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The State Bar of California
Process Improvement Analysis
Findings and Opportunities
December 14, 2012
Revised Draft
State Bar of California Process Improvement Analysis Page 1 of 13 Draft Findings & Opportunities 12/14/2012 Framework LLC
I. Overview
Framework LLC was asked by the State Bar of California’s Chief Financial Officer to complete a
focused review of selected business processes performed by the Office of Admission’s Operations
and Management (O&M), Examinations, and Administration Departments. The objectives of this
review were to:
1. Document business processes and identify opportunities for process improvements within
the following functional areas:
Registration with the Committee of Bar Examiners
Exam application (First Year Law Student, General Bar Exam)
Eligibility evaluation (law study evaluation, pre‐legal eligibility evaluation, law office
study evaluation and management)
Examination administration (site reservation, preparation, staffing, materials
management, system set‐up)
Testing accommodations
Examination grading
Motions
2. Determine the extent to which processes are people‐dependent or may be at risk given
planned retirements,
3. Identify opportunities to use information technology more effectively that can be included in
agency plans to replace key computer systems over the next few years,
4. Develop process analysis tools, reporting formats, and methods that can be used to analyze
other processes, departments or programs.
The primary product of this review is a set of “as is” process flow diagrams and descriptions (under
separate cover). This report describes findings and process and/or technology opportunities that
were identified during this analysis.
For the purposes of this report, a business process is a collection of activities that takes one or more
kinds of inputs and creates an output that is of value to the customer. Processes may (and generally
do) cross organizational units. An activity is a concrete, tangible, and discreet piece of work carried
out by an individual. A function is a collection of related business processes and activities.
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II. Summary of Findings
The O&M department and the Examination Grading section are for the most part executing complex,
mission‐critical business processes with a minimum of errors and according to required timeframes.
Processes are successful in large part because employees are long‐tenured and very knowledgeable
about process steps and business rules. There are risks to the organization as employees retire or
leave, but risks are partially mitigated in O&M by the presence of complete and current written
procedures. (Examination Grading’s procedures are in transition.) Risk could be further reduced by
making use of appropriate technologies to help replace manual, paper‐dependent processes.
The Office of Admissions plans to implement technology improvements to support/enhance
application management, project management, and materials management. All processes would
benefit from expanded use of imaging and document management/sharing technologies.
There are significant opportunities for process improvement in three high‐risk functional areas:
testing accommodations, examination grading, and motions. Processes in these areas should be
evaluated in advance of the implementation of the new Admissions System.
Process Observations
Most processes are paper‐intensive. In some cases, paper is used because there is no alternative for
sharing the information contained in key documents. In other cases, paper records are “more
comfortable” for graders or analysts to use in making determinations, or are needed to support
litigation. Extra copies are created at various process points in order to maintain a record of
information that is not available electronically.
Processes often require extensive correspondence between applicants, law schools, and the State
Bar, creating a large volume of correspondence to be managed. O&M makes effective use of bar
coding technology to manage key documents and forms. However, an O&M Administrative Assistant
manually logs all letters and certain forms or applications.1 Correspondence that requires a response
is manually logged before a bar code tracking slip is attached.
Some impacts of the State Bar’s reliance on paper include:
O&M devotes a significant amount of Los Angeles office space to files and offsite storage of
archived files. The Los Angeles file room is 1,133 square feet. The offsite warehouse contains
approximately 205 boxes at 1.2 cubic feet of storage space per box.
1 According to Examination Administration procedures dated 4/25/2012 these include Social Security Exemption Forms, Withdrawal Forms, requests for refund of fees, wall certificate orders with credit card information, test center changes, applications for testing accommodations, and requests to begin law study again.
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Applicant files can only be maintained in one location at a time and must be physically
transported by courier to the other office if a physical record is needed.2
O&M determined that it would not attempt to file transcripts and certifications in the individual
applicant’s file because demand for these documents is low. These are maintained in boxes in
the file room.
Paper‐based processes can be labor‐intensive. The Examination Grading section spends
approximately three weeks after each general bar examination printing, assembling, sorting,
filing and coding laptop examination booklets. The section recruits up to 20 temporary
employees to assist with this process.
O&M produces a high volume of letters and notices, many of which are manually created using
Microsoft Word templates.3 Re‐keying of applicant information in letters and notices increases the
probability of error. While some letters are saved to shared directories for common use, most are
retained in hard copy. (The Bar’s Information Technology Department is planning to implement a
SharePoint‐based document management solution, but it is not clear that Admissions was included in
this project.)
Two processes are subject to excessive verification or review:
Grading re‐counts and prepares an audit list of completed Multi‐State Bar Exam (MBE) forms
received even though forms have been counted and packed at the exam site. (The administrator
reports that they “rarely find errors, but errors do happen.”)
The Senior Executive of Admissions reviews staff and consultant determinations on petitions for
testing accommodations at least twice: first at the time a transmittal sheet with a
recommendation is created and again at the time a decision letter is generated.4
Handling and movement of materials in Grading appears to be excessive. Several of Admission’s
processes require physical handling and movement of large quantities of materials. In the case of
Grading some handling appears to be excessive. Grading sorts examination booklets by applicant
number and then re‐sorts or “interfiles” them so that they may be stamped with a code number.
Booklets are placed on shelves in code number order. To prepare for grading, staff must re‐sort
booklets by grader range and question number. After grading, booklets are returned to the shelf in
code number order.
2 According to the Senior Executive of Admissions, moral character files that are assigned a rating of “1” or above are transferred between offices so that analysts may work with the physical file.
3 The IBM i5 (aka AS/400) produces 62 automated letters for Admissions, 33 of which are related to processes and activities other than moral character evaluations. We found 25 examples of letters that must be generated using Microsoft Word templates or copies.
4 This process may have changed, as testing accommodations processes are in transition.
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Very few processes are evaluated using performance objectives or measures. In a few cases,
process timeliness is dictated by state law or State Bar policy. The Office of Admissions has not
established measures of efficiency, effectiveness or service levels for most of the processes we
reviewed.
High‐Risk Functions
Three functional areas present special risks to the State Bar:
Testing Accommodations processes are used to determine if examination applicants with
permanent or temporary disabilities should receive special accommodations or considerations
during the exam. We found process, technology, staffing, and organizational issues that have
contributed to errors and workload management challenges. Errors can directly and adversely
impact examinees if correct accommodations are not available on the examination date. The
examination application calendar leaves no room for error. Any processing delays on the part of
the Bar could compromise a last‐minute applicant’s ability to appeal testing accommodations
decisions. Decisions are subject to litigation by disgruntled applicants, and contested decisions
have attracted media attention in the past.
