ASTM E2659-2009e1 Standard Practice for Certificate Programs《认证程序的标准实施规程》.pdf

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1、Designation: E2659 091An American National StandardStandard Practice forCertificate Programs1,2This 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

2、number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1NOTEEditorial corrections were made throughout in February 2010.1. Scope1.1 This practice provides guidance to certificate issuers fordeveloping a

3、nd administering quality certificate programs andto stakeholders for 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 pra

4、ctice provides the foundation for the recognitionor accreditation 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

5、 does it address guidance per-taining to education or training programs 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 Training3,42.2 ANSI/ISO/IEC S

6、tandard:ANSI/ISO/IEC 17024:2003 Conformity AssessmentGeneral Requirements for Bodies Operating Certificationof Personnel5,63. 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 re

7、consideration of anyadverse decision made by the certificate issuer 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,

8、skill demonstrations,portfolios, or work products).3.1.3 certificate, ndocument (letter, card, or other me-dium) awarded to certificate holders that designates the suc-cessful completion of a certificate programs requisites.3.1.4 certificate holder, nindividual who has been issueda certificate after

9、 successfully meeting a certificate programsrequisites.3.1.5 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 p

10、rogram requisites.3.1.6 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 defined scope, and (2) asystem designed to ensure individuals re

11、ceive a certificate onlyafter verification of successful completion of all programrequisites including but not limited to an assessment of learnerattainment of intended learning outcomes.3.1.7 certificate program plan, ndocumented plan bywhich the certificate issuer develops and administers thecerti

12、ficate program, including the essential elements of analy-sis, program design, development, implementation, and evalu-ation.3.1.8 certificate program process, nall activities by whichthe certificate issuer establishes that a person fulfills specifiedrequisites to earn the certificate, including but

13、not limited to1This practice is under the jurisdiction of ASTM Committee E36 on Accredi-tation 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

14、 workers and those with fraudu-lent or less-than-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, includingb

15、ut not limited to certificates of attendance or certificates 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

16、 distinguishing factor.The word“ certificate” is 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 at

17、tendance) or receive acertificate as verification 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

18、a certificate program, an indi-vidual participates 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 inclu

19、ding but not limited to an assessmentof learner attainment of intended learning outcomes.E2659 09124.3 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 a

20、n individual after verifying that he or she hasmet 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 typic

21、allyprovided by the certifying body. Instead, the certifying 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 eve

22、nt(s)and the assessment(s) are both developed and administered 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 in

23、tendedlearning outcomes.4.5 Also, certifications have 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. Requi

24、rements for Certificate Issuers5.1 Organizational Structure 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 resid

25、e within, a legalbusiness entity or governmental agency.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 T

26、he certificate issuer shall have a clearly designatedauthority 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

27、certificate programshall be fair and equitable and 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 cont

28、rol;(3) Internal audit;(4) Certificate issuance and 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(

29、11) Nondiscrimination.5.2.1.2 Personnel shall be assigned 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 activit

30、ies properly.5.2.2.1 The certificate issuer shall define 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, or experience,or combination thereof.5.2.2.3 The certifica

31、te 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

32、 toconduct certificate program activities properly.5.2.3.1 Formal financial reports shall provide evidence offinancial stability.(1) Where certificate programs are one element of acertificate issuers activities, the certificate program financesshall be a clear and identifiable component of overall r

33、eports.NOTE 1The financial reports should provide evidence that the certifi-cate 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 financialcontrols.5.2.4 The certificate i

34、ssuer shall demonstrate responsibleand timely communications to primary stakeholders of thecertificate program.5.2.4.1 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 inte

35、nded learn-ing outcomes;(2) Description of the requisites to earn the certificate;(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 con

36、tinuing education credit earned, speci-fied in the terms outlined by the credit-approving entity;(7) Commercial support 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 a

37、bout what inferences can appropriately bemade regarding certificate holders.5.2.4.2 The certificate issuer shall represent 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 implyt

38、hat certificate holders are certified, licensed, accredited, orregistered to engage in a specific occupation or profession.5.2.5 The certificate issuer shall hold ultimate responsibilityfor the certificate program and its activities.E2659 09135.2.5.1 If a certificate issuer collaborates or contracts

39、 withother individuals or entities in the development or administra-tion of the certificate program, the responsibility for assuranceof quality and conformance with these standards rests with thecertificate issuer.(1) The certificate issuer shall have current contracts oragreements with collaborator

40、s and contractors that clearlyspecify the responsibilities assigned and include provisions toensure confidentiality and 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

41、ongoing basis the performance ofcollaborators or contractors in carrying out assigned responsi-bilities in accordance 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

42、 in which external financial support isreceived in whole or in part for the certificate program, theresponsibility for 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 fina

43、ncial support.5.3 Internal AuditThe certificate issuers policies andprocedures for internal audits shall be understood 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 d

44、eficiencies iden-tified along with corrective and preventive actions, shall becommunicated to certificate program management.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)

45、The certifi-cate issuer shall have a system or systems for records anddocument control.5.4.1 The certificate issuer shall 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 andproc

46、edures shall be understood and implemented by all rel-evant personnel.5.4.2.1 The records control policies and procedures 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 consis

47、tently with the provisionsspecified by the agency administering the credit and anyapplicable national standards.5.4.2.3 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

48、.5.4.2.4 The procedures shall enable learners and certificateholders to receive verification and documentation, in an 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 certifi

49、cate 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 relevant personnel.5.4.3.1 The certificate issuer shall reasonably respect andmaintain the privacy of certificate program participants to theextent possible while executing the