ASTM D8403-21

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:D8403 −21
Standard Practice for
Certificate Programs within the Cannabis and Hemp
Industries
This standard is issued under the fixed designation D8403; 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 (CAPA) for the Cannabis Industry
D8308 Practice for Cannabis/Hemp Operation Compliance
1.1 This practice provides protocols to certificate issuers for
Audits
developing and administering certificate programs for stake-
D8270 Terminology Relating to Cannabis
holders within the cannabis and hemp industries for determin-
E2659 Practice for Certificate Programs
ing best practices for administering professional or procedural
certificate programs within the industries. 2.2 Other Standards:
ANSI/IACET 1-2019 Standard for Continuing Education
1.2 This practice includes requirements for both the certifi-
and Training
cate issuer and requirements for the specific certificate pro-
ANSI/ISO/IEC 17024:2017 ConformityAssessment— Gen-
grams issuing certificates.
eral Requirements for Bodies Operating Certification of
1.3 This practice provides the foundation for recognizing or
Person
certificate issuers to issue certificates to individuals after
completing a certificate program.
3. Terminology
1.4 This practice addresses certificate programs for entities
3.1 Definitions—For definitions relating to cannabis, see
seeking certificates and inclusive of individuals, groups, or
Terminology D8270.
organizationsandisapplicabletotraining-basedcertificatesfor
3.2 Definitions of Terms Specific to This Standard:
personal development and organizational-related certificates to
existing standards or guidelines. 3.2.1 advisory group, n—a group responsible for advising
certificate program management on creating and maintaining a
1.5 This standard does not purport to address all of the
certificate program that is current, relevant, and valued.
safety concerns, if any, associated with its use. It is the
responsibility of the user of this standard to establish appro-
3.2.2 appeal, n—a written request made to the certificate
priate safety, health, and environmental practices and deter-
issuer for reconsideration of an adverse decision made by the
mine the applicability of regulatory limitations prior to use.
certificate issuer related to the certificate program.
1.6 This international standard was developed in accor-
3.2.3 assessment, n—an instrument or method used to mea-
dance with internationally recognized principles on standard-
sure learner attainment of intended learning outcomes (includ-
ization established in the Decision on Principles for the
ing but not limited to oral or written tests, skill demonstrations,
Development of International Standards, Guides and Recom-
portfolios, or work products).
mendations issued by the World Trade Organization Technical
Barriers to Trade (TBT) Committee. 3.2.4 body of knowledge (BoK), n—the prescribed aggrega-
tion of knowledge in a particular area an individual is expected
2. Referenced Documents
to have mastered to be considered or certified as a practitioner.
2.1 ASTM Standards:
3.2.5 certificate, n—a document (letter, card, or other me-
D8229 Guide for Corrective Action and Preventive Action
dia) awarded to certificate holders designating the successful
completion of a certificate program’s requisites.
1 3.2.6 certificate holder, n—an individual issued a certificate
This practice is under the jurisdiction of ASTM Committee D37 on Cannabis
and is the direct responsibility of Subcommittee D37.06 on Personnel Training,
after successfully meeting a certificate program’s requisites.
Assessment, Credentialing.
3.2.7 certificate issuer, n—a legal business entity or govern-
Current edition approved Nov. 15, 2021. Published December 2021. DOI:
10.1520/D8403-21.
ment agency, or operating unit thereof that has ultimate
For referenced ASTM standards, visit the ASTM website, www.astm.org, or
responsibility for administering a certificate program and
contact ASTM Customer Service at service@astm.org. For Annual Book of ASTM
issuing certificates to individuals successfully meeting certifi-
Standards volume information, refer to the standard’s Document Summary page on
the ASTM website. cate program requisites.
Copyright © ASTM International, 100 Barr Harbor Drive, PO Box C700, West Conshohocken, PA 19428-2959. United States
D8403−21
3.2.8 certificate program, n—a non-degree-granting educa- 3.2.23 document control, n—process addressing how docu-
tion or training program consisting of (1) a learning event or ments are created, approved, revised and reapproved, and
series of events designed to educate or train entities seeking distributed and how obsolete document use is prevented.
certificates to achieve specified learning outcomes within a
3.2.24 entities seeking certificates, n—individuals, groups,
defined scope, and (2) a system designed to ensure entities
or organizations seeking certificates against specific guidances,
seekingcertificatesreceivethecertificateonlyafterverification
requirements, or standards.
of successful completion of all program’s requisites, including
3.2.25 formative assessment, n—assessment of a learner’s
but not limited to an assessment of learner attainment of
progress towards attaining the certificate program’s intended
intended learning outcomes.
learning outcomes during the learning event(s).
3.2.9 certificate program instructional design plan, n—a
document that outlines the certificate issuer’s instructional 3.2.26 intended learning outcomes, n—a statement of what
learners are expected to know or be able to do due to the
design model, processes, and implementation plan.
certificate program’s learning event or program (recognizing
3.2.10 certificate program management, n—the individu-
that actual learning outcomes may or may not be those
al(s) who establish and review the certificate program activi-
intended).
ties’ management system.
