Source: https://www.tdcaa.com/journal/help-i-got-a-grievance-letter-what-do-i-do/
Timestamp: 2019-04-20 04:11:14+00:00

Document:
Help! I got a grievance letter! What do I do?
The May-June 2018 issue of this journal featured an excellent article on the changes to the attorney grievance process. Having worked for the Chief Disciplinary Counsel’s (CDC) Office for almost eight years (a very long time ago, during the “good ol’ days” that were mentioned in the article), I was amazed at the number of telephone calls we fielded from attorneys who had received a complaint letter and did not know what to do about it. While I know it is easy to get busy, I hope everyone reading this article has also read (or will read) the earlier one.1 Before receiving that letter from the CDC’s Office (and inevitably, at least half of us will receive that letter over the course of our careers), it is good to have at least a working knowledge of the process.
Any person can file a complaint with the CDC. There is no privity requirement that the person have an attorney-client relationship to file a complaint. The CDC has 30 days to classify the complaint as an inquiry, complaint, or discretional referral. Usually, at this point in the process, the CDC reviews the document from the complainant and using the “four corners” test, meaning that if the facts alleged within the four corners of the complaint are true, was a disciplinary rule violated?
If a disciplinary rule was not violated, the grievance is dismissed as an inquiry and the complainant and respondent are notified in writing. With that letter, the respondent also gets a copy of the grievance. Also note that the complainant has the ability to appeal the adverse decision to the Board of Disciplinary Appeals (BODA).
If a disciplinary rule was allegedly violated, the CDC upgrades the document to a complaint and sends this information to the attorney for a response. If you receive this notice, you must respond to the complaint, though just because you are asked to respond does not mean that you committed professional misconduct. The CDC will then investigate the claim and can schedule an investigatory hearing.
An evidentiary hearing is before a different panel of the grievance committee than the one that previously heard the complaint. The CDC will serve on the respondent no more than 60 days after receipt of election a petition brought by the Commission for Lawyer Discipline (CFLD). The petition will include the name of the respondent, allegations necessary to establish venue, a description of the acts and conduct that gave rise to the alleged misconduct, a list of the specific rule allegedly violated, a demand for judgment that the respondent be disciplined, and any other matter that is required. The respondent is required to file a responsive pleading either admitting or denying each specific allegation (think federal court pleading) no later than 5 o’clock p.m. on the first Monday following the expiration of 20 days after service of the petition. If the respondent fails to file an answer, a default judgment can be taken against him.
Prior to a hearing, both sides may obtain written discovery from the other party. There is also subpoena power available to both the CFLD and respondent. At the hearing, the burden of proof is on the CFLD to prove the allegations in the petition by a preponderance of the evidence, and the evidentiary panel chair will conduct the hearing generally in accordance with the Texas Rules of Evidence. However, evidence is admitted at the discretion of the chair. Once the hearing is completed and the parties notified of the decision, any appeal is to BODA within 30 days.
If the attorney chooses district court trial, a private reprimand is no longer an available option for a sanction. As in the evidentiary panel process, the CFLD files a disciplinary petition with the Texas Supreme Court containing the same information as in the evidentiary petition. Upon receipt, the Supreme Court will appoint an active district judge who does not reside in the administrative judicial district in which the respondent resides to preside over the case. Once the CDC receives the appointment of the presiding judge, the disciplinary petition will be filed with the district clerk of the county of alleged venue. The case will then proceed as any other civil case with the issuance of citation, an answer, discovery, and a trial. Both parties have the right to a jury trial, though the complainant does not have a right to demand one. Disciplinary actions are civil in nature and the Texas Rules of Civil Procedure apply. The burden of proof is on the CFLD to prove the allegations in the petition by a preponderance of the evidence. Either the judge or the jury will determine whether the respondent’s conduct constitutes professional misconduct. If misconduct is found, the court determines an appropriate sanction.
