Title: In Re: Code For Resolving Professionalism Complaints

State: florida

Issuer: Florida Supreme Court

Document:

Supreme Court of Florida 
 
____________ 
 
No. SC13-688 
____________ 
 
IN RE:  CODE FOR RESOLVING  
PROFESSIONALISM COMPLAINTS 
 
[June 6, 2013] 
 
LEWIS, J. 
 
The Supreme Court of Florida Commission on Professionalism has 
requested that the Court adopt a Code for Resolving Professionalism Complaints 
which would include a structure to provide a process to more critically address 
professionalism issues in Florida.  We have jurisdiction, art. V, § 15, Fla. Const. 
(“The supreme court shall have exclusive jurisdiction to regulate the admission of 
persons to the practice of law and the discipline of persons admitted”), and grant 
the request. 
 
The current professionalism movement in Florida traces its formal beginning 
to a Florida Bar task force created in 1989 which generated a report to this Court in 
1996 that reported lawyers’ professionalism to be in a state of “steep decline.”  In 
July of 1996, The Florida Bar requested that this Court create the Supreme Court 
of Florida Commission on Professionalism with the overarching objective of 
 
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increasing the professionalism aspirations of all lawyers in Florida and ensuring 
that the practice of law remains a high calling with lawyers invested in not only the 
service of individual clients but also service to the public good as well. 
 
Recognizing that professionalism involves principles, character, critical and 
reflective judgment, along with an understanding of ourselves and others working 
in and under stressful circumstances, Florida has traditionally followed a more 
passive, academic approach to enhance and improve professionalism.  Continuing 
legal education programs, speeches, contests, meetings and other academic 
methods of addressing professionalism have been implemented on both state and 
local levels.  During the last two years, the Professionalism Commission has 
studied and reviewed both our status and progress in advancing professionalism.  
Although it is impossible to determine with scientific certainty the true or exact 
status of professionalism today, the passive academic approach to such problems 
has probably had a positive impact toward improving professionalism or at least 
maintaining the status quo by preventing a further decline as reported in 1996, the 
Professionalism Commission has concluded that we continue to experience 
significant problems that are unacceptable, requiring further and more concrete 
action.  Surveys of both lawyers and judges continue to consistently reflect that 
professionalism is one of the most significant adverse problems that negatively 
impacts the practice of law in Florida today.  While we continue our educational 
 
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approach, the Professionalism Commission concluded that further integrated, 
affirmative, practical and active measures are now needed.  We agree. 
 
Over the years, we have come to understand that professionalism or 
acceptable professional behavior is not simply a matter of character or principles 
nor is it simply an issue of rule-following or rule-violating.  To the contrary, 
unacceptable professional conduct and behavior is often a matter of choice or 
decision-making.  Therefore, we accept the proposal of the Professionalism 
Commission to create a structure for affirmatively addressing unacceptable 
professional conduct.  This first step admittedly contains small initial measures 
designed to firmly encourage better behavior.  This structure attempts to utilize a 
wide range of interventions from mere conversations to written communications to 
more severe sanctions as may be applied under our existing Florida Code of 
Professional Responsibility, which continues above and beyond the structure we 
approve today. 
 
As a first step, the Professionalism Commission has concluded and now 
proposes that we should not attempt to create an entirely new code of 
“professional” or “unprofessional” conduct nor should we, at this time, attempt to 
codify an entirely new “Code of Professionalism.”  We agree with this approach.  
The Professionalism Commission has proposed, and we adopt, the collection and 
integration of our current and already existing standards of behavior as already 
 
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codified in: (1) the Oath of Admission to The Florida Bar; (2) The Florida Bar 
Creed of Professionalism; (3) The Florida Bar Ideals and Goals of Professionalism; 
(4) The Rules Regulating The Florida Bar; and (5) the decisions of the Florida 
Supreme Court into and as part of the Code for Resolving Professionalism 
Complaints we adopt today.  This provides an integrated standard based on the 
standards previously adopted and already in existence for many years.  These 
standards have been previously approved and are in use, but are not expressed and 
placed in one location as our standards of expected professional behavior. 
 
The Professionalism Commission has also proposed that the mechanism for 
initiating, processing, and resolving professionalism complaints be the Attorney 
Consumer Assistance and Intake Program (ACAP) created by The Florida Bar.  
We agree and adopt this mechanism.  ACAP has been previously created and 
already accepts, screens, mediates and attempts to resolve any complaints 
concerning professional behavior.  This structure exists to receive and resolve any 
complaints before and in the place of the initiation of formal grievance 
proceedings. 
 
