204 Pa. Code § 87.7 - Notification to respondent-attorney of complaint and duty to respond; duty to produce Pa.R.P.C. 1.15's required records and effect of failure to produce
(a)
Condition precedent to recommendation for discipline.
Disciplinary Counsel shall not recommend or undertake a disposition of
discipline under Enforcement Rule 204 (relating to types of discipline) until
the respondent-attorney has been notified of the allegations and the time for
response under subdivision (b)(2) of this rule, if applicable, has
expired.
(b)
Transmission
of notice. Except as provided in subsection (a) of this section, the
district office shall prepare and forward to the respondent-attorney Form DB-7
(Request for Statement of Respondent's Position), advising the
respondent-attorney of:
(1) the nature of the
grievance and if the investigation has not been initiated by the Office of
Disciplinary Counsel pursuant to 87.1(b) (relating to initiation of
investigations), the name and address of the complainant; and
(2) the requirement that the
respondent-attorney respond to the allegations against the respondent-attorney
by filing with the district office a statement of position. Unless a shorter
time is fixed by the Chief Disciplinary Counsel in such notice, the
respondent-attorney shall have 30 days from the date of such notice within
which to file a statement of position in the district office.
The notice requirements of this subdivision (b) shall be applicable to any Form DB-7A (Supplemental Request for Statement of Respondent's Position), in which case the notice shall advise the respondent-attorney of the requirement that the respondent-attorney respond to the supplemental allegations by filing with the district office a statement of position with respect thereto.
(c)
Contents of statement of
position. All statements of position shall be in writing and
sufficiently detailed as to advise Disciplinary Counsel and any reviewing
hearing committee member that the Executive Office may appoint under 87.32
(relating to action by reviewing hearing committee member) of the nature of any
defense. The respondent-attorney should include with the statement any
corroborating documentation and may include in the statement mitigating factors
and any relevant facts or circumstances that may assist Disciplinary Counsel in
determining under 87.8(b) the action to be taken or the disposition
recommended.
(d)
Effect of
failure to respond. Enforcement Rule 203(b)(7) provides that failure
by a respondent-attorney without good cause to respond to a request (Form DB-7)
or supplemental request (Form DB-7A) by Disciplinary Counsel for a statement of
the respondent-attorney's position shall be grounds for discipline. Failure to
respond may also be a violation of Rule of Professional Conduct
8.1(b).
(e)
Duty to produce
Pa.R.P.C. 1.15's required records and time for production.
Notwithstanding any other provision in this section, if Disciplinary Counsel
requests records required to be maintained under Pa.R.P.C. 1.15(c), Enforcement
Rule 221(e), and §
91.177(a) (all
of which relate to required records) in a Form DB-7 (Request for Statement of
Respondent's Position) or Form DB-7A (Supplemental Request for Statement of
Respondent's Position), the respondent-attorney shall provide the records to
Disciplinary Counsel within ten business days of receipt of the Form DB-7 or
Form DB-7A, as the case may be, whether or not the respondent-attorney files
the statement of position required to be filed under subsection (b) of this
section. The Form DB-7 or Form DB-7A will be considered received for purposes
of this subsection if:
1) personal service of
the Form DB-7 or Form DB-7A on the respondent-attorney is
accomplished;
2) a copy of the Form
DB-7 or Form DB-7A is delivered to an employee, agent or other responsible
person at the office of the respondent-attorney as determined by the address
furnished by the respondent-attorney in the last registration statement filed
by the respondent-attorney pursuant to Enforcement Rule 219(c) (relating to
annual registration of attorneys); or
3) mailed by certified mail with return
receipt requested to one or more of the addresses furnished by the
respondent-attorney in the last registration statement and delivery is accepted
as shown by electronic or paper return receipt containing the name or signature
of the respondent-attorney or other person who accepted delivery. The time in
which to produce the required records (ten business days) is separate from the
time fixed for the filing of the respondent-attorney's statement of position
under paragraph (b)(2).
(f)
Effect of failure to produce
Pa.R.P.C. 1.15's required records. Enforcement Rule 221(g)(3) and
91.179 of Chapter 91 Subchapter H of these Rules provide that failure to
produce Pa.R.P.C. 1.15 records in response to a request or demand for such
records may result in the initiation of proceedings pursuant to Enforcement
Rule 208(f)(1) or (f)(5) (relating to emergency temporary suspension orders and
related relief), the latter of which specifically permits Disciplinary Counsel
to commence a proceeding for the temporary suspension of a respondent-attorney
who fails to maintain or produce Pa.R.P.C. 1.15(c) records after receipt of a
request or demand authorized by subdivision (g) of Enforcement Rule 221 or any
provision of these Rules.
Notes
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