Examination Grading processes directly impact individuals who have taken a bar examination.
The Director of Admissions Administration is integrally involved in all aspects of this complex
process, and without her direct supervision the process could fail. Written procedures are not
up‐to‐date.
Motions processes include monthly and post‐examination processes used to refer eligible
candidates to the California Supreme Court for admission to the Bar. Weekly motions are
initiated by staff in Los Angeles and are completed in San Francisco. Any errors or omissions in
the motion can results in substantial negative press for the Bar, as happened with the Sergio
Garcia case. It was not clear from this limited review5 that the motions process is well
understood by all participants.
Employee Tenure and Experience
O&M’s business processes are complex, and successful performance is largely dependent upon the
knowledge and skills of senior employees. Certain eligibility processes require knowledge of
complex business rules and policies. Other processes are less technical in nature but require
significant attention to detail. The average tenure of employees we interviewed within Operations
and Management was high (15‐18 years) and staff turnover appears to be very low. The Grading
Section also includes very experienced employees. Two “temporary” employees in Grading have
been with the agency for many years.
5 We did not interview representatives from General Counsel.
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While there is a risk to business processes as senior employees retire or leave, this risk is partially
mitigated by well‐documented procedures, at least for O&M. O&M has compiled complete and
well‐organized procedure manuals. Written procedures vary only slightly from the processes
described in group interviews, indicating that the procedures are current. Grading’s written policies
and procedures are outdated, although the Director for Admissions Administration and the Section
Chief are in the process of updating them.
Impact of Location on Business Processes
While most of the processes examined during this review are conducted either in Los Angeles or San
Francisco, three functions include processes that require significant interaction and some document
hand‐offs between the two offices. These are:
Testing accommodations. Responsibilities are divided between San Francisco’s Admission
Administration Department (petitions for new accommodations, petition tracking) and Los
Angeles‐based O&M (continuation of existing or same accommodations, preparation for
examinations.) Most documents are available to employees in both offices on a shared directory,
but some petitions and related correspondence are delivered between offices as needed by
courier. Lack of automated systems support for testing accommodations has complicated
communication between the offices. Prior to August of this year, Examination Administration
staff relied on petitions and letters posted to the shared directory to confirm accommodations.
In August of 2012 a screen were added to the AS/400 to display requests for certain
accommodations such as assistants, wheelchair access, or special equipment. Information about
petitions from individuals who have not yet applied for examinations is only available to
Examination Administration using a shared Excel spreadsheet.
Motions. O&M’s Application Pre‐Processing section in Los Angeles is responsible for creating a
list of candidates eligible to be included on the weekly motion. A staff person in San Francisco’s
Moral Character Department prepares the motion, obtains an attorney’s signature, and transmits
the motion packet to the Supreme Court. Los Angeles receives and records the Supreme Court’s
action in the AS/400.
Moral character. Pre‐processing of moral character applications occurs in Los Angeles, while
moral character evaluations occur in both Los Angeles and San Francisco, depending on rating.
(The moral character function was outside the scope of this review.)
All applicant files are currently maintained in Los Angeles, and must be shipped by regular courier
service to San Francisco if they are needed for any reason. In practice, only selected moral character
files and files needed for litigation support moved between offices. O&M Examination Administration
ships and receives examinations, materials and supplies statewide, and is highly dependent on ready
access to a loading dock and a secure warehouse.
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Use of Technology to Support Business Processes
O&M and the Examination Grading section have developed creative manual processes to compensate for shortcomings in technology. Legacy systems supporting business processes do not include all functionality required for efficient and effective process execution, and will be replaced during the planned Admissions System Replacement Project. Some of the shortcomings we observed:
Some document imaging and sharing capabilities are available, but usefulness is limited. Images
of documents can be preserved in shared directories, but because they are not indexed or key‐
word searchable employees rely on hard‐copy versions for research. Non‐imaged documents in
shared directories are searchable only by using tools such as Windows Explorer. The State Bar
plans to use Microsoft SharePoint to improve its document management capabilities.
Support for event tracking or project management is inadequate. Most of O&M’s business
processes require tracking and management of documents and events according to a fixed time
schedule. For example, O&M must ensure that applications for examinations are complete and
cleared prior to the examination deadline date. O&M must also ensure that exam site
preparations are coordinated well in advance of the actual examination date. The AS/400
supports basic Eligibility processes such as registration clearance and application tracking, but
has limited ability to support other functions.
Daily downloads/uploads of registration and application data require human intervention.
Inability to view history or snapshots of data in the AS/400 is leading to retention of hard copies
of system‐generated reports. For example, O&M’s Examination Administration and Eligibility
sections retain and file copies of the daily “Online Registration Upload Report” because a
snapshot of the information contained in the report is not retained by the AS/400.
Similarly, the AS/400 creates a snapshot of the master record post‐motion, but does not provide
a snapshot applicant status that can be used to determine who should be included on a motion.
This has resulted in the need to lock‐down the application (restrict access) during upload of
grades and preparation of the post‐examination (mass) motion.6
To compensate for technology shortcomings or limitations, O&M, Examination Administration and
Examination Grading have developed stand‐alone applications and tools using Microsoft Access and
Excel. O&M’s Technology Services Analyst has created at least eight data base applications and a
variety of spreadsheet‐based applications. Similarly, Admissions Administration has created a stand‐
alone spreadsheet application for tracking Testing Accommodations. These are maintained by the
6 A Work Order Request to create this snapshot has been submitted to IT, but according to Arlene Lyne it has yet to be evaluated.
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analyst or by users – not by State Bar Information Technology – and data contained in these
applications are not available for agency‐wide use.7
7 The TA Tracking Spreadsheet is available to users of a shared directory.
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III. Opportunities by Functional Area
Testing Accommodations
Re‐design business processes to reduce errors and improve process efficiency. Some of the process
issues we observed include:
Quality reviews are insufficient to catch errors in letters, notices or schedules. Letters or
notices are not automated, and staff must re‐type applicant information into Microsoft Word
document templates. Errors have been made in applicant number, type of examination
(writing, laptop) and in accommodations granted. Some errors made in San Francisco may be
caught and corrected by Los Angeles personnel but others are found only by exam site
personnel. According to O&M personnel in Los Angeles, errors found in letters result in
problems two to three problems that must be corrected by Examination Administration each
exam. Errors are usually not serious, but require last minute adjustments
Decisions are documented and submitted for approval twice: first using a “Transmittal
Sheet” and then detailed in a “Decision Letter”. It appears that this process was
implemented to ensure that backlogs in letter‐writing did not impact decision timeliness.
