Testing Organization and Proctor Guidelines
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1 Testing Organization and Proctor Guidelines Kdrive ANSI Approved Document Nov 2011
2 Table of Contents Welcome to NATE Certification Testing... 2 Structure of Certification Tests... 2 Certifications for Technicians The Role of Testing Organizations ADA Accommodations NATE Policy for Suspension/Revocation of Testing Organizations The Role of Proctors Proctor Responsibilities & Duties NATE Suspension/Revocation Policy for Proctors Testing Organization Application Proctor Application Request for Non-Standard Test Accommodations (ADA request) Third Party Release Form Test Session Audit Form
3 Welcome to NATE Testing North American Technician Excellence, Inc. (NATE) is an international non-profit testing and certification organization incorporated in 1997 for the purpose of recognizing and promoting technician excellence in the installation and service of heating, cooling and refrigeration systems. This manual explains NATE s policies and guidelines for scheduling and conducting exams and to familiarize the Testing Organizations and the Proctors with their responsibilities. Structure of Certification Tests Testing Organizations, Proctors and test candidates should refer to the Knowledge Areas of Technician Expertise (KATEs) to understand the scope of each certification. NATE certification is awarded in the following three categories: INSTALLATION SERVICE SENIOR Core Exam The Core Exam covers basic knowledge topics that all technicians should possess. For the specific categories and topics please refer to the Core KATE. The KATEs are located online: Click on Technicians and then What Tests to Take/KATEs. Specialty Exams The specialty exams leading to certification are: Air Conditioning Air Distribution Ground Source Heat Pump Air-to-Air Heat Pump Gas Furnaces Oil Furnaces Hydronics Gas Hydronics Oil Light Commercial Refrigeration Commercial Refrigeration Senior Level Exam HVAC Efficiency Analyst Certifications for Technicians The NATE certifications are tailored to the technician s knowledge and skill level. NATE s Knowledge Areas of Technician Expertise (KATEs) cover all knowledge, skills, and abilities the technician should possess. These tests give technicians a clear career path and recognize different levels of experience and knowledge. 2
4 Installation Technician This technician primarily prepares the installation site (including removal of existing HVAC/R equipment), fabricates connections, and assembles systems as specified in the installation instructions. The technician must be able to properly power up and set control positions to cycle equipment through primary heating, cooling, and blower operation under on-site or off-site supervision of a service or senior technician. The installation technician takes specialized readings, such as temperatures, refrigerant circuit pressure, and basic electrical readings, with both operating and non-operating equipment, as may be required by others. This technician should have one year of installation field experience. Service Technician This technician must be able to accomplish the same tasks as an installation technician, as well as to independently power up and adjust control settings to cycle equipment through all designed-for sequences. A service technician must be able to acquire, evaluate, and interpret such readings as may be necessary to determine the adequacy and acceptability of system operation to meet specifications. This technician must be able to perform sufficient field diagnostic procedures as necessary to determine causes of inadequate performance and identify corrective actions as needed. Currently a service exam earns the technician an install certification in the chosen specialty. This technician should have two years of service field experience. Note: Technicians earning Service certifications are automatically awarded Installation Certifications. Technicians earning the Heat Pump Service certification are automatically awarded the Air Conditioning certification. Senior Level Exam This test is designed for the highest level technician. NATE suggests five years of experience before sitting for this exam. This test for certification is not intended for the HVAC system designer, sales force, or the engineering community. See KATEs for Senior Level Exam prerequisites. The Role of Testing Organizations A Testing Organization (TO) is an organization that has been approved by NATE to participate in and offer support to the NATE HVACR technician certification program by hosting testing sessions for candidates. TO s are the cornerstone of the NATE program; they are NATE s face to the technician population. Testing Organizations are responsible for safeguarding the integrity of the NATE exams by abiding by all guidelines. The Testing Organization Application is available on NATE s website. After being approved as a Testing Organization you will be listed on NATE s website at click on Technicians, Certifications Basics/101, Where to Test. All TO s are required to have at least one NATE approved proctor. Only NATE approved proctors may receive exam materials and proctor an exam. All passwords and ID numbers are individually assigned and may not be used by anyone else. 3
