Appendix IV: Certification Compliance Monitoring Policy
The N ABCEP Board of Directors ad op ts the follow ing Certification Com p liance Mon itoring Policy (Policy) to establish an ap p rop riate p rocess to m onitor certificant com p liance w ith the N ABCEP certification m ainten ance requ irem ents. Sp ecifically, this Policy exp lains the cond itions to be satisfied for con tinu ing certification, an d the p rocess for review ing com p lian ce w ith these cond itions in an ap p rop riate an d im p artial m anner. A certificant m u st su bm it inform ation con firm ing that he/ she p ossesses the occu p ational know led ge and skills necessary to p erform com p etently as a certified p ractitioner in the field of renew able an d su stain able energy. This Policy also is d esigned to confirm continu ing satisfactory w ork activit ies.
I. CERTIFICATION COMPLIAN CE METHOD S AN D REQUIREMEN TS.
In ord er to d em onstrate com p liance w ith the N ABCEP certification an d recertification p rocess, certificants m u st satisfy the follow ing requ irem ents d u ring each three (3) year Certification Period .
A. Certificant Ethics Reporting Requirements/ D isclosure of Complaint and Regulatory Matters .
As a cond ition of N ABCEP certification and recertification, the Ap p licant/ certificant m u st accep t, an d act consistent w ith, the N ABCEP Cod e of Ethics and Ethical Stand ard s of Cond u ct (Cod e of Ethics), an d related p olicies. In su p p ort of this certification requ irem ent, the Ap p licant/ certificant m u st rep ort to N ABCEP legal, d iscip linary, and sim ilar m atters that relate to their com p etence and ethical behavior.
Sp ecifically, w ithin sixty (60) d ays of receiving notice, the Ap p licant/ certificant m u st d isclose the follow ing m atters in w riting to N ABCEP:
1. Any charge, com p laint or conviction related to a crim inal m atter, or other cou rt m atter that involves a jail sentence (im p risonm ent);
2. Any com p laint or charge by a governm ent or other regu latory bod y, p rofession al association, or certifying organization;
3. A violation of any law , regu lation, or p olicy by a govern m ent or other regu latory bod y, p rofessional association, or certifying organization; or,
4. Any other cou rt or governm ental m atter or p roceed ing, related to his or her p rofessional p ractice or bu siness activities.
If the Ap p licant/ certificant fails to d isclose su ch inform ation to N ABCEP in a tim ely an d accu ra te m anner, N ABCEP m ay initiate an ethics d iscip linary com p laint p u rsu ant to the Ethics Case Proced u res. Su ch ethics com p laint m ay resu lt in the im p osition of sanction s, inclu d ing certification su sp en sion or revocation.
B. Complaint Communications from Interested Parties and Regulatory Authorities.
Consistent w ith the N ABCEP Cod e of Ethics, and other certification p olicies, N ABCEP w ill accep t, review , and resolve com m u nication s from the p u blic and regu latory au thorities alleging im p rop er cond u ct or in co m p etent p erform ance by an Ap p licant or certificant. Su ch com m u nications w ill contain th e inform ation necessary to evalu ate the Ap p licant’s/ certificant’s cond u ct or p erform ance u nd er the relevant N ABCEP p olicies.
II. CERTIFICATION COMPLIAN CE AN D MON ITORIN G PROCESS.
A. Certificant Ethics Reporting Review Procedure.
N ABCEP w ill review all Ap p licant an d certificant ethics rep orting an d d isclosu re d ocu m ents to d eterm ine w hether inform ation h as been su bm itted in a tim ely m anner, an d w hether the rep orted inform ati on m ay be su bject to review u nd er the Cod e of Ethics. In the event that the rep orted in form ation resu lts in the issu ance of an ethics com p laint by N ABCEP, the ethics m atter w ill be p rocessed p u rsu ant to the Ethics Case Proced u res.
© NABCEP 2014 Appendix IV – Certification Compliance Policy
When N ABCEP d eterm ines that an Ap p licant or certificant has acted contrary to the Cod e of Ethics, N ABCEP m ay issu e an y of the follow ing d iscip lin ary or rem ed ial action s: d enial and rejection of any certification or recertification ap p lication; sp ecific training, su p ervision, an d / or instru ction concerning p rofessional activities, or other ap p rop riate cond itions; p rivate or p u blic rep rim and and cen su re; certification p robation for a p eriod of u p to three (3) years; su sp ension of certification for a p eriod of no less than six (6) m onths, and no m ore than three (3) years; and / or, revocation of certification. Ethics Case Proced u res, Section E, 8.
B. Complaint Communications Review Procedure.
In ord er to su p p ort the Cod e of Ethics, an d to ad vise the p u blic and regu latory au thorities of N ABCEP’s p rofessional p ractice stand ard s, N ABCEP w ill p u blish th e cu rrent Cod e of Ethics on its Internet site. N ABCEP w ill review all com p laint com m u nications from the p u blic and regu latory au thorities alleging im p rop er cond u ct or incom p etent p erform an ce by an Ap p licant or certificant to d eterm ine if the m atter is su bject to review u nd er the Cod e of Ethics. In the event that the rep orted in form ation resu lts in the issu ance of an ethics com p laint by N ABCEP, the ethics m atter w ill be p rocessed p u rsu ant to the Ethics Case Proced u res.
If an ind ivid u al is fou n d to violate the Cod e of Ethics, N ABCEP m ay issu e any of the d iscip linary or rem ed ial actions d escribed in Policy Section II, B above.
© NABCEP 2014 Appendix V – Forms