Employment Support Professional Certification Council

Transcription

1 Employment Support Professional Certification Council March 2012 ESPCC Policy & Procedure Manual ESPCC 416 Hungerford Drive, Suite 418 Rockville, MD Phone:

2 ESPCC Policy & Procedure Manual Page 1 Table of Contents PURPOSE & SCOPE... 4 ESPCC GOVERNING AUTHORITY... 6 ESPCC Authority... 6 ESPCC Roles and Responsibilities... 6 Limitations... 7 ESPCC COMPOSITION... 8 Composition... 8 Terms... 8 ESPCC SELECTION... 9 At-Large Council Members... 9 Public Member... 9 APSE Board Appointee, Foundation Board Appointee, and State Delegate Committee Appointee... 9 Qualifications Officers Orientation Resignation, Vacancies, and Removal Compensation ESPCC MEETINGS Meetings Quorum and Voting Meeting Notices Agendas Minutes CONFIDENTIALITY Confidentiality Confidentiality Agreements Confidential Materials Access to Confidential Information CONFLICTS OF INTEREST COMMITTEES Establishing Committees Authority Composition, Selection & Terms... 17

3 ESPCC Policy & Procedure Manual Page 2 Qualifications ORGANIZATIONAL STRUCTURE FINANCIAL MANAGEMENT Compensation Expense Reimbursement Budget Cancellations and Refunds Accounting Procedures ESPCC CERTIFICATION DIRECTOR SUB-CONTRACTING Contracts PURPOSE & SCOPE Definition of sponsorship contracts General Principles Governing Sponsorship: Who Can Be A Sponsor? General Guidelines for Sponsorship Acknowledgement: ELIGIBILITY REQUIREMENTS Purpose Rationale Procedures CODE OF CONDUCT Introduction Purpose Code of Conduct GRANDFATHERING Purpose Rationale Procedures SUMMARY OF CERTIFICATION ACTIVITIES NONDISCRIMINATION ACCOMMODATIONS FOR CANDIDATES WITH DISABILITIES USE OF CERTIFICATION MARK RECERTIFICATION REQUIREMENTS Purpose Rationale... 39

4 ESPCC Policy & Procedure Manual Page 3 Procedures DISCIPLINARY POLICY Complaints Complaint Review Determination of Violation Sanctions Appeal Resignation EXAMINATION DEVELOPMENT & ONGOING MAINTENANCE Subject Matter Experts Role Delineation Studies Examination Specifications Item Writing and Review Item Bank Examination Assembly & Approval Establishing a Passing Point Test Analysis / Technical Reports EXAMINATION ADMINISTRATION Re-Examination Exam Appeals & Hand Scoring Proctors Site selection Examination Admission Score Reporting SECURITY Confidential Documents Access Physical Security Electronic Security Exam Administration Security Violations RECORDS RETENTION Documents Retained Indefinitely Documents Retained for 7 Years Documents Retained for 3 Years VERIFICATION OF CREDENTIALS APPENDIX A: CONFIDENTIALITY/CONFLICT OF INTEREST FORM... 58

5 ESPCC Policy & Procedure Manual Page 4 Purpose & Scope Policy Number: 100 Approved By: Changes Must be Authorized By: APSE Board of Directors APSE Board of Directors Date Approved: May 9, 2011 Date Revised: Purpose The Certified Employment Support Professional (CESP) credential has been developed to recognize individuals who have demonstrated a sufficient level of knowledge and skill to provide integrated employment services to a variety of client populations. The CESP credential is intended to help employers, employees and potential employees by increasing the visibility of and access to competent individuals in the profession. Individuals who earn the CESP credential have demonstrated knowledge of the facilitation and advocacy skills necessary to help establish and expand equitable employment opportunities for individuals with disabilities. CESPs also raise awareness of benefits within the business community, and promote social change that fosters an independent, productive lifestyle for individuals with disabilities. The Employment Support Professional Certification Council (ESPCC) was established in 2011 by the APSE Board of Directors to establish and implement policies and procedures for the CESP certification program and to oversee the development of the CESP examination. The ESPCC is responsible for developing and overseeing all aspects of the certification program as defined below. Scope The ESPCC is responsible for developing the CESP requirements for eligibility, examination, and recertification. Development and maintenance of the examination is based on a Role Delineation Study process that is designed to ascertain, directly from practicing professionals, the frequency with which prerequisite knowledge is applied in practice, and the importance or criticality of this knowledge in satisfactory client outcomes. Content is added to the examination only after it has been identified through the Role Delineation Study process and accepted by subject matter experts as required by the ESPCC examination development policies in this manual. The ESPCC is solely responsible for essential decisions related to the development, administration, and ongoing maintenance of the CESP certification program. The ESPCC ensures that all application and eligibility requirements, examination development and administration, recertification requirements,

6 ESPCC Policy & Procedure Manual Page 5 and all certification program policies and procedures are directly related to the purpose of the CESP certification program. The ESPCC is responsible for the development of all policies and procedures related to the CESP certification program. The ESPCC has the authority to expand and/or reduce the scope of the CESP certification program and may update, modify, or change the stated purpose of the certification program as it may determine is necessary as allowed by these policies and procedures and the APSE Bylaws.