5 Violation of this policy or any other guideline policy may result in the following actions: Advisory Letter Warning Letter Suspension for 6 months Permanent Revocation of Testing and/or Proctoring Privileges Voiding of exam session Proctor Selection The proctor must be a disinterested party. This is defined as someone who: Is not a relative of any candidate in the testing session; Will not receive direct financial gain from the outcome of the candidate s testing. The integrity of the NATE exam is a shared responsibility of the Testing Organization and the Proctor. To prevent the appearance of any impropriety NATE requires that anyone instructing NATE related classes or programs preparing candidates to take a NATE exam be excluded from proctoring whether or not they were involved with that particular class or program. Proctors must be completely independent of any NATE involvement. Each Training Organization is required to submit, on a semi-annual basis, the names of all instructors of NATE programs. These submissions will be audited by the NATE staff. Number of Proctors Only one proctor is required for each 35 candidates in a room. You will need additional proctors if there are more than 35 candidates registered for a testing session, or if more than one room is used for a testing session. In the event a testing session requires multiple proctors, one proctor should be designated as the primary proctor with overall responsibility for the testing session. Scheduling a Test Session Training Organizations set their own testing schedule. To establish a Test Session, go to the Test Session Scheduling Form online at natetesting.com and click to electronically submit it to NATE. You will receive a confirmation that your schedule has been received. Please double check this to make sure that your information is accurate. By filling out this form your Organization test date will be automatically uploaded into The earlier you schedule a testing session, the easier it is for your Testing Organization to market it to prospective customers. Placing an Order for Tests Paper Tests Log onto and follow the prompts for ordering paper exams. A confirming will be sent to you. Please review your confirmation for accuracy and if there is a mistake please contact the NATE office immediately. Expedited orders are charged additional fees; see online order form for complete details. 4
6 Electronic Testing To conduct an online test, log onto follow the prompts for online testing. Electronic Test Sessions can only be scheduled by a NATE approved Proctor. Testing Session Times Test Session times for each exam is listed below. These times must be adhered to at all times. Test session times will be audited. TO s may hold more than one testing session in a single day. Simply indicate on the Test Session Scheduling Form the times for all sessions scheduled for a particular day. CORE Exam -2 hours AC-Install and Service-2.5 hours AD-Install and Service-2.5 hours HP-Install and Servie-2.5 hours Gas-Install and Servie-2.5 hours Oil-Install and Service-2.5 hours Hydronic Oil-2.5 hours Hydronic Gas-2.5 hours Light Refrigeration-2.5 hours Commercial Refrigeration-2.5 hours Efficiency Analysts-4 hours Ground Source Heat Pump-4 hours Allow additional time prior to the test session for check in and any onsite registrations. Testing can be done at the Testing Organization s facility, or at an off-site location. TO s are required to provide a controlled, quiet environment so candidates are not distracted or disrupted, and exam security is maintained. There should be 36 inches of space between each candidate. Setting Exam Fees Each Testing Organization (TO) sets its own price for the exams and is responsible for collecting payment. Current wholesale pricing from NATE is on the TO and Proctor opening page at natetesting.com. A suggested vendor price for an exam is listed below and is also listed on the opening page of the KATE s and the front cover of each exam. Core $ Specialty $ Efficiency Analyst $ Ground Source Heat Pump $ At the end of a test session all used and unused exams must be returned to VGI by a trackable shipping method within 48 hours of the test session. NO EXAMS WILL BE PROCESSED UNLESS ALL EXAMS AND THE COMPLET- ED TEST SESSION AUDIT FORM ARE RETURNED. 5
7 Payment Responsibilities of the Testing Organization If test fees are not enclosed in the Test Packet, it is at NATE s discretion whether test results will be released until payment is received Candidate Registration Each TO should establish its own procedures for registering candidates. The following is some basic information that each candidate should receive prior to the testing session: Where When How long the testing session runs Who is running the testing session and the contact information What is the cost to the technician How does the technician pay for the session What to bring, (Photo ID required, non programmable calculator, #2 pencil) What is not allowed in testing area (cell phones etc...) Privacy Policy Federal Educational Rights and Privacy Act (FERPA) is a federal law that prohibits NATE from releasing individual exam results to anyone other than the candidate unless NATE has the candidate s written permission to do so. TO s may offer to provide candidates with a form that allows test results to be released to a third party. The form is the Authorization for Release of Pass/Fail to a Third Party. It is to be signed by the candidate and included in your exam return packet. The release authorization is located on the NATE click Resource Center, click Document Library and Forms, click Authorization for Release of Pass/Fail to a Third Party, the and in the Candidate Handbook. Guideline Violations Violations of any guideline policy may result in the following actions: 1. Advisory Letter 2. Warning Letter 3. Suspension for 6 months 4. Permanent Revocation of Testing and/or Proctoring Privileges 5. Voiding of exam session 6
