ASTM E2659-18

Standard Practice for Certificate Programs

SIGNIFICANCE AND USE
4.1 Certificate programs are typically offered by community colleges and universities, government agencies, employers, independent for-profit training organizations, and professional and trade associations. While quality guidelines do exist for continuing education and training providers in general (for example, ANSI/IACET 1-2013) and for entities offering personnel certification programs (for example, ANSI/ISO/IEC 17024:2012), currently, no quality guidelines exist specifically to aid entities offering certificate programs. This practice aims to change that and has been developed to:  
4.1.1 Provide certificate program developers and certificate issuers guidelines for quality program development and administration;  
4.1.2 Form the foundation for a recognition or accreditation system, or both, that enable consumers, employers, government agencies, and others who rely upon a skilled workforce to distinguish between qualified workers and those with fraudulent or less-than-quality credentials;  
4.1.3 Assist stakeholders in differentiating between certificate programs from personnel certification; and  
4.1.4 Assist stakeholders in differentiating certificate programs from other programs that confer certificates, including but not limited 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 through a certificate program from 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 might receive a certificate from an education or training provider as verification of attendance at a learning event (often called a certificate of attendance) or receive a certificate as verification of active participation in a learning event’s learning experiences (often called a certifi...
SCOPE
1.1 This practice provides guidance to certificate issuers for developing and administering quality certificate programs and to stakeholders 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 certificate programs for which it issues certificates.  
1.3 This practice provides the foundation for the recognition or accreditation, or both, of a specific entity to issue a specific certificate or certificates to individuals after successful completion of a certificate program.  
1.4 This practice does not address guidance pertaining to certification of individuals nor does it address guidance pertaining to education or training programs in general, including those that issue certificates of participation or certificates of attendance.  
1.5 This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.

General Information

• Status: Published
• Publication Date: 31-Dec-2017
• ICS: 03.120.20 - Product and company certification. Conformity assessment
• Technical Committee: E36 - Accreditation & Certification
• Drafting Committee: E36.30 - Personnel Credentialing

Relations

• Replaces: ASTM E2659-17 - Standard Practice for Certificate Programs
• Effective Date: 01-Jan-2018
• Referred By: ASTM E2708-21a - Standard Terminology for Accreditation and Certification
• Effective Date: 01-Jan-2018
• Referred By: ASTM D8452-22 - Standard Guide for Requirements for Medical-related Professionals within the Cannabis and Hemp Industries
• Effective Date: 01-Jan-2018
• Referred By: ASTM D8346-21a - Standard Guide for Requirements for Quality Related Professions Within the Cannabis and Hemp Industries
• Effective Date: 01-Jan-2018
• Referred By: ASTM D8347-21a - Standard Guide for Requirements for Analytical Laboratory Related Professions Within the Cannabis and Hemp Industries
• Effective Date: 01-Jan-2018
• Referred By: ASTM D8348-21a - Standard Guide for Requirements for Transportation and Logistics Related Professions Within the Cannabis and Hemp Industries
• Effective Date: 01-Jan-2018
• Referred By: ASTM D8403-21 - Standard Practice for Certificate Programs within the Cannabis and Hemp Industries
• Effective Date: 01-Jan-2018
• Referred By: ASTM F2972-15 - Standard Specification for Light Sport Aircraft Manufacturer’s Quality Assurance System (Withdrawn 2024)
• Effective Date: 01-Jan-2018

Overview

ASTM E2659-18 – Standard Practice for Certificate Programs sets forth comprehensive guidelines for organizations developing, administering, or issuing certificate programs. The practice is established by ASTM, an internationally recognized standards body, to promote consistency and quality in non-degree training and education programs that culminate in the issuance of certificates. As certificate programs expand in use among community colleges, universities, government agencies, and professional associations, ASTM E2659-18 provides essential benchmarks for evaluating and distinguishing quality certificate programs from basic certificates of attendance or completion.

Key Topics

ASTM E2659-18 addresses several critical components for certificate program quality:

• Organizational Structure and Administration: The standard requires that the certificate issuer be a credible and qualified entity, with a clearly defined authority governing program administration and stakeholder input through advisory groups.
• Management Systems: Issuers must implement management procedures, including comprehensive documentation, document and records control, internal audits, corrective and preventive actions, and financial controls.
• Program Plan and Oversight: A documented certificate program plan must guide development, execution, and continuous evaluation, ensuring the purpose, scope, and learning outcomes are aligned with stakeholder needs.
• Certificate Requisites: The program must clearly define the requirements for participation and successful completion, with objective learner assessment linked to intended learning outcomes.
• Certificate Term of Validity: The standard specifies that certificate validity periods are to be determined by the program’s subject matter relevance and its anticipated obsolescence rate.
• Transparency and Communication: The issuer is required to provide clear information to primary stakeholders on objectives, requirements, staff qualifications, fees, and program terms.
• Complaints and Appeals Process: Accessible, transparent, and fair policies for handling complaints and appeals must be in place and effectively communicated.

