Audit-Proof Your CE Program: A Comprehensive Compliance Checklist

Continuing education providers face complex compliance requirements from multiple accrediting bodies, state boards, and professional organizations. Missing a single detail can jeopardize your approval status, invalidate CE credits, or trigger costly audits. This comprehensive checklist will help you build and maintain an audit-proof CE program using systematic processes and your CE management platform.

Use this as a working document for every event you plan, adapting sections as needed for your specific accrediting bodies and professional audiences.

Phase 1: Provider Setup and Approval Status

Provider Approval Documentation

Status Check:

• Current provider approval status is active and documented
• Approval expiration date is calendared with 90-day advance renewal reminder
• Copies of approval letters and certificates are filed and accessible
• Provider number/ID is documented and correct
• All approved credit types are documented (e.g., psychology, social work, nursing, CME)

Approval Statements:

• Current provider approval statement language is saved in CE-Go certificate templates
• Statement matches exactly what's required by accrediting body
• Statement includes provider number and all required disclosures
• Statement is visible on certificates, landing pages, and marketing materials
• Backup copy of required statement language is saved externally

Reference Resource: For detailed requirements specific to your accrediting body (APA, NASW, ANCC, NBCC, and more), visit the CE-Go CE Requirements Guide:

https://help.ce-go.com/collection/718-ce-requirements

Co-Sponsorship (if applicable):

• Co-sponsorship agreement is signed and filed
• Co-sponsor's approval status is current and documented
• Co-sponsor's provider statement is accurately displayed
• Responsibilities are clearly defined between organizations
• Contact information for Account Manager is current

Action if gaps identified: Contact your accrediting body immediately to resolve status issues. If using CE-Go's co-sponsorship, contact your Account Manager for assistance with approval language.

Phase 2: Pre-Event Planning and Documentation

Content Development and Review

Learning Objectives:

• Learning objectives are written in measurable terms (using action verbs)
• Objectives are appropriate for stated audience and complexity level
• Number of objectives aligns with session length and content depth
• Objectives are displayed on landing page, attendee materials, and certificates
• Objectives meet accrediting body's specific requirements

Content Quality:

• Content is evidence-based with current references
• Bibliography/reference list is complete and properly formatted
• Content is free from commercial bias and promotion
• Content relevance to professional practice is clear
• Materials are appropriate for stated CE credit hours

Educational Format:

• Delivery format is clearly stated (live webinar, in-person, hybrid, self-paced)
• Format is approved for CE credits by your accrediting body
• Any interactive elements or required participation are defined
• Technical requirements for virtual events are communicated

Presenter Qualification and Disclosure

Using Call for Presentations:

• CFP form is configured with all required presenter information fields
• Learning objective submission requirements are clearly explained
• Reference/bibliography requirements are specified
• Disclosure forms are included as required submissions
• Deadline for proposal submission is set

Presenter Documentation:

• Current CV or biographical information is collected and filed
• Professional credentials and licenses are verified
• Expertise in presentation topic is documented
• Professional headshot and contact information are complete
• Any co-presenters have completed all required information

Conflict of Interest Disclosures:

• All presenters have completed disclosure forms
• Financial relationships relevant to content are identified
• Commercial support or sponsorship is disclosed
• Disclosure statements are approved and display-ready
• Disclosures will be visible to attendees (landing page, pre-session slides, certificates)

Action if gaps identified: Use CFP management tools to track incomplete submissions. Send reminder emails to presenters with outstanding documentation before finalizing event setup.