3.2.27 internal audit, n—first-party review of the certificate
3.2.11 certificate program process, n—all activities by
issuer’s policies and procedures to ensure adherence to this
which the certificate issuer establishes that a person fulfills
practice’s requirements.
specified requisites to earn the certificate, including but not
limited to prerequisites (if applicable), completion of learning
3.2.28 learning event, n—the combination of learning expe-
events, the learner assessment(s), and the certificate decision.
riences designed to assess a learner’s understanding of content
3.2.12 certificate program requisites, n—the certificate pro-
or his/her ability to perform a skill or set of skills that satisfy
gram’s specific requirements that certificate holders shall meet
a set of learning objectives/outcomes.
before being issued the certificate, including but not limited to
3.2.28.1 Discussion—This event can be accomplished by
the essential elements of the assessment of learner attainment
any media sufficient to achieve the learning outcomes, includ-
of intended learning outcomes.
ing but not limited to classroom instruction, distance-learning
3.2.13 certificate program scope, n—the specific range of course, blended-learning activities, conferences, and satellite
competencies, procedures, actions, or processes covered by a transmissions.
certificate program.
3.2.29 learning experience, n—a single instance of learning
3.2.14 certificate term, n—the length of time for which the
obtained during a learning event that demonstrates a specific
issued certificate program’s content is considered current and
learning objective or learning outcome. It could include solv-
relevant.
ing a problem, completing a case study, completing a quiz, or
applying a skill.
3.2.15 certification, n—procedure and action by a duly
authorized body of determining, verifying, and attesting in
3.2.30 primary stakeholders, n—persons, groups, or
writing to the qualifications of individuals, processes,
organizations, or a combination thereof, for which the certifi-
procedures, or items in accordance with applicable require-
cate program is targeted or intended outcomes are directed or
ments.
both.
3.2.16 complaint, n—awrittenrequest,otherthananappeal,
3.2.31 privacy, n—ability of individuals to control access to
made to a certificate issuer for corrective action relating to that
themselves or information about themselves and thereby reveal
issuer’s activities.
themselves selectively.
3.2.17 confidentiality, n—the ability to ensure that informa-
3.2.32 records control, n—process addressing which and
tion is accessible only to those authorized to have access.
howrecordsarekept,bywhom,forhowlongandhowtheyare
3.2.18 contractor, n—an individual or entity external to the
disposed.
certificate issuer that assists in carrying out one or more
3.2.33 stakeholder, n—any person, group, or organization
certificate program activities.
with interest in or who may be affected by the certificate
3.2.19 criterion-referenced assessment, n—an assessment
program.
intended to measure a learner’s performance through items
linked to intended learning outcomes to identify those who do,
3.2.34 summative assessment, n—an assessment of a learn-
or do not meet a defined performance standard.
er’s attainment of the certificate program’s intended learning
outcomes after the learning event(s).
3.2.20 designation, n—the title or label that a certificate
holder is granted to use.
3.2.35 training and education industry generally accepted
3.2.21 designation acronym, n—abbreviated title; usually
practices, n—those practices that can be referenced to existing
the acronym form of the designation, which a certificate holder
training and education industry published professional litera-
is granted to use.
ture or standards, or both.
3.2.22 digital badge, n—the visual representation of a cre- 3.2.35.1 Discussion—This standard does not prescribe any
dential displayed online, according to the issuing organiza- specific practices. certificate issuers can be assured their
tion’s rules. practices are generally accepted if they are referenced in
D8403−21
training and education industry published professional litera- 5.1.4 The certificate issuer shall have a designated authority
ture or standards, or both. charged to administer the certificate program and ensure
compliance with the practice’s provisions.
4. Significance and Use
5.2 Advisory Group:
5.2.1 The certificate issuer shall create and sustain an
4.1 Certificate programs within the cannabis/hemp indus-
advisory group composed of and representing the interests of
tries are offered by community colleges and universities,
the certificate program’s primary stakeholders.
government agencies, employers, independent for-profit train-
5.2.2 The advisory group shall advise certificate program
ing organizations, and professional and trade associations.
management on issues integral to ensuring the certificate is
With the growth of these industries, an increased need for
current, relevant, and valuable to its primary stakeholders.
certificates is expected. While quality guidelines do exist for
5.2.3 The advisory group shall have input into:
continuing education and training providers in general (for
5.2.3.1 The certificate program,
example, ANSI/IACET 1-2019), and for entities offering per-
5.2.3.2 Target audience,
sonnel certification programs (for example, ANSI/ISO/IEC
5.2.3.3 Purpose,
17024:2017), currently, no guidelines exist specifically to aid
5.2.3.4 Scope,
entities offering certificate programs within the cannabis indus-
5.2.3.5 Requisites,
try. This practice aims to standardize and improve the quality
5.2.3.6 Certificate term of validity,
of certificates and has been developed to:
5.2.3.7 Intended learning outcomes, and
4.1.1 Provide certificate program developers and certificate
5.2.3.8 Instructional design plan.
issuersguidelinesforqualityprogramdevelopmentandadmin-
5.2.4 The advisory group shall convene to advise certificate
istration;
program management when:
4.1.2 Form the foundation for a recognition or certification
5.2.4.1 The elements of 5.2.2 are initially created,
system, or both, that enable consumers, employers, govern-
5.2.4.2 Changes are proposed, and
mentagencies,andotherswhorelyuponaskilledworkforceto
5.2.4.3 A program evaluation is conducted.
distinguish between qualified and unqualified workers; and
5.2.5 Management System: —
4.1.3 Assist stakeholders in differentiating between certifi-
5.2.5.1 The certificate issuer shall have a management
cate programs from personnel certifications.