Applications

ASTM E2659-18 is vital for any organization seeking to establish or evaluate a certificate program. Key applications include:

• Quality Assurance for Training Providers: Community colleges, universities, private training companies, and government agencies use this standard to design and maintain reputable certificate programs that meet stakeholder needs.
• Workforce Development: Employers and workforce agencies can rely on programs following ASTM E2659-18 to identify qualified individuals who have successfully completed rigorous, outcome-based training.
• Accreditation and Recognition: The standard serves as a foundation for third-party recognition or accreditation of certificate programs, allowing consumers, employers, and governmental bodies to distinguish between credible and fraudulent credentials.
• Differentiation: It establishes criteria to clearly differentiate certificate programs-where training and assessment are combined-from certification programs (such as ANSI/ISO/IEC 17024), and from certificates of participation or attendance, which are not based on assessment of learning outcomes.

Related Standards

ASTM E2659-18 fits within a broader landscape of standards for education, training, and personnel competency. Notable related standards include:

• ANSI/IACET 1-2013: Standard for Continuing Education and Training, which provides general quality guidelines for training and educational providers (but does not focus on certificate programs specifically).
• ANSI/ISO/IEC 17024:2012: Standard for conformity assessment regarding bodies operating person certification, covering accredited certification programs for individuals rather than certificate programs.
• ISO/IEC/ASTM Standards: Many international standards exist for quality management, records control, and process improvement, which support the infrastructure required by ASTM E2659-compliant programs.

Practical Value

Adopting ASTM E2659-18 assures stakeholders-learners, employers, accrediting agencies, and the public-that a certificate program meets defined criteria for content, administration, transparency, and continual improvement. The standard elevates program credibility, addresses regulatory and legal requirements, and helps protect against fraudulent or substandard credentials increasingly prevalent in today’s education and workforce landscape.

Keywords: ASTM E2659-18, certificate program standard, education certificate, training quality, certificate program accreditation, workforce qualification, certificate program best practices, continuing education quality, certification vs certificate.

Standards Content (Sample)

