What Happens After an OCTC Investigation?

Possible Outcomes After an OCTC Investigation

After investigation, OCTC generally proceeds in one of the following ways:

Investigation Closed With No Further Action

• OCTC determines evidence does not support discipline

• Matter is closed without charges

• Closure may be silent or communicated by letter

• Records may still remain internally

Informal Resolution or Warning

• May include advisory or educational communications

• Does not involve State Bar Court proceedings

• Still becomes part of internal disciplinary history

Filing of a Notice of Disciplinary Charges (NDC)

• Formal discipline begins

• Charges filed in State Bar Court

• Alleged rule violations specified

• Deadlines to respond are triggered immediately

How OCTC Decides Whether to File Charges

Once the Office of Chief Trial Counsel (OCTC) completes its investigation, California attorneys often face uncertainty about what comes next. Some investigations close quietly. Others escalate into formal discipline proceedings. Many attorneys receive little explanation until a critical document arrives.

An OCTC investigation does not automatically result in discipline. The State Bar evaluates the evidence gathered, the alleged rule violations, and whether formal charges are warranted. That decision determines whether the matter is closed, resolved informally, or proceeds to the filing of a Notice of Disciplinary Charges (NDC).

This page explains the procedural paths that may follow an OCTC investigation, how charging decisions are made, and what attorneys should understand before responding to the next step. The focus here is process, not outcomes. Every matter turns on its facts, the evidence developed, and the applicable rules.

This information is provided for educational purposes only and does not constitute legal advice.

OCTC evaluates several factors when determining whether to proceed:

• Sufficiency of evidence

• Credibility of witnesses

• Severity of alleged misconduct

• Presence of client harm

• Pattern or repetition of conduct

• Prior discipline history

• Applicable Standards for Attorney Sanctions

The burden of proof increases once charges are filed. OCTC must prove alleged violations by clear and convincing evidence in State Bar Court.

Receiving a Notice of Disciplinary Charges (NDC)

An NDC formally initiates State Bar Court proceedings.

Typical contents include:

• Specific Rules of Professional Conduct alleged to be violated

• Factual allegations supporting each count

• Reference to applicable sanction standards

• Instructions and deadlines for response

Deadlines are strict. Failure to timely respond can result in default, which may carry severe consequences independent of the underlying allegations.

Attorneys should understand:

• When communications become formal pleadings

• When statements may be used later in court

• How investigative records carry forward

• The difference between cooperation and over-disclosure

• How early positioning affects later proceedings