Benefits of the ERG – Component 2

Enforcement Newsletter

August 2013

In the last issue of the Enforcement Newsletter, we discussed an overview of the Enforcement Resource Guide and Component 1 of the Guide. Component 2 deals with Management of the Complaint. This component looks at the standard steps involved in managing a complaint file from receipt of the complaint through resolution. The specific steps involved may vary among boards depending on board structure and authority, but the Guide provides an overview of the most typical complaint process.

Upon receipt by the Board, the complaint will be sent to the Respondent for response with a given time limit for response. The complaint may be assigned for investigation if more information needs to be gathered. The board, or an authorized person or committee, will then determine whether to proceed with formal charges or offer an alternative means of resolution, such as an information conference or consent order. If a civil or criminal suit is also pending regarding the subject of the complaint, then the board’s complaint file may be put on hold through the use of a Litigation Monitoring Consent Order in which the parties will agree to suspend the board’s investigation or prosecution of the complaint until after all related civil or criminal matters are resolved.

In each newsletter, we will explore another Component of the ERG. We hope you will use this opportunity to become familiar with the ERG and the benefits it offers to our accountancy boards. Remember that the Guide includes models of state enforcement guides and also provides sample forms for most of the steps discussed above. If you have any information or samples you would like included in the Guide, please forward them to Stacey Grooms at [email protected].

The Enforcement Resource Guide is in a web-based format that is available to current executive directors and members of boards of accountancy through a password protected section of NASBA.org. Any questions regarding the guide can be directed to Stacey Grooms at [email protected].