However, the dual process appears to be inefficient and may actually increase staff
workload.
Digital versions of original notices/letters are overwritten in the shared directory as errors
are corrected, leaving no digital record of the original notice. Hard copies are maintained, but
digital copies are the primary tools used for communication about accommodations between
San Francisco and Los Angeles.
Letters granting same accommodations as a prior examination are issued from the Los
Angeles office. Applicants submit petitions for changes to San Francisco. Interviewees cited
instances where late changes to an applicant’s disability status were made in San Francisco at
the same time Los Angeles staff were generating a same accommodations letter for the
individual.
Improve applicant tracking capabilities. The AS/400 does not support tracking of applicants who
have requested testing accommodations but have not yet registered for an examination. (Individuals
are encouraged to submit petitions well before an examination to allow for adequate review.) These
individuals are tracked by San Francisco staff in a separate spreadsheet that is not visible to O&M in
Los Angeles. Additionally, O&M must manually match letters, forms and correspondence (hard copy
and imaged) to each record in the AS/400 or the spreadsheet in order to track petition progress.
In August of 2012 Information Technology implemented two changes in the AS/400 to improve
communication between San Francisco and Los Angeles. Testing Accommodations staff can now
indicate if an applicant has requested an assistant, special equipment or other accommodates that
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must be arranged by O&M as soon as the applicant’s request is reviewed and approved. Staff can
also access and use a consultant tracking screen to record referrals of petitions to consultants.
Determine if staffing is adequate to meet workload requirements. Confirm the extent to which
workload management problems develop as examination dates approach. Last‐minute petitions test
staffing capacity, impact O&M’s ability to make examination arrangements and restrict an applicant’s
ability to appeal in time for an exam. Staff indicated that the letter acknowledging the receipt of a
petition may not be sent during high workload periods, but this letter is not critical as the exam date
approaches.
Establish written guidelines for evaluating accommodations based on type of disability.
Interviewees were concerned that decisions to grant accommodations for physical disabilities are
overly subjective, and are not based on written decision guidelines or policies.
Develop written procedures to support re‐designed processes. Interviews revealed that the testing
accommodations processes and procedures are understood differently by management and staff. A
common, written understanding is needed.
Redirect incoming mail. The “Petition for Testing Accommodation” (Form A) does not instruct an
applicant to forward the completed petition to San Francisco. (Both office addresses are identified on
the petition.) Any petitions that are mailed to Los Angeles must be sent by courier to San Francisco,
adding delay to the process.
Reconsider State Bar deadlines for exams and petitions. State statutes require that applicants must
petition for testing accommodations no later than the deadline to apply for an examination.
However, if a petitioner waits until that date he or she may not have time to appeal a determination
before the examination begins. While there is a legitimate concern that applicants requiring
accommodations should not be treated differently than other applicants, the Bar should also
consider the applicant’s loss of right to an appeal.
Confirm organization, roles and responsibilities. In the absence of effective leadership, the Senior
Executive for Admissions has been heavily involved in both the leadership and execution of this
process. The testing accommodations function was placed under a new Director of Examinations in
June of 2012, and roles and responsibilities for this function are being redefined and discussed with
the Section Chief and with staff. These roles and responsibilities should be documented as they are
developed.
Grading
Re‐visit the exam coding process. Currently, the Examination Grading section re‐codes examination
booklets prior to grading so that there is no potential for graders to match individual test takers with
an exam booklet. This process is labor‐intensive and depends on competent and experienced
employees to prevent errors. Employees use pre‐generated code numbers that are generated by the
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California Bar Grading System (CBG) which must be added to each exam booklet. Two temporary
employees sort (“inter‐file”) exam booklets into code number order by mentally converting applicant
numbers into code numbers. A third employee writes the code number on each examination
packet/set of booklets. Exams are then carried to an area where employees stamp the code number
over on each booklet, based on the handwritten code number. After coding is complete, exams are
shelved in code number order.
The Bar should explore new ways to assign the code number that would eliminate the need for
manual sorting, coding and stamping. For example, a bar code could be generated for each applicant
number and code number. The two could be scanned and linked to create a “code table” type
crosswalk.
Re‐visit the laptop exam booklet preparation process. This is a cumbersome process that relies
heavily on experienced employees to prevent errors. Laptop answers must be printed, sorted, and
put into covers in preparation for grading. This work is performed by staff and by up to 30 temporary
employees. Printing is expensive and time‐consuming: staff estimates that 720,000 pages were
printed during a three week period following the July 2012 general bar examination. Total printing
costs for this exam alone are estimated at $36,000. Laptop examinations now account for 65‐70% of
all exams taken.
Laptop answers could be transmitted to graders in a digital format, significantly reducing preparation
time and processing costs. Laptop booklets would still be printed for those individuals who failed the
examination and that must be sent a copy.
Consider ways to conceal examination read status (first or second) from graders. Currently, graders
are aware that their assignments are either “first read” (never graded) or “second read” (graded not
passing but warranting a second review.) The Director of Admissions Administration indicated that
there is some “drift” in in second read grades resulting from grader awareness, but that this effect
has been reviewed by Admission’s consulting psychometrician and does not significantly impact
scoring. Admissions has an opportunity to eliminate any process‐related “drift” as initiatives such as
on‐line grading are explored.
Create a digital copy of handwritten exam booklets. Original copies of handwritten exam answers
are released to graders and taken off‐site for grading. Even though graders are instructed about
proper handling of these booklets there is a real risk that booklets may be lost, altered or damaged.
The number of handwritten booklets continues to decline; less than 20% of examinees were
“writers” during the July 2012 bar exam. This reduces, but does not eliminate risk. One barrier to
creating a copy of these exams is that booklets are not suitable for sheet‐feeding and would need to
be hand‐processed.
Re‐examine “Grading Lockdown” procedures, and explore possible alternatives. Access to the
AS/400 is restricted for up to two weeks as grades are loaded into Cal Bar Grader application and the
post‐examination motion is prepared. This is done to ensure that the examination result letters
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include the same applicant information that was used to generate the motion. The “lockdown”
delays some regular applicant information maintenance work in Los Angeles, but interviewees
identified are some exceptions to restrictions. The Director for Admissions Administration has
considered limiting the information provided in the results letter. It may also be possible to create a
“snapshot” or copy of the AS/400 Master File to support development of the motion without locking
down the application.