7 ESPCC Policy & Procedure Manual Page 6 ESPCC Governing Authority Policy Number: 102 Approved By: Changes Must be Authorized By: APSE Board of Directors APSE Board of Directors Date Approved: May 9, 2011 Date Revised: ESPCC Authority The ESPCC has been established to develop, oversee and administer the CESP certification program. The ESPCC serves as an independent and autonomous committee within APSE with respect to the development, evaluation, and administration of all CESP certification program policies and decisions related to certification eligibility, recertification, examination development and administration, budget development consistent with APSE policies, and program planning. ESPCC members, as individuals, have no authority over CESP certification program matters, except as authorized by action of the ESPCC. All policies and procedures for the CESP certification program are determined and approved by the ESPCC and reported to the APSE Board of Directors. ESPCC Roles and Responsibilities The ESPCC is solely responsible for all essential decisions related to the development, administration, and ongoing maintenance of the CESP certification program. While the ESPCC may delegate ongoing program operations to employees and/or consultants as needed, these areas of policy level decision-making responsibility may not be subcontracted to any other organization or entity. The certification decisions for which the ESPCC is responsible include: A. Establishing the policies and procedures for granting certification, including eligibility requirements. B. Establishing the policies and procedures for maintaining certification, including recertification requirements. C. Defining, expanding and/or reducing the scope of the CESP certification program. D. Establishing policies and procedures for suspending or withdrawing CESP certification, including the oversight of all disciplinary investigations and actions related to CESP certificate holders.

8 ESPCC Policy & Procedure Manual Page 7 Limitations E. Developing, maintaining, administering, and scoring the CESP examinations in a manner consistent with generally accepted psychometric practices to insure that the examination is reasonably valid and reliable. F. Establishing and enforcing an ethical code for individuals holding the CESP credential. G. Proposing a budget for the operation of the certification program to the APSE Board of Directors and managing certification program operations within the established budget and financial policy. H. Providing oversight of qualified personnel. I. Providing oversight to any committees as needed (see Committee Roles and Responsibilities policy). J. Establishing and implementing policies and procedures for the CESP certification program. The authority of the ESPCC is limited to the authority granted in the APSE Bylaws and by the APSE Board of Directors. The APSE Board of Directors is responsible for general oversight of the ESPCC and CESP certification program to ensure that the program remains compliant with APSE Bylaws and policy and procedure requirements and consistently implements ESPCC policies and procedures. The ESPCC does not have the authority to create a deficit budget, to manage outside of the approved budget, or to approve significant negative impact on APSE without prior approval of the APSE Board of Directors. The ESPCC shall not establish policies related to the development or delivery of educational content designed to prepare individuals to take CESP certification examination. During their term(s) of service, members of the ESPCC will not participate in the development or delivery of any educational program designed or intended to prepare individuals to take the CESP certification examination. Members of the ESPCC that participate in creating and/or reviewing content for the examination, including serving as item writers and/or item reviewers, may be subject to additional restrictions as established in these policies and procedures.

9 ESPCC Policy & Procedure Manual Page 8 ESPCC Composition Policy Number: 103 Approved By: Changes Must be Authorized By: APSE Board of Directors APSE Board of Directors Date Revised: May 9, 2011 Composition The Employment Support Professional Certification Council (ESPCC) is composed of 9 voting members and 1 non-voting, ex-officio member: Position Number Selected By Voting Status Chair 1 ESPCC Voting Vice-Chair 1 ESPCC Voting Public Member 1 ESPCC Voting State Delegate Committee Appointee 1 State Delegate Committee Voting At-large stakeholder representatives 3 ESPCC Voting APSE Board Liaison 1 APSE Board Non-Voting APSE Foundation Board Liaison 1 APSE Foundation Board Non-Voting Other representatives APSE, including the APSE Executive Director, may attend ESPCC meetings from time to time as needed to facilitate discussion and communication. Individuals who are not members of the ESPCC and who are directly involved in the development of training courses and/or materials or in the presentation of educational offerings may not participate in or observe exam development activities (including item writing and item review) that would result in knowledge of the examination content that is not publicly available. These individuals will not attend any Council meetings, or participate in any discussions, that involve exam content or other confidential certification information. Terms ESPCC members are selected for 3 year terms. Terms of initial Council members will be staggered so that approximately one third of the terms are scheduled to end each year. Terms will begin on the last day of the annual APSE national conference.

