Opinion ID: 1442152
Heading Depth: 1
Heading Rank: 3

Heading: Failure to Respond Fully to Investigative Inquiries (DR 1-103(C)).

Text: The Bar charged the accused with seven separate violations of the disciplinary rule that requires a lawyer, when subject to a disciplinary investigation, to respond fully and truthfully to inquiries and to comply with reasonable requests from the investigating authority. DR 1-103(C). The Trial Panel found the accused guilty of each charge. The accused does not challenge the findings by the Trial Panel of the specific violations, but he does contend that the seriousness of his conduct does not warrant the sanction imposed. The accused has not attempted to justify his conduct by resort to any claim of right or privilege. Covering a period of conduct from May 1985 to February 1987, written complaints from seven separate clients (or client couples) of the accused were received by the Bar during an eight-month period in late 1986 and early 1987. In each instance, pursuant to the Rules of Procedure (BR 2.5(b)), the Bar wrote to the accused, enclosed a copy of the complaint, and asked for a response. In one case, the accused failed to respond in any manner. Although the accused claimed that he had responded, the Bar did not receive a response and the accused has no record substantiating that he had responded. In the other six cases, his responses took varying forms, usually written on a photocopy of the Bar's letter of inquiry, in terse terms, and, in most instances, signed by a member of his office staff. In five of the cases, the Bar repeated its request for a response by a second letter, but was rebuffed by the accused. According to his testimony at the hearing, the accused recognized his responsibility to respond to the Bar, noting both an obligation and a duty to answer the complaints. However, he asserted that he had responded in the normal fashion for bankruptcy practitioners and that he had cooperated, but in his own manner. Although the accused takes the Bar to task in his Reply Brief for arguing at length about the inadequacies of his responses to the Bar, a brief review of the accused's normal fashion might be instructive to the members of the Bar as a primer of what not to do when a complaint is forwarded to a lawyer for response. In total, the Bar wrote 12 letters to the accused in respect of the seven client complaints. In all but one instance, the Bar received a response of some sort. Obviously, in the case where the accused failed to respond at all, he violated DR 1-103(C). Of the 10 responses received by the Bar, all but one of them came from an employee of the accused. Only in one case did the accused respond. Both DR 1-103(C) and BR 2.5 require the lawyer to respond, unless, of course, the accused is represented by a lawyer, in which case, a response by the lawyer for the accused is sufficient. A response by a secretary, file clerk, paralegal, family member, or otherwise is not sufficient compliance, whatever may be normal fashion for bankruptcy practitioners. The content of the responses was combative (threatening litigation against the Bar, questioning the authority of the Bar to inquire, and asserting that the Bar is encouraging clients to be bad members of society), disparaging of clients (client is a trouble maker), threatening to clients (will turn matter over for collection if bill unpaid), and, for the most part, unresponsive to the complaints of the clients. Except in the one instance noted, the unprofessional responses were signed by one of three different employees, although the accused acknowledged that he had dictated some of the responses. However, it is not the rude and unprofessional content of the responses that runs afoul of the rule, it is the failure of the accused to respond fully and truthfully. In several of the responses, a request was made to refer the complaint to the local bar (presumably, meaning the Local Professional Responsibility Committee). The accused contended that his motivation for stonewalling the inquiries from the Bar was generated by his feeling that the Bar, and in particular a [now] former employee of the Bar, would not fairly evaluate the charges against him. To his credit, the accused apparently did cooperate with the LPRC's subsequent review of the complaints. The procedure by which disciplinary complaints are processed is spelled out in the Rules of Procedure (BRs), a series of rules approved by the Board of Governors of the Bar and this court, in accordance with ORS 9.532. The process usually starts with a written complaint to the Bar, which complaint is evaluated by Disciplinary Counsel, and, if the facts stated do not raise an arguable complaint of misconduct, is dismissed. BR 2.5(a). If, on the other hand, the complaint raises an arguable complaint of misconduct, Disciplinary Counsel mails a copy of the complaint to the accused lawyer and notifies the lawyer that he or she must respond within 21 days. BR 2.5(b)(1). If the lawyer fails to respond, Disciplinary Counsel refers the complaint to the appropriate LPRC for investigation. BR 2.5(b)(2). If the lawyer does respond, Disciplinary Counsel considers both the complaint and the response and may, if the facts alleged do not raise an arguable complaint of misconduct, dismiss the complaint. [10] The accused does not have the option of short-circuiting the process. The failure to respond cannot be excused by a request for an investigation by a LPRC. See In re Vaile, 300 Or. 91, 101, 707 P.2d 52 (1985) (presentation of evidence to LPRC does not obviate response to Disciplinary Counsel). A significant number of complaints are resolved at the initial stage of the process. See, e.g., Report of Executive Director, Oregon State Bar Annual Report (Disciplinary Matters), p 4 (1989), p 5 (1988), p 4 (1987). Avoidance of this step significantly would increase the correspondence requirement for the Bar (witness this case), markedly would increase the workload of the volunteer lawyers and members of the public serving on the State Professional Responsibility Board, and seriously would overload the volunteer lawyers and members of the public serving on the LPRCs. When a lawyer fails to respond to a client's complaint to the Bar, the whole process is delayed and prejudiced. In re Hedrick, 301 Or. 750, 761, 725 P.2d 343 (1986). As did the Trial Panel, we find by clear and convincing evidence that the accused is guilty of seven charges of violation of failing fully and truthfully to respond to the written inquires of the Bar. DR 1-103(C).