This international standard was developed in accordance with internationally recognized principles on standardization established in the Decision on Principles for the
Development of International Standards, Guides and Recommendations issued by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
Designation: E2659 −18 An American National Standard
Standard Practice for
Certificate Programs
This standard is issued under the fixed designation E2659; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope 2.2 ANSI/ISO/IEC Standard:
ANSI/ISO/IEC 17024:2012 Conformity Assessment—
1.1 This practice provides guidance to certificate issuers for
General Requirements for Bodies Operating Certification
developing and administering quality certificate programs and
4,5
of Persons
to stakeholders for determining the quality of certificate
programs.
3. Terminology
1.2 This practice includes requirements for both the entity
3.1 Definitions:
issuing the certificate and requirements for the specific certifi-
3.1.1 For the purposes of this practice, the following apply.
cate programs for which it issues certificates.
3.1.2 advisory group, n—group responsible for advising
certificate program management on creating and maintaining a
1.3 Thispracticeprovidesthefoundationfortherecognition
certificate program that is current, relevant, and valued.
or accreditation, or both, of a specific entity to issue a specific
certificateorcertificatestoindividualsaftersuccessfulcomple-
3.1.3 appeal, n—written request made to the certificate
tion of a certificate program.
issuer for reconsideration of an adverse decision made by the
certificate issuer related to the certificate program
1.4 This practice does not address guidance pertaining to
3.1.4 assessment, n—instrument or method used to measure
certification of individuals nor does it address guidance per-
learner attainment of intended learning outcomes (including
taining to education or training programs in general, including
but not limited to oral or written tests, skill demonstrations,
those that issue certificates of participation or certificates of
portfolios, or work products).
attendance.
3.1.5 certificate, n—document (letter, card, or other me-
1.5 This international standard was developed in accor-
dium) awarded to certificate holders that designates the suc-
dance with internationally recognized principles on standard-
cessful completion of a certificate program’s requisites.
ization established in the Decision on Principles for the
Development of International Standards, Guides and Recom- 3.1.6 certificate holder, n—individual who has been issued a
mendations issued by the World Trade Organization Technical
certificate after successfully meeting a certificate program’s
Barriers to Trade (TBT) Committee. requisites.
3.1.7 certificate issuer, n—legal business entity or govern-
2. Referenced Documents
ment agency, or operating unit thereof, that has ultimate
responsibility for administering a certificate program and
2.1 ANSI/IACET Standard:
issuing certificates to individuals successfully meeting certifi-
ANSI/IACET 1-2013 Standard for Continuing Education
2,3 cate program requisites.
and Training
3.1.8 certificate program, n—nondegree-granting education
or training program consisting of (1) a learning event or series
of events designed to educate or train individuals to achieve
This practice is under the jurisdiction of ASTM Committee E36 on Accredi-
specified learning outcomes within a defined scope, and (2) a
tation & Certification and is the direct responsibility of Subcommittee E36.30 on
system designed to ensure individuals receive a certificate only
Personnel Certificate Programs.
Current edition approved Jan. 1, 2018. Published February 2018. Originally
after verification of successful completion of all program
approved in 2009. Last previous edition approved in 2017 as E2659 – 17. DOI:
requisites including but not limited to an assessment of learner
10.1520/E2659-18.
attainment of intended learning outcomes.
Available from the International Association for Continuing Education and
Training (IACET), 1760 Old Meadow Rd., Suite 500, McLean, VA 22102,
http://www.iacet.org.
3 4
ANSI/IACET 1-2013 is a valuable document with detailed guidance for all Available from American National Standards Institute (ANSI), 25 W. 43rd St.,
providers of continuing education and training. It provides a descriptive framework 4th Floor, New York, NY 10036, http://www.ansi.org.
to assist organizations in adhering to quality practices for all types of continuing ANSI/ISO/IEC 17024:2012 serves as a valuable standard document providing
education and training programs. In contrast, this practice outlines a framework of aframeworkofqualityforpersonnelcertificationprograms.Incontrast,thispractice
quality for one specific type of program, the certificate program. serves as a framework of quality for certificate programs.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2659 − 18
3.1.9 certificate program instructional design plan, certificate program’s learning event or program (recognizing
n—document that outlines the certificate issuer’s instructional that actual learning outcomes may or may not be those
design model, processes and implementation plan. intended).
3.1.25 internal audit, n—first-party review of the certificate
3.1.10 certificate program management, n—the individu-
issuer’s policies and procedures to ensure adherence to this
al(s) who establish and review the management system for the
practice’s requirements.
certificate program activities.
3.1.26 learning event, n—combination of learning experi-
3.1.11 certificate program process, n—all activities by
encesdesignedtoassessalearner’sunderstandingofcontentor
which the certificate issuer establishes that a person fulfills
his/her ability to perform a skill or set of skills that satisfies a
specified requisites to earn the certificate, including but not
set of learning objectives/outcomes. This event can be accom-
limitedtoprerequisites(ifapplicable),completionofalearning
plished by any media sufficient to achieve the learning
event or events, the learner assessment(s), and the certificate
outcomes, including but not limited to, classroom instruction,
decision.
distance-learning course, blended-learning activities,
