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State Board Report

November 2016

When NASBA talks about substantially equivalent enforcement, it is important for the Boards to know that the practices that Board A has in place are comparable to the practices that Board B has in place, Stacey Grooms, NASBA Regulatory Affairs Manager explained to the Annual Meeting. “Your enforcement practices are going to look different as you have different size Boards with different resources, but the goal is to have proactive and effective enforcement practices in place for every Board,” she noted, and NASBA has created the Guiding Principles of Enforcement to designate the hallmarks of what good enforcement practices should look like. The Guiding Principles are the basis for the enforcement evaluation NASBA has been conducting to assist the California Board of Accountancy comply with the CA Mobility Law – Code 5096.21. Ms. Grooms said the project is getting close to the finish line.

California Board Chair Katrina L. Salazar reported that as of July 2016 there were 36 states accepted as substantially equivalent and in November her Board will be considering the NASBA evaluations of additional states. One key issue is each State Board needs to flag disciplinary history on its licensee look-up tool or within ALD/CPAverify to meet the guidelines, and a few Boards are still working on that project. In June 2017 the California Board may initiate rulemaking to remove states from the “no notice, no fee, no escape” mobility provisions if they cannot be determined to be substantially equivalent to the Guiding Principles of Enforcement.

Ms. Grooms reported there are 10 Boards missing the standalone discipline marker and she invited representatives of those Boards to meet with her to see how NASBA can help to get them “through the finish line.”

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