ASTM E2659-2009 Standard Practice for Certificate Programs.pdf

1、Designation: E 2659 09An American National StandardStandard Practice forCertificate Programs1This standard is issued under the fixed designation E 2659; the number immediately following the designation indicates the year oforiginal adoption or, in the case of revision, the year of last revision. A n

2、umber 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 fordeveloping and administering quality certificate programs andto stakeholders f

3、or determining the quality of certificateprograms.1.2 This practice includes requirements for both the entityissuing the certificate and requirements for the specific certifi-cate programs for which it issues certificates.1.3 This practice provides the foundation for the recognitionor accreditation

4、or both of a specific entity to issue a specificcertificate or certificates to individuals after successful comple-tion of a certificate program.1.4 This practice does not address guidance pertaining tocertification of individuals nor does it address guidance per-taining to education or training pro

5、grams in general, includingthose that issue certificates of participation or certificates ofattendance.2. Referenced Documents2.1 ANSI/IACET Standard:ANSI/IACET 1-2007 Standard for Continuing Educationand Training2,32.2 ANSI/ISO/IEC Standard:ANSI/ISO/IEC 17024:2003 Conformity AssessmentGeneral Requi

6、rements for Bodies Operating Certificationof Personnel4,53. Terminology3.1 DefinitionsFor the purposes of this practice, the fol-lowing apply.3.1.1 appeal, nwritten request made to the certificateissuer by a primary stakeholder for reconsideration of anyadverse decision made by the certificate issue

7、r related to thecertificate program requisites or certificate program process.3.1.2 assessment, ninstrument or method used to measurelearner attainment of intended learning outcomes (includingbut not limited to oral or written tests, skill demonstrations,portfolios, or work products).3.1.3 certifica

8、te, ndocument (letter, card, or other me-dium) awarded to certificate holders that designates the suc-cessful completion of a certificate programs requisites.3.1.4 certificate holder, nindividual who has been issueda certificate after successfully meeting a certificate programsrequisites.3.1.5 certi

9、ficate issuer, nlegal business entity or govern-ment agency, or operating unit thereof, that has ultimateresponsibility for administering a certificate program andissuing certificates to individuals successfully meeting certifi-cate program requisites.3.1.6 certificate program, nnondegree-granting e

10、ducationor training program consisting of (1) a learning event or seriesof events designed to educate or train individuals to achievespecified learning outcomes within a defined scope and (2) asystem designed to ensure individuals receive a certificate onlyafter verification of successful completion

11、 of all programrequisites including but not limited to an evaluation of learnerattainment of intended learning outcomes.3.1.7 certificate program process, nall activities by whichthe certificate issuer establishes that a person fulfills specifiedrequisites to earn the certificate, including but not

12、limited toprerequisites (if applicable), completion of a learning event orevents, evaluation of learner attainment of intended learningoutcomes, and the certificate decision.3.1.8 certificate program plan, ndocumented plan bywhich the certificate issuer develops and administers thecertificate progra

13、m, including the essential elements of analy-sis, program design, development, implementation, and evalu-ation.1This practice is under the jurisdiction of ASTM Committee E36 on Laboratoryand Inspection Agency Accreditation and is the direct responsibility of Subcommit-tee E36.30 on Personnel Certifi

14、cate Programs.Current edition approved April 1, 2009. Published April 2009.2Available from the International Association for Continuing Education andTraining, 1760 Old Meadow Rd., Suite 500, McLean, VA 22102.3The ANSI/IACET 1-2007 Standard for Continuing Education and Training is avaluable document

15、with detailed guidance for all providers of continuing educationand training. It provides a descriptive framework to assist organizations in adheringto quality practices for all types of continuing education and training programs. Incontrast, this Practice for Certificate Programs outlines a framewo

16、rk of quality forone specific type of program, the certificate program.4Available from American National Standards Institute (ANSI), 25 W. 43rd St.,4th Floor, New York, NY 10036, http:/www.ansi.org.5The ANSI/ISO/IEC 17024:2003 Conformity AssessmentGeneral Require-ment for Bodies Operating Certificat

