Report 2015-030 Recommendation 7 Responses

Report 2015-030: State Bar of California: It Has Not Consistently Protected the Public Through Its Attorney Discipline Process and Lacks Accountability (Release Date: June 2015)

Recommendation #7 To: Bar of California, State

To ensure that the audit and review unit's random audits of closed case files provide an effective oversight mechanism, the State Bar should follow its policy to conduct and record meetings and trainings related to the audit report's recommendations.

Annual Follow-Up Agency Response From August 2019

A review and analysis of audit data determined that an analysis of trends was not useful. The audit findings are case- and fact-specific; detailed comments are provided for each file that is reviewed. The Office of Research and Institutional Accountability recommends continuing to use the full audit report in the Office of Chief Trial Counsel staff training.

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

The State Bar's analysis of trends would have been an additional enhancement to this recommendation, but was unneeded for full implementation. Because the State Bar had previously taken steps that would have implemented this recommendation (refer to its response in March 2018) and it does not have additional steps to take, we consider this recommendation fully implemented.

Annual Follow-Up Agency Response From October 2018

The systemic review of audit data is underway, and will be completed by the end of the year.

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From March 2018

OCTC conducts trainings after each random audit report, and began recording these trainings in February 2015; these recordings are available to OCTC staff on the Bar's intranet. The most recent training related to the random audits of closed cases took place on June 5, 2017, and trainings for the most recently completed audit are scheduled for 12/21/2017. OCTC will continue to present trainings based on random audit findings within the timeframe required by policy. In addition to those trainings, OCTC plans to analyze the cumulative results of all audits to address trends and ongoing issues in ways that makes the members of OCTC more mindful of the random audit feedback. For example, OCTC will develop a list of "common mistakes to avoid," that will be posted on OCTC intranet site; this list will be updated after each successive audit.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

The State Bar indicated that while all of the steps identified in its March 2018 response have been implemented, it has not yet completed the systemic review of audit data. The State Bar estimated that this review will be completed by September 30th. Thus, this recommendation is pending completion of the review.

Annual Follow-Up Agency Response From November 2017

Significant progress has been made regarding this recommendation, although the Bar does not believe it has been fully implemented and institutionalized.

During 2017 the State Bar contracted with an additional auditor to review casefiles and enter data into the new audit database. As a result of this additional effort, at the end of October, data from four bi-annual audits had been entered into the new audit database which will allow for the tracking of compliance with policy and procedure in the Office of the Chief Trial Counsel (OCTC). Staff in the Office of Research and Institutional Accountability will be working through the end of 2017 and early 2018 with OCTC staff to review the data and determine whether patterns in the data can be used to inform the training of OCTC attorneys and Investigators.

Absent this more systemic review of the data, "lessons learned" from the audits are being summarized and conveyed to staff in a way that maximizes impact and reduces the chances that they continue to make the same errors.

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

The State Bar confirmed that it conducts and records meetings and trainings related to the audit and review unit's random audit report's recommendations. However, as indicated by the State Bar, it does not believe this recommendation will be fully implemented or institutionalized until staff in the Office of Research and Institutional Accountability have reviewed new data and determined whether patterns in the data can be used to inform the training of OCTC attorneys and Investigators.

Annual Follow-Up Agency Response From October 2016

Prior to fully implementing this recommendation it was necessary to reorganize the random audit process so that data could be compiled systematically regarding the findings of the audit. In June, 2016, the State Bar created a database to capture information from the random audit. During July and August of 2016, the audit process was moved from a paper-based system - in which findings from each case were returned to individual case files - to an automated process in which data from each case-file review are captured and stored in the new database. These data are now being analyzed and will be evaluated in conjunction with the auditor to identify patterns of problems that will be used to inform future trainings.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Annual Follow-Up Agency Response From October 2016

To fully implement this recommendation, the State Bar developed a database in June to capture information from the random audit so that the audit findings may be systematically analyzed and used for training purposes. During July and August of 2016, the audit process was moved from a paper-based system - in which findings from each case were returned to individual case files - to an automated process in which data from each case-file review are captured and stored in the new database. These data are currently being analyzed and will be evaluated in conjunction with the auditor to identify patterns of problems that will be used to inform future trainings.

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

1-Year Agency Response

The Bar has modified the contract for the audit and review function. The first report prepared pursuant to modified contract terms will be submitted to the Bar by 9/1/16. Executive Office staff will work with the Office of the Chief Trial Counsel to ensure that training occurs with respect to specific findings and recommendations included in the 9/1/16 report.

California State Auditor's Assessment of 1-Year Status: Partially Implemented

6-Month Agency Response

The State Bar's new leadership team is reviewing the audit and review function, and has transitioned management of the contract for the random audit function from the Office of the Chief Trial Counsel to the Chief Operating Officer. As part of the transition, the contract will be modified to expand both the scope and depth of the audit. These modifications will also address the need to systemize the dissemination of audit findings, and the development and delivery of training to address those findings.

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

OCTC is reviewing the processes of its audit and review unit and will take steps to ensure compliance with its policy to conduct and record meetings and trainings related to the audit report's recommendations.

California State Auditor's Assessment of 60-Day Status: Pending

All Recommendations in 2015-030

Agency responses received are posted verbatim.