system capable of supporting the consistent achievement of
4.2 In a certificate program, an individual participates in a
this standard practice’s requirements.
learning event or series of events designed to assist him or her
5.2.6 Documentation:
in achieving specified learning outcomes within a defined
5.2.6.1 The certificate issuer’s certificate program manage-
scope; the individual receives a certificate only after verifica-
ment shall establish and document objectives and policies for
tion of successful completion of all program requisites includ-
its certificate program activities.
ing but not limited to an assessment of learner attainment of
5.2.6.2 Policies (and procedures, where applicable) of the
intended learning outcomes.
certificate program shall be fair and equitable and comply with
all applicable regulatory and statutory requirements and legal
4.3 In contrast, in a certificate program, the learning
obligations.
event(s) and the assessment(s) are both developed and admin-
5.2.6.3 Thereshallbewrittenpoliciesoutlinedtoaddress,at
istered by the certificate issuer. There is an essential link
a minimum, the following:
between them. The learning event(s) are designed to help
(1) Advisory group composition and responsibilities;
participants achieve learning outcomes and the assessments are
(2) Certificate program instructional design plan;
designed to evaluate the learners’attainment of those intended
(3) Certificate issuance and use;
learning outcomes (Practice E2659).
(4) Invalidating a certificate;
4.4 Certifications have ongoing requirements for maintain-
(5) Complaints;
ing proficiency and competency and may be revoked for not
(6) Appeals;
meeting these ongoing requirements.
(7) Privacy, confidentiality, and security;
(8) Program commercial support and disclosure;
5. Requirements for Certificate Issuers
(9) Fees, cancellation, and refunds;
(10) Nondiscrimination;
5.1 Organizational Structure and Administration:
(11) Personnel;
5.1.1 The certificate issuer shall be structured and adminis-
(12) Outsourcing;
tered so that confidence is given to stakeholders of its authority
(13) Records control;
and qualifications to issue certificates within the cannabis
(14) Document control;
industry.
(15) Internal audit;
5.1.2 The certificate issuer shall be or reside within a legal
(16) Management review; and
business entity or governmental agency.
(17) Corrective and preventive action.
5.1.3 The certificate issuer shall be a qualified issuer of the
certificate. The certificate program’s purpose, scope, and in- 5.3 Document Control:
tended outcomes shall be consistent with the certificate issuer’s 5.3.1 The certificate issuer shall have a process for docu-
stated mission and work. ment control that addresses the proper control of document
D8403−21
creation, approval, revision and reapproval, distribution, and 5.8.2 The certificate issuer shall communicate current poli-
prevention of obsolete document use. cies (and procedures, where applicable) to relevant personnel
and provide training as needed.
5.4 Records Control:
5.8.3 The certificate issuer shall have sufficient personnel to
5.4.1 The certificate issuer shall have a process for records
conduct certificate program activities properly.
control that addresses which records are kept, by whom, for
5.8.4 The certificate issuer shall define the qualifications for
how long, and how they are disposed.
personnel involved in certificate program activities.
5.4.2 Records of certificates issued shall be maintained for a
5.8.5 Personnel shall be qualified for their assigned roles
period of time beyond the term identified on the certificates to
based on appropriate education, training, or experience, or a
allow stakeholders reasonable access to such records.
combination thereof.
5.4.3 If applicable, records of academic or continuing edu-
5.8.6 The certificate issuer shall evaluate on an ongoing
cation credits granted shall be maintained consistently with the
basis the qualifications of personnel to perform assigned roles.
agency’sprovisionsadministeringthecreditandanyapplicable
Training and development plans shall be implemented where
national standards.
deficiencies are found.
5.5 Internal Audits:
5.9 Financial Management:
5.5.1 The internal audits shall be planned and conducted
regularly (Practice D8308). 5.9.1 The certificate issuer shall demonstrate responsible
financial management and have sufficient financial resources to
5.5.2 The results of the audits shall be documented and
properly conduct certificate program activities.
communicated to certificate program management.
5.9.2 Formal financial reports shall provide evidence of
5.6 Corrective and Preventive Action:
financial stability.
5.6.1 The certificate issuer shall have a process for identi-
5.9.3 Where certificate programs are one element of a
fying current or potential issues in its certificate program
certificate issuer’s activities, the certificate program finances
activities and for managing corrective and preventive actions
shall be a clear and an identifiable component of financial
(Guide D8229).
reporting.
5.6.2 The certificate issuer shall identify the causes of
5.9.4 The financial reports shall provide evidence that the
issues/potential issues and plan for their correction/prevention.
certificate issuer can sustain the certificate p
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