ANSI ASTM E2659 (RL)-2017 Standard Practice for Certificate Programs.pdf

1、Designation: E2659 15E2659 17 An American National StandardStandard Practice forCertificate Programs1This standard is issued under the fixed designation E2659; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revisi

2、on. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This practice provides guidance to certificate issuers for developing and administering quality certificate programs and tostakeh

3、olders for determining the quality of certificate programs.1.2 This practice includes requirements for both the entity issuing the certificate and requirements for the specific certificateprograms for which it issues certificates.1.3 This practice provides the foundation for the recognition or accre

4、ditation, or both, of a specific entity to issue a specificcertificate or certificates to individuals after successful completion of a certificate program.1.4 This practice does not address guidance pertaining to certification of individuals nor does it address guidance pertaining toeducation or tra

5、ining programs in general, including those that issue certificates of participation or certificates of attendance.2. Referenced Documents2.1 ANSI/IACET Standard:ANSI/IACET 1-2013 Standard for Continuing Education and Training2,32.2 ANSI/ISO/IEC Standard:ANSI/ISO/IEC 17024:2012 Conformity AssessmentG

6、eneral Requirements for Bodies Operating Certification of Persons4,53. Terminology3.1 Definitions:3.1.1 For the purposes of this practice, the following apply.3.1.2 appeal, nwritten request made to the certificate issuer by a primary stakeholder for reconsideration of any adversedecision made by the

7、 certificate issuer related to the certificate program requisites or certificate program process.3.1.3 assessment, ninstrument or method used to measure learner attainment of intended learning outcomes (including but notlimited to oral or written tests, skill demonstrations, portfolios, or work prod

8、ucts).3.1.4 certificate, ndocument (letter, card, or other medium) awarded to certificate holders that designates the successfulcompletion of a certificate programs requisites.3.1.5 certificate holder, nindividual who has been issued a certificate after successfully meeting a certificate programsreq

9、uisites.3.1.6 certificate issuer, nlegal business entity or government agency, or operating unit thereof, that has ultimate responsibilityfor administering a certificate program and issuing certificates to individuals successfully meeting certificate program requisites.3.1.7 certificate program, nno

10、ndegree-granting education or training program consisting of (1) a learning event or series ofevents designed to educate or train individuals to achieve specified learning outcomes within a defined scope, and (2) a system1 This practice is under the jurisdiction of ASTM Committee E36 on Accreditatio

11、n 4.1.2 Form the foundation for a recognition or accreditation system, or both, that enable consumers, employers, governmentagencies, and others who rely upon a skilled workforce to distinguish between qualified workers and those with fraudulent orless-than-quality credentials;4.1.3 Assist stakehold

12、ers in differentiating between certificate programs from personnel certification; and4.1.4 Assist stakeholders in differentiating certificate programs from other programs that confer certificates, including but notlimited to certificates of attendance or certificates of participation.4.2 Currently,

13、it is challenging to distinguish a certificate earned through the focused learning and assessment offered througha certificate program from one granted through other means. That a certificate is issued is not a distinguishing factor. The word“certificate” is used broadly as a document awarded to des

14、ignate the attainment or completion of something. An individual mightreceive a certificate from an education or training provider as verification of attendance at a learning event (often called a certificateof attendance) or receive a certificate as verification of active participation in a learning

15、 events learning experiences (often calleda certificate of participation). The distribution of a certificate, however, does not indicate that the education or training programcompleted was a certificate program. In a certificate program, an individual participates in a learning event or series of ev

16、entsdesigned to assist him or her in achieving specified learning outcomes within a defined scope; the individual receives a certificateonly after verification of successful completion of all program requisites including but not limited to an assessment of learnerattainment of intended learning outc

17、omes.4.3 It is also important to distinguish certificate programs from the certification of individuals. Certification is a process throughwhich a nongovernmental entity grants a time-limited recognition to an individual after verifying that he or she has met establishedcriteria for proficiency or c

