Daily Gazette Co. v. Committee on Legal Ethics of West Virginia State Bar
Daily Gazette Co. v. Committee on Legal Ethics of West Virginia State Bar
Opinion of the Court
This mandamus action arises from a disciplinary action against Weirton attorney Leonard Z. Alpert. The petitioner, The Daily Gazette Company, Inc., sought to compel the respondent, the Committee on Legal Ethics of the West Virginia State
I
On February 6,1979, Alpert was indicted on federal racketeering charges. Alpert’s trial, involving charges that he had paid the Hancock County sheriff $2,500 in exchange for the return of six slot machines which had been confiscated and were to be destroyed pursuant to court order, received extensive publicity through the State of West Virginia. Eventually, Alpert was acquitted of all charges. In March 1981, however, the federal district judge who presided over Alpert’s case released evidence concerning Alpert to the Committee on Legal Ethics, which was conducting its own investigation of whether disciplinary action should be taken in response to potential ethical violations incident to the allegations of criminal misconduct.
Following the transmittal of evidence to the Committee on Legal Ethics, the petitioner requested information on numerous occasions concerning the disposition of any ethical charges against Alpert. Not only did the Ethics Committee steadfastly refuse to disclose such information, it would not even confirm or deny that an investigation had been initiated. This refusal was based upon article VI, § 30 of the West Virginia State Bar By-Laws, which provides that, except in certain circumstances,
As a result of Alpert’s voluntary waiver of confidentiality, the respondent has released the information sought by the petitioner regarding his disciplinary action. What remains, however, is the fundamental issue of the right of public access to information regarding attorney disciplinary proceedings conducted by the Committee on Legal Ethics of the West Virginia State Bar.
Under West Virginia Constitution art. VIII, § 3, which provides that “The court shall have power to promulgate rules ... for all of the courts of the State relating to ... practice and procedure, which shall have the force and effect of law,”
Under article VI, § 30 of the West Virginia State Bar By-Laws:
All proceedings involving allegations of misconduct by or the disability of an attorney shall be kept confidential until and unless a recommendation for the imposition of public discipline is filed with the court by the committee on legal ethics, or the respondent attorney requests that the matter be public, or the investigation is predicated upon a conviction of the respondent attorney for a crime. All participants in the proceeding shall conduct themselves so as to maintain the confidentiality of the proceeding. Any person who violates the provisions of this section shall be guilty of contempt of the supreme court of appeals. Any committee member or any employee of the committee who violates this provision may be removed by the board.
Therefore, unless the Legal Ethics Committee recommends public discipline, the existence of charges against an attorney and the ultimate disposition of those charges are generally never made a matter of public record, but are forever cloaked in a veil of secrecy.
The respondent defends this confidentiality rule on several grounds. First, the respondent notes that confidentiality discourages attempts to use the process as a threat in order to obtain an advantage in some collateral dispute. Second, the respondent states that confidentiality protects lawyers from unwarranted injury to their professional reputations resulting from frivolous or fabricated complaints. Third, the respondent contends that confidentiality restores a degree of the protection lost in the grant of libel immunity to attorney disciplinary complainants under article VI, § 43 of the By-Laws. Finally, the respondent asserts that confidentiality ensures that investigations into alleged unethical activity will not be impaired by premature publicity. Although these justifications are not wholly without merit, they are far outweighed by the public interest in access to attorney disciplinary proceedings.
Ill
As this Court stated in Committee on Legal Ethics v. Mullins, 159 W.Va. 647, 651, 226 S.E.2d 427, 428 (1976), “the primary purpose of the ethics committee is not punishment but rather the protection of the public and the reassurance of the public as to the reliability and integrity of attorneys .... ” See also Committee on Legal Ethics v. Pence, 161 W.Va. 240, 253, 240 S.E.2d 668, 675 (1977); In re Eary 134 W.Va. 204, 208-09, 58 S.E.2d 647, 650 (1950); In re Echeles, 430 F.2d 347, 349 (7th Cir. 1970); Maryland State Bar Ass’n v. Agnew, 271 Md. 543, 549, 318 A.2d 811, 814 (1974). Similarly, in In re Brown, 166 W.Va. 226, 273 S.E.2d 567, 570 (1980), this Court observed:
[wjoven throughout our disciplinary cases involving attorneys is the thought that they occupy a special position because they are actively involved in administering the legal system whose ultimate goal is the evenhanded administration of justice. Integrity and honor are critical components of a lawyer’s character as are a sense of duty and fairness. Because the legal system embraces the whole of society, the public has a vital expectation that it will be properly administered. From this expectancy arises the concept of preserving public confidence in the administration of justice by*364 disciplining those lawyers who fail to conform to professional standards, (footnote omitted.)
