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Enforcement unit reports SharePoint migration, caseload of 450 and continued DFI/AG collaboration
Summary
The board's enforcement unit said it migrated complaint files to SharePoint, automated reports to track case stages, and that six analysts currently handle 450 complaint cases; cases referred to the Attorney General averaged 639 days to final outcome in Q3.
Carol Phelps, manager of the enforcement unit and the board—s Consumer Protection Services program, updated members on enforcement operations, case volumes and recent technology changes.
Phelps told the board that the unit migrated its document storage to SharePoint and implemented automated reports and workflows to track items such as cases out for board vote, compliance payments received and disciplinary reporting. She said the unit currently has about 450 complaint cases at various stages being handled by six analysts.
For quarter 3, staff reported opening 125 cases (96 consumer complaints and 29 arrest-or-conviction reports). Intake time averaged three days from receipt to assignment (target nine days). For cases closed without referral to the Attorney General—s office, the average case age was 204 days (target 180); Phelps cautioned this average is sensitive to a small number of long-running cases. Cases finalized at the Attorney General—s office averaged 639 days from receipt to final outcome (target 540), a figure staff said was influenced by a small number of older cases.
The unit reported 417 new cases initiated so far in the fiscal year, 20 administrative citations issued, 337 desk investigations completed, 41 referrals to the Attorney General—s office, one interim suspension order, two PC-23 orders and 28 cases closed after AG referral.
Phelps said the unit continues quarterly coordination with the Division of Investigation (DFI) and the Attorney General—s Office and is planning an expert consultant training on Sept. 22 in Loma Linda. She also described ongoing work with the board—s IT analyst to streamline workflows.
Board members asked about DFI staffing and whether DFI procedural changes had affected costs or timelines. Staff said DFI has had vacancy challenges that have affected timelines and that DFI is using two-year trend data to set billable rates moving forward; staff also said some cost changes are built into the governor—s budget process for DFI services. There was no formal board action on the enforcement report.