Motions
Establish clear organizational responsibility for motions processes. No one organizational unit or
director has responsibility for motions processes. Moral Character8, Operations & Management, and
Admissions Administration each have been involved in processes and it was not at all clear from an
interview who, if anyone, is in charge. Clarify policy regarding who should be contacted in the event
of a major issue involving a candidate.
Re‐evaluate division of labor between Los Angeles and San Francisco. All preparatory work on
weekly motions is performed in Los Angeles. Motions are forwarded to San Francisco in order to
obtain an attorney’s signature and to be submitted to the Supreme Court. Mass motions (exam
results motions) are initiated in San Francisco. According to current practice, any San Francisco‐based
department director who is also an attorney may sign a motion. Determine if the signature could or
should be provided by an attorney in Los Angeles, and find appropriate ways to reduce the hand‐off
of motions between locations if possible.
Revise motions processes and forms to reduce the possibility of error. Determine if additional
reviews or checkpoints are needed to ensure that applicant holds are cleared appropriately before
names are added to a motion. Add descriptive information to each motion that identifies the number
of candidates included, so that the motion can be compared to the attached list of candidates.
Prohibit changes to any motion once it has been signed.
Confirm that all participants and stakeholders in this process understand the impact of their
actions and are following procedures. Document policies and procedures and train all parties as
needed. While some corrective actions were taken in Los Angeles following recent problems with the
motion that included Sergio Garcia, it is not clear that any changes were implemented in San
Francisco nor that stakeholders in General Counsel fully understand the motions process.9
Exam Application and Clearance
Provide on‐line capability for applicants to print admittance tickets.
8 According to the Senior Executive for Admissions, Moral Character will no longer be involved in this process.
9 We did not interview representatives from General Counsel.
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Explore ways to provide secure electronic transfer of transcripts and certifications from law schools.
Evaluate the effect of the use of RR numbers (used instead of Social Security Numbers for non‐US
citizens) on systems and processes. Many of Admission’s current systems do not handle RR numbers
well.
Examination Administration
Automate the daily upload of registration and exam application data so that human intervention is
not required. Application Pre‐Processing must execute each daily download from the XAP third party
application and upload data to the AS/400. The responsible analyst estimates that it takes between
20‐30 minutes each day to run this and related processes. The process must be executed according
to specific instructions in order to prevent errors.
Reexamine O&M Exam Administration’s process for packing examination boxes and carts. Exam
Administration counts test center staff materials and supplies such as pens and pencils twice, using
two different people, even though the risk to exam center staff of shorting these supplies is low.
Find more effective ways to reorder supplies as they are used. Explore the feasibility of acquiring a
materials management tool or application. Current processes require staff to visually inspect each
box one or more times so that supplies can be restocked/reordered.
Conduct an analysis to determine if the Apple One agency is still the most cost‐effective way for the
State Bar to staff exam proctors. It appears that the State Bar may not be receiving the benefits of
temporary staffing (pre‐screening of applicants, for example) that it is paying for. Staff we
interviewed suggested that the agency does not always provide timely processing of proctor
applicants that have been recruited by the State Bar. Apple One appears to have a strong incentive to
delay applicant processing, since the State Bar will be forced to request general temporary
employees from Apple One at a 50% premium.
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In General
Explore the feasibility of creating a formal document intake process at the point documents are received, usually in the mail room. Documents could be logged in and managed using existing bar code technology or Radio Frequency Identification (RFID). As noted earlier, correspondence requiring a response is logged in by the O&M Deputy Director’s administrative assistant and then sent to the file room for bar coding. Any letters that are addressed to the Eligibility Section are logged in by the administrative assistant and by an employee in Eligibility.
Explore the feasibility of acquiring Microsoft Project or similar project management software to create and manage O&M’s Master Calendar and to support examination preparation functions, if functionality is not provided by the new Admissions System.
Explore the feasibility of implementing a document management/document imaging solution that includes document indexing and key word search capabilities. In the interim, use SharePoint or other State Bar technologies to manage digitized versions of all documents and letters and make them available in shared directories.
Establish performance objectives and measures for each key business process and monitor
performance over time.
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IV. About this Review
Linda Lewis, Principal of Framework LLC, conducted site visits and interviews in Los Angeles and San
Francisco. She interviewed the following individuals in the Office of Admissions:
Gayle Murphy, Senior Executive, Admissions
Vanessa Collier, Deputy Director, Operations & Management
Gina Crawford, Director, Admissions Administration
Norma Esperida‐Cummins (and Jane Paragas), Section Chief, O&M Eligibility, and team
Becky Romero, Section Chief, O&M Application Pre‐Processing, and team
Selina Flores, Acting Section Chief and Tammy Campbell, Section Chief, O&M Examination Administration, and team
Patrick Kan, Technology Service Analyst, O&M
Arayeh Rahimitabar, Section Chief, Admissions Administration
Kecia Johnson, Admissions Analyst II, Admissions Administration
Regina Serafino, Grading Section Chief
Shikenna Derbigny, Admissions Coordinator
Saida Salfiti, Sr. Administrative Assistant, Moral Character (responsible for motions)
Linda toured work processing areas collected and reviewed written procedures and samples of
forms. She also reviewed materials from previous analyses, including process flow diagrams and use
cases created by Diagonal Consulting and process flows developed internally.
Linda developed process flow diagrams and written process descriptions. She then evaluated
processes by asking the following questions:
Are steps performed in a logical or natural order?
Does every step add value?
Are there any unnecessary administrative tasks, approvals, paperwork?
Do employees make decisions at the task level?
Do processes have multiple versions to fit specific situations?
Are there redundant or unnecessary checks and controls?
Is there a single point of customer contact?
Are as few people as possible involved in performance of the process?
Are reconciliation activities minimized?
Is work performed where it makes the most sense?
Is there clear ownership of each task?
Are tasks performed consistently by different individuals? Is performance of tasks determined by the individuals performing them?
Is it efficient? Are tasks performed using an acceptable level of resources?
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Is it effective? Is it doing what it was intended to do?
Are process results delivered on time?
Are there ways to reduce cycle time without compromising results?
Are there ways to make the process “error proof” (difficult to do incorrectly)
Can the process be standardized or automated?
Are there ways to improve feedback about this process?