This unrefutable public interest in the administration of attorney disciplinary proceedings is related to the lawyer’s role as an officer of the court. This special status which lawyers enjoy derives from both the required oath of office,
One fundamental aspect of our Anglo-American system of justice is its openness. In State ex rel. Herald Mail Co. v. Hamilton, 165 W.Va. 103, 267 S.E.2d 544, 547-49 (1980), this Court traced the common law origins of the “open courts” provision contained in our own and in other state constitutions. One reason for this provision, as was noted in Hamilton, 165 W.Va. at 110, 267 S.E.2d at 548, quoting 1676 Charter of Fundamental Laws, of West New Jersey, ch. XXIII, is to ensure “that justice may not be done in a corner nor in any covert manner.” This Court further noted in Hamilton, 165 W.Va. at 109-110, 267 S.E.2d at 548, that:
The uniform interpretation of the mandate that the courts “shall be open” by those state courts called upon to construe the provision in their constitutions is that this language confers an independent right on the public to attend civil and criminal trials, and not simply a right in favor of the litigants to demand a public proceeding. (Citations omitted).
This fundamental constitutional right of access is not limited to formal trials, but extends to other types of judicial and quasi-judicial proceedings. For example, in Hamilton, 165 W.Va. at 116-117, 267 S.E.2d at 551, this Court recognized a public right of access to pretrial hearings in criminal cases. See also Press-Enterprise Co. v. Superior Court, 464 U.S. 501, 104 S.Ct. 819, 78 L.Ed.2d 629 (1984) (first amendment right of access to pretrial voir dire); Sentinel Star Co. v. Edwards, 387 So.2d 367 (Fla.App. 1980) (common law right of access to posttrial hearing concerning juror interview); Herald Co. v. Weisenberg, 89 A.D.2d 224, 455 N.Y.S.2d 413 (1982), aff'd, 59 N.Y.2d 378, 465 N.Y.S.2d 862, 452 N.E.2d 1190 (1983) (right of access to unemployment compensation hearing); In re Estate of O’Connell, 90 Misc.2d 555, 394 N.Y.S.2d 816 (1977) (“open courts” statute requires examination of witness in will contest in surrogate’s court to be public proceeding); In re Petition of Daily Item, 310 Pa.Super. 222, 456 A.2d 580 (1983) (right of access to preliminary hearings based upon “open courts” provision); Cohen v. Everette City Council, 85 Wash.2d 385, 535 P.2d 801 (1975) (“open courts” provision held to preclude sealing of transcript of city council’s license revocation proceeding by court that reviewed transcript on appeal); State ex rel. La Crosse Tribune v. Circuit Court, 115 Wis.2d 220, 340 N.W.2d 460 (1983) (“open courts” statute applied to voir dire proceedings).
In Syllabus Point 2 of Committee on Legal Ethics v. Graziani, supra, this
IV
We begin our analysis of the right of public access to attorney disciplinary proceedings by noting that Article VI, § 30 of the By-Laws imposes overly broad restrictions upon public access to ethics complaints and proceedings. The rule shrouds in secrecy that which is intended to be carried on for the public’s benefit. The State, through its judicial branch, has the power
Moreover, if the legal profession’s practice of self-regulation is to remain viable, the public must be able to observe for themselves that the process is impartial and effective. We cannot simply expect the public to blindly accept that justice is being done. “People in an open society do not demand infallibility from their institutions, but it is difficult for them to accept what they are prohibited from observing.” Richmond Newspapers, Inc. v. Virginia, 448 U.S. 555, 572, 100 S.Ct. 2814, 2825, 65 L.Ed.2d 973, 986 (1980).
