COMMITTEE MEMBER RESOURCE GUIDE
California Board of AccountancyCOMMITTEE MEMBERRESOURCE GUIDEMarch 1, 2016
Purpose: The purpose of the Committee Member Resource Guide is to provide new and existingcommittee members with important information regarding: each committee’s scope of work, generalcommittee business procedures, expectations of committee members, and various statutes andregulations governing the conduct of committee business.This guide does not cover all areas of each committee’s work. Each committee may also maintain aseparate handbook or manual that provides greater detail on the specifics of each committee.
TABLE OF CONTENTSSECTION I. THE CALIFORNIA BOARD OF ACCOUNTANCY1A.B.MISSION AND VISION OF THE CBA. . 2COMPOSITION (REF. BUSINESS & PROFESSIONS CODE §§ 5000 & 5001(B). .2A.ENFORCEMENT ADVISORY COMMITTEE (EAC) (REF. BUSINESS & PROFESSIONS CODE § 5020). .31. Purpose. . 32. Membership. . 3PEER REVIEW OVERSIGHT COMMITTEE (PROC) (REF. BUSINESS & PROFESSIONS CODE § 5076.1). .31. Purpose. . 32. Membership. . 4QUALIFICATIONS COMMITTEE (QC) (REF. BUSINESS & PROFESSIONS CODE § 5023). .41. Purpose. . 42. Membership. . 4SECTION II. CBA COMMITTEESB.C.SECTION III. MEETINGSA.B.C.D.E.F.G.H.I.B.C.5BAGLEY-KEENE OPEN MEETING ACT (REF. GOVERNMENT CODE § 11120-11132). .5FREQUENCY. . 51. EAC. . 52. PROC. . 53. QC. . 5LOCATIONS. . 5AGENDA. . 5MINUTES. . 5ROLL CALL AND QUORUM. . 6VOTING. . 61. Recording. . 62. Abstentions. . 6CLOSED SESSION. . 61. EAC. . 62. QC. . 7ADJOURNMENT. 7SECTION IV. MEMBERS RESPONSIBILITIES & DUTIESA.39RESPONSIBILITIES. . 91. Attendance. . 92. Mentoring. . 9TENURE. . 9COMMITTEE LEADERSHIP. . 91. Chairperson. 92. Vice-Chairperson. . 10SECTION V. LIAISONS11A.B.STAFF LIAISONS. . 11CBA-APPOINTED LIAISONS. . 11A.B.C.D.QUALIFICATIONS. . 13RECRUITMENT. . 13APPLICATION. . 13INITIAL APPOINTMENT EVALUATION PROCESS. .131. Prospective Committee Member Compliance Evaluation. .132. Professional Affiliations Statement. 143. Interview Process. 144. Recommendations for Appointment. .14REAPPOINTMENT PROCESS. . 14SECTION VI. APPOINTMENT/REAPPOINTMENT PROCESSE.13i
F.1. Annual Evaluations. . 142. Committee Member Reappointment Interest. .143. Recommendations for Reappointment.15LEADERSHIP APPOINTMENT/REAPPOINTMENT PROCESS. .151. Committee Member Leadership Interest. .152. Committee Chairperson/Vice-Chairperson Evaluations. 153. Consideration. . 154. Recommendations. . 15SECTION VII. COMMITTEE MEMBER REQUIRED FORMS & TRAININGA.B.C.D.E.PAPERWORK TO COMPLETE UPON APPOINTMENT. .17CONFLICT OF INTEREST – GENERAL GUIDELINES. .171. Disqualification. . 182. Financial Disclosure. . 183. DCA’s Policy: Incompatible Activities (Ref. Government Code § 19990). .19ETHICS TRAINING REQUIREMENT . 19SEXUAL HARASSMENT PREVENTION TRAINING REQUIREMENT .20DEFENSIVE DRIVERS TRAINING . 20SECTION VIII. EXPENSE REIMBURSEMENTA.1721PER DIEM AND TRAVEL. 211. Committee Member Travel. 212. Lodging for Committee Meeting. .213. Reimbursement for Travel and Per Diem expenses. .21SECTION IX. LIST OF APPENDICES23ii
SECTION I.THE CALIFORNIA BOARD OF ACCOUNTANCYCreated in 1901, The California Board of Accountancy (CBA) licenses and regulates over 94,000licensees and 5,700 firms, the largest group of accounting professionals in the nation.By authority of the California Accountancy Act, the CBA: Ensures that only candidates who meet certain qualifications are allowed to take thenational Uniform Certified Public Accountant (CPA) Examination.Certifies, licenses and renews licenses of individual CPAs and Public Accountants (PAs).Registers accountancy partnerships and accountancy corporations.Takes disciplinary action against licensees for violation of CBA statutes and regulations.Monitors compliance with continuing education and peer review requirements.Reviews work products of CPAs, PAs and accountancy firms to ensure adherence toprofessional standards.The CBA establishes and maintains entry-level standards of qualification and conduct within theaccounting profession, primarily through its authority to license.Through its Examination and Initial Licensure Programs, the CBA qualifies California candidates forthe national Uniform CPA Examination, certifies and licenses individual CPAs, and registersaccountancy firms. The CBA’s License Renewal and Continuing Competency Program focuses onlicense renewal and ensures that licensees maintain