3.1.12 certificate program requisites, n—specific require-
conferences, and satellite transmissions. ANSI/IACET 1-2013
ments of the certificate program that certificate holders shall
3.1.27 learning experience, n—single instance of learning
meet before being issued the certificate including but not
obtained during a learning event that demonstrates a specific
limited to the essential element of the assessment of learner
learning objective or learning outcome. This could include
attainment of intended learning outcomes.
solving a problem, completing a case study, completing a quiz,
3.1.13 certificate program scope, n—specific range of
or applying a skill. ANSI/IACET 1-2013
competencies, procedures, actions, or processes covered by a
3.1.28 primary stakeholders, n—persons, groups, or
certificate program.
organizations, or combination thereof, for which the certificate
3.1.14 certificate term, n—length of time for which the
program is targeted or for which intended outcomes are
issued certificate program’s content is considered current and
directed or both.
relevant.
3.1.29 privacy, n—ability of individuals to control access to
3.1.15 complaint, n—written request, other than an appeal, themselvesorinformationaboutthemselvesandtherebyreveal
made to a certificate issuer for corrective action relating to the
themselves selectively.
activities of that issuer.
3.1.30 records control, n—process addressing which and
how records are kept, by whom, for how long, and how they
3.1.16 confidentiality, n—ability to ensure that information
are disposed.
is accessible only to those authorized to have access.
3.1.31 stakeholder, n—any person, group, or organization
3.1.17 contractor, n—an individual or entity external to the
with an interest in, or who may be affected by, the certificate
certificate issuer that assists in carrying out one or more
program.
certificate program activities.
3.1.32 summative assessment, n—assessment of a learner’s
3.1.18 criterion-referenced assessment, n—an assessment
attainment of the certificate program’s intended learning out-
intended to measure a learner’s performance through items
comes that occurs at the conclusion of the learning event(s).
linked to intended learning outcomes, with the goal of identi-
3.1.33 training and education industry generally accepted
fying those who do and do not meet a defined performance
practices, n—those practices that can be referenced to existing
standard.
training and education industry published professional litera-
3.1.19 designation, n—title or label that a certificate holder
ture or standards, or both.
is granted to use.
3.1.33.1 Discussion—This standard does not prescribe any
3.1.20 designation acronym, n—abbreviated title, usually
specific practices. Certificate issuers can be assured their
the acronym form of the designation, which a certificate holder
practices are generally accepted if they are referenced in
is granted to use.
training and education industry published professional litera-
ture or standards, or both.
3.1.21 digital badge, n—visual representation of a creden-
tial that can be displayed online, according to the rules of the
4. Significance and Use
issuing organization.
4.1 Certificate programs are typically offered by community
3.1.22 document control, n—process addressing how docu-
colleges and universities, government agencies, employers,
ments are created, approved, revised and reapproved, and
independent for-profit training organizations, and professional
distributed and how obsolete document use is prevented.
and trade associations. While quality guidelines do exist for
3.1.23 formative assessment, n—assessment of a learner’s
continuing education and training providers in general (for
progress towards attainment of the certificate program’s in-
example, ANSI/IACET 1-2013) and for entities offering per-
tended learning outcomes that occurs during the learning
sonnel certification programs (for example, ANSI/ISO/
event(s).
IEC 17024:2012), currently, no quality guidelines exist specifi-
3.1.24 intended learning outcomes, n—statement of what cally to aid entities offering certificate programs. This practice
learners are expected to know or be able to do as a result of the aims to change that and has been developed to:
E2659 − 18
4.1.1 Provide certificate program developers and certificate cates do not have ongoing maintenance or renewal require-
issuersguidelinesforqualityprogramdevelopmentandadmin- ments and therefore, cannot be revoked.
istration;
5. Requirements for Certificate Issuers
4.1.2 Form the foundation for a recognition or accreditation
system, or both, that enable consumers, employers, govern-
5.1 Organizational Structure and Administration—The cer-
mentagencies,andotherswhorelyuponaskilledworkforceto
tificate issuer shall be structured and administered in such a
distinguish between qualified workers and those with fraudu-
waythatconfidenceisgiventostakeholdersofitsauthorityand
lent or less-than-quality credentials;
qualifications to issue the certificate.
4.1.3 Assist stakeholders in differentiating between certifi- 5.1.1 The certificate issuer shall be, or reside within, a legal
cate programs from personnel certification; and business entity or governmental agency.
5.1.2 The certificate issuer shall be an appropriate and
4.1.4 Assist stakeholders in differentiating certificate pro-
qualified issuer of the certificate.
grams from other programs that confer certificates, including
5.1.2.1 The certificate program’s purpose, scope, and in-
but not limited to certificates of attendance or certificates of
tendedoutcomesshallbeconsistentwiththestatedmissionand
participation.
work of the certificate issuer.
4.2 Currently, it is challenging to distinguish a certificate
5.1.3 The certificate issuer shall have a clearly designated
earned through the focused learning and assessment offered
authority charged to administer the certificate program and
through a certificate program from one granted through other
ensure compliance with the provisions of this practice.
means.That a certificate is issued is not a distinguishing factor.
5.1.4 Advisory Group—The certificate issuer shall create
The word“ certificate” is used broadly as a document awarded
