Certification: yes or no?

Interest in competency recognition is growing in many sectors. Yet the experts advise careful evaluation before venturing into the realm of certification. Here are key issues to consider.

A definite trend exists today toward increased reliance on competency recognition by the public, employers, and government entities. It's unlikely that any of these forces will diminish in the near future. And that's where associations come in. Trade associations and professional societies often take the lead in developing certification programs as a means of competency recognition. And there is perhaps no more timely juncture to consider whether the need exists for such a program.

The Clinton administration is spearheading the creation of a national system of voluntary skill standards and certification. The U.S. Department of Labor has awarded grants to six associations for pilot projects to develop such standards. These grant recipients are the National Retail Federation, Uniform and Textile Service Association, and Council of Hotel, Restaurant, and Institutional Education, all in Washington, D.C.; National Electric Contractors Association, Bethesda, Maryland; National Tooling & Machinery Association, Fort Washington, Maryland; and American Electronics Association, Santa Clara, California.

The accelerated interest in competency recognition notwithstanding, launching a certification program can't be an overnight decision. Establishing a certification program requires painstaking analysis of such issues as member needs and preferences, marketing and publicity strategies, budgeting needs, exam development issues, and test-site considerations.

Motivating influences

Many certification programs evolve from an interest by the association volunteer leadership in establishing nationally recognized benchmarks of performance for the profession or industry. A well-developed certification program is one of the most important services that an association can provide to the public. It establishes an organization as an important standard-setting body that has defined competence in a particular discipline. It also provides an opportunity to members for recognition and professional development.

A certification program may also emerge as a preferable alternative to external regulation. If it appears as if some governmental authority may desire regulation focused on the individual, it may be preferable to institute self-regulation through a certification program.

A cooperative effort of the National Automobile Dealers Association, McLean, Virginia, and the Motor Vehicle Manufacturers Association, Washington, D.C., created the National Institute for Automotive Service Excellence (ASE) more than 20 years ago "to ward off the specter of government regulation in the form of mandatory licensing of technicians," according to an ASE training guide. Hearings in the Senate concerning consumer complaints about auto repair fraud motivated the two associations to conduct their own study, which found "that consumer automotive complaints did not stem as much from intentional fraud as from inadequate training and increasing vehicle complexity."

Other forces that lead to the creation of certification programs include threats of competition from related organizations and the natural interest of associations in developing additional membership services and revenue sources.

In considering a program, it's worthwhile to know a few caveats:

* Rival and competing certification programs have created great rifts and should be avoided if at all possible. Consolidating several existing programs into one that is broad-based may be more desirable than launching a new program. The entire field may benefit from consolidation of weaker programs, although it may take longer to gain support for this than for starting a new program. Consolidation has been successful when credentials already earned are recognized in the new program and no one is disenfranchised.

* A common mistake is to overestimate the financial benefits of a certification program. While these programs do generate revenue from application, examination, and record-maintenance fees, the National Organization for Competency Assurance (NOCA), a Washington, D.C.-based association of certifying organizations, has found that most programs take several years to break even and may still require financial support for years to come. While the occasional certification program generates more revenue than all other association services combined, no one familiar with the financial demands of these programs would call them "cash cows."

* Certification is too expensive and time-consuming to initiate without a thorough evaluation and risk analysis by the entire board and staff. Certification can't just be the latest hot idea of a few active members. Associations should not proceed with implementation plans until they have identified a current and future market for their credential. The investigation and study phase frequently lasts for several years; there is no advantage in trying to develop a program on a "fast track" unless an unusual regulatory or competitive environment exists.

* Because the proponents of certification are most often individuals in the forefront of a discipline, associations should consider another potential hurdle: The interest in certification may be significant in a small segment of the leadership but not broadly supported by the membership. That doesn't necessarily mean that the idea is a bad one but that it may need to be marketed aggressively.