17、ion of Personnel serves as a valuable Standarddocument providing a framework of quality for personnel certification programs. Incontrast, this Standard Practice for Certificate Programs serves as a framework ofquality for certificate programs.1Copyright ASTM International, 100 Barr Harbor Drive, PO

18、Box C700, West Conshohocken, PA 19428-2959, United States.3.1.9 certificate program requisites, nspecific require-ments of the certificate program that certificate holders shallmeet before being issued the certificate including but notlimited to the essential element of the evaluation of individuala

19、ttainment of intended learning outcomes.3.1.10 certificate program scope, nspecific range of com-petencies, procedures, actions, or processes covered by acertificate program.3.1.11 complaint, nrequest, other than an appeal, made toa certificate issuer for corrective action relating to the activities

20、of that issuer or regarding its certificate holders.3.1.12 confidentiality, nability to ensure that informationis accessible only to those authorized to have access.3.1.13 criterion-referenced method, napproach to deter-mining a passing standard for an assessment based on subjectmatter expert-identi

21、fied performance standards and not basedon the performance of other students.3.1.14 designation, ntitle or trademarked label that acertificate holder is granted to use.3.1.15 designation acronym, nabbreviated title, usuallythe acronym form of the designation, which a certificate holderis granted to

22、use.3.1.16 document control, nprocess addressing how docu-ments are created, approved, revised and reapproved, anddistributed and how obsolete document use is prevented.3.1.17 intended learning outcomes, nstatement of whatlearners are expected to know or be able to do as a result of thecertificate p

23、rograms learning event or program (recognizingthat actual learning outcomes may or may not be thoseintended).3.1.18 internal audit, nfirst-party review of the certificateissuers policies and procedures to ensure adherence to thispractices requirements.3.1.19 learning event, ncombination of learning

24、experi-ences designed to assess a learners understanding of content orhis/her ability to perform a skill or set of skills that satisfies aset of learning objectives/outcomes. This event can be accom-plished by any media sufficient to achieve the learning out-comes, including but not limited to, clas

25、sroom instruction,distance-learning course, blended-learning activities, confer-ences, and satellite transmissions. ANSI/IACET 1-20073.1.20 learning experience, nsingle instance of learningobtained during a learning event that demonstrates a specificlearning objective or learning outcome. This could

26、 includesolving a problem, completing a case study, completing a quiz,or applying a skill. ANSI/IACET 1-20073.1.21 oversight committee, ngroup of the certificate pro-grams primary stakeholders formed to develop, monitor, andapprove the certificate program plan.3.1.22 primary stakeholders, npersons,

27、groups, and/ororganizations for which the certificate program is targeted orfor which intended outcomes are directed or both.3.1.23 privacy, nability of individuals to control access tothemselves or information about themselves and thereby revealthemselves selectively.3.1.24 records control, nproces

28、s addressing which andhow records are kept, by whom, for how long, and how theyare disposed.3.1.25 stakeholder, nany person, group, or organizationwith an interest in, or who may be affected by, the certificateprogram.3.1.26 term of validity, nlength of time for which theissued certificate is consid

29、ered valid.3.1.27 training and education industry generally acceptedpractices, nthose practices that are regularly defined andcited in the training and education industry professionalliterature and standards.4. Significance and Use4.1 Certificate programs are typically offered by communitycolleges a

30、nd universities, government agencies, employers,independent for-profit training organizations, and professionaland trade associations. While quality guidelines do exist forcontinuing education and training providers in general (forexample, ANSI/IACET 1-2007) and for entities offering per-sonnel cert

31、ification programs (for example, ANSI/ISO/IEC17024:2003), currently, no quality guidelines exist specificallyto aid entities offering certificate programs. This practice aimsto change that and has been developed to:4.1.1 Provide certificate program developers and certificateissuers guidelines for qu

32、ality program development and admin-istration;4.1.2 Form the foundation for a recognition or accreditationsystem or both that enable consumers, employers, governmentagencies, and others who rely upon a skilled workforce todistinguish between qualified workers and those with fraudu-lent or less-than-

