Tcl - Disciplinary Case Summaries for Matters Resulting in Diversion and Private Admonition - April 2007 - Colorado Disciplinary Cases
Publication year | 2007 |
Pages | 105 |
Citation | Vol. 36 No. 4 Pg. 105 |
2007, April, Pg. 105. TCL - Disciplinary Case Summaries for Matters Resulting in Diversion and Private Admonition - April 2007 - Colorado Disciplinary Cases
The Colorado Lawyer
April 2007
Vol. 36, No. 4 [Page 105]
April 2007
Vol. 36, No. 4 [Page 105]
From the Courts
Colorado Disciplinary Cases
Colorado Disciplinary Cases
Disciplinary Case Summaries for Matters Resulting in
Diversion and Private Admonition
Articles describing Diversion Agreements and Private
Admonitions as part of the Attorney Regulation System are
published on a quarterly basis. These summaries are
contributed by the Colorado Supreme Court Office of Attorney
Regulation Counsel. Visit
http://www.coloradosupremecourt.com/Regulation/Regulation.asp.
http://www.coloradosupremecourt.com/Regulation/Regulation.asp.
Diversion and Private Admonition Summaries
Diversion is an alternative to discipline. See
C.R.C.P. 251.13. Pursuant to the rule and depending on the
stage of the proceeding, Attorney Regulation Counsel
(Regulation Counsel), the Attorney Regulation Committee
(ARC), the Presiding Disciplinary Judge (PDJ), the hearing
board, or the Supreme Court may offer diversion as an
alternative to discipline. For example, Regulation Counsel
can offer a Diversion Agreement when the complaint is at the
central intake level in the Office of Attorney Regulation
Counsel (OARC). Thereafter, ARC or some other entity must
approve the agreement
From November 19, 2006 through February 19, 2007, at the
intake stage, Regulation Counsel entered into five Diversion
Agreements involving seven requests for investigation. ARC
entered into six Diversion Agreements involving seven
requests for investigation during this time frame. The PDJ
did not approve any Diversion Agreements during this time
frame. ARC did not approve any private admonitions during
this time frame. The PDJ approved one private admonition
during this time frame
Determining if Diversion is
Appropriate
Regulation Counsel reviews the following factors to determine
if diversion is appropriate: (1) there is little likelihood
that the attorney will harm the public during the period of
participation; (2) Regulation Counsel can adequately
supervise the conditions of diversion; and (3) the attorney
is likely to benefit by participation in the program
Regulation Counsel will consider diversion only if the
presumptive range of discipline in the particular matter is
likely to result in a public censure or less. However,
if the attorney has been publicly disciplined in the last
three years, the matter generally will not be diverted under
the rule. See C.R.C.P. 251.13(b). Other factors
Regulation Counsel considers may preclude Regulation Counsel
from agreeing to diversion. See C.R.C.P. 251.13(b).
Purpose of the Diversion Agreement
The purpose of a Diversion Agreement is to educate and
rehabilitate the attorney so that the attorney does not
engage in such misconduct in the future. Furthermore, the
Diversion Agreement also may address some of the systemic
problems an attorney may be having. For example, if an
attorney engaged in minor misconduct such as neglect, and the
reason for such conduct was poor office management, then one
of the conditions of diversion may be a law office management
audit and/or practice monitor. The time period for a
Diversion Agreement generally is no shorter than one year and
no longer than two years.
Conditions of the Diversion
Agreement
The type of misconduct dictates the conditions of the
Diversion Agreement. Although each Diversion Agreement is
factually unique and different from other agreements, many
times the requirements are similar. Generally, the attorney
is required to attend Ethics School and/or Trust Account
School, which are conducted by attorneys from the Office of
Attorney Regulation Counsel. An attorney also may be required
to fulfill any of the following conditions:
law office audit
practice monitor
financial audit
restitution
payment of costs
mental health evaluation and treatment
CLE course attendance
any other conditions that would be determined appropriate for
the particular type of misconduct.
Note: The terms of a Diversion Agreement may not be
detailed in this summary if the terms are generally included
within Diversion Agreements.
After the attorney successfully completes the requirements of
the Diversion Agreement, Regulation Counsel will close its
file, and the matter will be expunged pursuant to C.R.C.P.
251.33(d). If Regulation Counsel has reason to believe that
the attorney has breached the Diversion Agreement, then
Regulation Counsel must follow the steps provided in C.R.C.P
251.13 before an agreement can be revoked.
Types of Misconduct
The types of misconduct resulting in diversion generally
involve the following:
an attorney's lack of competence, implicating Colo. RPC
1.1
an attorney's neglect of a matter and/or failure to
communicate, implicating Colo. RPC 1.3 and Colo. RPC 1.4,
where the client is not harmed or restitution is paid to
redress the harm or malpractice insurance exits
fee issues, implicating Colo. RPC 1.5
trust account issues, implicating Colo. RPC 1.15
failing to properly withdraw, implicating Colo. RPC 1.16
communication with persons represented by counsel,
implicating Colo. RPC 4.2
conduct prejudicial to the administration of justice,
implicating Colo. RPC 8.4(d)
Some cases resulted from personal problems the attorney was
experiencing at the time of the misconduct. In those
situations, the Diversion Agreements may include a
requirement for a mental health evaluation and, if necessary
counseling to address the underlying problems of...
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