In re ANNA LOU KELLEY on Reproval
No. S008887
Supreme Court of California
Dec. 31, 1990
487, 488, 489, 490, 491, 492, 493, 494, 495, 496, 497, 498, 499, 500, 501
Starnes & Drapiewski, Daniel Drapiewski and Jennifer A. Becker for Petitioner.
Diane C. Yu, Truitt A. Richey, Jr., Margaret E. Fourt and Donald R. Steedman for Respondent.
OPINION
THE COURT.-In this proceeding we review the recommendation of the Review Department of the State Bar Court that petitioner Anna Lou Kelley be publicly reproved and placed on disciplinary probation for three years on several conditions, including abstinence from the use of intoxicants and referral to the State Bar Program on Alcohol Abuse. Petitioner contends her conduct-a second conviction of driving with a blood-alcohol level excеeding 0.10 percent (
We conclude that with the exception of the probationary requirement of abstinence from thе use of intoxicants, the disciplinary recommendations of the review department should be adopted. Petitioner‘s repeated criminal conduct calls into question her judgment and fitness to practice law in the
I. FACTS
Petitioner was admitted to the practice of law in California in December 1982. In April 1984, after driving her car into an embankment, she was arrested and charged with driving under the influence of alcohol (
In November 1986, during the probationary period for the first offense, petitioner was stopped by a police officer while driving home from a local bar.1 When the officer asked to see her driver‘s license, he smelled alcohol and noticed that petitioner‘s movements were labored. He asked whether she had been drinking; shе asserted she had not. After having her exit the car, the officer asked her to submit to a field sobriety test. Petitioner refused, sat down on the curb, and attempted to enter into a conversation with the officer about his family, telling him she was an old family friend. When he refused to sustain the conversation, petitioner became agitated and accused him of arresting her because of a personal grievance against her ex-husband. The officer summoned a second officer for assistance. After a field sobriety test showed petitioner‘s lack of balance and dexterity, the second officer arrested her. He administered a breath test, which disclosed that her blood-alcohol level was between 0.16 and 0.17 percent.
Petitioner was charged with driving under the influence of alcohol (
II. DISCIPLINARY PROCEEDINGS
Following petitioner‘s second conviction, we referred this matter to the State Bar for a hearing and recommendation as to whether the facts and circumstances surrounding the convictions involved moral turpitude or other misconduct warranting discipline and, if so, what discipline should be imposed. One of the arresting police officers testified at the hearing. The State Bar offered no other witnesses but introduced police reports and several other exhibits relating to the two convictions. Petitioner callеd eight witnesses, and several others wrote letters on her behalf. Each stated that petitioner possessed good moral character, and that her use of alcohol was not a recurring problem or likely to interfere with her practice of law. Two of these witnesses also testified that she enjoyed an excellent reputation in the local legal community and engaged in substantial pro bono and community activities.
The hearing panel found petitioner (1) had no prior disciplinary or arrest record (other than the 1984 incident); (2) had engaged in extensive community service; (3) had not abused аlcohol in a manner interfering with the practice of law; (4) had complied with all terms of her probation since the second conviction in 1986; and (5) was a competent attorney of good moral character. Concluding that the facts and circumstances surrounding petitioner‘s 1986 conviction involved neither moral turpitude nor other misconduct warranting discipline, the hearing panel recommended the proceedings be dismissed.
