How to Create a Compliance Order (Agency – CE Zoom V2)

Issue additional CE Requirements in Response to Audits, Violations, or Disciplinary Actions

What Are Compliance Orders?
Compliance orders are additional CE requirements assigned to professionals by regulatory agencies. These may be issued for a variety of reasons, including:

• Failure to meet standard CE requirements

• Failing an audit

• Disciplinary actions or corrective measures

• Missing documentation or other compliance-related concerns

Agencies set a due date and required number of CE hours. Professionals are expected to complete the assigned CE within the specified timeframe to return to good standing.

Steps to Create a Compliance Order

1. Go to the Total Professionals Manager
From your Agency Dashboard, click “View all” in the Total Professionals section.

2. Locate the Professional

• Use the search bar to find the professional by name.

• Apply filters (e.g., license type or industry) to narrow your results.

3. Open the Manage Professionals Menu

• In the Actions column, hover over the “Manage Professionals” button.

• Select “Compliance Orders” from the dropdown.
  

4. Fill in Compliance Order Details

• Name / Classification: Enter a title for reference (visible to both agency and professional).

• Due Date: Set the deadline for when the CE requirement must be fulfilled.

• Credit Hours: Enter the required CE credit hours (you may use hours and/or minutes).

• Descriptive Notes (Optional):

  • Select Yes to add specific instructions or additional requirements.

  • A text editor will appear for you to enter details.

5. Save the Compliance Order
Click Save to finalize and assign the order.

6. Compliance Order Management

• The assigned compliance order will appear in the Pending Re-submission | Pending Compliance Orders manager.

• Use this section to monitor the professional’s progress toward fulfilling the order.

• Once the required CE is submitted, the order will move to the Chosen for Audit section.

• You can then review the submitted CE records to determine if the compliance order has been satisfied.