Phase 3: Event Setup

Event Details Configuration

Basic Event Information:

• Event title accurately reflects content
• Event date(s) and time(s) are correct (verify time zone)
• Event description is complete and accurate
• Session duration matches actual CE credit hours awarded
• In-person events include venue information and directions
• Virtual events include technical requirements and access instructions

Landing Page:

• Organization logo and branding are uploaded
• Event description highlights CE credit availability
• Presenter photos and bios are displayed
• Learning objectives are visible
• Provider approval statement is prominently displayed
• All disclosures are visible
• Registration options are clearly explained

Registration and Ticketing:

• Ticket types are set up correctly (early bird, regular, member/non-member)
• Pricing is accurate
• If using Stripe Connect, banking details are current
• Discount codes or coupons are configured and tested
• Registration deadline is set appropriately

Attendance Tracking Setup

Select Appropriate Method:

For Virtual Events:

• Zoom integration is configured correctly
• Attendees receive personalized Zoom links via their Attendee Dashboard
• Attendance duration tracking is automatic through Zoom integration
• Minimum attendance threshold is set (e.g., 80% of session time)

For In-Person Events, choose from:

Option 1: QR Code Scanning

• Scanning is selected as attendance tracking method
• Attendance threshold is set for each session
• Printable attendee badges with QR codes are generated
• Volunteers are assigned and trained on scanning process
• Volunteer access links are shared for smartphone or Bluetooth scanner use

Option 2: Word Verification

• Word verification is enabled
• Unique verification codes are created for each session
• Presenters know when and how to share verification codes
• Attendees are informed they'll need to enter codes on Attendee Dashboard

Option 3: Attendee Self-Select

• Self-select is enabled for multi-session events
• Attendees are informed they can select attended sessions after completion
• Backup sign-in sheets are prepared for audit records
• Instructions for self-selecting are included in attendee communications

Option 4: Manual Tracking

• Manual tracking is selected
• Process for checking attendees in/out is documented
• Staff assigned to manage manual roster are trained
• Attendees are informed there will be a delay in certificate access

Documentation:

• Attendance tracking method is documented in event records
• Process is consistent across similar events
• Backup attendance documentation system is in place (even for automated tracking)

Evaluation Configuration

Evaluation Template Setup:

• Appropriate evaluation template is selected for credit type
• All required questions are included per accrediting body requirements
• Learning objective achievement questions are included for each objective
• Questions about commercial bias or promotional content are included
• Presenter effectiveness questions are included
• Overall satisfaction and relevance questions are included

Custom Evaluation Questions:

• Custom questions are added to gather meaningful feedback
• Questions about future topics or needs are included (optional)
• Questions are clear and answerable

Evaluation Access:

• Evaluations are gated to require attendance threshold completion
• Separate session evaluations are configured for multi-session events
• Event evaluation covers overall logistics and experience

Action: Test the evaluation flow from an attendee perspective before opening registration.

Certificate Configuration

Certificate Template:

• Correct certificate template is selected
• Provider approval statement is current and accurate
• All required fields auto-populate correctly: Participant name, License type and number (attendee-verified), Event title, Credit hours earned, Learning objectives met, Completion date(s), Delivery format, Provider signature (if required)

Certificate Distribution:

• Certificates are only available after attendance requirements met
• Certificates are only available after evaluation completion
• Attendees can verify/update license information before download
• Attendees can generate multiple certificates for different licenses
• PDF format is professional and print-ready

Action: Generate a test certificate to verify all information displays correctly.

Communication and Email Sequences

Pre-Event Emails:

• Confirmation email sends immediately upon registration (Includes Attendee Dashboard access link, confirms event date/time and format, provides technical requirements if virtual)
• Reminder email set for 7 days before event (Includes agenda or schedule, reminds about CE credits available, provides parking/venue info for in-person events)
• Reminder email set for 1 day before event (Includes Attendee Dashboard access link, reminds about Zoom access for virtual events, provides last-minute logistics)

Post-Event Emails:

• Thank you email sends within 24 hours of event
• Evaluation reminder sent if not completed
• Certificate access instructions included
• Follow-up resources or materials are shared

Phase 4: During-Event Execution

Real-Time Management

Virtual Event Monitoring:

• Host and panelists have tested Zoom controls before event start
• Practice session was completed with presenters (if using Zoom Webinars)
• Q&A and chat features are configured as planned
• Recording is started and participants are notified
• Attendee participation is monitored via Zoom participant list
• Technical support contact information is readily available

In-Person Event Monitoring:

