Intent:

To establish procedures for the adoption, modification, and repeal of rules governing the practice of law, evidence, court procedures, and other matters within the authority of the Supreme Court.

Statement of Authority.

(1) Article VIII, Section 4 of the Utah Constitution provides that the Supreme Court shall adopt rules of procedure and evidence to be used in the courts of the state and shall by rule manage the appellate process. Section 4 further provides that the Supreme Court may authorize retired justices and judges and judges pro tempore to perform judicial duties. Section 4 also provides that the Supreme Court shall by rule govern the practice of law, including admission to practice law and the conduct and discipline of persons admitted to practice law.

(2) To assist the Supreme Court with these responsibilities, the Supreme Court hereby establishes a procedure for the creation and operation of advisory committees; the adoption, repeal and amendment of rules of procedure and evidence; rules regulating judges pro tempore and retired judges; rules governing the practice of law and other matters within the constitutional authority of the Supreme Court.

Intent:

To establish Supreme Court committees and procedures to govern those committees.

Applicability:

This rule will apply to the Supreme Court, the Administrative Office of the Courts, and the Supreme Court committees.

Statement of the Rule:

(1) Establishment of committees. There is hereby established a Supreme Court advisory committee in each of the following areas: business and chancery court procedure, civil procedure, criminal procedure, juvenile court procedure, appellate procedure, evidence, and the rules of professional conduct. The Supreme Court may establish ad hoc or oversight committees. The Supreme Court will designate a liaison to each committee.

(2) Composition of committees. The Supreme Court will determine the size of each committee based upon the workload of the individual committees. The committees should be broadly representative of the legal community and should include practicing lawyers, academicians, and judges. Members should possess expertise within the committee’s jurisdiction. A committee may also have up to two nonvoting emeritus members. An emeritus member has the same authority and duties as other committee members, except that such member will have no authority to vote. An emeritus member may serve two terms in addition to the terms served as a member.

(3) Application and recruitment of committee members. Vacancies on the advisory committees will be announced in a manner reasonably calculated to reach members of the Utah State Bar. The notice will specify the name of the committee that has the vacancy, a brief description of the committee’s responsibilities, the method for submitting an application or letter of interest, and the application deadline. Members of the committees or the Supreme Court may solicit applications for membership on the committees. Applications and letters of interest will be submitted to the Supreme Court.

(4) Appointment of advisory committee members and chair. Upon expiration of the application deadline, the Supreme Court will review the applications and letters of interest and appoint those individuals who are best suited to serve on the committee.Members will be appointed to serve staggered three-year terms, unless the Supreme Court determines that terms of less than three years are appropriate for the needs of the committee.In the event of a mid-term vacancy the Supreme Court will appoint a new member to serve for the remainder of the term. The Supreme Court will select a chair from among the committee’s members. The Supreme Court may select a vice-chair from among the committee’s members. No member may serve more than two full consecutive terms on the committee unless appointed by the Supreme Court as the committee chair, vice-chair, or when justified by special circumstances, such as an academician or court staff attorney. Generally, members appointed as chair or vice-chair may serve only one term in each leadership position, not to exceed two additional terms. Judges who serve as members of the committees generally will not be selected as chairs. Committee members will serve as officers of the court and not as representatives of any client, employer, or other organization or interest group. At the first meeting of a committee in any calendar year, and at every meeting at which a new member of the committee first attends, each committee member will briefly disclose the general nature of his or her legal practice.

(5) Absences. In the event that a committee member fails to attend three committee meetings during a calendar year, the chair may notify the Supreme Court of those absences and may request that the Supreme Court replace that committee member.

(6) Administrative assistance. The Administrative Office of the Courts will coordinate staff support to each committee, including the assistance of the Office of General Counsel in research and drafting and the coordination of secretarial support and publication activities.

(7) Recording secretaries. A committee chair may appoint a third-year law student, a member of the Bar in good standing, or a legal secretary to serve as a recording secretary for the committee. The recording secretary will attend and take minutes at committee meetings, provide research and drafting assistance to committee members and perform other assignments as requested by the chair.

Intent:

To establish procedures governing the advisory committees.

Applicability:

This rule shall apply to the Supreme Court and the Supreme Court advisory committees.

Statement of the Rule:

(1) Petitions. Petitions for the adoption, repeal or amendment of a rule of procedure, evidence, or professional conduct, may be submitted by any interested individual to the chair of an advisory committee, or to the Supreme Court. Petitions shall be in writing, and should set forth the proposed rule, amendment, or instruction, or the text of the rule or instruction proposed for repeal, and shall specify the need for and anticipated effect of the proposal.

(2) Committee agenda. The Supreme Court shall forward petitions to the chair of the appropriate committee. All petitions shall be placed on the committee’s agenda for consideration and the committee shall provide written notification of committee action to petitioners. In addition to petitions, the chairs shall place on the agenda any item of interest to the committee.

(3) Committee work. Committees shall meet as a whole, at the direction of the chair, to discuss and vote upon recommendations and to prepare written recommendations to the Supreme Court concerning petitions or committee-initiated proposals. A majority of the members of the committee shall constitute a quorum for the transaction of business. The chair may cast a vote only to break a tie vote of the members present. Voting by proxy shall not be allowed.

(4) Expedited procedures. Committees shall adopt expedited procedures for bypassing full committee processes and recommending rules to the Supreme Court when time is of the essence, such as when immediate rule changes may be required due to changes or proposed changes in the law. The Supreme Court shall review and deny, modify, or approve any expedited procedures that involve bypassing the full committee.

(5) Minutes. Minutes shall be taken at all meetings of the committee of the whole and a copy shall be forwarded to the Supreme Court’s liaison for the committee.

Effective February 4, 2020 pursuant to CJA Rule 11-105(5)

Intent:

To establish procedures for disseminating proposed rules to the Utah State Bar, Judiciary, interested groups, and members of the public.

Applicability:

This rule shall apply to the Supreme Court, the Administrative Office of the Courts, and the Supreme Court advisory committees.

Statement of the Rule:

(1) Submission of final rules recommendations. Each advisory committee shall vote upon and finalize its recommendations and any proposed committee notes for public comment and submit them to the Supreme Court to be approved for public comment. If approved by the Supreme Court, the committee shall submit the rules to the Administrative Office of the Courts for publication and distribution.

(2) Publication. The Administrative Office of the Courts shall publish the final committee recommendations and any proposed committee notes for a 45-day comment period. The purpose of the comment period shall be to solicit written comment concerning the committees’ recommendations.

(3) Distribution. Copies of proposed rules and any advisory committee notes shall be distributed as provided in Rule 11-106.

(4) Comment. Written comment shall be submitted to the Administrative Office of the Courts.

(5) Committee review. Upon the expiration of the comment period, the Administrative Office of the Courts shall compile all of the written comment received and forward it to the appropriate committee chair. The chair shall convene a meeting of the committee for the purpose of reviewing the public comment and discussing and voting upon appropriate modifications to the rules. If after receiving public comment, a committee makes substantial modifications to the proposed rule, the committee shall submit the rule to the Supreme Court to be approved for public comment. If approved by the Supreme Court, the committee shall submit the modified rule to the Administrative Office of the Courts for re-publication and further public comment.

(6) Transmittal. Once the committee has reviewed the public comment and voted upon the final modifications to the proposed rules and committee notes, it shall submit a letter of transmittal to the Supreme Court with a copy of the committee’s final proposals, a summary of the public comment and the committee’s recommendations in response to the comment.

Intent:

To establish procedures for adopting or modifying rules pertaining to the practice of law.

Applicability:

This rule shall apply to the Supreme Court, the Administrative Office of the Courts, the Utah State Bar, the Supreme Court Board of Continuing Legal Education, and the Supreme Court Ethics and Discipline Committee.

Statement of the Rule:

(1) Petitions. Petitions for the adoption, repeal or amendment of rules or procedures governing, affecting, or pertaining to the practice of law, other than the rules of professional conduct, shall be filed with the Supreme Court. Petitions shall set forth the proposed rule or amendment or the text of the rule proposed for repeal and shall specify the need for and anticipated effect of the proposal.

(2) Publication. If, after preliminary review of the petition, the Supreme Court determines the proposed adoption, repeal or amendment of a rule may be warranted, it will submit the proposal to the Administrative Office of the Courts to be published for a 45-day comment period.

(3) Distribution. Distribution of the proposed rule or amendments shall be as provided in Rule11-106.

(4) Supreme Court review. Upon the expiration of the comment period, the Administrative Office of the Courts shall compile all of the written comment received and forward it to the Supreme Court.

(5) Petitioner’s review. Following receipt of the written comment, the Supreme Court shall submit a copy of the comments to the entity who filed the petition seeking the rule change. Petitioner shall review the comments and recommend any final modification to the rules or procedures. Once petitioner has completed its review, it shall submit a memorandum to the Supreme Court containing the petitioner’s final proposals, a summary of the public comment, and the petitioner’s recommendations in response to the public comment.

Intent:

To establish procedures for the review and adoption of rule change recommendations.

Applicability:

This rule shall apply to the Supreme Court and the Administrative Office of the Courts.

Statement of the Rule:

(1) Advisory committee proposals. The Supreme Court shall consider committee proposals and adopt, modify or reject those proposals. The Supreme Court shall notify committee chairs and the Administrative Office of the Courts as to which proposals were adopted, modified, or rejected.

(2) Petitions concerning rules or procedures pertaining to the practice of law. The Supreme Court shall consider petitions and petitioners’ memoranda and adopt, modify, or reject the proposals made and enter an appropriate order.

(3) Court-initiated rules.

(3)(A) In its discretion, the Supreme Court may adopt rules of procedure or evidence, rules regulating judges pro tempore and retired judges, and rules governing the practice of law, or modify or repeal those rules upon its own initiative and without proposals by the advisory committees or the Utah State Bar.

(3)(B) The Supreme Court shall distribute a copy of the proposed rule as provided in Rule 11-106.

(3)(C) The Administrative Office of the Courts shall publish the rule for a 45-day comment period and submit any comments received during that period to the Supreme Court for consideration. The Supreme Court may then adopt, or amend and adopt, or decline to adopt the rule.

(4) Effective date. Rules shall become effective 60 days after adoption by the Supreme Court unless otherwise ordered.

(5) Expedited rulemaking.

(5)(A) Notwithstanding the other provisions contained in these rules, if the Supreme Court determines that it is in the best interest of the Judiciary to suspend the rulemaking procedures, the Supreme Court may adopt any rule and provide a date for the rule to become effective.