The Committee on Legal Ethics is dominated by lawyers, who are charged with the responsibility of scrutinizing the conduct of other lawyers. Carrying on this process in secrecy “denies the public information that would demonstrate the profession’s concern for effective disciplinary enforcement and show the steps taken by the bar to maintain its integrity.” ABA Special Committee on Evaluation of Disciplinary Enforcement, Problems and Recommendations in Disciplinary Enforcement
V
Article VI, § 43 of the By-Laws,
First, once it is determined that there is probable cause to issue a formal charge, the constitutionally recognized interests served by public disclosure outweigh any necessary restrictions upon access to information for the benefit of individual attorneys or the profession as a whole.
Second, information regarding complaints dismissed without formal charges under article VI, § 12 of the By-Laws
Third, it should be clear from the foregoing discussion that use of private reprimands by the State Bar as a method of official discipline is in direct contravention with the “open courts” provision of West Virginia Constitution art. Ill, § 17. The disciplining of attorneys is performed for the benefit of the public, and therefore “is the public business and should not be disposed of in other than a public manner.” In re Alley, 256 Or. 51, 54-55, 470 P.2d 943, 945 (1970). Accordingly, we hold that the right of public access to attorney disciplinary proceedings precludes utilization of private reprimand as a permissible sanction.
Article VI, § 17 of the By-Laws sets out the available discipline alternatives, including the alternative of imposing private reprimands. Although we are scrutinizing provisions which are subject to revision upon this Court’s order, the statutory construction principles embodied in the doctrine of “least intrusive remedy” as articulated and summarized in In re Dostert, 174
In addition to the constitutionally defective By-Law provisions already touched upon, certain procedural provisions of the State Bar’s Rules and Regulations are also in conflict with West Virginia Constitution art. Ill, § 17. Chapter III, § 10 of the Rules and Regulations provides that eases may be closed without providing an explanation of the reason for their disposition.
Accordingly, we hold that the By-Laws and Rules and Regulations of the West Virginia State Bar which govern public disclosure of lawyer disciplinary matters are unconstitutional under West Virginia Constitution art. Ill, § 17, when they fail to protect and vindicate the public’s interest in the integrity of the judicial system by unreasonably restricting access to information concerning formal disciplinary actions against lawyers, integral parts of the judicial system.
For the foregoing reasons, we grant a writ of mandamus ordering the respondent: (1) to conform its practices and procedures relating to public access to the requirements of West Virginia Constitution art. Ill, § 17 as set forth in this opinion in all future disciplinary cases; and (2) to submit to this Court for its promulgation new ByLaws and Rules and Regulations, where necessary, which fully comply with such requirements.
Writ granted.
. The general exceptions to this confidentiality rule are: (1) when a recommendation for public discipline is filed with this Court by the Ethics Committee; (2) when the lawyer who is the subject of Ethics Committee action requests public disclosure; or (3) when the Ethics Committee investigation is predicated upon a criminal conviction of the subject lawyer. See West Virginia State Bar By-Laws art. VI, § 30.
. As a preliminary procedural note, we agree with the respondent that this Court has consistently held that a writ of mandamus may not issue unless three elements coexist: (1) a clear legal right of the petitioner to the relief sought; (2) a legal duty on the part of the respondent to perform the act which the petitioner seeks to compel; and (3) the absence of another adequate remedy. See, e.g., State ex rel. Ginsberg v. Naum, 173 W.Va. 510, 318 S.E.2d 454 (1984); State ex rel. Mason v. Roberts, 173 W.Va. 506, 318 S.E.2d 450 (1984); Vanmeter v. Department of Motor Vehicles, 173 W.Va. 129, 313 S.E.2d 405 (1984); Cooper v. Gwinn, 171 W.Va. 245, 298 S.E.2d 781 (1981); State ex rel. Cabell County Deputy Sheriff’s Ass’n v. Dunfee, 163 W.Va. 539, 258 S.E.2d 117 (1979); McGrady v. Callaghan, 161 W.Va. 180, 244 S.E.2d 793 (1978); Traverse Corporation v. Latimer, 157 W.Va. 855, 205 S.E.2d 133 (1974); Hall v. Protan, 156 W.Va. 562, 195 S.E.2d 380 (1973); State ex rel. Kucera v. City of Wheeling, 153 W.Va. 538, 170 S.E.2d 367 (1969); State ex rel. Damron v. Ferrell, 149 W.Va. 773, 143 S.E.2d 469 (1965).
