ANSI Principle A.2.2

It is necessary for Personnel Certification bodies and their personnel to be and to be perceived to be impartial in order to give confidence in their activities and their outcomes.

B. ANSI Principle A.2.3

Threats to impartiality include, but are not limited to, the following:

a) Self-interest threats: threats that arise from a person or body acting in its own interest to benefit itself;

b) Subjectivity threats: threats that arise when personal bias overrules objective evidence;

c) familiarity threats: threats that arise from a person being familiar with or trusting of another person, e.g. an examiner or Personnel Certification body personnel developing a relationship with a Candidate that affects the ability to reach an objective judgment;

d) Intimidation threats: threats that prevent a Personnel Certification body or its personnel from acting objectively due to fear of a Candidate or other interested party;

e) Financial threats: the source of revenue for a Personnel Certification body can be a threat to impartiality.

3 Scope

This policy pertains to all NEBB employees, Certification Board members, Personnel Certification program volunteers that contribute to the development and operations of the Personnel Certification programs.

4 Conflict of Interest

A conflict of interest is defined as a situation in which personal or professional concerns or connections of an individual affect his or her ability to place the welfare of the Personnel Certification program before personal benefits.

The Certification Board supports operational, administrative, and examination related policies that are free from actual, potential, or perceived conflicts of interest by employees, contractors, and those in elected, appointed, or volunteer positions.

It is the policy of the Certification Board that no individual, while serving any NEBB Personnel Certification program will take personal advantage of his or her role by allowing a situation to exist that may be construed as an actual, potential, or perceived conflict of interest. All conflicts of interest or potential conflicts of interest must be fully and immediately disclosed to the proper authority as designated in this policy and openly resolved.


The purpose of this policy is to protect the Certification Board and NEBB legally, financially, and otherwise from any conflict of interest that may arise with the potential to adversely affect the organization. The policy is intended to supplement, but not replace, any applicable state and federal laws governing conflict of interest applications to not-for-profit and charitable organizations.

5 Guidelines

A conflict of interest may exist in any situation where the activities of an individual involved with the work of the Personnel Certification program also involve obtaining direct or indirect personal or professional gain, create an adverse effect or have the potential to create an adverse effect on the interests of the Personnel Certification program or NEBB. A conflict of interest exists when the Certification Board or NEBB is involved in a situation in which an individual has a material financial interest or fiduciary duty such that it could influence his or her action on the matter while acting on behalf of the Certification Board or NEBB.

Conflicts of interest can also arise in other instances. Each individual must promptly report situations that may be perceived as a conflict of interest to the Certification Board as soon as he or she becomes aware of such situations. In addition, a Conflict of Interest Disclosure Statement must be signed by each individual when hired, elected, or appointed.

6 Examples

Although it is impossible to list every circumstance giving rise to a potential conflict of interest, the following will serve as a guide to the possible types of activities that might cause conflicts of interest. Full disclosure of any situation in question should be made so as to permit an impartial and objective determination. The personal or professional interests of an individual may conflict with the interests of the Certification Board or NEBB when he/she:

A) Solicits bids, forms contracts, or supplies goods or services for NEBB or its entities for private gain.

B) Has ownership interest, serves on the governing board, holds a management position, or has fiduciary responsibility in other organizations or entities that are engaged in transactions or compete with the Certification Board or NEBB.

C) Accepts gifts, gratuities, excessive entertainment, services, loans, or promises of future benefit by any entity that does, or is seeking to do, business with, or is a competitor of NEBB under circumstances from which it might be inferred that the action was intended to influence an individual in performance of his or her duties. This does not include accepting items of nominal value that are clearly tokens of respect or friendship.

D) Obtains compensation in the form of fees or salaries if the payment is affected directly or indirectly by the individual’s decisions made on behalf of the Certification Board or NEBB.

E) Discloses or uses information relating to NEBB or the Certification Board for personal profit or advantage.


F) Is directly or indirectly benefited because they are related to or maintains a personal friendship with any individual, company, or organization that is compensated to furnish consulting, professional, or other services or products to NEBB or the Certification Board.

G) Enters into a transaction or arrangement that might benefit his/her personal financial interest or might result in a possible excess benefit transaction.

7 Responsibilities

A Conflict of Interest Disclosure Form must be completed and signed by all employees and Certification Board members upon hire, election, or appointment.

Any actual, potential, or perceived conflict of interest will be disclosed in writing immediately after the matter arises to the Certification Board Chair or in the case of a conflict of interest involving the Chair, to the Certification Director.

NEBB employees, consultants, and appointed or volunteer members serving the Certification Board have a duty to disclose to the Certification Board any actual, potential, or perceived conflict of interest. Any business relationships between NEBB employees, Certification Board members, and their relatives must be reported to the Certification Board as appropriate.

The Certification Director and Certification Board Chair have a duty to report disclosure reviews to Certification Board.

8 Addressing a Conflict of Interest Disclosure

An individual with a conflict of interest has the opportunity to address the conflict of interest and to disclose all material facts. After the presentation, the individual will leave the meeting during the discussion and the vote regarding the conflict. All conflicts of interest will be reported to the Certification Board and recorded in the meeting minutes, even if they have been resolved.

9 Failure to Disclose a Conflict of Interest

If an individual has failed to disclose an actual, potential, or perceived conflict of interest, the Certification Board shall inform the individual and allow that individual an opportunity to explain the alleged failure to disclose a conflict of interest. If, after hearing the individual’s response and after making further investigation as needed, the Certification Board determines that the individual has failed to disclose an actual, potential, or perceived conflict of interest, the Certification Board will take appropriate disciplinary and corrective action.


Eligibility

Policy #: 112 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

ANSI/IS0/IEC 17024 Standard 4.3.2

The Personnel Certification body shall act impartially in relation to its applicants, Candidates and certified persons.


Policies and procedures for Personnel Certification of persons shall be fair among all applicants, Candidates and certified persons.


Personnel Certification shall not be restricted on the grounds of undue financial or other limiting conditions, such as membership of an association or group. The Personnel Certification body shall not use procedures to unfairly impede or inhibit access by applicants and Candidates.


Completion of training may be a specified requirement of a Personnel Certification scheme (see 8.3). The recognition/approval of training by the Personnel Certification body shall not compromise impartiality or reduce the assessment and Personnel Certification requirements.

ANSI/IS0/IEC 17024 Standard 5.2.2

The Personnel Certification body shall provide information regarding education and training if they are used as pre-requisites for being eligible for Personnel Certification. However, the Personnel Certification body shall not state or imply that Personnel Certification would be simpler, easier or less expensive if any specified education/training services are used.


Offering training and Personnel Certification for persons within the same legal entity constitutes a threat to impartiality. A Personnel Certification body that is part of a legal entity offering training shall:

Identify and document the associated threats to its impartiality on an ongoing basis: the body shall have a documented process to demonstrate how it eliminates or minimizes those threats;


Demonstrate that all processes performed by the Personnel Certification body are independent of training to ensure that confidentiality, information security and impartiality are not compromised;

Not give the impression that the use of both services would provide any advantage to the applicant;

Not require the Candidates to complete the Personnel Certification body's own education or training as an exclusive prerequisite when alternative education or training with an equivalent outcome exists;

Ensure that personnel do not serve as an examiner of a specific Candidate they have trained for a period of two years from the date of the conclusion of the training activities: this interval may be shortened if the Personnel Certification body demonstrates it does not compromise impartiality.


When a Personnel Certification body certifies a person it employs, the Personnel Certification body shall adopt procedures to maintain impartiality.

H. ANSI/IS0/IEC 17024 Standard 7.2.2

The Personnel Certification body shall make publicly available without request information regarding the scope of the Personnel Certification scheme and a general description of the Personnel Certification process.

I. ANSI/IS0/IEC 17024 Standard 7.2.3

All pre-requisites of the Personnel Certification scheme shall be listed and the list shall be made publicly available without request.

J. ANSI/IS0/IEC 17024 Standard 7.2.4

Information provided by the Personnel Certification body, including advertising, shall be accurate and not misleading.

K. ANSI/IS0/IEC 17024 Standard 9.2.2

When there is a change in the Personnel Certification scheme which requires additional assessment, the Personnel Certification body shall document and make publicly accessible without request the specific methods and mechanisms required to verify that certified persons comply with changed requirements.



ANSI Principle A.2.1

Personnel Certification of a person should be based on objective evidence obtained by the Personnel Certification body through a fair, valid and reliable assessment, and not influenced by other interests or by other parties.

3 Rationale

The Certification Board has developed requirements for eligibility to ensure that the application process is fair and impartial for all applicants. The eligibility requirements have been established to recognize individuals who have demonstrated the experience, knowledge, and skills necessary to provide competent environmental balancing services as defined for each discipline. Applicant professionals must demonstrate proficiency in the applicant’s chosen discipline(s) by the required examination(s), as specified and administered by the Certification Board.

The Certification Board is committed to providing a fair and objective Personnel Certification process. As such, all individuals who seek Personnel Certification must meet the established eligibility requirements and pass the required examination(s) for each discipline.

4 Membership Requirement

To earn Personnel Certification applicants must meet all of the eligibility requirements and pass the examination(s) required for each discipline. Affiliation with NEBB or membership in any other organization is not a requirement for Personnel Certification.

5 Education and Training Requirements

Education and/or Training provided by NEBB is not a requirement for Personnel Certification. The Certification Board does not approve, recommend, or endorse any educational programs offered by any organization to prepare individuals for the Personnel Certification examinations.

6 Building Enclosure Testing (BET) CP Requirements

Applicants for BET Personnel Certification must meet the following requirements:

Meet all the conditions in any one of the following categories (note that all requirements cannot be conducted concurrently):


☐ Category A ☐ Category B ☐ Category C ☐ Category D

Hold a Bachelor of Science Degree in Engineering or Architectural Degree

AND

Have witnessed or Performed at least two Building Enclosure Tests

Hold Associate Degree in Engineering Technology or Construction Technology Degree

AND

Have witnessed or Performed a minimum of four Building Enclosure Tests

Have at least two years of experience in the design or installation of Air Barriers

AND

Have witnessed or Performed at least four Building Enclosure Tests

Have at least four years of experience in Building Enclosure Testing

AND

Have Witnessed or Performed at least four Building Enclosure Tests

Pass the written examination for BET.

Pass the practical examination for BET.

7 Building Systems Commissioning (BSC) CP Requirements

Applicants for BSC Personnel Certification must meet the following requirements:

Personnel Certification as a BSC Certified Technician is a Prerequisite for application for BSC CP




Hold a Bachelor of Science Degree in Engineering

AND

Have at least two years of supervisory experience in building system design, building system installation, building system commissioning, building systems testing, or TAB

Hold an Associate Degree in Engineering Technology

AND

Have at least four years of experience in performing building systems design, or building systems installation or BSC, or systems testing, or TAB

AND

Have two years of supervisory experience in building systems design, building systems installation, building systems commissioning, building systems testing, or TAB

Six years total.


AND

Have at least four years of supervisory experience in building systems design, or building systems installation or BSC, or systems testing, or TAB

Eight years total

Have a minimum of four years of building systems design or installation related experience (which could include accredited apprenticeship),

AND

Have a minimum of two years of experience in building systems design, or building systems installation or building systems commissioning, or systems testing, or TAB

AND

Have, in addition, a minimum of four years of supervisory experience in; Building Systems Design, or Building Systems installation or BSC, or Systems Testing, or TAB

Ten years total.

Pass each of the required NEBB examinations: BSC Procedural Standards and HVAC & Controls.

8 Cleanroom Performance Testing (CPT) CP Requirements

Applicants for CPT Personnel Certification must meet the following requirements:

The applicant must have taken and passed the CPT Technician examinations.



☐ Category A ☐ Category B ☐ Category C


AND

Have at least five years of experience in Cleanroom Performance Testing

Have a High School Diploma (or equivalent)

AND

Have three years of experience in Cleanroom Performance Testing

AND

Have passed a Cleanroom Testing course approved by NEBB

Have High School Diploma (or equivalent)

AND

Have two years of experience as a NEBB CPT Technician performing at least 1000 hour s per year of Cleanroom Performance Testing

Pass the CPT written examination. [NOTE: Written exam must be passed before the Candidate can schedule the report review exam.]

Pass the CPT report review examination.

9 Fume Hood Testing (FHT) CP Requirements

Complete a minimum of 24 hours of Fume Hood training.


☐ Category A ☐ Category B

Have a minimum of five years combined educational and supervisory experience in fume hood testing

NOTE: All requirements cannot be conducted concurrently

Have a High School Diploma/GED

AND

Have two years field experience in fume hood testing

AND

Attended training directly related to fume hood testing

Pass the FHT written examination

Pass the FHT practical examination.


10 Retro-Commissioning (RCX-EB) CP Requirements




AND

Have at least two years of supervisory experience in building system design, building system installation, building system commissioning, building systems testing, or TAB

Hold Associate Degree in Engineering Technology

AND

Have at least four years of supervisory experience in performing building systems design, or building systems installation or BSC, or systems testing, or TAB

AND

Have two years of supervisory experience in building systems design, building systems installation, building systems commissioning, building systems testing, or TAB

Six years total.


AND

Have at least four years of supervisory experience in building systems design, or building systems installation or BSC, or systems testing, or TAB

Eight years total

Have a minimum of four years of building systems design or installation related experience (which could include accredited apprenticeship)

AND

Have a minimum of two years of experience in building systems design, or building systems installation or building systems commissioning, or systems testing, or TAB

AND

Have, in addition, a minimum of four years of supervisory experience in; Building Systems Design, or Building Systems installation or BSC, or Systems Testing, or TAB

Ten years total.