The Professionalism Commission also recognized that pursuant to the 
Administrative Order issued by this Court on June 11, 1998, the Chief Judge of 
each circuit was directed to create and maintain in continuous operation a Circuit 
Committee on Professionalism.  The Professionalism Commission has proposed 
 
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that a local committee in each circuit be activated to receive, screen and act upon 
any and all complaints of unprofessional conduct and to resolve those complaints 
informally, if possible, or refer to The Florida Bar if necessary.  We agree with this 
proposal and also adopt the Local Professionalism Panel plan.  The Chief Judge of 
every circuit shall create a Local Professionalism Panel to receive and resolve 
professionalism complaints informally if possible.  In the discretion of the Chief 
Judge, the Circuit Committee on Professionalism may be designated as the Local 
Professionalism Panel.  The Chief Judge of each circuit is responsible for 
activating the respective committees.  
 
The Code for Resolving Professionalism Complaints, attached as Exhibit A, 
was published for comments, comments were received and considered by the 
Professionalism Commission, and a public hearing was conducted.  The 
Conference of County Court Judges and the Conference of Circuit Court Judges 
have responded in favor of the proposed Code as an initial step toward improving 
professional conduct in Florida.  We hereby adopt the Code for Resolving 
Professionalism Complaints attached as Exhibit A, effective immediately.  The 
Court extends its gratitude to the members of the Professionalism Commission, the 
Standing Committee on Professionalism, The Florida Bar Center for 
Professionalism, and The Florida Bar for the extensive work expended in 
connection with this major project. 
 
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It is so ordered. 
POLSTON, C.J., and PARIENTE, QUINCE, CANADY, LABARGA, and 
PERRY, JJ., concur. 
 
THE FILING OF A MOTION FOR REHEARING SHALL NOT ALTER THE 
EFFECTIVE DATE OF THESE AMENDMENTS.  
 
Original Proceedings – Code for Resolving Professionalism Complaints 
 
 
 
 
EXHIBIT A 
 
Code for Resolving Professionalism Complaints 
 
Standards of Professionalism 
 
Members of The Florida Bar shall not engage in unprofessional conduct.  
“Unprofessional conduct” means substantial or repeated violations of the Oath of 
Admission to The Florida Bar, The Florida Bar Creed of Professionalism,  The 
Florida Bar Ideals and Goals of Professionalism, The Rules Regulating The 
Florida Bar, or the decisions of The Florida Supreme Court.  
 
Unprofessional conduct, as defined above, in many instances will constitute a 
violation of one or more of the Rules of Professional Conduct.  In particular, Rule 
4-8.4(d) of The Rules Regulating The Florida Bar has been the basis for imposing 
discipline in such instances.  See generally, The Florida Bar v. Ratiner, 46 So. 3d 
35 (Fla. 2010); The Florida Bar v. Abramson, 3 So. 3d 964 (Fla. 2009); and The 
Florida Bar v. Martocci, 791 So. 2d 1074 (Fla. 2001). 
 
Implementation Procedures   
 
1. Terminology 
 
1.1. Standards of Professionalism:  The Standards of Professionalism are set 
forth in the Oath of Admission to The Florida Bar, The Florida Bar Creed of 
 
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Professionalism, The Florida Bar Ideals and Goals of Professionalism, The Rules 
Regulating The Florida Bar and the decisions of The Florida Supreme Court.   
 
1.2. Complainant: The person who complains that an attorney’s conduct has 
violated the Standards of Professionalism.  
 
1.3. Respondent: The attorney whose behavior is the subject of the complaint. 
 
1.4. Attorney Consumer Assistance and Intake Program (ACAP): The 
program of The Florida Bar which fields and screens complaints against members 
of The Florida Bar. Depending upon the nature and severity of the professionalism 
complaint, ACAP can resolve the complaint informally as provided herein or it can 
refer the matter to the appropriate branch office of The Florida Bar’s Lawyer 
Regulation Department for further action.   
 
1.5. Local Professionalism Panel: An entity independent of The Florida Bar 
which is established at the local level for the purpose of resolving complaints of 
alleged unprofessional conduct by attorneys practicing in that circuit.  
 