a currency of professional knowledge tocompetently practice public accountancy.Through its Practice Privilege program, the CBA oversees a no notice, no fee, no escape authorityfor out-of-state licensed CPAs who meet specific conditions to practice public accountancy inCalifornia. The CBA registers out-of-state accounting firms and for certain individuals who do notmeet the criteria to practice with no notice or obtains a disqualifying condition while practicing, theCBA reviews pre-notification and cessation notifications from licensees to determine whether theycan be granted continued practice rights. Just like a California license, a practice privilege may berevoked, suspended, or otherwise disciplined. In addition, a practice privilege may beadministratively suspended pending an investigation by the CBA. To ensure that the consumers ofCalifornia are protected under this new program, the CBA maintains a website with any publicinformation in its possession about individuals exercising a practice privilege in California. Inaddition, it contains a search mechanism by which consumers can find current license statusinformation on out-of-state licensees.The objective of the CBA Enforcement Program is to protect consumers, minimize substandardpractice, and rehabilitate and discipline licensees, as warranted. The CBA has the authority todiscipline not only individuals, but firms as well. Enforcement activities include investigatingcomplaints against persons practicing public accountancy without a license and taking disciplinaryactions against licensees for violations of statutes and regulations. The CBA’s EnforcementProgram receives complaints from consumers, licensees, professional societies, law enforcementagencies, other government agencies, and internal referrals. While historically consumers andinternal referrals have been the main origin of complaints, licensees also have been a significantsource, most often reporting unlicensed activity. CBA members and staff also regularly monitor thenews media for information regarding licensees that may suggest violations of the Accountancy Act.1
In addition, the program monitors compliance with continuing education and peer reviewrequirements, and it actively reviews the work products of CPAs, PAs, and accountancy firms toensure compliance with appropriate professional standards.A.B.MISSION AND VISION OF THE CBA.The Mission of the California Board of Accountancy is to protect consumers by ensuring onlyqualified licensees practice public accountancy in accordance with established professionalstandards.The Vision of the California Board of Accountancy is that all consumers are well informed andreceive quality accounting services from licensees they can trust.COMPOSITION (Ref. Business & Professions Code §§ 5000 & 5001(b).The CBA consists of 15 members, seven of whom must be certified public accountants, andeight of whom must be public members who are not licensees of the CBA.The Governor appoints four of the public members and all of the licensee members. Thelicensee members are appointed to represent a cross section of the accounting profession.The Senate Rules Committee and the Speaker of the Assembly each appoints two publicmembers.2
SECTION II.CBA COMMITTEESThe California Legislature has created, by writing into the Accountancy Act, three standing CBAcommittees – Enforcement Advisory Committee, Peer Review Oversight Committee, andQualifications Committee. Each committee serves in an advisory capacity to the CBA.A.ENFORCEMENT ADVISORY COMMITTEE (EAC) (Ref. Business & Professions Code §5020).1. Purpose.To assist the CBA in an advisory nature with its enforcement activities by: Serving in a technical advisory capacity to the Executive Officer and theEnforcement Program. The EAC members may participate in investigativehearings along with staff investigators; counsel from the Attorney General's Officeand where appropriate, outside counsel.In an appropriate manner, consistent with the Administrative Procedure Act,reporting its findings from any investigation or hearing to the CBA, or upondirection of the CBA, to the Executive Officer.Reviewing open investigations upon request by Enforcement staff and providingtechnical assistance.Reviewing closed investigations and reporting its findings and recommendationsto the CBA or upon direction of the CBA, to