(5)(B)The Supreme Court shall distribute a copy of the approved rule as provided in Rule 11-106. The Administrative Office of the Courts shall publish the rule for a 45-day comment period and submit any comments received during that period to the Supreme Court for consideration. The Supreme Court may then ratify, amend or repeal the rule.

(6) Publication. All rules adopted by the Supreme Court shall be published.

Intent:

To establish a procedure for the distribution of proposed or adopted rule changes and other communications from the Supreme Court.

Applicability:

This rule shall apply to the Supreme Court and the Administrative Office of the Courts.

Statement of the Rule:

(1) Distribution list. At the direction of the Supreme Court, the Administrative Office of the Courts shall email notice of the proposed or adopted rules, and an invitation for comment to the governor, the chairperson of the Judicial Rules Review Committee, the director of the Office of Legislative Research and General Counsel, the Boards of Judges, the Executive Director of the Commission on Criminal and Juvenile Justice, the chair of each of the Supreme Court advisory committees, the Executive Director of the Utah State Bar, each active member of the Utah State Bar, each member of the Judiciary, the proponent of the rule change, and any other person or agency identified by the Supreme Court as requiring notice. The notice shall include a summary of the proposed changes and identify the URL where the full text of proposed rules is available.

(2) Publication. The proposed or adopted rule and an invitation for comment shall be published in a law reporter.

Intent:

To establish procedures for the Supreme Court’s committees to conduct open and public meetings.

To establish procedures consistent with the philosophy of the Utah Open and Public Meetings Act.

To provide the Supreme Court with sufficient flexibility to close meetings when discussing matters of a sensitive nature.

Applicability:

This rule shall apply to Supreme Court advisory committees, ad hoc committees, and oversight committees. This rule does not apply to the Supreme Court’s Ethics and Discipline Committee, the Supreme Court’s Professionalism and Civility Counseling Board, or committees of the Utah State Bar. Statement of the Rule:

(a) Public notice of meetings. Each Supreme Court committee must post their annual meeting schedule. At least 24 hours before each meeting, the committee must post on its website the meeting agenda and location. If the meeting will be held virtually, the committee must post the link to join at least 24 hours before each meeting.

(b) Open meetings. Meetings of Supreme Court committees are open to the public unless closed as provided in this section.

(c) Prohibition on closing specific meetings. The following Supreme Court committees must hold only open meetings:

(1) the Advisory Committee on the Rules of Appellate Procedure;

(2) the Advisory Committee on the Rules of Business and Chancery Procedure;

(3) the Advisory Committee on the Rules of Civil Procedure;

(4) the Advisory Committee on the Rules of Criminal Procedure;

(5) the Advisory Committee on the Rules of Evidence;

(6) the Advisory Committee on the Rules of Juvenile Procedure; and

(7) the Advisory Committee on the Rules of Professional Conduct.

(d) Reasons for closed meetings. Supreme Court committees may close an otherwise open meeting:

(1) to discuss legal advice of counsel;

(2) to discuss an individual’s character, professional competence, or physical or mental health;

(3) to discuss applications containing private information;

(4) to discuss information that is designated as a trade secret; or

(5) for any other allowable reason found in the Open and Public Meetings Act, or Rule 2-103 of the Code of Judicial Administration;

(e) Limit on actions at a closed meeting. No contract, appointment, rule, application, or resolution may be approved at a closed committee meeting. A contract, appointment, rule, application, or resolution approved at an open meeting may be based upon discussions had at a closed meeting.

Comment

Supreme Court Committees

[1] Supreme Court Committees include:

(a) the Advisory Committee on the Rules of Appellate Procedure

(b) the Advisory Committee on the Rules of Business and Chancery Procedure

(c) the Advisory Committee on the Rules of Civil Procedure

(d) the Advisory Committee on the Rules of Criminal Procedure

(e) the Advisory Committee on the Rules of Evidence

(f) the Advisory Committee on the Rules of Juvenile Procedure

(g) the Advisory Committee on the Rules of Professional Conduct

(h) the Board of Mandatory Continuing Legal Education

(i) the Ethics and Discipline Committee

(j) the Licensed Paralegal Practitioner Committee

(k) the Legal Services Innovation Committee

(l) the Oversight Committee for the Office of Professional Conduct

(m) the Professionalism and Civility Counseling Board

(n) the Standing Committee on Appellate Representation

Note Adopted November 1, 2023

Intent: 

To establish the qualifications, term, authority, appointment, reappointment, and assignment for senior judges.

Applicability: This rule applies to senior judges of courts of record. The term "judge" includes justices of the Supreme Court.

Statement of the Rule:

(a) Qualifications. A judge may apply to become a senior judge, on either inactive or active status.

(1) Inactive senior judge. A judge is qualified to be an inactive senior judge if the judge:

(A) was retained in the last election for which the judge stood for election;

(B) voluntarily resigned from judicial office, voluntarily retired, or involuntarily retired due to disability, but recovered from or accommodated that disability;

(C) did not resign from office as a result of negotiations with the Judicial Conduct Commission;

(D) is not the subject of a complaint pending before the Supreme Court or the Judicial Conduct Commission at the time of the application;

(E) has not been subject to any order of discipline for conduct as a judge;

(F) does not have any criminal charge, other than an infraction, pending at the time of the application;

(G) demonstrates appropriate ability and character;

(H) is admitted to the practice of law in Utah and holds an active or inactive Utah State Bar license, but does not practice law; and

(I) is eligible to receive compensation under the Judges’ Retirement Act, subject only to attaining the appropriate age.

(2) Active senior judge. A judge is qualified to be an active senior judge if the judge:

(A) meets the qualifications of an inactive senior judge;

(B) was not suspended during the judge’s final term of office or final six years in office, whichever is greater;

(C) is a current resident of Utah and is available to take cases;

(D) is physically and mentally able to perform the duties of judicial office;

(E) is familiar with current statutes, rules, case law, remote hearing technology, and court case management systems, such as CORIS for district courts, CARE for juvenile courts, AIS for appellate courts, and Workspace;

(F) satisfies the education requirements set forth in Rule 3-403;

(G) agrees to conform to the Code of Judicial Administration and the Code of Judicial Conduct and other rules of the Supreme Court; and

(H) maintains an active Utah State Bar license.

(b) Application and appointment.

(1) To be appointed a senior judge, a judge must:

(A) Submit an application to the Administrative Office of the Courts (AOC) on a form provided by the AOC.

(B) Declare on the application that the applicant meets each relevant qualification as set forth in paragraph (a).

(C) If applying for active senior judge status, submit results on the most recent judicial performance evaluation prior to termination of service sufficient to have been recommended for retention.

(2) After receiving the required senior judge application, the AOC will provide the application to the Judicial Council, and a copy to the applicant. For applicants for active senior judge status, the AOC will also provide the most recent judicial performance evaluation to the Judicial Council, and a copy to the applicant.

(3) After considering all information in a session closed in compliance with Rule 2-103, the Judicial Council will determine and notify the Supreme Court whether the applicant meets the qualifications for an appointment as an active or inactive senior judge.

(4) The Judicial Council will inform an applicant, in writing, if the Judicial Council notifies the Supreme Court that the applicant does not meet qualifications for appointment.

(5) An applicant who receives notice from the Judicial Council under paragraph (4) may, within 14 days of the date the Judicial Council sent the notice, submit to the Appellate Court Administrator a written explanation on why the applicant should be appointed as an active or inactive senior judge.

(6) The Supreme Court will review each applicant’s information. With the concurrence of a majority of the members of the Supreme Court, the Chief Justice may appoint the judge as an active or inactive senior judge.

(7) Active senior judges must take and subscribe an oath of office with the original to be maintained by the State Archives and a copy to be maintained by the State Court Administrator or the Administrator’s designee.

(c) Reappointment qualifications.

(1) An active senior judge is qualified for reappointment if the judge:

(A) is physically and mentally able to perform the duties of judicial office;

(B) maintains familiarity with current statutes, rules, case law, remote hearing technology, and court case management systems, such as CORIS for district courts, CARE for juvenile courts, AIS for appellate courts, and Workspace;

(C) satisfied the education requirement of completing 30 hours of education per fiscal year as set forth in Rule 3-403;

(D) attended the annual judicial conference and the annual senior judge bench meeting during each year of the senior judge term;

(E) volunteered for a minimum of two case assignments per fiscal year during the current term, subject to being called;

(F) met standards of performance as provided in paragraph (f);

(G) continues to conform to the Code of Judicial Administration and the Code of Judicial Conduct and other rules of the Supreme Court; and

(H) continues to meet qualifications for an active senior judge set forth paragraph (a)(2).

(2) An inactive senior judge is qualified for reappointment if the judge continues to meet qualifications set forth in paragraph (a)(1).

(d) Reappointment application. To be reappointed as a senior judge, a judge must apply to the Judicial Council for either inactive or active status.

(1) Active and inactive senior judges seeking reappointment must submit the senior judge application by February 1 in the last year of their current term.

(A) An applicant for active senior judge status must submit an application to the AOC declaring whether the applicant meets qualifications as an active senior judge set forth in paragraphs (a)(2) and (c).

(B) An applicant for inactive senior judge status must submit an application to the AOC declaring whether the judge continues to meet qualifications set forth in paragraph (a)(1).

(2) After receiving an application, the AOC will, for active senior judges, assemble the judicial education records, survey scores, records of formal and informal sanctions, performance improvement plans, if any, and any information requested by the Judicial Council. The AOC will provide the application and any assembled information to the Judicial Council, with a copy to the applicant for reappointment as an active or inactive senior judge.

(3) After considering all information in a session closed in compliance with Rule 2-103, the Judicial Council will determine whether:

(A) The applicant for reappointment as an active senior judge meets qualifications for reappointment set forth in paragraphs (a)(2) and (c), and standards of performance set forth in paragraph (f).

(B) The applicant for reappointment as an inactive senior judge meets qualifications for reappointment set forth in paragraph (a)(1).

(4) If the Judicial Council finds that the applicant does not meet qualifications for reappointment or the standards of performance, the Council will:

(A) Notify the applicant of the Judicial Council’s decision within five days of the Judicial Council’s meeting, including a description of the reasons for the Council’s decision;

(B) Invite the applicant to meet with the Judicial Council and provide information challenging the Judicial Council’s decision on qualifications or standards of performance; and

(C) In a session closed in compliance with Rule 2-103, review information challenging the Council’s decision and provide the applicant adequate time to present evidence and arguments in favor of reappointment.

