Utah Courts
UCJA Rule 4-906 (Code of Judicial Administration)
UCJA Rule 4-906 (Code of Judicial Administration)
The Utah Code of Judicial Administration Chapters 11-15 have been moved to the Supreme Court Rules of Professional Practice Chapters 1-5
Rule 4-906. Guardian ad litem program.
Intent:
To establish:
(1) the responsibilities of the Guardian ad Litem Oversight Committee (“Committee”);
(2) the policies and procedures for the management of the guardian ad litem (“GAL”) program;
(3) the policies and procedures for the selection of GALs;
(4) the policies and procedures for payment for GAL services; and
(5) the policies and procedures for complaints regarding GALs and volunteers.
Applicability:
This rule applies to the management of the GAL program. This rule does not affect the authority of the Utah State Bar to discipline a GAL.
Statement of the Rule:
(1) Guardian ad Litem Oversight Committee. The Committee will:
(1)(A) develop and monitor policies of the Office of Guardian ad Litem (“Office”) to:
(1)(A)(i) ensure the independent and professional representation of a child-client and the child’s best interest; and
(1)(A)(ii) ensure compliance with federal and state statutes, rules, and case law;
(1)(B) recommend rules of administration and procedure to the Council and Supreme Court;
(1)(C) select the Director of the Office (“Director”) in consultation with the Administrative Office;
(1)(D) develop a performance plan for the Director;
(1)(E) monitor the Office’s caseload and recommend to the Council adequate staffing of GALs and staff;
(1)(F) develop standards and procedures for hearing and deciding complaints and appeals of complaints; and
(1)(G) hear and decide complaints and appeals of complaints as provided in this rule.
(2) Qualifications of the Director. The Director will have the qualifications provided in the Utah Code.
(3) Responsibilities of the Director. In addition to responsibilities under the Utah Code, the Director will have the following responsibilities:
(3)(A) manage the Office to ensure that minors who have been appointed a GAL by the court receive qualified GAL services;
(3)(B) develop the budget appropriation request to the legislature for the GAL program;
(3)(C) coordinate the appointments of GALs among different levels of courts;
(3)(D) monitor the services of the GALs, staff, and volunteers by regularly consulting with users and observers of GAL services, including judges, court executives and clerks, and by requiring the submission of appropriate written reports from the GAL;
(3)(E) monitor attorney GAL caseloads to ensure compliance with standards established by the American Bar Association;
(3)(F) select GALs and staff for employment as provided in this rule, select volunteers, and coordinate appointment of conflict counsel;
(3)(G) supervise, evaluate, and discipline GALs and staff employed by the courts and volunteers;
(3)(H) supervise and evaluate the quality of service provided by GALs under contract with the court;
(3)(I) monitor and report to the Committee GAL, staff, and volunteer compliance with federal and state statutes, rules, and case law; and
(3)(J) prepare and submit to the Committee in October an annual report regarding the development, policy, and management of the GAL program and the training and evaluation of GALs, staff, and volunteers. The Committee may amend the report prior to release to the Legislative Interim Human Services Committee.
(4) Qualification and responsibilities of GALs. A GAL will be admitted to the practice of law in Utah and will demonstrate experience and interest in the applicable law and procedures. The GAL will have the responsibilities established in the Utah Code.
(5) Selection of GAL for employment.
(5)(A) A GAL employed by the Administrative Office is an at-will employee subject to dismissal by the Director with or without cause.
(5)(B) A GAL employed by the Administrative Office will be selected by the Director. Prior to the Director’s selection, a panel will interview applicants and make hiring recommendations to the Director. The interview panel will consist of the Director (or Director’s designee) and two or more of the following persons:
(5)(B)(i) the managing attorney of the local GAL office;
(5)(B)(ii) the Court Executive of the district court or juvenile court;
(5)(B)(iii) a member of the Committee;
(5)(B)(iv) a member of the Utah State Bar Association selected by the Director; or
(5)(B)(v) a member selected by the Director.
(6) Conflicts of interest and disqualification of GAL.
(6)(A) In cases where a GAL has a conflict of interest, the GAL will declare the conflict and request that the court appoint a conflict GAL in the matter. Any party who perceives a conflict of interest may file a motion with the court setting forth the nature of the conflict and a request that the GAL be disqualified from further service in that case. Upon a finding that a conflict of interest exists, the court will relieve the GAL from further duties in that case and appoint a conflict GAL.
(6)(B) The Administrative Office may contract with attorneys to provide conflict GAL services.
(6)(C) If the conflict GAL is arranged on a case-by-case basis, the court will use the order form approved by the Council. The order will include a list of the duties of a GAL. The court will file the original order in the case and will distribute one copy each to: the appointed conflict GAL; the GAL; all parties of record; the parents, guardians or custodians of the child(ren); the Court Executive; and the Director.
(6)(D) A conflict GAL’s compensation will not exceed $100 per hour or $3,000 per case in any twelve-month period, whichever is less. The per case compensation limit includes incidental expenses incurred in the case. Under extraordinary circumstances, the Director may increase the compensation limit upon request from the conflict GAL. The request will include justification showing that the case required work of much greater complexity than, or time far in excess of, that required in most GAL assignments. If a case is appealed, compensation will be as set forth above.
(7) Staff and volunteers.
(7)(A) The Director will develop a strong volunteer component to the GAL program and provide support for volunteer solicitation, screening, and training. Staff and volunteers will have the responsibilities established in the Utah Code.