8 Appeals A candidate may request redress for issues concerning their certifications status including but not limited to: Exam Pass/Fail Denial of certification and/or recertification Redress for continuing education hours The candidate must request, in writing, an action for review of one of the items above. Once the request is received, NATE reviews the request as follows: Exam Pass/Fail-the exams are placed into the formal review process. Once the review is completed, a letter is sent to the applicant explaining the status of the review. Denial of certification and/or recertification is based on the passing score of the exam. If the candidate requests, the exams can be reviewed Redress for continuing education hours-all files for recertification using continuing education are reviewed to determine if the submitted hours are documented and authentic. A candidate may request the hours be reviewed if they are denied for any reason. Complaints NATE has received complaints about Testing Organizations, Proctors, Candidates and/or the Contractors who employ those candidates, for any number of reasons. Each complaint is reviewed after receiving the complaint in writing. The party complained about is given the opportunity to answer the complaint. After review of the information from both entities NATE makes a decision based on the evidence presented and the request received. The decision can be: No action taken Removal/suspension of certification Removal/Suspension of a Testing Organization or Proctor Removal/suspension of the contractor from the locator system ADA Accommodations TO s must comply with the Americans with Disabilities Act (1990), the Civil Rights Act of 1964 (amended 1991), and the Rehabilitation Act of 1973 (amended 1990). If candidates have special needs, they must fill out the Request for Non-Standard Test Accommodations, and submit it to NATE at least 45 days before the test session is scheduled. This will allow the NATE staff time to confirm that special accommodations are required and to notify the Testing Organization and Proctor of the required accommodation(s). NATE will consult with the TO as to the best way to meet the needs of the candidate. The form is available online as part of the Testing Organization & Proctor Guidelines and the Candidate Handbook. 7
9 NATE Policy for Suspension/Revocation of Testing Organization Violations of published policy and procedures can result in NATE taking action to suspend/revoke a Testing Organization. In the event NATE receives a request for the suspension/revocation of a Testing Organization or NATE finds cause for action, NATE will follow the following process: 1. NATE will generate or require a formal written request for suspension and/or revocation. The request must contain an original signature from the complainant. The request must detail the reasons for the request and cite the published policy or procedure violated as the cause for the request. The request must be addressed to or generated by the VP, Certification. 2. NATE will review and acknowledge receipt of the request or send the violation generated to the Testing Organization within 30 days of receipt. 3. NATE will inform the Testing Organization in writing of the nature of the violation and allow the Testing Organization 30 days to respond in writing to the request. 4. Copies of all written communication will be provided to the Testing Organization and the complainant that initiated the request. 5. If the Testing Organization does not respond within the allotted time frame, the Testing Organization will automatically be suspended/revoked per the requested complaint. The Testing Organization and the complainant will be notified in writing of the suspension/revocation. 6. If the Testing Organization provides a response within the allotted time frame, NATE will review the response and provide copies to the complainant that initiated the request. 7. NATE will establish a subcommittee of the NATE Technical Committee to review suspension/revocation requests. The subcommittee will be comprised of at least 6 active Technical Committee members and the VP, Certifications. The committee will review documents sent electronically. No individual on the subcommittee will reside or provide services to consumers in the same geographic area in which a party to the process resides or provides services to the consumer 8. The decision to suspend/revoke the Testing Organization will be made by the Technical Committee Subcommittee based solely on the written response of the Testing Organization, the written information supplied by the complainant and review of the Testing Organization Policy and Procedure. 