Agency Guide to Performing an Audit in CE Zoom (V2)

A step-by-step guide to reviewing and auditing submitted CE transcripts

Overview

The audit process allows regulatory agencies to review and verify CE transcripts submitted by professionals. All transcripts selected for audit will appear in the Chosen for Audit Manager. From there, you can view transcript details, approve or deny individual CE records, and update the overall audit status.

Step-by-Step: Performing an Audit

Quick Links
Access the Audit Manager

Understanding the Transcript View

How to Review and Audit a CE Record

How to Edit a CE Record During an Audit

Completing the Audit

Transcripts Marked as Failed Audit

Access the Audit Manager

• Go to your dashboard and click “View All” under the Chosen for Audit section.

• Find the Transcript

  • Use the search and filter tools to locate the specific professional or license.

• Open the Transcript

  • Hover over the Manage Audit button in the Actions column.

  • Click View Transcript.
    

Understanding the Transcript View

Each transcript is:

• Grouped by CE requirements (e.g., Sedation, Ethics, Core Hours).

• Designed to reflect your agency’s specific rules, required topics, and category caps.

All transcript groups are collapsed by default, and you can see the audit status for each:

• Default status: Not Audited

• Once all CE records within a group are approved or denied, the group status updates to Audited

• This makes it easy to track which groups still need your attention

Once all groups are marked as Audited, the overall compliance percentage at the top will show whether the professional has met the requirements.

How to Review and Audit a CE Record

1. Expand a CE group to reveal all submitted CE records.

2. Under the Certificate column, click View

   • This will open the tracking details and the uploaded certificate (if available)

If the view certficate button is grayed out, you can still view the details but no certificate was uploaded. You may still approve the record or deny it for lack of proof.

 

1. Compare CE details to the certificate to verify:

   • Title

   • Hours earned

   • Date of completion

   • Provider

   • Topic (subject)

   • Educational Method

2. Approve, Deny, Edit

   • Approve - If all details are correct mark as approved

   • Deny - If there are descrepencies or the CE was allocated incorrectly

   • Edit - If you would like to correct discrepancies

     • This will retrack and reallocate the CE within the transcript

     • Leave notes for the professional and future reference if you would like

     • Group allocations, applied hours, and audit progress will automatically update

How to Edit a CE Record During an Audit

This allows you to correct misreported hours, incorrect topic groupings, or other errors. All edits are saved in the audit history log.

Complete the Audit

• Repeat the review process for all CE records

• Once all groups show Audited, the system will:

  • Display the final compliance percentage

Use the Audit Status dropdown at the top of the transcript to update the final audit status:

• ✅ Passed Audit – Transcript moves to Green Light Ready Manager

• ❌ Failed Audit – Transcript moves to Pending Re-submission | Compliance Orders

Transcripts Marked as Failed Audit

• All approved CE records are locked to prevent editing

• All denied records remain open so the professional can:

  • Upload certificates

  • Add notes

  • Edit the details

The professional receives a notification that their audit failed and they must resubmit once compliant.
Their transcript is moved to the Pending Re-submission | Pending Compliance Orders Manager, where you can track resubmission progress.