COVID-19 affected all of us during 2020, including lawyers. The California State Bar continued its mission of protecting the public from misconduct that occurs by lawyers. The Annual Discipline Report for 2020 highlights that while the pandemic certainly presented quite a challenge for the entire nation, the Office of Chief Trial Counsel (OCTC) worked in a remote capacity to continue its work. Here is a summary of some of the OCTC’s accomplishments in 2020:
- The OCTC placed its focus on the most serious matters. In 2020, this meant resolving 146 high-priority cases. OCTC also improved its caseload clearance for lower-priority cases during 2020. Their backlog of high-priority matters lessened by 17%.
- The OCTC opened around 17,500 matters in 2020 which was a 14% decline compared to 2019. The full report classified this as a drop in ethics complaints due to a decline in economic activity directly related to the pandemic. OCTC believes this drop in economic activity and subsequent drop in the filing of ethics complaints allowed them to work through their backlog.
- The OCTC implemented recommendations to address racial disparities noted in a 2019 California State Bar study. The three broad areas that were noted in the study were: client trust fund accounting, the treatment of previous complaints and discipline, and the ability to find legal representation for individuals facing discipline by the State Bar. An action plan was developed for 2021.
- The OCTC continued to work to protect vulnerable populations. They opened 665 UPL cases against non-attorneys targeting vulnerable communities, including immigrants. They seized over 1,000 files and returned files to more than 300 victims.
The OCTC’s Remote Journey to Protect the Public Utilizing Legal Tech
When California began to shelter in place in March 2020, the California State Bar began to work remotely. OCTC, the Office of Probation, and the State Bar Court relied on a legal tech platform known as Odyssey to protect the public and investigate ethics complaints. Within five weeks of the shelter in place order, the State Bar Court began remote hearings and trials. By the end of the year, the State Bar Court conducted 1,309 remote events. This included 51 trials and 22 oral arguments. They continue to utilize remote appearances.
On page 10 of the full report, the State Bar wrote that the “COVID-19 emergency provided an opportunity to update court procedures to better enable remote functioning of the attorney discipline system.” Zavieh Law is pleased to see the improvements made that allow for the State Bar to have held and to continue to hold remote hearings.
Increase in Criminal Conviction Matters
The OCTC saw an increase in criminal convictions for 2020. However, despite the sensational nature of this statement, this increase was because of the requirement of all licensed attorneys to undergo re-fingerprinting by December 2019. As a result, the California Bar receives Subsequent Arrest Notifications (SANs) and Records of Arrest and Prosecution (RAP) sheets from the Department of Justice. The California Bar reviews these documents and the OCTC is made aware of criminal charges and convictions of attorneys that weren’t previously reported.
Why Were There Fewer Ethics Complaints in California in 2020?
Other than the pandemic, the State Bar’s report listed several key reasons they believe there were fewer ethics complaints filed in California.
- The number of solo attorneys has declined over the last 15 years. According to the report, solo attorneys face a greater risk of ethics complaints than those who are not solo.
- There are more practicing female attorneys in 2020 than in years past. Generally, female attorneys are less likely to have an ethics complaint filed against them according to page 7 of the report.
- The California Bar initiated several misconduct prevention activities, including the New Attorney Training Program.
