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Guide For ANSI-CFP Standards Operational Policies And Procedures

PUBLIC GUIDANCE CFP-GI-801 Issued: 2009-5-13, Revision: 0


References Conference for Food Protection - Standards for Accreditation of Food Protection Manager Certification Programs, Rev 8/4/2008
Contents
1Objective
1.1Objective of this document is to provide guidance on ANSI/CFP standards operational policies and procedures.
2Definitions
None.
3Guidance Template
StandardClarification of Standard
Information that may be required on an Application
Examples of Documentation Evaluation MethodologyData included in Annual Report
Paper ReviewOn Site
2.0 Purpose of Certification Organizations
2.1Statement of purpose.
Certification organization can be a program within a larger organization.
See definition (sec. 1.7) Certification is often part of a larger organization, the larger organization may have other purposes other than certification.
Bylaws, articles of incorporation, policies/operating manual/proceduresYesNot RoutinelyApplicable changes in documents
2.2Demonstration to individuals, employers and public (including regulatory agencies and consumers) of how organization fulfills its responsibility.Purpose/ mission statement, structure, services providedYesYes, interview with sample stakeholders based on objective documentation.Changes only
2.3Evidence that organization does not accredit Food Protection Manager Certification Programs nor has a conflict of interest with accreditor. Documentation of any affiliation with ANSI YesNot RoutinelyChanges only
3.0 Structure and Resources of Certification Organizations
3.1Incorporation as legal entityArticles of incorporation, state certification of incorporationYesNot RoutinelyChanges only
3.2Demonstration of independence of certification program from any related organization in regard to the development of certification standards and the exams. “Compromising the certification program” might include issues such as confidentiality, decision-making, finances and relationships with parent organization that might negatively affect the certification program. Certification organizations may have relationships with parent organizations, but the burden of proof is on the certification agency to demonstrate that their decision/operations are not compromised as a result of these relationships. Bylaws, articles of incorporation, policy operating manual that describes the working relationship of all relevant organizations to the certification organization. Working relationship is defined as the financial relationship, decision making, or appointment authority as it relates to the certification organization. YesNot RoutinelyChanges only
3.3Standard does permit certification organization to offer educational programs, but certification organization must demonstrate distinct separation of the two functions. This Standard requires that the certification agency demonstrates a distinct separation between certification activities and any training activities that the agency may conduct. This includes training programs that are developed or operated by the certification agency and also includes training activities/materials developed by others that the certification might sell or re-sell. Bylaws, articles of incorporation, policy operating manual of all relevant org., organizational charts, staff assignments and financial information. Financial arrangements between certification agency and other agencies regarding training program and materials. YesYes, staff and administration interviews based on objective documentation. Changes only
3.4(a) Financial

(b) Staff resources

(a) budget for current and previous year including audited financial statement for the previous year, financial policies and procedures manual. Financial statements may be audited by internal financial staff or consultants.
(b) Staff cv's, job descriptions, time allocations, organizational chart, consulting contracts
YesYes, staff and administration interviews based on objective documentation and interviews with consultants/consultants’ billing. Examination of financial data will be limited to those aspects of the budget that can provide verification that the certification agency has the financial resources to operate the program as described.Audited financial statement for past year and budget for next year, changes in staff roles or staff changes
4.0 Food Safety Certification Examination Development
4.1Food safety certification exams. The Standard applies only those exams that are used to certify food protection managers or those with equivalent titles; they do not apply to all the food safety examinations given by an agency.See 4.2 and 4.3YesNot RoutinelyChanges only
4.2Professional requirements/ability of certification organization to conduct or use job analysis, develop exams, maintain exam security, maintain and report data, utilize principles of fairness and due process. Staff qualification, consultant qualifications, contract with testing agencies, description of testing agencies
Test procedures, registration manual, anti-discrimination statement, documented due process/appeals process.
YesYes, look at use of existing technology and how it is used in examination process. Changes only
4.3Information about exam that is required for accreditation. Intent of Standard is that the number of items is sufficient to cover the domain and address item exposure issues. The intent of Standard is also to evaluate if the methodology used is reliable.Description of scope and use of exam, SME panels and job analysis (see documentation required in 4.2(a), 4.4, 4.5 and 4.6) committee participants and other participants and selection process Job analysis, test blueprint, explanation of job analysis method and relation to test blueprint, exam development procedures, cut score methodology studies and other research studies, exam and item performance analyses and summary statistics,YesYes, look at processes that are or used to create and analyze the exams.
