Activity Audits

This audit process helps ensure that the eligibility requirements are upheld. While we do occasionally conduct complaint audits, our audits are generally random. During the audit process, we’ll identify possible areas of improvement and provide feedback on how to improve processes for future activities, so that the CME activities align with our requirements. These eligibility requirements are in place to help create unbiased education from ineligible companies, ensure that the content is evidence based, relevant to the scope of family medicine, and much more.

The AAFP will contact you by email if your activity is selected for an audit. Be sure to keep your files for a minimum of one year after your activity ends. Your activity and/or sessions can be audited up to one year from the end date of the final session. Learner participation documents will need to be kept longer.

The AAFP reserves the right to have a live monitor present at any activity approved for AAFP credit and/or perform a post-activity audit.

• Types of Audits
• AAFP Audit Overview
• AAFP Document Checklist
• Audit Results
   

Types of Audits

The AAFP Credit System conducts three types of audits:

• Random Audits
• Complaint Audits
• Live Audits
   

Random Audits

Random audits help to ensure compliance with AAFP Credit System rules, including the ACCME Standards for Integrity and Independence in Accredited Continuing Education.

The AAFP may perform a random audit on any activity that has been awarded AAFP credit, up to one year from the date of the activity approval. The AAFP will contact the CME provider by email if the AAFP accredited activity is selected for an audit.

Complaint Audits

Complaint audits are conducted when the AAFP is made aware of concerns about any CME activity awarded credit by the AAFP.

Complaint Audit Process

• The CME provider notification and documentation process is the same as that of a random audit. The AAFP communicates audit findings to the CME provider within 60 days of receiving the audit materials.
• The AAFP communicates recommendations and/or required actions.
• The provider must attest to resolve any areas of non-compliance and implement any requirements.
   

Live Audits

Live (i.e., on-site) audits may be random, or they may be prompted by one or more of the following circumstances:

1. Suspicion of industry influence
2. Pattern of issues with the CME provider’s applications for CME credit
3. Learner/faculty complaint

The AAFP may perform a live audit on any activity that has been awarded AAFP credit.

Live Audit Process

• The CME provider is notified in advance if an AAFP Credit System auditor will be present at their activity.
• Auditors are exempted from registration fees.
• Auditors do not claim CME credit for courses they attend in their auditor role.
• Results of live audits are shared with the CME provider upon completion.
   

AAFP Audit Overview

If an activity is selected for an audit, then the application owner of the activity will receive an email notification along with a request to acknowledge the audit. The email will include access to the audit documentation page. The application owner can also access the audit documentation page from their CME provider dashboard by clicking the “Under Audit” link within the status column of the activity. 

Once the audit documentation has been submitted, then the AAFP Credit System has 60 days to review the documentation. If additional information is needed, AAFP staff will notify the application owner.

Activities with substantial or non-compliance findings are required to fulfill an action plan to resolve the areas of non-compliance to ensure compliance for future CME activities.

Failure to complete the audit action plan will result in an automatic suspension of a CME provider’s eligibility to apply for AAFP credit.

Audit Documentation Checklist

The following information must be provided within 30 days of the audit notification date:

AAFP Criteria

• Copies of all the CME activity marketing materials such as agenda, brochure, syllabus, and handouts.
• Performance Improvement or Point of Care activities will include documentation of how learners engaged in each of the required steps.
• Activity planning documentation used for determining audience, professional practice gaps, needs assessment, core competencies, learning objectives, format(s), learner engagement, and outcome method(s).
• Credit calculation for determining the credit requested.
• Evidence of learner outcome (e.g., assessment results or summary of data collected post-activity).
• AAFP member information and description of involvement (if applicable).
• Documentation of AAFP credit statement and AAFP CME seal (if applicable).
• Collaboration information, including letter of agreement (LOA) (if activity was created in collaboration with another organization).
• Educational materials such as presentations, slide decks, articles, and/or journals used during the activity.
  • Access to enduring or online content (if applicable).
     

ACCME Standards

• Describe how your organization complied with Standard 2.1, 2.2, and 2.3.
• Complete the content controller spreadsheet. (Standard 3)
• Provide a copy of your organization’s Relevant Financial Relationship CME Policy and a blank CME disclosure form. (Standard 3)
• Evidence of steps taken to mitigate any relevant financial relationships (if applicable). (Standard 3.4)
• Evidence of disclosure of all relevant financial relationships (or lack thereof) to learners prior to the start of the education. (Standard 3.5)
• Letters of Agreement (LOA), disclosure of commercial support, and expenditure of support (if the activity received commercial support). (Standard 4)
• Description on how your organization complied with Standard 5.

*Please note: The AAFP Credit System has the right to request additional information as deemed necessary when conducting an audit.

The AAFP reserves the right to perform a post-event audit and/or
have a live monitor present at any AAFP accredited CME activity. 
 

Eligibility Suspension

When an activity is found non-compliant in more than one area in an initial audit, the AAFP COCPD Executive Committee reserves the right to suspend a CME provider’s eligibility to apply for AAFP credit.

Failure to resolve areas of non-compliance identified in an audit will result in an automatic suspension of a CME provider’s eligibility to apply for AAFP credit.

Indication that a CME provider has not followed through on its commitment to resolve areas of non-compliance with reasonable effort will result in automatic suspension of a CME provider’s eligibility to apply for AAFP credit.

Audit Results

The AAFP communicates the result to the CME provider, using the following compliance criteria:

Questions?

Contact AAFP Credit System
cmecredit@aafp.org
(800) 274-2237