(7)(B) Training for staff and volunteers will be conducted under the supervision of the attorney GAL with administrative support provided by the Director. Staff and volunteers will receive training in the areas of child abuse, child psychology, juvenile and district court procedures, and local child welfare agency procedures. Staff and volunteers will be trained in the guidelines established by the National Court Appointed Special Advocate Association.
(8) Private guardians ad litem (“PGALs”).
(8)(A) List.The Director will maintain a list of PGALs qualified for appointment.
(8)(B) Application.To be included on the list of eligible PGALs, applicants must submit a written application to the Office and:
(8)(B)(i) be a member in good standing in the Utah State Bar;
(8)(B)(ii) provide a Bureau of Criminal Identification criminal history report;
(8)(B)(iii) provide a Utah Division of Child and Family Services child abuse database report and similar information from any state in which the applicant has resided as an adult;
(8)(B)(iv) provide a certificate of completion for any initial or additional necessary training requirements established by the Director;
(8)(B)(v) agree to perform in a competent, professional, proficient, ethical, and appropriate manner;
(8)(B)(vi) meet any minimum qualifications as determined by the Director; and
(8)(B)(vii) agree to be evaluated at the discretion of the Director for competent, professional, proficient, ethical, appropriate conduct, and/or performance, and minimum qualifications.
(8)(C) Appointment.Upon the appointment by the court of a PGAL, the court will:
(8)(C)(i) use the following language in its order: "The Court appoints a private attorney guardian ad litem to be assigned by the Office of Guardian ad Litem, to represent the best interests of the minor child(ren) in this matter.";
(8)(C)(ii) designate in the order whether the PGAL will:
(8)(C)(ii)(a) be paid the set fee, as established by paragraph (8)(F), and an initial retainer;
(8)(C)(ii)(b) not be paid and serve pro bono; or
(8)(C)(ii)(c) be paid at a rate less than the set fee in paragraph (8)(F); and
(8)(C)(iii) send the order to the Director c/o the Private Attorney Guardian ad Litem Program.
(8)(D) Assignment.Upon receipt of the court’s order appointing a PGAL, the Director will contact and assign the case to an eligible attorney, if available.
(8)(E) Notice of appearance and representation.Upon accepting the court’s appointment, the assigned attorney will file a notice of appearance with the court within five business days of acceptance, and will thereafter represent the best interests of the minor(s) until released by the court.
(8)(F) Fees.The hourly fee to be paid by the parties and to be ordered and apportioned by the court against the parties will be $150.00 per hour or a higher rate determined reasonable by the court. The retainer amount will be $1,000 or a different amount determined reasonable by the court. The retainer amount will be apportioned by the court among the parties and paid by the parties.
(8)(G) Education.Each year, PGALs must complete three hours of continuing legal education (CLE) relevant to the role and duties of a PGAL. To meet this requirement, the Office will provide training opportunities that are accredited by the Utah State Bar Board of Mandatory Continuing Legal Education. In order to provide access to all PGALs, the Office will provide multiple trainings at locations throughout the State or online.
(8)(H) Removal.
(8)(H)(i) A PGAL who fails to complete the required number of CLE hours will be notified that unless all requirements are completed and reported within 30 days, the Director may remove the PGAL from the list of eligible PGALs.
(8)(H)(ii) The Director may remove with or without a complaint a PGAL from the list of eligible PGALs for failure to perform or conduct themselves in a competent, professional, proficient, ethical, or appropriate manner, or for failure to meet minimum qualifications, including the annual CLE requirement. Within a reasonable time after the removal, and in the event the PGAL has not yet been released by the court in a pending case, the Director will provide written notice to the court of the Director’s action, and the court may, in its discretion, determine whether the PGAL should be released from the case.
(9) Complaints and appeals.
(9)(A) Complaints against Director or administrative policies.Complaints against the Director or an administrative policy or procedure must be submitted to the chair of the Committee. Complaints submitted to the Director’s office must be sent to the Committee chair within a reasonable period of time, but not more than 14 days after receipt. If deemed necessary, the Committee may recommend to the Council that the Director be disciplined.
(9)(B) Complaints against GALs or volunteers.
(9)(B)(i) Complaints against a GAL employed by the Office, a PGAL, or a volunteer, as defined in Utah Code section 78A-6-207, must be submitted to the Director. The decision of the Director regarding the complaint is final and not subject to appeal.
(9)(B)(ii) If a GAL and a volunteer disagree on the major decisions involved in representation of the client, either may notify the Director that the dispute cannot be resolved. The decision of the Director regarding the dispute is final and not subject to appeal.
(9)(B)(iii) The failure of the Director to satisfactorily resolve a complaint against a GAL, PGAL, or volunteer is not grounds for a complaint against the Director.
(9)(C) Complaint submission.A complaint must be in writing and include:
(9)(C)(i) the name and contact information of the complainant;
(9)(C)(ii) the name of the child(ren) involved; and
(9)(C)(iii) the facts upon which the complaint is based in sufficient detail to inform the Committee or the Director of the nature and date of the alleged misconduct.
(9)(D) Investigation.In resolving a complaint, the Director or Committee will conduct an investigation as determined by the Director or Committee to be reasonable. The Director or Committee may meet separately or together with the complainant and the person against whom the complaint is filed.
(9)(E) Decision.The decision of the Director may include discipline of the person against whom the complaint is filed. If the complaint is against a PGAL, the decision may include removal of the PGAL from the list of PGALs and the conditions for reinstatement.
(9)(F) Applicability.Paragraph (9) does not apply to conflict GALs.
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