B. Pass the NEBB RCX-EB examination.

11 Sound Measurement (SM) CP Requirements





AND

Have at least two years of supervisory experience in Sound Measurement


AND

Have at least four years of supervisory experience in Sound Measurement

Have at least four years of experience in Sound Measurement

AND

Have at least four years of supervisory experience in Sound Measurement

Eight years total

Have at least four years of HVAC system installation or Service experience

OR

Attended approved training session directly related to Sound Measurement

AND

Have at least six years of experience in Sound Measurement with at least four of those years in a supervisory position

Pass the Written examination for Sound. [NOTE: Written exam must be passed before the Candidate can schedule the practical exam.]

Pass the Practical Examination for Sound.

12 Vibration Measurement (VM) CP Certified Requirements

The Certified Professional must meet the following:




AND

Have at least two years of supervisory experience in Vibration Measurement


AND

Have at least four years of supervisory experience in Vibration Measurement

Have at least four years of experience In Vibration Measurement

AND

Have at least four years of supervisory experience in Vibration Measurement

Eight years total


OR

Attended approved training session directly related to Vibration Measurement

AND

Have at least six years of experience in Vibration Measurement with at least four of those years in a supervisory position


Pass the Written examination for Vibration. [NOTE: Written exam must be passed before the Candidate can schedule the practical exam.]

Pass the Practical Examination for Vibration.

13 Testing, Adjusting and Balancing (TAB) CP Personnel Certification Requirements

Must have NEBB Certified Technician status




AND

Have at least two years of supervisory experience in Testing, Adjusting and Balancing


AND

Have at least four years of supervisory experience in Testing, Adjusting and Balancing

Have four years of experience in Testing, Adjusting and Balancing

AND

Have at least four years of supervisory experience in Testing, Adjusting and Balancing


OR

Attended approved training session directly related to Testing, Adjusting and Balancing

AND

Have at least six years’ experience in Testing, Adjusting and Balancing with at least four of those years in a supervisory position

Pass the TAB written examination. [NOTE: Written exam must be passed before the Candidate can schedule the practical exam.]

Pass the TAB practical examination.

14 Building Enclosure Testing (BET) CT Requirements (RESERVED)

Applicants for BET Personnel Certification must meet the following requirements:


Pass the written examination for BET.


Pass the practical examination for BET.

15 Building Systems Commissioning (BSC) CT Requirements (FUTURE)

Applicants for BSC Personnel Certification must meet the following requirements:

Personnel Certification as a BSC Certified Technician is a Prerequisite for application for BSC CP


Pass each of the required NEBB examinations: BSC Procedural Standards and HVAC & Controls.

16 Cleanroom Performance Testing (CPT) CT Requirements

Applicants for CPT Personnel Certification must meet the following requirements:

The applicant must have taken and passed the CPT Technician examinations.

☐ Category A ☐ Category B ☐ Category C

Have worked at least one year for a Cleanroom Performance Testing Firm

AND

Personally completing at least 1000 hours of Cleanroom Testing

Have at least two years of experience with a Cleanroom Performance Testing Firm

AND

Have attended industry training related to Cleanroom Performance Testing

Have four years of experience with a Cleanroom Performance Testing Firm

AND

Have attended industry training related to Cleanroom Performance Testing


Pass the CPT written examination. [NOTE: Written exam must be passed before the Candidate can schedule the report review exam.]

Pass the CPT report review examination.

17 Fume Hood Testing (FHT) CT Requirements (FUTURE)

Complete a minimum of 24 hours of Fume Hood training.


Pass the FHT written examination

Pass the FHT practical examination.


18 Retro-Commissioning (RCX-EB) CT Requirements (RESERVED)


B. Pass the NEBB RCX-EB examination.

19 Sound Measurement (SM) CT Requirements

Pass the Written examination for Sound. [NOTE: Written exam must be passed before the Candidate can schedule the practical exam.]

Pass the Practical Examination for Sound.

20 Vibration Measurement (VM) CT Certified Requirements

The Certified Professional must meet the following:

Pass the Written examination for Vibration. [NOTE: Written exam must be passed before the Candidate can schedule the practical exam.]

Pass the Practical Examination for Vibration.

21 Testing, Adjusting and Balancing (TAB) CT Personnel Certification Requirements

Must have NEBB Certified Technician status



Have four years (1000 hours minimum per year) or more of TAB fieldwork

Have two years (1000 hours minimum per year) or more of TAB Fieldwork

Have successfully completed the NEBB TAB Technician Course (provide Certificate)

Have two years (1000 hours minimum per year) or more of TAB Fieldwork

Have successfully completed a program equivalent to NEBB’s Technician Personnel Certification testing program. (provide documentation)

Other - Attach resume for consideration

Pass the TAB written examination. [NOTE: Written exam must be passed before the Candidate can schedule the practical exam.]

Pass the TAB practical examination.


14 Personnel Certification Eligibility for NEBB Employees

Individuals who are employed by NEBB and who have access to the examination content are not eligible to take any NEBB Personnel Certification examination during and for 3 years following their term of employment. Notification of this policy will be included in the NEBB employment agreement.

15 Eligibility Appeals

Applicants who have submitted a completed application and who are notified that they do not meet the eligibility requirements may appeal this decision by sending a written notice of the appeal to the Certification Director within 30 days of the eligibility decision. Appeals that cannot be resolved to the applicant’s satisfaction will be forwarded by the Certification Director to the Certification Board for review along with any relevant information from the initial review of the application. Written notice of the final decision will be sent to the applicant within 30 days of the review. The decision of the Certification Board will be final.

16 Changes in Eligibility Requirements & Assessments

The Certification Board will periodically review the requirements for Personnel Certification to ensure that the requirements remain current and are appropriate for the purpose of the Personnel Certification. From time to time the Certification Board may determine the need for changes to the eligibility requirements and/or may change the content of examinations.

When substantive changes are made to the eligibility requirements and/or examination content, the Certification Board will determine in advance the measures that will be required to bring previously certified individuals into compliance with the new requirements. For example, if a change in educational requirements is made to the eligibility requirements, currently certified individuals may be required to include comparable education with their Recertification. If a new content domain is added to an examination following a job/task analysis, certified individuals may be required to include continuing education from that content domain with their Recertification.

Sufficient notice will be published in the case of any substantive changes to the eligibility requirements and/or examination content. Changes will be publicized through NEBB communication channels, published in the Candidate Handbook and on the NEBB web site well in advance of the effective date of the changes, which will also be published.


Granting Personnel Certification


1 Relevant Principles A. ANSI Principle A.1.3

The Personnel Certification body has a responsibility to ensure that only those persons who demonstrate competence are awarded Personnel Certification.

2 Personnel Certification Only Candidates who meet all eligibility requirements and successfully pass the required examination(s) are granted Personnel Certification. Certificants must comply with all Recertification requirements to maintain Personnel Certification.

3 Grandfathering Prohibited Grandfathering is defined as a process by which individuals are granted Personnel Certification without being required to meet a formal examination requirement. Grandfathering is prohibited by the NEBB Certification Board.

The Certification Board does not award credentials to individuals who have not met the eligibility and examination requirements. It is the policy of the Certification Board that only individuals who meet all eligibility requirements and successfully complete examination requirements will receive the credentials.


Applications for Personnel Certification & Recertification


1 Relevant Standards A. ANSI/IS0/IEC 17024 Standard 7.1.3

The Personnel Certification body shall have enforceable arrangements to require that the certified person informs the Personnel Certification body, without delay, of matters that can affect the capability of the certified person to continue to fulfil the Personnel Certification requirements.


Personnel Certification bodies shall prevent fraudulent examination practices by: a) requiring Candidates to sign a non-disclosure agreement or other agreement indicating their commitment not to release confidential examination materials or participate in fraudulent test-taking practices


Upon application, the Personnel Certification body shall make available an overview of the Personnel Certification process in accordance with the Personnel Certification scheme. As a minimum, the overview shall include the requirements for Personnel Certification and its scope, a description of the assessment process, the applicant's rights, the duties of a certified person and the fees.


The Personnel Certification body shall require the completion of an application, signed by the applicant seeking Personnel Certification, which includes as a minimum the following: a) Information required to identify the applicant, such as name, address and other information

required by the Personnel Certification scheme; b) The scope of the desired Personnel Certification; c) A statement that the applicant agrees to comply with the Personnel Certification

requirements and to supply any information needed for the assessment; d) Any supporting information to demonstrate objectively compliance with the

scheme prerequisites; e) Notice to the applicant of his/her opportunity to declare, within reason, a request for

accommodation of special needs (see 9.2.5).



The Personnel Certification body shall review the application to confirm that the applicant complies with the application requirements of the Personnel Certification scheme.


The information gathered during the Personnel Certification process shall be sufficient: a) For the Personnel Certification body to make a decision on Personnel Certification; b) For traceability in the event, for example, of an appeal or a complaint.


The Personnel Certification body shall confine its decision on Personnel Certification to those matters specifically related to the requirements of the Personnel Certification scheme.


The decision on Personnel Certification of a Candidate shall be made solely by the Personnel Certification body on the basis of the information gathered during the Personnel Certification process. Personnel who make the decision on Personnel Certification shall not have participated in the examination or training of the Candidate.


The personnel who make Personnel Certification decisions shall have sufficient knowledge of and experience with the Personnel Certification process to determine if the Personnel Certification requirements have been met.


Personnel Certification shall not be granted until all Personnel Certification requirements are fulfilled.


The Personnel Certification body shall have enforceable arrangements with the certified person to ensure that, in the event of suspension of Personnel Certification, the certified person refrains from further promotion of the Personnel Certification while it is suspended.

L. ANSI/IS0/IEC 17024 Standard 9.5.4

The Personnel Certification body shall have enforceable arrangements with the certified person to ensure that, in the event of withdrawal of Personnel Certification, the certified person refrains from use of all references to a certified status.

M. ANSI/IS0/IEC 17024 Standard 9.7.2


The Personnel Certification body shall require that a certified person signs an agreement for the following reasons:

a) To comply with the relevant provisions of the Personnel Certification scheme;

b) To make claims regarding Personnel Certification only with respect to the scope for which Personnel Certification has been granted;

c) Not to use the Personnel Certification in such a manner as to bring the Personnel Certification body into disrepute, and not to make any statement regarding the Personnel Certification which the Personnel Certification body considers misleading or unauthorized;

d) to discontinue the use of all claims to Personnel Certification that contain any reference to the Personnel Certification body or Personnel Certification upon suspension or withdrawal of Personnel Certification, and to return any certificates issued by the Personnel Certification body;

e) Not to use the certificate in a misleading manner.

2 Relevant Principles A. ANSI Principle A.6

The Personnel Certification body has the responsibility to obtain sufficient objective evidence upon which to base a Personnel Certification decision.

3 Introduction Applications for initial Personnel Certification and applications for Recertification will be received, reviewed, and verified using the processes as described in this policy. Unless otherwise specified, the term “application” as used in this policy applies to both initial and Recertification applications.

4 Application for Personnel Certification/ Recertification Applications may be submitted online or in printed version.

The information provided on the application and supporting documentation will be used to determine the applicants’ compliance with the established eligibility requirements.

The application for Personnel Certification will include the applicant’s signature attesting to:

• Having read and understood the Candidate Handbook

• Understanding and agreeing to comply with the Code of Conduct and the disciplinary policy

• Understanding the scope of the Personnel Certification

• Agreeing to comply with all Personnel Certification requirements and agreeing to supply any information needed to evaluate and verify compliance

• Make claims regarding Personnel Certification only as permitted by the policies including the use of Personnel Certification policy


• Use the Personnel Certification only as authorized and to refrain from making any statement regarding Personnel Certification that is inaccurate, misleading, or unauthorized

• Comply with all policies regarding the confidentiality of examination content

• Discontinue use of the Personnel Certification and to return any certificates to NEBB upon suspension or withdrawal of the Personnel Certification

• Inform NEBB, without delay, of any matter that affects the individual’s ability to continue to fulfil the Personnel Certification requirements once Personnel Certification is granted

Each application will include the applicant’s name and relevant contact information and notification of the accommodations policy and instructions for requesting special accommodations.

The application form and all supporting documentation must be submitted in accordance with the application instructions available on the web site. Applicants are advised to retain a copy of all submitted materials.

Acknowledgement of receipt for all applications will be sent via email or USPS mail. After initial review of the application materials, each applicant will be notified that either the materials are (1) complete and approved or (2) incomplete and require additional information or documentation. Applicants will be informed of the information needed to complete their application. Fee payment is required for the application to be considered complete. Fees and payment instructions are published in the Candidate Handbook and/or on the web site.

Confirmations, notifications, examination scheduling instructions and examination results will be sent to the email or postal address indicated on the application form.

5 Application Review and Verification The Certification Director ensures that all complete applications are reviewed to determine if the applicant meets all eligibility requirements and that all required information has been properly submitted by the applicant. NEBB reserves the right to verify any information submitted with an application and to request further information or documentation from the applicant as needed.

6 Change of Contact Information It is the responsibility of the applicant/Candidate to notify NEBB immediately of any change in mailing address, phone number, or email address that takes effect during the Personnel Certification process.


Exam Administration Policy #: 115 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

1 Relevant Standards A. ANSI/IS0/IEC 17024 Standard 6.2.2.1

Examiners shall meet the requirements of the Personnel Certification body. The selection and approval processes shall ensure that examiners:

a) Understand the relevant Personnel Certification scheme;

b) Are able to apply the examination procedures and documents;

c) Have competence in the field to be examined;

d) are fluent, both in writing and orally, in the language of examination; in circumstances where an interpreter or a translator is used, the Personnel Certification body shall have procedures in place to ensure that it does not affect the validity of the examination;

e) Have identified any known conflicts of interest to ensure impartial judgments are made.

B. ANSI/IS0/IEC 17024 Standard 6.2.2.2

The Personnel Certification body shall monitor the performance of the examiners and the reliability of the examiners' judgments. Where deficiencies are found, corrective actions shall be taken.

