1977, March, Pg. 450. ANNUAL REPORT of the Colorado Supreme Court Grievance Committee.

6 Colo.Law. 450

Colorado Lawyer

1977.

1977, March, Pg. 450.

ANNUAL REPORT of the Colorado Supreme Court Grievance Committee

450Vol. 6, No. 3, Pg. 450ANNUAL REPORT of the Colorado Supreme Court Grievance Committee451To the Chief Justice of the Supreme Court of the State of Colorado

The Grievance Committee's 1976 investigations and formal hearings dockets reached record highs during 1976. While the Committee was able to manage its investigatory workload, the backlog in formal hearings reached alarming proportions. This report charts all attorney disciplinary proceedings during 1976, and presents a particularly detailed analysis of the Committee's formal hearings docket in order to assist the Court in its effort to solve this critical problem.

INTRODUCTION

The nineteen-member Grievance Committee(fn1) is divided into two nine-member panels, acting as Inquiry Panels and Hearings Panels.(fn2) The Committee is assisted by a full-time staff.(fn3) Initially complaints about attorney misconduct, called informal complaints, result in a thorough investigation. The results of the investigation are reported to and considered by an entire Inquiry Panel. In those cases where the Inquiry Panel determines that there is cause that serious misconduct has occurred, formal disciplinary proceedings are held. These proceedings are initiated by a formal complaint prepared and prosecuted by the Office of the Colorado Attorney General. Formal complaints are considered as a trial-like hearing conducted in accordance with the rules of evidence and the rules of civil procedure. The hearing is held before a hearing committee of three or more members at the direction of the Hearings Panel. After the hearing the hearing committee reports its findings and recommendations to the entire Hearings Panel. Where the Hearings Panel recommends serious discipline (censure, suspension or disbarment), the case is docketed with the Colorado Supreme

452Court which, as the exclusive authority in matters of attorney discipline, make the final disciplinary determination.(fn4)

INQUIRY PANEL DOCKET

During 1976, 416 informal complaints filed actually resulted in initiated investigations before the Inquiry Panel. While this figure is only slightly higher than the 403 investigations initiated during 1975, there is an added perspective on the 1976 total of informal complaints: during 1976 increased attention was given to preliminary review of informal complaints in an effort to screen complaints which apparently did not state a complaint of misconduct warranting professional discipline.(fn5) During 1976 there were 61 such complaints which were not processed and which are not included in the statistics presented. Given this changed perspective for 1976, following is a related chart for the past six-year period:

Processed Informal Complaints or Investigations Initiated 1971-1976

[Please see hardcopy for image]In 1976 there were 385(fn6) informal complaints in which investigations were completed(fn7) and in which final determinations were made by the Committee's Inquiry Panel. This is the highest number of investigations completed by the Committee in any single year, as indicated in the following chart:

Completed Investigations Annually 1971-1976

[Please see hardcopy for image]Despite the highest ever number of completed investigations in a single year, the number of cases pending before the Inquiry Panel still increased, as indicated by the following figures:

1976 Inquiry Panel Docket

Number of investigations pending as of January 1, 1976 167

Number of investigations initiated during 1976 416

Number of investigations completed during 1976 385 Number of investigations pending as of December 31, 1976 198

When an Inquiry Panel considers a report of a completed investigation, it may, pursuant to C.R.C.P. Rule 246, make one of four determinations: (1) that there is no evidence of misconduct and the complaint is dismissed without merit; or (2) that there is no reasonable cause warranting further action and the complaint is dismissed on that basis(fn8); or (3) that the investigation discloses minor misconduct for which discipline, in the form of a letter of admonition is issued(fn9); or (4) that the investigation discloses facts warranting formal disciplinary proceedings.

453By Type of Legal ServicesAnalysis of the 385 informal complaints in which investigations were completed during 1976 offers some insight into what area of legal services more often occasion grievance complaints and what kind of complaints are most frequently expressed. Analyzing these categories in terms of the disposition by the Inquiry Panel reveals some statistical patterns regarding unsubstantiated (and possibly misguided) complaints on the one hand, and, on the other hand, frequent pitfalls for the lawyer. Chart A, for example, shows that 19 percent, the largest single category, of grievances arose in the domestic relations area and that 86 percent of those complaints were dismissed as compared with 78 percent dismissal rate for grievances generally. Or, in Chart B, of 385 investigated complaints, 167 or 43 percent of all complaints investigated voiced dissatisfaction in one form or another with the adequacy of the legal services provided. An unanswered question is the extent to which such figures may suggest disappointed expectations with the legal system which are inappropriately focused on the lawyer as a participant in the system.

The following chart (Chart A) analyzes the 385 investigations completed during 1976 in terms of the type or subject area of legal services involved in the underlying situation.(fn10) 299 (78 percent) of all the complaints were dismissed after investigation, while 36 (9 percent) resulted in letters of admonition by the Inquiry Panel to the respondent, and 50 (13 percent) resulted in the initiation of formal disciplinary proceedings.

Chart A

Area of Legal Services Giving Rise to Grievances(fn10)

Total D LOA F/P

Business Law 20 13 2 5(5%) 65% 10% 25%

Criminal Law 38 33 2 3(10%) 87% 5% 8%

Collection & Contract Enforce- 51 36 9 6ment including wage claims (13%) 70% 18% 12%Domestic Relations 76 65 4 7(20%) 86% 5% 9%

Estates, Wills, Trusts 49 38 5 6(13%) 78% 10% 12%

Injury and Damage Claims 54 48 2 4(14%) 89% 4% 7%

Real Property 54 40 5 9(14%) 74% 9% 17%

Other 43 26 7 10(11%) 61% 16% 23%

385 299 36 50

(100%) 78% 9% 13%

454By Type of Misconduct AllegedWhat may constitute professional misconduct as grounds for discipline of an attorney is set forth in Rule 241(B) of the Colorado Rules of Civil Procedure. This rule also incorporates by reference the entire Code of Professional Responsibility for attorneys as adopted by the Colorado Supreme Court.(fn11) In this Code there are nine canons which are conceptual statements of axiomatic norms expressing, in the most general terms, the standards of professional conduct expected of Colorado lawyers in their relations with their clients, with the legal system, with the legal profession and with the public generally. Each canon contains enumerated sets of ethical considerations and disciplinary rules. The ethical considerations are statements of the principles to which every lawyer should aspire and which may offer guidance in particular situations. The disciplinary rules are mandatory, and set the minimum standards of conduct, breach of which will subject a lawyer to discipline. The severity of discipline will depend upon the character of the offense, the attendant circumstances and, after a determination of misconduct has been made, a consideration of the lawyer's past disciplinary record.

Chart B categorizes the completed investigations by the type of misconduct alleged.(fn10)

Chart B

Completed Investigations During 1976 According to Type of Problem(fn10)

Type of Offense Total Dismissals As Without Merit Dismissals As Lacking Reasonable Cause For Further Proceedings Letter of Admonition Formal Proceedings Warranted

Offenses Against ClientsNeglect and delay(fn12) 59 18 13 8 16Negligence 20 6 8 4 2Incompetence, including lack of preparation(fn12) 15 6 2 4...