Accommodating change

A certification program that emerges where none existed before changes the status quo. Change can be good for everyone at times, but it is essential to recognize that some forces will resist any kind of change and other forces will facilitate the change. Seasoned professionals with distinguished careers, for example, might claim credentialing serves no true purpose, given all that they have accomplished without it. Others might champion a new program because they view it as a way to lend additional credence and prestige to the field.

As a strategic issue, it is most important to identify both forces and work within the culture of the group to achieve the change in the status quo. To achieve the benefits you expect from a well-developed certification program, it's best to minimize trauma from the change.

A gradual, phased-in process that encourages considerable discussion and well-planned publicity works best. Laying a solid foundation that helps people understand the need for change greatly facilitates the launching of a certification program.

Weighing key issues

Starting up a certification program is a major decision for any association. The chief staff executive and volunteer leadership need to identify clear and justifiable goals before proceeding with an implementation plan. Once goals have been articulated, consultants or planning committees may be used to analyze and evaluate the pros and cons of starting a program.

In addition to the caveats examined earlier, consider the following issues during the preliminary investigation work.

* Recognition. How will the association's certification program recognize achievement of a specific level of competency distinct from the certificate or diploma offered at the successful completion of a training or educational program?

* Testing. Will the certification program require demonstration of skills and competencies through an examination process or some other method? Certification by examination is far more complex and time-consuming than many organizations realize. Planning for a high-quality, credible program requires specialized expertise in testing-program management. Many organizations employ consultants, testing companies, and legal counsel that specialize in credentialing issues to assist in the planning, implementation, and operational phases.

* Objectivity. If an examination will not be employed, the method for determining competency could become highly subjective. For example, if certification is awarded based on work experience, testimonials from employers or members of the group already certified, or a submitted portfolio, then objective measurement may be difficult to achieve. The more subjective the approach, the more likely the program will be viewed as arbitrary and susceptible to claims of discrimination. Everything should be done to start the program in the best possible position, and objective measures provide for a stronger defense.

* Consensus. Competency is difficult to define in some disciplines, and the success of any credential depends largely upon achieving some consensus on this issue.

* Budget. The more information you have on a program's needs--in such areas as development, marketing, publicity, testing services, and data maintenance--the better you'll be at determining a program budget. NOCA advises organizations to get several competing bids for testing services.

* Time. Time demands on volunteers and association staff are particularly significant in the development phases. Once operational, a credible certification program requires data maintenance and resources for ongoing promotion, review, testing administration, and so forth. An operational program can be outsourced to a testing agency or management firm; however, monitoring and evaluating will be required.

* Demand. Even after doing all of your homework, the demand for the credential may be less than anticipated because it's difficult to truly pin down demand in advance. This difficulty in getting feedback from potentially interested individuals is what makes marketing research so important, followed by planning. Future changes in the discipline and unexpected economic and political developments may also have a major impact on the long-term demand for the credential. When all is said and done, it's best to avoid the Field of Dreams mentality: "If we build it, they will come."

* Threat. Members may feel threatened by a certification program, even though they may support the philosophical concept. The level of anxiety increases in direct relationship to the value of the credential in the job market. This can be eased with educational, promotional, and other marketing efforts, but there will always be a certain level of resistance in almost any membership organization.

* Liability. Initiating a certification program will raise your organization's awareness of significant legal issues and may increase its legal liabilities and risks. Certification is essentially a means of discriminating between individuals who can and cannot demonstrate some form of competency.

Early in the planning and development stages of a program, a legal review is desirable for many aspects of certification, including contracts with consultants and testing companies, policies and procedures, appeals procedures, and promotional and candidate literature. Moreover, offering a certification program usually requires amendments to an organization's directors' and officers' liability insurance policies because standard-setting activities involve increased risk.

Due-process procedures must be developed correctly and implemented carefully. Legal challenges and complaints to the association are to be expected if due-process procedures are lacking, are perceived to be lacking, or are misapplied.

* Revocation. Integral to the integrity of a credential is the ability to revoke it for inappropriate conduct, incompetence, or other abuses of the privilege. A discipline policy should detail the grounds for forfeiting the credential.