10 ESPCC Policy & Procedure Manual Page 9 ESPCC Selection Policy Number: 104 Approved By: Changes Must be Authorized By: APSE Board of Directors APSE Board of Directors Date Approved: May 9, 2011 Date Revised: At-Large Council Members The ESPCC At-Large Council member positions are selected using the following process: The Certification Director is responsible for soliciting and screening qualified candidates for vacant, voting ESPCC member positions. The ESPCC Chair is responsible for presenting an appropriate slate of candidates to the ESPCC for election. The ESPCC will seek a diverse, qualified group of Council members and will consider relevant factors that may include, but are not limited to, each candidate s geographic location, area of practice, educational background, and employment experience. At-large Council member positions will represent a variety of stakeholder groups, which may include: mental health, TACE VR, MIG, trainers/educators, direct service providers and others. Beginning in 2012 (once the certification program has been launched and a sufficient number of individuals have been certified) at least 1 Council member will hold the CESP designation. By 2015, when the initial Council member terms have expired, at least 3 of the 5 voting Council members will be CESP certified. The requirement for at least 3 CESP certified voting members will continued after 2015 as well. Nominations are accepted by the ESPCC from any CESP certified individual in good standing. Selfnominations are encouraged. The Certification Director provides an initial screening of interested candidates to ensure they meet the qualifications of the position they are seeking. The ESPCC Chair reviews the nominations of qualified individuals and creates a slate of qualified candidates for any scheduled vacancies. The ESPCC members then elect members by ballot. Public Member The Public Member is appointed by the ESPCC Chair, with approval of the ESPCC. The ESPCC will review candidates to ensure they meet the Public Member qualifications established below. APSE Board Appointee, APSE Foundation Board Appointee, and State Delegate Committee Appointee The APSE Board Appointee, APSE Foundation Board Appointee, and State Delegate Appointee are selected by the APSE Board, APSE Foundation Board and State Delegate Committee respectively using

11 ESPCC Policy & Procedure Manual Page 10 a process determined by each board. Each appointee will meet all qualifications for an ESPCC member as listed below. Qualifications ESPCC members will have appropriate education, experience, training or other qualifications. Employees of APSE are not eligible for ESPCC membership (except for the non-voting, ex-officio position described above). By the end of 2012 at least one Council member will be CESP certified. Beginning in 2015 at least 3 voting Council members will be CESP certified. Current ESPCC members will not be eligible to serve on the APSE Board of Directors or APSE Foundation Board of Directors during their term of service on the ESPCC. The ESPCC Public Member is appointed to represent the direct and indirect users of CESP certificants services and to effectively advocate for their interests. The Public Member has the same privileges and authority, and is expected to perform the same duties as those of all other voting ESPCC members. The Public Member will meet the criteria established in the current National Commission for Certifying Agencies (NCCA) Standards for the Accreditation of Certification Programs. Officers An ESPCC Chair and Vice-Chair are elected by the voting ESPCC members from among the ESPCC members by a majority of the Council. The Vice-Chair position does not automatically transition to Chair. Each position is elected by the Council. Officer Duties The Chair presides at ESPCC meetings; approves the agenda for all ESPCC meetings; and performs other duties as appropriate for the Chair position. The Vice-Chair presides at meetings in the Chair s absence and performs other duties of the Chair s office in case of absence of the Chair, or when requested to do so by the Chair. Officer Terms Each Officer serves a 1 year term, and is eligible if re-elected by the ESPCC for consecutive terms in the same office until the end of his/her term as a Council member. Orientation All ESPCC members receive an appropriate orientation the beginning of their initial term. Orientation materials include a copy of the ESPCC Policy and Procedure Manual, relevant APSE policies and procedures, candidate handbook, application and recertification forms, ESPCC minutes for the previous 12 months, financial reports for the current year-to-date and previous year, and other materials as needed to provide adequate background information for the new member.

12 ESPCC Policy & Procedure Manual Page 11 Newly selected Council members will attend, as observers, the Council meeting at the annual conference prior to the start of their term for orientation purposes. Resignation, Vacancies, and Removal An ESPCC member may resign at any time by providing written notice to the Chair (or to the Certification Director in the case of the Chair s resignation). The written notice includes the effective date of the resignation. If no date is provided, the Chair determines the effective date. With the exception of the APSE Board Appointee, APSE Foundation Board Appointee, and State Delegate Appointee all other unscheduled vacancies are filled by appointment by the Chair, with approval of the Council, for the remainder of the term. Unscheduled vacancies in the APSE Board Appointee, APSE Foundation Board Appointee, and State Delegate Appointee positions will be filled by the entity that made the initial appointment for that position. An ESPCC member may be removed or suspended, for cause, by a 2/3 vote of the Council members at any regular or special meeting at which a quorum is present. Reasons for removal may include, but are not limited to: failure to perform the duties of the office, failure to attend meetings of the Council, failure to be prepared for or fully participate in Council meetings, or acting in a manner not in the best interest of the CESP certification program. Compensation Members of the ESPCC do not receive any compensation for their service except for reimbursement of reasonable expenses related to official Council meetings or activities.

