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Subpart 1.

Auditing for compliance.

The board shall perform random audits of the portfolios. Besides random audits, the board may conduct a designated portfolio audit for a licensee who is the subject of any complaint, investigation, or proceeding under Minnesota Statutes, sections 150A.08 and 214.10. The licensee shall receive notification of being audited. A licensee who is selected for an audit shall provide a portfolio to the appropriate board committee within 60 days from the notification date. Failure to comply with the audit documentation request or failure to supply acceptable documentation within 60 days may result in disciplinary action. After completion of an audit, the appropriate board committee shall officially notify the licensee by indicating the determination made regarding professional development compliance. A licensee is considered to be actively licensed during the audit process.

Subp. 2.

Appropriate documentation.

The licensee shall submit true, complete, and accurate documentation. Falsification of any evidence for any renewal period or falsification or omission of documentation may result in disciplinary action.

Subp. 3.

Failure of an audit.


Upon failure of an audit, the appropriate board committee must impose one or both of the following options:


grant the licensee up to six months to comply with written requirements to resolve deficiencies in professional development compliance; or


initiate disciplinary proceedings against the licensee on grounds specified in parts 3100.6100 and 3100.6200 and Minnesota Statutes, section 150A.08, subdivision 1. Deficiencies causing audit failure may include, but are not limited to, the following:


lack of proof of documentation or participation;


credit hours earned outside of renewal period being audited;


excess of earned hours in a category having a maximum if a deficiency exists;


lack of earned hours in a category having a minimum if a deficiency exists;


failure to submit the portfolio;


unacceptable professional development sources; or


fraudulently earned or reported hours.


Failing to comply with the board committee's requirements by the end of the grace period shall result in the expiration of the person's license and termination of the right to practice. A license that has expired according to this part may be reinstated according to part 3100.1850.

Subp. 4.

Audit appeal.

Upon failure of an audit, the licensee has the option to appeal the decision to the board.

Subp. 5.

Mandatory audit.

The licensee must submit to a mandatory audit of the next renewal period by the appropriate board committee when the previous audit was failed by the licensee.

Subp. 6.

Audit fee.

The licensee shall submit to the board the nonrefundable fee in Minnesota Statutes, section 150A.091, subdivision 16, after failing two professional development portfolio audits and thereafter for each failed professional development portfolio audit.

Statutory Authority:

MS s 150A.04


29 SR 306; 31 SR 1238; 35 SR 459; 37 SR 1849; 39 SR 1455

Published Electronically:

May 7, 2015

Official Publication of the State of Minnesota
Revisor of Statutes