Ohio Admin. Code 4761-9-07 - Auditing for compliance with RCCE requirements

(A) To monitor compliance with the RCCE requirements, audits shall may be conducted retrospectively on random samples of licensees and permit holders, or in response to complaints received by the board.the following:

(1) A random sample of license and permit holders;

(2) Licensees who indicate non-compliance with the RCCE portion of the annual license or limited permit renewal form; and

(3) Licensees who fail to complete the RCCE portion of the license or limited permit renewal form.

(B) Audits may also be conducted in response to complaints received by the board or upon reporting less than the required number of contact hours on a renewal application.

(C) (B) Audits may be required at any time within the year following the renewal of a license or limited permit or within the three year period following the renewal of a license.

(D) (C) The audit procedure shall be as follows:

(1) Licensees shall receive a notice of audit by regular mail which includes the rationale for the audit, the term of RCCE collection under consideration, and instructions for compliance with the audit;

(2) Audited licensees or limited permit holders shall be required to submit notarized proof of RCCE validating the evidence of completions of the required contact hours by license type under rule 4761-9-04 of this chapter;

(3) Licensees shall have thirty days to comply with the audit request;

(4) Audit investigations shall be conducted on a schedule determined by the board.

(5) Proof of RCCE submitted to the board in response to an audit shall not be returned to the licensee or retained by the board after verification of RCCE is established in accordance with this chapter;

(E) The board shall verify all proof of RCCE submitted in response to a notice of audit.

(1) If the information submitted to the board in response to a notice of audit meets the requirements of the board, no further action shall be taken.

(2) If the information submitted to the board in response to a notice of audit indicates non-compliance of any kind, the licensee shall receive a report outlining the areas of non-compliance. The licensee will have fifteen days from the receipt of the report to file a written response with the board.

(3) If the board does not receive a satisfactory response to the notice of audit within thirty days, as set forth in paragraph (D)(3) of this rule, or to the report of non-compliance within fifteen days, as set forth in paragraph (E)(2) of this rule, there shall be an opportunity for hearing notice issued in accordance with Chapter 119. of the Revised Code and rule 4761-11-02 of the Administrative Code. Pursuant to a hearing in accordance with Chapter 119. of the Revised Code, the board may impose one or more of the sanctions provided in section 4761.09 of the Revised Code, including the imposition of fines, as set forth under rule 4761-11-03 of the Administrative Code.

Notes

Ohio Admin. Code 4761-9-07

Effective: 9/30/2020
Five Year Review (FYR) Dates: 6/19/2020 and 09/30/2025
Promulgated Under: 119.03
Statutory Authority: 4761.03
Rule Amplifies: 4761.03, 4761.06
Prior Effective Dates: 01/01/1994, 01/01/1996, 09/21/1998, 03/26/2001, 07/11/2003