Ohio Admin. Code 3901-5-04 - Continuing education market practices/audit
(A)
Purpose
The purpose of this rule is to establish criteria, standards, and procedures for providers of continuing education (CE) programs.
(B)
Authority
This rule is promulgated pursuant to the authority vested in the superintendent under sections 3901.041, 3905.26, 3905.28, and 3905.486 of the Revised Code.
(C)
Providers must:
(1)
Offer and present
a course as approved by the superintendent. Failure to do so may result in a
denial of CE credit for the course.
(2)
Provide the
superintendent with written notice that includes both the provider and course
identification number at least fifteen days in advance of any change to a
provider or course application.
(3)
No change to a
course's content or outline is effective without prior written approval of the
superintendent. Change to a course's content or outline may result in the
issuance of a new course identification number. Failure to obtain written
approval in advance of offering the course may result in a denial of CE credit
for the course.
(4)
A provider will submit the date, time, and location of
each course to the superintendent at least ten days prior to the offering of
the course. A provider will hold approved course on the date(s) scheduled,
during the specified hours and at the designated location unless cancelled in
accordance with paragraphs (C)(5) and (C)(6) of this rule or unless
notification of any change is given to the superintendent in accordance with
paragraph (C)(2) of this rule. Providers do not need to report examination
schedules for courses approved as self-study.
(5)
A provider will
refund all fees in full within forty-five days of a course's cancellation or in
accordance with the refund policy conspicuously printed on the provider's
materials if an approved course is cancelled or if an agent cancels in advance
of the date scheduled.
(6)
No change to course location, date, time, content, or
applicable refund policy is effective unless the provider issues written
notification to the department and all individuals scheduled to attend prior to
the course offering. Agents scheduled to attend a course that is later
postponed or moved to a different location more than ten miles away from the
original location are entitled to a full refund for any fee paid to attend that
course.
(7)
A provider's failure to monitor course attendance,
examination, or participation or provide reasonable assurance of active student
participation may result in denial of CE credit for that
course.
(8)
A provider will conduct all courses in compliance with
both the "Equal Employment Opportunity" and the "Americans with Disabilities
Acts."
(9)
A provider will endure that facilities are large enough
to comfortably accommodate all attendees and instructors and conducive to the
education process.
(10)
All applications, schedules, and rosters will be
submitted by providers electronically, using a system prescribed or otherwise
approved by the superintendent. Each individual authorized to access the
department's electronic reporting system will have a unique user name and
password.
(11)
Providers are responsible for obtaining the following
information from each agent as part of that agent's course registration:
(a)
National producer
number (NPN);
(b)
First and last name as they appear on the agent's
license record with this state;
(c)
Attestation from
each agent that they will complete the course themselves and without improper
assistance of others; and
(d)
Agent's signature. Electronic signature is
acceptable.
(12)
Providers will retain all records pertaining to its
Ohio CE activities for at least four years, including attendance and credits
awarded.
(D)
Attendance rosters
(1)
Each provider is
responsible for maintaining accurate attendance records for each courseand
obtaining each agent's signature and appropriate verification of the time of
arrival and departure.
(2)
Providers are to file an attendance roster no later
than fifteen calendar days after a course's completion which identifies each
agent who completed the course, their name, national producer number (NPN),
other identification number requested by the superintendent, and number of
requested credits per agent listed on the roster. If partial credit is being
given, the provider will note on the attendance roster the actual number of
credits to be given to that agent. The participation fee amount submitted to
the department will be equal to the number of credits approved for the
course.
(3)
Instructors may receive double the number of credit
hours which they taught so long as the instructor is listed on the attendance
roster submitted by the provider along with the total number of credits that
are to be given for the instruction and payment for 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 agents who attended the
course.
(5)
For association membership credit, the provider must
submit a course roster to the superintendent within fifteen calendar days of an
agent making a written request to the association. Prior to submitting a course
roster, it is the responsibility of the association to verify that the agent's
activity qualifies for association credit.
(a)
The provider may
only submit one qualifying activity or program per roster along with the number
of association credits each agent earned per activity. The provider may issue
association credit on each roster ranging from one credit to no more than four
credits per agent.
(b)
A course participation fee of one dollar per
association membership credit per member will be included with the
roster.
(E)
Advertising
(1)
All CE
advertising or promotion of any kind will 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;
(c)
The number of
Ohio CE credit hours and topic for which the course is
approved;
(d)
Whether an exam is required in order to receive CE
credit; and
(e)
Level of course instruction (i.e. introductory,
intermediate, advanced).
(2)
A provider may
only represent that a course has been approved for CE credit in Ohio if the
superintendent has issued written approval for that course. A provider may
represent that an application for CE approval is pending, but if a provider
does so and approval is not granted, a full refund of all fees will be made. If
a provider represents that approval is pending, the provider will also state,
in substance, that the superintendent could deny course approval or approve the
course for fewer credits than requested.
(3)
No guarantee or
representation that a licensee will pass a required examination may be
made.
(4)
No guarantee or representation that membership in an
organization will automatically qualify for CE credit.
(5)
If several
approved courses are offered together, all advertising and promotional
materials will separately identify each approved course and the respective
number of CE credit hours for which each course topic is
approved.
(6)
No advertising or promotional materials may contain any
representation or statement, or cause or permit another to make any
representation or statement which is false, deceptive or
misleading.
(7)
A provider's refund policy will 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)
Certificate of
completion
(1)
Providers are to issue a certificate of completion,
including the agent's name, national producer number (NPN), course name, course
identification number, course date(s), association credit activity earned
date(s), credit hours completed, provider name, provider identification number,
provider signature, and any other identification number requested by the
superintendent, within ten calendar days of course completion.
(2)
For association
membership credit, the course completion date is based on the date the provider
received a written request from an agent requesting association membership
credit pursuant to paragraph (F)(5) of rule
3901-5-01 of the Administrative
Code or the date of the association activity, whichever is
later.
(H)
Severability
If any portion of this rule or the application thereof to any person or circumstance is held invalid, the invalidity does not affect other provisions or applications of the rule or related rules which can be given effect without the invalid portion or application, and to this end the provisions of this rule are severable.
Replaces: 3901-5-04
Notes
Promulgated Under: 119.03
Statutory Authority: 3901.041, 3905.486
Rule Amplifies: 3905.484
Prior Effective Dates: 12/31/1993, 10/12/1998, 09/22/2005, 01/01/2011, 11/14/2019
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