Introducing Audit

Spot-check professional compliance against CE requirements

Audit for Continuing Education (CE) Compliance

Auditing CE compliance just became easy! We have added two new features to help boards audit CE compliance: Batch Audit and Rolling Audit. Audits allow boards to spot-check professional compliance against CE requirements for a given credential cycle and — optionally — sanction those professionals who fail to accurately report their completed CE hours or units.

Boards choose between the two audit options based on how they want to handle professionals who fail the audit.

Batch Audits are for boards that allow professionals to continue their credential journey regardless of whether they pass or fail the audit. These boards only use the audit to encourage compliance and dissuade inaccurate reporting of CE hours.

Rolling Audits are for boards that want to prevent professionals from completing a credential cycle and proceeding to the next phase in their credential journey if they fail the audit.


Configuring an Audit

Configuring either audit option is very similar. In each case, the board selects a credential or phase, a credential cycle, and a percentage of professionals to audit. The credential or phase must include an education step to be eligible for audit. For example, a board might audit 15% of professionals that have completed their 2020 renewal credential.


How Audits Work

For each audited professional, board staff members review each evidence document submitted by the professional and confirm that the CE hours reported by the professional match the hours presented in the submitted evidence document. Evidence documents are typically certificates of completion provided by a CE course, class, or event provider. We group all evidence documents for a given credential cycle in a digital transcript.

Board staff members review and approve — or reject — each CE evidence document submitted by a professional under audit. The professional has passed the audit when a board staff member has reviewed and approved all their CE submissions. If a professional submits 5 CE hours against a 5-hour credential requirement — and the supporting evidence document confirms those 5 hours — then the board staff member will approve the submission. If the professional submits an evidence document that reports less than 5 hours, then the board staff member will reject the submission.

When a board staff member rejects a CE submission, the professional receives an email — and platform alert — that invites them to resubmit corrected documentation.


Passing and Failing Audits

Any audited professional with one or more rejected CE evidence documents in their transcript has failed the audit. Professionals that fail a Rolling Audit do not complete the credential and may not proceed to the next phase in their credential journey. For example, if they fail the audit on their application, they do not receive their credential, nor can they proceed to their first renewal. If they fail the audit on a renewal cycle, they do not renew and cannot continue to their next renewal cycle.

Unlike professionals subject to a Rolling Audit, professionals that fail a Batch Audit may continue to the next phase in their credential journey.

When a board staff member rejects a CE submission, they trigger an automatic email alert that invites the professional to resubmit the rejected evidence document.

If a board staff member receives and approves a resubmitted evidence document from a professional — and the professional has no other rejected documents in their transcript — then the staff member can update the professional’s record to indicate that they have now passed the audit.


Reporting

For Batch Audits we provide a dashboard that presents the number of professionals enrolled in an audit, along with how many have completed (passed) the audit.