13 ESPCC Policy & Procedure Manual Page 12 ESPCC Meetings Policy Number: 105 Approved By: Changes Must be Authorized By: APSE Board of Directors APSE Board of Directors Date Approved: May 9, 2011 Date Revised: Meetings The ESPCC holds at least 2 regular meetings each year. Special meetings of the ESPCC are called by the Chair or by a majority of the voting members, with appropriate notice to all members stating the purpose of the meeting. Meetings may be held in person or by other permitted means, including teleconference, web conference, or video conference, so long as all Council members in attendance can participate and be heard, and a quorum is present. Quorum and Voting A majority of the voting ESPCC members constitute a quorum at any meeting. Proxy voting is not permitted. Any action taken by the majority of the voting Council members is considered to be an act of the ESPCC. In the absence of a scheduled meeting, the Council may resolve matters via vote. votes are 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. votes must be unanimous to be considered as an act of the Council. In addition, issues resolved via vote must be reported at the next regular or special meeting of the Council. Meeting Notices Council members receive notice of regularly scheduled or special meetings at least 20 days in advance. When necessary to respond to a time sensitive issue, a meeting may be scheduled with less advance notice if the officers of the Council unanimously consent to waive the normal meeting notice requirements. Meetings called for the purpose of removing a Council member are not subject to waiver of the

14 ESPCC Policy & Procedure Manual Page 13 normal meeting notice requirements. Agendas The Certification Director will distribute meeting agendas at least one week in advance of any regular or special meeting. Any Council member may recommend items for the agenda. With the approval of the Chair, meeting agendas may be updated and/or revised as needed after distribution. The Chair will approve meeting agendas before they are distributed. Meeting agendas may be sent via 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. Minutes The Certification Director will attend all meetings of the Council and will ensure the official minutes of the meetings are recorded. 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 Council. Minutes are not required to include all discussion or background information presented to the Council. The Certification Director is responsible for distribution of meeting minutes within 2 weeks following each meeting and will be distributed to all members of the Council. Meeting minutes will be retained according to the requirements of the record retention policy.

15 ESPCC Policy & Procedure Manual Page 14 Confidentiality Policy Number: 106 Approved By: ESPCC Date Approved: October 28, 2011 Date Revised: Confidentiality The ESPCC is committed to protecting confidential and/or proprietary information related to applicants; candidates; certificants; and the CESP examination development, maintenance, and administration process. The confidentiality policy applies to all APSE/ESPCC employees, ESPCC members, committee members, consultants, and other individuals who are permitted access to confidential information. Information about applicant /certificants and their examination results is considered confidential. Exam scores will be released only to the individual candidate unless a signed release is provided. Personal information submitted by applicant /certificants with an application or recertification application is considered confidential. Personal information retained within the applicant /certificant database will be kept confidential. ESPCC members will not disclose confidential information related to or discussed during ESPCC meetings. This includes any verbal or written information identified as a confidential matter. Information related to the development, administration and maintenance of the examination is considered confidential. Confidential materials include, but are not limited to: an individual s application status, personal applicant /certificant information, exam development documentation (including role delineation study reports, technical reports, and cut score studies), exam items and answers, exam forms, and individual exam scores. The ESPCC will not disclose confidential applicant /certificant information unless authorized in writing by the individual or as required by law. The names of CESP certified individuals are not considered confidential and may be published by the ESPCC and/or APSE. 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 applicants /certificants will contain no information identifiable with any applicant, unless authorized in writing by the applicant.

16 ESPCC Policy & Procedure Manual Page 15 Confidentiality Agreements Applicants for certification will be required to read and acknowledge a confidentiality statement as part of the application process. Before beginning his or her term of office each ESPCC member shall sign a confidentiality agreement stating that he/she will not disclose any confidential information. If a question is raised as to the confidentiality of certain information, confidentiality will be determined by Certification Director. Individuals who participate in examination development activities (including, but not limited to, item writing, item review, exam form assembly, exam for review) will sign additional confidentiality and non-disclosure forms prior to having access to any confidential examination materials. Confidential Materials All confidential materials will be retained in a secure manner as required by the security policy. ESPCC 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 are destroyed as directed by the Certification Director. 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 certification program. Access will be granted in compliance with the provisions of the security policy.