We disagree, however, with the respondent’s contention that these mandamus prerequisites are absent in this case. First, concerning the question of whether the petitioner meets the requirements of standing imposed upon those seeking relief through mandamus, this Court has consistently held that the enforcement of a public right may be sought by anyone who shares a common interest in that right with the public at large. See, e.g., Prichard v. DeVan, 114 W.Va. 509, 172 S.E. 711 (1934); Payne v. Staunton, 55 W.Va. 202, 46 S.E. 927 (1904); State ex rel. Matheny v. County Court, 47 W.Va. 672, 35 S.E. 959 (1900); Brown v. Randolph County
Second, on the question of the existence of a legal duty on the part of the respondent, we note that we have consistently held that mandamus may be used to attack the constitutionality or validity of a statute or ordinance. See, e.g., Myers v. Barte, 279 S.E.2d 406 (W.Va. 1981); State ex rel. McCamic v. McCoy, 276 S.E.2d 534 (W.Va. 1981); State ex rel. West Virginia Housing Development Fund v. Copenhaver, 153 W.Va. 636, 171 S.E.2d 545 (1969); State ex rel. Greenbrier County Airport Authority v. Hanna, 151 W.Va. 479, 153 S.E.2d 284 (1967); State ex rel. Sheldon v. City of Wheeling, 146 W.Va. 691, 122 S.E.2d 427 (1961). The By-Laws and Rules of the State Bar are promulgated and adopted by this Court under its inherent and constitutional rule-making authority. Such By-Laws and Rules have the force and effect of a statute. See West Virginia Constitution art. VIII, § 3; see also Crusenberry v. Norfolk & Western Ry., 155 W.Va. 155, 180 S.E.2d 219 (1971), overruled on other grounds, 164 W.Va. 488, 264 S.E.2d 450 (1980); In re Mann, 151 W.Va. 644, 154 S.E.2d 860 (1967). Like any other statute, these ByLaws and Rules are subject to constitutional scrutiny.
Finally, as for the third mandamus element, respondent does not point to, nor do we find, any alternative legal remedy to which the petitioner could resort.
. The reprint in a Michie's West Virginia Code vol. 1 (1982 Replacement Vol.) of this provision inadvertently omits one comma. The correct version of this provision, as enacted by the Legislature and ratified by the voters, can be found in 1974 W.Va.Acts 948-49.
. See also West Virginia Code § 51-l-4a(e) (1981 Replacement Vol.) ("The inherent rule-making power of the supreme court of appeals is hereby declared.”).
. The State Bar By-Laws approved by this Court fund the agency by a privilege tax imposed annually upon all lawyers in the State as a prerequisite to practicing law. See W.Va. State Bar Const, art. Ill; W.Va. State Bar By-Laws art. II, § 3 and art. Ill, § 1. This is in sharp contrast to voluntary professional associations such as the American Bar Association, West Virginia Bar Association, Mountain State Bar Association, West Virginia Lawyers Guild, and the various county bar associations in the State.
. While not before this Court in the immediate proceeding, we note that parallel provisions concerning professional discipline of physicians and podiatrists appear to impose similar restrictions upon public disclosure and access. See West Virginia Code §§ 30-3-6; 30-3-9(g), (h), (i) & (j); 30-3-14(h) (1984 Supp.). These restrictions are present in spite of the Legislature’s declared purpose for enacting the Medical Practice Act — “to protect the public interest." West Virginia Code § 30-3-1 (1984 Supp.). See also West Virginia Code § 30-3C-3 (1984 Supp.).
. See West Virginia Code § 30-2-3 (1980 Replacement Vol.).
. See Constitution of the West Virginia State Bar art. III.