(5) The Judicial Council will:

(A) In an open session, approve its final decisions regarding each applicant’s qualifications for reappointment as a senior judge;

(B) Notify the applicant in writing if the Judicial Council’s final decision is that the applicant does not meet the qualifications for reappointment; and

(C) Notify the Supreme Court of the final decisions regarding each applicant’s qualifications for reappointment as a senior judge.

(6) An applicant who receives notice from the Judicial Council under paragraph (5) may, within 14 days of the date the Judicial Council sent the notice, submit to the Appellate Court Administrator a written explanation on why the applicant should be reappointed as an inactive senior judge or active senior judge.

(7) The Supreme Court will review each applicant’s information. With the concurrence of a majority of the members of the Supreme Court, the Chief Justice may reappoint the judge as an inactive senior judge or active senior judge.

(e) Performance Evaluation.

(1) The performance of active senior judges is evaluated based on surveys completed by:

(A) Attorneys appearing before the active senior judge;

(B) For non-appellate active senior judges,

(i) the presiding judge, the trial court executive or clerk of court, and court staff in the district in which the senior judge primarily serves; and

(ii) jurors, if any, involved in cases tried by the senior judge.

(C) For appellate active senior judges, the Court of Appeals presiding judge, the clerk of court, court staff, and appellate law clerks, involved in cases assigned to the senior judge.

(2) The AOC will administer, compile, and score the surveys. Attorney, juror, law clerk, and court staff survey responses and scores will be anonymized.

(3) The AOC will provide a summary of survey responses and scores to the senior judge, the presiding judge, and the Judicial Council.

(f) Standards of performance for active senior judges.

(1) Standards of performance on surveys by attorneys evaluate whether the senior judge:

(A) Demonstrates understanding of the substantive law and any relevant rules of procedure and evidence;

(B) Is attentive to factual and legal issues before the court;

(C) Adheres to precedent and is able to clearly explain departures from precedent;

(D) Grasps the practical impact on the parties of the senior judge’s rulings, including the effect of delay and increased litigation expense;

(E) Is able to clearly explain the factual and legal basis for the judge’s ruling in any written orders or decisions;

(F) Demonstrates courtesy toward attorneys, court staff, and others in the court;

(G) Maintains decorum in the courtroom;

(H) Demonstrates judicial demeanor and personal attributes that promote public trust and confidence in the judicial system;

(I) Is prepared for hearings or oral argument;

(J) Avoids impropriety or the appearance of impropriety;

(K) Displays fairness and impartiality toward all parties; and

(L) Issues orders and decisions without unnecessary delay.

(2) Standards of performance on surveys by presiding judges, jurors, law clerks, and court staff evaluate whether the senior judge:

(A) Demonstrates willingness to regularly accept assignments;

(B) Demonstrates ability and willingness to comply with established practices in the district;

(C) Demonstrates ability and willingness to use the courts’ case management systems and applications in all cases;

(D) Effectively manages court calendars;

(E) Complies with performance and training recommendations or performance plans established by the presiding judge;

(F) Demonstrates courtesy toward attorneys, court staff, and others in the court;

(G) Demonstrates judicial demeanor and personal attributes that promote public trust and confidence in the judicial system;

(H) Is prepared for hearings or oral argument;

(I) Avoids impropriety or the appearance of impropriety; and

(J) Issues orders and decisions without unnecessary delay.

(3) Survey scoring.

(A) Each question on the survey has six possible responses: Far Above Standards (5), Above Standards (4), Meets Standards (3), Below Standards (2), Far Below Standards (1), or No Personal Knowledge.

(B) The overall performance of an active senior judge is satisfactory if the average score on all questions is three or above.

(4) Performance Improvement.

(A) A presiding judge of the district that an active senior judge primarily serves may prepare a performance improvement plan if the survey scores indicate below standards performance by the senior judge or if the presiding judge identifies performance concerns. If the senior judge serves multiple districts, the performance improvement plan may be prepared in consultation with presiding judges from those districts.

(B) The performance improvement plan must outline specific expectations and areas needing improvement.

(C) The presiding judge will review a senior judge’s progress on the performance improvement plan 90 days after the plan is initially drafted. The presiding judge may continue the performance improvement plan for another 90 days or conclude the plan.

(g) Term of office.

(1) Active senior judges. The initial term of office of an active senior judge less than age 75 years is until June 30 of the second year following appointment The initial term of office of an active senior judge age 75 years or more is until June 30 of the first year following appointment. A subsequent term of office of an active senior judge less than 75 years is three years or until June 30 of the year in which the judge reaches age 75, whichever is shorter. A subsequent term of office of an active senior judge age 75 years or more is one year.

(2) Inactive senior judges. The initial term of office of an inactive senior judge is until June 30 of the third year following appointment. A subsequent term of office of an inactive senior judge is three years.

(3) All subsequent appointments begin on July 1.

(4) The Supreme Court may modify the terms of or withdraw an appointment with or without cause.

(h) Changes to senior judge status.

(1) An active senior judge may convert to inactive status during the term of appointment if the senior judge sends written notice of the change in status to the Chief Justice of the Supreme Court and the State Court Administrator or the Administrator’s designee. An active senior judge who converts to inactive status may not receive an incentive benefit under Rule 3-501 while on inactive status.

(2) A senior judge who converts to inactive status may return to active status for the remainder of the senior judge’s unexpired term if the senior judge sends written notice of the judge’s intent to return to active status to the Chief Justice of the Supreme Court and to the State Court Administrator or the Administrator’s designee.

(3) A senior judge who resigns from senior judge service during the term of appointment must send written notice to the Chief Justice of the Supreme Court and to the State Court Administrator or the Administrator’s designee.

(i) Authority. An active or inactive senior judge may solemnize marriages and administer oaths of office. An active senior judge, during an assignment, has all the authority of the office of a judge of the court to which the assignment is made.

Intent:

To establish guidelines for the qualifications and authority and a procedure for the appointment of judges pro tempore.

Applicability:

This rule shall apply to the judiciary and the members of the Utah State Bar.

Statement of the Rule:

(1) Qualifications.

(1)(A) Judges pro tempore shall be citizens of the United States, residents of the State of Utah, and shall have been admitted to the practice of law in Utah for a minimum of four years.

(1)(B) Judges pro tempore must possess ability in the types of cases to be assigned and good character.

(1)(C) A judge pro tempore assigned small claims cases shall complete a small claims orientation program within one year after appointment and thereafter complete at least three hours of small claims education annually. The administrative office of the courts shall offer appropriate education opportunities.

(2) Application.

(2)(A) Appointments under sections (3)(A) and (3)(B).

(2)(A)(i) The Administrative Office shall distribute applications for judges pro tempore to all court executives. The application shall make appropriate inquiry concerning an applicant's professional qualifications, physical and mental health, character, and potential areas of conflict of interest.

(2)(A)(ii) A person interested in an appointment as a judge pro tempore shall complete the application and submit it with a resume to the presiding judge.

(2)(A)(iii) Upon receipt of an application, the presiding judge shall file the application and resume with the Administrative Office and certify that:

(2)(A)(iii)(a) the applicant is qualified;

(2)(A)(iii)(b) there is an extraordinary need for the appointment;

(2)(A)(iii)(c) all other options to accommodate the need have been exhausted; and

(2)(A)(iii)(d) the matters to be assigned are suitable for consideration by a judge pro tempore.

(2)(B) Appointments under section (3)(C).

(2)(B)(i) The Administrative Office shall prepare a press release similar in content and format to a press release for a judicial vacancy. The Administrative Office shall provide the press release to the Salt Lake Tribune, the Deseret News, local newspapers with circulation within the geographic venue of the court and the Utah Bar Journal, if the timing of the announcement is such that publication in the Journal would be effective. The Administrative Office of the Courts shall also provide the press release to any local bar associations within the geographic venue of the court. The Administrative Office may provide the press release to any other organization or individual capable of notifying persons qualified for the office.

(2)(B)(ii) A person interested in an appointment as a judge pro tempore shall complete the application and submit it with a resume to the Administrative Office.

(2)(B)(iii) The presiding judge of the court to be served by the judge pro tempore shall appoint a selection committee to make recommendations regarding appointment.

(2)(B)(iv) The presiding judge shall submit to the Supreme Court the name of the applicant recommended for appointment and the application, resume and results of the records check for the applicant. The presiding judge shall certify that:

(2)(B)(iv)(a) the applicant is the most qualified;

(2)(B)(iv)(b) there is an extraordinary need for the appointment;

(2)(B)(iv)(c) all other options to accommodate the need have been exhausted; and

(2)(B)(iv)(d) the matters to be assigned are suitable for consideration by a judge pro tempore.

(2)(C)(i) Upon receipt of the application and resume, the Administrative Office shall conduct a check of Utah records to determine whether the applicant has been:

(2)(C)(i)(a) a defendant in any bar or judicial disciplinary proceeding;

(2)(C)(i)(b) arrested;

(2)(C)(i)(c) a defendant in any misdemeanor or felony complaint; or

(2)(C)(i)(d) a party in any civil case.

(2)(C)(ii) For appointments under sections (3)(A) and (3)(B), the Administrative Office shall deliver the application and resume, certification by the presiding judge, and the results of the records check to the Supreme Court. For appointments under section (3)(C), the Administrative Office shall deliver the application and resume and the results of the records check to the presiding judge.

(3) Appointment. The Supreme Court, through the Chief Justice, may appoint judges pro tempore to serve on any trial court:

(3)(A) on a case by case basis;

(3)(B) for a period of time not to exceed two years for small claims cases or petitions against minors for possession or use of tobacco; or

(3)(C) for a period of time not to exceed six months for other cases.

(4) Upon the request of the presiding judge, the Supreme Court, through the Chief Justice, may appoint a justice court judge or a court commissioner as a judge pro tempore for a period of time not to exceed five days. Subsection (2) does not apply to appointments under this subsection.

(5) Removal - Oath - Authority.

(5)(A) Regardless of the stated period of appointment or appointment on a case by case basis under subpart (3), the office of judge pro tempore is held at the will of the Supreme Court. The Supreme Court may withdraw an order of appointment with or without cause by providing notice of the order of withdrawal to the appointee.

(5)(B) A person appointed to the position of a judge pro tempore shall take and subscribe to an oath of office upon the first appointment in that court.

