Guam § 35111 - Enforcement Procedures Hearings by the Board.

§ 35111. Enforcement Procedures Hearings by the Board.

(a) In any case where probable cause with respect to a violation by a

licensee, holder of a certificate, or an individual with privileges granted

under § 35122 of this Chapter has been determined by the Board, whether

following an investigation under § 35110 of this Chapter, or upon receipt of

a written complaint furnishing grounds for a determination of such probable

cause, or upon receipt of notice of a decision by the Board of Accountancy

of another state furnishing such grounds, the Board shall issue a complaint

setting forth appropriate charges and set a date for hearing before the Board

on such charges. The Board shall, not less than thirty (30) days prior to the

date of the hearing, serve a copy of the complaint and notice of the time and

place of the hearing upon the licensee, holder of a certificate, or an

individual with privileges granted under § 35122 of this Chapter, together

with a copy of the Board=s rules governing proceedings under this Section,

either by personal delivery, or by mailing a copy thereof by registered mail to

the licensee or holder of a certificate at the licensee=s or certificate holder=s

address last known to the Board. In the case of an individual exercising

privileges under § 35122, service shall be by registered mail to the address

last known to the Board, or pursuant to § 35122(a)(3)(c).

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(b) A licensee, a holder of a certificate, or an individual with privileges

under § 35122, against whom a complaint has been issued under this §

35111 shall have the right, reasonably in advance of the hearing, to examine

and copy the report of investigation, if any, and any documentary or

testimonial evidence and summaries of anticipated evidence in the Board=s

possession relating to the subject matter of the complaint. The Board=s rules

governing proceedings under this Section shall specify the manner in which

such right may be exercised.

(c) In a hearing under this § 35111 the respondent licensee, holder of a

certificate, or an individual with privileges granted under § 35122 may

appear in person (or, in the case of a firm, through a partner, officer, director,

shareholder, member or manager) and/or by counsel, examine witnesses and

evidence presented in support of the complaint, and present evidence and

witnesses on the licensee=s or an individual's own behalf. The licensee,

holder of a certificate, or an individual granted privileges under § 35122

shall be entitled, on application to the Board, to the issuance of subpoenas to

compel the attendance of witnesses and the production of documentary

evidence.

(d) The evidence supporting the complaint shall be presented by the

investigating officer, by a Board member designated for that purpose, or by

counsel. A Board member who presents the evidence, or who has conducted

the investigation of the matter under § 35110 of this Chapter, shall not

participate in the Board=s decision of the matter.

(e) In a hearing under this § 35111, the Board may be advised by

counsel, who shall not be the same counsel who presents, or assists, in

presenting the evidence supporting the complaint under Subsection (d) of

this § 35111.

(f) In a hearing under this § 35111, the Board shall not be bound by

technical rules of evidence.

(g) In a hearing under this § 35111, a stenographic or electronic record,

shall be made and filed with the Board. A transcript need not be prepared

unless review is sought under Subsection (j) of this § 35111, or the Board

determines that there is other good cause for its preparation.

(h) In a hearing under this § 35111, a recorded vote of a majority of all

members of the Board then in office (excluding members disqualified by

reason of Subsection (d) of this § 35111) shall be required to sustain any

charge and to impose any penalty with respect thereto.

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(i) If, after service of a complaint and notice of hearing as provided in

Subsection (a) of this § 35111, the respondent licensee, holder of a

certificate, or individual granted privileges under § 35122, fails to appear at

the hearing, the Board may proceed to hear evidence against the licensee,

holder of a certificate, or an individual granted privileges under § 35122, and

may enter such order as it deems warranted by the evidence, which order

shall be final unless the licensee, holder of a certificate, or an individual

granted privileges under § 35122 petitions for review thereof under

Subsection (j) of this § 35111, provided, however, that within thirty (30)

days from the date of any such order, upon a showing of good cause for the

licensee=s, certificate holder=s, or an individual=s failure to appear and

defend, the Board may set aside the order and schedule a new hearing on the

complaint, to be conducted in accordance with applicable Subsections of this