17 ESPCC Policy & Procedure Manual Page 16 Conflicts of Interest Policy Number: 107 Approved By: ESPCC Date Approved: October 28, 2011 Date Revised: 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 CESP certification program before personal benefits. The ESPCC supports operational, administrative, and examination related policies that are free from actual, potential, or perceived conflicts of interest by APSE employees, subcontractors, and those in elected, appointed, or volunteer positions. Each ESPCC member will agree fully and promptly to disclose to the ESPCC and the Certification Director any existing or potential conflict of interest the Council member may have, of either a personal, professional, business or financial nature and will refrain from participation in any decision on such matter. This includes avoiding potential and actual conflicts of interest, as well as perceptions of conflicts of interest. No Council member shall derive any personal profit or gain from his or her participation in the ESPCC. Members of the Council will disclose all other Boards that they are a member of and any changes of employment during their service on the ESPCC.

18 ESPCC Policy & Procedure Manual Page 17 Committees Policy Number: 108 Approved By: ESPCC Date Approved: October 28, 2011 Date Revised: Establishing Committees The ESPCC may establish and appoint members to committees, sub-committees, working groups, and/or task forces (herein after referred to as committees) as needed to perform the work of the certification program. Such committees may include, but are not limited to, an appeals committee, nominating committee, item writing committees, etc. Authority Committees will function in an advisory capacity to the ESPCC and will follow all ESPCC policies and procedures. The ESPCC may dissolve or restructure any committee. Composition, Selection & Terms Committee members and committee Chairs are appointed by the Chair of the ESPCC, with the approval of the ESPCC. Committee members are appointed for 1 year terms and may be reappointed for additional terms. To the extent reasonably possible, committee composition will reflect the diversity of CESP certificants. Geographic representation, specialty/practice area, populations served, and experience level will be considered. The ESPCC Chair will appoint one ESPCC member to each committee to function as a communications liaison between the committee and the ESPCC. Committees will have a minimum of three members. There is no mandatory limit on the maximum number of committee members, but in appointing the committee members the ESPCC will consider the anticipated workload of the committee and the need for the committee to be able to work efficiently. The Certification Director will function as a non-voting, ex-officio member of all committees.

19 ESPCC Policy & Procedure Manual Page 18 Qualifications With the exception of any public members appointed to a committee, all committee members will be CESP certified in good standing and will be APSE members in good standing (effective January 1, 2014). Failure to maintain APSE membership or CESP certification status may result in loss of an appointed committee position.

20 ESPCC Policy & Procedure Manual Page 19 Organizational Structure Policy #: 109 Approved By: APSE Board of Directors Approval Date: Feb. 13, 2012 Revision Date(s): The following diagram represents the organizational structure of the certification program: APSE Board of Directors APSE Foundation Board of Directors Certification Board (NACI) Subject Matter Experts / Ad Hoc Committees Director

21 ESPCC Policy & Procedure Manual Page 20 Financial Management Policy #: 110 Approved By: APSE Board of Directors ESPCC Approval Date: February 13, 2012 (APSE Board); February 24, 2012 (ESPCC) Revision Date(s): The ESPCC shall have sufficient and adequate resources to conduct effective and thorough certification and recertification program activities. The revenue and income generated by the certification program will be used to support such certification and recertification activities, as well as ESPCC operations. Any revenue and income in excess of the ESPCC s annual expenses and costs, excluding all ESPCC reserve funds and restricted donations, will be retained by APSE. ESPCC may designate reserve funds for the purpose of adequately funding examination development activities or other significant expenses directly related to the ongoing function of the certification programs. For example, a reserve fund may be designated to ensure adequate funding for periodic role delineation studies as this cost would not normally be covered in the annual budget, but should be anticipated and planned for in advance. A portion of revenues from the certification program should be reserved to cover these planned future expenses as they occur. The ESPCC cannot take on any debt or liability without APSE Board approval. The APSE Board may not withhold or approve funding for the certification program in a manner that will prevent the ESPCC from making independent decisions regarding the certification program. For example, the APSE Board may not influence decisions regarding CESP eligibility requirements, recertification requirements, examination development and administration, examination passing scores, or other essential certification decisions. Compensation Council members will not be compensated for their services. Expense Reimbursement Council members will be reimbursed for reasonable travel expenses related to attendance at Commission meetings. ESPCC will follow APSE policy for the reimbursement of travel expenses. Covered expenses for Council members include: reasonable coach-class, roundtrip airfare (or mileage at the currently reimbursed rate); ground transportation; lodging; parking; and reasonable meal expenses and gratuities for required meetings and other travel.

