ASTM E2659 - 17 Standard Practice for Certificate Programs.pdf

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1、Designation: E2659 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 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.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 AssessmentGeneral Requ

6、irements for Bodies Operating Certificationof 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 certificateissuer by a primary stakeholder for reconsideration of anyadverse decision made by the certificate

7、issuer related to thecertificate program requisites or certificate program process.3.1.3 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).3.1.4 cert

8、ificate, ndocument (letter, card, or other me-dium) awarded to certificate holders that designates the suc-cessful completion of a certificate programs requisites.3.1.5 certificate holder, nindividual who has been issued acertificate after successfully meeting a certificate programsrequisites.3.1.6

9、certificate 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.3.1.7 certificate program, nnondegree-grant

10、ing educationor 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 comp

11、letion of all programrequisites including but not limited to an assessment of learnerattainment of intended learning outcomes.3.1.8 certificate program plan, ndocumented plan bywhich the certificate issuer develops and administers thecertificate program, including the essential elements ofanalysis,

12、program design, development, implementation, andevaluation.3.1.9 certificate program process, nall activities by whichthe certificate issuer establishes that a person fulfills specifiedrequisites to earn the certificate, including but not limited toprerequisites (if applicable), completion of a lear

13、ning event orevents, the learner assessment(s), and the certificate decision.3.1.10 certificate program requisites, nspecific require-ments of the certificate program that certificate holders shall1This practice is under the jurisdiction of ASTM Committee E36 on Accredi-tation 4.1.2 Form the foundat

14、ion 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 credentials;4.1.3 Assist stakeholders in differentiating

15、 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 certificates ofparticipation.4.2 Currently, it is challenging to

16、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 broadly as a document awardedto designate the attainment or

17、 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 active participation in a learningevents learning experience

18、s (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 learning event or series of eventsdesigned to assist him

19、or her in achieving specified learningoutcomes within a defined scope; the individual receives acertificate only after verification of successful completion of allE2659 172program requisites including but not limited to an assessmentof learner attainment of intended learning outcomes.4.3 It is also

20、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 criteria for proficiency or competency, usuallythro

21、ugh 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 bodyverifies education or training and experience obt

22、ained 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 certificate issuer, and there is an essential

23、 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 requirements formaintaining proficiency/competency a

24、nd 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 AdministrationThe cer-tificate issuer shall be str

25、uctured 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 certificate issuer shall be an appropriate andqu

26、alified 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 designatedauthority charged to administer the certificate program anden

27、sure compliance with the provisions of this practice.5.2 ManagementThe certificate issuer shall be responsiblyand effectively managed and operated.5.2.1 Policies and procedures of the certificate programshall be fair and equitable and comply with all applicableregulatory and statutory requirements a

28、nd 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 use;(5) Invalidating a certificate;(6) Complaints and appeals;(7

29、) 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 systemati-cally and effectively the policies

30、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 define the qualificationsfor personnel involved in certificate pro

31、gram activities.5.2.2.2 Personnel shall be qualified for their assigned roleson the basis of appropriate education, training, or experience,or combination thereof.5.2.2.3 The certificate issuer shall evaluate on an ongoingbasis the qualifications of personnel to perform assigned roles.Training and d

32、evelopment plans shall be implemented wheredeficiencies are found.5.2.3 The certificate issuer shall demonstrate responsiblefinancial management and have sufficient financial resources toconduct certificate program activities properly.5.2.3.1 Formal financial reports shall provide evidence offinanci

33、al stability.(1) Where certificate programs are one element of a cer-tificate issuers activities, the certificate program finances shallbe a clear and identifiable component of overall reports.NOTE 1The financial reports should provide evidence that thecertificate issuer can sustain the certificate

34、program in conformance withthe requirements of this practice for a reasonable amount of time.5.2.3.2 Written procedures shall exist for proper financialcontrols.5.2.4 The certificate issuer shall demonstrate responsibleand timely communications to primary stakeholders of thecertificate program.5.2.4