1.6. Practice and Professionalism Enhancement Programs: The various 
programs of The Florida Bar which exist for use in diversion cases or as a 
condition of discipline.  These programs include Ethics School, Professionalism 
Workshops, Law Office Management Assistance Service (LOMAS), Anger 
Management Classes, Florida Lawyers Assistance, Inc., and the Trust Accounting 
Workshop. 
 
2.  Initiating Professionalism Complaints 
 
2.1. Commencement of the Process: Any person may initiate a professionalism 
complaint against a member of The Florida Bar through a Local Professionalism 
Panel when available and appropriate, or through ACAP.  Complaints received by 
a Local Professionalism Panel may be referred to ACAP at any time depending 
upon the nature and severity of the complaint. 
 
3. Processing Professionalism Complaints Through ACAP 
 
3.1. Complaints initiated through ACAP can be an informal request for assistance 
either through a telephone call or by a written request.  The complaint can also be a 
formal complaint either under oath as required by Rule 3-7.3(c) of The Rules 
Regulating The Florida Bar or as an unsworn judicial referral as outlined in 
 
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Standing Board Policy 15.91 of The Florida Bar.  The Bar may also lodge a 
complaint on its own initiative. 
 
3.2. Initial Screening  
 
3.2.1. Upon receipt of a complaint, ACAP will create a record of the request 
by obtaining the contact information for both the Complainant and the 
Respondent.  The information will then be forwarded to an ACAP 
Attorney for Initial Screening.    
 
3.2.2.  
If the ACAP Attorney determines that the concerns raised in the 
complaint could be resolved informally, the ACAP Attorney will 
contact the Respondent to discuss the professionalism issues and 
provide remedial guidance as necessary, or refer the complaint to a 
Local Professionalism Panel. If the matter cannot be resolved 
informally, the ACAP Attorney will contact the Complainant and 
explain any further available options.  
 
3.2.3. Upon receipt of a complaint that cannot be resolved informally, the 
ACAP Attorney will determine whether the allegations, if proven, 
would constitute a violation of The Rules of Professional Conduct 
relating to professionalism.  If the ACAP Attorney determines the 
facts as alleged would constitute a violation, an inquiry will be opened 
and the ACAP Attorney will investigate the allegations.  If the ACAP 
Attorney determines the facts as alleged would not constitute a 
violation, the ACAP Attorney will advise the Complainant and the 
Respondent of the decision not to pursue an inquiry and will provide 
the reasons for doing so.   
 
3.2.4. If the ACAP Attorney determines after investigation that the facts 
show the Respondent did not violate The Rules of Professional 
Conduct, the ACAP Attorney may dismiss the case after taking 
informal action if necessary, such as providing remedial guidance.  
The Complainant and Respondent will be notified of the dismissal and 
will be provided the reasons for doing so. 
 
3.2.5. If the ACAP Attorney determines after investigation that a complaint 
warrants further action for a possible violation of one or more of The 
Rules of Professional Conduct, the ACAP Attorney will forward the 
 
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matter to the appropriate branch office of The Florida Bar’s Lawyer 
Regulation Department for further consideration.   
 
3.3. Review at the Branch Level:  Upon a referral to the branch office, branch 
Bar counsel may dismiss the case after further review and/or investigation, 
recommend Diversion to a Practice and Professionalism Enhancement Program in 
accordance with Rule 3-5.3(d) of The Rules Regulating The Florida Bar, or refer to 
a Grievance Committee for further investigation. 
 
3.4. Review by the Grievance Committee:  Upon referral and conclusion of the 
investigation, the Grievance Committee will make one of the following findings: 
 
 
A. 
No probable cause; 
 
B.  
No probable cause and include a letter of advice to the Respondent; 
C.   
Recommendation of Diversion to one of the Practice and 
Professionalism Enhancement Programs; 
 
D.  
Recommendation of Admonishment for Minor Misconduct; or 
E.   
Probable cause. Probable cause under Rule 3-2.1 of The Rules 
Regulating The Florida Bar is a finding of guilt justifying disciplinary 
action.  
 
3.5. Confidentiality: The confidentiality of disciplinary investigations and 
proceedings is outlined in Rule 3-7.1 of The Rules Regulating the Florida Bar.  
Any record of informal attempts to resolve a dispute as outlined in paragraph 3.2.2. 
would also be subject to the provisions of Rule 3-7.1 except that notes of any 
telephonic communication between the ACAP Attorney and the Complainant, the 
Respondent, or any third party would be considered the work product of The 
Florida Bar and would remain confidential and not become part of the public 
record.