22 ESPCC Policy & Procedure Manual Page 21 Council members are expected to utilize the lowest cost travel arrangements available within reasonable limits. Budget The ESPCC will review an annual operating budget for the certification program and will ensure that the budget provides adequate financial resources to conduct effective certification and recertification activities. Once approved by the ESPCC, the budget will be sent to the APSE Board for review and approval. Establishment of appropriate fees for testing, retesting, and recertification will be proposed as part of the budget process. The ESPCC and certification director will ensure that the certification program operates within the approved budget. The certification director and ESPCC work together to ensure that the approved budget is followed and provide periodic reports to the APSE Board as needed. APSE will ensure that the certification director has full access to the financial records of the organization for the purposes of monitoring the budget and financial activities of the certification program. Cancellations and Refunds Certification application and recertification fees are generally nonrefundable except as allowed by the exam cancellation/rescheduling policy. A processing fee may be applied to any refunds made. Accounting Procedures ESPCC and the certification director will follow all established APSE accounting/financial policies and procedures.

23 ESPCC Policy & Procedure Manual Page 22 ESPCC Certification Director Policy #: 111 Approved By: APSE Board of Directors ESPCC Approval Date: February 13, 2012 (APSE Board); February 24, 2012 (ESPCC) Revision Date(s): APSE will employ a qualified individual to manage the day to day operation of the certification program under the oversight of the ESPCC. The ESPCC Director will be responsible for daily certification program operations management, providing administrative support to the ESPCC, and for implementing policy decisions made by the ESPCC. The Director will be responsible for: 1. Providing routine updates to the ESPCC and APSE Board regarding certification activities including: Updates at each ESPCC meeting Written and verbal reports to the APSE Executive Director & APSE Board at each monthly meeting Annual report to the APSE Executive Director, APSE Board, ESPCC and APSE membership Supervising and managing the daily operations of the certification program Establishing and implementing a marketing plan, branding, and communication plan to promote initial certification and retention efforts 2. Supporting the ESPCC s responsibility to propose a budget for the operation of the certification program to the APSE Board of Directors by: Preparing a budget for the ESPCC s review and recommendation to APSE Monitoring ongoing compliance with the approved budget Providing regular budget updates to the ESPCC, APSE Executive Director, and APSE 3. Overseeing the certification program s finances within the established budget and financial policy by: Monitoring monthly financial reporting from APSE for certification related revenues and expenses Communicating regularly with APSE bookkeeping staff Complying with appropriate financial controls and audit requirements 4. Implementing all policies, strategic plans, and directives of the ESPCC

24 ESPCC Policy & Procedure Manual Page Selecting and/or supervising any employees or consultants tasked to work on the certification program. The Director may utilize administrative support services from other APSE departments as needed to process application/recertification fees, maintain the applicant/certificant database, complete bookkeeping tasks, and other administrative tasks as needed. 6. Overseeing all communication with candidates and certificants including maintaining a candidate handbook, application forms, and up-to-date web site content 7. Maintaining a database of certificants including, but not limited to, application information, certification examination and recertification dates, exam scores, etc. 8. Providing compliance oversight by: Monitoring and ensuring compliance with certification program accreditation standards Ensuring reporting compliance for grants and federal funding Ensuring maintenance of all certification files and records. 9. Serving as a non-voting ex-offico member of the ESPCC and its subcommittees and/or task forces 10. Developing and distributing meeting materials and other documentation to the ESPCC 11. Other duties as assigned by the ESPCC The ESPCC Chair will conduct an annual review of the Director s performance. Results of the evaluation will be shared with the APSE Board of Directors. Personnel issues related to the administration of the certification program should be reported by the ESPCC to the APSE Executive Director. The ESPCC has the authority to approve Executive Director hiring decisions made by APSE to ensure that the certification program is appropriately administered by qualified staff. The ESPCC does not have the authority to dismiss APSE/ESPCC employees, but may request that staff members be reassigned if they are unable to meet the needs of the certification program.

25 ESPCC Policy & Procedure Manual Page 24 Sub-Contracting Policy #: 112 Approved By: ESPCC Approval Date: February 24, 2012 Revision Date(s): The services of consultants, vendors, and other contractors (herein after referred to as subcontractors ) described in this policy refer to work subcontracted by the ESPCC to an external organization, company, or person under a written agreement. The term subcontracting in this policy describes situations in which substantive work is conducted by an individual, company, or organization other than APSE. This policy does not apply to employees of APSE or to vendor relationships for the purchase of equipment, supplies, maintenance services, etc. Contracts The ESPCC may retain the services of subcontractors as needed to conduct the operations of the certification program in compliance with APSE policies and procedures and within the approved operational budget. These services may include psychometric consultation, examination security or administration consultation, accreditation compliance consultation, and other similar services. The ESPCC will be responsible for determining the need for a subcontractor and for selecting qualified subcontractors. Legal contracts for subcontractor services will be reviewed upon the recommendation of the certification director. Contracts will be approved and signed by APSE in accordance with APSE policies and procedures. All subcontractors must sign confidentiality and conflict of interest forms or must provide these provisions in their contract. Provisions for monitoring and evaluating the work performed by the subcontractor will be included in the contract. Essential certification decisions, including, but not limited to eligibility requirements, recertification policies, and establishing the examination passing point(s), cannot be delegated to any subcontractor. The ESPCC is responsible for any subcontracted work.