and sustain an advisory group composed of and representing
to designate the attainment or completion of something. An
the interests of the certificate program’s primary stakeholders.
individual might receive a certificate from an education or
5.1.4.1 The advisory group shall advise certificate program
training provider as verification of attendance at a learning
management on issues integral to ensuring the certificate is
event (often called a certificate of attendance) or receive a
current, relevant, and valuable to its primary stakeholders.
certificate as verification of active participation in a learning
5.1.4.2 The advisory group shall have input into, at
event’s learning experiences (often called a certificate of
minimum, the certificate program (1) target audience, (2)
participation). The distribution of a certificate, however, does
purpose, (3) scope, (4) requisites, (5) term, (6) intended
not indicate that the education or training program completed
learning outcomes, and (7) instructional design plan.
was a certificate program. In a certificate program, an indi-
5.1.4.3 The advisory group shall convene to advise certifi-
vidual participates in a learning event or series of events
cateprogrammanagement,atminimum,(1)whentheelements
designed to assist him or her in achieving specified learning
of 5.1.4.2 are initially created or when changes are proposed,
outcomes within a defined scope; the individual receives a
and (2) when a program evaluation is conducted.
certificateonlyafterverificationofsuccessfulcompletionofall
5.2 Management System—The certificate issuer shall have a
program requisites including but not limited to an assessment
managementsystemthatiscapableofsupportingtheconsistent
of learner attainment of intended learning outcomes.
achievement of the requirements of this standard practice.
4.3 It is also important to distinguish certificate programs 5.2.1 Documentation:
from the certification of individuals. Certification is a process 5.2.1.1 The certificate issuer’s certificate program manage-
through which a nongovernmental entity grants a time-limited ment shall establish and document objectives and policies for
recognition to an individual after verifying that he or she has its certificate program activities.
met established criteria for proficiency or competency, usually 5.2.1.2 Policies (and procedures, where applicable) of the
through an eligibility application and assessment. While certi- certificate program shall be fair and equitable and comply with
fication eligibility criteria may specify a certain type or amount all applicable regulatory and statutory requirements and legal
of education or training, the learning event(s) are not typically
obligations.
provided by the certifying body. Instead, the certifying body 5.2.1.3 Thereshallbewrittenpoliciesoutlinedtoaddress,at
verifies education or training and experience obtained else-
a minimum, the following:
where through an application process and administers a stan- (1) Advisory group composition and responsibilities;
dardized assessment of current proficiency or competency.
(2) Certificate program instructional design plan;
(3) Certificate issuance and use;
4.4 In contrast, in a certificate program the learning event(s)
(4) Invalidating a certificate;
and the assessment(s) are both developed and administered by
(5) Complaints;
the certificate issuer, and there is an essential link between
(6) Appeals;
them. That is, the learning event(s) are designed to help
(7) Privacy, confidentiality, and security;
participants achieve learning outcomes and the assessment is
(8) Program commercial support and disclosure;
designed to evaluate the learners’attainment of those intended
(9) Fees, cancellation, and refunds;
learning outcomes.
(10) Nondiscrimination;
4.5 Also, certifications have ongoing requirements for (11) Personnel;
maintaining proficiency/competency and can be revoked for (12) Outsourcing;
not meeting these ongoing requirements. In contrast, certifi- (13) Records control;
E2659 − 18
(14) Document control; (3) Resource needs.
(15) Internal audit;
5.3 Personnel:
(16) Management review; and
5.3.1 Personnel shall be assigned to implement the certifi-
(17) Corrective and preventive action.
cate program policies (and procedures, where applicable).
5.2.2 Document Control:
5.3.2 The certificate issuer shall communicate current poli-
5.2.2.1 The certificate issuer shall have a process for docu-
cies (and procedures, where applicable) to relevant personnel
ment control that addresses the proper control of document
and provide training as needed.
creation, approval, revision and reapproval, distribution, and
5.3.3 The certificate issuer shall have sufficient personnel to
prevention of obsolete document use.
conduct certificate program activities properly.
5.2.3 Records Control:
5.3.4 The certificate issuer shall define the qualifications for
5.2.3.1 Thecertificateissuershallhaveaprocessforrecords
personnel involved in certificate program activities.
control that addresses which records are kept, by whom, for
5.3.5 Personnel shall be qualified for their assigned roles on
how long, and how they are disposed.
the basis of appropriate education, training, or experience, or
5.2.3.2 Recordsofcertificatesissuedshallbemaintainedfor
combination thereof.
a period of time beyond the term identified on the certificates
5.3.6 The certificate issuer shall evaluate on an ongoing
to allow stakeholders reasonable access to such records.
basis the qualifications of personnel to perform assigned roles.
5.2.3.3 If applicable, records of academic or continuing
Training and development plans shall be implemented where
education credits granted shall be maintained consistently with
deficiencies are found.
the provisions specified by the agency administering the credit
and any applicable national standards.
5.4 Financial Management—The certificate issuer shall
5.2.4 Internal Audit:
demonstrate responsible financial management and have suffi-
5.2.4.1 The internal audits shall be planned and conducted
cient financial resources to conduct certificate program activi-
on a regular basis.
ties properly.
5.2.4.2 The results of the audits shall be documented and
5.4.1 Formal financial reports shall provide evidence of
communicated to certificate prog
...