the Executive Officer.Making recommendations and forwarding reports to the CBA for action on anymatter on which it is authorized by the CBA to consider.2. Membership.B.The EAC is comprised of up to 13 licensees.PEER REVIEW OVERSIGHT COMMITTEE (PROC) (Ref. Business & Professions Code §5076.1).1. Purpose.To act as an advisory committee and assist the CBA in its oversight of the Peer ReviewProgram by: Holding meetings as necessary in order to conduct business and report to the CBAregarding the effectiveness of mandatory peer review.Ensuring that Board-recognized peer review program providers (Provider)administer peer reviews in accordance with the standards set forth in Title 16,California Code of Regulations Section 48:3
oooooo Conduct an annual administrative site visit.Attend peer review board meetings, as necessary but sufficient to evaluate andassess the effectiveness of the program.Attend peer review committee meetings, as necessary but sufficient toevaluate and assess the effectiveness of the program.Attend meetings conducted for the purposes of accepting peer review reports,as necessary but sufficient to evaluate and assess the effectiveness of theprogram.Conduct reviews of peer review reports on a sample basis.Attend, on a regular basis, peer reviewer training courses.Evaluating any Application to Become A Board-recognized Peer Review Providerand recommending approval or denial to the CBA.Referring to the CBA any Provider that fails to respond to any request.Collecting and analyzing statistical monitoring and reporting data from eachProvider on an annual basis.Preparing an Annual Report to the CBA regarding the results of its oversight.2. Membership.C.The PROC is comprised of seven licensees.QUALIFICATIONS COMMITTEE (QC) (Ref. Business & Professions Code § 5023).1. Purpose.To act as an advisory committee and assist the CBA in its licensure activities by: Conducting work paper reviews of experience of applicants appearing before thecommittee.Interviewing employers that appear before the committee under the provision ofSection 69, of the Accountancy Regulations.Making recommendations and forwarding reports to the CBA for action on anymatter on which it is authorized to act.2. Membership.The QC is comprised of 16 licensees.4
SECTION III.MEETINGSA.B.BAGLEY-KEENE OPEN MEETING ACT (Ref. Government Code § 11120-11132).All meetings of the three standing advisory committees are subject to the Bagley-Keene OpenMeeting Act. The Bagley-Keene Open Meeting Act is summarized in a document developed bythe Department of Consumer Affairs (DCA) (Appendix 1). All meetings are to occur in anopen setting, with limited exceptions available to both the EAC and QC, which may conductspecific portions of their business in closed session.FREQUENCY.1. EAC.The EAC meets approximately five times annually, generally for one day each meeting.2. PROC.The PROC meets approximately four times annually, generally for one day each meeting.In addition, as part of its administrative functions, PROC members attend variousCalifornia Society of CPAs Peer Review Administrative Committee and Report AcceptanceBody meetings, which occur regularly throughout the year.3. QC.The QC meets approximately four times annually, generally for one day each meeting. QCmembers may conduct additional personal appearance reviews approximately one monthprior to each committee meeting for those individuals not in the geographic area of theupcoming QC meeting.C.LOCATIONS.D.AGENDA.E.All meeting locations are ADA compliant, easily accessible to the public, and generallyalternate between northern and southern California locales.For each meeting, in consultation with the committee Chairperson, staff prepares an agendaand public meeting notice. The agenda and public meeting notice for each meeting must beposted to the CBA website no less than 10 days prior to the meeting date.MINUTES.Staff prepares preliminary draft minutes and distributes to the Chairperson prior to thesubsequent meeting. The minutes are provided to all commi
The purpose of the Committee Member Resource Guide is to provide new and existing committee members with important information regarding: each committee’s scope of work, general committee business procedures, expectations of committee members, and various statutes and
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