18、ompetency, usually through an eligibility application and assessment. While certification eligibilitycriteria may specify a certain type or amount of education or training, the learning event(s) are not typically provided by thecertifying body. Instead, the certifying body verifies education or trai

19、ning and experience obtained elsewhere through anapplication process and administers a standardized assessment of current proficiency or competency.4.4 In contrast, in a certificate program the learning event(s) and the assessment(s) are both developed and administered by thecertificate issuer, and

20、there is an essential link between them. That is, the learning event(s) are designed to help participants achievelearning outcomes and the assessment is designed to evaluate the learners attainment of those intended learning outcomes.4.5 Also, certifications have ongoing requirements for maintaining

21、 proficiency/competency and can be revoked for not meetingthese ongoing requirements. In contrast, certificates do not have ongoing maintenance or renewal requirements and therefore,cannot be revoked.5. Requirements for Certificate Issuers5.1 Organizational Structure and AdministrationThe certificat

22、e issuer shall be structured and administered in such a way thatconfidence is given to stakeholders of its authority and qualifications to issue the certificate.5.1.1 The certificate issuer shall be, or reside within, a legal business entity or governmental agency.5.1.2 The certificate issuer shall

23、be an appropriate and qualified issuer of the certificate.5.1.2.1 The certificate programs purpose, scope, and intended outcomes are consistent with the stated mission and work of thecertificate issuer.5.1.3 The certificate issuer shall have a clearly designated authority charged to administer the c

24、ertificate program and ensurecompliance with the provisions of this practice.5.2 ManagementThe certificate issuer shall be responsibly and effectively managed and operated.5.2.1 Policies and procedures of the certificate program shall be fair and equitable and comply with all applicable regulatoryan

25、d statutory requirements and legal obligations.5.2.1.1 There shall be written policies and procedures outlined to address, at a minimum, the following:(1) Certificate program plan;(2) Records and document control;(3) Internal audit;(4) Certificate issuance and use;(5) Invalidating a certificate;(6)

26、Complaints and appeals;(7) Privacy, confidentiality, and security;(8) Program commercial support and disclosure;(9) Fees, cancellation, and refunds;(10) Compliance with the Americans with Disabilities Act; and(11) Nondiscrimination.5.2.1.2 Personnel shall be assigned to implement systematically and

27、effectively the policies and procedures within a frameworkthat is clearly defined and understood.E2659 1735.2.2 The certificate issuer shall have sufficient and qualified personnel to conduct certificate program activities properly.5.2.2.1 The certificate issuer shall define the qualifications for p

28、ersonnel involved in certificate program activities.5.2.2.2 Personnel shall be qualified for their assigned roles on the basis of appropriate education, training, or experience, orcombination thereof.5.2.2.3 The certificate issuer shall evaluate on an ongoing basis the qualifications of personnel to

29、 perform assigned roles.Training and development plans shall be implemented where deficiencies are found.5.2.3 The certificate issuer shall demonstrate responsible financial management and have sufficient financial resources toconduct certificate program activities properly.5.2.3.1 Formal financial

30、reports shall provide evidence of financial stability.(1) Where certificate programs are one element of a certificate issuers activities, the certificate program finances shall be aclear and identifiable component of overall reports.NOTE 1The financial reports should provide evidence that the certif

31、icate issuer can sustain the certificate program in conformance with therequirements of this practice for a reasonable amount of time.5.2.3.2 Written procedures shall exist for proper financial controls.5.2.4 The certificate issuer shall demonstrate responsible and timely communications to primary s

32、takeholders of the certificateprogram.5.2.4.1 The certificate issuer shall publish (or make available to primary stakeholders) the following information in advance ofthe program:(1) Certificate program purpose, scope, and intended learning outcomes;(2) Description of the requisites to earn the certi

33、ficate;(3) Special requirements for participation, if applicable (such as technology equipment or skills);(4) Qualifications of instructional personnel;(5) Fees, deadlines, cancellation, and refund policies;(6) Academic or continuing education credit earned, specified in the terms outlined by the cr