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I. Moral Character
A. Overview
To obtain a license to practice law in the State of California an applicant must possess good moral
character as mandated by the Business and Professions Code and outlined in the Rules of The State
Bar of California, Title 4, Admissions and Educational Standards. Each applicant has the burden of
establishing his or her current good moral character and must file a moral character application and
supporting materials to initiate the screening and review process.
The Moral Character function is executed by Operations &Management’s (O&M’s) Application Pre‐
Processing Section in Los Angeles and the Moral Character Section in San Francisco. Application Pre‐
Processing is responsible for receiving moral character applications, assigning an initial review level,
ensuring applications are complete, and managing critical file support information including letters of
reference, fingerprints and criminal records, and driving records. Application Pre‐Processing may also
clear Level M and Level 0 applications (positive applications with few or no issues). The O&M file
room in Los Angeles is responsible for managing the imaging, indexing, storage and transfer of all
hard copy files. The Moral Character Section in San Francisco is responsible for evaluation and
determination of Level 1, 2, 3 and 4 applications, obtaining additional support for determinations as
needed, and for organizing and staffing hearings before the Committee of Bar Examiners and its
Subcommittee.
The Moral Character function was reorganized and its work processes modified in the latter part of
2012. Moral Character Analysts based in Los Angeles were reclassified as “Records Coordinators” and
began reporting to the Application Pre‐Processing Section Chief. Complexity level ratings were
assigned to moral character applications earlier in the application review process, and authority to
clear Level 0 applications was delegated to Records Coordinators in Los Angeles.
The remainder of this section identifies review findings and opportunities for improving process
timeliness, efficiency, security and technology. Exhibit A summarizes opportunities that have
been/are being addressed by O&M as a direct result of this review.
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B. Application Processing Timeliness
According to published instructions to applicants, the Office of Admissions’ goal is to complete the
processing of moral character applications “as quickly and as efficiently as possible.”1 Applicants are
instructed to expect that a moral character determination will take a minimum of 180 days to
complete. O&M monitors the timeliness of moral character processing against this 180 performance
target.
An analysis of on‐line moral character applications submitted in 20122 revealed the following:
The average elapsed time from the date that each application was complete (placed in filed, or
“F” status) until abandonment or determination (cleared, denied, put in abeyance, sent to the
subcommittee or administratively withheld) was 130 days.3 Days from filed status to final
determination ranged from 1 to 478.
Using O&M’s definitions, 1,361 or 19.9% of 2012 applications were “late” in that they were
determined after the 180 day performance target.4
Moral character applications submitted in 2012 that had reached a final resolution by 6/4/2013
were “in house” an average of 129 days.5 The majority of these (80%) reached final resolution
within 180 days. A small percentage of applications (4%) were “in house” over 270 days.
1 “Steps Following Submission of a Moral Character Application”, document MC Following Submission 0312‐R, available
through the Office of Admissions’ web portal.
2 We examined 7,687 on‐line applications submitted at any time during 2012. Data were provided by O&M. While some
applications are paper‐only, the majority are initiated on‐line.
3 On‐line applications received complete (“filed”) in 2012 and for which a status of “A” (Abandoned), “B” (Abeyance), “C”
(Cleared), “D” (Denied), “H”(Administrative Withdraw), or “N” (Sub‐Committee) had been recorded as of 6/4/2013.
4 A “late” application was any application that had been “in house” for at least 181‐days and had an Application Status of
“F” (filed) or “I” (information hold). Includes the mean days from date the application was placed in “F” or “I” status to the
date the application was placed in one of the following: “A” (Abandoned), “B” (Abeyance), “C” (Cleared), “H”(Administrative
Withdraw), “N” (Sub‐Committee) or “W”(Withdrawn by Applicant).
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As of 6/4/2013, 259 applications in “I” status (information hold) had been “in‐house” over 120
days. Of these, 108 had been “in‐house” over 180 days.
A small proportion of applications take a long time to reach final resolution. Level 3 and 4
applications averaged 241 days from “Filed” status to final resolution but represented only 5% of
all applications resolved. Most applications (52%) were rated Level M or Level 0; these averaged
90 days to final resolution in 2012. Level 1 and 2 applications (43% of applications) averaged 164
days to final resolution.
Appendix A identifies critical path processes for moral character application pre‐processing and
determination. Each process includes a minimum, maximum and average duration, derived from the
2012 application data and staff estimates. The critical path highlights processes that must be
completed before applications can be resolved. Analysis of the critical path reveals that the following
have the greatest potential to contribute to overall process delay:
Delays in application pre‐processing review. Process 14.4 Review Application for Completeness,
executed by Application Pre‐Processing in Los Angeles, is critical to overall resolution time. This is
the first opportunity for an application to receive a “Filed” status, indicating that it may be
evaluated for clearance. Live Scan review and manual fingerprint processing cannot begin until
this process is complete. In 2012, the average duration of this process was 10 days.6 However,
backlogs can form here. The process took more than 20 days for 377 applications and in one
instance took 129 days.
5 On‐line applications received complete (“filed”) in 2012 for which a status of “A” (Abandoned), “C” (Cleared), “D”
(Denied), “H” (Administrative Withdraw), or “W” (Withdrawn by Applicant) had been recorded as of 6/4/2013, indicating
resolution of the applicant’s moral character determination.
6 Includes the mean days from date the application was placed in “P” or paper received status to the date the application
was first assigned a level rating of P,M or 0.
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Multiple requests for references. Responses to Confidential Questionnaires (CQs), or requests
for references, are integral to the moral character determination process. CQs are not mailed to
prospective references until the signed copy of the printed application is received and it is clear
that the applicant intends to follow through with the application. Application Pre‐Processing
estimates that it takes 34 days, on average, from the time that CQs are sent to references until
the time they are received and recorded but that waits of 60 days are not uncommon.
If CQs are undeliverable, are not returned or are inadequate, O&M may send out additional
requests.7 The need for additional references is identified during routine monitoring (Process
14.9) which can only commence once the application has been reviewed for completeness
(Process 14.4.) Any backlogs in Process 14.4 will compromise additional reference requests.
The critical path analysis suggests that applications requiring a second request for references
may not be clearable until Day 97, on average (which roughly translates to Day 67 as measured
by the “180 day clock”.)8 In a worst case scenario (all prior processes take the maximum amount
of time) applications requiring a second request for references may not be clearable until Day
192 (or Day 162 as measured by the “180 day clock”.)
Moral Character Analysts may also request additional references at any time.