26 ESPCC Policy & Procedure Manual Page 25 Purpose & Scope Policy Number: 113 Approved By: ESPCC Date Approved: March 30, 2012 Date Revised: Definition of sponsorship contracts A sponsorship is a mutually beneficial exchange whereby the sponsor receives acknowledgements in recognition in return for cash or goods or services-in-kind provided to the ESPCC. The relationship requires a formal written agreement or confirmation setting out the terms of the sponsorship, including the nature of the recognition to be provided to the sponsor, and must be signed by an authorized member of the sponsor and by the ESPCC Director, or designee. Tax receipts are not issued to sponsors. Sponsorships are usually considered business expenses and not charitable donations. They are typically funded from corporate marketing budgets or through corporate foundations or corporate sponsorship programs. Sponsorships must comply with the ESPCC s policy on conflict of interest. ESPCC reserves the right to refuse or decline any offer of sponsorship at its absolute discretion or to negotiate with the sponsor concerning any aspect of a proposed sponsorship. Sponsorships do not imply endorsement of products or services by the ESPCC. A sponsorship does not automatically imply any exclusive arrangement with the ESPCC. The ESPCC in concert with the APSE Board is responsible for determining whether a sponsorship will be solicited and/or accepted based on an assessment of the best interests of the ESPCC and the CESP certification program. The ESPCC may refuse any sponsorship deemed at variance with the ESPCC's mission, goals, policies, and best interests. It is important that any sponsorship arrangement involving ESPCC should: Be unambiguous and clearly understood by all parties; Avoid any real or perceived conflict of interest; Avoid real or implied endorsement of a commercial product; Avoid partnerships with inappropriate individuals and organizations; Receive appropriate approval (see below); and Be fully accountable to the ESPCC

27 ESPCC Policy & Procedure Manual Page 26 General Principles Governing Sponsorship: There must not be preferential treatment as a result of sponsorship, for example an expectation that a company will get favored treatment by ESPCC over a competitor. Where appropriate, sponsorship should be arranged after publicly calling for expressions of interest to ensure there is no disadvantage to any individual or business. Individual staff should not receive any substantial benefit from association with sponsors. Any commissions, substantial gifts or other financial benefits should be brought to the attention the ESPCC. ESPCC must retain control over any sponsored program or event and sponsors should not have any input into operational matters relating to a project or event they have sponsored. Who Can Be A Sponsor? Sponsorship arrangements will only be with individuals or companies held in high regard. Sponsorship should be avoided with any industries or organizations that have a real or perceived conflict of interest and do not support the mission and policies of ESPCC. The sponsoring organization s policies and procedures will be in concert with the mission of ESPCC and are not likely to cause embarrassment to the ESPCC. General Guidelines for Sponsorship Acknowledgement: In order to ensure editorial integrity, ESPCC has established the following principles that apply to sponsorship arrangements with ESPCC to guide the acceptance and display of sponsorship advertising in association with its content: 1. Logos and slogans provided by sponsors do not contain comparative or qualitative descriptions. 2. Sponsor acknowledgements may contain the address, telephone number, and web site URL of the sponsor. 3. The acknowledgement of the sponsor s products and services is value-neutral. 4. Brand or trade names may be used. 5. Product and service listing may be used. 6. All sponsorship or advertising shall comply with the laws and regulations of the United States, including the Food and Drug Administration (FDA). 7. ESPCC and APSE shall have sole discretion for determining sponsors and the display of sponsor advertising. All sponsored programs will be as acknowledged as such. 8. Acceptance of sponsorship acknowledgments shall in no way indicate ESPCC s endorsement of the sponsor s products and/or services. 9. ESPCC shall review all sponsorship and advertising claims to therapeutic benefit and reject any unsubstantiated claims. 10. ESPCC will not knowingly acknowledge any forms of products or services that are harmful to health. Is this inclusive enough,

28 ESPCC Policy & Procedure Manual Page Sponsors shall not dictate the form or substance of any content appearing on a sponsored program for ESPCC. 12. ESPCC shall be directly responsible for communicating and ensuring compliance of its sponsorship acknowledgement policy to all of its participants. 13. The ESPCC Sponsorship Policy will be available on the web site.

