Secretary of State Intranet

Policy Manual

Office of Professional Regulation
Renewal Procedures

Last updated: August 1, 1997

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Late Fees Preparation, Mailing of OPR Renewal Forms
Processing Renewals
Posting Renewals
Printing, Reconciling the Renewal Check Log
Returning Incomplete Renewals
Late Fees
First-Time Applicant Fees

Preparation, mailing of OPR renewal forms

• The Administrator has the responsibility to see that renewal forms, and all other published materials used by the unit, are current, accurate and clear.
• The Administrator for the profession renewing shall prepare renewal forms and obtain approvals from:

                    1.   a staff attorney, regarding legal compliance;
                    2.   the Board, when there is a Board.

• The Administrator shall cause the renewal mailing labels to be produced and shall make the necessary arrangements with the job printer to print, stuff and mail the renewal forms.
• The Administrator shall notify the Operations Manager of the type (bulk, pre-sort first class, or first class) and date of mailing and number of pieces to be mailed through a Request for Printing.
• The Administrator shall arrange for a sufficient number of envelopes to be ordered (checking with the designated staff responsible for the envelopes) and transported to the job printer.
• The Administrator shall ensure that, as soon as the renewals are mailed, the designated staff is notified and then enters that information in the appropriate computer database and changes the master record.
• Whenever a renewal form is returned by the Post Office as undeliverable, it shall be returned to the Administrator who handles that profession.

Processing renewals

• As the renewals are received, designated staff shall band them in groups, and shall record the date received on the first envelope in each group. (In the event that substantial numbers of renewals are received, this will allow identifying and processing of the oldest renewals first.)
• Designated staff shall process returns as follows:
  1. Remove all contents from the envelope.
  2. Review the renewal form for completeness (signature, date, questions answered.)
  3. Determine whether or not any supporting documentation is required and, if so, confirm that the documentation is included with the renewal.

     If the renewal form is not complete, the designated staff shall clip the renewal components together (including the envelope and all contents) and set aside in a folder marked "RENEWALS TO BE RETURNED".

  4. Review the renewal fee check to be sure that it is:
     • signed
     • dated
     • properly made out (either to the board or the Secretary of State)
     • written for the correct amount

     If the check is not signed, dated, and properly made out, or is written for an incorrect amount, the designated staff shall clip the renewal components together (including the envelope and all contents) and set aside in a folder marked "RENEWALS TO BE RETURNED".

  5. If the renewal is complete and the check is correct, the designated staff shall:
     • If the check includes an appropriate late fee (see Late Fees and First-Time Applicant Fees, below), draw a single line through the amount on the renewal form and directly above it write in the adjusted amount and circle that amount.
     • Write the full license number on the check, e.g. 081-4545, recording this information below the signature or on the memo line. If the check is for multiple licenses, indicate all license numbers on the check.
     • Staple any supporting documentation to the renewal form, clip the check to the form, and if the renewal was received on time, throw away the envelope.

Posting renewals

• Designated staff shall post the renewals to the computer, according to the following instructions:
  1. Enter the licensing system and select "PROCESS".
  2. Select "POST RENEWAL".
  3. The screen prompts you to enter the license type (e.g. 26=nursing, 42=physical therapist, etc.) and the license number (you do not need to enter the zeros in front of the number). Enter this information and then hit ENTER.
  4. The screen then shows the licensee's name, address, etc. It also shows the renewal fee, current renewal period, transaction type "LR" and a box for editing the record.
     • If the information on this line is correct, hit the ENTER key until you reach the "edit" box.
     • If the information for the licensee (name, address, etc.) is not correct, you need to edit the record. Type "Y". You will be shifted into the licensee's record. Make the necessary changes and then exit.
  5. If you hit ENTER at the "edit" box OR once you have completed your edit, a new screen appears requesting the SS# or FED ID #, and DOB (date of birth). Enter that information if the field is empty. Then a screen appears with the message "post this transaction, Y". When you are done entering information and the information is error-free, hit ENTER and the license will begin printing. If you are not ready to post this transaction, type "N" and repeat from step 1.
  6. Once a correct license has printed and the transaction has been posted, place the renewal document face down in one pile and the check face down in another. KEEP THE RENEWAL FORMS IN THE SAME ORDER AS THE CHECKS, AND KEEP BOTH PILES IN THE SAME ORDER IN WHICH THEY WERE POSTED.
  7. Band the renewals, the checks and the licenses and set them to one side.
  8. AFTER THE CHECK LOG IS RECONCILED, separate, fold and stuff the printed licenses and place them in the outgoing mail. Give the posted renewals to the Administrator who handles that license group.

Printing, reconciling the renewal check log

• The designated staff shall run the check log according to the following instructions:
  1. Select "REPORT" from the menu screen.
  2. Select "CHECK LOG".
  3. A screen will appear. Enter your initials. Enter (or adjust) the beginning and ending dates to reflect the actual date the check posting was begun and ended.
• The designated staff shall reconcile the renewal check log according to the following instructons:
  1. Tally the checks using an adding machine, and compare the tally amount to the total on the check log.
     • If totals agree, stamp the back of each check with check deposit stamp.
     • Give the log to the Operations Manager and the checks to the person designated to make deposits.
     • If totals do not agree, match the checks to the check log. As you match each check, attach that check to the back of the log with a paperclip and place a checkmark next to the name on the log. Correct errors to the database and rerun the check log.

Returning incomplete renewals

• Each day, designated staff shall return incomplete renewals to applicants for renewal according to the following instructions:
  • Return all supporting documentation and the check with the incomplete renewal.
  • Use the "Returned Renewal" form letter and complete the following:
    • Type or write the licensee's name and license number on the form letter.
    • Indicate incomplete items with a check mark.
    • If the renewal is postmarked after the expiration date, complete the form section that notifies the applicant for renewal that the renewal must be postmarked within two weeks of the date of the "returned renewal" letter or the expiration date, whichever is later. If the renewal is not postmarked by the date described, the applicant for renewal must include a late fee.
    • Enter the appropriate code(s) for the reason the renewal was returned in the licensee's transaction screen.

Late fees

• The designated staff shall determine when late fees are due according to the following instructions:
  • The determining factor in whether a renewal is considered on time or late is the postmark date on the envelope. The office allows an internal grace period that extends five days past the expiration date. The purpose of the grace period is to take into account holidays, weekends, postal delays and human error. Renewals received with a postmark date up to the fifth day following the expiration are considered on time and are not subject to a late fee. The grace period also applies to renewals that are hand-carried into the office.
  • A $25.00 late filing fee shall be assessed on renewals received after the grace period plus $5.00 for each month over 30 days late, up to $100.00 total.
  • If a renewal is received within the grace period and the check includes the late fee, or if a late fee is included but the postmark is prior to the expiration date, the late fee shall be refunded.

First-Time Applicant Fees

• The designated staff shall determine whether a first-time applicant for renewal is eligible to have a renewal fee waived according to the following instructions:
  • The determining factor in whether a first-time applicant is eligible to have a renewal fee waived is the date the applicant's inital license was granted.
    • If the license was granted no more than 90 days prior to the renewal date, the fee is waived and the license is extended through the renewal period.
    • If the initial license was granted more than 90 days prior to the renewal date, the first-time applicant for renewal is required to pay the renewal fee.
  • If a renewal fee is received for a first-time renewal applicant who received his or her initial license 90 days or less prior to the renewal date, the renewal fee shall be refunded.

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