ASTM E2659-2018 Standard Practice for Certificate Programs《证书计划的标准实施规程》.pdf

1、Designation: E2659 18 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 revision. A nu

2、mber 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 fo

3、r 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 pr

5、ograms in general, includingthose that issue certificates of participation or certificates ofattendance.1.5 This international standard was developed in accor-dance with internationally recognized principles on standard-ization established in the Decision on Principles for theDevelopment of Internat

6、ional Standards, Guides and Recom-mendations issued by the World Trade Organization TechnicalBarriers to Trade (TBT) Committee.2. Referenced Documents2.1 ANSI/IACET Standard:ANSI/IACET 1-2013 Standard for Continuing Educationand Training2,32.2 ANSI/ISO/IEC Standard:ANSI/ISO/IEC 17024:2012 Conformity

7、 AssessmentGeneral Requirements for Bodies Operating Certificationof Persons4,53. Terminology3.1 Definitions:3.1.1 For the purposes of this practice, the following apply.3.1.2 advisory group, ngroup responsible for advisingcertificate program management on creating and maintaining acertificate progr

8、am that is current, relevant, and valued.3.1.3 appeal, nwritten request made to the certificateissuer for reconsideration of an adverse decision made by thecertificate issuer related to the certificate program3.1.4 assessment, ninstrument or method used to measurelearner attainment of intended learn

9、ing outcomes (includingbut not limited to oral or written tests, skill demonstrations,portfolios, or work products).3.1.5 certificate, ndocument (letter, card, or other me-dium) awarded to certificate holders that designates the suc-cessful completion of a certificate programs requisites.3.1.6 certi

10、ficate holder, nindividual who has been issued acertificate after successfully meeting a certificate programsrequisites.3.1.7 certificate issuer, nlegal business entity or govern-ment agency, or operating unit thereof, that has ultimateresponsibility for administering a certificate program andissuin

11、g certificates to individuals successfully meeting certifi-cate program requisites.3.1.8 certificate program, nnondegree-granting educationor training program consisting of (1) a learning event or seriesof events designed to educate or train individuals to achievespecified learning outcomes within a

12、 defined scope, and (2) asystem designed to ensure individuals receive a certificate onlyafter verification of successful completion of all programrequisites including but not limited to an assessment of learnerattainment of intended learning outcomes.1This practice is under the jurisdiction of ASTM

13、 Committee E36 on Accredi-tation 4.1.2 Form the foundation for a recognition or accreditationsystem, or both, that enable consumers, employers, govern-ment agencies, and others who rely upon a skilled workforce todistinguish between qualified workers and those with fraudu-lent or less-than-quality c

14、redentials;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 certificat

15、es 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 used broa

16、dly 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 of activ

17、e 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 participates in a le

18、arning 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 assessmentof learner attainment

19、 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 hasmet established crite

20、ria 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 certifying bodyver

21、ifies 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 administered bythe

22、 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 have ongoing requir

23、ements 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 Structure and Admi

24、nistrationThe 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 agency.5.1.2 The ce

25、rtificate issuer shall be an appropriate andqualified issuer of the certificate.5.1.2.1 The certificate programs purpose, scope, and in-tended outcomes shall be consistent with the stated mission andwork of the certificate issuer.5.1.3 The certificate issuer shall have a clearly designatedauthority

26、charged to administer the certificate program andensure compliance with the provisions of this practice.5.1.4 Advisory GroupThe certificate issuer shall createand sustain an advisory group composed of and representingthe interests of the certificate programs primary stakeholders.5.1.4.1 The advisory

27、 group shall advise certificate programmanagement on issues integral to ensuring the certificate iscurrent, relevant, and valuable to its primary stakeholders.5.1.4.2 The advisory group shall have input into, atminimum, the certificate program (1) target audience, (2)purpose, (3) scope, (4) requisit

28、es, (5) term, (6) intendedlearning outcomes, and (7) instructional design plan.5.1.4.3 The advisory group shall convene to advise certifi-cate program management, at minimum, (1) when the elementsof 5.1.4.2 are initially created or when changes are proposed,and (2) when a program evaluation is condu

29、cted.5.2 Management SystemThe certificate issuer shall have amanagement system that is capable of supporting the consistentachievement of the requirements of this standard practice.5.2.1 Documentation:5.2.1.1 The certificate issuers certificate program manage-ment shall establish and document object

30、ives and policies forits certificate program activities.5.2.1.2 Policies (and procedures, where applicable) of thecertificate program shall be fair and equitable and comply withall applicable regulatory and statutory requirements and legalobligations.5.2.1.3 There shall be written policies outlined

31、to address, ata minimum, the following:(1) Advisory group composition and responsibilities;(2) Certificate program instructional design plan;(3) Certificate issuance and use;(4) Invalidating a certificate;(5) Complaints;(6) Appeals;(7) Privacy, confidentiality, and security;(8) Program commercial su