• Attendance tracking system (QR scanning, word verification, etc.) is operational
• Staff/volunteers are positioned at check-in locations
• Backup sign-in sheets are available at each session
• Technical equipment is tested (microphones, projectors, etc.)
• Room setup matches agenda and capacity requirements

Troubleshooting Protocols:

• Emergency contact list for presenters, IT support, and venue is accessible
• Backup presenter or content plan is documented
• Process for handling presenter no-shows is defined
• Plan for technical failures (internet, Zoom, AV equipment) is in place
• Staff know how to handle attendee disputes or issues in real-time

Attendee Support:

• Help desk or support email is monitored throughout event
• Phone support is available during event hours (CE-Go: 1-888-498-5578)
• Instructions for accessing Attendee Dashboard are readily available
• Process for late arrivals and early departures is communicated

Reference Resource: For detailed step-by-step instructions on setting up live events in CE-Go, visit the Live Events Guide:

https://help.ce-go.com/collection/408-live-events

Phase 5: Post-Event Compliance and Records Management

Data Collection and Verification

Attendance Records:

• Virtual event: Zoom attendance reports downloaded and saved
• In-person event: All sign-in sheets or tracking data collected
• Attendance data matches minimum threshold requirements
• Discrepancies are reviewed and resolved
• Manual overrides are documented with justification

Evaluation Data:

• Evaluation completion rates are reviewed
• Evaluation data is exported from CE-Go platform
• Summary reports are generated for each session
• Custom question responses are analyzed
• Discipline data shows professional mix of attendees

Certificate Distribution:

• All eligible attendees have access to certificates via Attendee Dashboard
• Certificate generation errors are identified and resolved
• Attendees who didn't meet requirements are properly flagged
• Requests for certificate corrections are processed promptly

Record Retention and Documentation

Required Records (Retain per accrediting body requirements):

• Complete attendance records with timestamps
• Sign-in sheets or QR scan logs (if applicable)
• Evaluation responses (individual and summary)
• Copies of all certificates issued
• Presenter disclosures and CVs
• Learning objectives and session materials
• Marketing materials and landing page screenshots
• Provider approval documentation
• Payment and refund records

Data Export and Backup:

• Attendee roster downloaded as Excel file from CE-Go
• Evaluation data exported for all sessions
• Payment reports generated and saved
• Zoom reports saved (attendance, Q&A, chat transcripts)
• All records backed up in secure location outside CE-Go platform

Archiving Process:

• Event is properly archived in CE-Go system
• All documentation is organized in labeled folders
• Retention schedule is noted (typically 4-7 years depending on board)
• Access permissions are set for audit purposes

Audit Preparation

Audit-Ready Documentation:

• All records are organized and easily retrievable
• Attendance verification process is documented
• Any exceptions or special circumstances are explained in writing
• Provider approval status was current during event
• All certificates match attendance and evaluation completion records

Common Audit Triggers (Review and Correct):

• Attendance records showing 100% completion for all attendees (unrealistic)
• Missing evaluation data
• Certificates issued to attendees who didn't meet minimum attendance
• Expired provider approval status during event dates
• Missing presenter disclosures
• Learning objectives that don't match actual content

Quality Improvement Analysis

Performance Metrics:

• Registration vs. attendance rates calculated
• Evaluation completion rates reviewed
• Average satisfaction scores analyzed
• Learning objective achievement percentages assessed
• Technical issues documented and categorized

Continuous Improvement:

• Evaluation feedback reviewed for actionable insights
• Presenter performance assessed
• Attendance tracking effectiveness evaluated
• Communication sequence effectiveness reviewed
• Plans for improvement documented for next event

Phase 6: Financial and Administrative Closeout

Financial Reconciliation

Revenue and Payments:

• All registration payments are reconciled via Stripe Connect
• Payment reports match attendee roster
• Any refunds are processed and documented
• Donation amounts are recorded (if applicable)
• Final payout reports generated in CE-Go

Expense Tracking:

• Platform fees calculated (if applicable)
• Presenter honorariums processed
• Venue costs reconciled (for in-person events)
• Marketing expenses documented
• Final event P&L statement prepared