Fingerprint processing delays. Rejected Live Scan fingerprints can add an estimated 31‐62 days
to the time to application resolution. The critical path analysis suggests that applications with
rejected prints may not be clearable until Day 76, on average (which roughly translates to Day 36
as measured by the “180 day clock”. In a worst case scenario applications requiring extra Live
Scan processing may not be clearable until Day 314 (or Day 284 as measured by the “180 day
clock”.)
Subcommittee‐driven evaluation and follow‐up. An estimated 250 applications per year are
referred to the Subcommittee for Moral Character for review. Preparation of applications for
Subcommittee evaluation is time‐consuming, and review must be scheduled for one or more of
the Subcommittee’s seven annual meetings. After initial consideration the Subcommittee may
request additional investigation (adding up to 30 days), place the applicant in abeyance for 6‐18
months, or postpone action for up to 90 days. The Subcommittee may also request an informal
conference. Any final determination will be deferred to a later meeting.
7 According to interviews, an estimated one of every eight moral character applications (about 1,000 per year) includes
reference addresses resulting in undeliverable mail.
8 The critical path analysis assumes that Day 1 is the day that on‐line applications are uploaded to the AS/400. The “180 day
clock” does not begin until an application is placed in complete or “filed” status. This occurs somewhere near Day 30 for
most applications.
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The 2012 data did not include enough information to fully evaluate the time that Subcommittee
actions and related activities added to an application’s total processing time. However, 31
applications filed in 2012 and referred to the Subcommittee as of 6/4/2013 had been in process
an average of 305 days since the filing date, and 6 applications placed in abeyance as of 6/4/2013
had been in process an average of 385 days. Each of these applications will require additional
review and evaluation in 2013 before they can be determined.
Other factors contributing to the length of moral character determinations include:
Re‐assignment of applications older than 120 days. Level M or 0 applications not cleared by
Application Pre‐Processing within 120 days are automatically re‐assigned to a Moral Character
Analyst in San Francisco. Applications are then subject to additional triage, review, and
evaluation that extends overall processing time. This is true even if the application is not
particularly complex.9 In 2012, 791 Level M and 0 applications were not cleared within 120 days
and would likely have been transferred to Moral Character.
The impact of processing differences is apparent when comparing timeliness of Level 0
applications (reviewed by Moral Character Analysts in 2012) and Level M applications (reviewed
by Application Pre‐Processing in 2012). Level 0 applications required 142 days on average to
reach determination, while Level M applications required 65 days, on average. By April of 2013
Application Pre‐Processing estimated that it was clearing Level M and 0 applications in five
weeks, on average.10 The Director of O&M indicated during interviews that he would like to see
clearances completed within 30 days. (O&M is reconsidering this 120 day deadline; see Exhibit
A.)
Data collection and investigation for complex Level 3 and Level 4 applications. Investigations
(both internal and external) and extra evaluation add to the duration of processing time for
complex Level 3 and Level 4 applications. These impacted a small number of applications. In 2012
only 5% of applications were Level 3 or 4 at final determination.
Fingerprint processing delays. All Live Scan prints are forwarded to the Department of Justice,
but applicants using Live Scan must indicate that fingerprints also be sent to the FBI. If an
applicant fails to make this designation at the time prints are taken, his or her Moral Character
Application may be considered to be incomplete.
Manual fingerprint processing. Prior to April of 2013, fingerprint cards were not sent for
processing until an application was deemed to be complete (placed in “Filed” status). This
delayed the determination of any application requiring Department of Justice (DOJ) or FBI
9 See Process 14.11 Evaluate Moral Character.
10 Responsibility for reviewing/clearing Level 0 applications was assigned to Application Pre‐Processing near the end of
2012.
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clearance using physical fingerprint cards by an estimated 10 to 20 days. (O&M has changed this
process; see Exhibit A.)
Manual DMV requests. If automated requests for DMV records fail to produce a result O&M
must manually request information from the DMV. This request begins once results from the
automated requests are received and require an additional 15‐43 days.
Delayed file opening. According to statistics prepared by the Application Pre‐Processing Section
Chief, it took Moral Character Analysts an average of 113 days to open (begin work on) new
applications during January through July 2012. Interviewees suggested that Moral Character
Analysts may not be requesting applications to work until they are reasonably assured that the
applications include CQs, results from fingerprint processing, and a DMV record. Work backlogs
may also be an issue (see below.) According to the critical path analysis, Moral Character
Analysts should expect applications to be complete and ready to evaluate on Day 67, on average
(“180 day clock”). In a worst case scenario, applications would not be available until Day 228.
Work backlogs/workload. Moral character workload is seasonal. In 2012 the number of
applications received was greatest in January through April and peaked in March. Interviewees
suggested that work intensifies in after results from examinations are received as work is
internally “triaged” to make sure examinees are cleared if possible. Records Coordinators have
assigned duties in addition to application processing, including DMV duties, fingerprint
processing, and undeliverable CQs, for example. Moral Character Analysts are assigned on a
rotating basis to answer telephone calls from applicants wishing to check application status,
references, and other parties offering unsolicited information about applicants. These activities
are necessary but can be disruptive to regular work.
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Opportunities:
Accept an electronic signature in place of or in addition to a signed affidavit. Initiate requests for
references as soon as the on‐line application is submitted and electronically signed. This could
reduce average total processing time by 19 days, or more in instances where paper applications
are not returned timely.
Eliminate automated re‐assignment to Moral Character of Level M or 0 applications not cleared
within 120 days. (O&M is evaluating this change.)
Evaluate whether Moral Character Analyst specialization by application level could improve
processing duration for less complex Level 1 and 2 applications.
Conduct further analysis on reasons for delays in the opening of files by Moral Character
Analysts. Collect recent data and determine if better information about the readiness status of
each file is needed.
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C. Process Efficiency
Moral character processing efficiency is compromised by the following:
Undeliverable Confidential Questionnaires (CQs). Undeliverable CQs add to workload and
increase processing duration and cost. Application Pre‐Processing estimates that one of every
eight moral character applications (about 1,000 per year) includes reference addresses that
result in undeliverable mail. Some incorrect addresses are obvious during visual inspection; many
are not. Prior to April 2013 a designated Records Coordinator scanned the bar code of each
returned piece of mail three times; once to record receipt, once to direct the mail to an assigned
Records Coordinator or Moral Character Analyst, and a final time to create a transmittal cover
sheet for the Director of Moral Character in San Francisco. (O&M has since eliminated the final
scan.) The Records Coordinator estimated that she spent two hours to scan/wand, sort and batch
undeliverable letters three days per week, for a total of six hours per week. During this time she
was unavailable to work her assigned files. The State Bar incurs cost to mail letters that are
undeliverable, and replacement references must be identified and contacted, extending
application processing time.