Examination of item performance. Auditors should randomly review documentation related to all aspects of examination analysis. Random is not to be defined statistically. Prior to the on-site, the assessor will discuss with the certification agency how records will be selected
Only activities conducted since last report
4.4Job analysis and content validity. Focus of the Standard is on the Job Analysis, not content validity.Descriptions of SME panels and survey respondent demographics and selection, Yes Not RoutinelyOnly activities and information obtained since last report
4.5Job analysis KSA’sDescriptions of SME panels and survey respondent demographics and selection, other research in addition to job analysis, job analysis reportYes Not RoutinelyOnly new information
4.6Exam specs must be appropriate to all aspects of the food service and retail food industry. Exam specs must be available to the candidate and the public. See 4.3, 4.5, candidate handbook and other public information about the exam. YesNot RoutinelyOnly new information
4.7Participants in job analysis and participants in exam development processes (to include, if appropriate, contracted test provider records).List of participants, SME and test committee members and their qualifications, demographic descriptorsYesNot Routinely
4.8Schedule for conducting job analysisJob analysis schedules, plans for making sure information is current, rationale for maximum length of use of the job analysis. Documentation to demonstrate how you are systematically evaluating practices in the industry and conduct.YesNot Routinely
4.9Use of a single job analysis if developedNot applicable at this timen/an/a
4.10Evidence of compliance with Standards for Educational and Psychological Testing, ADA, non- discrimination Acts. The intent of this Standard is to look at the process the organization uses to attempt compliance with the joint standards. Other federal requirements are intended to address treatment of candidates regarding access to exams and legal protections and other exam development issues.List of documents reviewed, procedures for complying with relevant standards and federal regulations, list of Complaints received and resolution process and outcomes for non complianceYesNot Routinely, unless history of complaints against certification agencyChanges only, Complaints received and resolution process and outcomes
4.11Competencies assessed are required for entry-level practice. End user includes industry representatives, certified food protection managers, employers and consumers.Job analysis, test blueprint, summary of industry review commentsYesYes: interview industry reps and other end users of the certification programDescription of how currency of Competencies is being determined
4.12Test item equivalency across exam administrationsTest agency documentation of equivalency tests methodology and findingsYesNot Routinely, unless questions from review of documentationNo, unless new studies undertaken
4.13Assessments other than paper and pencil maintain reliability, valid and equivalence. The focus of this Standard is on content equivalency and language equivalency not statistical equivalency.Description of alternative exam mechanisms Documentation of reliability, validity and equivalence studies, along with study findingsYesNot Routinley, unless questions from review of documentation
4.14Test item translation into other languages. The focus of this Standard is on content equivalency and language equivalency not statistical equivalency. Translation may include items or forms.Translation methodology including procedures used to determine validity, reliability and equivalenceYesNot Routinley, unless questions from review of documentation
4.15Log of individuals participating in test development process. Log will include names, demographic data, including work setting, years of work, ethnicity, gender, geographic region, qualifications and role in test development process.
Submit description of categories included in log and diaries.
YesYes, look at actual logs and diaries. Determine if information is congruent with summary data provided.
4.16Exam and score securityCertification agency and test agency operational manuals, lists of procedures, contract with test agency, and test site managers stipulating responsibility for security and how addressed. Complaints received and resolution process and outcomes. Certification Bodies to provide as much documentation up front as possible and then have assessors verify on siteYesYes, What security procedures are in place. Have policies and procedures up front and then on site assure that procedures are implemented.Changes only
4.17Standard relates to candidate performance on the examination.
Data should be submitted for each examination form.
Certifying organization will collect and analyze this data every six months. However, the data will be submitted annually. Certification agency must report how they analyze this information and the procedures they follow in correcting any problems that have been identified.
Describe the operating procedures for correcting a problem that has been identified by the statistics reported.
(Relates to Standard 8.2 d and h)
Detailed in standardYesNot RoutinelyYes one annual submission but data will be reported in six month interval.