9. The decision rendered by the Technical Committee Subcommittee will be provided in writing to the Testing Organization and the complainant within 30 days of receiving a response from the Testing Organization. The decision by the Technical Committee subcommittee will be considered final unless the Testing Organization appeals as shown below. 10. The decision may be appealed to the full Technical Committee at a regular scheduled committee meeting. Full Technical Committee meetings are held twice a year in the winter and summer. Any decision rendered by the full technical committee will be provided in writing to the testing Organization and the complainant within 30 days of the decision made at the regularly scheduled Technical Committee meeting. The complainant and certified individual may appear at the regular Technical Committee meeting, at their own expense. 11. The decision, if required, by the Technical Committee may be appealed on procedural grounds only to the full NATE Board of Trustees at a regular scheduled Board meeting. The Board will not review the reason for the suspension/revocation. Full Board meetings are held twice a year in the spring and fall. Any decision rendered by the full NATE Board of Trustees will be considered final and will be provided in writing to the certified individual and the complainant within 30 days of the decision made at the regularly scheduled Board of Trust ees meeting. The complainant and certified individual may appear at the regular Board of Trustees meeting, at their own expense. 8
10 The Role of Proctors Only NATE approved proctors may proctor an exam. All passwords and ID numbers are individually assigned and may not be used by anyone else. Violations of any guideline policy may result in the following actions: 1. Advisory Letter 2. Warning Letter 3. Suspension for 6 months 4. Permanent Revocation of Testing and/or Proctoring Privileges 5. Voiding of exam results Responsibility for running the actual testing session rests with the proctor. A proctor is responsible for receiving and distributing unopened test packets, EXAM SECURITY, delivering the test materials to the test site, managing the site arrangements, instructing candidates prior to a test session, reading the entire proctor script to the candidates, and monitoring site activity to ensure that all candidates are tested fairly. Proctor Application NATE reviews and approves proctor applications. Proctors must be personnel from the testing organization (see limitations below). Proctors are not required to have knowledge of the HVAC/R industry. Proctor Application forms are available on line and attached to these guidelines. Proctors must agree to abide by the policies and procedures listed in this Guide, as well as any new policies and procedures NATE may implement. Proctors can expect to be audited by NATE representatives. Proctors found deficient in carrying out their duties, will be so advised according to the NATE Violation Guideline above. Proctor Selection The proctor must be a disinterested party. This is defined as someone who: Is not a relative of any candidate in the testing session; Will not receive direct financial gain from the outcome of the candidate s testing. The integrity of the NATE exam is shared responsibility of the Testing Organization and the Proctor. To prevent the appearance of any impropriety NATE requires that anyone instructing NATE related classes or programs preparing candidates to take a NATE exam be excluded from proctoring whether or not they were involved with that particular class or program. Proctors must be completely independent of any NATE involvement. Each Training Organization is required to submit, on a semi-annual basis, the names of all instructors of NATE programs and a list of names of all proctors that could be involved in overseeing a NATE exam. These submissions will be audited by the NATE staff. Number of Proctors Only one proctor is required for each 35 candidates in a room. You will need additional proctors if there are more than 35 candidates registered for a testing session, or if more than one room is used for a testing session. In the event a testing session requires multiple proctors, one proctor should be designated as the primary proctor with overall responsibility for the testing session. 9
11 Proctor Responsibilities and Duties Scheduling a Test Session TO s set their own testing schedule. To establish a Test Session, go to the Test Session Scheduling Form online at natetesting.com and click to electronically submit it to NATE. You will receive a confirmation that your schedule has been received. Please double check this to make sure that your information is accurate. By filling out this form your Organization test date will be automatically uploaded into Technicians, Certifications, Where to Test. The earlier you schedule a testing session, the easier it is for your Testing Organization to market it to prospective customers. Placing an Order for Tests Paper Tests Log onto and follow the prompts for ordering paper exams. A confirming will be sent to you. Please review your confirmation for accuracy and if there is a mistake please contact the NATE office immediately. Expedited orders are charged additional fees; see online order form for complete details. Electronic Testing To conduct an online test, log onto follow the prompts for online testing. Electronic Test Sessions can only be scheduled by a NATE approved Proctor. 10