(5)(C) Judges pro tempore shall have all the power and authority of the judges of that court during the period of appointment except that they shall not exercise judicial authority beyond the case to which they are assigned such as the performance of marriages. A judge pro tempore shall have all of the privileges and immunities of a judge with respect to the case or cases to which the judge pro tempore is assigned.

(6) Limit on reappointment. Any appointment made under subpart (3)(C) may be renewed only once.

(7) Compensation.

(7)(A) Except as provided in this subpart, judges pro tempore shall serve without compensation.

(7)(B) Judges pro tempore may receive reimbursement for necessary travel expenses actually incurred in the performance of their duties.

(7)(C) Judges pro tempore employed by the courts in another capacity shall not receive additional compensation.

(7)(D) Judges pro tempore appointed under subpart (3)(C) may be compensated upon the written request of the presiding judge(s) and with the concurrence of the Chief Justice and the State Court Administrator.

Intent:

To establish the qualifications, term, authority, appointment, reappointment, and assignment for senior justice court judges.

Applicability:

This rule applies to senior judges of courts not of record.

Statement of the Rule:

(a) Qualifications. A judge may apply to become a senior justice court judge, on either inactive or active status.

(1) Inactive senior justice court judge. A judge is qualified to be an inactive senior justice court judge if the judge:

(A) was retained in the last election for which the judge stood for election;

(B) voluntarily resigned from judicial office, been laid off pursuant to a reduction in force, voluntarily retired, or, involuntarily retired due to disability, but recovered from or accommodated that disability;

(C) did not resign from office as a result of negotiations with the Judicial Conduct Commission or while a complaint against the judge was pending before the Supreme Court or pending before the Judicial Conduct Commission;

(D) has not been subject to any order of discipline for conduct as a judge;

(E) does not have any criminal charge, other than an infraction, pending at the time of the application;

(F) demonstrates appropriate ability and character;

(G) has been in office for at least five years; and

(H) complies with the restrictions on secondary employment provided by the Utah Code.

(2) Active senior justice court judge. A judge is qualified to be an active senior justice court judge if the judge:

(A) meets the qualifications of an inactive senior justice court judge;

(B) was not suspended during the judge’s final term of office or final six years in

office, whichever is greater;

(C) is a current resident of Utah and is available to take cases;

(D) is physically and mentally able to perform the duties of judicial office;

(E) is familiar with current statutes, rules, case law, and court case management systems;

(F) satisfies the education requirements set forth in Rule 3-403; and

(G) agrees to conform to the Code of Judicial Administration and the Code of Judicial Conduct and other rules of the Supreme Court.

(b) Application and appointment.

(1)To be appointed a senior justice court judge, a judge must:

(A) Submit an application to the Administrative Office of the Courts (AOC) on a form provided by the AOC.

(B) Declare on the application that the applicant meets each relevant qualification as set forth in paragraph (a).

(C) If applying for active senior justice court judge status, submit results on the most recent judicial performance evaluation prior to termination of service sufficient to have been recommended for retention.

(2) After receiving the required senior judge application, the AOC will provide the application to the Judicial Council, and a copy to the applicant. For applicants for active senior justice court judge status, the AOC will also provide the most recent judicial performance evaluation to the Judicial Council, and a copy to the applicant.

(3) After considering all information in a session closed in compliance with Rule 2-103, the Judicial Council will determine and notify the Supreme Court whether the applicant meets the qualifications for an appointment as an active or inactive senior justice court judge.

(4) The Judicial Council will inform an applicant, in writing, if the Judicial Council notifies the Supreme Court that the applicant does not meet qualifications for appointment.

(5) An applicant who receives notice from the Judicial Council under paragraph (4) may, within 14 days of the date the Judicial Council sent the notice, submit to the Appellate Court Administrator a written explanation on why the applicant should be appointed as an active or inactive justice court senior judge.

(6) The Supreme Court will review each applicant’s information. With the concurrence of a majority of the members of the Supreme Court, the Chief Justice may appoint the judge as an active or inactive senior justice court judge.

(7) Active senior justice court judges must take and subscribe an oath of office with the original to be maintained by the State Archives and a copy to be maintained by the state court administrator or the administrator’s designee.

(c) Reappointment qualifications.

(1) An active senior justice court judge is qualified for reappointment if the judge:

(A) is physically and mentally able to perform the duties of judicial office;

(B) maintains familiarity with current statutes, rules, case law, and court case management systems;

(C) satisfied the education requirement of completing 30 hours of education per fiscal year as set forth in Rule 3-403;

(D) volunteered for a minimum of two case assignments per fiscal year during the current term, subject to being called;

(E) continues to conform to the Code of Judicial Administration and the Code of Judicial Conduct and other rules of the Supreme Court; and

(F) continues to meet the qualifications for an active senior justice court judge set forth paragraph (a)(2).

(2) An inactive senior justice court judge is qualified for reappointment if the judge continues to meet qualifications set forth in paragraph (a)(1).

(d) Reappointment applications. To be reappointed as a senior justice court judge, a judge must apply to the Judicial Council for either inactive or active status.

(1) Active and inactive senior justice court judges seeking reappointment must submit the senior judge application by February 1 in the last year of their current term.

(A) An applicant for active senior justice court judge status must submit an application to the AOC declaring whether the applicant meets qualifications as an active senior justice judge set forth in paragraphs (a)(2) and (c).

(B) An applicant for inactive senior justice court judge status must submit an application to the AOC declaring whether the judge continues to meet qualifications set forth in paragraph (a)(1).

(2) After receiving an application, the AOC will, for active senior judges, assemble the judicial education records, records of formal and informal sanctions, recommendation from the Board of Justice Court Judges, and any information requested by the Judicial Council. The AOC will provide the application and any assembled information to the Judicial Council, with a copy to the applicant for reappointment as an active or inactive senior justice court judge.

(3) After considering all information in a session closed in compliance with Rule 2-103, the Judicial Council will determine whether:

(A) The applicant for reappointment as an active senior justice court judge meets qualifications for reappointment set forth in paragraphs (a)(2) and (c).

(B) The applicant for reappointment as an inactive senior justice court judge meets qualifications for reappointment set forth in paragraph (a)(1).

(4) If the Judicial Council finds that the applicant does not meet qualifications for reappointment, the Council will:

(A) Notify the applicant of the Judicial Council’s decision within five days of the Judicial Council’s meeting, including a description of the reasons for the Council’s decision;

(B) Invite the applicant to meet with the Judicial Council and provide information challenging the Judicial Council’s decision on qualifications; and

(C) In a session closed in compliance with Rule 2-103, review information challenging the Council’s decision and provide the applicant adequate time to present evidence and arguments in favor of reappointment.

(5) The Judicial Council will:

(A) In an open session, approve its final decisions regarding each applicant’s qualifications for reappointment as a senior justice court judge;

(B) Notify the applicant in writing if the Judicial Council’s final decision is that the applicant does not meet the qualifications for reappointment; and

(C) Notify the Supreme Court of the final decisions regarding each applicant’s qualifications for reappointment as a senior justice court judge.

(6) An applicant who receives notice from the Judicial Council under paragraph (5) may, within 14 days of the date the Judicial Council sent the notice, submit to the Appellate Court Administrator a written explanation on why the applicant should be reappointed as an inactive senior justice court judge or active senior justice court judge.

(7) The Supreme Court will review each applicant’s information. With the concurrence of a majority of the members of the Supreme Court, the Chief Justice may reappoint the judge as an inactive senior justice court judge or active senior justice court judge.

(e) Assignment.

(1) With the consent of the active senior justice court judge, the governing body for a justice court may assign an active senior justice court judge to a case or for a specified period of time. Cumulative assignments under this subsection may not exceed 60 days per calendar year except as necessary to complete an assigned case.

(2) In extraordinary circumstances and with the consent of the active senior justice court judge, the Chief Justice may assign an active senior justice court judge to address the extraordinary circumstances for a specified period of time not to exceed 60 days per calendar year, which may be in addition to assignments under paragraph (1). To request an assignment under this paragraph, the governing body must certify that there is an extraordinary need.

(3) An active senior justice court judge may be assigned to any justice court in the state.

(4) The governing body must make the assignment in writing and send a copy to the court to which the active senior justice court judge is assigned and to the state court administrator.

(f) Term of office.

(1) Active senior justice court judges. The initial term of office of an active senior justice court judge less than age 75 years is until June 30 of the second year following appointment. The initial term of office of an active senior justice court judge age 75 years or more is until June 30 of the first year following appointment. A subsequent term of office of an active senior justice court judge less than 75 years is three years or until June 30 of the year in which the judge reaches age 75, whichever is shorter. A subsequent term of office of an active senior justice court judge age 75 years or more is one year.

(2) Inactive senior justice court judges. The initial term of office of an inactive senior justice court judge is until June 30 of the third year following appointment. A subsequent term of office of an inactive senior justice court judge is three years.

(3) All subsequent appointments begin on July 1.

(4) The Supreme Court may modify the terms of or withdraw an appointment with or without cause.

(g) Authority. An active or inactive senior justice court judge may solemnize marriages and administer oaths of office. An active senior justice court judge, during an assignment, has all the authority of a justice court judge.

Preamble

Judges are tasked with the important responsibility of presiding over adversarial judicial proceedings. In such proceedings the rights, responsibilities, liberties, and even lives of the parties may hang in the balance. And in light of these high stakes, conflict and tension are inevitable—to some degree even expected in a system that depends on an element of adversariness in the search for truth and justice.

Even in the adversary process, we expect the parties and their counsel to follow basic principles of civility and professionalism. In Utah, our Standards of Professionalism and Civility represent our attempt to articulate those principles for members of the Utah Bar. The standards below state a parallel set of principles for the judiciary.

Our judges should aspire to a high level of professionalism and civility in the performance of their judicial responsibilities. When judges display unprofessional or uncivil conduct, they undermine the goal of securing equal justice for all under the law. Conversely, when judges model civil and professional behavior, the system they preside over is elevated as all participants in the process are inevitably impacted by those who oversee it.

The general aspiration for professionalism and civility is only a beginning. That aspiration raises important questions regarding the nature of the judge’s role in a system in which conflict and tension are inevitable and in which the judge may be called upon to make difficult determinations involving guilt, individual responsibility, credibility, state of mind, and relative culpability.