C. ANSI/IS0/IEC 17024 Standard 6.2.2.3

If an examiner has a potential conflict of interest in the examination of a Candidate, the Personnel Certification body shall undertake measures to ensure that the confidentiality and impartiality of the examination are not compromised. These measures shall be recorded.

D. ANSI/IS0/IEC 17024 Standard 6.2.3.1

The Personnel Certification body shall have a documented description of the responsibilities and qualifications of other personnel involved in the assessment process (e.g. invigilators).

E. ANSI/IS0/IEC 17024 Standard 6.2.3.2

If other personnel involved in the assessment have a potential conflict of interest in the examination of a Candidate, the Personnel Certification body shall undertake measures to ensure that confidentiality and impartiality of the examination is not compromised. These measures shall be recorded.



Personnel Certification bodies shall prevent fraudulent examination practices by …

b) Requiring an invigilator or examiner to be present.

c) Confirming the identity of the Candidate;

d) Implementing procedures to prevent any unauthorized aids from being brought into the examination area;

e) Preventing Candidates from gaining access to unauthorized aids during the examination;

a) Monitoring examination results for indications of cheating.


The Personnel Certification body shall implement the specific assessment methods and mechanisms as defined in the Personnel Certification scheme.


The Personnel Certification body shall have procedures to ensure a consistent examination administration.


Criteria for conditions for administering examinations shall be established, documented and monitored.

NOTE Conditions can include lighting, temperature, separation of Candidates, noise, Candidate safety, etc.


When technical equipment is used in the examination process, the equipment shall be verified or calibrated where appropriate.

2 Introduction The Certification Board is committed to ensuring that the examination process is fair and standardized for all Candidates. Strict adherence to all policies and procedures related to exam administration and security are a critical component of this process. Regardless of the exam site, exams will be administered in a standardized manner using trained proctors and appropriate physical facilities that conform to the criteria listed below.

Exams and Personnel Certification program information documents are developed based on practice in the United States and are offered only in English.


3 Examination Sites Kryterion locations in the USA and around the world for all written tests. Kryterion sites are listed on the website https://www.kryteriononline.com

Approved TAB Practical Test locations are listed on the NEBB Website. Website will be updated on a continuous basis as sites are added or discontinued.

A. Examination Site Criteria

The NEBB Certification Board reserves the option to administer written exams via paper-and-pencil testing at NEBB hosted sites as needed.

All examination sites are required to meet the following criteria:

• Examination rooms will be quiet and free of disruption • Rooms will have adequate and comfortable ventilation, lighting and temperature • All exam administrations will be monitored by approved proctors as noted above • Entrances/exits will be monitored/controlled and working fire exits will be available • A clock will be visible for all test takers • Candidates will have access to water and restroom facilities

Additional criteria for NEBB administered paper based examination sites:

• Test sites will be accessible in compliance with the Americans with Disabilities Act (ADA) • All test takers must face in the same direction and must be visible to the proctor(s)

Additional criteria for practical examination sites:

• Test sites that meet ADA requirements will be available

B. Selecting Examination Sites

Candidate will select their test site based on their location.

Paper based test sites will be selected by the Certification Director based on best practices.

Practical test locations will be selected by the Certification Board and listed on the NEBB Website and updated on a continuous basis.

C. Monitoring Examination Sites

Kryterion rules are used at all Kryterion locations.

NEBB Paper based tests are monitored by an NEBB approved Proctor or Examiner.


4 Admission to the Examination Each Candidate will receive a confirmation letter once their application has been approved. The letter includes authorization to take the exam along with specific information about the date, time and location of the exam. To gain admission to the exam each Candidate is required to present both their authorization letter and a valid, signed photo ID at the registration desk.

5 Technical Equipment See Current version of the TAB Practical Examination Administration Manual

6 Candidate Comment Sheets Candidates are encouraged to use the comment forms that are available in each assessment packet or in the comment section of exams taken via computer-based assessment. Comments can be related to a specific item or equation, the administration of the assessment, or the assessment site conditions. All comments are reviewed by the Certification Director and the relevant examination development committee at their regularly scheduled meetings.

7 Scoring Procedures Exam results are communicated directly to Candidates. Written exam results will be given to Candidates at the test site immediately following the exam and emailed to the Candidates following the examination. Score reporting may be delayed in the case of implementation of new exam forms. In those cases, score reports will be sent to Candidates via email 4-6 weeks following the examination. Candidates will be notified via the web site and/or Candidate Handbook regarding how and when their scores will be received. Practical exam results will be mailed to Candidates within 30 days following the exam administration. Results are provided directly to the Candidate only.

Exam results for passing Candidates will include pass/fail status only. Because the exam is designed to assess the knowledge associated with being able to perform the job being certified effectively and safely and is not intended to distinguish among scores above the passing point, numeric scores are not be reported for passing Candidates.

Failing Candidates will be provided with diagnostic information for each of the examination content domains.

The Candidate Handbook will include a description of how the passing score is determined along with a summary of how the Candidate’s score should be interpreted. Candidates will be informed that the examination is designed to assess knowledge associated with adequate professional competency and that it is not intended to distinguish among scores above the passing point.


8 Appeals of Examination Results Candidates who fail the exam may file an appeal of exam results based on: examination procedures that fail to comply with the Certification Board’s established policies or alleged testing conditions severe enough to cause a major and significant disruption of the examination process.

Appeals must be made in writing to the Certification Director within 30 days of the date on the individual’s score results. Appeals that are not resolved by the Certification Director to the Candidate’s satisfaction will be forward to the Certification Board for review along with any other relevant information. Written notice of the final decision will be sent to the applicant within 30 days of the review. The decision of the Certification Board will be final.

9 Testing Candidates have three years following approval of an application to complete the examination.

Candidates who fail an exam may re-take the exam following a 90 day waiting period. The retesting policy applies to both written and practical exams. All retests will use the most current exam.

For Personnel Certifications with both written and practical examinations, Candidates have 3 years from their initial test date to pass all sections of the written and practical exams. After this time period expires, Candidates must wait 2 years from the last examination attempt before re-applying for Personnel Certification.

After successful completion of the examination, the Candidate has 1 year to apply for Personnel Certification and pay all fees. If the Candidate does not apply for Personnel Certification within 1 year, the Candidate will be responsible for a Reapplication fee.

10 International Testing Kryterion Test Center or Certification Board Approved Paper Based test site.

11 Proctors

A. Proctor Qualifications and Criteria

Examinations may be proctored by:

• NEBB Personnel Certification staff members • NEBB Certification Board Members • Contracted 3rd party examination administrators

B. Required Forms

All Proctors must complete and submit the following forms prior to proctoring an exam:

• Conflict of Interest/Bias • Confidentiality/Non-Disclosure • Statement of Understanding


• Agreement to Comply with NEBB Security Protocols for Assessment Materials

C. Training

All proctors must complete mandatory training prior to proctoring an exam. All proctors will be provided with a Proctor Manual.

D. Proctor Conflict of Interest

Prior to the assessment date, the Certification Director will provide a roster of examinees to the assigned Proctor. The Proctor must sign a statement indicating there is no potential conflict of interest or bias regarding examinees. If there is a potential appearance of conflict of interest or bias, the Proctor is expected to recuse themselves and advise the Certification Director immediately.

Proctors must maintain observational independence and shall not have an incentive to either pass or fail an examinee on any item.

12 Examiners (Practical Exams)

A. Examiner Qualifications and Criteria

Examiners for the practical examinations use their knowledge and expertise to judge the performance of each Candidate and to gauge the Candidate’s knowledge. All Examiners complete mandatory training and receive an Examiner Manual prior to serving as an examiner. All examiners are required to use standardized rating forms/rating scales to ensure consistency and fairness.

Refer to current version of the NEBB TAB Practical Examination Administration Manual

All examiners must:

• Be certified in the discipline for which they serve as an examiner • Complete mandatory examiner training prior to each examination administration • Participate as an observer for at least two exams prior to serving as an examiner

B. Examiners’ Roles and Responsibilities

Two examiners are required to be present at all times during the examination of each Candidate.

Each examiner is responsible for independently evaluating the Candidate by completing a rating form during each part of the examination.

Prior to the start of the exam session each examiner will receive a packet for each Candidate. Each Candidate’s packet will include:

1. Approved application for the Candidate

2. Examiners package of Test instructions including test report form

3. Candidates package with Test instructions, Test, Answer Sheet


When administering the exam, examiners will follow the standardized processes and procedures established in the Examiner Manual and reviewed in the mandatory examiner training.

C. Examiner Consistency

Examiner consistency is ensured by training examiners as a group prior to each test administration, monitoring examiners during each test administration, reviewing examiner rating forms to look for evidence of failure to follow procedures, and calculating measures of inter-rater agreement and reliability.

D. Examiner Conflict of Interest

Examiners may not evaluate individuals from their Firm. At least one of the two proctors will be an Independent Examiner, defined as an individual who is not affiliated with a certified firm.

Prior to the assessment date, the Certification Director will provide a roster of examinees to the assigned Examiners. The Examiners must sign a statement indicating there is no potential conflict of interest or bias regarding examinees. If there is a potential appearance of conflict of interest or bias, the Examiner is expected to recuse themselves and advise the Certification Director immediately.

Candidates are informed of their Examiners in advance and are given the opportunity to identify any conflict of interest. If a conflict of interest is identified an alternate Examiner will be selected. Candidates may also elect to select a test site out of their local area.

13 Examination Administration Irregularities Examination administration irregularities include incidents observed during the assessment, such as a disturbance, giving or receiving unauthorized information or aid, or attempting to remove assessment materials or notes from the assessment room. An irregularity caused by a Candidate may be sufficient cause to end participation in the assessment, or to invalidate scores.

Irregularities may be identified by observation or suspicion by the Proctor or Examiner, reported by a Candidate, or may be evidenced by subsequent statistical analysis of examination data. The Certification Board reserves the right to investigate each incident of misconduct or irregularity and take action as it deems appropriate up to and including disciplinary investigations and actions.

Proctors/Examiners must report any irregularity or serious incident to the Certification Director following the procedures in the Proctor Manual.


Examination Development & Maintenance Policy #: 116 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



The Personnel Certification body shall have documents to demonstrate that, in the development and review of the Personnel Certification scheme, the following are included:

a) The involvement of appropriate experts;

b) The use of an appropriate structure that fairly represents the interests of all parties significantly concerned, without any interest predominating;

c) The identification and alignment of prerequisites, if applicable, with the competence requirements;

d) The identification and alignment of the assessment mechanisms with the competence requirements;

e) A job or practice analysis that is conducted and updated to:

⎯ identify the tasks for successful performance;

⎯ identify the required competence for each task;

⎯ identify prerequisites (if applicable);

⎯ confirm the assessment mechanisms and examination content;

⎯ identify the Recertification requirements and interval.

B. ANSI/IS0/IEC 17024 Standard 8.5

The Personnel Certification body shall ensure that the Personnel Certification scheme is reviewed and validated on an ongoing, systematic basis.


The assessment shall be planned and structured in a manner which ensures that the scheme requirements are objectively and systematically verified with documented evidence to confirm the competence of the Candidate.


The Personnel Certification body shall verify the methods for assessing Candidates. This verification shall ensure that each assessment is fair and valid.

E. ANSI/IS0/IEC 17024 Standard 8.3


Where the Personnel Certification body takes into account work performed by another body, it shall have appropriate reports, data and records to demonstrate that the results are equivalent to, and conform to, the requirements established by the Personnel Certification scheme.


Examinations shall be designed to assess competence based on, and consistent with, the scheme, by written, oral, practical, observational or other reliable and objective means. The design of examination requirements shall ensure the comparability of results of each single examination, both in content and difficulty, including the validity of fail/pass decisions.


Appropriate methodology and procedures (e.g. collecting and maintaining statistical data) shall be documented and implemented in order to reaffirm, at justified defined intervals, the fairness, validity, reliability and general performance of each examination, and that all identified deficiencies are corrected.

2 Relevant Principle A. ANSI Principle A.1.4

Personnel Certification of persons provides value through public confidence and trust. Public confidence relies on a valid assessment of competence, by a third party, reconfirmed at defined intervals.

3 Introduction The purpose of the Personnel Certification examinations is to confirm that individuals can perform the duties and responsibilities to an adequate degree of competence. The Certification Board works in partnership with psychometric consultants to develop the exams in keeping with generally accepted psychometric and educational testing principles.

4 Exam Development Procedures The exam development procedures described below are used to ensure that performance of each exam is acceptable. The testing vendor / psychometric consultants work with the Certification Board to advise the Certification Board and Certification Director on achieving and retaining compliance with generally accepted psychometric principles to ensure the exam is reliable and valid.

Subject Matter Experts

The Certification Board selects qualified Subject Matter Experts (SMEs) to participate in exam development activities. SMEs participate throughout the exam development process.

SMEs are selected based on their demonstrated expertise and the criteria listed below.


Each working group of SMEs, to the extent reasonably possible, will be representative of the certified population and when selected for a specific task will represent:

• A range of experience levels in the area of the credential

• A range of job settings

• A range of geographic areas

SMEs will be appointed to exam development committees and as needed on an ad-hoc basis to other working groups and committees. Appointments will be made by the Chair of the Certification Board with approval of the Certification Board on an individual basis.

SMEs will participate throughout the test development process as noted below. Some overlap among groups of SMEs is acceptable; however, the same SMEs will not be used in multiple committees to ensure a broad range of participation.

All SMEs are required to sign a confidentiality/non-disclosure agreement that includes provisions for NEBB’s ownership of all examination content as well as confidentiality provisions and restrictions on providing examination preparation courses.