The review department disagreed. By an 11-to-4 vote, the review department concluded that although petitioner‘s actions did not involve moral turpitude, they did involve оther misconduct warranting discipline. First, it found that “a second offense of alcohol-related driving, occurring at a time while still on probation from a prior offense, is a serious violation of law with potentially dangerous physical consequences to both [petitioner] and third parties” and therefore warranted professional discipline. Second, it concluded that petitioner‘s evidence of a lack of recurrent alcohol abuse was “strongly impeached by the fact of two offenses within a period of 31
III. DISCUSSION
Petitioner raises three issues. First, she contends that because her actions involve neither moral turpitude (see
A. Standards for Levying Discipline
Our concerns in assessing whether an attоrney‘s actions warrant discipline are to protect the public, the courts, and the integrity of the legal profession, and to preserve public trust in the profession. (Mepham v. State Bar (1986) 42 Cal.3d 943, 948 [232 Cal.Rptr. 152, 728 P.2d 222]; Tarver v. State Bar (1984) 37 Cal.3d 122, 133 [207 Cal.Rptr. 302, 688 P.2d 911]; Rules Proc. of State Bar, div. V, Stds. for Atty. Sanctions for Prof. Misconduct, std. 1.3.) We exercise independent judgment in determining whether discipline is warranted, but attach significant weight to the recommendation of the State Bar Court. (Tarver, supra, 37 Cal.3d at p. 133.) Petitioner bears the burden of showing the recommendation is unlawful or erroneous. (
At the outset we note the statutory grounds relevant to our inquiry. Section 6101 authorizes discipline for an attorney‘s “conviction of a felony or misdеmeanor, involving moral turpitude.” In addition, under section 6106, an attorney may be disciplined for commission of any act, whether or not criminal, if it involves “moral turpitude, dishonesty or corruption, whether the act is committed in the course of his relations as an attorney or
The initial question then is whether petitioner‘s criminal conduct, or the circumstances surrounding it, involved moral turpitude. Conviction of some crimes establishes moral turpitude per se. These include crimes involving an intent to defraud as well as extremely repugnant crimes such as murder. (In re Fahey (1973) 8 Cal.3d 842, 849 [106 Cal.Rptr. 313, 505 P.2d 1369, 63 A.L.R.3d 465].) Convictions for drunk driving,3 however, do not per se establish moral turpitude. Therefore if moral turpitude exists in this case, it must be based on the particular circumstances surrounding the convictions. The review department found petitioner‘s criminal conduct did not involve moral turpitude. Although we must exercise our independent judgment on the question of moral turpitude (In re Higbie (1972) 6 Cal.3d 562, 569 [99 Cal.Rptr. 865, 493 P.2d 97]), we find no reason to depart from the review department‘s conclusion.
Our inquiry into the possible grounds for discipline does not end with the foregoing statutory language. Although the review department found petitioner‘s conduct did nоt involve moral turpitude, it concluded the conduct constituted “other misconduct warranting discipline.” The “other misconduct warranting discipline” standard permits discipline of attorneys for misconduct not amounting to moral turpitude as an exercise of our inherent power to control the practice of law to protect the profession and the public. (See, e.g., In re Carr (1988) 46 Cal.3d 1089 [252 Cal.Rptr. 24, 761 P.2d 1011]; In re Rohan (1978) 21 Cal.3d 195, 203 [145 Cal.Rptr. 855, 578 P.2d 102] [lead opn. by Clark, J.].)4 Petitioner contends that statutes which specifically address particular misconduct (e.g., conviction of crimes) preempt our inherent power to impose discipline when such misconduct fаlls below the disciplinary thresholds provided in the statutes.
Although we have rejected the argument that our inherent power to discipline is limited by the statutes proscribing certain misconduct, we have disagreed about the application of the “other misconduct warranting discipline” standard. The disagreement has focused on whether application of the “other misconduct warranting discipline” standard requires a nexus between the attorney‘s misconduct and the practice of law. (Compare In re Rohan, supra, 21 Cal.3d at p. 204 [lead opn. by Clark, J.], with id. at p. 205 [opn. by Tobriner, J.].) This issue, however, need not be resolved here where there exists a nexus between petitioner‘s misconduct and her fitness to practice law.
This nexus is established in two ways. First, petitioner‘s most recent conviction was in violation of a court order directed specifically at petitioner following her first conviction. Petitioner demonstrated a complete disregard for the conditions of her probation, the law, and the safety of the public. (See In re Alkow (1966) 64 Cal.2d 838 [51 Cal.Rptr. 912, 415 P.2d 800, 21 A.L.R.3d 882].) Disobedience of a court order, whether as a legal representative or as a party, demonstrates a lapse of character and a disrespect for the legal system that directly relate to an attorney‘s fitness to practice law and serve as an officer of the court. (See Maltaman v. State Bar, supra, 43 Cal.3d at p. 951.)