Many organizations would rather not deal with this sensitive aspect of credentialing, but it's best to address this issue in the planning process. While a discipline policy is not required by law, the absence of one may diminish the credibility of a credential in the eyes of other organizations, the public, and those who use the services of your credentialed members, especially in the event of a controversy.

Imagine, for example, the outcry that would erupt if a credentialed professional committed a felony, the credential was not revoked, and 60 Minutes found out about it? While somewhat exaggerated, this example illustrates the backlash that can result in the absence of a discipline policy.

* Record keeping. Certification is an activity in which confidentiality is critical and mistakes may be costly. Confidential, meticulous, ongoing record keeping for each person who achieves certification is a must, as are accurate responses to inquiries about policies and procedures.

* Membership. Associations that offer certification may experience increased demand for educational programs, publications, and other membership services. This is a sensitive issue because certification and membership in an association are separate; associations should resist the temptation to link them.

Because membership is not a component of competency, it is illegal to require membership in an association as a prerequisite for certification. However, members and nonmembers can be charged different rates. And it is legal for a group of people who have a certain credential to form their own organization.

* Consultation. Some certification programs are so successful that they offer their testing, management, and consulting services to other organizations that are developing or maintaining programs.

Determining feasibility

Hand-in-hand with thinking through the pros and cons of launching a certification program is conducting a feasibility analysis, which seeks to determine whether such a program could succeed. Staff, the leadership of an organization, or an outside testing agency can conduct the analysis. Costs for the study depend, in part, on whether an outside source is used and if the survey is extensive.

Here are some of the key areas that should be addressed.

1. Does a well-defined market for a certification program exist? What is the future of this market? Can you accurately count the number of members and nonmembers who are likely to be interested in your program? Will this number increase or decrease over time? Can the program sustain itself?

2. Are the goals of your proposed certification program clear, valid, and accepted by the volunteer leadership and staff?

3. Is the association leadership committed to developing a high-quality program, and is it willing to commit the necessary staff and financial resources?

4. What is the priority of certification compared to other services? What potential impact will a certification program have on other association activities?

5. Is there consensus about the definition of competency in your association and in the field?

6. What staff and volunteer group or individuals are assigned to study and possibly implement a certification program? Is it a blue-ribbon group that constitutes the true leaders in the field?

7. Where will a certification program fit into the existing organizational structure? Should a separate organization be developed to manage the certification program? How will each of these options be viewed by competitors, employers, related organizations, and the public?

The relationship of the certification program to organizational structure merits special consideration because associations have goals that could potentially conflict with those of a certifying organization, which are to promote and encourage growth in a discipline without respect to an individual's membership status in any organization. Many associations therefore create an independent or quasi-independent body to operate the certification program or develop comprehensive bylaws to guard against potential conflict-of-interest situations.

8. Is the association willing to commit the necessary resources to adequately market a credential?

9. What is the definition of success for a credential? Market penetration, membership acceptance, public recognition, and achievement of financial goals are all potential criteria for measuring success.

10. Should you seek national accreditation for the credential? In contrast to certification, which evaluates individual competency, accreditation evaluates an organization or program of study.

11. What other organizations will endorse your credential? Will any organization challenge your credential?

Getting a consultant or testing company to assist your association in the feasibility study is a wise move. If the results of this study demonstrate that there is not a sufficient market to warrant developing the certification program, the board can consider this information well worth the invested time and money. A poor response to a new certification effort can lead to a costly decision to abandon the program.

Individuals responsible for making the final decision on creating a certification program need to read all they can about this issue, attend educational programs on certification topics, talk with testing companies and consultants, and contact their peers. The road to certification may indeed be long, but at least you'll know it's a journey worth making.

Editor's note: While the U.S. Department of Labor has no plans to fund any additional pilot programs, it does encourage associations to forward any information pertinent to the development of a national system of voluntary skill standards and certification.

For more information or to send materials, contact Michaela Meehan, leader of the skills standards team, U.S. Department of Labor, Employment and Training Administration, Washington, D.C. 20210, [phone]; fax: [phone].

