ASTM E2659-2015 Standard Practice for Certificate Programs《认证项目的标准实践规程》.pdf

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1、Designation: E2659 091E2659 15 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 revis

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

3、eloping and administering quality certificate programs and tostakeholders 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

4、 This practice provides the foundation for the recognition or accreditation 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 indiv

5、iduals nor does it address guidance pertaining toeducation or training programs in general, including those that issue certificates of participation or certificates of attendance.2. Referenced Documents2.1 ANSI/IACET Standard:ANSI/IACET 1-2007 ANSI/IACET 1-2013 Standard for Continuing Education and

6、Training2,32.2 ANSI/ISO/IEC Standard:ANSI/ISO/IEC 17024:2003 ANSI/ISO/IEC 17024:2012 Conformity AssessmentGeneral Requirements for Bodies OperatingCertification of PersonnelPersons4,53. Terminology3.1 Definitions:3.1.1 For the purposes of this practice, the following apply.3.1.2 appeal, nwritten req

7、uest made to the certificate issuer by a primary stakeholder for reconsideration of any adversedecision made by the 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 l

8、earning outcomes (including but notlimited to oral or written tests, skill demonstrations, portfolios, or work products).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 cer

9、tificate holder, nindividual who has been issued a certificate after successfully meeting a certificate programsrequisites.3.1.6 certificate issuer, nlegal business entity or government agency, or operating unit thereof, that has ultimate responsibilityfor administering a certificate program and iss

10、uing certificates to individuals successfully meeting certificate program requisites.1 This practice is under the jurisdiction of ASTM Committee E36 on Accreditation 4.1.2 Form the foundation for a recognition or accreditation system or both that enable consumers, employers, governmentagencies, and

11、others who rely upon a skilled workforce to distinguish between qualified workers and those with fraudulent orless-than-quality credentials;4.1.3 Assist stakeholders in differentiating between certificate programs from personnel certification; and4.1.4 Assist stakeholders in differentiating certific

12、ate programs from other programs that confer certificates, including but notlimited to certificates of attendance or certificates of participation.4.2 Currently, it is challenging to distinguish a certificate earned through the focused learning and assessment offered througha certificate program fro

13、m 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 designate the attainment or completion of something. An individual mightreceive a certificate from an education or training provider as verif

14、ication of attendance at a learning event (often called a certificateof attendance) or receive a certificate as verification of active participation in a learning events learning experiences (often calleda certificate of participation). The distribution of a certificate, however, does not indicate t

15、hat the education or training programcompleted was a certificate program. In a certificate program, an individual participates in a learning event or series of eventsdesigned to assist him or her in achieving specified learning outcomes within a defined scope; the individual receives a certificateon

16、ly after verification of successful completion of all program requisites including but not limited to an assessment of learnerattainment of intended learning outcomes.4.3 It is also important to distinguish certificate programs from the certification of individuals. Certification is a process throug

17、hwhich a nongovernmental entity grants a time-limited recognition to an individual after verifying that he or she has met establishedcriteria for proficiency or competency, usually through an eligibility application and assessment. While certification eligibilitycriteria may specify a certain type o

18、r amount of education or training, the learning event(s) are not typically provided by thecertifying body. Instead, the certifying body verifies education or training and experience obtained elsewhere through anapplication process and administers a standardized assessment of current proficiency or c

19、ompetency.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 there is an essential link between them. That is, the learning event(s) are designed to help participants achievelearning outcomes and the

20、 assessment is designed to evaluate the learners attainment of those intended learning outcomes.4.5 Also, certifications have ongoing requirements for maintaining proficiency/competency and can be revoked for not meetingthese ongoing requirements. In contrast, certificates do not have ongoing mainte

21、nance or renewal requirements and therefore,cannot be revoked.5. Requirements for Certificate Issuers5.1 Organizational Structure and AdministrationThe certificate issuer shall be structured and administered in such a way thatconfidence is given to stakeholders of its authority and qualifications to

22、 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 be an appropriate and qualified issuer of the certificate.5.1.2.1 The certificate programs purpose, scope, and intended outcomes are consi

23、stent 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 certificate program and ensurecompliance with the provisions of this practice.5.2 ManagementThe certificate issuer shall be responsibly and

24、 effectively managed and operated.5.2.1 Policies and procedures of the certificate program shall be fair and equitable and comply with all applicable regulatoryand statutory requirements and legal obligations.5.2.1.1 There shall be written policies and procedures outlined to address, at a minimum, t

25、he 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) Privacy, confidentiality, and security;(8) Program commercial support and disclosure;(9) Fees, cancellation, an

26、d refunds;(10) Compliance with the Americans with Disabilities Act; andE2659 153(11) Nondiscrimination.5.2.1.2 Personnel shall be assigned to implement systematically and effectively the policies and procedures within a frameworkthat is clearly defined and understood.5.2.2 The certificate issuer sha