Job Task Analysis Study

Periodic job analysis studies will be conducted to identify and validate the knowledge and skills which will be measured by the examinations. The Certification Board has determined that a job analysis study will be conducted for each credential at least every 7 years to ensure that assessment content is still relevant and current.

This determination is based on the relatively low frequency of change in each discipline, the cycles of relevant external standards changes and studies, and infrequency of training manual changes. Job analysis studies may be conducted earlier if needed in response to a significant change in the industry. When determining whether or not to expand or reduce the scope of a Personnel Certification assessment, the Certification Board will use information gained from a job analysis to inform this process.

Generally a panel of at least 10 SMEs will be appointed to serve on each job analysis committee. For smaller disciplines a sufficient number of SMEs will be determined.

Test Specifications

The content for the exam will be determined based on the results of a weighted content outline developed from the job analysis study. Content for the exam will be derived from the results of job analysis study developed by the SMEs on the job analysis committee. Final test specifications will be approved by the Certification Board.


Item Writing and Review

The development of all test components for the exams will be directly linked to the approved test specifications.

Trained SMEs will write and review items for the exams. SME item writers and reviewers will complete mandatory training developed by the testing consultant/psychometrician on item writing for Personnel Certification examinations.

Items will be written and reviewed by trained SMEs. Items will also be reviewed by the psychometrician / testing vendor. Once an item has satisfactorily completed this initial review it will be added to the item bank. Items are reviewed again when they are included on a test form (see Test Assembly below) and during the item/test analysis process.

Items will be reviewed using the criteria established in the item development manual.

Item Bank

The Certification Board, using trained SMEs, will build an item bank for the exams of sufficient size to support the examination development process. Data for each item stored in the item bank will include: correct answer key, content outline linkage, reference, and performance statistics.

The Certification Director will oversee maintenance of the item bank.

Test Assembly

Under the oversight of the Personnel Certification Director, draft examinations will be produced based on the previous form or the new test specifications if a job analysis was recently completed. The draft will meet the requirements of the test specifications with respect to content and weighting. Trained subject-matter experts will review the draft examination item-by-item and, for each item, make one of the following determinations; retain as is, retain with revisions, or remove from the draft examination. The subject-matter experts will select a substitute question from the item bank for each question removed from the draft examination. A second draft will be produced by the Certification Director and/or psychometric consultant. The second draft will undergo a second subject-matter expert review. Changes to the second draft will be processed to produce the finalized examination.

The Certification Board has final approval authority for all Personnel Certification examinations. Review and approval of examination forms may be delegated to the appropriate discipline examination development committees.

Establishing a Passing Point

The passing point for the exam will be established using a criterion-referenced technique. Qualified and trained SMEs will participate in selecting the passing point working with a qualified staff member or psychometric consultant.

The process used to select the passing point will be documented in a formal passing point study report.


The passing point resulting from the cut score study will be reviewed and approved by the Certification Board. The approval of the passing point, along with any modifications to the recommended passing point, will be documented in the final passing point study report along with the rationale for those changes.

Technical Reports

Performance statistics will be calculated and retained for each examination item. A statistical analysis will be performed periodically by the testing consultant / psychometrician. The statistical analysis, or technical report, will be reviewed by the Certification Director and the relevant exam development committee to evaluate the reliability and effectiveness of the examination and to determine any items that must be reviewed or revised. Reports will be developed at least once a year with frequency based on the volume of exam test takers and other factors.

At a minimum the technical reports will include a summary of the exam administration, the number of exam takers, the passing point and number of exam items, measures of average performance, measures of performance variability, reliability indices, pass-fail percentages, and recommendations from the testing consultant/psychometrician.


Recertification




The Personnel Certification body shall have (a) documented procedure(s) for implementation of the Recertification process, in accordance with the Personnel Certification scheme requirements.


The Personnel Certification body shall ensure during the Recertification process that it confirms continued competence of the certified person and ongoing compliance with current scheme requirements by the certified person.


The Recertification period shall be based upon the scheme requirements. The rationale for the Recertification period shall take into account, where relevant, the following:

a) Regulatory requirements;

b) Changes to normative documents;

c) Changes in the relevant scheme requirements;

d) The nature and maturity of the industry or field in which the certified person is working;

e) The risks resulting from an incompetent person;

f) Ongoing changes in technology, and requirements for certified persons;

g) Requirements of interested parties;

h) The frequency and content of surveillance activities, if required by the scheme.


The selected Recertification activity/activities shall be adequate to ensure that there is impartial assessment to confirm the continuing competence of the certified person.


In accordance with the Personnel Certification scheme, Recertification by the Personnel Certification body shall consider at least the following:

a) On-site assessment;

b) Professional development;

c) Structured interviews;


d) Confirmation of continuing satisfactory work and work experience records;

e) Examination;

f) Checks on physical capability in relation to the competence concerned.

2 Introduction The Certification Board recognizes the importance on ongoing professional development and education for all certificants. The Recertification requirement is designed to ensure that certificants maintain their knowledge, keep up to date with evolving technology and best practices, stay informed of practice developments, broaden their perspective of the profession, and reinforcing learning.

Due to the pace at which information changes in the industry, certificants are required to renew their Personnel Certification every two years.

3 Recertification Each Certified Professional is required to complete the following Recertification requirements:

• Successfully complete six (6) hours per year or a total of (12) hours of continuing education in building sciences within the two year recertification cycle.

• Submit a complete application for Recertification that includes: o Signing the “Code of Ethics” and “Agreement to Arbitrate” o Acknowledging having read and being bound by NEBB’s current Bylaws, Operational

Procedures and Procedural Standards • Pay fees annually

Certificates showing successful completion of each non-NEBB continuing education activity must be submitted with the application for Recertification. Proof of completion for NEBB events is maintained by NEBB. Certificants are responsible for retaining appropriate records and documentation as evidence of completing continuing education activities.

4 Continuing Education Requirements Continuing education hours may be earned at:

• the NEBB Annual Meeting • any NEBB Chapter sponsored Continuing Education seminar • any NEBB sponsored discipline education seminar • any approved courses listed on the NEBB Website at http://www.nebb.org/

For non-NEBB sponsored events proof of attendance should be submitted along with the title, course length (hours), description of the scope or content of the course, and certificate of completion or other proof of attendance. The Certification Board will retain the right to review all Recertification CE Materials and NEBB or Industry Seminars and provide the final decision on acceptance of the materials and/or seminars for CE’s for Recertification.


Chapters with members located outside of the continental United States may submit a request on behalf of their members to the Executive Vice President for approval of continuing education hours for any other industry education seminar or training. The Executive Vice President shall consult with the appropriate technical committee for the continuing education hours being requested, based upon the discipline(s) for which the Certified Professional is seeking alternative education. In all cases of approved alternative education, a successful completion certificate shall be submitted with the application for Recertification.

4 Recertification Application Review

The Certification Director ensures that all complete applications are reviewed to determine if the Certificant meets all Recertification requirements and that all required information has been properly submitted. Certificants are required to submit proof of attendance for non-NEBB events. NEBB reserves the right to verify any information submitted with an application and to request further information or documentation from the Certificant as needed.

5 Personnel Certification Expiration and Failure to Recertify Failure to successfully recertify by the published deadline will result in forfeiture of the individual’s Personnel Certification status.

If Personnel Certification has been expired for 90 days or less, an individual may reinstate his/her Personnel Certification by meeting all of the Recertification requirements, submitting a complete Recertification application, and paying the Recertification fee. If Personnel Certification has been expired for more than 90 days, an individual must reapply for Personnel Certification, meet all eligibility requirements in effect at the time of re-application, and pass the examination(s).

6 Recertification Appeals Certificants who have submitted a completed Recertification application and who are notified that they do not meet the Recertification requirements may appeal this decision by sending a written notice of the appeal to the Certification Director within 45 days of the date of the adverse decision.

Any appeals that are not resolved to the satisfaction of the Certificant will be forwarded by the Certification Director to the Certification Board for review along with any relevant information from the review of the Recertification application. Written notice of the final decision will be sent to the Certificant within 30 days of the review. The decision of the Certification Board will be final.

7 Maintenance of Personnel Certification Acceptance The Certification Director will issue a Recertification letter and updated certificate once all Recertification requirements have been met. Recertification applications will not be accepted from individuals whose Personnel Certification has been revoked or is in a state of suspension.

All continuing education activities are subject to review and approval by the Certification Board. Credit is only granted after an activity has been completed and documented.


Accommodations Policy #: 118 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015


The Personnel Certification body shall verify and accommodate special needs, within reason and where the integrity of the assessment is not violated, taking into account national regulation [see 9.1.2 e)].

2 Accommodations Policy The Certification Board will provide reasonable and appropriate accommodations in accordance with the Americans with Disabilities Act (ADA) for individuals with documented disabilities who request and demonstrate the need for accommodation.

ADA regulations define a person with a disability as someone with a physical or mental impairment that substantially limits one or more major life activities. Documentation is required to validate the type and severity of a disability to enable accommodations to be specifically matched with the identified functional limitation, in order to provide equal access to exam functions for all examinees. Documentation of the requested accommodation must include documentation of need provided by an appropriate, licensed medical doctor, healthcare practitioner or other relevant professional on the professional’s letterhead. The documentation must include the Candidate’s name and address as well as the diagnosis of the disability, history of previous accommodations and specific recommendations for accommodations.

Instructions for requesting special accommodations will be published in the Candidate Handbook. The application form will include the option for Candidates to indicate the need for an accommodations request. Special accommodations must be requested in advance using the request for accommodations form in the Candidate Handbook.

Reasonable examination accommodations will be made at no extra charge to individuals with documented disabilities.

3 Accommodation Requests The Personnel Certification Director, in consultation with the Certification Board and/or psychometric consultant as needed, will review applications for accommodations, will communicate authorization or denial of accommodations, and will make test site arrangements as needed.

Test sites and proctors will be notified of any approved accommodations in advance.


Permitted accommodations may include, but are not necessarily limited to:

• Additional time • Separate testing room • Adjusted/larger font on written materials • Auxiliary aids or services

Upon receipt of a request for an accommodation, the Certification Director will review the information received and may contact the applicant, if needed, to obtain additional information. The Certification Director will determine the feasibility of any accommodation, including the specific accommodation requested by the applicant/participant, taking into account all relevant circumstances including, but not limited to: the nature of the documented disability; the nature of the accommodation; and the accommodation’s impact on the Personnel Certification examination.

The Certification Director will inform the applicant regarding the accommodation decision. If the accommodation request is denied, the applicant may appeal the decision by submitting a written statement to NEBB explaining the reasons for the request. The appeal will be reviewed by the Certification Board within 30 days of receipt. The decision of the Certification Board is final.


Nondiscrimination Policy #: 119 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

NEBB and the Certification Board adhere to principles of fairness and due process, and endorse the principles of equal opportunity.

NEBB and the Certification Board do not discriminate against any applicant/Candidate for Personnel Certification on the basis of race, color, creed, age, gender, national origin, religion, disability, marital status, parental status, ancestry, sexual orientation, military discharge status or source of income, or any other status protected by law. All Candidates for Personnel Certification will be judged solely on the criteria determined by the NEBB Certification Board.


Code of Conduct Policy #: 120 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015


A. ANSI /IS0/IEC 17024 Standard 8.2

A Personnel Certification scheme shall contain the following elements…code of conduct (when applicable).

2 Agreement The Code of Conduct applies to each individual credentialed by the Certification Board.

All applicants will agree to the Code of Conduct (Code) as a condition of Personnel Certification and an affirmation of their commitment to uphold the highest standards of personal and professional behavior. Violation of any portion of the Code may result in disciplinary action as outlined in the Disciplinary Policy.

The Code of Conduct will be published and available to all interested parties.

3 Purpose The Code of Conduct establishes the basic ethical standards for the professional behavior of certificants. The Code is designed to provide both appropriate ethical practice guidelines and enforceable standards of conduct for all certificants.

4 Code of Conduct

A. NEBB Certified Professionals shall:

1. When working for a Certified Firm, perform work in accordance with the NEBB Procedural Standards.

2. Perform work in accordance with NEBB Bylaws, and policies.

3. Prepare detailed reports, which are accurate and reliable in accordance with the appropriate NEBB Procedural Standards.

4. Report all equipment and system deficiencies, which prevent them from completing their work and preparing a final report, specifically and expressly noting in any preliminary report that it is preliminary and not final and not sealing any such report.

5. Report and address problems if encountered, and when a problem exists, notify appropriate project personnel by providing input as to the cause of the problem and recommend possible solutions.


6. Perform their services professionally and with respect for the client's property and personnel.

7. Not make misleading, deceptive, or confusing statements regarding their Personnel Certification status.

C. Confidentiality

No person who is a local chapter or national official, officer or committee member shall use confidential information gained in that capacity for any purpose other than performing the responsibilities of that person’s position. Use of such information for any other purpose is grounds for suspension or termination of any NEBB Personnel Certification held by that person.

D. Adherence to Legal Requirements

1. Adhere to all applicable laws, regulations, policies, and ethical standards.

2. Refrain from discrimination in professional activities, including relationships with employees, employers, and other professionals.

E. Adherence to NEBB Policies & Requirements

1. Follow all Personnel Certification program policies, procedures, requirements and rules. This includes the obligation to be aware of and understand the Personnel Certification program policies and requirements.

2. Provide accurate and complete information to NEBB concerning Personnel Certification and Recertification.

3. Keep confidential all NEBB examination information; including preventing unauthorized disclosures of exam information.

4. Cooperate with NEBB and the Certification Board regarding matters related to the Code of Conduct and complaint and/or disciplinary investigations.

F. Professional Performance

1. Recognize the limitations of one’s professional ability (based on education, knowledge, skills, experience, etc.) and provide services only when qualified to do so.

2. Properly use professional titles, degrees and all credentials and provide accurate and truthful information regarding education, experience, qualifications, and the performance of services.