HIGHLIGHTS

* VARIOUS FORCES drive the development of certification programs, such as government regulatory initiatives, threats of competition from related organizations, and leadership interest in establishing benchmarks of performance.

* CERTIFICATION is too expensive and time-consuming to initiate without a thorough evaluation and risk analysis.

* TO ACHIEVE THE BENEFITS expected from a well-developed certification program, minimize trauma from the change.

Where to Turn

Once your planning and feasibility process has given a green light to developing a certification program, you may want to turn to several sources for help with implementation.

Organizations

* National Organization for Competency Assurance (NOCA), 1200 19th St., N.W., Suite 300, Washington, DC 20036-2401; [phone]; fax: [phone]

NOCA is a national association of certifying organizations and associations interested in competency assessment issues. NOCA offers educational programs, an annual meeting, and publications (some are listed below). It also provides an accreditation service for agencies that meet applicable standards and criteria. NOCA offers a checklist for determining whether a certification program is ready for accreditation.

* Clearinghouse on Licensure, Enforcement and Regulation (CLEAR), Lexington Bldg., Suite 410, 201 W. Short St., Lexington, KY40507; [phone]; fax: [phone]

CLEAR is an association of individuals working in various levels in state licensing bodies. This organization offers an annual meeting, workshops, and publications on various topics related to licensure issues. Many licensure topics, such as examination questions, are similar to certification issues.

* ASAE, 1575 Eye St., N.W., Washington, DC 20005-1168

ASAE's Information Central can provide information on developing certification programs. Call [phone]; fax [phone]. ASAE also offers educational programs on various certification topics. Call [phone].

Resources

The following resources are available from ASAE's Association Management Press, [phone], fax: [phone], text telephone for people with hearing impairments: [phone].

* Certification and Accreditation Law Handbook, by Jerald A. Jacobs (ASAE, 1992), 194 pages, $100 for members, $150 for nonmembers

* "Codes of Ethics and Other Industry Self-Regulation Programs" (ASAE executive briefing, 1988), $6 for members, $12 for nonmembers

* Self-Regulation, Accreditation, Certification, and Standardization (ASAE background kit, 1992), $24 for members, $48 for nonmembers

The following resources are also available:

* The Guide to National Professional Certification Programs, by Phillip A. Barnhart (Human Resource Development Press, 1994), 500 pages, $99.95, [phone]

* "Principles of Fairness: An Examining Guide for Credentialing Boards," (National Organization for Competency Assurance, 1993), 13 pages, individual copies free, [phone], fax: [phone]

* "Starting a Certification Program," by Larry Allan Early (National Organization for Competency Assurance, 1992), 30 pages, $28 for members, $35 for non-members, [phone], fax: [phone]

Aiming for Success

If an organization creates a certification program, what will determine its immediate and ongoing success? Several factors are involved.

* Is the credential widely recognized in the broader world? Thirty-two states recognize the certification standards of the National Athletic Trainers Association Board of Certification (NATABOC), Dallas, for regulatory purposes. Athletic trainers who want to be employed in professional football and baseball or who want to provide training to U.S. Olympic athletes have to be certified by NATABOC.

* A certification's reputation within its own discipline is also key: Is it a badge that recognizes performance and competence?

* Another benchmark of success is accreditation, which signifies that an organization or program has achieved certain qualifications or standards.

* Answering yes to the following questions also indicates that you're probably on the right track: Have most of the people that should achieve the certification achieved it? Has the certification protected the public?

Keeping pace. To make sure a certification program keeps pace with evolving issues,

* closely monitor the demographics of people being certified (survey the population at least every other year);

* continue to recruit top leaders in the field to the certification program; and

* make marketing an ongoing activity.

Michael S. Hamm, an account executive with Smith, Bucklin & Associates, Inc., Washington, D.C., is executive director of the National Organization for Competency, Assurance. Larry Allan Early is a Clearwater, Florida-based consultant for certification and testing programs.