32、pport and disclosure;(9) Fees, cancellation, and refunds;(10) Nondiscrimination;(11) Personnel;(12) Outsourcing;(13) Records control;E2659 183(14) Document control;(15) Internal audit;(16) Management review; and(17) Corrective and preventive action.5.2.2 Document Control:5.2.2.1 The certificate issu

33、er shall have a process for docu-ment control that addresses the proper control of documentcreation, approval, revision and reapproval, distribution, andprevention of obsolete document use.5.2.3 Records Control:5.2.3.1 The certificate issuer shall have a process for recordscontrol that addresses whi

34、ch records are kept, by whom, forhow long, and how they are disposed.5.2.3.2 Records of certificates issued shall be maintained fora period of time beyond the term identified on the certificatesto allow stakeholders reasonable access to such records.5.2.3.3 If applicable, records of academic or cont

35、inuingeducation credits granted shall be maintained consistently withthe provisions specified by the agency administering the creditand any applicable national standards.5.2.4 Internal Audit:5.2.4.1 The internal audits shall be planned and conductedon a regular basis.5.2.4.2 The results of the audit

36、s shall be documented andcommunicated to certificate program management.5.2.5 Corrective and Preventive Action:5.2.5.1 The certificate issuer shall have a process for iden-tifying current or potential issues in its certificate programactivities and for managing corrective and preventive actions.5.2.

37、5.2 The certificate issuer shall identify the causes ofissues/potential issues and plan for their correction/prevention.5.2.5.3 Certificate program management shall approve andappropriate personnel shall implement corrective and preven-tive actions.5.2.5.4 The certificate issuer shall track correcti

38、ve andpreventive action progress and issue resolution.5.2.6 Management Review:5.2.6.1 The certificate issuer shall have a process for itscertificate program management to review the managementsystem to ensure continued suitability, adequacy, and effective-ness.5.2.6.2 These reviews shall be planned

39、and conducted on aregular basis.5.2.6.3 The input to the management review shall include,at minimum:(1) Results of internal audits;(2) Results of external audits, if available;(3) Status of corrective or preventive actions;(4) Results of contractor performance monitoring;(5) Results of program evalu

40、ation(s);(6) Complaints received;(7) Appeals received; and(8) Follow-up actions from previous management reviews.5.2.6.4 The output of the management review shall include,at minimum, decisions and, if applicable, actions related to thefollowing:(1) Improvement of the management system;(2) Improvemen

41、t of the certificate program activities; and(3) Resource needs.5.3 Personnel:5.3.1 Personnel shall be assigned to implement the certifi-cate program policies (and procedures, where applicable).5.3.2 The certificate issuer shall communicate current poli-cies (and procedures, where applicable) to rele

42、vant personneland provide training as needed.5.3.3 The certificate issuer shall have sufficient personnel toconduct certificate program activities properly.5.3.4 The certificate issuer shall define the qualifications forpersonnel involved in certificate program activities.5.3.5 Personnel shall be qu

43、alified for their assigned roles onthe basis of appropriate education, training, or experience, orcombination thereof.5.3.6 The certificate issuer shall evaluate on an ongoingbasis the qualifications of personnel to perform assigned roles.Training and development plans shall be implemented wheredefi

44、ciencies are found.5.4 Financial ManagementThe certificate issuer shalldemonstrate responsible financial management and have suffi-cient financial resources to conduct certificate program activi-ties properly.5.4.1 Formal financial reports shall provide evidence offinancial stability.5.4.1.1 Where c

45、ertificate programs are one element of acertificate issuers activities, the certificate program financesshall be a clear and identifiable component of overall reports.NOTE 1The financial reports should provide evidence that thecertificate issuer can sustain the certificate program in conformance wit

46、hthe requirements of this practice for a reasonable amount of time.5.4.1.2 Written procedures shall exist for proper financialcontrols.5.5 Communication to Primary StakeholdersThe certifi-cate issuer shall demonstrate responsible and timely commu-nications to primary stakeholders of the certificate

47、program.5.5.1 The certificate issuer shall publish (or make availableto primary stakeholders) the following information in advanceof the program:(1) Certificate program purpose, scope, and intended learn-ing outcomes;(2) Description of the requisites to earn the certificate;(3) Qualifications of ins

48、tructional personnel;(4) Fees, deadlines, cancellation, and refund policies;(5) Statement about what inferences can appropriately bemade regarding certificate holders;(6) Information collected by the certificate issuer that istreated as confidential and the conditions for disclosure ofinformation to

49、 parties other than the individuals providing it orthe certificate issuer;(7) If applicable, academic or continuing education creditearned, specified in the terms outlined by the credit-approvingentity;(8) If applicable, commercial support disclosure;(9) If applicable, any changes to the certificate programpurpose, scope, intended learning outcomes, requisites, and theeffective date of the changes; andE2659 184(10) If applicable, special requirements for participation(such as technology equipment or skills).5.5.2 The certificate issuer shall represent the certifica