The Office of Disciplinary Counsel (ODC) is responsible for prosecuting ethical violations by attorneys in the District of Columbia. If you are a D.C. attorney who has received a Request for Information (ROI) from ODC, here are some key points you should know.
What is an ROI?
An ROI is a written request from ODC seeking information about a potential disciplinary violation. It serves two primary purposes:
- To gather information that helps ODC determine whether formal charges should be filed.
- To provide the attorney an opportunity to explain their side of the matter.
The ROI will include a “disciplinary docket number” at the top. This number is an internal reference used by ODC and does not mean that formal charges have been filed before the Board or the D.C. Court of Appeals.
What Information Does an ROI Request?
An ROI may ask for:
- Specific documents, such as trust account records, engagement letters, or employment contracts.
- General information, such as all details known to the attorney related to a particular allegation in a complaint.
- Additional relevant information, which the attorney may voluntarily provide.
Is an ROI a Legal Order?
No, an ROI is not a subpoena or a court order. It does not require approval from the Board on Professional Responsibility. However, ignoring or providing an inadequate response can result in disciplinary action.
Even if you have done nothing wrong, failure to cooperate with an ROI may itself be considered a disciplinary violation. The D.C. Court of Appeals has upheld violations against attorneys solely for noncompliance with an ROI.
Can an Attorney Challenge an ROI?
Yes, but challenges should be approached carefully:
- If an ROI is overbroad or legally problematic, you should first attempt to negotiate with the Assistant Disciplinary Counsel who issued the request. They may be able to clarify the request or grant an extension for your response.
- If a resolution cannot be reached, attorneys may file a motion with the Board to challenge the ROI on grounds such as:
- Overbreadth
- Request for privileged information
- Violation of constitutional protections
Strategic Considerations When Responding
Receiving an ROI is a critical moment to assess your approach to the investigation. Consider the following:
- If there is a potential ethics violation, early negotiation may lead to a more favorable resolution.
- If no violation occurred, your response should be structured to persuade ODC to close the case.
- Be cautious about how much additional information you provide. While additional details may help resolve the matter, they could also give ODC an early preview of your defense if the case proceeds.
Retaining Legal Counsel
All statements made in writing (including emails) or orally during the ROI process can later be used against you. Given the high stakes of a disciplinary investigation and the potential for professional misconduct charges, it is critical to have experienced legal representation. The attorneys at Burnham & Gorokhov, PLLC, have extensive experience representing D.C. attorneys facing ethics complaints, Office of Disciplinary Counsel investigations, and disciplinary proceedings before the D.C. Board on Professional Responsibility and the D.C. Court of Appeals. If you have received a Request for Information from the Office of Disciplinary Counsel, contact Burnham & Gorokhov today for a confidential consultation to protect your license, reputation, and legal career.