Summary of Complaints Received by OCTC
In 2020 the OCTC
- Received 12,197 complaints
- Reopened 560 complaints
- Closed 12,066 complaints with no action
- Closed 238 complaints with a referral
- Closed 1,253 with nondisciplinary action
- Filed 259 cases in State Bar Court
- 5 cases were closed by the State Bar Court with no action
- 181 cases were closed with discipline imposed
Summary of State Bar Initiated Inquiries
In 2020, the Star Bar initiated:
- 270 inquiries
- Reopened 8 inquiries
- Had 207 cases closed by OCTC with no action
- Had 84 cases closed by OCTC with nondisciplinary action
- Had 23 cases filed in State Bar Court
- Closed 23 cases with discipline imposed
Probation Referrals
In 2020:
- 67 probation referrals were received
- 28 were closed with no action
- 1 was closed with nondisciplinary action
- 72 were filed in State Bar Court (note that this appears to include several cases from the OCTC’s backlog)
- 1 was closed by the State Bar Court with no action
- 53 cases were closed with discipline imposed
Self-Reported Reportable Actions
In 2020:
- 146 actions reported
- 101 were closed with no action
- 25 were closed with nondisciplinary action
- 13 were filed in State Bar Court
- 1 was closed by the State Bar Court with No Action
- 10 were closed with discipline imposed
Reportable Actions, Reported by Others
In 2020:
- 467 actions were reported
- 3 reportable actions were reopened
- 1,631 reports were closed with no action (note that this appears to include several cases from the OCTC’s backlog)
- 152 were closed with nondisciplinary action
- 58 were filed in the State Bar Court
- 1 was closed by the State Bar Court with no action
- 42 were closed with discipline imposed
All Reportable Actions, Reported by Self
In 2020:
- 152 reports were received
- 101 cases were closed with no action
- 1 case was closed with a referral
- 25 cases were closed with nondisciplinary action
- 18 cases were filed in the State Bar Court
- 5 cases were closed by the State Bar Court with no action
- 2 cases were closed by the State Bar Court with nondisciplinary action
- 24 cases were closed with discipline imposed
Reports of Three or More Malpractice Lawsuits Within the Last Year
In 2020:
- 5 cases were received
- 2 cases were closed with no action
Judgment in Civil Case for Fraud, Misrepresentation, Gross Negligence, Etc.
In 2020:
- 8 reports were received
- 5 were closed with no action
- 1 was closed with nondisciplinary action
- 1 was filed in the State Bar Court
Judicial Sanctions Imposed
In 2020:
- 110 reports received
- 78 were closed with no action
- 22 were closed with nondisciplinary action
- 4 cases were filed in State Bar Court
- 1 case was closed by the State Bar Court with no action
Felony Indictments
In 2020:
- 3 reports received
- 1 case was closed with no action
- 2 cases were closed by the State Bar Court with no action
- 1 case was closed by the State Bar Court with nondisciplinary action
Conviction of Felony or Misdemeanor Related to Practice of Law
In 2020:
- 3 reports received
- 1 case closed with referral
- 2 cases filed in State Bar Court
- 2 cases closed by State Bar Court with no action
- 1 case closed by State Bar Court with nondisciplinary action
- 9 cases closed with discipline imposed (note that this appears to include several cases from the OCTC’s backlog)
Discipline by Professional Agency or Licensing Board
In 2020:
- 16 reports received
- 11 closed with no action
- 1 closed with nondisciplinary action
- 11 cases filed in State Bar Court
- 10 cases closed with discipline imposed
Judicial Sanctions Imposed
In 2020:
- 48 reports received
- 31 closed with no action
- 34 closed with nondisciplinary action
- 15 cases filed in State Bar Court
- 1 case closed by the State Bar Court with no action
- 5 cases closed with discipline imposed
Claim or Action for Damages for Fraud, Misrepresentation, Etc.
In 2020:
- 245 reports received
- 313 closed with no action (note that this appears to include several cases from the OCTC’s backlog)
Overdraft of Attorney Trust Accounts
In 2020:
- 1,159 reports received
- 2 cases were reopened
- 1,276 cases closed with no action
- 115 cases closed with nondisciplinary action
- 41 cases filed in State Bar Court
- 44 cases closed by the State Bar Court with no action
- 36 cases closed with discipline imposed
Filing of Misdemeanor or Felony Charges
In 2020:
- 77 reports received
- 23 cases closed with no action
- 1 case closed with nondisciplinary action
- 14 cases filed in State Bar Court
- 3 cases closed by the State Bar Court with no action
- 26 cases closed with discipline imposed
Criminal Convictions
In 2020:
- 16 reports received
- 10 cases closed with no action
- 1 case filed in State Bar Court
- 2 cases closed with discipline imposed
Learn How to Better Manage Your Ethical Risks as a Lawyer
The pandemic showed the State Bar and the legal industry as a whole that we simply must catch up with technology although lawyers must be technologically competent to benefit their clients. As Megan has written about, embracing legal technology has the potential to help lawyers manage some of their ethical risks. Megan is very excited to announce the release of her book The Modern Lawyer: Ethics and Technology in an Evolving World. Available through ABA Publishing, Megan’s book is a guide regarding legal technology, officing options, ethics, outsourcing, office management, and more. It is a must-read! Grab your copy now.