4.18Exam administration procedures, as detailed in the standard. Policy and procedures for use of “readers”. Test registration materials, proctor qualification specs, proctor selection and training materials, test administration manual (outlined in standard).

Complaints received and resolution process and outcomes.
YesYes, interviews with sample of proctors, readers and test takersChanges only
4.19Refers to circumstances when on-site foreign language interpreters are used in testing.Policy manual outlining criteria for test interpretation, policy regarding interpreter qualifications, application manuals, test manualsYesYes, Interview with interpreters and staffChanges and any incidents that have occurred.
5.0 Food Safety Certification Examination Administration
5.1Maintain security of exam during administrationsCertification agency and test agency operational manuals, lists of procedures, contract with test agency and test site managers stipulating responsibility for security and how addressed. Proctor training manuals. Complaints received and resolution process and outcomes.YesInterview of sample of proctors and test takers.
There is no requirement to visit a testing site but assessor may do so if so indicated. In this case, the certification agency should be notified in advance.
Changes only
5.2Test security. If educators/trainers participate in item development they should not see an exam form or the entire item bank.Certification agency and test agency operational manuals, lists of procedures, contract with test agency and test site managers stipulating responsibility for security and how addressed. Proctor training manuals which includes a section of use of educators/trainers. Complaints received and resolution process and outcomes. Other evidence that integrity is maintainedYesSee 5.1 Yes
Conduct interviews to be sure that procedure is being followed and corrective action taken if it is not.
There is no requirement to visit a testing site but assessor may do so if so indicated. In this case, the certification agency should be notified in advance
Changes only
5.3Trainers/educators serving as proctors and test administrators. If trainers/educators are serving as test administrators, then the certification agency must create a new test form every three months. A new test form is defined as a form containing at least 30% of new items.Documentation on item bank size, procedure for rotation of examination forms, and documentation that the procedures were followed. YesYesWhat alternative exam forms were used, and when they were used?
5.4Test security under ADA modification. This Standard only applies in instances where readers are used to provide ADA accommodations. It does not apply to other ADA accommodations such as extended time, large print, etc.Procedures for determining conflict of interest and written non disclosure statement from any individuals assisting candidates under ADAYesYes
Look at ADA accommodation files.
Examples: requests for accommodations, verification of disability, accommodations made
Changes only
5.5Handling breaches in test securityContract with test agency and test site managers, operations manual, exam admin manual, proctor training materials, examples of reported breaches and how handled. list of complaintsYesNot RoutinelyChanges in policies and procedures. report of any security breaches during past year and how handled
5.6Test administration manualCopy of test administration manualYesNot RoutinelyChanges only, or new manual if reprinted yearly
5.7Security of test packing and shippingTest administration manual, contract with testing agencyYesYes, observe shipping, receiving and storage procedures if feasible. Conduct interviews with test administrator.Changes only
5.8Test administration and proctor duties and responsibilitiesTest administration manual, contract with test agency and test site manager, admin and proctor training materials, and schedules. Qualifications and employment criteria. Qualifications of individuals currently performing these functionsYesYes, look at random files to determine if personnel are appropriately qualified to assure standardized, secure exam admin, and fair and equitable treatment of examinees.Changes only and schedule of training events held during year
5.9Test administrator duties. See definitions in Section of 1 of Standards.YesYes, Interview individuals who have served as test administrators.Changes only
5.10Monitor/proctor duties
See definitions in Section of 1 of Standards.
