Missouri Code of State Regulations › Title 20 - DEPARTMENT OF COMMERCE AND INSURANCE › Division 2010 - Missouri State Board of Accountancy › Chapter 1 - Organization and Description of Board › Section 20 CSR 2010-1.030 - Public Complaint Handling and Disposition Procedure

Current through Register Vol. 49, No. 14, July 15, 2024
PURPOSE: This rule establishes a procedure for the
				  receipt, handling and disposition of public complaints by the board, pursuant
				  to the mandate of section 4.16(6) of the Omnibus State Reorganization Act of
				  1974, Appendix B, RSMo.
(1)
				The Missouri State Board of Accountancy shall receive and process each
				complaint alleging certain acts or practices which may constitute one (1) or
				more violations of the provisions of Chapter 326, RSMo by any licensee,
				certificate holder, permit holder, or unlicensed individual or entity. Any
				individual, except a member of the board, may make and file a complaint with
				the board. A member of the board may file a complaint if he or she excuses
				him/herself from further board deliberations or activity concerning the matters
				alleged within the complaint. The executive director or any staff member of the
				board may file a complaint in the same manner as any other person.
(2) Complaints should be mailed or delivered
				to the Missouri State Board of Accountancy to the attention of the executive
				director. However, actual receipt of the complaint at the board's
				administrative offices in any manner shall be sufficient. The complaint may be
				based upon personal knowledge or upon information and belief reciting
				information received from other sources.
(3) Oral or telephone communications will not
				be considered or processed as complaints, but the person making the
				communications will be provided with a complaint form and requested to complete
				it and return it to the board. Any member of the administrative staff of the
				board may make and file a complaint based upon information and belief, in
				reliance upon oral or telephone communications received by the board.
(4) Each complaint received under this rule
				shall be logged in a database maintained by the board for that purpose. The
				complaint database shall contain a record of each complainant's name and
				address; the name and address of the subject of the complaint; the date each
				complaint is received by the board; a brief statement of the acts complained
				of, including the name of any victim of the alleged acts or practices; a
				notation as to whether or not the complaint resulted in its dismissal by the
				board or settlement in lieu of filing of formal charges with the Administrative
				Hearing Commission or in the filing of a formal complaint with the
				Administrative Hearing Commission seeking disciplinary action; and the ultimate
				disposition of the complaint. This database shall be a closed record of the
				board pursuant to section
				326.295,
				RSMo.
(5) Each complaint logged
				pursuant to this rule shall be acknowledged in writing. The acknowledgment
				shall state that the complaint is being investigated and shall be referred to
				the board or an appropriate subcommittee for consideration following the
				investigation. The complainant shall subsequently be informed in writing as to
				whether the complaint has been dismissed by the board or is being referred to
				legal counsel for filing with the Administrative Hearing Commission or for
				other legal action. The complainant shall be notified of the ultimate
				disposition of the complaint, excluding judicial appeals, and shall be provided
				with a copy of the decisions (if any) of the Administrative Hearing Commission
				and the board. The provisions of this section shall not apply to complaints
				filed by staff members or employees of the board, based upon information and
				belief, acting in reliance on third party information received by the
				board.
(6) Both the complaint and
				any information obtained as a result of the investigation shall be considered a
				closed record of the board and shall not be available for inspection by the
				public. The board shall provide the subject of the complaint, or the subject of
				the complaint's authorized representative, upon a receipt of a signed
				authorization, with a copy of the complaint and any attachments to the
				complaint unless otherwise privileged. During the investigative stage, the
				board or its executive staff shall keep the complaint and the fact of its
				existence confidential to the extent practicable.
(7) This rule shall not be deemed to limit
				the board's authority to file a complaint with the Administrative Hearing
				Commission charging a licensee, permit holder or registrant of the board with
				any actionable conduct or violation, whether or not the complaint exceeds the
				scope of the acts charged in preliminary public complaint filed with the board,
				and whether or not any public complaint has been filed with the
				board.
(8) The board interprets
				this rule, as required by law, to exist for the benefit for those members of
				the public who submit complaints to the board and for those persons and
				entities within the legislative and executive branches of government having
				supervisory or other responsibilities or control over the professional
				licensing boards. This rule is not deemed to protect or inure to the benefit of
				those licensees, permit holders, registrants or other persons against whom the
				board has instituted or may institute administrative or judicial proceedings
				concerning possible violations of the provisions of Chapter 326,
				RSMo.
(9) The provisions of this
				rule are declared severable. If any provision of this rule is held invalid by a
				court of competent jurisdiction, the remaining provisions of this rule shall
				remain in full force and effect, unless otherwise determined by a court of
				competent jurisdiction to be invalid.
*Original authority: 326.262, RSMo 2001; 326.295, RSMo
					 2001; and 620.010, RSMo 1973, amended 1981, 1983, 1986, 1989, 1990, 1993, 1994,
					 1995, 1999, 2001.