This document is not an ASTM standard and is intended only to provide the user of an ASTM standard an indication of what changes have been made to the previous version. Because
it may not be technically possible to adequately depict all changes accurately, ASTM recommends that users consult prior editions as appropriate. In all cases only the current version
of the standard as published by ASTM is to be considered the official document.
Designation: E2659 − 17 E2659 − 18 An American National Standard
Standard Practice for
Certificate Programs
This standard is issued under the fixed designation E2659; the number immediately following the designation indicates the year of
original adoption or, in the case of revision, the year of last revision. A number in parentheses indicates the year of last reapproval. A
superscript epsilon (´) indicates an editorial change since the last revision or reapproval.
1. Scope
1.1 This practice provides guidance to certificate issuers for developing and administering quality certificate programs and to
stakeholders 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 certificate
programs for which it issues certificates.
1.3 This practice provides the foundation for the recognition or accreditation, or both, of a specific entity to issue a specific
certificate or certificates to individuals after successful completion of a certificate program.
1.4 This practice does not address guidance pertaining to certification of individuals nor does it address guidance pertaining to
education or training programs in general, including those that issue certificates of participation or certificates of attendance.
1.5 This international standard was developed in accordance with internationally recognized principles on standardization
established in the Decision on Principles for the Development of International Standards, Guides and Recommendations issued
by the World Trade Organization Technical Barriers to Trade (TBT) Committee.
2. Referenced Documents
2.1 ANSI/IACET Standard:
2,3
ANSI/IACET 1-2013 Standard for Continuing Education and Training
2.2 ANSI/ISO/IEC Standard:
4,5
ANSI/ISO/IEC 17024:2012 Conformity Assessment—General Requirements for Bodies Operating Certification of Persons
3. Terminology
3.1 Definitions:
3.1.1 For the purposes of this practice, the following apply.
3.1.2 advisory group, n—group responsible for advising certificate program management on creating and maintaining a
certificate program that is current, relevant, and valued.
3.1.3 appeal, n—written request made to the certificate issuer by a primary stakeholder for reconsideration of anyan adverse
decision made by the certificate issuer related to the certificate program requisites or certificate program process.
3.1.4 assessment, n—instrument or method used to measure learner attainment of intended learning outcomes (including but not
limited to oral or written tests, skill demonstrations, portfolios, or work products).
3.1.5 certificate, n—document (letter, card, or other medium) awarded to certificate holders that designates the successful
completion of a certificate program’s requisites.
This practice is under the jurisdiction of ASTM Committee E36 on Accreditation & Certification and is the direct responsibility of Subcommittee E36.30 on Personnel
Certificate Programs.
Current edition approved Jan. 1, 2017Jan. 1, 2018. Published January 2017February 2018. Originally approved in 2009. Last previous edition approved in 20152017 as
E2659 – 15.17. DOI: 10.1520/E2659-17.10.1520/E2659-18.
Available from the International Association for Continuing Education and Training (IACET), 1760 Old Meadow Rd., Suite 500, McLean, VA 22102,
http://www.iacet.org.
ANSI/IACET 1-2013 is a valuable document with detailed guidance for all providers of continuing education and training. It provides a descriptive framework to assist
organizations in adhering to quality practices for all types of continuing education and training programs. In contrast, this practice outlines a framework of quality for one
specific type of program, the certificate program.
Available from American National Standards Institute (ANSI), 25 W. 43rd St., 4th Floor, New York, NY 10036, http://www.ansi.org.
ANSI/ISO/IEC 17024:2012 serves as a valuable standard document providing a framework of quality for personnel certification programs. In contrast, this practice serves
as a framework of quality for certificate programs.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
E2659 − 18
3.1.6 certificate holder, n—individual who has been issued a certificate after successfully meeting a certificate program’s
requisites.
3.1.7 certificate issuer, n—legal business entity or government agency, or operating unit thereof, that has ultimate responsibility
for administering a certificate program and issuing certificates to individuals successfully meeting certificate program requisites.
3.1.8 certificate program, n—nondegree-granting education or training program consisting of (1) a learning event or series of
events designed to educate or train individuals to achieve specified learning outcomes within a defined scope, and (2) a system
designed to ensure individuals receive a certificate only after verification of successful completion of all program requisites
including but not limited to an assessment of learner attainment of intended learning outcomes.
3.1.9 certificate program instructional design plan, n—documented plan by which the certificate issuer develops and
administers the certificate program, including the essential elements of analysis, program design, development, implementation,
and evaluation.document that outlines the certificate issuer’s instructional design model, processes and implementation plan.
3.1.10 certificate program management, n—the individual(s) who establish and review the management system for the
certificate program activities.
3.1.11 certificate program process, n—all activities by which the certificate issuer establishes that a person fulfills specified
requisites to earn the certificate, including but not limited to prerequisites (if applicable), completion of a learning event or events,
the learner assessment(s), and the certificate decision.
3.1.12 certificate program requisites, n—specific requirements of the certificate program that certificate holders shall meet
before being issued the certificate including but not limited to the essential element of the assessment of learner attainment of
intended learning outcomes.
3.1.13 certificate program scope, n—specific range of competencies, procedures, actions, or processes covered by a certificate
program.
3.1.14 certificate term, n—length of time for which the issued certificate program’s content is considered current and relevant.
3.1.15 complaint, n—written request, other than an appeal, made to a certificate issuer for corrective action relating to the
activities of that issuer or regarding its certificate holders.issuer.
3.1.16 confidentiality, n—ability to ensure that information is accessible only to those authorized to have access.
3.1.17 contractor, n—an individual or entity external to the certificate issuer that assists in carrying out one or more certificate
program activities.
3.1.18 criterion-referenced method,assessment, n—approach to determining a passing standard for a learner assessment based
on subject matter expert-identified performance standards and not based on the performance of other students.an assessment
intended to measure a learner’s performance through items linked to intended learning outcomes, with the goal of identifying those
who do and do not meet a defined performance standard.
3.1.19 designation, n—title or trademarked label that a certificate holder is granted to use.