12 Testing Session Times Test Session time allotted for each exam is listed below. These times must be adhered to at all times. Test session time will be audited. TO s may hold more than one testing session in a single day. Simply indicate on the Test Session Scheduling Form the times for all sessions scheduled for a particular day. CORE Exam -2 hours AC-Install and Service-2.5 hours AD-Install and Service-2.5 hours HP-Install and Servie-2.5 hours Gas-Install and Servie-2.5 hours Oil-Install and Service-2.5 hours Hydronic Oil-2.5 hours Hydronic Gas-2.5 hours Light Refrigeration-2.5 hours Commercial Refrigeration-2.5 hours Efficiency Analysts-4 hours Ground Source Heat Pump-4 hours Allow additional time prior to the test session for check in and any onsite registrations. Testing can be done at the Testing Organization s facility, or at an off-site location. TO s are required to provide a controlled, quiet environment so candidates are not distracted or disrupted, and exam security is maintained. There should be 36 inches of space between each candidate. Receipt of Test Materials The designated proctor will receive a packet of tests and materials from NATE/VGI Testing Services before the scheduled test session. This will contain the proctor packet plus all of the exam materials needed by the examinees, except non-programmable calculators and pencils. Your proctor packet contains: A checklist to use before and during the testing session. The Proctor Script MUST be read aloud to the candidates before each test session. Extra envelopes to secure the return of all exams Extra Answer Sheets Extra comment sheets and scratch paper Extra labels to seal candidate envelopes Test Session Audit Form, MUST be completed by the proctor and returned with the exams from that session within 48 hours. Proctor packet return envelope If your proctor packet is incomplete in anyway, call If the completed Test Session Audit Form is not returned with the test session materials the exams will not be processed until it is received. 11
13 Exam Security As a NATE proctor, it is your responsibility to ensure security of exam materials at all times. Exam materials will be sent to you several days in advance of the actual test session. Please keep the materials in a secure place. No one except the proctor for this specific test session is allowed to handle or open the test packets containing the exam materials. During the test session, be sure to keep materials under lock and key during any breaks, or in your personal possession. Do Not Open Any of the Sealed Test Packets The test candidate must receive the sealed test packet and it should be opened as instructed in the Proctor s Script. Maintain Control of the Test Session You must establish and maintain control of the test session from the time you greet the candidates and check their photo ID (no one can be allowed into the test session without photo ID), until the time you gather the completed exams. Behave in a professional manner. Handle problems and distractions quietly and quickly. Explaining Testing Procedures to Candidates Your job is to explain what will happen and when during a test session. Please familiarize yourself with the Proctor Script prior to the test session. The Proctor Script MUST be read as written. This ensures that all candidates receive the same information. Each candidate receives only one exam at a time. When the candidate is finished with that exam, the Proctor checks to make sure all of the questions were answered and the candidate has signed the question card. All material including the original envelope and scrape paper are put inside the return envelope by the candidate in front of the Proctor. The exam is sealed by the candidate, then the proctor and the candidate sign the barcode label and place it over the sealed flap. Test Results Please remind candidates that they can access their test results online approximately 2 weeks after testing at mynate, if during the test session they provided an accurate address and a PIN (Personal Identification Number) on the Answer Card. Returning Exam Materials Candidates are understandably anxious to receive their scores. The Test Session Audit Form must be completed and returned with all exams for the processing to start. List any unusual or noteworthy incidents on the Test Session Audit Form. Be sure to put the completed Test Session Audit Form in the return package with the tests. Test will not be processed if the Test Session Audit Form is not included in the packet. Package all used and unused tests and all other materials and return everything to NATE/VGI Testing Service within 48 hours. Send all testing materials by a trackable method. 12