When reviewing the statistics published by the State Bar of Texas for the last five years, I would point out the following trend. Overall, the number of grievances filed and the number of grievances dismissed as inquiries has decreased, even though the number of licensed Texas attorneys has increased. However, the number of grievances classified as a complaint, requiring a response from the attorney, has increased. The number of provisions in the Disciplinary Rules of Professional Conduct relating to integrity, tribunals, and non-clients have increased dramatically—and, yes, those rules are potentially related to prosecutors. Take heart in noting that more than half of the grievances received are not classified as complaints, and out of those classified as complaints, less than a fourth of those result in the attorney being disciplined.
Grievances against prosecutors are becoming more common in Texas.3 Civil practitioners in prosecutor’s offices need to become familiar with the conflict of interest rules.4 At our civil conferences, we discuss them repeatedly, as a typical day for a civil practitioner is replete with conflict questions.
I got the dreaded letter—what do I do now?
First, breathe and try not to have an anxiety attack or otherwise freak out. You will experience myriad emotions when you read the grievance. Your first instinct will be to fire off a response telling the committee about all of the good things you have done and all of the experience you have and everything the complainant said are vicious lies. As with any correspondence when you may be upset, put it aside for 24 hours and come back to it.
Be candid. Answers to the allegations should be honest, written in a professional tone, and responsive to the allegations. Answers should include enough detail to demonstrate you have committed no misconduct.9 If you have documentation, provide it to the CDC. If you do not provide the documentation voluntarily, with the new rules, the CDC has subpoena authority.10 But respondent attorneys do not have the same ability to subpoena records.
Consult or hire counsel who works in the grievance system.11 It is very difficult to remain objective during this process when you’re going through so many emotions, so consult with an attorney who specializes in grievances. That attorney will be able to read the complaint and your response, and he may see other things that need addressing. Further, the attorney can tell you objectively what the grievance committee will be looking for in the response.
I hope this article has given you some practical advice and pointers to consider if you receive notice of a grievance from the CDC. I would encourage you to get involved in the process and apply to be on a grievance committee. Each member serves for a specified term, and when the term has expired, the State Bar Directors in your area will be seeking new members to fill those vacancies, so polish off the résumé and go to the Bar’s website, www.texasbar.com, to locate the directors in your area. The best time to send your résumé is in January or February.
1 Read it here: https://www.tdcaa.com/journal/changes-attorney-grievance-process.
2 Tex. Disciplinary R. Prof’l Conduct 2.15.
3 Laura Bayouth Popps, Prosecutorial Misconduct and the Role of Discipline, Texas Bar Journal, July 2017.
4 Tex. Disciplinary R. Prof’l Conduct 1.06, 1.07, 1.08, and 1.12.
5 Tex. Disciplinary R. Prof’l Conduct 3.09(d).
6 Tex. Disciplinary R. Prof’l Conduct 15.09.
7 Tex. Disciplinary R. Prof’l Conduct 2.10(B).
8 Tex. Disciplinary R. Prof’l Conduct 8.01(b) or 8.04(a)(8).
9 TYLA Pocket Guide: Grievance and Malpractice 101 (2013).
10 Tex. Disciplinary R. Prof’l Conduct P 2.12.
11 “He who represents himself has a fool for a client.” Abraham Lincoln.
12 Tex. Code Crim. Proc. Art. 55.02 §4(a-2)(2).
13 W.V. v. State, 669 S.W.2d 376 (Tex. App.—Dallas 1984, no writ).
14 See Brookshire Bros. v. Aldridge, 438 S.W.3d 9, 13 (Tex. 2014); Wal-Mart Stores v. Johnson, 106 S.W.3d 718, 721 (Tex. 2003); Cresthaven Nursing Residence v. Freeman, 134 S.W.3d 214, 225 (Tex. App.—Amarillo 2003, no pet.); see also Miner Dederick Constr., LLP v. Gulf Chem & Metallurgical Corp., 403 S.W.3d 451, 467 (Tex. App.—Houston [1st Dist.] 2013, pet. denied).
15 Brookshire Bros., 438 S.W.3d at 16; see Johnson, 106 S.W.3d 721.

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