If a client or third party submits a complaint to the DC Office of Disciplinary Counsel (“ODC”), it will be reviewed by a lawyer from that office, known as an Assistant Disciplinary Counsel (“ADC”).

In basically all cases, the ADC will forward the complaint to the attorney and ask for a response. At this point, the matter has not been formally “docketed” for an investigation. ODC will use the attorney’s response in deciding whether the case merits a formal investigation.

The #1 goal in preparing your response is therefore to convince ODC that the complaint against you is so obviously without merit that no investigation is warranted. Exactly how you do this depends upon the specific allegations from the complainant and the facts of your representation. Perhaps you have a letter to the client that refutes the allegations, or perhaps you can simply explain your side of the story. Whenever possible, include supporting exhibits such as court filings or transcripts.

Although every case is different, the following rules apply in most cases:

• Notify your insurance company right away, even if you believe the complaint is self-evidently frivolous;
• Under no circumstances should you miss the deadline that ODC gives you to respond – even if they let you respond late, this is equivalent to waiving a red flag signaling that you may indeed be a problem attorney;
• Recall that any statements you make in the response will be admissible at a later hearing on the complaint if there is one;
• Failing to respond to an inquiry from ODC can itself be ethical misconduct – you can be charged for that alone even if the complaint is unfounded;
• Making misstatements in your response to ODC is a serious ethical offense that can often result in more severe sanctions than any misconduct alleged in the complaint;
• Be prepared for ODC to ask follow up questions to your initial response;
• In rare circumstances, you can challenge ODC’s inquiry on a variety of grounds, including that it intrudes on privilege, constitutional protections or is overbroad. The Board of Professional Responsibility will rule on your challenge;
• If you conclude that you have committed an ethical violation, you can minimize the damage by acting quickly and doing whatever you can to limit the damage to your former client. Many first time ethical violations can be resolved by diversion, reprimand or similar sanction short of disbarment or suspension.

If your response is successful in convincing ODC that there is no ethical misconduct, they will notify both you and the complainant that they are declining to docket the matter for investigation. This is the conclusion of the case.

When in doubt, consult an attorney with experience dealing with ODC for guidance during this and all other aspects of the disciplinary process.