Opinion ID: 2266107
Heading Depth: 2
Heading Rank: 2

Heading: The Kersey Defense

Text: We next turn to consideration of respondent's contention that he established entitlement to the benefits of the Kersey defense. In analyzing that claim, the Board applied a three-pronged test, requiring respondent to satisfy each prong of the test. Under that test, respondent must: (1) prove by clear and convincing evidence that he suffered from an alcoholism-induced impairment [6] at the time he misappropriated his clients' funds; and if so, (2) prove by a preponderance of the evidence that the alcoholism substantially caused him to engage in that misconduct; and (3) prove by clear and convincing evidence that he now is substantially rehabilitated. See Temple, supra note 6, 596 A.2d at 586, 591; Miller, supra, 553 A.2d at 203-04; Kersey, supra, 520 A.2d at 326-27. Although we have never formally adopted this test, the Board regularly uses it, and we have, without remark, accepted its use, as does respondent in this case. [7] See In re Appler, 669 A.2d 731, 739 (D.C.1995). So far as we can determine, the application of this test has never been challenged and we conclude, for the reasons discussed below, that it correctly sets out what needs to be established. Therefore, we hold that in order to invoke a Kersey defense, an attorney must meet this three-pronged test. The Board concluded that respondent failed to satisfy any of the prongs. Because we are satisfied that the Board's finding that respondent failed to satisfy the first prong is sustainable, we hold that respondent's assertion of the Kersey defense fails. We, therefore, do not consider the other two prongs.
Before we turn to our analysis of the Board's application of the first prong, we will address a burden of proof issue that divides the majority from our dissenting colleague. As noted, the hearing committee and the Board applied the three-pronged test outlined above, each concluding that respondent failed to meet his burden on each prong. As to the first prong, the Board found that respondent failed to show, by clear and convincing evidence, that he was suffering from an alcoholism-induced impairment in the fall of 1990, when the Board found the misconduct occurred. Although respondent argues in this court that he met his burden on this prong, he does not challenge the Board's use of the clear and convincing evidence standard. In our previous cases, there has been no occasion to address the question of the burden of proof that applies to this prong, because there was never any dispute that the attorney was impaired by alcohol, or drugs, during the period when the misconduct occurred. See, e.g., Miller, supra, 553 A.2d at 204; Kersey, supra, 520 A.2d at 325; Temple, supra, 596 A.2d at 589. Therefore, in our previous cases, we focused on the burden of proof necessary to establish the nexus between the impairment and the misconduct, i.e., the second prong of the test. With respect to that causal connection, we applied a preponderance of the evidence standard. Miller, supra, 553 A.2d at 203-04 n. 4. In this case, however, the extent of respondent's alcoholism in the fall of 1990 was very much in dispute. To invoke this defense, an attorney must, in the first instance, before the question of causation even arises, show that he or she was impaired by alcohol during the period of the misconduct. Kersey, supra, 520 A.2d at 326. Such a showing is one almost entirely within the attorney's capacity to establish, just as, at the other end of the process, it is the attorney who has the wherewithal to show that he or she has been rehabilitated. We think it self-evident that it is the attorney who has the greatest access to the evidence, and who can best identify medical and lay witnesses necessary to show both impairment and rehabilitation. Because of these considerations, and because a successful invocation of this defense often permits an attorney to avoid serious sanctions, including disbarment, for conduct causing great harm to his or her clients, we do not consider a clear and convincing evidence requirement for both the disability prong and the rehabilitation prong to be either unduly burdensome or unreasonable. See Temple, supra, 596 A.2d at 591; Appler, supra note 7, 669 A.2d at 741 (holding that respondent failed to show, by clear and convincing evidence, that he has been rehabilitated). Although we think that we have implicitly imposed that standard in our previous cases, to eliminate any doubt, we now hold that an attorney must meet the clear and convincing evidence standard on both the impairment and rehabilitation prongs of this defense. It is that standard, not challenged by respondent, that the Board applied here. Our dissenting colleague maintains, however, that by imposing a clear and convincing evidence standard on the first prong we have, in effect, imposed that same standard with respect to the second prong that, as we held in Miller, only requires a showing by of a preponderance of the evidence. We do not agree. Each step of this test is separate and distinct, and can be fairly kept so. We clearly recognized that separation in Kersey, where we observed: As the Board aptly noted, `[i]t is not enough to say that the offender is an alcoholic and ipso facto causation is proven. After all, not all alcoholic lawyers steal their clients money.' Kersey, supra, 520 A.2d at 325; accord In re Shorter, 570 A.2d 760, 770 (D.C.1990) (If respondent has established that he could not resist, we would be inclined to consider his gambling pathology as a defense, provided he could also provide a further causal link between the illness and his sanctionable non-gambling behavior.) (emphasis added). Indeed, in this case, both the Board and the hearing committee had no difficulty maintaining separation between the first and second prongs. Both carefully distinguished each step of the process from the other, drew separate conclusions with respect to each, and found, on the causation prong, that respondent failed to show, by a preponderance of the evidence, that the requisite connection had been established. [8] Although we do not address the Board's finding on causation because our ruling on the first prong is dispositive, we think the Board unmistakably demonstrated that the question of causation is a readily identifiable element of the test that is separate and distinct from the other prongs, carrying its own burden of proof. Therefore, we cannot agree with the dissent's contention to the contrary.
The evidence indisputably supports respondent's claim that he was suffering from alcoholism by November of 1991, and very likely as early as March of 1991. As noted above, however, the misappropriation was found to have occurred late the previous year and respondent had the burden of showing that he was impaired at that time. This respondent failed to do. The experts from both sides essentially agreed that respondent's ability to conduct his professional activities was impaired by alcoholism by March 1991, but with the possible exception of Dr. Wynne, none opined that such an impairment was present at an earlier time. The hearing committee and the Board did not credit some of the expert testimony because it depended on respondent's selfreporting of facts, reasoning that the facts supplied were of questionable reliability because they may have been influenced by respondent's self-interest. [9] Finally, although the lay witnesses called by respondent did testify regarding some professional lapses in his performance in 1990, the hearing committee gave little weight to that testimony, as it was permitted to do, DISTRICT OF COLUMBIA BOARD OF PROFESSIONAL RESPONSIBILITY RULES Rule 11.2, Actions by Hearing Committee (1990) (BOARD RULES), because, during that period, respondent's lapses, apart from the misappropriation, were minimal. The Board agreed. We have no basis, on this record, for overturning these findings or the Board's ultimate conclusion that respondent failed to meet the first prong of the Kersey test; i.e., he failed to prove by clear and convincing evidence, that his ability to carry out his professional duties was impaired by alcoholism at the time he misappropriated his clients' funds. It follows therefore that the Kersey defense must fail.