OAR 804-025-0035: Auditing of PDH

(1) Each active registrant is subject to being audited annually. (2) The Board randomly selects registrants for audit on a quarterly basis during each year. (3) Registrants receiving an audit notification shall provide documentation of satisfying the continuing education requirements for the audit period within 21 days or by the deadline set by the Board in writing. Documentation shall at a minimum include: (a) The Board-approved PDH log identifying all PDH activities for the audit period; and (b) Supporting documentation validating all PDH for the audit period for which the registrant is seeking credit, except that the registrant is not required to submit PDH documentation for PDH activities identified on the log beyond the annual PDH requirement unless the registrant is requesting Board confirmation of carryover hours that can be applied to the subsequent renewal period; and (c) Proof of exemption from the continuing education requirements per OAR 804-025-0010(1), where applicable. (4) If the documentation provided by the registrant in response to audit is incomplete or requires clarification, the registrant may be provided with an opportunity to provide additional written clarification or additional documentation. The registrant will be notified in writing of the information needed to complete the audit review and the deadline for submittal of the requested information. (5) PDH documentation received from the registrant is reviewed by the Board’s Continuing Education Coordinator (CEC). (6) The CEC recommendation will be presented for approval to the Board, except for audits completed for reinstatement of registration purposes as per OAR 804-022-0020(7). The CEC may include in the recommendation, when applicable, any information gathered during the audit process that may inform the Board’s consideration under either (7) or (8) of this rule. (7) If the Board finds through audit that the registrant completed some acceptable PDH but less than the required PDH during the audit period or has unacceptable documentation of PDH completed during the audit period, the Board may, at its discretion, allow the registrant up to 90 days after notification to substantiate the original PDH claim or to document other continuing education activities completed during or after the audit period sufficient to meet the minimum PDH requirements for the audit period. The Board shall not reduce the PDH required absent an exemption granted under 804-025-0010. (8) If the Board finds through audit that the registrant failed to complete any acceptable PDH during the audit period, the Board may, at its discretion only if there are extenuating circumstances that the Board finds justify the failure to complete PDH, allow the registrant up to 90 days after notification to complete the minimum PDH required for the audit period. The Board shall not reduce the PDH required absent an exemption granted under 804-025-0010. (9) If the registrant fails to furnish the PDH documentation and information required by the Board or if the documentation and information provided is not sufficient to meet Board PDH requirements, the registration may not be renewed. Alternatively, or in addition to non-renewal of registration, the Board may pursue other disciplinary actions, including the imposition of civil penalties, for non-compliance per ORS 671.404, 671.408, and 671.995. (10) Written notification of the Board’s decision on the audit will be issued to the registrant. (11) It is the responsibility of the registrant to identify all PDH completed on the PDH log. Any carryover PDH may be used only in the renewal period immediately following the audit period. A letter informing the registrant of approved carryover hours may be submitted without additional documentation for those PDH if the registrant is selected for audit in the next year.