What is an AIA/CES Audit?
When AIA/CES receives a complaint concerning a Provider, an audit will be initiated.Complaints are varied, but a majority of complaints pertain to the content of the educational activity. Providers who offer a product specific sales presentation and call it an AIA/CES registered event are often reported to AIA/CES. Additional reasons why Providers may be audited include:
• Failing to report AIA member credits within ten days following the event
• Failing to register an event at least five days prior to offering the event
• Incorrectly registering an event
• Offering HSW/Sustainable Design credit inappropriately
• Failing to follow AIA/CES policies and procedures
• Failing to use course evaluations
• Allowing non-providers to use your provider account
There are three types of audits:
1) an Administrative Audit
2) a Course Audit and
3) a Procedural/Comprehensive Audit
Providers are informed that an audit will be initiated and given the opportunity to collect documentation to submit. Audits involve several elements of information gathering—including phone interviews, anonymous audits, collection of course evaluations, and onsite visits. Providers are given the opportunity to respond to allegations that initiate an audit including appealing a decision.
There are three specific outcomes from an audit. The first outcome is Probation status which can last from 6 to 12 months; during this time the Provider may not register new courses but can offer existing courses. Providers who remain non-compliant can be moved from this status to Inactive status, which can last between 1 and 2 years. During this period Providers may not register new courses, or offer existing courses. Providers may appeal this decision. The final level is Withdrawn status. This is reserved for Providers who have not made any attempts to become compliant even after counseling and attempts to remedy ongoing problems. Providers that are Withdrawn will be removed from the AIA/CES system. This decision is made by the Education Committee and cannot be appealed.
We urge all of our Providers to comply with the course requirements and regulations. If you have any concerns regarding AIA/CES policies and procedures, please see our Provider Manual.