. We note that the public’s right of access is not absolute. Certain cases and exceptional circumstances may warrant limited closure. See generally, Hamilton, 165 W.Va. at 113-118, 267 S.E.2d at 550-52; Globe Newspaper Co. v. Superior Ct., 457 U.S. 596, 606-07, 102 S.Ct. 2613, 2620, 73 L.Ed.2d 248, 257 (1982). However, the public’s right of access should never be arbitrarily or summarily denied. When the closure issue arises, the trial court should make a careful inquiry into the matter, affording all interested parties an opportunity to be heard.
. The observations of one commentator aptly characterized the unfortunate tendency of the legal profession to place its own interests above the interest of those who are supposed to be the primary beneficiaries of the profession’s self-policing efforts:
Professional discipline is the common field on which the legal profession meets the public and accounts to it. No relations with this public are worth a penny unless they are fair and frank. In performing the function of professional discipline lawyers must consider ourselves as members of the public judging someone within the context of the legal profession. This balance perhaps requires a measure of detachment and fearlessness that is difficult to attain. But we cannot be as the boy who went to Sunday school with two nickels given him by his mother: one for the collection and one for some candy on the way home. On his way to the church he looked eagerly in the window of the candy store and one of the nickels dropped from his hand through a grating in the sidewalk, out of sight. Sadly he looked down and said, "God, I’m sorry I lost your nickel." We cannot lose the public’s nickel in professional discipline, for if we do we have lost the possession that makes our profession unique — our right to self-government and self-discipline.
Allen, Richard B., "Goals of Professional Discipline,” Florida Bar Journal, June 1983, at 380.
. See Dent v. State of West Virginia, 129 U.S. 114, 9 S.Ct. 231, 32 L.Ed. 623 (1889).
. This ABA report, commonly referred to as the "Clark Report” (after its chairman, Tom C. Clark), went on to state that “[t]he public’s dissatisfaction with the effectiveness of the disciplinary system may be attributed in part to the inadequacy in information made available concerning the existence of disciplinary agencies, the services they render and their accomplishments." Id. See generally Marks & Cathcart, Discipline Within the Legal Profession: Is It Self-Regulation? 1974 Ul.L.Forum 193.
. Article VI, § 43 of the State Bar By-Laws states: “Any proceedings pending before said committee and any records or any testimony with respect thereto shall be absolutely privileged. The testimony given before the committee with respect to any investigation, complaint, or proceeding shall not be subject to discovery in any civil litigation.”
. We note that prior to and independent of the institution of this action by the petitioner, the State Bar, upon the request of the Chief Justice and the Court Administrator, prepared amendments to the confidentiality provisions of section 30 which would provide greater public access. Amendments to article VI, § 30 were subsequently submitted to this Court for approval. See Petition to Amend Rules of Disciplinary Procedure in Article VI of the By-Laws of the West Virginia State Bar (filed Sept. 11, 1984, in the office of the Clerk of the Supreme Court). These amendments provide for public access to complaints, reports, records and nondelibera-tive proceedings once formal disciplinary charges have been brought against an attorney. However, for reasons stated in this opinion relating to private reprimands and access to information concerning dismissals without charges, these proposed changes fail to satisfy the public access requirements of West Virginia Constitution art. Ill, § 17.
.Analogizing the early stages of disciplinary procedures to the grand jury process, a former president of the American Bar Association stated in support of opening up the disciplinary process:
I would make disciplinary procedures public once we had passed the stage of adjudicating whether a complaint is frivolous. 90%-95% of the complaints made against lawyers, usually by a disgruntled client, are frivolous by their very nature because they grow out of an adversary system. My own experience is that most clients who lose still believe they were right; the court didn’t convince them. They like their own lawyer because they saw he worked very hard and tried to do what they wanted done, and so they look around desperately for somebody to blame, never thinking "I was wrong.” They tend to*367 blame the other lawyer on the other side. They consider him unethical, concluding that he bought the judge or somebody else off.... Once out of the investigative body that determines probable cause for disciplinary action I would have it absolutely open, to the public, to the press, exactly as is a criminal trial. The finding of probable cause is tantamount in criminal proceedings to an indictment. A grand jury proceeding is, and should be secret, as should bar investigations of initial complaints. But once probable cause has been determined or an indictment or information has been returned so that there is enough to justify an adversary due process hearing, then I would make the remaining proceedings open.