The aspiration for professionalism and civility in the judiciary must be tempered by the occasional need for a judge to stand up to obstinacy or insubordination with sharpness and even severity. In some instances a party’s behavior or position cannot appropriately be dealt with through docility and good cheer. At times it will be the proper role of a judge, as the voice of the law in the face of a party’s blatant disregard of it, to come down harshly. In a criminal proceeding involving a convicted child sex abuser who refuses to acknowledge responsibility, for example, a judge may properly find it necessary to utter the unmistakably grave terms of chastisement—with a goal of awakening the defendant to the need to seek help and make fundamental changes. Alternatively, in a juvenile court matter in which an abusive or neglectful parent is the root source of an adolescent’s legal problems, a judge may determine that the only path to a lasting resolution of the matter is to employ the terms and tone of austerity. And judges generally are called upon to make determinations of credibility; that core responsibility cannot be shunned because it might have a tendency to offend.

The aspiration for professionalism and civility must also leave room for a range of personalities and temperaments among our judges. The judicial function is performed by individual human beings with discretion to apply the law to new facts. Judges must be permitted to do so in a manner consistent with their individual temperament and personality. Our standards are not intended to prescribe a single orthodoxy of temperament or personality.

The standards below seek to balance these competing objectives. They establish some bright lines that should never be crossed, regardless of a judge’s temperament or personality and even in the most difficult circumstances. And they distinguish appropriate exercises of sharpness or severity (those with a due purpose in law, in the rules of procedure, or in the judge’s efforts to maintain order and decorum) from those that are merely gratuitous (lacking any proper basis, and employed out of personal spite or animosity).

These standards are aspirational. They are not intended to prescribe legal standards to be invoked in litigation or as a basis for sanctions or penalties to be imposed against judges (except insofar as they may merely reiterate standards prescribed elsewhere that establish an independent basis for sanctions).

Standards

(1) Judges will refrain from manifesting or acting upon racial, gender, or other improper bias or prejudice toward any participant in the legal process.

(2) Judges will not use language in oral or written communications, orders, or opinions that isvulgar or profane (except to the extent necessary to describe the facts or background of a case) or that gratuitously demeans or humiliates an attorney, litigant, witness, or another judge, recognizing, however, that judges are sometimes expected to stand up to obstinacy or insubordination with sharpness and even severity, and that the difficult legal or factual determinations they make might produce a demeaning or humiliating effect on a participant in the judicial process.

(3) Judges will not disparage the integrity, motives, intelligence, morals, ethics, or personal behavior of an attorney, litigant, witness, or another judge except in circumstances where such matters are in furtherance of a judge’s responsibilities or are otherwise relevant under the governing law or rules of procedure. Judges will not impugn the integrity or professionalism of any lawyer on the basis of the client or cause which the lawyer represents.

(4) Judges will avoid impermissible ex parte communications.

(5) Judges will not adopt procedures aimed at delaying the resolution of proceedings before them or at compounding litigation expenses unnecessarily.

(6) Judges will endeavor to begin judicial proceedings on time and to provide reasonable notice if necessary to apprise the parties, recognizing that circumstances beyond the judge’s control may impact the goal of punctuality.

(7) Judges will give issues in controversy thoughtful and impartial analysis and consideration, recognizing the corresponding prerogative and responsibility to promote their just, speedy, and inexpensive resolution.

(8) Judges will recognize that a party has a right to a fair and impartial hearing, and a right to present its cause within the limits established by law. Judges will allow lawyers or parties, within reasonable time limits, to present proper arguments and to make a complete and accurate record.

(9) In all legal proceedings, judges will direct parties, attorneys, and other participants to refrain from uncivil conduct. Judges who observe uncivil conduct or receive a reliable report of uncivil conduct will take corrective action as the judge deems appropriate.

(10) Judges will cooperate with other judges to ensure the successful management of the court as a system as well as the judge’s individual docket.

Intent:

To establish a standing committee to assist the Board of Appellate Court Judges in determining a roster of indigent service provider attorneys who are eligible for appointment to represent indigent individuals on appeal to the Utah Supreme Court and the Utah Court of Appeals.

To establish uniform terms and a method for appointing committee members.

To establish a schedule for recommending the appointment of indigent defense service provider attorneys to, or the removal of indigent defense service provider attorneys from, the Appellate Roster.

Definitions:

The terms “indigent defense service provider,” “indigent individual,” “indigent defense services,” and “Indigent Appellate Defense Division” are defined in Utah Code Sections 78B-22-102 and -802. For purposes of this rule:

(1) “indigent appellate defense service provider entity” means a legal defender office that is under contract to perform indigent defense services for one or more counties in the state and has a designated appellate division consisting of one or more attorney who are employed by the legal defender office and whose primary focus is appellate representation. “Employed by” does not include an attorney who contracts separately with an indigent appellate defense service provider entity;

(2) “indigent defense service provider attorney” means an individual attorney who has been appointed to the Appellate Roster; and

(3) “Appellate Roster” means the list of indigent service provider attorneys who are eligible for appointment to represent indigent individuals on appeal to the Utah Supreme Court and the Utah Court of Appeals.

Applicability:

This rule applies to the internal operation of the Board of Appellate Court Judges and the Committee on Appellate Representation and to courts of record in cases involving indigent individuals.

Statement of the Rule:

(a) Committee establishment. The Standing Committee on Appellate Representation is established as a committee of the Board of Appellate Court Judges.

(1) Composition. The Committee consists of at least:

(A) One attorney from the Criminal Appeals Division of the Utah Attorney General’s Office;

(B) One attorney from an indigent defense service provider representing criminal defendants in counties of the first or second class;

(C) The Chief Appellate Officer or designee of the Indigent Appellate Defense Division;

(D) One attorney on the Appellate Roster for criminal appeals;

(E) One attorney on the Appellate Roster for juvenile delinquency appeals;

(F) One attorney on the Appellate Roster for child welfare appeals;

(G) One active or retired judge from an appellate court;

(H) One active or retired judge from another court of record.

(2) Appointment. Committee members are appointed by the Supreme Court and serve staggered four-year terms. The Supreme Court selects a chair from among the Committee’s members. Judges who serve as members of the Committee will generally not be selected as chair. Committee members serve as officers of the court and not as representatives of any client, employer, or other organization or interest group. At the Committee’s first meeting in any calendar year, and at every meeting at which a new Committee member first attends, each Committee member will briefly disclose the general nature of the member’s legal practice.

(3) Vacancies. In the event of a Committee vacancy, the Supreme Court, after consulting with the Committee chair, will appoint a new Committee member from the same category as the prior Committee member to serve for the remaining unexpired term.

(4) Absences. If a Committee member fails to attend two consecutive Committee meetings, the chair may notify the Supreme Court of those absences and may request that the Supreme Court replace that Committee member.

(5) Administrative assistance. The Administrative Office of the Courts will coordinate staff support to the Committee, including the Office of General Counsel’s assistance in research and drafting.

(b) Appellate Roster. The Board of Appellate Judges maintains an appellate roster of indigent service provider attorneys skilled in handling criminal, juvenile delinquency, and child welfare proceedings as defined in Rule 1(f) of the Utah Rules of Appellate Procedure, and termination of parental rights proceedings under Section 78B-6-112.

(1) Purpose of the Committee. The Committee’s purpose is to recommend to the Board of Appellate Court Judges attorneys for inclusion on an appellate roster of indigent defense service provider attorneys eligible for appointment by the courts of this state to represent indigent individuals on appeal before the Utah Supreme Court or the Utah Court of Appeals. Except as specified in paragraph (b)(9), only attorneys on the Appellate Roster are eligible for such court appointments.

(2) Committee recommendations. The Committee will consider and recommend attorneys for inclusion on the Appellate Roster based on the eligibility criteria listed in paragraph (b)(3), together with any other factor bearing on an applicant’s ethics, diligence, competency, abilities in briefing and oral advocacy, and willingness to fairly, efficiently, and effectively provide appellate representation to indigent individuals on appeal. The Committee will consider issues such as quality of briefing, the applicant’s frequency of inadequate briefing, summary dismissals, or involuntary dismissals, and the applicant’s professionalism and civility. The Committee may also recommend removing an attorney from the Appellate Roster.

(3) Eligibility criteria. To be considered for the Appellate Roster, an applicant must at a minimum complete an application in a form provided by the Committee and:

(A) demonstrate that the applicant has briefed the merits in at least three appeals within the past three years or in 12 appeals total, or is directly supervised by an attorney with that experience;

(B) be a member of the Utah Bar in good standing;

(C) demonstrate knowledge of appellate practice as shown by experience, training, or legal education;

(D) demonstrate ability to adequately and effectively raise and argue issues on appeal and comply with applicable court rules;

(E) certify that the attorney has not, within the past three years, been the subject of an order issued by any appellate court imposing sanctions against counsel, discharging counsel, or taking other equivalent action against counsel because of counsel’s substandard performance before an appellate court;

(F) must not have been removed from the Appellate Roster within the past year;

(G) submit at least two appellate briefs, at least one of which is in the relevant subject matter area, to the Committee with a certification that the applicant was primarily responsible for drafting the briefs;

(H) submit a petition under Rule 55 of the Utah Rules of Appellate Procedure if the person is applying to be on the Appellate Roster for appeals from child welfare proceedings;

(I) provide citations for all appellate decisions in which the applicant was counsel of record;

(J) list and explain the reasons for all cases in which the applicant was counsel of record that required excessive extensions, defined here as ten or more extensions in criminal cases, and two or more extensions in juvenile delinquency, child welfare, or termination of parental rights cases; and

(4) Roster Selection. The Board of Appellate Court Judges will approve or disapprove the Committee’s recommendations with respect to attorneys to be included on the Appellate Roster. Except as provided in paragraph (b)(7), the Board may not add to the roster an attorney who is not recommended by the Committee.

(5) Mentoring. If an attorney is selected for the Appellate Roster on the condition that the attorney have a mentor, then the attorney must select a mentor who meets the qualifications set forth in paragraphs (b)(3)(A)–(F). A mentor must have briefed the merits in at least three appeals within the past three years or in 12 appeals total. The attorney subject to the mentoring requirement must certify in each brief filed on behalf of an indigent individual that the attorney was directly supervised in drafting the brief by a mentor qualified under paragraph (b)(3)(A)-(F). The attorney is not required to name the mentor in their certification.

(6) Removal. The Board may at any time remove an attorney from the Appellate Roster based on the attorney’s qualifications, skills, experience, or prior performance in any appellate court, or the attorney’s failure to maintain eligibility under paragraph (b)(8).