35、.1 The certificate issuer shall publish (or make avail-able to primary stakeholders) the following information inadvance of the program:(1) Certificate program purpose, scope, and intended learn-ing outcomes;(2) Description of the requisites to earn the certificate;(3) Special requirements for parti

36、cipation, 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, speci-fied in the terms outlined by the credit-approving entity;(7) Commercial supp

37、ort disclosure, if applicable;(8) Any changes to the certificate program purpose, scope,intended learning outcomes, requisites, and the effective dateof the changes; and(9) Statement about what inferences can appropriately bemade regarding certificate holders.5.2.4.2 The certificate issuer shall rep

38、resent the certificateprogram and its purpose, scope, and intended learning out-comes in an accurate and responsible way.(1) The certificate issuer shall not state or in any way implythat certificate holders are certified, licensed, accredited, orregistered to engage in a specific occupation or prof

39、ession.E2659 1735.2.5 The certificate issuer shall hold ultimate responsibilityfor the certificate program and its activities.5.2.5.1 If a certificate issuer collaborates or contracts withother individuals or entities in the development or administra-tion of the certificate program, the responsibili

40、ty for assuranceof quality and conformance with these standards rests with thecertificate issuer.(1) The certificate issuer shall have current contracts oragreements with collaborators and contractors that clearlyspecify the responsibilities assigned and include provisions toensure confidentiality a

41、nd prevent conflicts of interest.(2) The certificate issuer shall ensure each collaborator orcontractor is qualified to carry out the responsibilities assignedand shall monitor on an ongoing basis the performance ofcollaborators or contractors in carrying out assigned responsi-bilities in accordance

42、 with documented policies and proceduresand in compliance with the provisions of this practice.5.2.5.2 The decision to issue the certificate shall not beoutsourced.5.2.5.3 In the case in which external financial support isreceived in whole or in part for the certificate program, theresponsibility fo

43、r assurance of quality and conformance withthis practice rests with the certificate issuer and there shall bedocumentation that no undue influence has been createdbecause of this financial support.5.3 Internal AuditThe certificate issuers policies andprocedures for internal audits shall be understoo

44、d and imple-mented by all relevant personnel.5.3.1 The internal audits shall be planned and performed ona regular basis, at least annually.5.3.2 The results of the audits, including deficiencies iden-tified along with corrective and preventive actions, shall becommunicated to certificate program man

45、agement.5.3.3 Corrective and preventive actions shall be approvedby certificate program management and implemented by ap-propriate personnel.5.4 Records and Document Control System(s)The certifi-cate issuer shall have a system or systems for records anddocument control.5.4.1 The certificate issuer s

46、hall identify an individual orindividuals responsible for overseeing the records and docu-ment control system or systems.5.4.2 The certificate issuers records control policies andprocedures shall be understood and implemented by all rel-evant personnel.5.4.2.1 The records control policies and proced

47、ures shalladdress which records are kept, by whom, for how long, andhow they are disposed.5.4.2.2 Records of academic or continuing education creditsgranted shall be maintained consistently with the provisionsspecified by the agency administering the credit and anyapplicable national standards.5.4.2

48、.3 Records of certificates issued shall be maintained fora period of time beyond the term of validity printed on thecertificates to allow stakeholders reasonable access to suchrecords.5.4.2.4 The procedures shall enable learners and certificateholders to receive verification and documentation, in an

49、 accu-rate and timely manner, of their progress in or completion ofthe program, earning of academic or continuing educationcredits (if applicable), certificate issue date, and certificate termof validity.5.4.2.5 The procedures shall enable stakeholders to confirm,in an accurate and timely manner, the certificate term ofvalidity for individual certificate holders.5.4.3 The certificate issuers policies and procedures formaintaining the privacy of individuals and the confidential andsecure handling of information and records shall be understoodand implemented by all