LLR-BOARD OF MEDICAL EXAMINERS

Approved by the Board: May 16-18, 2005 Board meeting

Service Area: Licensure, Physicians

Subject: Continuing Medical Education Audit Procedures and Penalties for non-compliance

Letters are mailed to those licensees randomly chosen to be audited. A deadline to submit the required documentation is given in the letter.

After the deadline to submit documentation verifying continued competency compliance:

  • Staff date-stamps each submittal and attaches a summary/evaluation sheet.
  • Staff reviews documentation for compliance.
  • If compliance is clearly and unquestionably documented, staff sends a memo to licensee stating compliance with the continued competency requirements has been verified and thanking him/her for prompt response.
  • If compliance is unclear or questionable, staff will submit the documentation to the Board's Continuing Medical Education (CME) Committee pursuant to paragraph 4 below.

1. If documentation has not been received within 10 days of the submittal deadline:

  • Staff issues a Cease & Desist Order using a template prepared by LLR's Office of Disciplinary Counsel (ODC) and signed by Administrator.
  • Board staff prepares a Consent Agreement using a template prepared by LLR's ODC, gets ODC to review it, and sends it by certified mail return receipt requested, along with a cover letter and the Cease & Desist Order to the licensee at the mailing address in the Board's file.

The terms of the Consent Agreement are as follows:

First Offense: Public Reprimand, $1,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements. Licensee will be included in the next year's audit.

Second Offense: Public Reprimand, $2,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $1,500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Third Offense: Appearance before the Board at its next regular meeting.

  • Put "tickler” on electronic calendar to remind staff of date due.
  • Change Relaes database to show licensee's license is NOT current after the due date passes without any response.

2. If documentation submitted clearly indicates the licensee has not met the required continued competency requirement:

  • Staff issues a Cease & Desist Order using a template prepared by LLR's Office of Disciplinary Counsel (ODC) and signed by Administrator.
  • Board staff prepares a Consent Agreement using a template prepared by LLR's ODC, gets ODC to review it, and sends it by certified mail return receipt requested, along with a cover letter and the Cease & Desist Order to the licensee at the mailing address in the Board's file. The terms of the Consent Agreement are as follows:

First Offense: Public Reprimand, $1,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Second Offense: Public Reprimand, $2,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $1,500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Third Offense: Appearance before the Board at its next regular meeting.

  • Put "tickler” on electronic calendar to remind staff of date due.
  • Change Relaes database to show licensee's license is NOT current after the due date passes without any response.

3. If documentation submitted clearly indicates the licensee obtained the CE hours or other evidence of continued competency AFTER signing the renewal form:

  • Board staff prepares a Consent Agreement using a template prepared by LLR's Office of Disciplinary Counsel (ODC), gets ODC to review it, and sends it by certified mail return receipt requested, along with a cover letter to the licensee at the mailing address in the Board's file. The terms of the Consent Agreement are as follows:

First Offense: Public Reprimand, $1,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Second Offense: Public Reprimand, $2,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $1,500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Third Offense: Appearance before the Board at its next regular meeting.

  • Put "tickler” on electronic calendar to remind staff of date due.
  • Change Relaes database to show licensee's license is NOT current after the due date passes without any response.

4. If documentation submitted has questionable CME credits and staff is unable to determine if the credits meet CME or other continued competency requirements:

  • Indicate on an evaluation sheet which of the continued competency requirements are in question and why (is it a provider issue, date-obtained issue, subject issue?) and submit the documentation to the Board's CME Committee for an opinion.
  • If the continued competency submitted is approved by the CME Committee:
    • Staff sends a memo to licensee stating compliance with Continued Competency requirements has been verified and thanking him/her for prompt response.

B. If continued competency submittal is disallowed by the CME Committee:

  • Notify licensee that continued competency submittal was disallowed and the reason for the disallowance.
  • Notify the licensee that he/she has 180 days to make up the deficiency or comply. Give a specific date deadline for submitting documentation of compliance.
  • Put "tickler” on electronic calendar to remind staff of date due.

C. If continued competency submittal is disallowed by the CME Committee and the licensee does not timely comply:

  • Staff issues a Cease & Desist Order using a template prepared by LLR's Office of Disciplinary Counsel (ODC) and signed by Administrator.
  • Board staff prepares a Consent Agreement using a template prepared by LLR's ODC, gets ODC to review it, and sends it by certified mail return receipt requested, along with a cover letter and the Cease & Desist Order to the licensee at the public address in the Board's file. The terms of the Consent Agreement are as follows:

First Offense: Public Reprimand, $1,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Second Offense: Public Reprimand, $2,000 fine, obtain the required hours of CE (none of which can be used for the next period's renewal) or other evidence of continued competency. The fine amount is negotiable down to $1,500. In the cover letter, the licensee is given a 10-day deadline date for signing and returning the Consent Agreement. Licensee is reinstated upon satisfaction of all requirements.

Third Offense: Appearance before the Board at its next regular meeting.

  • Put "tickler” on electronic calendar to remind staff of date due.
  • Change Relaes database to show licensee's license is NOT current after the due date passes without any response.

Upon receipt of the signed Consent Agreement:

  • Staff sends letter acknowledging receipt and stating the license was reinstated on the date the Consent Agreement was received. Staff sends copy of signed, final CA to the licensee. Relaes database is changed to reflect licensee's return to active status. Staff posts the Consent Agreement on the Board's website.
  • Staff sends completed Consent Agreement to Office of Investigations and Enforcement for filing and storage.

If a licensee refuses to sign (or ignores) a Consent Agreement or Cease and Desist Order, the case immediately will be referred to the Office of Investigations and Enforcement.