Behind the Scenes: What’s New in ASTM E2659-24, Part 2

In the last post, I covered 2 of the 8 areas of substantive change in the newly released 2024 edition of ASTM E2659: Standard Practice for Certificate Programs. In this one, I’ll walk you through 3 more and explain why they matter.

What’s Changed?

As a reminder, there are eight areas of substantive change. By that, I mean either a requirement has been changed or added such that it likely would change what an existing certificate issuer in compliance with the standard does. These are distinguished from clarifying changes, which don’t actually change the requirements; instead, they clarify the intent.

Detailed Documentation Requirements (Clause 5.2.1.3 and 5.2.1.4)

In the previous version of ASTM E2659, clause 5.2.1.3 required policies (but not procedures) for 17 areas. In the revision, it was distinguished between where it’s essential for senior management of the organization to identify overall expectations versus where the organization needs explicit procedures for how something will be done.

So, besides changes to section 5.2, definitions were added to section 3.

policy, n—a documented statement of defined expectations that guide, influence, and determine decisions or actions. 

procedure, n—a documented description of specified ways to carry out an activity or a process. 

Now, the 5.1.2.3 clause requires only four policies:

• Advisory group composition and responsibilities

• Discrimination

• Fees, cancellations and refunds

• Use of technology-enabled automation, including artificial intelligence (NEW)

The first 3 were already required. The 4th was added because it was felt that certificate issuers needed to identify and document their stance on the use of technology-enabled automation in their certificate programs. Note that the standard is neutral on whether automation is used or not! What is required is that certificate issuers determine if and how they will use it.

Then, 5.2.1.4 was added to specify the required procedures. They include all the areas previously listed as required policies (minus those that still require policies, above):

• Certificate issuance and use

• Invalidating a certificate

• Complaints

• Appeals

• Privacy, confidentiality

• Security, including identity verification

• Program commercial support and disclosure

• Personnel

• Outsourcing

• Records control

• Document control

• Internal audit

• Management review

• Corrective and preventive action.

There is one exception to the list. The previous version required a policy on the certificate program instructional design plan. While an instructional design plan IS needed, it was decided that a policy about the plan wasn’t so that was deleted.

Two items SEEM new but aren’t. Financial control procedures were required by 5.4.12, and procedures related to identity verification were required by clause 6.1.6.5; both requirements for procedures were retained, but moved to the list here so that all procedures are included in one place.

The only NEW areas are designation issuance and use and accommodations. The standard now requires procedures for these areas.

One might argue that accommodations were already covered in the 2018 standard edition since the standard required all policies and procedures to comply with regulations, and most certificate issuers do have regulations related to accommodations to which they must comply. So, it was likely that organizations did address the need for accommodations. But now the standard is explicit in requiring a procedure that outlines exactly how accommodations are handled.

Strengthened Personnel  Requirements (Clause 5.3) and Outsourcing Requirements (Clause 5.6)

Personnel who support certificate programs must now sign agreements that include provisions for:

• Confidentiality

• Impartiality (including conflicts of interest)

• Security of assessment materials

For personnel, having agreements is a brand-new requirement. However, for contractors, agreements were already required. But, there are now changes to what terms are required. 5.6 continues to require contractor agreements cover confidentiality and conflicts of interest, but it now requires impartiality (which is broader than conflicts of interest – covered next!) and security of assessment materials.

I’ve been asked why impartiality was added when conflicts of interest were already included. It’s essential to recognize that factors beyond conflicts of interest can impact impartiality. Consider this scenario:

An instructor may have a bias against employees from a certain firm and treat them differently in the course – perhaps critiquing their assignments more harshly.

There’s no conflict of interest at work here – the instructor has no personal gain at stake; however, their bias does result in actions that are not impartial. Having bias or favoritism is not the same as having a conflict of interest; yet, both can affect impartiality.

Regarding security, the standard does not prescribe how secure your assessment materials should be. Instead, your organization needs to have your advisory group weigh in on that (clause 5.1.4.2), and you must have a procedure addressing it (clause 5.2.1.4). Your agreement terms should be consistent with those decisions.

In the next post, I’ll be sharing the remaining substantive changes!