3. Disclose any conflicts of interest or potential conflicts of interest and avoid conduct that could cause a conflict of interest.


Discipline



The Personnel Certification body shall have a policy and (a) documented procedure(s) for suspension or withdrawal of the Personnel Certification, or reduction of the scope of Personnel Certification, which shall specify the subsequent actions by the Personnel Certification body.


Failure to resolve the issues that have resulted in the suspension, in a time established by the Personnel Certification body, shall result in withdrawal of the Personnel Certification or reduction of the scope of Personnel Certification.


The Personnel Certification body shall have a documented process to receive, evaluate and make decisions on appeals. The appeals-handling process shall include at least the following elements and methods:

a) The process for receiving, validating and investigating the appeal, and for deciding what actions are to be taken in response to it, taking into account the results of previous similar appeals;

b) Tracking and recording appeals, including actions undertaken to resolve them;

c) Ensuring that, if applicable, appropriate corrections and corrective actions are taken.


The policies and procedures shall ensure that all appeals are dealt with in a constructive, impartial and timely manner.


A description of the appeals-handling process shall be publicly accessible without request.


The Personnel Certification body shall be responsible for all decisions at all levels of the appeals-handling process. The Personnel Certification body shall ensure that the decision-making personnel engaged in the appeals- handling process are different from those who were involved in the decision being appealed.



Submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellant.


The Personnel Certification body shall acknowledge receipt of the appeal and shall provide the appellant with progress reports and the outcome.


The Personnel Certification body shall give formal notice to the appellant of the end of the appeals-handling process.


The Personnel Certification body shall have a documented process to receive, evaluate and make decisions on complaints.


A description of the complaints-handling process shall be accessible without request. The procedures shall treat all parties fairly and equitably.

L. ANSI/IS0/IEC 17024 Standard 9.9.3

The policies and procedures shall ensure that all complaints are handled and processed in a constructive, impartial and timely manner. The complaints-handling process shall include at least the following elements and methods:

a) An outline of the process for receiving, validating, investigating the complaint and deciding what actions are to be taken in response to it;

b) Tracking and recording complaints, including actions undertaken in response to them;

c) Ensuring that, if applicable, appropriate corrections and corrective actions are taken.


Upon receipt of a complaint, the Personnel Certification body shall confirm whether the complaint relates to Personnel Certification activities for which it is responsible and, if so, shall respond accordingly.

N. ANSI/IS0/IEC 17024 Standard 9.9.5

Whenever possible, the Personnel Certification body shall acknowledge receipt of the complaint and shall provide the complainant with progress reports and the outcome.


O. ANSI/IS0/IEC 17024 Standard 9.9.6

The Personnel Certification body receiving the complaint shall be responsible for gathering and verifying all necessary information to validate the complaint.

P. ANSI/IS0/IEC 17024 Standard 9.9.7

Whenever possible, the Personnel Certification body shall give formal notice of the end of the complaints- handling process to the complainant.

Q. ANSI/IS0/IEC 17024 Standard 9.9.8

Any substantiated complaint about a certified person shall also be referred by the Personnel Certification body to the certified person in question at an appropriate time.

R. ANSI/IS0/IEC 17024 Standard 9.9.9

The complaints-handling process shall be subject to requirements for confidentiality, as it relates to the complainant and to the subject of the complaint.

S. ANSI/IS0/IEC 17024 Standard 9.9.10

The decision to be communicated to the complainant shall be made by, or reviewed and approved by, personnel not previously involved in the subject of the complaint.

2 Introduction

In order to maintain and enhance the credibility of the Personnel Certification program the Certification Board has adopted the following procedures to allow individuals to bring complaints concerning the conduct of individuals who are certificants or Candidates for Personnel Certification of the Certification Board.

In the event an individual violates the Code of Conduct, Personnel Certification rules, or Personnel Certification program policies the Certification Board may reprimand or suspend the individual or may revoke Personnel Certification.

The grounds for sanctions under these procedures may include, but are not necessarily limited to:

1. Violation of the Code of Conduct. 2. Violation of established Personnel Certification policies, rules and requirements. 3. Conviction of a felony or other crime of moral turpitude under federal or state law. 4. Gross negligence, willful misconduct, or other unethical conduct in the performance of services

for which the individual has achieved Personnel Certification from NEBB. 5. Fraud or misrepresentation in an initial Personnel Certification application or Recertification

application.

Information regarding the complaint process will be available to the public without request via the NEBB web site and/or other published documents. A complete copy of this policy will be published.


Actions taken under this policy do not constitute enforcement of the law, although referral to appropriate federal, state, or local government agencies may be made about the conduct of the Candidate or Certificant in appropriate situations. Individuals initially bringing complaints are not entitled to any relief or damages by virtue of this process, although they will receive notice of the actions taken.

3 Complaints Complaints may be submitted by any individual or entity. Complaints should be reported to the Certification Director in writing and must include the name of the person submitting the complaint, the name of the person the complaint is regarding along with other relevant identifying information, a detailed description of factual allegations supporting the charges, and any relevant supporting documentation. Information submitted during the complaint and investigation process is considered confidential and will be handled in accordance with the Certification Board’s confidentiality policy. Upon receipt and preliminary review of a complaint involving a Certificant or Candidate for Personnel Certification the Certification Director in consultation with the Certification Board Chair may conclude, in their sole discretion, that the submission contains unreliable or insufficient information.

In such cases, the Certification Director and Certification Board Chair may determine that the submission does not constitute a valid and actionable complaint that would justify bringing it before the Certification Board for investigation and a determination of whether there has been a violation of substantive requirements of the Personnel Certification process. If so, the submission is disposed of by notice from the Certification Director and Chair to the individual who the complaint was filed against and its submitter. All such preliminary dispositions by the Chair are reported to the Certification Board at its next meeting.

This preliminary review to determine if the complaint is valid and actionable will be conducted within 30 calendar days of receipt of the complaint.

If a submission is deemed by the Chair to be a valid and actionable complaint, the Chair shall see that written notice is provided to the individual whose conduct has been called into question. The individual whose conduct is at issue shall also be given the opportunity to respond to the complaint. The Chair also shall ensure that the individual submitting the complaint receives notice that the complaint is being reviewed by the Certification Board.

4 Complaint Review For each complaint that the Chair concludes is a valid and actionable complaint, the Certification Board authorizes an investigation into its specific facts or circumstances to whatever extent is necessary in order to clarify, expand, or corroborate the information provided by the submitter.

The Chair refers the complaint to the Disciplinary Chair who then forms a Review Committee to investigate and make an appropriate determination with respect to each such valid and actionable complaint. The Review committee will consist of at least three, but not more than five, individuals. No


current members of the Certification Board may serve on the Review Committee; further, no one with any personal involvement or conflict of interest may serve on the Review Committee. Members of the Review Committee may be reimbursed for reasonable expenses incurred in connection with the activities of the Committee.

The Review Committee initially determines whether it is appropriate to review the complaint under these Procedures or whether the matter should be referred to another entity engaged in the administration of law. The timeline for responses and for providing any additional information shall be established by the Review Committee. The Review Committee may be assisted in the conduct of its investigation by NEBB staff or legal counsel. The Certification Board Chair exercises general supervision over all investigations.

Both the individual submitting the complaint and the Candidate/Certificant who is the subject of the investigation (or his or her employer) may be contacted for additional information with respect to the complaint. The Review Committee, or the Certification Board on its behalf, may at its discretion contact such other individuals who may have knowledge of the facts and circumstances surrounding the complaint.

All investigations and deliberations of the Review Committee and the Certification Board are conducted in confidence, with all written communications sealed and marked "Personal and Confidential," and they are conducted objectively, without any indication of prejudgment. An investigation may be directed toward any aspect of a complaint which is relevant or potentially relevant. Formal hearings are not held and the parties are not expected to be represented by counsel, although the Review Committee and Certification Board may consult their own counsel.

Members of the Review Committee shall be reimbursed for reasonable expenses incurred in connection with the activities of the Committee.

5 Determination of Violation

Upon completion of an investigation, the Review Committee recommends whether the Certification Board should make a determination that there has been a violation of NEBB Certification Board policies and rules.

When the Review Committee recommends that the Certification Board find a violation, the Review Committee also recommends imposition of an appropriate sanction. If the Review Committee so recommends, a proposed determination with a proposed sanction is prepared under the supervision of the Chair and is presented by a representative of the Review Committee to the Certification Board along with the record of the Review Committee's investigation.

If the Review Committee recommends against a determination that a violation has occurred, the complaint is dismissed with notice to the Candidate/Certificant, the Candidate/certificants employer, the individual or entity who submitted the complaint, and the NEBB Board Executive Committee.


The Certification Board reviews the recommendation of the Review Committee based upon the record of the investigation. The Certification Board may accept, reject, or modify the Review Committee's recommendation, either with respect to the determination of a violation or the recommended sanction to be imposed. If the Certification Board makes a determination that a violation has occurred, this determination and the imposition of a sanction are promulgated by written notice to the Candidate/Certificant, and to the individual submitting the complaint, if the submitter agrees in advance and in writing to maintain in confidence whatever portion of the information is not made public by the Certification Board.

In certain circumstances, the Certification Board may consider a recommendation from the Review Committee that the Candidate/Certificant who has violated the Personnel Certification program policies or rules should be offered an opportunity to submit a written assurance that the conduct in question has been terminated and will not recur. The decision of the Review Committee to make such a recommendation and of the Certification Board to accept it are within their respective discretionary powers. If such an offer is extended, the Candidate/Certificant at issue must submit the required written assurance within thirty days of receipt of the offer, and the assurance must be submitted in terms that are acceptable to the Certification Board. If the Certification Board accepts the assurance, notice is given to the Candidate/certificants employer and to the submitter of the complaint, if the submitter agrees in advance and in writing to maintain the information in confidence.

6 Sanctions Any of the following sanctions may be imposed by the Certification Board upon a Candidate/Certificant whom the Certification Board has determined to have violated the policies and rules of its Personnel Certification program(s), although the sanction applied must reasonably relate to the nature and severity of the violation, focusing on reformation of the conduct of the member and deterrence of similar conduct by others:

1. Written reprimand to the Candidate/Certificant; 2. Suspension of the Certificant for a designated period; or 3. Suspension of the Candidate’s application eligibility for a designated period; or 4. Termination of the certificants Personnel Certification; or 5. Termination of the Candidate’s application eligibility for a designated period.

Reprimand in the form of a written notice from the Chair normally is sent to a Candidate/ Certificant who has received his or her first substantiated complaint. Suspension normally is imposed on a Candidate/Certificant who has received two substantiated complaints. Termination normally is imposed on a Candidate/Certificant who has received two substantiated complaints within a two year period, or three or more substantiated complaints. The Certification Board may at its discretion, however, impose any of the sanctions, if warranted, in specific cases.

Certificants who have been terminated shall have their Personnel Certification revoked and shall not be considered for Personnel Certification in the future. If Personnel Certification is revoked, any and all


certificates or other materials requested by the Certification Board must be returned promptly to the Certification Board.

7 Appeal Within thirty (30) days from receipt of notice of a determination by the Certification Board that a Candidate/ Certificant violated the Personnel Certification program policies and/or rules, the affected Candidate/Certificant may submit to the Certification Board Chair in writing a request for an appeal. Any Candidate / Certificant receiving such adverse decision will receive a copy of this policy along with notification of the appeal period.

Upon receipt of a request for appeal, the Chair of the Certification Board establishes an appellate body consisting of at least three, but not more than five, individuals. This Appeal Committee may review one or more appeals, upon request of the Chair. No current members of the Review Committee or the Certification Board may serve on the Appeal Committee; further, no one with any personal involvement or conflict of interest may serve on the Appeal Committee. Members of the Appeal Committee may be reimbursed for reasonable expenses incurred in connection with the activities of the Committee.

The Appeal Committee may only review whether the determination by the Certification Board of a violation of the Personnel Certification program policies and/or rules was inappropriate because of:

1. Material errors of fact, or 2. Failure of the Review Committee or the Certification Board to conform to published criteria,

policies, or procedures.

Only facts and conditions up to and including the time of the Certification Board’s determination as represented by facts known to the Certification Board are considered during an appeal. The appeal shall not include a hearing or any similar trial-type proceeding. Legal counsel is not expected to participate in the appeal process, unless requested by the appellant and approved by the Certification Board and the Appeal Committee. The Certification Board and Appeal Committee may consult legal counsel.

The Appeal Committee conducts and completes the appeal within ninety days after receipt of the request for an appeal. Written appellate submissions and any reply submissions may be made by authorized representatives of the member and of the Certification Board. Submissions are made according to whatever schedule is reasonably established by the Appeal Committee. The decision of the

Appeal Committee either affirms or overrules the determination of the Certification Board, but does not address a sanction imposed by the Certification Board. The Appeal Committee will confirm receipt of all communications including the initial appeal and will provide notice to the appellant of the end of the appeals-handling process.

The Appeal Committee decision is binding upon the Certification Board, the Candidate/Certificant who is subject to the termination, and all other persons.


8 Resignation If a Certificant who is the subject of a complaint voluntarily surrenders his or her Personnel Certification at any time during the pendency of a complaint under these Procedures, the complaint is dismissed without any further action by the Review Committee, the Certification Board, or an Appeal Committee established after an appeal. Such resignation must include resignation of all NEBB credentials held by the individual. The entire record is sealed and the individual may not reapply for Personnel Certification by the NEBB Certification Board. However, the Certification Board may authorize the Chair to communicate the fact and date of resignation, and the fact and general nature of the complaint which was pending at the time of the resignation, to or at the request of a government entity engaged in the administration of law. Similarly, in the event of such resignation, the certificants employer and the person or entity who submitted the complaint are notified of the fact and date of resignation and that Certification Board has dismissed the complaint as a result.