3.1.20 designation acronym, n—abbreviated title, usually the acronym form of the designation, which a certificate holder is
granted to use.
3.1.21 digital badge, n—visual representation of a credential that can be displayed online, according to the rules of the issuing
organization.
3.1.22 document control, n—process addressing how documents are created, approved, revised and reapproved, and distributed
and how obsolete document use is prevented.
3.1.23 formative assessment, n—assessment of a learner’s progress towards attainment of the certificate program’s intended
learning outcomes that occurs during the learning event(s).
3.1.24 intended learning outcomes, n—statement of what learners are expected to know or be able to do as a result of the
certificate program’s learning event or program (recognizing that actual learning outcomes may or may not be those intended).
3.1.25 internal audit, n—first-party review of the certificate issuer’s policies and procedures to ensure adherence to this
practice’s requirements.
3.1.26 learning event, n—combination of learning experiences designed to assess a learner’s understanding of content or his/her
ability to perform a skill or set of skills that satisfies a set of learning objectives/outcomes. This event can be accomplished by any
media sufficient to achieve the learning outcomes, including but not limited to, classroom instruction, distance-learning course,
blended-learning activities, conferences, and satellite transmissions. ANSI/IACET 1-2013
3.1.27 learning experience, n—single instance of learning obtained during a learning event that demonstrates a specific learning
objective or learning outcome. This could include solving a problem, completing a case study, completing a quiz, or applying a
skill. ANSI/IACET 1-2013
3.1.22 oversight group, n—group of the certificate program’s primary stakeholders formed to develop, monitor, and approve the
certificate program plan.
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3.1.28 primary stakeholders, n—persons, groups, or organizations, or combination thereof, for which the certificate program is
targeted or for which intended outcomes are directed or both.
3.1.29 privacy, n—ability of individuals to control access to themselves or information about themselves and thereby reveal
themselves selectively.
3.1.30 records control, n—process addressing which and how records are kept, by whom, for how long, and how they are
disposed.
3.1.31 stakeholder, n—any person, group, or organization with an interest in, or who may be affected by, the certificate program.
3.1.32 term of validity, summative assessment, n—length of time for which the issued certificate is considered valid (that is, the
content is current and relevant).assessment of a learner’s attainment of the certificate program’s intended learning outcomes that
occurs at the conclusion of the learning event(s).
3.1.33 training and education industry generally accepted practices, n—those practices that are regularly defined and cited in
the can be referenced to existing training and education industry published professional literature and standards.or standards, or
both.
3.1.33.1 Discussion—
This standard does not prescribe any specific practices. Certificate issuers can be assured their practices are generally accepted if
they are referenced in training and education industry published professional literature or standards, or both.
4. Significance and Use
4.1 Certificate programs are typically offered by community colleges and universities, government agencies, employers,
independent for-profit training organizations, and professional and trade associations. While quality guidelines do exist for
continuing education and training providers in general (for example, ANSI/IACET 1-2013) and for entities offering personnel
certification programs (for example, ANSI/ISO/IEC 17024:2012), currently, no quality guidelines exist specifically to aid entities
offering certificate programs. This practice aims to change that and has been developed to:
4.1.1 Provide certificate program developers and certificate issuers guidelines for quality program development and
administration;
4.1.2 Form the foundation for a recognition or accreditation system, or both, that enable consumers, employers, government
agencies, and others who rely upon a skilled workforce to distinguish between qualified workers and those with fraudulent or
less-than-quality credentials;
4.1.3 Assist stakeholders in differentiating between certificate programs from personnel certification; and
4.1.4 Assist stakeholders in differentiating certificate programs from other programs that confer certificates, including but not
limited 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 through
a certificate program from 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 might
receive a certificate from an education or training provider as verification of attendance at a learning event (often called a certificate
of attendance) or receive a certificate as verification of active participation in a learning event’s learning experiences (often called
a certificate of participation). The distribution of a certificate, however, does not indicate that the education or training program
completed was a certificate program. In a certificate program, an individual participates in a learning event or series of events
designed to assist him or her in achieving specified learning outcomes within a defined scope; the individual receives a certificate
only after verification of successful completion of all program requisites including but not limited to an assessment of learner
attainment of intended learning outcomes.
4.3 It is also important to distinguish certificate programs from the certification of individuals. Certification is a process through
which a nongovernmental entity grants a time-limited recognition to an individual after verifying that he or she has met established
criteria for proficiency or competency, usually through an eligibility application and assessment. While certification eligibility
criteria may specify a certain type or amount of education or training, the learning event(s) are not typically provided by the
certifying body. Instead, the certifying body verifies education or training and experience obtained elsewhere through an
application process and administers a standardized 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 by the
certificate issuer, and there is an essential link between them. That is, the learning event(s) are designed to help participants achieve
learning outcomes and the 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 meeting
these ongoing requirements. In contrast, certificates do not have ongoing maintenance or renewal requirements and therefore,
cannot be revoked.
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5. Requirements for Certificate Issuers
5.1 Organizational Structure and Administration—The certificate issuer shall be structured and administered in such a way that
confidence is given to stakeholders of its authority and qualifications to 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 program’s purpose, scope, and intended outcomes are shall be consistent with the stated mission and work
of the certificate issuer.
5.1.3 The certificate issuer shall have a clearly designated authority charged to administer the certificate program and ensure
compliance with the provisions of this practice.
5.1.4 Advisory Group—The certificate issuer shall create and sustain an advisory group composed of and representing the
interests of the certificate program’s primary stakeholders.