Opportunities:
Minimize processing of undeliverable CQs. Record, batch and preserve undeliverable letters in
case of rare legal challenge, but do not attempt to distribute undeliverable mail to a Records
Coordinator or a specific application file. (O&M has implemented a process change; see Exhibit
A.)
Explore tools or technologies that could help to identify incomplete or incorrect addresses before
letters are mailed. Evaluate cost‐effectiveness of technologies.
Redundant payment reconciliation processes. At the time of this review, O&M’s “lockbox
deposit” bank did not appear to be using a data file that O&M created and supplied to assign
payments to specific accounts. This created a situation where two employees recorded the same
information. An Admissions Analyst researched and assigned each payment to an account and
recorded this information in the Microsoft Access‐based Deposit Log. These data were uploaded
to the bank as part of the lockbox deposit service, but the bank did not include them in reports
back to the Bar. The Accounting Technician researched and re‐entered the account assignment
as part of the check reconciliation process post‐deposit.
Opportunity:
Contact the bank to determine why deposit details submitted by O&M are not incorporated in
reports. (O&M indicated that it planned to investigate.)
Work handoffs related to derogatory references. Handoffs in Process 14.5 (Receive references)
increase processing time. Records Coordinators are required to forward all derogatory references
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received on “M” level files to the Administrative Assistant (AA) II for review and approval. If the
AA II is unable to approve the reference, she forwards the application and reference to the Sr.
Administrative Assistant for review. The Sr. AA does not record the action taken on the
reference, but instead forwards the application and reference back to the AA II for data entry.
These handoffs can add several days to an application’s processing time, depending on the
workloads of the AA II and Sr. AA.
Opportunities:
Revise policy and processes for processing derogatory references. Grant authority to Records
Coordinators to approve derogatory employment references in very limited, defined
circumstances. Authorize the person approving a derogatory reference (Records Coordinator, AA
II or Sr. AA) to update the applicant’s record in the AS/400 and change the status of the reference
and/or application as necessary. (See process 14.5.)
Work handoffs related to application clearance. There are two unnecessary handoffs in Process
14.10 (Clear Moral Character Application Level 0 and M). The first occurs after the Senior
Administrative Assistant (Senior AA) reviews any application that a Records Coordinator cannot
clear. The Sr. AA does not record the action taken as a result of his review, but instead forwards
the application and instructions back to the AA II for data entry. A second handoff occurs when
the AA II returns the file to the assigned Records Coordinator so that he/she can forward it to the
file room.
Opportunities:
Authorize the Senior AA to make any necessary changes to the Application record and to forward
the file directly to the assigned Analyst. Use e‐mail or other means as necessary to communicate
that file changes have been made.
Revise policy and processes for clearance of Level M and O applications. Change the process to
require Sr. AA to update the applicant’s record in the AS/400 and clear the application as
necessary. Eliminate the AA II’s involvement in data entry for Level M files. Forward any
applications cleared by the Sr. AA directly to the file room. Notify the assigned Records
Coordinator via e‐mail that the file has been cleared. (See process 14.10.)
Extra review of incomplete moral character applications. Prior to April 2013, applications
that a Record’s Coordinator determined to be incomplete were subject to a second review by
the Administrative Assistant II before the file status could be changed. This extra review
added to the AA II’s workload and potentially delayed actions needed to make the file
complete. Since Records Coordinators used a structured checklist and had access to written
policies & procedures to guide decision‐making, they should be held accountable for their
own decisions. (O&M has changed this practice.)
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Inability to clear without physical file. At the time of this review, the automated system
prevented Records Coordinators from clearing a moral character application until its physical file
had been created and recorded. This resulted in re‐work of applications that had been found to
be ready to clear during the initial review of the application. (O&M has implemented a software
change to address this problem.)
Inability to clear without DMV. The Application Pre‐Processing Section Chief has the authority to
clear otherwise clean Level “M” (minimal processing) applications that are awaiting a DMV
record only. Records Coordinators in Los Angeles do not have this authority.
Opportunity:
Develop a protocol that would allow Records Coordinators to clear these applications.
Manual fingerprint evaluation. Live Scan fingerprints are not processed by the DOJ and/or FBI
until Records Coordinators review an application to determine if fingerprint processing is
required. This decision occurs in Process 14.4 Review Application for Completeness
(approximately process day 15.) This decision is performed using specific criteria identified on a
paper checklist, using information that is captured in the applicant’s AS/400 record. Completion
of this checklist and update of the AS/400 adds a small amount of time to each application’s
processing. More importantly, the manual process delays the initiation of Live Scan fingerprint
processing until day 15 or later.
Opportunity:
Automate the decisions to forward Live Scan fingerprints to the FBI for processing and to process
Live Scan fingerprints. Consider automating the decision to process fingerprints, based on
applicant responses and/or other file entries.
Automate both the decision send Live Scan fingerprints to the FBI and to process Live Scan
fingerprints, and begin to process prints as soon as on‐line applications are uploaded. (This may
require accepting an electronic signature in place of or in addition to a signed affidavit.) This
could potentially reduce average total processing time by xx or more days and impacts
approximately xx applications.
Live Scan provider errors. According to interviews with O&M personnel, the UPS Store
(California statewide), an authorized Live Scan provider, has been a frequent source of
processing errors. This is a known problem, but it is unclear what (if any) actions the State Bar
can take to reduce applicant use of this provider.
Redundant fingerprint work. According to interviews, individual Records Coordinators and the
assigned Fingerprints Coordinator are regularly checking to see if it has been more than fifty days
since a request to process fingerprints was made.
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Opportunity:
Instruct Records Coordinators to contact the assigned fingerprint Records Coordinator regarding
fingerprint issues.
Purged fingerprint results. Unmatched fingerprint results (results for which an application has
not yet been received or reviewed) are purged after 120 days. If purged results are needed at a
later date, the designated Records Coordinator must manually reconstruct records using hard
copies. (How significant is this?)
Application file transfers. Hard copy application files are requested by Moral Character Analysts
and are transferred from Los Angeles to San Francisco. Moral Character Analysts may be
unwilling or unable to use images of application documents, and some supporting documents are
not imaged. It is estimated that file transfers add at least two days to the determination process.