YesYes, Interview individuals who have served as test administrators.Changes only
5.11Monitor/proctor/administrator ratios required. This Standard applies not just to a test agency but to any formal agreement with a test administrator. Certification agencies are expected to provide their policies and/or contracts regarding this ratio. They are not expected to supply the actual ratio used in every test administrationYesNot RoutinelyChanges only
5.12Test site requirementsContract with test agency and site managers. Complaints received and resolution process and outcomes.YesYes if unusual sitesChanges only
5.13Test site requirementsContract with test agency and site managers. Complaints received and resolution process and outcomes.YesYes if unusual sitesChanges only
5.14Exam scheduling. Intent of this Standard is test security is not compromised due to last minute scheduling of test administrations. Examples: Faxing exam forms due to time constraintsExam schedules for current or previous year, registration materials. Complaints received and resolution process and outcomesYesNot RoutinelySchedules to be submitted yearly
5.15Scoring and reporting requirements Test agency and site manager contracts, policies and procedure and test administration manuals. Complaints received and resolution process and outcomesYesYes, based on documentation provided or demonstration.Changes only
5.16Scoring procedures Scoring will be done only by means authorized by the certifying organization
and approved by the accrediting
Test agency contracts, registration materials, policies and procedure manual and test administration manual. Complaints received and resolution process and outcomes.YesNot RoutinelyChanges only
5.17Release of scores
Food safety certification examination scores will not be released as being official until verified and approved by the certifying organization. The intent is the certification body will define its procedures for verifying and approving scores.
Test agency contracts, registration materials, policies and procedure manual and test admin manual. Complaints received and resolution process and outcomesYesYesChanges only
5.18Examinee scores will be confidential and will be available only to the examinee and persons and organizations approved in writing by the examinee. Polices and procedures should document how the standard is implemented.Test agency contracts, registration materials, policies and procedure manual and test admin manual. Complaints received and resolution process and outcomesYesYes
Examination of release authorizations against scores released. Interview staff responsible for release of scores to determine how it is done. Determine what types of requests are received, and from whom.
Changes only
5.19Timelines for making scores available to candidates. The intent of this Standard is the test score has to be accessible within 15 days. The certification body need not proved that the candidate received the score only that the certification body made it available to the candidate. The Standard does not specify how the score is to be made available to the candidate.Test agency contracts, registration materials, policies and procedure manual and test admin manual. Complaints received and resolution process and outcomes and resolution and outcomesYesNot RoutinelyChanges, list of testing administration dates and score release dates for past year
6.0 Computer-Based Test Development and Administration
6.1Computer-based testing. Test agency contracts, test specifications (including algorithms), policies and procedures manual, test administration manualYesNot RoutinelyChanges only
6.2Item suitability to computer delivery.
Format refers to how the item appears on the computer screen. Example: Font size. Item types are to be tested for suitability. Not every item needs to be tested.
Test agency contracts, test specifications (including algorithms) policies and procedures manual, test administration manualYesNot RoutinelyChanges only
6.3Computer-generated exam forms. “Item overexposure” may be defined by the certification agency or may be assessor judgment if no formal definition exists.Test agency contracts, test specifications (including algorithms) policies and procedures manual, test administration manualYesNot RoutinelyChanges only
6.4Computer-based testing administration. This Standard only applies where different CAT vendors administrator the same examination. In this case, a formal statistical study is not required.Test agency contracts, test specifications (including algorithms) policies and procedures manual, test administration manualYesNot RoutinelyChanges only
6.5Computer trainingSample tutorials and course descriptions, registration manualYesNot RoutinelyUpdate training conducted
6.6Data to determine comparability of timed/untimed administrations and comparability of scoring procedures
Some food protection manager examinations using paper and pencil examinations are untimed exams. This Standard applies to instances where seat time allotment for computer administrator exam causes an untimed exam to then become a timed exam. In these cases, the certification agency must evaluate the implications of moving from an untimed to a timed exam.
Reports of research conducted, test agency contract, policies and procedures manualYesNot RoutinelyChanges only
6.7Test security. Where food protection examinations are administered through a contracted vendor the certification agency contract must define clear expectations for the vendor.Test agency and site managers contracts. Description of how security is maintained, Complaints received and resolution process and outcomesYesYesChanges only, Complaints received and resolution process and outcomes in past year
6.8Test securityTest agency and site managers contracts. Description of how security is maintained, Complaints received and resolution process and outcomesYesYesChanges only, Complaints received and resolution process and outcomes in past year
6.9Re-coding and retention of item sequencePolicies and procedures manual, test agency contract, responsibility of vendor to track this information, if applicableYesNot RoutinelyChanges only
6.10Technical and operational problems
Document capability to recover test taker data in the event of a computer failure. Document policies and procedures for recovery in emergency situations to include addressing the related needs of candidates affected
Test agency and site manager contracts, test administration manuals, registration and candidate information materials. Complaints received and resolution process and outcomes.Yes Yes
Demonstration of capability to recover test taker data. Demonstrate how it can be verified. Agencies would not be required to “crash” their systems.
