Ala. Admin. Code r. 30-X-7-.02 - Complaint Procedure

(1) In the event a complaint is filed against a certificate holder, permit holder or a registered Public Accountant (licensee) or the Board determines from other information that an investigation is necessary, the procedure for investigation or complaint shall be as follows:

(a) An investigative committee consisting of a Board member, the Executive Director, and/or a consultant shall investigate said information or complaint to determine whether there is probable cause for disciplinary proceedings. If the complaint or information is received by the Executive Director or someone other than a Board member, the Board member on the investigative committee shall be the Board member whose office is closest to the place of business of the licensee who is being investigated or the Board member possessing a specific technical ability related to the complaint. If the complaint or information is received by a Board member, that Board member automatically will become a member of the investigative committee. The Board member who participates on the investigative committee shall not participate in any disciplinary proceedings arising from the investigation.

(b) The investigative committee may exercise subpoena power in investigating any complaint or information obtained regarding a licensee.

(c) The investigative committee may enter into informal settlements with the licensee they are investigating provided said settlement is ratified by the Board.

(d) At the end of the investigation, the investigative committee shall make a recommendation to the Board as to whether probable cause exists for the Board to issue a summons and complaint and initiate a formal disciplinary proceeding. If the investigative committee determines at this time that no probable cause exists, the proceedings will terminate at that point.

(2) In the event the investigative committee determines that probable cause exists for the filing of a summons and complaint, the Board shall instruct its counsel to prepare such.

(3) The summons and complaint shall be mailed by certified mail, return receipt requested, and regular first class mail to the most recent address of the respondent on file with the Board and shall be mailed at least 35 days prior to the scheduled date of the hearing.

(4) The summons and complaint shall give notice of substantial compliance with the Alabama Administrative Procedure Act, Section 12 (2).

(5) If the person complained of shall be a member of the Board, the member shall be notified as provided by Section 13(b); and the person complained of shall thereafter abstain from any participation in any consideration of, or acts of, the Board upon the subject of the complaint.

Notes

Ala. Admin. Code r. 30-X-7-.02

Filed September 3, 1982. Amended: Filed March 29, 1985. Amended by Alabama Administrative Monthly Volume XXXV, Issue No. 02, November 30, 2016, eff. 1/1/2017.

Author: Alabama Board of Public Accountancy

Statutory Authority: Code of Ala. 1975, §§ 34-1-31, 41-22-1.