27、ll have sufficient and qualified personnel to conduct certificate program activities properly.5.2.2.1 The certificate issuer shall define the qualifications for personnel involved in certificate program activities.5.2.2.2 Personnel shall be qualified for their assigned roles on the basis of appropri

28、ate education, training, or experience, orcombination thereof.5.2.2.3 The certificate issuer shall evaluate on an ongoing basis the qualifications of personnel to perform assigned roles.Training and development plans shall be implemented where deficiencies are found.5.2.3 The certificate issuer shal

29、l demonstrate responsible financial management and have sufficient financial resources toconduct certificate program activities properly.5.2.3.1 Formal financial reports shall provide evidence of financial stability.(1) Where certificate programs are one element of a certificate issuers activities,

30、the certificate program finances shall be aclear and identifiable component of overall reports.NOTE 1The financial reports should provide evidence that the certificate issuer can sustain the certificate program in conformance with therequirements of this practice for a reasonable amount of time.5.2.

31、3.2 Written procedures shall exist for proper financial controls.5.2.4 The certificate issuer shall demonstrate responsible and timely communications to primary stakeholders of the certificateprogram.5.2.4.1 The certificate issuer shall publish (or make available to primary stakeholders) the followi

32、ng information in advance ofthe program:(1) Certificate program purpose, scope, and intended learning 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 instructio

33、nal personnel;(5) Fees, deadlines, cancellation, and refund policies;(6) Academic or continuing education credit earned, specified 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

34、 learning outcomes, requisites, and the effective date of thechanges; and(9) Statement about what inferences can appropriately be made regarding certificate holders.5.2.4.2 The certificate issuer shall represent the certificate program and its purpose, scope, and intended learning outcomes inan accu

35、rate and responsible way.(1) The certificate issuer shall not state or in any way imply that certificate holders are certified, licensed, accredited, orregistered to engage in a specific occupation or profession.5.2.5 The certificate issuer shall hold ultimate responsibility for the certificate prog

36、ram 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 certificate program, the responsibility for assurance of quality and conformance with these standards rests with the certificateissuer.(1) Th

37、e certificate issuer shall have current contracts or agreements with collaborators and contractors that clearly specify theresponsibilities assigned and include provisions to ensure confidentiality and prevent conflicts of interest.(2) The certificate issuer shall ensure each collaborator or contrac

38、tor is qualified to carry out the responsibilities assigned andshall monitor on an ongoing basis the performance of collaborators or contractors in carrying out assigned responsibilities inaccordance with documented policies and procedures and in compliance with the provisions of this practice.5.2.5

39、.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 certificate program, theresponsibility for assurance of quality and conformance with this practice rests with the certificate issuer and th

40、ere shall bedocumentation that no undue influence has been created because of this financial support.5.3 Internal AuditThe certificate issuers policies and procedures for internal audits shall be understood and implemented byall relevant personnel.5.3.1 The internal audits shall be planned and perfo

41、rmed 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 becommunicated to certificate program management.5.3.3 Corrective and preventive actions shall be approved by certificate program manageme

42、nt and implemented by appropriatepersonnel.5.4 Records and Document Control System(s)The certificate issuer shall have a system or systems for records and documentcontrol.E2659 1545.4.1 The certificate issuer shall identify an individual or individuals responsible for overseeing the records and docu

43、mentcontrol system or systems.5.4.2 The certificate issuers records control policies and procedures shall be understood and implemented by all relevantpersonnel.5.4.2.1 The records control policies and procedures shall address which records are kept, by whom, for how long, and how theyare disposed.5

44、.4.2.2 Records of academic or continuing education credits granted shall be maintained consistently with the provisionsspecified by the agency administering the credit and any applicable national standards.5.4.2.3 Records of certificates issued shall be maintained for a period of time beyond the ter

45、m of validity printed on thecertificates to allow stakeholders reasonable access to such records.5.4.2.4 The procedures shall enable learners and certificate holders to receive verification and documentation, in an accurate andtimely manner, of their progress in or completion of the program, earning

46、 of academic or continuing education credits (ifapplicable), certificate issue date, and certificate term of validity.5.4.2.5 The procedures shall enable stakeholders to confirm, in an accurate and timely manner, the certificate term of validityfor individual certificate holders.5.4.3 The certificat

47、e issuers policies and procedures for maintaining the privacy of individuals and the confidential and securehandling of information and records shall be understood and implemented by all relevant personnel.5.4.3.1 The certificate issuer shall reasonably respect and maintain the privacy of certificat

48、e 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 a secure manner any information of a confidential naturerelated to or obtained from certificate program participants, learning outcomes e

49、valuation 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 and implemented by all relevantpersonnel.5.4.4.1 The procedures shall address the proper control of document creation, approval, revision