List of technical and operational problems and how resolved
6.11Due process/candidate information
Examples might include: use of practice exercises to ensure proficiency in use of computers. Other factors shared with candidates may include information such as the computer will shut off after a time period and non-computer literate candidates may be better off taking a paper and pencil test.
Test administration manuals, registration and candidate information materials. Complaints received and resolution process and outcomesYesNot RoutinelyNew manuals etc. Complaints received and resolution process and outcomes in past year
7.0 Certification Organizations Responsibilities to Candidates and the Public
7.1Information to candidates. Procedures to ensure that candidates are not discriminated against due to age, sex, religion, ethnic origin, disability or marital statues, other sections of 7.1 covered in other standards. Provide non-discrimination statement and policy and procedures for monitoring and enforcing the non-discrimination statement.
Registration materials, application forms, if appropriate, candidate education and marketing materials, policies and procedure manual, test administration manual.
YesNot RoutinelyNew Materials etc.
7.2Qualifications for initial certificationCertification standards, candidate application forms if appropriate, marketing and other information materials, agency publicationsYesNot RoutinelyNew materials
7.3Certificate information. Certification Certificate must include the following information: exam form recognized by the accrediting organization, date the exam taken/date certificate issued, length of time the certificate is valid. Sample certificate issued by agencyYesNot RoutinelyChanges only
7.4Replacement certificatesSample replacement certificate with expiration identified.YesNot RoutinelyChanges only
7.5Disciplinary procedures. Certification agency must have a policy regarding revocation of certification and a process for informing candidates of the policy.Code of ethics, ethics policies and procedures manual, description on how complaints are filed and adjudicated. YesNot RoutinelyChanges in procedures, current members of ethics board, number of Complaints received and resolution process and outcomes and findings over past year
7.6Continuing proficiency. Standard requires that candidate take an examination to renew certification; however they may renew their certification from any other certification agency. The examination taken for renewal must measure continued minimum competency.Standards and procedures for a continued proficiency programYesYes. Verify by random sampling to determine if there are certificates greater than five years that the agency considers valid.Changes, continued-proficiency opportunities offered each year
7.7Registry and information to public about certification program and meaning of mark. Standard requires that the agency clearly convey the meaning of its Mark and its use. This might include providing information on what the person holding the certification may be allowed able to do.Description of registry information and how it is maintained and accessed, web site information, public information marketing materials.YesYes,
examine registry and how it is maintained, information distributed to public
Changes in procedures, update registry demographics, new public information materials
7.8Complaints against certification program. The term “users” in this Standard applies all stakeholders, not just certification candidates or certification holders.Operating manual, candidate application, test registration materials, Complaints received and resolution process and outcomes.YesYes, if high number of complaintsChanges in manual, Complaints received and resolution process and outcomes and how resolved over past year.
7.9Refers to CFP recognition program with Buros InstituteNot Applicable N/AN/AN/A
8.0 Certification Organization Responsibilities to the Accrediting Organization
8.1Staff Contact and fiscal informationInformation already requested earlier in applicationN/AN/ABudget to be submitted annually, contact info updated
8.2Summary of information to be provided to ANSI-CFPSee documentation required in sections 4 and 5YesSee sect 4 and 5See sect 4 and 5
8.3Responsibilities to ANSI-CFPAll agency publications, revised manuals, organizational charts, budgets, research studies, including member/industry surveys.
New application, including resubmission of all documents outlined in sect 1 to 7 above every five years
YesNot RoutinelyAdvise of changes in agency structure, operations, testing procedures, standards that occurred during past year and any contemplated changes. This should include information regarding the procedures to be used in collecting information regarding the change, rationale, timelines
8.4Refers to inequitable treatment/non-discrimination against certification candidates. Candidate issues have been addressed earlier in the application. Non discrimination documents and materials submitted under sections 4 and 5 especially 4.10, and test taker complaintsYesStaff interviews if history of test-taker complaintsChanges in documents, report on any Complaints received and resolution process and outcomes in past year and how they were resolved

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