(7) Reconsideration of removal or non-reappointment. An attorney who is removed from the Appellate Roster before the end of the attorney’s five-year appointment or who is not reappointed to a subsequent term may petition for reconsideration by submitting a letter to the Standing Committee on Appellate Representation. The letter must be submitted within 28 days from the date of the notice informing the attorney of the removal or non-reappointment. The Committee will review all materials relevant to the attorney’s petition and recommend to the Board of Appellate Court Judges whether the attorney’s removal or non-reappointment should be upheld. The Board of Appellate Court Judges will approve or disapprove the Committee’s recommendations.

(8) Appointment term, CLE requirement, and reapplication.

(A) An attorney’s Appellate Roster appointment is no more than five years, depending on when in the year the attorney is appointed to the roster.

(B) During an attorney’s Appellate Roster term, the attorney must complete at least 12 hours of continuing legal education on topics directly relevant to the attorney’s Appellate Roster work. The attorney must certify completion of the hours at the time of reapplication and provide documentation of the hours and topics completed.

(C) To maintain eligibility for appointment to provide indigent defense services on appeal, an attorney must reapply under the provisions of paragraph (b)(3) by September 1 of the attorney’s fifth year on the Appellate Roster. The attorney must be recommended by the Committee and reappointed to the Appellate Roster by the Board of Appellate Court Judges at the conclusion of the attorney’s appointment term.

(D) For attorneys appointed after November 1,2024, all terms will terminate on December 31 of the attorney’s fifth year regardless of whether a full five years have been served.

(E) For attorneys appointed after November 1, 2024, applications and reapplications are due before July 31 of the attorney’s final year on the roster.

(9) Exemption. Attorneys employed by an indigent appellate defense service provider entity or the Indigent Appellate Defense Division to provide indigent defense services on appeal are exempt from the requirement to be included on the Appellate Roster. This exemption does not apply to an attorney or an entity that has contracted with an indigent defense service provider to provide indigent defense services on appeal.

(A) Requirements for entity exempt status. In order to qualify for exempt status, an indigent appellate defense service provider entity or the Indigent Appellate Defense Division must certify in writing every five years to the Appellate Representation Committee that the entity has:

(i) an appellate division whose primary focus is appellate representation;

(ii) a case management tracking system;

(iii) adequate administrative support;

(iv) one or more supervising attorneys who are on the appellate roster; and

(v) oversight and supervision of attorneys who handle appellate cases.

(B) Inclusion in an entity’s exemption. To be included in an entity’s exemption, an attorney must be employed by the indigent appellate defense service provider entity. Independent contractors do not qualify under an indigent appellate defense service provider entity’s exemption.

(c) Annual schedule. The Committee must meet at least annually and must submit its annual recommendations to the Board of Appellate Court Judges by October 31. If the Committee determines that additional recommendations should be submitted to the Board of Appellate Court Judges, the Committee may call for additional applications at any time. The Board of Appellate Court Judges will at its next meeting thereafter approve or disapprove the Committee’s recommendations of attorneys to be included on the Appellate Roster.

(d) Contracts in effect before this rule’s adoption. An attorney who, before this rule’s adoption, contracted with a government entity to represent indigent individuals on appeal is subject to the provisions of Rule 38B of the Utah Rules of Appellate Procedure. Upon the contract’s termination, expiration, or renewal, the attorney is subject to this rule.

(a) The purpose of Lawyer disciplinary and disability proceedings is to ensure and maintain the high standard of professional conduct required of those who undertake the discharge of professional responsibilities as Lawyers and to protect the public and the administration of justice from those who have demonstrated by their conduct that they are unable or unlikely to properly discharge their professional responsibilities.

(b) Under Article VIII, Section 4 of the Constitution of Utah, the Utah Supreme Court has exclusive authority within Utah to adopt and enforce rules governing the practice of law, including licensure to practice law in Utah and the conduct and discipline of persons licensed to practice law.

(c) All disciplinary proceedings must be conducted in accordance with these rules. Formal disciplinary and disability proceedings are civil in nature. These rules will be construed to achieve substantial justice and fairness in disciplinary matters with dispatch and at the least expense to all concerned parties.

(d) The interests of the public, the courts, and the legal profession all require that disciplinary proceedings at all levels be undertaken and construed to secure the just and speedy resolution of every complaint.

(e) Unless provided otherwise, to the extent consistent with their limited license, licensed paralegal practitioners and foreign legal consultants must be treated in the same manner as lawyers for purposes of interpreting and implementing these rules.

As used in this article:

(a) “Action” means a lawsuit filed by the OPC in district court alleging Lawyer misconduct or seeking to transfer a Lawyer to disability status.

(b) “Bar” means the Utah State Bar.

(c) “Bar Commission” or “Commission” means the Board of Bar Commissioners of the Utah State Bar.

(d) “Chief Disciplinary Counsel” means the lawyer the Supreme Court appoints to manage the OPC.

(e) “Committee” means the Ethics and Discipline Committee of the Supreme Court.

(f) “Complainant” means either (1) the person who files a Complaint, or (2) the OPC after opening an investigation.

(g) “Complaint” means any written allegation of Lawyer misconduct or incapacity containing an unsworn declaration as to the accuracy of the information provided.

(h) “injury” means harm to a client, the public, the legal system, or the profession that results from a lawyer’s misconduct. The level of injury can range from “serious” injury to “little or no” injury; a reference to “injury” alone indicates any level of injury greater than “little or no” injury.

(i) “intent” means the conscious objective or purpose to accomplish a particular result.

(j) “knowledge” means the conscious awareness of the nature or attendant circumstances of the conduct but without the conscious objective or purpose to accomplish a particular result.

(k) “Lawyer” includes those licensed to practice law in any jurisdiction of the United States, foreign legal consultants, and licensed paralegal practitioners, insofar as the licensed paralegal practitioner is authorized to practice under Utah Special Practice Rule14-802, unless provided otherwise.

(l) “licensed” includes lawyers admitted to the Bar, unless provided otherwise.

(m) “negligence” means a Lawyer’s failure to heed a substantial risk that circumstances exist or that a result will follow, which failure is a deviation from the standard of care that a reasonable Lawyer would exercise in the situation.

(n) “Notice” means the notice the OPC sends to the Respondent after a preliminary investigation, which identifies the possible violation(s) of the Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct, raised by the Complaint as the OPC has preliminarily determined.

(o) “OPC” means the Office of Professional Conduct.

(p) “OPC Counsel” means Chief Disciplinary Counsel, deputy chief disciplinary counsel, and any assistant disciplinary counsel.

(q) “Oversight Committee” means the committee established in Rule 11-503 to oversee the OPC.

(r) “potential injury” means the harm to a client, the public, the legal system, or the profession that is reasonably foreseeable at the time of the lawyer’s misconduct, and which, but for some intervening factor or event, would probably have resulted from the lawyer’s misconduct.

(s) “Respondent” means a Lawyer subject to the disciplinary jurisdiction of the Supreme Court against whom a Complaint has been filed or an Action has been initiated.

(t) “Rules of Professional Conduct” means the rules in Chapter 13 of the Supreme Court Rules of Professional Practice and “Licensed Paralegal Practitioner Rules of Professional Conduct” means the rules in Chapter 15, article 12 of the Supreme Court Rules of Professional Practice.

(u) “Supreme Court” means the Utah Supreme Court.

(a) Establishment. The Oversight Committee for the Office of Professional Conduct (“Oversight Committee”) is established as a Supreme Court committee.

(1) Composition.

(A) The Oversight Committee consists of eight voting members. Among the members, at least one must be a judge; one a member of the public; and one a past chair or past vice-chair of the Ethics and Discipline Committee. At least one of the members must have an accounting or finance background.

(B) The executive director of the Utah Bar will be an ex-officio, non-voting member of the Oversight Committee.

(2) Appointment and member roles. The Utah Supreme Court appoints Oversight Committee members who may serve up to two consecutive staggered three-year terms. The Supreme Court will select a chair from among the Oversight Committee’s members. Oversight Committee members serve as officers of the court and not as representatives of any client, employer, or other organization or interest group. At the first meeting of the Oversight Committee in any calendar year, and at every meeting at which a new Committee member first attends, each Committee member must briefly disclose the general nature of the member’s legal or other practice.

(3) Meeting schedule. The Oversight Committee will meet a minimum of three times per year.

(4) Vacancies. If there is an Oversight Committee vacancy, the Supreme Court will appoint a new Committee member to serve for the remainder of the unexpired term.

(5) Absences. If an Oversight Committee member fails to attend two consecutive Committee meetings, the chair may notify the Supreme Court of those absences and may request that the Supreme Court replace that Committee member.

(6) Administrative support. The Administrative Office of the Courts must coordinate administrative support to the Committee.

(b) Oversight Committee purpose, responsibilities, and authority.

(1) Oversight Committee purpose. The Oversight Committee’s purposes are to assist the OPC in implementing reforms to the attorney discipline process adopted by the Utah Supreme Court, to provide oversight for the OPC, and to consider and recommend to the Utah Supreme Court amendments to the rules of administration and procedure applicable to the attorney discipline process.

(2) Oversight Committee responsibilities. The following comprise the Oversight Committee’s responsibilities:

(A) Develop and implement realistic performance metrics and conduct annual evaluations of OPC and its Chief Disciplinary Counsel;

(B) Approve the budget for the OPC and annually submit the budget to the Supreme Court and the Bar;

(C) Conduct a needs assessment for the OPC, setting forth a three- to five-year funding plan for the disciplinary process, including technology and staffing needs;

(D) Annually, in conjunction with Chief Disciplinary Counsel and the Ethics and Discipline Committee chair, report to the Court regarding the operations of the OPC and the general standing of disciplinary matters and procedures, including time to disposition reports for the OPC’s cases;

(E) Review and approve the OPC’s formal policies, including records retention policies;

(F) Recommend rules of administration and procedure to the Supreme Court;

(G) Recommend a Chief Disciplinary Counsel to be appointed by the Supreme Court;

(H) Monitor the OPC’s workload and recommend to the Supreme Court and the Bar resources to ensure the OPC has adequate OPC staffing;

(I) Review and consider any public input;

(J) Monitor time to disposition reports for the OPC’s cases; and

(K) Recommend to the Utah State Bar any needed employee resources to ensure the OPC has necessary administrative support to carry out its prosecutorial duties.

(3) Authority. The Oversight Committee does not have authority to interfere with the prosecutorial independence of the OPC, but is granted access to confidential information as necessary to carry out its duties.

(c) Complaints and appeals.

(1) Any person may file with the Oversight Committee chair a complaint alleging prosecutorial malfeasance regarding the Chief Disciplinary Counsel. If necessary, the Oversight Committee may enter a recommendation to the Supreme Court, which may take appropriate action.