Security



The Personnel Certification body shall develop and document policies and procedures necessary to ensure security throughout the entire Personnel Certification process and shall have measures in place to take corrective actions when security breaches occur.


Security policies and procedures shall include provisions to ensure the security of examination materials, taking into account the following:

a) The locations of the materials (e.g. transportation, electronic delivery, disposal, storage, examination center);

b) The nature of the materials (e.g. electronic, paper, test equipment);

c) The steps in the examination process (e.g. development, administration, results reporting);

d) The threats arising from repeated use of examination materials.

2 Security The Certification Board develops and documents policies necessary to ensure security throughout the entire Personnel Certification process and has measures in place to take corrective actions when security breaches occur.

Security includes protecting examination content during development, during examination administration and all other aspects of the Personnel Certification program. Adequate physical and digital security must be provided for all examination content.

A. Components of the NEBB Security Policy

1. The security plan includes document storage, examination development, and examination administration and scoring. The plan includes procedures for preventing security breaches and for responding when a breach occurs.

2. Roles and responsibilities of individuals involved in the security plan (including staff, volunteers, and consultants).

3. Funding for maintenance of appropriate security measures and for responding to unexpected security problems.

4. Legal agreements including agreements with examinees regarding cheating, examination disruptions, and the confidentiality of examination content.


5. Examination design that addresses security concerns, including limiting item exposure, steps to discourage memorization of examination content, and other steps to minimize the likelihood of cheating.

6. Examination development processes that limit access to the item bank and other examination content components to only a limited number of authorized individuals. Appropriate copyright agreements shall be signed by individuals who create content for the examination.

7. Examination administration policies ensure the security of examination content at all stages of the administration and scoring process.

8. Examination results transmitted and stored securely with access only by authorized individuals.

9. Physical security considerations include procedures for guests, access rules, procedures for proper document and electronic file storage, etc.

10. Monitoring of internet sites for disclosure of confidential examination content.

11. Actions required in response to security violations.

The overall security of the NEBB Personnel Certification program falls on the NEBB staff, Committee volunteers, and the computer-based examination vendor’s management team.

3 Confidential Information Confidential information includes, but is not limited to:

• examination materials (such as examination forms, examination items, item banks, answer keys)

• examination development materials (such as job analysis reports, item writing materials, cut score reports, technical reports)

• examination scores • personnel records • applicant and Certificant records • records of disciplinary investigations • contracts and agreements • information discussed or disclosed during Certification Board and/or Committee meetings • any other information that NEBB or the Certification Board is required to keep confidential

4 Confidential Materials Distributed to Board and/or Committee Members See Policy 110 Confidentiality, Section 7 Handling Confidential Information. Certification Board members and committee members will securely retain confidential materials while they are in their possession. Secure retention includes storing electronic files with password protection and never leaving storage devices (such as laptops, USB drives, etc.) in an unsecured location. Secure retention of printed materials includes storing these items in locked file cabinets and/or office spaces where no unauthorized access may occur.


Confidential materials should remain in the possession of Certification Board members or committee members only for as long as needed. Once their use is complete materials should be returned to the Certification Director or destroyed as directed by the Personnel Certification Director.

5 Limited Access Access to confidential materials (both printed and electronic formats) is limited to only those NEBB staff members, Certification Board members, consultants, and committee members who need to view the information. These individuals are required to sign a confidentiality/nondisclosure agreement before being granted access to any confidential information. All item writers must sign confidentiality forms specific to their role in developing examination content. Permanent and temporary staff members and volunteers receive security instructions prior to being allowed access to confidential information. Staff members whose employment is terminated and volunteers who finish their term of service will have all access to confidential information promptly terminated.

Any outside companies, vendors, consultants or contractors (collectively referred to hereafter as consultants) are required to maintain strict security of all confidential materials. Provisions for confidentiality will be included in contracts with consultants.

Only NEBB employees, contracted test administrators, consultants and authorized volunteers who are directly involved with the development and/or administration of the exam are granted access to confidential exam materials. Consultants and volunteers are granted temporary access only during the period of time in which they require such access.

The examination item bank and examination forms are stored, maintained, and controlled by the Certification Director as specified in the Examination Administration policy.

Individuals who are responsible for developing, updating, or delivering educational programs that are intended to prepare Personnel Certification applicants for Personnel Certification are strictly prohibited from having any access to confidential examination content.

6 Compliance Monitoring The security of all confidential information is of the utmost importance. The Certification Director periodically reviews and monitors the implementation of security policies, procedures, and practices to ensure that confidential information is adequately protected.

7 Training The Certification Director will ensure that all personnel receive training regarding security policies and procedures. Such training will be documented in each individual’s training log.


8 Physical Security

A. Storage

Confidential materials are stored in areas with restricted access at all times. Office areas containing confidential files are locked when not occupied by authorized personnel. File cabinets containing confidential materials remain locked when not in use.

B. Printed Examination Materials

Paper examinations will be printed at the NEBB offices by authorized NEBB staff. Examination booklets will be numbered and tracked on a spreadsheet to ensure accountability. Any misprints or other waste containing confidential information will be shredded immediately. Staff is responsible to ensure examinations are secured during the printing process and that once printed, the examinations placed in sealed envelopes and are locked in secure files.

Examination materials returned from an examination Proctor shall be audited to confirm return of all materials, examined for comments, examinee confidentiality agreement removed, and examination materials immediately destroyed.

Examination materials including, but not limited to, examination forms, answers sheets, items, comments, appeals, scratch sheets, etc., shall NOT be copied, or retained by anyone other than authorized NEBB personnel using the appropriate document control, security and retention policies.

C. Shipping

When shipping is required, confidential materials are shipped using a traceable shipping method and tamper-evident packaging and receipt will be confirmed by the Certification Director.

Examination material will be shipped so that it can be tracked and will require the signature of the addressee upon receipt. All contents will be listed on a cover sheet enclosed in the package. The recipient must confirm receipt once they have received the material and verified the contents. When returning material, the content sheet will be returned with the items that are being returned. If for some reason, an item is not returned, an explanation of why the item is not being returned must be included. If written authority to keep the item was provided by the Certification Director it must be noted on the content sheet along with a copy of said authorization.

D. Visitors

Visitors are not granted access to secure areas unless approved in advance by the Certification Director and monitored and accompanied by an authorized staff member at all times.

9 Electronic Security

A. Backups

Routine backups are performed for all electronic data.


B. Electronic transmission

Transmission of confidential material via email should be limited. When sending information, it will be marked “CONFIDENTIAL” with receipt confirmation. When confidential documents are transmitted via email the electronic files are either encrypted or secured with a password before being sent.

Confidential materials stored on CD-ROM, flash drive, external hard drive, or similar electronic media are encrypted and/or password protected.

Confidential materials stored on servers and hard drives have limited access for authorized personnel. Personal computers/laptops containing confidential information are password protected.

Passwords are communicated separately from the data transmission containing confidential information.

10 Examination Content Monitoring The Certification Director will periodically monitor social networking sites, “brain dump” sites, forums, or other Internet sites for unauthorized examination content. An internet search for keywords will be conducted on a regular basis.

11 Violations Any suspected security violations are reported promptly to the Certification Director and to the Certification Board Chair. Any test administration vendors and proctors are required to immediately report any significant exam administration irregularities to the Personnel Certification Director. When necessary, the Certification Director will oversee investigations into suspected security violations.

Anyone engaged in any activity which compromises or potentially compromises the integrity of the examination will be subject to investigation under the disciplinary policy.

If a security violation results in the compromise of the confidentiality of exam items or other examination documents the Certification Board, in consultation with the testing consultant/ psychometrician, will make a determination regarding the need to replace existing test items or forms. If an examination security breach is deemed to be sufficiently egregious by NEBB, new forms of the affected examination items will be developed. Affected items will be retired.

12 Exam Administration All Candidates are required to present proof of identity on exam day. Applicants without an acceptable ID will not be admitted to the exam. No exceptions to this requirement will be allowed. Acceptable forms of identification will be published in the Candidate Handbook.

Notes, cell phones, and any devices capable of recording will not be permitted in examination rooms. A list of prohibited items and exam day rules will be published in the Candidate Handbook.


Examination time limits are developed by the Certification Board in consultation with the testing/psychometric consultant. Time limits allow sufficient time for completing the exam without providing unnecessary additional time that could facilitate security breaches by test takers.

Test site rules are published in the Personnel Certification Handbook and will be enforced by test site proctors.

The Certification Board reserves the right to investigate any incident of suspected misconduct or irregularity.


Management System


1 Relevant Standards A. ANSI/IS0/IEC 17024 Standard 10.1

The Personnel Certification body shall establish, document, implement and maintain a management system that is capable of supporting and demonstrating the consistent achievement of the requirements of this International Standard. In addition to meeting the requirements of Clauses 4 to 9, the Personnel Certification body shall implement a management system in accordance with either option A or option B, as follows:

- option A: a general management system which fulfils the requirements of 10.2; or - option B: a body that has established and maintains a management system, in accordance

with the requirements of ISO 9001, and that is capable of supporting and demonstrating the consistent fulfilment of the requirements of this International Standard (ISO/IEC 17024), fulfils the management system requirements of 10.2.


The Personnel Certification body shall establish, document, implement and maintain a management system that is capable of supporting and demonstrating the consistent achievement of the requirements of this International Standard.

The Personnel Certification body's top management shall establish and document policies and objectives for its activities. The top management shall provide evidence of its commitment to the development and implementation of the management system in accordance with the requirements of this International Standard. The top management shall ensure that the policies are understood, implemented and maintained at all levels of the Personnel Certification body's organization.

The Personnel Certification body's top management shall appoint a member of management who, irrespective of other responsibilities, shall have responsibility and authority that include:

a) ensuring that processes and procedures needed for the management system are established, implemented and maintained;

b) reporting to top management on the performance of the management system and any need for improvement.



Applicable requirements of this International Standard shall be documented. The Personnel Certification body shall ensure that the management system documentation is provided to all relevant personnel.


The Personnel Certification body shall establish procedures to control the documents (internal and external) that relate to the fulfilment of this International Standard. The procedures shall define the controls needed to:

a) Approve documents for adequacy prior to issue;

b) Review and update as necessary and re-approve documents;

c) Ensure that changes and the current revision status of documents are identified;

d) Ensure that relevant versions of applicable documents are provided at points of use;

e) Ensure that documents remain legible and readily identifiable;

f) Ensure that documents of external origin are identified and their distribution controlled;

g) Prevent the unintended use of obsolete documents and apply suitable identification if they are retained for any purpose.


The Personnel Certification body shall establish procedures to define the controls needed for the identification, storage, protection, retrieval, retention time and disposition of its records related to the fulfilment of this International Standard.

The Personnel Certification body shall establish procedures for retaining records for a period consistent with its contractual and legal obligations. Access to these records shall be consistent with the confidentiality arrangements.

F. ANSI/IS0/IEC 17024 Standard 10.2.5.1

The Personnel Certification body's top management shall establish procedures to review its management system at planned intervals, in order to ensure its continuing suitability, adequacy and effectiveness, including the stated policies and objectives related to the fulfilment of this International Standard. These reviews shall be conducted at least once every 12 months and shall be documented.


G. ANSI/IS0/IEC 17024 Standard 10.2.5.2

The input to the management review shall include information related to the following:

a) Results of internal and external audits (e.g. accreditation body assessment);

b) Feedback from applicants, Candidates, certified persons and interested parties related to the fulfilment of this International Standard;

c) Safeguarding impartiality;

d) The status of preventive and corrective actions;

e) Follow-up actions from previous management reviews;

f) The fulfilment of objectives;

g) Changes that could affect the management system;

h) Appeals and complaints.

H. ANSI/IS0/IEC 17024 Standard 10.2.5.3

The output from the management review shall include as a minimum decisions and actions related to the following:

a) Improvement of the effectiveness of the management system and its processes;

b) Improvement of the Personnel Certification services related to the fulfilment of this International Standard;

c) Resource needs.

I. ANSI/IS0/IEC 17024 Standard 10.2.6.1

The Personnel Certification body shall establish procedures for internal audits to verify that it fulfils the requirements of this International Standard and that the management system is effectively implemented and maintained.

J. ANSI/IS0/IEC 17024 Standard 10.2.6.2

An audit program shall be planned, taking into consideration the importance of the processes and areas to be audited, as well as the results of previous audits.

K. ANSI/IS0/IEC 17024 Standard 10.2.6.3

Internal audits shall be performed at least once every 12 months. The frequency of internal audits may be reduced if the Personnel Certification body demonstrates that its management system continues to be effectively implemented in accordance with this International Standard and has proven stability.


L. ANSI/IS0/IEC 17024 Standard 10.2.6.4

The Personnel Certification body shall ensure that:

a) Internal audits are conducted by competent personnel, knowledgeable in the Personnel Certification process, auditing and the requirements of this International Standard;

b) Auditors do not audit their own work;

c) Personnel responsible for the area audited are informed of the outcome of the audit;

d) Any actions resulting from internal audits are taken in a timely and appropriate manner;

e) Any opportunities for improvement are identified.


The Personnel Certification body shall establish (a) procedure(s) for identification and management of nonconformities in its operations. The Personnel Certification body shall also, where necessary, take actions to eliminate the causes of nonconformities in order to prevent recurrence. Corrective actions shall be appropriate to the impact of the problems encountered. The procedures shall define requirements for the following:

a) Identifying nonconformities;

b) Determining the causes of nonconformity;

c) Correcting nonconformities;

d) Evaluating the need for actions to ensure that nonconformities do not recur;

e) Determining and implementing the actions needed in a timely manner;

f) Recording the results of actions taken;

g) Reviewing the effectiveness of corrective actions.