34、edit-approving entity;(7) Commercial support disclosure, if applicable;(8) Any changes to the certificate program purpose, scope, intended learning outcomes, requisites, and the effective date of thechanges; and(9) Statement about what inferences can appropriately be made regarding certificate holde

35、rs.5.2.4.2 The certificate issuer shall represent the certificate program and its purpose, scope, and intended learning outcomes inan accurate and responsible way.(1) The certificate issuer shall not state or in any way imply that certificate holders are certified, licensed, accredited, orregistered

36、 to engage in a specific occupation or profession.5.2.5 The certificate issuer shall hold ultimate responsibility for the certificate program and its activities.5.2.5.1 If a certificate issuer collaborates or contracts with other individuals or entities in the development or administration ofthe cer

37、tificate program, the responsibility for assurance of quality and conformance with these standards rests with the certificateissuer.(1) The certificate issuer shall have current contracts or agreements with collaborators and contractors that clearly specify theresponsibilities assigned and include p

38、rovisions to ensure confidentiality and prevent conflicts of interest.(2) The certificate issuer shall ensure each collaborator or contractor is qualified to carry out the responsibilities assigned andshall monitor on an ongoing basis the performance of collaborators or contractors in carrying out a

39、ssigned responsibilities inaccordance with documented policies and procedures and in compliance with the provisions of this practice.5.2.5.2 The decision to issue the certificate shall not be outsourced.5.2.5.3 In the case in which external financial support is received in whole or in part for the c

40、ertificate program, theresponsibility for assurance of quality and conformance with this practice rests with the certificate issuer and there shall bedocumentation that no undue influence has been created because of this financial support.5.3 Internal AuditThe certificate issuers policies and proced

41、ures for internal audits shall be understood and implemented byall relevant personnel.5.3.1 The internal audits shall be planned and performed on a regular basis, at least annually.5.3.2 The results of the audits, including deficiencies identified along with corrective and preventive actions, shall

42、becommunicated to certificate program management.5.3.3 Corrective and preventive actions shall be approved by certificate program management and implemented by appropriatepersonnel.5.4 Records and Document Control System(s)The certificate issuer shall have a system or systems for records and documen

43、tcontrol.5.4.1 The certificate issuer shall identify an individual or individuals responsible for overseeing the records and documentcontrol system or systems.E2659 1745.4.2 The certificate issuers records control policies and procedures shall be understood and implemented by all relevantpersonnel.5

44、.4.2.1 The records control policies and procedures shall address which records are kept, by whom, for how long, and how theyare disposed.5.4.2.2 Records of academic or continuing education credits granted shall be maintained consistently with the provisionsspecified by the agency administering the c

45、redit and any applicable national standards.5.4.2.3 Records of certificates issued shall be maintained for a period of time beyond the term of validity printed on thecertificates to allow stakeholders reasonable access to such records.5.4.2.4 The procedures shall enable learners and certificate hold

46、ers to receive verification and documentation, in an accurate andtimely manner, of their progress in or completion of the program, earning of academic or continuing education credits (ifapplicable), certificate issue date, and certificate term of validity.5.4.2.5 The procedures shall enable stakehol

47、ders to confirm, in an accurate and timely manner, the certificate term of validityfor individual certificate holders.5.4.3 The certificate issuers policies and procedures for maintaining the privacy of individuals and the confidential and securehandling of information and records shall be understoo

48、d and implemented by all relevant personnel.5.4.3.1 The certificate issuer shall reasonably respect and maintain the privacy of certificate program participants to the extentpossible while executing the certificate program process.5.4.3.2 The certificate issuer shall hold in confidence and handle in

49、 a secure manner any information of a confidential naturerelated to or obtained from certificate program participants, learning outcomes evaluation instruments, keys, results, and relatedmaterials.5.4.3.3 The certificate issuer shall publish (or make available to primary stakeholders) which information shall be treated asconfidential and the conditions for disclosure of information to parties other than the individual providing the information or thecertificate issuer.5.4.4 The certificate issuers policies and procedures for document control shall be understood a