(2) If a complaint regarding the Chief Disciplinary Counsel is received in the OPC’s office, the Chief Disciplinary Counsel must forward the complaint to the Oversight Committee chair within a reasonable time, but not more than 14 days after receipt.

(3) Any person may file with the Chief Disciplinary Counsel a complaint alleging prosecutorial malfeasance regarding OPC Counsel or staff. The Chief Disciplinary Counsel’s decision regarding the complaint is final and not subject to appeal. The Chief Disciplinary Counsel’s decision may include an appropriate action taken against the person who is the subject of the complaint.

(4) A complaint must be in writing, stating the name and contact information of the complainant, the nature of the complaint, and the facts on which the complaint is based.

(5) Unless the appropriate action taken on a complaint is part of a formal proceeding, any action taken is confidential.

(a) Persons practicing law. The persons subject to the disciplinary jurisdiction of the Supreme Court and the OPC include any Lawyer licensed to practice law in Utah, any lawyer admitted but currently not properly licensed to practice in Utah, any formerly licensed Lawyer with respect to acts committed while admitted to practice in Utah or with respect to acts subsequent thereto, which amount to the practice of law or constitute a violation of any rule promulgated, adopted, or approved by the Supreme Court or any other disciplinary authority where the Lawyer was licensed to practice or was practicing law at the time of the alleged violation, any Lawyer specially admitted by a Utah court for a particular proceeding, and any other person not licensed in Utah who practices law or who renders or offers to render any legal services in Utah.

(b) Incumbent and sitting judges. Incumbent and sitting judges are subject to the OPC’s jurisdiction only for conduct that occurred before taking office.

(c) Former judges. A former judge who has resumed the status of a Lawyer is subject to the jurisdiction of the Supreme Court not only for conduct as a Lawyer but also for misconduct that occurred while the Lawyer was a judge and would have been grounds for Lawyer discipline, provided that the misconduct was not the subject of a judicial disciplinary proceeding as to which there has been a final determination by the Supreme Court.

(d) Part-time judges. Part-time judges, while in office, are subject to Lawyer disciplinary and disability proceedings for acts outside their judicial capacity

(a) Individual Complaints. A Complaint must be filed with the OPC within four years of the time that the Complainant discovers or reasonably should have discovered the alleged misconduct.

(b) OPC Complaints. A Complaint initiated by the OPC must be initiated within five years of the alleged misconduct.

(c) Fraud, conversion, conviction of a serious crime, and concealment. There is no statute of limitations for misconduct alleging fraud, conversion, or conviction of a serious crime, or for alleged misconduct concealed by the lawyer.

(a) Composition. The Supreme Court appoints the Committee members. The Committee consists of a minimum of four to a maximum of eight public members and a minimum of 21 to a maximum of 25 Lawyers who have demonstrated a high standard of professional conduct. All appointments are for a term of three years with no Committee member serving more than two consecutive terms unless appointed as a chair or vice-chair of the Committee. The Supreme Court designates three to four Lawyer members as Committee vice-chairs.

(b) Committee chair. The Supreme Court will appoint a lawyer licensed to practice in Utah to serve as the chair. The chair may not engage in the private practice of law for payment. The chair is an employee of the Bar and subject to its personnel policies. The chair serves at the pleasure of the Supreme Court and has the following responsibilities:

(1) supervise the Committee;

(2) maintain adequate checks on the screening panels’ work to ensure that matters move forward expeditiously;

(3) ensure that screening panels have a uniform basis for the judgments rendered;

(4) provide the screening panels with information concerning ethics and judicial decisions necessary to their activities; and

(5) make recommendations to the Supreme Court concerning appointments to and removals from the screening panels and reports concerning screening panel activities and the overall work of the Committee.

(c) Vice-chairs. The Committee vice-chairs will act as chair temporarily if the chair is absent or resigns. The chair may call upon any vice chair to assist in any of the Committee chair’s duties.

(d) Removal. The Committee chair may recommend removal of a Committee member by notifying the Supreme Court of the recommendation of removal and reasons for the recommendation. The removal is effective when the Supreme Court accepts the recommendation.

(a) Screening panel composition. The Committee members, except for the Committee chair and vice chairs, are divided into four screening panels. Each screening panel shall be comprised of a minimum of five members, including four Lawyers and one public member. Screening panels may have more than five members, including up to two public members and up to five lawyer members, but no more than four lawyer members and one public member will participate in any screening panel hearing. Whenever a screening panel is assigned a Complaint involving a licensed paralegal practitioner, the Committee chair may, as practical, assign up to two Committee members who are licensed paralegal practitioners to the screening panel.

(b) Screening panel number. All screening panel hearings must have five panel members present, including a panel chair or vice chair and a public member.

(c) Chair and vice chair. The Supreme Court will name a chair and vice chair for each screening panel. The chair or, in the chair’s absence, vice chair presides over screening panel hearings. The panel chair may call upon the vice chair to assist in any of the panel chair’s duties. Chairs or vice chairs from other panels may conduct hearings if the regular chair and vice chair are unable to attend. If the chair is removed or resigns, the vice chair will become the chair, and the Court will appoint a Committee member to serve as vice chair.

(d) Voting. A majority vote of those members present and voting at any screening panel hearing is required for a determination.

(e) Meetings. Each screening panel meets as necessary to effectively and promptly carry out its duties. The Committee chair may convene the entire Committee at such other times as necessary to effectively and promptly carry out the Committee’s duties.

(f) Alternates. Members of any screening panel may serve as alternate members on different screening panels. The Committee chair and the Committee vice chairs may serve as alternate members on all screening panels.

(g) Responsibilities.

(1) Complaints are randomly assigned to a screening panel. The screening panels review and hear all Complaints charging that a Lawyer engaged in unethical or unprofessional conduct, and may consider any other relevant information. Screening panels determine the action to be taken on any Complaint that, in applying these rules to the facts of the case, is most consistent with the public interest and the Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct.

(2) Unless otherwise provided in this article, whenever the OPC may be present before a screening panel during a hearing, the Respondent may also be present.

(a) Who may request a subpoena. Before the screening panel authorizes the OPC to commence an Action against Respondent, the Respondent may, for good cause, request that the Committee chair authorize service of a subpoena on a third party to produce documents, electronically stored information, or tangible things in the possession, custody, or control of that person or entity. Except where good cause is shown, all petitions under this rule require a seven-day written notice to the OPC before the Committee chair authorizes the subpoena.

(b)Subpoena service. Subpoenas served under this rule must be served by the Respondent in accordance with Rule 45 of the Utah Rules of Civil Procedure.

(c) Subpoena enforcement. A district court in the district in which the production is required may, upon proper application, enforce the production of any documents subpoenaed.

(d) Quashing or enforcing subpoena. The Committee chair or the district court wherein the subpoena enforcement is being sought will hear and determine any attack on an issued subpoena as provided for in Rule 45 of the Utah Rules of Civil Procedure. Any resulting order by the district court is not appealable before entry of a final order in the proceeding.

(e) Costs. Costs are reimbursed by the Respondent as provided under Rule 45 of the Utah Rules of Civil Procedure.

(a) Confidentiality and Immunity. The Committee clerk is subject to the confidentiality requirements of Rule 11-561 and the immunity provisions of Rule 11-540.

(b) Responsibilities. The clerk is responsible for:

(1) handling the Committee’s administrative affairs;

(2) accepting documents filed with the Committee;

(3) handling screening panel calendars;

(4) giving notice to persons whose attendance is requested;

(5) notifying the Complainant, the Respondent, and the OPC of the times and dates their matters will be heard;

(6) notifying the Complainant, the Respondent, and the OPC of the disposition of each matter; and

(7) otherwise performing or providing the secretarial and administrative functions of the Committee and screening panels.

(a) Application. Disclosure, recusal, and disqualification apply to Committee members’ participation in a screening panel hearing, exception, or other proceeding in which a Respondent’s conduct is considered under these rules.

(b) Disclosure.

(1) Committee members must make disclosures before or, at the latest, at the start of a screening panel hearing or other hearing in which a Respondent’s conduct is considered.

(2) Each Committee member must disclose to the parties any professional or personal relationship or conflict of interest with a party or a party’s counsel in the proceeding that may affect an unbiased evaluation of the Respondent.

(3) Relationships that may affect an unbiased evaluation of the Respondent include any contact or association that might influence a Committee member’s ability to fairly and reasonably evaluate the conduct of any Respondent or to assess that Respondent without bias or prejudice, including but not limited to:

(A) family relationships to a party or Lawyer of a party in the proceeding within the third degree of relationship;

(B) any business relationship between the Committee member and a party or Lawyer of a party in the proceedings; and

(C) any personal litigation directly or indirectly involving a party or a Lawyer of a party in the proceeding and the Committee member, the Committee member’s family or the Committee member’s business.

(c) Recusal.

(1) As used in this rule, recusal is a voluntary act of self-disqualification by a Committee member.

(2) After making a disclosure, a Committee member may voluntarily recuse if the Committee member believes the relationship with the Respondent or other parties will affect an unbiased evaluation of the Respondent.

(d) Disqualification procedures.

(1) A Respondent may move to disqualify a screening panel member if such member:

(A) makes a disclosure and does not voluntarily recuse, and that member’s impartiality might reasonably be questioned; or

(B) does not make a disclosure, but known circumstances suggest the Committee member’s impartiality might reasonably be questioned.

(2) A motion to disqualify a screening panel member must be submitted to the Committee clerk for review by the screening panel chair or vice chair before or during the screening panel hearing.

(3) A motion to disqualify a Committee member from an exception or other hearing or review must be submitted to the Committee clerk for review by the Committee chair or vice chair before any hearing on the matter.

(e) Disqualification after Committee service. A former Committee member may not personally represent a Respondent in any proceeding as provided in these rules within one year after completing the former Committee member’s service. In addition to the one-year prohibition, a former Committee member may not personally represent a Respondent in any proceedings as provided in these rules in which the former Committee member previously participated during the Committee member’s service on the Committee.

(a) Appointment and qualifications. The Supreme Court will appoint a Lawyer licensed to practice in Utah to serve as Chief Disciplinary Counsel. Neither the Chief Disciplinary Counsel nor any full-time assistant disciplinary counsel may engage in the private practice of law for payment. The Chief Disciplinary Counsel, OPC Counsel, and OPC staff are employees of the Bar and subject to its personnel policies. The Chief Disciplinary Counsel is supervised by the Oversight Committee and serves at the pleasure of the Supreme Court.

