Yes! Achieving National Commission for Certifying Agencies (NCCA) accreditation for any size certification program is no small feat and it’s something to be proud of. Accreditation requires a substantial investment in time and resources to ensure that all activities are done according to the NCCA standards. Proper documentation of these activities ensures that you have standardized policies and processes for your operations and provides legal defensibility of the certification program.

We have found that many of our clients lack the proper documentation for the work they do every day. The certification program must move into the role of providing oversight of the entire testing process. This includes having a keen understanding of the policies, procedures and rationales for why and how something is done. Working closely with your psychometrician and exam-supporting vendors will help you identify the gaps in your documentation and the steps necessary for your program comply with the NCCA standards.

One of the most important, yet frequently overlooked, documents is a policy manual. Written policies ensure a standard approach is used for all circumstances — not just exam-related activities. The policy manual should be evergreen, comprehensive and reviewed at least annually. It should include information about the organization’s mission statement, board of directors, organizational and financial management, candidates and eligibility, exam development, exam administration, impartiality, quality control procedures, data maintenance and security, vendor management, appeals, disciplinary processes and recertification.

While the policy manual is an internal document, NCCA requires that certain documents be publicly available for full transparency. Candidate handbooks, applications, recertification guidelines, polices regarding the testing process, the exam content outline, exam fees, the process for requesting test accommodations, certificant counts and pass/fail rates are among the materials that must be available to the general public. Your website is a great place to post the information and is easily updated as needed.

NCCA standards require evidence of how the policies and processes are followed, such as meeting minutes, audit reports for staff and vendors and SME panel reports. One of the most important pieces of evidence that you can provide is how the organization moved from reactive to proactive when an irregularity or violation is discovered. How something happened is secondary to what corrective actions were taken and how policies and procedures have been updated to prevent a reoccurrence.

As you start the process of accreditation for your certification program, it may be helpful to map out the documentation in terms of its primary focus. The list below provides a starting point for your accreditation documentation journey:

Organizational

• Bylaws
• Financial Statements
• Organizational Chart
• Policy Manual
• Non-Disclosure Agreement Templates
• Conflict of Interest Agreement Templates
• Vendor Agreements

Exam Development

• SME Panel Recruitment Procedures
• SME Training Process
• SME Panel Qualifications and Participation Log
• SME Panel Meeting Minutes
• Job Task Analysis Report (Comprehensive and Executive Summary)
• Exam Blueprint
• Exam Development Plan & Schedule
• Exam Development Procedures
• Translation Process and Comparability Studies
• Scoring Procedures
• Scoring Rubrics and Training (for performance testing)
• Standard Setting Reports
• Exam Level Statistics
• Item Analyses

Exam Administration

• Proctor Training Manual
• Vendor Procedures Manual
• Exam Security Plan and Outcomes
• Quality Control Procedures
• CBT vs RPT Documentation
• Vendor Annual Audit Reports
• Irregularities and Resolutions Log
• Regularly Scheduled Status Meeting Minutes

Candidates

• Candidate Handbook (policies and procedures)
• Exam Application
• Exam Accommodations Form
• Application Audit Reports
• Reciprocity Agreements
• Test Irregularities and Outcomes
• Sample Candidate Score Reports (passing and failing)

Certificants

• Data Security Protocols
• Online Directory of Certificants
• Disciplinary Policies, Procedures and Outcomes

Recertification

• Recertification Handbook
• Recertification Application
• Recertification Processes
• Recertification Application Audit Reports

While the list of documentation required can be intimidating, there are proven strategies to reduce time and effort to start and maintain your documentation:

1. Incorporate documentation directly into your standard operating procedures. When you work on an activity, document the process immediately.
2. Create online forms for regularly collected data points, such as an SME-interest form or NDAs.
3. Create templates for frequent activities, such as meeting minutes. Have space for attendance, discussion points, voting results and next steps.
4. Use an SME activity log/spreadsheet to keep track of SMEs, their demographics, which panels they served on and their level of participation.
5. Create flowcharts outlining your processes. This will also help your decision-making easier, faster and more consistent.
6. Develop project plans that detail each activity/task, the person responsible and the completion date.
7. Track audits, issues, or concerns with the resolution or next steps. Note any follow up as needed.
8. Find an organizational file management structure that works best for your style. For instance, save all documents in a folder called "Accreditation," then in subfolders by standard or type of activity.
9. Enlist multiple people to participate in the accreditation effort to ensure that the documentation is accurate and easy to understand.
10. Schedule recurring dates in your calendar to review and update your documentation. For instance, review your policy manual in Q1 every year, review your vendor agreements and conduct your vendor audits in Q2 every year, review your test development plan and test development outcomes in Q3 every year and review your recertification activities in Q4 every year.

Don’t Be Intimidated!

The accreditation process can seem overwhelming — particularly for smaller organizations — but with careful planning and participation from everyone involved, it can be done. Many organizations find that the rewards of the documentation effort go beyond accreditation with ongoing benefits for the organization overall.

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