The Los Angeles file room completes a three‐part paper form to manually record the transfer of
each file, even though each file’s bar code is electronically scanned to record transfer date and
location. Part of this physical form is retained and filed; the remainder is immediately recycled.
Opportunity:
Eliminate use of the three‐part file transfer form. Rely instead on electronic records of file
location.
Confusing application mailing instructions. Instructions included with the on‐line application
indicate that the paper copy must be mailed within 60 days of on‐line filing. Other on‐line
sources suggest that the application should be submitted within 10 days or 30 days. This may be
confusing to applicants.
Opportunity:
Clarify instructions.
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D. Security/Process Controls
Three findings related to security and/or process controls merit further review:
Unsecured checks. Prior to April 2013, checks received for Moral Character and other
applications were left unsecured on top of a desk or cabinet overnight. Good practice dictates
that checks be secured. (O&M has since secured these checks.)
DMV credentials. The Application Pre‐Processing Section’s AA II is making manual DMV requests
using DMV credentials and privileges granted to the Section Chief during his previous position as
a Moral Character Analyst.
Opportunity:
Obtain appropriate DMV data credentials for the AA II.
Document accountability and tracking. While Application Pre‐Processing bar codes and images
moral character documents it receives in Los Angeles, documents that are sent directly to the
San Francisco Moral Character Section are not bar coded and may not be imaged (verify).
Additionally, San Francisco is not routinely using the Bar Code System to record receipt and
transfers of application files. The Moral Character Section indicated that there are no dedicated
mail room or support resources for this purpose. O&M has provided file management training to
San Francisco staff in the past.
Opportunity:
Identify staff resources in San Francisco that will be responsible for tracking receipt and
movement of bar coded Moral Character files and documents. Develop instructions for file
tracking.
Investigate whether documents received by the Moral Character Section should be bar coded
and/or imaged.
E. Other Technology Opportunities Identified
Update O&M’s Bar Code and scanning (imaging) software/hardware. These are no longer
supported by vendors. The State Bar is unable to make any changes to existing functionality, data
categories or fields. (Verify)
Re‐locate the high‐volume scanner near staff that uses it most frequently. (O&M has relocated
this equipment.)
Enforce registration with the State Bar before applicants may submit an on‐line moral character
application. Use methodologies in place for other on‐line applications.
Use an electronic signature for on‐line moral character applications.
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Develop a means to automatically upload fingerprint data for applicants using an “RR” number
instead of a Social Security Number. Data for these individuals will not automatically upload, and
must be manually entered in the Fingerprint Hold System and re‐uploaded to the AS/400. The
Fingerprint Coordinator estimates that there are 5‐10 of these per day.
Provide Moral Character applicants with more detailed on‐line application status information.
According to interviewees, the current status of “in review” is not particularly informative and
generates telephone calls to the Moral Character Section.
F. Summary of Opportunities Being Implemented or Explored
During interviews with O&M management and the Application Pre‐Processing Section in March and
April of 2013 process improvement opportunities were identified that have been or are being
implemented by O&M. These are summarized in Exhibit A.
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Exhibit A: Summary of Application Pre‐Processing Opportunities & Implemented or Planned
Changes
Opportunity Action Taken (or Planned)
Undeliverable Confidential
Questionnaires/reference requests
A designated Records Coordinator spent an
estimated six hours per week scanning
undeliverable mail. Each undeliverable piece
of mail was scanned three times: once to
receive it, once to direct it to the assigned
Records Coordinator or Analyst, and once to
create a transmittal cover sheet.
Changed process. Each piece of undeliverable mail is scanned once to record that it was received, and bundled and filed by date.
Plan to develop a report to take the place of the cover sheet.
Researched tools or technologies that could be used to identify bad addresses before letters are mailed. Preliminary research suggested that these might not be cost‐effective.
Delayed processing of fingerprint cards
Per internal policy, fingerprint cards were not
sent for processing until the Application was
deemed to be complete (placed in “F” or Filed
status). This delayed the determination of any
application requiring DOJ or FBI clearance
using physical fingerprint cards.
Fingerprint cards are now processed as soon as they are removed from the application packet as the application is reviewed for completeness. (See Process 14.4.)
Incomplete moral character applications
Any application determined to be incomplete
by a Records Coordinator was subject to a
second review by the Administrative Assistant
II before the file status could be changed. This
extra review added to the AA II’s workload
and potentially delayed actions needed to
make the file complete.
Changed process to eliminate AA II review of incomplete applications.
Records Coordinators will be accountable for their decisions. Any problems or issues will be addressed with training as needed.
Excessive handling of Confidential
Questionnaires
An assigned Records Coordinator optically
scanned the bar code of each completed
Reference Questionnaire (using a hand‐held
wand) in order to create a cover memo for
the Moral Character Section Chief. (This was
done after optically scanning each document
Will design a report to take the place of the cover sheet. This bar code scanning will be eliminated.
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Opportunity Action Taken (or Planned)
up to two times to update response category
and/or to determine status and level.)
Derogatory References
Records Coordinators forward all derogatory
references on “M” level files to the AA II for
review and approval. A handoff could be
eliminated if Records Coordinators were given
the same authority as the AA II to approve
derogatory employment references in very
limited circumstances.
Will discuss with the Director of Moral Character
Scanner location
The high‐volume scanner was not located
near staff that used it most frequently.
Relocated the equipment (verify).
120 day conversion
Level “M” or “0” applications not cleared by
Application Pre‐Processing within 120 days of
receipt (“P” or paper received status)
automatically converted to Level “P”
applications and are re‐assigned to a Moral
Character Analyst.
Elimination of this deadline is under consideration.
Payment reconciliation process
The State Bar’s “lockbox deposit” bank does
not appear to be using the data file the Bar
supplies to assign payments to specific
accounts.
Under investigation.
Check security
Checks removed from applications may have
been left on top of a desk or file cabinet
overnight.
Any checks not deposited by the end of the business day are now secured in a locked file cabinet.
File transfer
The Bar Code System/optical scanner records
Under investigation.
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Opportunity Action Taken (or Planned)
the transfer of Moral Character files between
Los Angeles and San Francisco. However, the
Los Angeles file room also completes a three‐
part paper form to manually record the
transfer of a file. Part of the physical form is
retained and filed; the remainder is
immediately recycled.
Clearance without physical file
Records Coordinators were not able to clear a
moral character application until its physical
file had been created.
Software has been changed to allow clearance before file creation.