N. ANSI/IS0/IEC 17024 Standard 10.2.8

The Personnel Certification body shall establish (a) procedure(s) for taking preventive actions to eliminate the causes of potential nonconformities. Preventive actions taken shall be appropriate to the probable impact of the potential problems. The procedures for preventive actions shall define requirements for the following:

a) Identifying potential nonconformities and their causes;

b) Evaluating the need for action to prevent the occurrence of nonconformities;

c) Determining and implementing the action needed;

d) Recording the results of actions taken;

e) Reviewing the effectiveness of the preventive actions taken.

2 Policy Development and Maintenance The Certification Board will regularly develop, review and update Personnel Certification program documents in order to ensure ongoing conformity with accreditation requirements and best practices


for professional Personnel Certification programs. These documents include all Personnel Certification program policies and procedures.

The Certification Director is responsible for ensuring that the Certification Board develops, revises, and updates policies and that all policies approved by the Certification Board are fully and consistently implemented. The Certification Director will notify the Certification Board Chair regarding any required and/or recommended revisions to existing policies, the need to develop new policies, or the need to replace or remove existing policies. The Certification Board may assign relevant committees to review policies and make recommendations to the Certification Board.

3 Documents Development and Maintenance The Certification Director is responsible for maintaining a complete and up to date listing of all Personnel Certification program documents including:

• Policies • Operational procedures, manuals (including proctor manuals, examiner manuals, item

development manuals, etc.), and internal forms • Job descriptions • Certification Board roster • Lists of committees, committee members, and committee charges • meeting minutes • Information available to Candidates (Candidate Handbook, application forms, etc.) • Examination development and maintenance documents (job analysis reports, item writing

activities, committee rosters, cut score reports, technical reports, etc.) • Examination administration documents

Documents will be reviewed periodically to ensure they remain accurate, relevant, and consistent with the Personnel Certification program’s needs. As needed documents will be updated and policies will be referred to the Certification Board for review and update.

All documents will be retained as required by the confidentiality, security, and record retention policies.

Official copies of all documents will be stored in the NEBB offices in either printed or electronic copy. Electronic copy is preferred.

The Certification Board policy and procedure manual will be readily available to all NEBB Personnel Certification program employees, Certification Board members, committee members, and other Personnel Certification program personnel.


4 Responsibility for Implementation The Certification Board is responsible for oversight to ensure that all Personnel Certification program policies and are properly implemented by the Personnel Certification program staff and committees.

The Certification Director is responsible for creating, implementing, and maintaining operational procedures to support the implementation of policies.

5 Document Control A. Scope of Document Control System

The Certification Board has established a document control system to ensure all Personnel Certification program documents are properly maintained and updated. The Personnel Certification document control system will be managed to ensure the integrity of the program and confidentiality of the information.

The Record Retention policy, Security policy, and Confidentiality policies are essential components of the document control system.

A document review will be conducted annually, or more often as needed, so that all key documents will be kept up to date. The Certification Director will maintain a review schedule for all official documents and will notify the Certification Board as needed when a document requires Certification Board level review and/or approval (see Table 2 below).

B. Policies

All policies and procedures will have a heading that clearly identifies each policy and ensures that only the current version of any policy is in use.

The policy heading will include the:

1. Policy Name

2. Policy Number

3. Changes to be Authorized By: indicates the approval body (for example the Certification Board or NEBB Board) for each policy

4. Approved By: Certification Board the body (Certification Board or NEBB Board) that approved the most recent version of the policy

5. Approval Date: The date the policy was approved

6. Effective Date: The date the most current version of the policy will be implemented

7. Revision Date(s): The date(s) the policy was updated or revised

C. Forms

All forms will include the most recent approval and/or revision date, including the month, day and year.


D. Publications

All publications will include the most recent approval and/or revision date, including the month and year.

E. Document Approval

Official documents may only be revised or updated with appropriate approval. Changes to Personnel Certification program documents may be suggested or proposed by NEBB personnel, Certification Board members, committee members, and other appropriate individuals.

The table below lists responsibility for approving document revisions:

Table 1: Document Approval Responsibility

Document Type Responsible for Approval Action Required for Approval

Bylaws NEBB Board As required by Bylaws

Personnel Certification Program Policies and Procedures

Certification Board Certification Board Vote

Certification Board Meeting Minutes Certification Board Certification Board Vote

Operational manual / procedures Certification Director Certification Director review

Candidate/Certificant Brochures (Personnel Certification Handbook)

Certification Director Certification Director review

Candidate/Certificant Forms (application, Recertification application, etc.)


Internal Personnel Certification program forms (confidentiality, conflict of interest, etc.)


Web site content regarding the Personnel Certification program


Job descriptions (related to the Personnel Certification program and Certification Board)


Examination Reports (job analysis, cut score, etc.)

Certification Board Certification Board review

6 Internal Audit

A. Conducting the Audit

The purpose of the Internal Audit review is to evaluate the consistent application and effectiveness of the Personnel Certification program’s procedures. The review will examine the implementation of written policies and procedures, the effectiveness of the policies and procedures, and ongoing compliance with psychometric guidelines and accreditation standards.


An internal audit of the Personnel Certification program will be conducted annually. The review will be conducted by an individual who is not directly involved in the administration of the Personnel Certification program and the functions being reviewed.

An Internal Audit will be conducted by an individual selected by the EVP and approved by the Certification Board.

The Internal Audit may be divided into multiple sections as long as all Evaluation Areas (listed below) are audited as scheduled. If necessary due to workload limitations the Internal Audit may be subcontracted to an outside consultant who is knowledgeable about the operations of the Personnel Certification program. If subcontracted, the Internal Audit must still include an on-site review of the program’s operations.

The reviewer will document the Internal Audit and will report the outcome, along with any related recommendations for corrective or preventative action, to the Certification Director and the Chair of the Certification Board.

B. Evaluation Areas

Internal Audits will include review and evaluation of the following items on an annual basis.

Table 2: Evaluation Process and Schedule

Evaluation Area Evaluation Purpose 1. All Personnel Certification program

policies and procedures, including all policies in the Personnel Certification program Policy Manual

• Determine if each policy is still accurate and relevant • Determine if each policy is being fully and properly implemented • Identify any needed modifications to policies (including revision,

deletion, or addition of a new policy or policies) • Determine if the way in which a policy is implemented should be

modified 2. Application processing (including

internal procedures for processing Personnel Certification applications and re-Personnel Certification applications, accommodations, etc.)

• Determine if the procedures are still accurate and relevant • Determine if the procedures are being fully and properly

implemented • Identify any needed modifications to the procedures (including

revision, deletion, or addition of a new procedures) 3. Identification and review of any

threats to impartiality (including actual or potential threats from educational/ training activities, relationships with other organizations, conflicts of interest, etc.)

• Determine if the previous threat analysis is still accurate and relevant

• Determine if the risk mitigation activities are still sufficient • Identify any needed modifications to the threat analysis

4. Job descriptions • Determine if Personnel Certification program job descriptions are accurate and relevant

• Identify any needed modifications to the job descriptions 5. Vendor contracts • Determine if all contracts are available, current, and properly

signed and dated


• Verify that all contracts include confidentiality and conflict of interest provisions

6. Vendor performance • Determine if vendor performance (conducting work as defined by the contracted scope of services) has been monitored

• Identify any problems or areas to be addressed 7. Confidentiality and Nondisclosure

forms (verification that appropriate forms have been completed and are on file for employees, Personnel Certification Committee members, item writers, proctors, examiners, etc.)

• Verify that all required confidentiality / conflict of interest / nondisclosure forms are signed, dated, and properly retained

8. Accuracy of the directory of certified individuals

• Verify that the process for ensuring the directory of certified individuals is accurate and up-to-date is being implemented

9. Accuracy of web site information regarding the Personnel Certification program

• Verify that the process for ensuring that the Personnel Certification program web site content accurate and up-to-date is being implemented

10. Review the log of all disciplinary complaints, investigations, actions, and appeals to monitor for patterns that may indicate the need for additional review and recommendations

• Verify that the log of all disciplinary actions is up to date • Review the log for any patterns or concerns • Identify and items for additional review or action

Any policies that are recommended for addition, removal or modification during the review will be checked for compliance with ANSI/ISO 17024 standards and, in the case of examination related policies, compliance with generally accepted psychometric principles in consultation with the testing consultant/psychometrician as needed before final recommendations are sent for approval. Any policies identified as non-compliant will be brought forward for additional review and corrective action.

C. Internal Audit Report

The auditor will document the completion of the audit and all audit findings on the Internal Audit Report Form. The auditor will submit the form and review the audit outcome, along with any related recommendations for corrective or preventative actions, with the Certification Director. All personnel responsible for the areas audited during the Internal Audit will also be informed of the outcome(s) of the Internal Audit. The Certification Director will review the Internal Audit with the Certification Board.

7 Data Collection The Certification Director will collect and retain data regarding the Personnel Certification program, which will include, but is not necessarily limited to the following items. Data will be used to present summary reports to the Certification Board annually as noted in the management review section below.


1) The number of test takers (initial and repeat) at each exam administration 2) The pass/fail rates for each exam administration

3) The number of applicants for each exam administration 4) The number of applicants denied based on ineligibility

5) The number of individuals eligible for Recertification each year 6) The number of individuals who recertify each year

7) Records of comments and feedback received regarding the exam administration and exam sites

8) Item and test analysis reports

8 Management Review

A. Continual Quality Improvement

The Certification Board is committed to an ongoing quality improvement process. The quality improvement process includes the following components that are conducted annually:

1) Internal Audit report (the Certification Board will review the Internal Audit report presented by Certification Director and will make recommendations resulting from the internal audit for implementation)

2) Feedback and complaints received regarding the Personnel Certification program and/or examination administration (including review of the evaluation forms completed by Personnel Certification exam Candidates)

3) Summary report of any disciplinary complaints, associated appeals received, and related trends

4) Summary report of any non-disciplinary appeals (for example, eligibility appeals)

5) Summary report of any accreditation non-compliance issues or other feedback resulting from the accreditation process

6) Summary report of the implementation/outcome of corrective actions approved during the previous Management Review

7) Other feedback or recommendations from the Certification Director and / or Committees

The purpose of the Management Review conducted by the Certification Board is to ensure that all policies and procedures of the Certification Board are consistently implemented and to identify areas of needed programmatic change.

The final Management Review report will include:

1) Identification of any needed corrective actions and any recommended preventative actions. Subsequent Management Reviews will include a process to ensure that approved corrective


and preventative actions from the previous Management Review were properly implemented.

2) Recommendations for improvement of the efficiency and effectiveness of the management system.

3) Resources, both financial and human resources, required to implement the actions identified in the report.

The final Management Review report will documented.

B. Corrective Actions

Corrective Actions result from the identification of a policy or a procedure which is not being properly or fully implemented, identification of required exam related psychometric procedures which are not being properly implemented, or identification of other errors.

Corrective Actions that are identified, either during an Internal Audit or Management Review or by some other process, will be implemented as quickly as possible to ensure ongoing compliance with the Certification Board’s policies and procedures. The Certification Director will report to the Certification Board Chair when each corrective action has been fully implemented. Completion will be noted in the minutes of the next Certification Board meeting.

C. Preventative Actions

Preventative Actions result from the identification of areas for improvement or increased efficiency and actions which will prevent the need for additional future corrective actions. Preventative Actions will be implemented over a reasonable time period. When applicable, Candidates/certificants will receive reasonable advance notice of changes to the Personnel Certification program.

When multiple preventative actions are identified, the Management Review conducted by the Certification Board will prioritize these actions and establish a timeline for their implementation.


Records Management and Retention



The Personnel Certification body shall maintain up-to-date personnel records, including relevant information, e.g. qualifications, training, experience, professional affiliations, professional status, competence and known conflicts of interest.


The Personnel Certification body shall maintain records. The records shall include a means to confirm the status of a certified person. The records shall demonstrate that the Personnel Certification or Recertification process has been effectively fulfilled, particularly with respect to application forms, assessment reports (which include examination records) and other documents relating to granting, maintaining, recertifying, expanding and reducing the scope, and suspending or withdrawing Personnel Certification.


The records shall be identified, managed and disposed of in such a way as to ensure the integrity of the process and the confidentiality of the information. The records shall be kept for an appropriate period of time, for a minimum of one full Personnel Certification cycle, or as required by recognition arrangements, contractual, legal or other obligations.

2 Definition All Personnel Certification program documents will be retained according to the schedule in this policy. The use of the term “documents” in this policy includes all printed and electronic materials regardless of the medium in which they are stored. Documents received in printed copy may be converted to electronic format for storage and/or backup. Original printed materials may not be maintained once the information is entered into the database or otherwise stored electronically.

All confidential materials will be retained in compliance with the Security Policy and the Confidentiality Policy.

3 Candidate / Certificant Files Files retained for Candidates and certificants will include:

• Date(s) of Personnel Certification and Recertification

• Personnel Certification expiration date

• Examination dates and scores


• Any complaints and/or disciplinary investigations and/or actions

• Application and Recertification forms (signature or attestations) including Code of Conduct attestations

• Recertification activities

4 Personnel Files Files retained for NEBB employees will include:

• Documentation of personnel qualifications (such as resumes and applications) • Training log • Performance evaluations • Letter of employment • Disciplinary records • Human resources and tax forms

5 Retention Schedule

The following documents are retained permanently:

• Examination development documentation including, but not limited to, job analysis studies, test specifications, records of item writing activities, cut-score studies, and technical reports.

• Examination results: Electronic results files are permanently retained

• Examination items (item bank)

• Active examination application information

• Active applicant/Candidate data.

• Files of active applicant/certificants

• Records of disciplinary complaints, investigations, appeals, and determinations.

• Active contracts with companies, vendors, consultants, etc.

