FAQs

Responding to a Disciplinary Complaint

I received a letter from the Office of Disciplinary Counsel. What do I do?

  • First, don’t panic! A disciplinary complaint will come to you as a “Request for Respondent’s Position” and that is exactly what it is: a chance for you to respond to a complaint. The Office of Disciplinary Counsel (“ODC”) has heard one side of the story, usually from a client, but sometimes from a Judge or opposing counsel. Now they are requesting your side of the story. Many disciplinary inquiries are resolved at the “complaint” stage once the facts are fully explained.
  • Check your malpractice coverage. You should have at least some coverage for disciplinary defense. Many insurance companies have panels of attorneys they recommend for this defense at a reduced rate. However, you are not obligated to use the “insurance panel” attorneys. Depending on your coverage, you can select your own attorney and negotiate a rate to be paid by the insurer.
  • The Response to the complaint is due within 30 days of the date of the letter, but there is flexibility here if you need it. Contact the ODC attorney who has sent you the letter and ask for additional time, up to an additional 30 days. Do not discuss the merits of the matter before you have counsel, but be polite and considerate of the ODC attorney’s time.
  • The letter from ODC may close with a request for documents. Be sure that any new due date includes the date for producing those documents.
  • Seek legal counsel. Disciplinary practice is a highly specialized area with three sets of Rules that apply: the Rules of Professional Conduct, the Pennsylvania Rules of Disciplinary Enforcement, and the Disciplinary Board Rules. Understanding these Rules and the cases that interpret them is essential to providing a good response.
  • Failure to cooperate with the Office of Disciplinary Counsel is an aggravating factor in determining a sanction for any misconduct. Prepare a thorough, accurate, and well-organized response to the ODC’s letter, providing clear documentation of the facts. Accept responsibility for your errors and do what you can to proactively remedy them.