The Bar and Watergate: Conversation with Chesterfield Smith, 1 Hastings Const.L.Q. 31, 35 (1974).
. Article VI, § 12 of the By-Laws provides in the first paragraph that:
Without issuing any notice or charges, such committee shall investigate or cause to be investigated by its subcommittee or by the proper grievance committee, to the extent deemed necessary, every complaint, request and information coming before it, and if after investigation the committee on legal ethics determines that the same does not merit disciplinary action, it shall dismiss the same. If after investigation the committee determines that the same may warrant disciplinary action, it shall give the accused attorney a written notice containing a plain statement of the charges against him and the fact that he is entitled to a formal hearing as provided in section thirteen of this article VI, which notice shall direct him to appear before the committee at a time and place to be designated therein and shall be served and executed on the accused attorney in accordance with the provisions of section thirty-nine of this article.
. The reporting of the existence of groundless or frivolous complaints after there has been a decision to dismiss them as such poses no real threat to the reputations of attorneys. Moreover, information on the disposition of all complaints not only serves the objective of accountability, but also promotes a greater flow of information from the most substantial source of information pertaining to ethical violations, the public. Accountability for all decisions can only bolster confidence in this self-regulatory process, and at the same time, increase the likelihood of receiving information concerning attorney misconduct. See Steel & Nimmer, Lawyers, Clients, and Professional Regulation, 1976 Am.Bar Found. Research J. 919, 1004.
. Also amenable to severability principles is the unconstitutional language contained in article VI, §§ 3 and 27 of the By-Laws. Specifically, we hereby invalidate and strike the entire second paragraph of article VI, § 8; and the last sentence of subsection (c) of article VI, § 27. Unfortunately, other unconstitutional provisions contained in the By-Laws and Rules and Regulations, by reason of their interdependent language, are not so expeditiously corrected and must be wholly invalidated and replaced.
. Chapter III, § 10 of the Rules and Regulations, as amended February 3, 1984, states in full:
In all instances, when a case is to be closed, the entire file shall be forwarded to the executive director or bar counsel for safekeeping and an official notice of disposition on behalf of the state bar shall be provided to the complainant. The notice of disposition shall not be required to contain an explanation of the reasons for disposition or discussion of facts or evidence considered by the committee or bar counsel.
. Sections 6 and 11 of Chapter III of the Rules and Regulations also fall short of the requirements of West Virginia Constitution art. Ill, § 17 to the extent they merely permit but do not require full public disclosure.
. In view of the constitutional requirements which must be recognized, the respondent should submit these amendments directly to this Court. See In re Daniel, 153 W.Va. 839, 173 S.E.2d 153, 155 (1970); In re Brown, 164 W.Va. 234, 262 S.E.2d 444, 446-47 (1980).
Dissenting Opinion
dissenting:
I dissent not so much to the majority’s holding but rather to the tone of today’s opinion. The Court this day implies that the Legal Ethics Committee of the West Virginia State Bar has somehow consciously gone about “shrouding its proceedings in secrecy” to avoid the public’s {vide the press’) scrutiny. Since its inception, the Legal Ethics Committee has served this Court, the bar, and the citizens of our state with admirable devotion to fairness and the truth. I think a firm handshake and the words “well done good and faithful servant” are more in order.
Now I do not necessarily disagree that at some point the public has a right to know about disciplinary proceedings against lawyers. However, I question whether unsub
Furthermore, in light of the fact that newspapers are primarily, and by economic necessity, in the entertainment business it is not advisable to splatter unfounded allegations against lawyers on the front page, in bold headlines above the fold. Clients, like nervous investors on the stock exchange, can be frightened all too quickly by rumors. Therefore, I believe that the majority was too expansive in setting the “parameters” of the public’s access to lawyer disciplinary proceedings.
Reference
- Full Case Name
- The DAILY GAZETTE CO., INC., Petitioner, v. the COMMITTEE ON LEGAL ETHICS OF THE WEST VIRGINIA STATE BAR, Respondent
- Cited By
- 54 cases
- Status
- Published