• Meeting minutes of the Certification Board

• Legal correspondence and documents

• Policy manuals, operations manuals, and training manuals (current versions)

• Active personnel files (these files include, but are not limited to, documentation of personnel qualifications, training, experience, and performance evaluations)

The following documents are retained in accordance with IRS Regulations (Minimum of 7 years:

• Audit reports and management reviews

• Financial audit reports, financial statements, and IRS filings


• Accounting/bookkeeping records and tax forms

• Expense reports

• Expired/terminated contracts

The following documents are retained for at least 3 years:

• Inactive personnel files

• Inactive Candidate/applicant files

• Inactive application and/or Certificant information/ (retained for 3 years after file becomes inactive; current files are retained indefinitely)

• General correspondence

6 Document Destruction When scheduled for destruction as indicated in the record retention schedule, documents will be destroyed as follows:

• Paper documents that are confidential in nature will be shredded. • Electronic documents will be deleted from all individual computers, data bases, networks, and

back-up storage.

Regardless of the retention schedule, no paper or electronic documents will be destroyed or deleted if pertinent to any ongoing or anticipated government investigation or proceeding or private litigation.


Use of Personnel Certification Marks, Logos, and Certificates


1 Relevant Standards A.ANSI/IS0/IEC 17024 Standard 9.4.7

The Personnel Certification body shall provide a certificate to all certified persons. The Personnel Certification body shall maintain sole ownership of the certificates. The certificate shall take the form of a letter, card or other medium, signed or authorized by a responsible member of the personnel of the Personnel Certification body.


The certificates shall contain, as a minimum, the following information:

a) The name of the certified person;

b) A unique identification;

c) The name of the Personnel Certification body;

d) A reference to the Personnel Certification scheme, standard or other relevant documents, including issue date, if relevant;

e) The scope of the Personnel Certification including, if applicable, validity conditions and limitations;

f) The effective date of Personnel Certification and date of expiry.


The certificate shall be designed to reduce the risks of counterfeiting.


A Personnel Certification body that provides a Personnel Certification mark or logo shall document the conditions for use and shall appropriately manage the rights for usage and representation.


A Personnel Certification body shall address, by means of corrective measures, any misuse of its Personnel Certification mark or logo.

2 Introduction After receiving notification of the official NEBB CP or CT designation, the credential(s) granted may be used only as long as the individual’s Personnel Certification remains valid and in good standing.


Individuals may not use the credential(s) until they have received specific written notification that they have successfully completed all requirements, including passing the required exam(s). Certificants must comply with all Recertification requirements to maintain use of the credential(s).

The use and/or display of the official NEBB acronyms or designation names, except as permitted by this policy, is prohibited. Individuals who fail to maintain Personnel Certification / recertify or whose Personnel Certification is suspended or revoked must immediately discontinue use of the Personnel Certification mark(s) and are prohibited from stating or implying that they hold the Personnel Certification.

3 Acceptable Use Individuals who have earned the credential(s) may identify themselves as a “NEBB Certified Professional” or NEBB Certified Technician status for each discipline certified.

NEBB CPs do NOT have a right to receive a NEBB stamp. NEBB CPs who are not affiliated with a NEBB Certified Firm are NOT authorized to stamp reports or make claims regarding performing work in compliance with NEBB Procedural Standards. Work performed by NEBB CPs who are not affiliated with a NEBB Certified Firm is not covered by the NEBB Quality Assurance Program.

The name and official acronym may be used only as long as the Personnel Certification is valid and in good standing. Personnel Certification is a non-transferable, revocable, limited, non-exclusive license to use the Personnel Certification designation and is subject to compliance with the policies and procedures of the Certification Board.

Certified individuals may not make misleading, deceptive, or confusing statements regarding their Personnel Certification status.

4 Certificate Each Certificant will receive a certificate for each credential granted. Each certificate will include, at a minimum, the following information:

• Name of the credential • Name of the certified individual • Unique Personnel Certification number • Signature of the Certification Board Chair and signature the Certification Director • Reference to the scope and limitations of the Personnel Certification, including:

o Professional Personnel Certification indicates that the individual has met all of the requirements of the designated Personnel Certification program.

o Notification that projects covered under NEBB’s Quality Assurance Program must be accompanied by NEBB Firm Personnel Certification.

o This certificate plus a NEBB Firm Personnel Certification are REQUIRED for a NEBB certified report.

• Effective date • Expiration date


• Disclaimer stating that the Certification Board retains sole ownership of the certificate

Individuals who renew their Personnel Certification (recertify) will receive a new certificate.

The care and issuing of sequentially numbered certificates shall be the responsibility of the Certification Director.

5 Security Certificates include the Certification Board Chair’s electronic signature and the Certification Director’s original signature. All certificates are produced on security paper with a unique Personnel Certification number and a stamp with the NEBB corporate seal to reduce the risk of fraud, forgery, and counterfeit.

6 Ownership The Certification Board retains sole ownership of all certificates.

7 Complaints and Investigations Incidents of alleged misuse of the name and/or Personnel Certification acronyms by a Certificant or Candidate will be investigated by the Certification Director and referred to the Certification Board Chair for action under the Disciplinary Policy as required. Individuals who are found to be in violation of this policy may be subject to disciplinary action under the Disciplinary Policy.


Personnel Certification Verification Policy #: 126 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015



The Personnel Certification body shall verify and provide information, upon request, as to whether an individual holds a current, valid Personnel Certification and the scope of that Personnel Certification, except where the law requires such information not to be disclosed.

The Certification Director maintains a database of all active applicants and certificants.

The names of certified individuals and their Personnel Certification status, address, phone, fax, email, Chapter affiliation, and Personnel Certification number are not considered confidential and will be published by NEBB in the online verification system. The NEBB headquarters office will also verify Personnel Certification status upon request – information released will include the certificants name, Personnel Certification number, Personnel Certification expiration date, Personnel Certification type, and Personnel Certification status (certified or not certified).

An up-to-date database of all certificants is maintained under the oversight of the Certification Director. The online verification system will be promptly updated to reflect individuals whose Personnel Certification has expired or has been suspended or revoked.


Job Description: Certification Director Policy #: 127 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Reports to: Executive Vice President

Qualifications Experience with Personnel Certification Programs

Responsibilities

Manage the day to day operations of NEBB Personnel Certification programs within the Policies and Procedures established by the Certification Board.

Supervise

Report to the Certification Board regarding the operations and administration of the Personnel Certification programs. Manage the documentation and reporting of all Personnel Certification activities to the Certification Board.

Manage the examination development and administration process.

Participate as staff liaison on all Personnel Certification committees and provide management and support for subject matter experts.

Assist in the development and management of the Personnel Certification program budget.

Maintain all Personnel Certification program documents (exam applications, renewal applications, certificates, Candidate Handbook, Personnel Certification Policies and Procedures, etc.)

Manage the relationships with Personnel Certification program consultants and vendors as they relate to the development and delivery of the examinations.

Collect and retain data regarding the Personnel Certification programs, for public and internal use.

Create and maintain website content regarding the Personnel Certification programs.

Monitor internet activity for unauthorized examination content.

Monitor compliance of the Personnel Certification programs with accreditation standards.

Other duties as assigned.


Job Description: Certification Manager Policy #: 128 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

This position reports to the Director of Certification and requires good communication and project management skills. Candidate should be organized, details oriented, self-motivated and have the ability to set, manage and meet priorities under changing conditions. Candidate will also provide administrative and customer service support in a small office, team oriented environment.


Job Description: Certification Board Chair Policy #: 129 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Responsibilities

Develop and approve meeting agendas.

Chair all meetings of the Certification Board.

Oversee the budget process.

Provide oversight to all Personnel Certification program committees and establish and oversee committees as needed.

All additional responsibilities of Certification Board members.


Job Description: Certification Board Vice Chair Policy #: 130 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Responsibilities

Perform the duties of the Chair during the Chair’s absence or inability to act.

Assist the Chair in his/her duties as needed.

All additional responsibilities of Certification Board members.


Job Description: Certification Board Member Policy #: 131 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Responsibilities

Establishing the policies and procedures for granting Personnel Certification, including compliance with eligibility requirements.

Establishing the policies and procedures for maintaining Personnel Certification, including re-Personnel Certification requirements.

Defining, expanding and/or reducing the scope of the Personnel Certification programs.

Establishing policies and procedures for suspending or withdrawing Personnel Certification, including the oversight of all disciplinary investigations and actions related to certificants.

Oversee the development, maintenance, administration, and scoring the examinations in a manner consistent with generally accepted psychometric principles to ensure that all examinations are reasonably valid and reliable.

Establishing and enforcing a Code of Conduct for individuals holding the credentials.

Recommending a budget for the operation of the Personnel Certification program.

Providing oversight to all Personnel Certification program committees and establishing and overseeing committees as needed.

Establishing and implementing policies and procedures for, and overseeing the ongoing operational processes of, the Personnel Certification programs.


Job Description: Nominating Committee Member Policy #: 132 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Responsibilities

Recruit and encourage nominations of qualified individuals for vacant, voting Certification Board positions.

Review nominations with the assistance of the Certification Director to determine if the nominated individuals possess the qualifications required for the vacant positions.

Prepare a slate of recommended qualified Candidates and send the ballot to the Certification Board for vote.


Job Description: Examination Committee Member Policy #: 133 Approval Date: 10/18/2014 Changes to be authorized by: Certification Board Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Participate as a Subject Matter Experts (SMEs) in examination development activities. Specific activities to be determined by the committee’s charge.

Actively participate in assigned tasks and meetings, submit assignments as requested, and meet deadlines.

Sign a confidentiality/non-disclosure agreement that includes provisions for NEBB’s ownership of all examination content as well as confidentiality provisions and restrictions on providing examination preparation courses.

Disclose any conflicts of interest as required by the conflicts of interest policy.


Definitions Appendix: A Approval Date: 10/18/2014 Changes to be authorized by: Certification Director Effective Date: 01/01/2015 Approved By: Certification Board Revision Date(s): 03/05/2015

Affiliate - A NEBB affiliate is an individual who is employed by a NEBB certified firm.

Appeal – A request by applicant, Candidate, examinee or certified person for reconsideration of any decision made by the Personnel Certification body related to his/her desired Personnel Certification status.

Assessment – The process that evaluates a person’s fulfillment of the requirement of the Personnel Certification scheme (also see “examination”).

Candidate – Someone who is eligible to be evaluated through the use of assessments.

Closed book – No materials other than those provided by the assessment examiner or proctor are allowed to be in possession of, or used by, the examinee during the assessment.

Personnel Certification scheme – Competence and other requirements related to specific occupational or skills categories of persons.

Cognitive level – Bloom’s taxonomy of learning objectives is used to define how well a skill or competency is learned or mastered.

Competence – Ability to apply knowledge and skills to achieve intended results.

Complaint – Expression of dissatisfaction, other than appeal, by any individual or organization to a Personnel Certification body, relating to the activities of that body or a certified person, where a response is expected.

Conflict of interest – When a person in a position of authority within an organization may benefit from a decision he or she could make in such capacity, including indirect benefits such as to family members or businesses with which the person is closely associated.

Cut Score – The minimum score required to pass an assessment.

Difficulty index – The percentage of examinees who answered the item correctly. The higher the index, the easier the item.

Discrimination index – The ability of an item to differentiate among examinees on the basis of how well they know the material being assessed. A measure of how effectively an item discriminates between the high and low groups.


Examination – The mechanism that is part of the assessment which measures an examinee’s competence by one or more means, such as written, oral, practical and observational, as defined in the Personnel Certification scheme.

Examinee – A Candidate in the process of taking an assessment.

Examiner – A person competent to conduct and score an assessment where the assessment requires professional judgment.

Fairness – Equal opportunity for success provided to each examinee in the Personnel Certification process.

Good Standing – A NEBB certified individual whose Personnel Certification is current with no overdue fees and no disciplinary actions or suspensions in effect.

High miss item – Where 50% or more of the examinees missed the item.

Item – A scored question or unit in any assessment. An assessment item usually contains a statement that elicits an examinee response. That response is scorable – usually (100/total number of assessment items) for a correct response and 0 for an incorrect response.

Job / Task Analysis (JTA) - Identifies the tasks for successful performance, identifies the required competence for each task, identifies prerequisites, confirms the assessment mechanisms and assessment content, and identifies the Recertification requirements and interval. (Also job analysis, practice analysis, or role delineation study)

Knowledge, Skills, Abilities (KSA) - The attributes required to perform a job and are generally demonstrated through experience, education, or training.

Knowledge - Is a body of information applied directly to the performance of a function.

Skill - Is an observable competence to perform a learned psychomotor act.

Ability - Is competence to perform an observable behavior or a behavior that results in an observable product.

Low miss item – any item where a remarkably small number (≤ 5%) of examinees missed the item.

Matrix – A table indicating the JTA or learning objective, cognitive level, percentage of the specific item relative to the overall JTA, number of items, and knowledge base reference. (Also Assessment content outline or blueprint)

Multiple choice question (MCQ) – An assessment item consisting of a stem, and four alternatives – one correct answer and three distractors (incorrect answers).

Open book – Examinees are allowed access to specific reference materials during the assessment.


Power assessment – An assessment in which virtually all examinees have time to complete all items.

Proctor – A person authorized by NEBB that administers or supervises an assessment but does not evaluate the competence of the examinee. (Also Invigilator)

Reliability – indicator of the extent to which assessment scores are consistent across different assessment times and locations, different assessment forms, and different examiners.

Speeded assessment – An assessment that is time-constrained so that more than 10% of the examinees do not finish all the items.

Staff – NEBB Executive Vice President, Director of Technical Programs, Director of Personnel Certifications, or other persons identified by the Executive Vice President.

Validity – Evidence that the assessment measures what it is intended to measure, as defined by the Personnel Certification scheme.