Compliance Audit

The purpose of the compliance audit is to confirm the responses provided to NASBA during the most recently submitted self-certification online renewal. The main contact of the organization will receive an email notification that your organization has been selected for audit. You will be required to acknowledge the notification and submit your program list for the period under audit. Please see the below chart to review 2016 audit period dates.

Complaince Audit
If Renewal Month is: Then, Audit Period is:
August 8/1/2014 - 7/31/2015
September 9/1/2014 - 8/31/2015
October 10/1/2014 - 9/30/2015
November 11/1/2014 - 10/31/2015
December 12/1/2014 - 11/30/2015
January 1/1/2015 - 12/31/2015
February 2/1/2015 - 1/31/2016
March 3/1/2015 - 2/29/2016
April 4/1/2015 - 3/31/2016
May 5/1/2015 - 4/30/2016
June 6/1/2015 - 5/31/2016
July 7/1/2015 - 6/30/2016


Sponsor Actions

Acknowledgement Form and Submission of Program List: Respond within 1 week of receipt of audit notice

Audit Form: Respond within 2 weeks of notice of program selection

NASBA will select the program(s) for audit and send a second email with the link to the audit form. You will then upload the supporting audit materials. When you submit your audit documentation,  remember that mocked-up materials and templates are not acceptable. Once the audit is completed, the main contact will receive the audit findings report by email. Prompt and thorough responses to the audit request and follow up questions are a requirement to membership on the National Registry of CPE Sponsors. Failure to comply with the audit request and/or failure to respond to questions during the audit process in a timely manner will result in the removal of your organization from the National Registry of CPE Sponsors.