5.1.4.1 The advisory group shall advise certificate program management on issues integral to ensuring the certificate is current,
relevant, and valuable to its primary stakeholders.
5.1.4.2 The advisory group shall have input into, at minimum, the certificate program (1) target audience, (2) purpose, (3) scope,
(4) requisites, (5) term, (6) intended learning outcomes, and (7) instructional design plan.
5.1.4.3 The advisory group shall convene to advise certificate program management, at minimum, (1) when the elements of
5.1.4.2 are initially created or when changes are proposed, and (2) when a program evaluation is conducted.
5.2 Management System—The certificate issuer shall have a management system that is capable of supporting the consistent
achievement of the requirements of this standard practice.
5.2.1 Documentation:
5.2.1.1 The certificate issuer’s certificate program management shall establish and document objectives and policies for its
certificate program activities.
5.2.1.2 Policies (and procedures, where applicable) of the certificate program shall be fair and equitable and comply with all
applicable regulatory and statutory requirements and legal obligations.
5.2.1.3 There shall be written policies outlined to address, at a 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 support and disclosure;
(9) Fees, cancellation, and refunds;
(10) Nondiscrimination;
(11) Personnel;
(12) Outsourcing;
(13) Records control;
(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 issuer shall have a process for document control that addresses the proper control of document creation,
approval, revision and reapproval, distribution, and prevention of obsolete document use.
5.2.3 Records Control:
5.2.3.1 The certificate issuer shall have a process for records control that addresses which records are kept, by whom, for how
long, and how they are disposed.
5.2.3.2 Records of certificates issued shall be maintained for a period of time beyond the term identified on the certificates to
allow stakeholders reasonable access to such records.
5.2.3.3 If applicable, records of academic or continuing education credits granted shall be maintained consistently with the
provisions specified by the agency administering the credit and any applicable national standards.
5.2.4 Internal Audit:
5.2.4.1 The internal audits shall be planned and conducted on a regular basis.
5.2.4.2 The results of the audits shall be documented and communicated to certificate program management.
5.2.5 Corrective and Preventive Action:
5.2.5.1 The certificate issuer shall have a process for identifying current or potential issues in its certificate program activities
and for managing corrective and preventive actions.
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5.2.5.2 The certificate issuer shall identify the causes of issues/potential issues and plan for their correction/prevention.
5.2.5.3 Certificate program management shall approve and appropriate personnel shall implement corrective and preventive
actions.
5.2.5.4 The certificate issuer shall track corrective and preventive action progress and issue resolution.
5.2.6 Management Review:
5.2.6.1 The certificate issuer shall have a process for its certificate program management to review the management system to
ensure continued suitability, adequacy, and effectiveness.
5.2.6.2 These reviews shall be planned and conducted on a regular 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 evaluation(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 the
following:
(1) Improvement of the management system;
(2) Improvement of the certificate program activities; and
(3) Resource needs.
5.3 Personnel:
5.3.1 Personnel shall be assigned to implement the certificate program policies (and procedures, where applicable).
5.3.2 The certificate issuer shall communicate current policies (and procedures, where applicable) to relevant personnel and
provide training as needed.
5.3.3 The certificate issuer shall have sufficient personnel to conduct certificate program activities properly.
5.3.4 The certificate issuer shall define the qualifications for personnel involved in certificate program activities.
5.3.5 Personnel shall be qualified for their assigned roles on the basis of appropriate education, training, or experience, or
combination thereof.
5.3.6 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.
5.4 Financial Management—The certificate issuer shall demonstrate responsible financial management and have sufficient
financial resources to conduct certificate program activities properly.
5.4.1 Formal financial reports shall provide evidence of financial stability.
5.4.1.1 Where certificate programs are one element of a certificate issuer’s activities, the certificate program finances shall be
a clear and identifiable component of overall reports.
NOTE 1—The financial reports should provide evidence that the certificate issuer can sustain the certificate program in conformance with the
requirements of this practice for a reasonable amount of time.
5.4.1.2 Written procedures shall exist for proper financial controls.
5.5 Communication to Primary Stakeholders—The certificate issuer shall demonstrate responsible and timely communications
to primary stakeholders of the certificate program.
5.5.1 The certificate issuer shall publish (or make available to primary stakeholders) the following information in advance of
the program:
(1) Certificate program purpose, scope, and intended learning outcomes;
(2) Description of the requisites to earn the certificate;
(3) Qualifications of instructional personnel;
(4) Fees, deadlines, cancellation, and refund policies;
(5) Statement about what inferences can appropriately be made regarding certificate holders;
(6) Information collected by the certificate issuer that is treated as confidential and the conditions for disclosure of information
to parties other than the individuals providing it or the certificate issuer;
(7) If applicable, academic or continuing education credit earned, specified in the terms outlined by the credit-approving entity;
(8) If applicable, commercial support disclosure;
(9) If applicable, any changes to the certificate program purpose, scope, intended learning outcomes, requisites, and the
effective date of the changes; and
(10) If applicable, special requirements for participation (such as technology equipment or skills).
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5.5.2 The certificate issuer shall represent the certificate program and its purpose, scope, and intended learning outcomes in an
accurate and responsible way.
5.5.2.1 The certificate issuer shall not state or in any way imply that certificate holders are certified, licensed, accredited, or
registered to engage in a specific occupation or profession.
5.6 Management—Outsourcing and Commercial Support: The certificate issuer shall be responsibly and effectively managed
and operated.
5.2.1 Policies and procedures of the certificate program shall be fair and equitable and comply with all applicable regulatory
and statutory requirements and legal obligations.
5.2.1.1 There shall be written policies and procedures outlined 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) 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 systematically and effectively the policies and procedures within a framework
that is clearly defined and understood.
5.2.2 The certificate issuer shall 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 appropriate education, training, or experience, or
combination thereof.
5.2.2.3 The certificate issuer shall evaluate on an ongoing basis the qualifications of personnel to perform assigned roles.
Training and
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