Appendix
Discipline Cases That the State Bar of California Opened and Closed From 2009 Through 2014
The State Bar of California (State Bar) established a discipline system that includes receiving, investigating, and prosecuting complaints and, if warranted, recommending sanctions against attorneys found culpable of misconduct. The Office of the Chief Trial Counsel’s intake unit evaluates each complaint it receives to determine whether the complaint should be closed, resolved informally, or forwarded for investigation and possible prosecution. We show the number of complaints opened and closed by the intake unit in Figure 3 in the introduction.
Once a complaint proceeds to an investigation, investigators from the Office of the Chief Trial Counsel interview witnesses, collect documents, and develop evidence. At the conclusion of each investigation, an attorney decides whether to close the complaint or resolve it in another manner, including an informal confidential resolution or the filing of a Notice of Disciplinary Charges in the State Bar Court. Figures A.1 and A.2 show the number of investigation cases opened and closed and the number of cases opened and closed in the trial unit from 2009 through 2014.
Figure A.1
State Bar of California’s Investigation Cases Opened and Closed
2009 Through 2014
Source: California State Auditor’s analysis of data obtained from the State Bar of California’s Discipline Case Tracking System.
Figure A.2
Cases Opened and Closed in the State Bar of California’s Trial Unit
2009 Through 2014
Source: California State Auditor’s analysis of data obtained from the State Bar of California’s Discipline Case Tracking System.
After the filing of the Notice of Disciplinary Charges, the State Bar adjudicates the case in the State Bar Court. The State Bar Court has the authority to impose public and private reprovals. In cases involving disciplinary issues more serious than reprovals, the State Bar Court recommends appropriate disciplinary actions to the California Supreme Court for review and adoption. The number of cases opened and closed in the State Bar Court peaked at around 2,500 in 2011 and has generally declined through 2014, as shown in Figure A.3.
Figure A.3
Cases Opened and Closed in the State Bar Court
2009 Through 2014
Source: California State Auditor’s analysis of data obtained from the State Bar of California’s Discipline Case Tracking System.