Refund Processing:

• Refund policy was clearly communicated pre-event
• Refund requests are reviewed against policy
• Approved refunds processed via CE-Go Orders menu
• Refund documentation retained with event records

Reporting to Accrediting Bodies

Provider Reporting Requirements:

• Required annual or quarterly reports are prepared
• Number of events and total participants documented
• CE credits issued per discipline tracked
• Provider fees paid to accrediting body (if applicable)
• Submission deadlines are calendared and met

Additional Platform Features and Best Practices

Leveraging CE-Go Platform Capabilities

Event Duplication:

• Previous successful events duplicated as templates
• Session descriptions and learning objectives preserved
• Attendee information archived for future communications
• Venue information saved for recurring locations

Virtual Exhibitor Hall (if applicable):

• Sponsor content organized and distributed
• Lead generation metrics configured
• Giveaway features set up with random selection
• Sponsor ROI data collected and reported

Chat Forums and Discussion:

• Event chat rooms created to extend engagement
• Discussion forums monitored for questions
• Community building encouraged post-event

Session Recordings (if applicable):

• Recording settings configured in Zoom
• Expiration dates set for recording access
• Download permissions assigned appropriately
• Recordings used for post-event sales (if approved by board)

Attendee Experience Excellence

Dashboard Optimization:

• All Attendee Dashboard elements are tested
• Navigation is intuitive and user-friendly
• Materials are uploaded and accessible
• Agenda displays correctly for multi-session events
• Help documentation is linked prominently

Support and Communication:

• All emails come from support@ce-go.com (standard practice)
• Help Center links are included in communications
• Phone support availability is communicated (1-888-498-5578)
• Email support response times meet expectations

Advanced Compliance Considerations

Accessibility:

• Virtual events note that attendees can enable Zoom closed captions
• Materials are provided in accessible formats when requested
• Physical venues meet ADA requirements (for in-person events)
• Alternative participation options are documented

Privacy and Data Security:

• Attendee personal information is protected per privacy policies
• Attendees are reminded not to share Attendee Dashboard links
• Payment processing complies with PCI standards via Stripe Connect
• License numbers are attendee-verified before certificate download

Complaint Resolution:

• Process for attendee grievances is documented
• Contact information for complaints is accessible
• Resolution timeline is established
• Escalation path includes accrediting body if necessary

Final Pre-Launch Checklist

Before opening registration, verify:

• All CE-Go event settings are complete and accurate
• Test registration completed successfully
• Test certificate generated correctly
• Email sequences are scheduled properly
• Landing page displays all required information
• Payment processing is functional
• Zoom integration is connected (for virtual events)
• Attendance tracking method is configured
• Evaluation template is finalized
• Provider approval statement is current and visible

Resources and Support

CE-Go Platform Support:

• Help Center: help.ce-go.com
• Email: support@ce-go.com
• Phone: 1-888-498-5578
• Office: 9450 SW Gemini Dr Unit 65397, Beaverton OR 97008

Account Management:

• Contact your dedicated Account Manager for co-sponsorship questions
• Request demos for new features or advanced capabilities
• Schedule training sessions for staff on platform usage

Professional Development:

• Review CE-Go blog for best practices and industry updates
• Stay informed about accrediting body requirement changes
• Connect with other CE-Go client organizations for peer learning

Conclusion

Maintaining an audit-proof CE program requires attention to detail, systematic processes, and thorough documentation. By following this comprehensive checklist and leveraging the full capabilities of your CE-Go platform, you can ensure compliance, provide excellent attendee experiences, and focus your energy on delivering high-quality educational content.

Remember: Compliance isn't just about avoiding audits. It's about demonstrating your commitment to professional development excellence and protecting the value of the CE credits you provide. When in doubt, document everything, and don't hesitate to reach out to your accrediting body or CE-Go Account Manager for guidance.

Print this checklist and use it for every event. Consistent processes create audit-proof programs.

Schedule a free demo today to see how CE-Go can help you create more engaging, community-driven events.