14 Appeals A candidate may request redress for issues concerning their certifications status including but not limited to: Exam Pass/Fail Denial of certification and/or recertification Redress for continuing education hours The candidate must request, in writing, an action for review. Once the request is received, NATE reviews the request as follows: Exam Pass/Fail-the exams are placed into the formal review process. Once the review is complete, a letter is sent to the applicant explaining the status of the review. Denial of certification and/or recertification is based on the passing score of the exam. If the candidate requests, the exams will be reviewed. Redress for continuing education hours-all files for recertification using continuing education are reviewed to determine if the submitted hours are documented and authentic. A candidate may request the hours be reviewed if they are denied for any reason. Complaints NATE has received complaints about Testing Organizations, Proctors, Candidates and/or the Contractors who employ those candidates, for any number of reasons. Each complaint is reviewed after receiving the complaint in writing. The party complained about is given the opportunity to answer the complaint. After review of the information from both entities NATE makes a decision based on the evidence presented and the request received. The decision can be: No action taken Removal/suspension of certification Removal/Suspension of a Testing Organization or Proctor Removal/suspension of the contractor from the locator system ADA Accommodations TO s must comply with the Americans with Disabilities Act (1990), the Civil Rights Act of 1964 (amended 1991), and the Rehabilitation Act of 1973 (amended 1990). If candidates have special needs, they must fill out the Request for Non-Standard Test Accommodations, and submit it to NATE at least 45 days before the test session is scheduled. This will allow the NATE staff time to confirm that special accommodations are required and to notify the Testing Organization and Proctor of the required accommodation(s). NATE will consult with the TO as to the best way to meet the needs of the candidate. The form is available online as part of the Testing Organization & Proctor Guidelines and the Technician Handbook. 13
15 NATE Policy for Suspension/Revocation of a Proctor Violations of published policy and procedures can result in NATE taking action to suspend/revoke a Proctor. In the event NATE receives a request for the suspension/revocation of a Proctor or NATE finds cause for action, NATE will follow the following process: 1. NATE will generate or require a formal written request for suspension and/or revocation. The request must contain an original signature from the complainant. The request must detail the reasons for the request and cite the published policy or procedure violated as the cause for the request. The request must be addressed to or generated by the VP, Certification. 2. NATE will review and acknowledge receipt of the request or send the violation generated to the Proctor within 30 days of receipt. 3. NATE will inform the Proctor in writing of the nature of the violation and allow the Proctor 30 days to respond in writing to the request. 4. Copies of all written communication will be provided to the Proctor and the complainant that initiated the request. 5. If the Proctor does not respond within the allotted time frame, the Proctor will automatically be suspended/ revoked per the requested complaint. The Proctor and the complainant will be notified in writing of the suspension/revocation. 6. If the Proctor provides a response within the allotted time frame, NATE will review the response and provide copies to the complainant that initiated the request. 7. NATE will establish a subcommittee of the NATE Technical Committee to review suspension/revocation requests. The subcommittee will be comprised of at least 6 active Technical Committee members and the VP, Certifications. The committee will review documents sent electronically. No individual on the subcommittee will reside or provide services to consumers in the same geographic area in which a party to the process resides or provides services to the consumer 8. The decision to suspend/revoke the Proctor will be made by the Technical Committee Subcommittee based solely on the written response of the Proctor, the written information supplied by the complainant and review of the Proctor Policy and Procedure. 9. The decision rendered by the Technical Committee Subcommittee will be provided in writing to the Proctor and the complainant within 30 days of receiving a response from the Proctor. The decision by the Technical Committee subcommittee will be considered final unless the Proctor appeals as shown below. 10. The decision may be appealed to the full Technical Committee at a regular scheduled committee meeting. Full Technical Committee meetings are held twice a year in the winter and summer. Any decision rendered by the full technical committee will be provided in writing to the Proctor and the complainant within 30 days of the decision made at the regularly scheduled Technical Committee meeting. The complainant and certified individual may appear at the regular Technical Committee meeting, at their own expense. 11. The decision, if required, by the Technical Committee may be appealed on procedural grounds only to the full NATE Board of Trustees at a regular scheduled Board meeting. The Board will not review the reason for the suspension/revocation. Full Board meetings are held twice a year in the spring and fall. Any decision rendered by the full NATE Board of Trustees will be considered final and will be provided in writing to the certified individual and the complainant within 30 days of the decision made at the regularly scheduled Board of Trustees meeting. The complainant and certified individual may appear at the regular Board of Trustees meeting, at their own expense. 14
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