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CBA enforcement advisory committee role outlined; staff report shows investigations and citation volumes
Summary
The enforcement advisory committee’s responsibilities and investigative hearing process were reviewed, and enforcement staff reported complaint volumes, case closures and citation statistics for fiscal 2024–25 through May 31.
The California Board of Accountancy received an overview of the Enforcement Advisory Committee’s duties and a monthly enforcement activity report that summarized complaints, investigations, citations and probation monitoring.
EAC role and investigative hearings: Carrie O’Connor, chief of the enforcement division, described the Enforcement Advisory Committee (EAC) as a 13-member panel of licensed California CPAs that provides technical guidance, reviews investigative files and conducts investigative hearings (IHs). O’Connor explained, “IHs are conducted in person and are fact finding in nature. Think of it as a quasi deposition.” The EAC convenes in closed session for hearings and to review files; panels of two EAC members make recommendations to staff about next steps, which can include closing a case, further investigation, or referral for disciplinary action.
Enforcement activity data: Malcolm Mitchell, manager of the intake and probation monitoring unit, presented activity through May 31 for fiscal year 2024–25 (11 months). Key figures included: - Complaints received: over 4,350 - Investigations closed: nearly 5,700 (99% closed within one year); average days to close: 87 - Pending investigations: 403 (including one active case older than 24 months) - AG referrals: 26 matters referred; 33 pleadings filed; 28 matters pending at the Attorney General’s office - Final disciplinary orders: 24 - Citations issued: 2,493 (93% related to continuing education deficiencies); 248 citation appeals received; 129 citations withdrawn or modified after appeal - Probation monitoring: 52 licensees on probation; 24 probation violations identified (mostly failure to submit required quarterly reports)
What this means: The EAC provides a structured peer-review process and technical expertise to assist the enforcement division with complex matters. Mitchell’s metrics show enforcement activity concentrated on unlicensed practice and continuing-education compliance; most cases are closed within a year.
Next steps and transparency: O’Connor said the EAC will play a larger role in complex investigations under the CBA’s strategic plan and that board members may observe IHs (but must recuse if a matter they observe later comes before the board). The enforcement division will continue reporting monthly metrics to the board.