Second, petitioner‘s two conviсtions, and the circumstances surrounding them as described above, are indications of a problem of alcohol abuse. The review department concluded that petitioner‘s contrary evidence was “strongly impeached” by petitioner‘s two drunk driving convictions occurring within a short period of time. We agree. Her repeated criminal conduct, and the circumstances surrounding it, are indications of alcohol abuse that is adversely affecting petitioner‘s private life. We cannot and should not sit back and wait until petitioner‘s alcohol abuse problem begins to affect her practice of law. (See In re Hickey (1990) 50 Cal.3d 571, 579 [268 Cal.Rptr. 170, 788 P.2d 684] [when attorney engages in violent criminal conduct as result of uncontrolled consumption of alcohol, we “need not wait until the attorney injures a client or neglects his legal duties” before
We have previously ordered discipline based on two convictions of drunk driving, even when no moral turpitude was found. (See, e.g., In re Carr, supra, 46 Cal.3d 1089 [six months’ actual suspension levied on attorney with prior disciplinary record for two convictions of drunk driving].) We agree with petitioner that it would be unreasonable to hold attorneys to such a high standard of conduct that every violation of law, however minor, would constitute a ground for professional discipline. But that is not the case here. Petitioner‘s behavior evidences both a lack of respect for the legal system and an alcohol abuse problem. Both problems, if not checked, may spill over into petitioner‘s professional practice and adversely affect her representation of clients and her practice of law. Our task in disciplinary cases is preventative, protective and remedial, not punitive. (See Palomo v. State Bar (1984) 36 Cal.3d 785, 797 [205 Cal.Rptr. 834, 685 P.2d 1185] [emotional disability, although lessening moral culpability of misconduct, does not immunize attorney from discipline necessary to protect public].) Keeping this in mind, it is our responsibility to impose a disсipline that will protect the public from this potential harm.
B. Constitutionality of the Standard
Petitioner contends the “other misconduct warranting discipline” standard under which the review department recommended discipline is unconstitutionally vague. Her view finds some support in our earlier opinion in In re Fahey, supra, 8 Cal.3d at page 853, in which we held that “[o]ffenses that do not involve moral turpitude or affect professional performance should not be a basis for professional discipline simply because they fall short of the highest standards of professional ethics or may in some way impair the public image of the profession.” (Cf. Morrison v. State Board of Education (1969) 1 Cal.3d 214, 224-226 [82 Cal.Rptr. 175, 461 P.2d 375] [schoolteacher discipline case in which we declined to apply “moral turpitude” standard without regard to fitness to teach, given potential vagueness problems].)
It is true, of course, that if a disciplinary standard is so vague that no reasonable consensus may be formed as to its proper meaning, its application is constitutionally suspect. (Morrison v. State Board of Education, supra, 1 Cal.3d at pp. 231-233.) We do not believe, however, that our
We think it clear that attorneys should realize that repeated failure to conform their conduct to the requirements of the criminal law and court orders specially imposed on them may call into question their integrity as officers of the court and their fitness to represent clients. Given our inherent power to control the practice of law in order to protect the profession and the public, attorneys must understand that such misconduct may therefore warrant professional discipline. Such a standard does not hold attorneys to an arbitrarily high moral code of conduct. It requires nothing more than that attorneys conform to the requirements of the law in the manner of all other persons. For these reasons, the “other misconduct warranting discipline” standard is not impermissibly vague as applied to petitioner‘s criminal conduct.
C. Propriety of the Discipline
As in the threshold determination of whether petitioner‘s conduсt warrants discipline, protection of the public, the courts, and the integrity of the legal profession guides our imposition of discipline. (Snyder v. State Bar (1990) 49 Cal.3d 1302, 1307 [265 Cal.Rptr. 429, 783 P.2d 1146].) In this respect, we accord great weight to the recommendation of the review department. Petitioner bears the burden of proving the recommendation erroneous or unlawful. (Ibid.)
Petitioner argues that because the State Bar failed to establish that her abuse of alcohol affected her practice of law, the discipline recommended is unnecessary to protect the public or her clients from a threat of future misconduct. We disagree. As stated above, petitioner‘s convictions and the circumstances surrounding them indicate a problem of alcohol abuse. (See ante, pp. 495-496.) Moreover, as noted, we cannot wait until the problem begins to affect her practice of law when given that such spillover effects are likely to occur if the problem goes unchecked. (Ibid.)
The Standards for Attorney Sanctions for Professional Misconduct (Rules Proc. of State Bar, div. V) serve as guidelines for imposition of discipline. Under standard 3.4, the discipline suggested for an attorney‘s conviction of a crime not involving moral turpitude but involving “other misconduct warranting discipline” is that discipline “appropriate to the nature and extent of the misconduct.”
