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State Board Report

April 2013

In Tucson, executive directors were given a peek at the training videos prepared by NASBA, in cooperation with the Enforcement Resources Committee, to prepare investigators for working with Accountancy Boards. Rather than host a day-long investigator training session, NASBA decided to produce a six-module training program that would be available to the Boards’ personnel throughout the year at no cost to them. Based on input from the Committee and their subject matter experts, the modules were scripted by NASBA Regulatory Affairs Manager Stacey Grooms, Esq., who previously served as the attorney for the Tennessee Board of Accountancy. Each of the modules is 6-11 minutes long. The training program is on the NASBA home page.

The Committee has also launched other programs to assist the Boards’ enforcement efforts, NASBA Director of Compliance Services Maria Caldwell, Esq., told the State Boards’ executive directors. In response to Boards’ requests, two databases have been created to house information submitted by investigators or expert witnesses who are available to be hired by Boards of Accountancy on a case-by-case basis. Another tool, the Enforcement Resources Guide, is an evergreen collection of information, including model forms and practices. The Enforcement Resource Guide can be accessed through a password protected portal located on the Member Services tab on the site and the Investigator Pool and Expert Witness Pool will be launched soon and be housed in the same area.

Ms. Caldwell pointed out the enforcement value of the Accountancy Licensee Database is increasing as more states come online. As a single source for current license information and disciplinary action, the ALD lends itself to being a key component for Boards’ enforcement efforts at the state level and nationwide in many ways. Disciplinary e-mail alerts are sent to EDs and designated Board staff when a licensee has had his/her license suspended or revoked by a State Board in a different state. There are 43 states on the ALD and 38 on CPAverify now, with most of the remaining Boards in the process of establishing their daily feed.

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