3901-5-04 Market practices/audit.

(A) Purpose

The purpose of this rule is to establish criteria, standards and procedures for providers of continuing education programs.

(B) Authority

This rule is promulgated pursuant to the authority vested in the superintendent under sections 3901.041 and 3905.486 of the Revised Code.

(1) A course must be offered and presented as approved. The failure to do so may result in a denial of CE credit for the course.

(2) A provider must inform the department, in writing, of any change in a course’s location, date or time no later than fifteen days prior to the course. Written notice of any other changes to a provider or course application must be given to the department no later than fifteen days subsequent to the effective date of the change. Notice of such changes must contain the activity number for each course.

(3) Providers may not change a course’s content or outline without prior written approval of the department. Failure to obtain such written approval in advance of the course may result in a denial of CE credit for the course.

(4) An approved course must be in session on the date(s) scheduled, during the specified hours and at the designated location unless cancelled in accordance with paragraph (C)(5) of this rule or unless notification of any change is given to the department in accordance with paragraph (C)(2) of this rule.

(5) If an approved course is cancelled, or if a licensee cancels in advance of the date of the course, the provider must refund all fees in full within forty-five days of the cancellation unless a different refund policy is conspicuously printed on the provider’s materials.

(6) If a course is postponed to a later date or moved to a different location, the provider must offer each licensee who is scheduled to attend the option of a full refund in lieu of attending the class.

(7) A provider will comply with the EEO and the Americans with Disabilities Act.

(8) Facilities must be large enough to comfortably accommodate all attendees and instructors and must be conducive to the education process.

(9) Facsimile or electronic transmission of filings required under this rule will not be accepted without prior authorization.

(D) Attendance rosters

(1) Each provider shall maintain accurate attendance records for each course. Providers must obtain the licensees’ signatures and appropriate verification of the time of arrival and departure.

(2) Within fifteen days after completion of a course, the provider shall file an attendance roster, or other documentation acceptable to the superintendent, which identifies each licensee who completed the course. The roster must include the name, address, and license identification number of each licensee. If partial credit is being given, the provider must note on the attendance roster the actual number of credits to be given to that licensee. The participation fee amount must be equal to the number of credits approved for the course.

(3) Instructors may receive double the number of credit hours which they taught. Any instructor for whom CE credit is sought shall also be identified on the attendance roster with a notation of the total number of credits that are to be given for the instruction. Providers must include a participation fee equal to the number of credits given to the instructor.

(4) The provider’s failure to timely file an attendance roster, or other acceptable documentation, may result in a denial of CE credit for those licensees who attended the course.

(E) Advertising

(1) All CE advertising or promotion of any kind must contain all of the following:

(a) The complete name of the provider as it appears on the application for provider approval;

(b) The complete title of the course as it appears on the application for course approval;

(d) Whether an exam is required in order to receive CE credit.

(e) Level of course instruction (i.e. introductory, intermediate, advanced).

(2) A provider may not represent that a course has been approved for CE credit in Ohio until the superintendent issues written approval of course. A provider may represent that an application for CE approval is pending, but if a provider does so and approval is not granted, the provider must make a full refund of all fees. If a provider represents that approval is pending, the provider must also state, in substance, that the superintendent could approve the course for fewer hours than requested.

(3) A provider shall not offer any guarantee or represent that there is any guarantee that a licensee will pass a required examination.

(4) If several approved courses are offered together, all advertising and promotional materials must separately identify each approved course and the respective number of CE credit hours for which each course is approved.

(5) In advertising or promoting itself or any of its courses, a provider shall not make any representation or statement, or cause or permit another to make any representation or statement which is false, deceptive or misleading.

(6) A provider’s refund policy must be clearly and conspicuously disclosed in all advertising and on all printed promotional materials.

(F) Audit

(1) The superintendent may audit a provider’s records and courses at any time without prior notice.

(2) The instructors at an approved course may be required to provide proof of identity upon request during an audit of a course.

(G) Records retention

(1) Each provider shall retain all records which pertain to its Ohio CE activities for a minimum of four years.

(2) A provider must be able to verify who attended and completed each course for a minimum of four years following the completion of such course.

(H) Forms

(1) All forms required by this rule may be obtained from the Ohio department of insurance. The forms may be copied.

(2) Providers will receive a complete set of blank forms upon approval. Additional blank forms are available from the department on a limited basis. Providers who make repeated requests for blank forms or requests for large quantities of blank forms may be charged a fee.

(I) Certificate of completion

A provider shall provide a certificate of completion to each licensee within seven days of the conclusion of a course. The certificate of completion shall contain the name and license number of the licensee, the name and identification number of the course, the date(s) the course was held, the number of credit hours completed by the licensee and the name and identification number of the provider. A representative of the provider shall sign each certificate.

(J) Severability

If any paragraph, term or provision of this rule is adjudged invalid for any reason, such judgment shall not affect, impair or invalidate any other paragraph, term or provision of this rule, and the remaining paragraphs, terms and provisions shall be and shall continue in full force and effect.

Effective: 09/22/2005

R.C. 119.032 review dates: 07/08/2005 and 12/31/2009

Promulgated Under: 119.03

Statutory Authority: 3901.041, 3905.486

Rule Amplifies: 3905.484

Prior Effective Dates: 12/31/93, 10/12/98