North Carolina Administrative Code › Title 27 - STATE BAR › Chapter 01 - RULES AND REGULATIONS FOR THE NORTH CAROLINA STATE BAR › Subchapter B - DISCIPLINE AND DISABILITY RULES › Section .0100 - DISCIPLINE AND DISABILITY OF ATTORNEYS › Section 01B .0113 - PROCEEDINGS BEFORE THE GRIEVANCE COMMITTEE

Current through Register Vol. 39, No. 2, July 15, 2024
(a)
				  Probable Cause - The Grievance Committee or any of its panels acting as the
				  Grievance Committee with respect to grievances referred to it by the
				  chairperson of the Grievance Committee will determine whether there is probable
				  cause to believe that a respondent is guilty of misconduct justifying
				  disciplinary action. In its discretion, the Grievance Committee or a panel
				  thereof may find probable cause regardless of whether the respondent has been
				  served with a written letter of notice. The respondent may waive the necessity
				  of a finding of probable cause with the consent of the counsel and the
				  chairperson of the Grievance Committee. A decision of a panel of the committee
				  may not be appealed to the Grievance Committee as a whole or to another panel
				  (except as provided in 27 N.C.A.C. 1A, .0701(a)(3)).
(b) Oaths and Affirmations - The chairperson
				  of the Grievance Committee will have the power to administer oaths and
				  affirmations.
(c) Record of
				  Grievance Committee's Determination - The chairperson will keep a record of the
				  Grievance Committee's determination concerning each grievance and file the
				  record with the secretary.
(d)
				  Subpoenas - The chairperson will have the power to subpoena witnesses, to
				  compel their attendance, and compel the production of books, papers, and other
				  documents deemed necessary or material to any preliminary hearing. The
				  chairperson may designate the secretary to issue such subpoenas.
(e) Closed Meetings - The counsel and deputy
				  counsel, the witness under examination, interpreters when needed, and, if
				  deemed necessary, a stenographer or operator of a recording device may be
				  present while the committee is in session and deliberating, but no persons
				  other than members may be present while the committee is voting.
(f) Disclosure of Matters Before the
				  Grievance Committee - The results of any deliberation by the Grievance
				  Committee will be disclosed to the counsel and the secretary for use in the
				  performance of their duties. Otherwise, a member of the committee, the staff of
				  the North Carolina State Bar, any interpreter, stenographer, operator of a
				  recording device, or any typist who transcribes recorded testimony may disclose
				  matters occurring before the committee only when so directed by the committee
				  or a court of record.
(g) Quorum
				  Requirement - At any preliminary hearing held by the Grievance Committee, a
				  quorum of one-half of the members will be required to conduct any business.
				  Affirmative vote of a majority of members present will be necessary to find
				  that probable cause exists. The chairperson will not be counted for quorum
				  purposes and will be eligible to vote regarding the disposition of any
				  grievance only in case of a tie among the regular voting members.
(h) Results of Grievance Committee
				  Deliberations - If probable cause is found and the committee determines that a
				  hearing is necessary, the chairperson will direct the counsel to prepare and
				  file a complaint against the respondent. If the committee finds probable cause
				  but determines that no hearing is necessary, it will direct the counsel to
				  prepare for the chairperson's signature an admonition, reprimand, or censure.
				  If no probable cause is found, the grievance will be dismissed or dismissed
				  with a letter of warning or a letter of caution.
(i) Letters of Caution - If no probable cause
				  is found but it is determined by the Grievance Committee that the conduct of
				  the respondent is unprofessional or not in accord with accepted professional
				  practice, the committee may issue a letter of caution to the respondent
				  recommending that the respondent be more professional in his or her practice in
				  one or more ways which are to be specifically identified.
(j) Letters of Warning
(1) If no probable cause is found but it is
				  determined by the Grievance Committee that the conduct of the respondent is an
				  unintentional, minor, or technical violation of the Rules of Professional
				  Conduct, the committee may issue a letter of warning to the respondent. The
				  letter of warning will advise the respondent that he or she may be subject to
				  discipline if such conduct is continued or repeated. The letter will specify in
				  one or more ways the conduct or practice for which the respondent is being
				  warned. The letter of warning will not constitute discipline of the
				  respondent.
(2) A copy of the
				  letter of warning will be maintained in the office of the counsel for three
				  years. If relevant, a copy of the letter of warning may be offered into
				  evidence in any proceeding filed against the respondent before the commission
				  within three years after the letter of warning is issued to the respondent. In
				  every case filed against the respondent before the commission within three
				  years after the letter of warning is issued to the respondent, the letter of
				  warning may be introduced into evidence as an aggravating factor concerning the
				  issue of what disciplinary sanction should be imposed. A copy of the letter of
				  warning may be disclosed to the Grievance Committee if another grievance is
				  filed against the respondent within three years after the letter of warning is
				  issued to the respondent.
(3)
				  Service of Process:
(A) If valid service upon
				  the respondent has previously been accomplished by certified mail, personal
				  service, publication, or acceptance of service by the respondent or the
				  respondent's counsel, a copy of the letter of warning may be served upon the
				  respondent by mailing a copy of the letter of warning to the respondent's last
				  known address on file with the State Bar. Service shall be deemed complete upon
				  deposit of the letter of warning in a postpaid, properly addressed wrapper in a
				  post office or official depository under the exclusive care and custody of the
				  United States Postal Service.
(B)
				  If valid service upon the respondent has not previously been accomplished by
				  certified mail, personal service, publication, or acceptance of service by the
				  respondent or the respondent's counsel, a copy of the letter of warning shall
				  be served upon the respondent by certified mail or personal service. If
				  diligent efforts to serve the respondent by certified mail and by personal
				  service are unsuccessful, the letter of warning shall be served by mailing a
				  copy of the letter of warning to the respondent's last known address on file
				  with the State Bar. Service shall be deemed complete upon deposit of the letter
				  of warning in a postpaid, properly addressed wrapper in a post office or
				  official depository under the exclusive care and custody of the United States
				  Postal Service. Within 15 days after service, the respondent may refuse the
				  letter of warning and request a hearing before the commission to determine
				  whether the respondent violated the Rules of Professional Conduct. Such refusal
				  and request will be in writing, addressed to the Grievance Committee, and
				  served on the secretary by certified mail, return receipt requested. The
				  refusal will state that the letter of warning is refused. If the respondent
				  does not serve a refusal and request within 15 days after service upon the
				  respondent of the letter of warning, the letter of warning will be deemed
				  accepted by the respondent. An extension of time may be granted by the
				  chairperson of the Grievance Committee for good cause shown.
(4) In cases in which the
				  respondent refuses the letter of warning, the counsel will prepare and file a
				  complaint against the respondent at the commission.