33、quality credentials;4.1.3 Assist stakeholders in differentiating between certifi-cate programs from personnel certification; and4.1.4 Assist stakeholders in differentiating certificate pro-grams from other programs that confer certificates, includingbut not limited to certificates of attendance or c

34、ertificates ofparticipation.4.2 Currently, it is challenging to distinguish a certificateearned through the focused learning and assessment offeredthrough a certificate program from one granted through othermeans. That a certificate is issued is not a distinguishing factor.The word “certificate” is

35、used broadly as a document awardedto designate the attainment or completion of something. Anindividual might receive a certificate from an education ortraining provider as verification of attendance at a learningevent (often called a certificate of attendance) or receive acertificate as verification

36、 of active participation in a learningevents learning experiences (often called a certificate ofparticipation). The distribution of a certificate, however, doesnot indicate that the education or training program completedwas a certificate program. In a certificate program, an indi-vidual participate

37、s in a learning event or series of eventsdesigned to assist him or her in achieving specified learningoutcomes within a defined scope; the individual receives acertificate only after verification of successful completion of allprogram requisites including but not limited to an evaluation oflearner a

38、ttainment of intended learning outcomes.4.3 It is also important to distinguish certificate programsfrom the certification of individuals. Certification is a processthrough which a nongovernmental entity grants a time-limitedrecognition to an individual after verifying that he or she hasE2659092met

39、established criteria for proficiency or competency, usuallythrough an eligibility application and assessment. While certi-fication eligibility criteria may specify a certain type or amountof education or training, the learning event(s) are not typicallyprovided by the certifying body. Instead, the c

40、ertifying bodyverifies education or training and experience obtained else-where through an application process and administers a stan-dardized 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 a

41、dministered bythe certificate issuer, and there is an essential link betweenthem. That is, the learning event(s) are designed to helpparticipants achieve learning outcomes and the assessment isdesigned to evaluate the learners attainment of those intendedlearning outcomes.4.5 Also, certifications ha

42、ve ongoing requirements formaintaining proficiency/competency and can be revoked fornot meeting these ongoing requirements. In contrast, certifi-cates do not have ongoing maintenance or renewal require-ments and therefore, cannot be revoked.5. Requirements for Certificate Issuers5.1 Organizational S

43、tructure and AdministrationThe cer-tificate issuer shall be structured and administered in such away that confidence is given to stakeholders of its authority andqualifications to issue the certificate.5.1.1 The certificate issuer shall be, or reside within, a legalbusiness entity or governmental ag

44、ency.5.1.2 The certificate issuer shall be an appropriate andqualified issuer of the certificate.5.1.2.1 The certificate programs purpose, scope, and in-tended outcomes are consistent with the stated mission andwork of the certificate issuer.5.1.3 The certificate issuer shall have a clearly designat

45、edauthority charged to administer the certificate program andensure compliance with the provisions of this practice.5.2 ManagementThe certificate issuer shall be responsi-bly and effectively managed and operated.5.2.1 Policies and procedures of the certificate programshall be fair and equitable and

46、comply with all applicableregulatory and statutory requirements and legal obligations.5.2.1.1 There shall be written policies and procedures out-lined to address, at a minimum, the following:(1) Certificate program plan;(2) Records and document control;(3) Internal audit;(4) Certificate issuance and

47、 use;(5) Invalidating a certificate;(6) 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 as

48、signed to implement systemati-cally and effectively the policies and procedures within aframework that is clearly defined and understood.5.2.2 The certificate issuer shall have sufficient and qualifiedpersonnel to conduct certificate program activities properly.5.2.2.1 The certificate issuer shall d

49、efine the qualificationsfor personnel involved in certificate program activities.5.2.2.2 Personnel shall be qualified for their assigned roleson the basis of appropriate education, training, and/or experi-ence.5.2.2.3 The certificate issuer shall evaluate on an ongoingbasis the qualifications of personnel to perform assigned roles.Training and development plans shall be implemented wheredeficiencies are found.5.2.3 The certificate issuer shall demonstrate responsiblefinancial management and have sufficient financial resources toconduct certifica