Roadmap of the Disciplinary Process

North Carolina State Bar Disciplinary Process

Our Role

All North Carolina lawyers must follow the Rules of Professional Conduct. The State Bar investigates possible violations and takes action when needed to:

• Protect the public

• Maintain trust in the legal system

Step 1: A Complaint Is Submitted

The disciplinary process begins when someone raises a concern about a lawyer’s conduct by submitting a complaint. The person filing the complaint is referred to as a “complainant.”

Step 2: Initial Review

Lawyers in the State Bar’s Office of Counsel review complaints to determine whether the complainant has standing to file a complaint and what the next step will be. Based on that review, the State Bar will either:

• Open a grievance based on the complaint,

• Decline to open a grievance because the complaint does not meet the requirements, or

• Refer the complaint to the Attorney Client Assistance Program or the Fee Dispute Resolution Program

The State Bar will notify the complainant in writing whether a grievance file is being opened or if the complaint is being referred to another program.

Step 3: Grievance Investigation

If a grievance is opened:

• The case is assigned to a lawyer in the State Bar's Office of Counsel to investigate and determine whether the allegations warrant sending a Letter of Notice to the lawyer, who is referred to as the respondent.

• State Bar investigators may gather additional information necessary to complete a thorough investigation.

• The investigation is summarized in a Report of Counsel* that is submitted to the Grievance Committee.

*The Report of Counsel is privileged, confidential, and is not a public record.

Step 4: Recommendation for Dismissal

If the allegations, even if proven, do not constitute a violation of the Rules of Professional Conduct, or the available evidence does not prove that the respondent violated the Rules:

• The Office of Counsel submits a Report of Counsel to the Grievance Committee chair, or the chair and one of the vice-chairs, recommending dismissal of the grievance.

• If the chair (or chair and vice-chair) approve the recommendation for dismissal, the file is dismissed with no further action.

• The State Bar will notify the complainant in writing that the grievance has been resolved and the file is closed.

Step 5: Grievance Committee Review

If the Office of Counsel recommends the Committee find that the respondent violated the Rules of Professional Conduct:

• The grievance is reviewed by the State Bar's Grievance Committee at a quarterly meeting.

• During its review, the Grievance Committee determines whether there is probable cause to believe that the respondent violated the Rules of Professional Conduct.

Step 6: Possible Outcomes

Depending on whether the Grievance Committee finds probable cause, a grievance may be resolved in several ways:

• No Probable Cause Found

• Probable Cause Found

• Deferral

If no probable cause is found, a grievance may be dismissed three ways, all of which are private dispositions not subject to public disclosure:

• Dismissal

• Dismissal with a Letter of Caution

• Dismissal with a Letter of Warning

If probable cause is found but the Grievance Committee determines the conduct does not require filing a formal complaint and having a hearing, a grievance may be resolved by offering the respondent an opportunity to accept one of the following forms of discipline:

• Admonition (private discipline, not subject to public disclosure)

• Reprimand (public discipline)

• Censure (public discipline)

If probable cause is found and the Grievance Committee determines the matter is serious enough that suspension of the lawyer’s license or disbarment may be appropriate, the grievance will be referred for trial before the Disciplinary Hearing Commission (DHC).

Instead of deciding the final disposition of a grievance, the Grievance Committee may offer the respondent an opportunity to participate in one of the following deferral programs if it concludes the grievance is primarily attributable to conduct addressed by the program:

• Trust Account Compliance Program – addressing failure to employ sound trust accounting techniques

• Lawyer Assistance Program – addressing substance abuse or mental health problems

• Law Office Management Training – addressing unsound law office management

Step 7: Post Grievance Committee Disposition Options

If the Grievance Committee decides to offer written discipline, the respondent has three options:

• Accept the written discipline,

• Refuse the written discipline and request a hearing in the Disciplinary Hearing Commission (DHC), or

• In cases where public discipline was offered (reprimand or censure), the respondent may request further review by a Grievance Review Panel (GRP), which may uphold the original decision or recommend changing the disposition. If the GRP recommends a change and the committee accepts that recommendation, the respondent will then be given the opportunity to accept or reject the modified offer.

When a Grievance Committee disposition becomes final or it is established that the allegations will be tried before the DHC, the State Bar will notify the complainant in writing that the grievance has been resolved. If the final disposition is public discipline, a copy of the discipline will be provided to the complainant.