Petitioner‘s convictions and her violation of the court order did not cause specific harm to the public or the courts. In addition, the review department found several significant mitigating factors (e.g., lack of a prior disciplinаry record, extensive involvement in community service, and cooperation during disciplinary proceedings). For these reasons, relatively minimal discipline is warranted in this case, even though petitioner‘s crimes were serious and involved a threat of harm to the public. (Compare In re Hickey, supra, 50 Cal.3d 571 [30-day actual suspension following nolo contendere plea to charge of carrying concealed weapon and repeated incidents of violence related to attorney‘s alcohol abuse], with In re Morales, supra, 35 Cal.3d 1 [18-month disciplinary probation following conviction of misdemeanor tax and unemployment insurance reporting offenses].) Public reproval and referral to the State Bar Program on Alcohol Abuse are sufficient to protect the public from the threat of future professional misconduct.
Petitioner argues that imposing discipline consisting, in part, of conditions bearing on her nonprofessional life is fundamentally unfair and therefore violates her constitutional rights to due process and privacy. We disagree. Due process and privacy do not bar the imposition of discipline tailored to eliminate the source of petitioner‘s misconduct.
We reject petitioner‘s contention that referral to the State Bar alcohol abuse program is unsupported by the evidence and unnecessary to protect the public. As the State Bar points out, the first step after referral is evalu-
IV. DISPOSITION
For the foregoing reasons, we order that petitioner Anna Lou Kelley be publicly reproved and placed on disciplinary probation for three years subject to all the conditions set forth by the review department in its recommendation, with the exception of the requirement that petitioner abstain from the use of intoxicants during such period. This order is effective upon finality of this decision in this court. (See
MOSK, J.-I concur in the disposition.
As has become our practice, we referred this matter to the State Bar for a recommendation whether petitioner‘s conviction of driving with an excessive blood-alcohol level while on probation for the same offense (
Regrettably, the majority opinion misses an opportunity to provide such a standard. Although it determines that a nexus, however tenuous, exists between petitioner‘s misconduct and her fitness to practice law, it expressly declines to resolve the issue whether such a nexus must be shown before the “other conduct warranting discipline” category is applied.
Broussard, J., concurred.
PANELLI, J.-I respectfully dissent.
I agree with Justice Mosk that before we impose discipline for an attorney‘s misconduct, a nexus must exist between the attorney‘s misconduct and the attorney‘s fitness to practice law. I further agree with Justice Mosk that this court must refine the imprecise phrase, “other misconduct warranting discipline.” The majority opinion fails to provide a standard for imposing discipline under this phrase and declines to resolve the conflict in prior attempts to define the phrase.
I believe that the standard should be limited to attorney misconduct which impairs the attorney‘s performance of his or her duties. In the present case, a nexus between petitiоner‘s misconduct and her performance of her duties is absent. Therefore, I would reverse the discipline imposed by the review department, and like the hearing panel, dismiss the proceeding.
The majority imposes discipline on petitioner for her law violations and “the indications of a problem of alcohol abuse” (maj. opn., ante, p. 495, italics added) which, as the majority admits, has not affected her practice of law. In imposing discipline for conduct which may affect petitioner‘s future performance of her duties, although it has not yet affected her performance, the majority embarks on a dangerous journey.
Petitioner‘s violations of our drinking and driving laws are obviously serious matters which pose threats to public safety. However, the Constitution vests both the duty and the power to protect society against threats to public safety in the Legislature, which enacts criminal laws of this state, and in the executive branch, which enforces those laws-not in the judicial branch or its administrative arm, the State Bar.
As indicated, the majority finds support for imposing discipline on the “indications of a problem of alcohol abuse.” To my knowledge, this is the first time we have imposed discipline, as a prophylactic measure, for potential problems with alcohol which have not affected the attorney‘s practice of law. Here, we do not see the usual misconduct аssociated with alcohol abuse. In fact, the hearing panel specifically found that petitioner‘s use of alcohol “has not interfered with [her] practice of law,” and that she is “a competent attorney with good relationships with clients, other attorneys, and judges in her community.” The review department made no finding to the contrary, and specifically found that “[petitioner‘s] violation . . . did not involve the practice of law.”
To discipline this attorney for conduct that may in the future impair her practice of law, without disciplining all attorneys for the same reason, presents insurmountable problems of consistency and fairness. Because petitioner‘s conduct thus neither involved moral turpitude nor in any way impaired her performance as an attorney, it should not be the subject of professional discipline by this court.
I would therefore dismiss this proceeding.
