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In September 1997, the Consumer Assistance Program (CAP) began as a new office at the Utah State Bar as well as a new concept for Utah lawyers. For many, it still is. CAP is the
informal program developed to facilitate resolution of minor complaints consumers have about their attorneys. Most often, CAP aids consumers by discussing their concerns with them,
informing their attorneys of those concerns, and urging the attorneys to work with the consumers to resolve the concerns. Although termed "consumer assistance," CAP also strives
to assist attorneys. Through its efforts at early intervention of minor problems, CAP endeavors to resolve complaints about potential misconduct before the problem escalates into a
potential disciplinary matter.
Patterned after a similar program initiated by the Mississippi State Bar, the concept of an informal office to handle less serious complaints about attorneys was still fairly
new throughout the country. Since that time, however, due in large part to the networking of the Mississippi office, the number of Consumer Assistance Programs nationwide has grown to
nineteen. Those states that have a Consumer Assistance Program in place include Arizona, Colorado, Florida, Georgia, Kentucky, Louisiana, Massachusetts, Mississippi, Missouri, Montana,
New Hampshire, New Mexico, North Carolina, Oregon, South Carolina, South Dakota, Texas, Vermont, and Virginia. Additionally, eight other states are in the process of developing their own
informal complaint office. The format of the program differs from state to state as each strives to develop procedures that best suit its needs, but the concept and purpose remain the
same.
Purpose of CAP
The purpose behind CAP is two-fold. First, the program helps to improve the public image of the Utah State Bar as an organization that concerns itself with the interests of the
general population as well as those of the attorneys it serves. CAP provides a process by which consumers’ concerns are heard and discussed, and steps are taken to inform the attorney
involved of those concerns. The process is completed when the attorney and consumer resolve the concerns. The second purpose of CAP is to lower the number of formal complaints filed
against attorneys for those matters that do not rise to the level of an ethical violation or criminal action.
Before the CAP office was instituted, every complaint submitted to the Utah State Bar was processed as a formal complaint by the Office of Professional Conduct (OPC). OPC was at
times overwhelmed with the number of complaints filed. Attorneys were spending time responding to OPC about the minor complaints, while many consumers were disappointed when OPC dismissed
their complaints because the complaints did not rise to the level required for disciplinary action according to Utah law and the Code of Professional Responsibility. Now, when
appropriate, CAP intervenes on an informal basis to help resolve problems quickly and directly with the attorneys involved. Most matters addressed through CAP are completely resolved to
the client’s satisfaction.
Finally, CAP directs consumers to the appropriate Bar programs when consumers need help from services other than or in addition to CAP. When necessary, CAP refers consumers to
OPC, Lawyer Referral, Fee Arbitration, Unauthorized Practice of Law, and Judicial Conduct Commission.
CAP Procedure
Consumers are asked to submit their concerns in writing on a Request for Assistance form, but CAP also handles matters submitted in letter form, by email, or by telephone. CAP
notifies attorneys of their clients’ concerns either by written correspondence or by phone. CAP’s aim is to inform the attorney of the client"s concerns, and then allow the attorney
to contact her client directly and resolve the issues raised. If the attorney and consumer successfully work through the problem, then CAP need not be involved further. Each consumer is
advised that unless he requires further help, CAP will destroy his file after 30 days and the matter will be closed. If the consumer needs more help from CAP, he must contact CAP before
the file is closed. When a CAP file is closed, the contents of the file are completely destroyed.
Consumers’ Most Common Concerns
Communication breakdowns make up the largest category of consumers’ complaints. Most often, consumers contact CAP to complain their attorneys are not returning their calls or
are not keeping them informed of the legal process in which they are involved. Consumers want to know how their legal matter is proceeding, and they want to be involved in the decision
making. They want their calls returned, questions answered, and copies of documents provided. The legal arena is most often foreign to consumers, and if their perception is that their
attorney is neglecting their individual matter, then they feel insecure.
Most Requests for Assistance arise from civil domestic matters. Of the 858 CAP files opened last year, 358 (42%) involved a domestic matter such as divorce, divorce
modification, child custody, visitation, paternity, etc. Consumers involved in criminal matters comprise the next largest group of consumers who contact CAP. In 2000, 124 (14.5%) of CAP’s
files involved criminal matters.
What to Do if You Are Contacted
Most Utah attorneys have never heard from the CAP office. If, however, CAP contacts you, please remember this informal procedure strives to be very "user-friendly" and
may prevent an unnecessary or frivolous formal disciplinary complaint from being filed. Cooperation from the attorneys, though not required, is always advised and appreciated. In turn,
CAP will do all it can to help resolve problems raised.
If the attorney has any questions about the concerns the consumer has raised, she is welcome to contact the CAP attorney about the matter. CAP is always available to help
attorneys, and CAP speaks to and corresponds with many attorneys weekly. CAP often responds back to the consumers with the information gathered from their attorneys. A letter explaining
the attorney’s position gives the consumer a chance to understand the big picture and gain some perspective on his legal matter.
Is CAP Helping?
Many consumers and attorneys have contacted CAP after a matter has been resolved to offer a "thank you." Numerous attorneys have stated their clients had given no
indication they were confused, needed more guidance, or wanted more information from the attorneys. Without the information from CAP, the attorneys would never have known their clients
had questions until perhaps the clients had become so frustrated that it might have been too late to repair the attorney-client relationship. Additionally, many consumers have expressed
their appreciation of the CAP office and its informal approach to helping them resolve problems with their attorneys. Most consumers do not seek to file a formal complaint against their
attorneys. CAP offers them an alternate way to notify their attorneys of their frustrations without proceeding through a formal disciplinary process.
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