29 ESPCC Policy & Procedure Manual Page 28 Eligibility Requirements Policy Number: 200 Approved By: ESPCC Date Approved: October 28, 2011 Date Revised: Purpose ESPCC has developed requirements for eligibility to ensure that the application process is fair and impartial. Each eligibility requirement has been established to ensure that individuals certified by ESPCC have an acceptable level of knowledge as demonstrated by the exam requirements and skill as demonstrated by the experience requirement needed to provide employment support services at an entry level. In establishing these requirements the ESPCC acknowledges that a combination of both work experience and demonstrated knowledge are essential for Certified Employment Support Professionals (CESP). Rationale ESPCC is committed to providing a fair and objective certification process. All individuals who seek certification must meet the established eligibility requirements before taking the exam. Procedures Candidates for CESP certification must meet all eligibility requirements in effect at the time of their application for certification. Eligibility requirements will be published in the candidate handbook and will be readily available to applicants. Applicants for certification must meet all of the following requirements before they take the exam: 1. Education Requirement High school diploma, GED or equivalent 2. Experience Requirement Each applicant must meet one of the following requirements: a. 1 year of employment support professional (ESP) work experience as defined below, which may include up to a maximum of 3 months of internship or practicum time OR b. 9 months of ESP work experience with training component as defined below 3. Code of Conduct Each applicant must agree to and sign the Code of Conduct

30 ESPCC Policy & Procedure Manual Page 29 To earn the certification applicants must meet all of the eligibility requirements and pass the examination. Membership in APSE, or any other organization, is neither a requirement nor does it award any credit toward eligibility. Definitions: Work experience is defined as at least 20 hours per week of paid ESP related work. Work completed as part of an internship, practicum, or other on-the-job training may be counted up to the limits noted above. Work experience includes employment as a direct employment support professional, provision of direct employment services as an agency/company employee, and/or managerial or supervisory work in employment services. Experience in school-to-work transition environments providing employment services also qualifies as acceptable work experience. Training is defined as an internship or practicum of at least 2 months in length and/or successful completion of an intensive training course that includes at least 32 hours of ESP related course work. The content for acceptable training courses must be directly related to the CESP content outline. Acceptable training content is related to supported and customized employment as well as training relevant to providing employment and community based supports to people with disabilities. Examples of acceptable training content includes: specialized training to work with specific disability groups (i.e. autism or mental illness), training on small businesses development, American with Disabilities Act (ADA) training, benefits counseling, and strategies for job development. Training related to segregated employment services or services that are not widely considered to be best practices will not be accepted. Eligibility Review and Verification: Only completed applications for certification will be accepted. Incomplete applications will be returned to the applicant. ESPCC will randomly select 10% of applications each year for a verification audit. Applicants selected for audit must provide evidence that each eligibility requirement has been met. Applicants who fail to demonstrate that they meet all of the eligibility requirements will not be permitted to take the exam. In the case of individuals who have already taken the exam, failure to demonstrate compliance with all eligibility requirements may result in the revocation of the credential. Acceptable evidence includes a high school diploma or transcript, certificate of completion for training, written verification from a supervisor, etc. ESPCC will contact supervisors as needed to verify work, internship, and/or practicum experience.

31 ESPCC Policy & Procedure Manual Page 30 Eligibility Appeals: Applicants 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 ESPCC within 30 days of receipt of the eligibility decision. The ESPCC director will forward the notice to the Certification Council for review. The Certification Council will review the applicant s information and will make a final decision regarding eligibility. No new or additional information may be submitted with the appeal request. The eligibility appeal will be reviewed within 45 days for receipt. Written notice of the final decision will be sent to the applicant within 30 days of the review.

32 ESPCC Policy & Procedure Manual Page 31 Code of Conduct Policy Number: 201 Approved By: ESPCC Date Approved: October 28, 2011 Date Revised: Introduction The ESPCC Code of Conduct applies to each individual credentialed by the ESPCC as a Certified Employment Support Professional (CESP); and, each individual seeking ESPCC CESP certification (candidates or applicants). All applicants and certificants will agree to the ESPCC Code of Conduct (Code) as a condition of certification. 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 applicants and certificants. Purpose The Code of Conduct establishes the basic ethical standards for the professional behavior of ESPCC certificants and candidates. The Code is designed to provide both appropriate ethical practice guidelines and enforceable standards of conduct for all certificants and candidates. Code of Conduct The ESPCC supports appropriate, professional standards designed to serve the public, employees, employers, clients and the employment support profession. First and foremost, ESPCC certificants and candidates give priority to providing employment support services in a manner that promotes integrity and reflects positively on the profession, consistent with accepted moral, ethical, and legal standards. CESP certificants and candidates have the obligations to: maintain high standards of integrity and professional conduct; accept responsibility for their actions; continually seek to enhance their professional capabilities; practice with fairness and honesty; and, encourage others to act in a professional manner, consistent with the certification standards and responsibilities set forth below. Section 1: Adherence to Legal Requirements 1. Adhere to all laws, regulations, policies, and ethical standards that apply to the practice of providing employment support services and related activities.