(b) Chief Disciplinary Counsel responsibilities. The Chief Disciplinary Counsel has the following responsibilities:

(1) Hire and manage OPC Counsel and staff to ensure quality investigations, discipline, and sanctions.

(2) Develop the budget for Oversight Committee approval.

(3) Monitor and report to the Oversight Committee regarding the OPC’s operations and the efficiency and effectiveness of the disciplinary system.

(4) Work in conjunction with the Oversight Committee and the Bar to ensure the OPC has the necessary employee resources to carry out the prosecutorial functions of the office.

(5) Prepare and submit an annual report to the Oversight Committee and Supreme Court on or about February 1 of each year for the preceding calendar year.

(A) The report must include:

(i) the number of disciplinary cases investigated;

(ii) the number of disciplinary cases brought before the Committee;

(iii) Actions filed;

(iv) dispositions, including diversionary dispositions;

(v) cases dismissed;

(vi) time to disposition reports; and

(viii) such other information as may be helpful to the Supreme Court in understanding the OPC’s operations and the efficiency and effectiveness of the disciplinary system.

(B) Such report may contain recommendations for rule amendments or changes in the OPC or Ethics and Discipline Committee procedure. The Oversight Committee may amend the report before releasing it to the Supreme Court.

(c) OPC Counsel.

(1) Qualification and responsibilities. OPC Counsel must be licensed to practice law in Utah.

(2) OPC Counsel will be selected by the Chief Disciplinary Counsel. An OPC Counsel is an at-will employee subject to dismissal by the Chief Disciplinary Counsel, in conjunction with the Bar’s Executive Director and General Counsel, with or without cause.

(d) Disqualification and conflicts of interest. In addition to complying with the Rules of Professional Conduct regarding successive government and private employment (Rule 1.11 of the Rules of Professional Conduct), former OPC Counsel may not personally represent a Respondent as to any Complaint or Action within one year after completing the former OPC Counsel’s service. In addition to the one-year prohibition, former OPC Counsel may not personally represent a Respondent in any Complaint or Action that the OPC investigated or prosecuted during the term of the former OPC Counsel’s employment.

(a) The Chief Disciplinary Counsel has exclusive authority over the OPC’s prosecutorial functions and has the following powers and duties, which may be delegated to other staff:

(1) Screen all information coming to the attention of the OPC to determine whether it is within the jurisdiction of the OPC in that it relates to misconduct by a Lawyer or to the incapacity of a Lawyer.

(2) Investigate all information coming to the attention of the OPC which, if true, would be grounds for discipline or transfer to disability status, and investigate all facts pertaining to petitions for reinstatement or relicensure.

(3) Choose to dismiss, decline to prosecute, refer nonfrivolous and substantial Complaints to the Committee for hearing, or petition the district court for interim discipline or for transfer to disability status.

(4) Prosecute before the screening panels, the district courts, the Supreme Court, and any other courts, including but not limited to, any court of the United States all disciplinary cases and proceedings for transfer to or from disability status.

(5) Attend the Character and Fitness Committee proceedings in all cases for relicensure, and represent the OPC before the district courts, Supreme Court, and any other courts including, but not limited to, any court of the United States in all cases for reinstatement and relicensure.

(6) Appoint and supervise staff needed for the performance of prosecutorial functions and delegate such responsibilities as may be reasonably necessary to perform the OPC’s prosecutorial functions.

(7) Notify each jurisdiction in which a Respondent is licensed of a transfer to disability status or any public discipline imposed in Utah.

(8) Seek reciprocal discipline where appropriate when informed of any public discipline imposed by another court, another jurisdiction, or a regulatory body having disciplinary jurisdiction.

(9) Forward a certified copy of the judgment of conviction to the disciplinary agency in each jurisdiction in which a Lawyer is licensed when the Lawyer is convicted of a crime in Utah which reflects adversely on the Lawyer’s honesty, trustworthiness, or fitness as a Lawyer.

(10) Maintain records of discipline and disability matters subject to any expungement requirements and compile statistics to aid in the administration of the system, including but not limited to, a log of all Complaints received, investigative files, statistical summaries of rules violated and dispositions, any transcripts of proceedings, and other records as the Supreme Court requires to be maintained.

(11) Provide informal guidance concerning professional conduct to Lawyers through seminars that will promote ethical conduct, formulate diversionary programs, monitor probations, and disseminate disciplinary results to the Bar and the public through the Utah Bar Journal and otherwise as appropriate while maintaining the confidentiality of Respondents subject to private discipline.

(a) Effect of ethics advisory opinions. The OPC may not prosecute a Utah Lawyer for conduct that complies with an ethics advisory opinion that has not been withdrawn at the time of the conduct in question. No court is bound by an ethics opinion’s interpretation of the Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct.

(b) Reviewing, modifying, or withdrawing ethics advisory opinions.

(1) The OPC may at any time request the Bar’s Ethics Advisory Opinion Committee to review, modify, or withdraw an ethics advisory opinion and any OPC investigation or prosecution is suspended pending the final outcome of the request. The Ethics Advisory Opinion Committee may issue a modified opinion, withdraw the opinion, or decline to take any action but will report its action or recommendation to the Bar Commission and the Commission will take such final action as it deems appropriate.

(2) The OPC may also request the Supreme Court to review, affirm, reverse, or otherwise modify an ethics advisory opinion.

(a) Power to subpoena. The OPC may request that the Committee chair approve serving on a Respondent or third party a subpoena to produce documents, electronically stored information, or tangible things in the possession, custody, or control of that person.

(b) Requesting a subpoena. The OPC must file a written request with the Committee chair for a subpoena and attach a copy of the proposed subpoena. The OPC must mail or email a copy of the request and proposed subpoena to the Respondent’s address according to the Bar’s records. The request must describe the purpose for seeking the subpoena. Any objections to the request must be filed with the chair within seven days after the subpoena request is sent. Within seven business days after the time for filing an objection expires, the Committee chair will grant or deny the subpoena request, without a hearing, based on weighing:

(1) the materiality and necessity of the requested documents, electronically stored information, or tangible things; and

(2) the burden to the custodian of producing the documents, electronically stored information, or tangible things.

(c) Serving the subpoena. If the Committee chair grants the request, the OPC may sign and serve the subpoena in accordance with Rule 45 of the Utah Rules of Civil Procedure.

(d) Costs. Costs are reimbursed by the OPC as provided under Rule 45 of the Utah Rules of Civil Procedure.

(e) Quashing or enforcing a subpoena. A district court in the district in which the attendance or production is being sought may, upon proper application, quash the subpoena, or enforce the production of any documents subpoenaed as provided for in Rule 45 of the Utah Rules of Civil Procedure. Any resulting order is not appealable before the entry of a final order in the disciplinary proceeding.

(a) No imposed discipline. After three years, the OPC must destroy all records or other evidence of the existence of Complaints that the OPC dismisses or declines to prosecute.

(1) Exception. On the OPC’s application, notice to Respondent, and a showing of good cause, the Oversight Committee may permit the OPC to retain such records for one additional period of time not to exceed three years.

(2) Effect of no imposed discipline. After a file or electronic record related to a Complaint that the OPC dismisses or declines to prosecute has been destroyed, any OPC response to an inquiry requiring a reference to the matter must state that there is no record of such matter. The Respondent may answer any inquiry requiring a reference to such matter by stating that no Complaint was made.

(b) Discipline and disability. The OPC must retain for 30 years all records or other evidence of the existence of Complaints that resulted in public reprimand, suspension, delicensure, resignation with discipline pending, admonition, disability, and probation running from the date the discipline expired.

(c) Disciplinary history letters. The OPC must retain for three years all records of disciplinary history letters, running from the date of the letter.

(a) Filing. The OPC or any person may initiate a disciplinary proceeding against any Lawyer by filing a written Complaint in concise language setting forth the acts or omissions claimed to constitute unprofessional conduct.

(1) If an individual initiates the Complaint, filing is complete when the Complaint is delivered to the OPC office in hard copy or electronic form, or through the OPC’s website at opcutah.org.

(2) If the OPC initiates the Complaint, filing is complete when the OPC delivers the Complaint to the Lawyer in hard copy or electronic form.

(b) Complaint form. The Complaint need not be in any particular form or class and may be by letter or other informal writing, although the OPC may provide a form to standardize the format. The Complaint need not recite disciplinary rules, ethical canons, or a prayer requesting specific disciplinary action. The Complainant must sign the Complaint and include the Complainant’s address and may list the names and addresses of other witnesses. The Complaint must contain an unsworn declaration as to the accuracy of the information in the Complaint. Complaints filed by the OPC are not required to contain such a declaration. A Complaint’s substance prevails over the form.

(c) Initial investigation. Upon receiving a Complaint, the OPC will conduct a preliminary investigation to ascertain whether the Complaint’s allegations are sufficiently clear. If the allegations are not sufficiently clear, the OPC will seek additional facts from the Complainant, who must, upon the OPC’s request, submit documents or writings containing any additional facts. Within three months after filing a Complaint, the OPC must advise the Complainant concerning the initial investigation of the Complaint.

(d) Referral to Professionalism and Civility Counseling Board. The OPC may—in connection with any conduct that comes to its attention—refer any matter to the Professionalism and Civility Counseling Board established under Rule14-303. Such referral may be in addition to or in lieu of any further proceedings related to the subject matter of the referral. Such referral should be in writing and—at the discretion of the OPC—may include any or all information included in the Complaint or additional facts submitted by the Complainant.

(e) Notice to Respondent. Upon completing the preliminary investigation, the OPC will determine whether the Complaint can be resolved in the public interest, the Respondent’s interest, and the Complainant’s interest. If the Complaint cannot be resolved or if it alleges facts that, by their very nature, should be brought before the screening panel, or if good cause otherwise exists to bring the matter before the screening panel, the OPC must:

(1) serve the Respondent with a Notice identifying with particularity the possible violation(s) of the Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct raised by the Complaint as the OPC has preliminarily determined;

(2) attach a copy of the signed Complaint; and

(3) mail the documents to the Respondent’s address as reflected in the Bar’s records.

(f) Answer to Complaint. Within 21 days after the Respondent is served with the Complaint and Notice, the Respondent must file with the OPC a signed, written answer explaining the facts surrounding the Complaint, together with all defenses and responses to the claims of possible misconduct. For good cause, the OPC may extend the time for filing an answer not to exceed an additional 28 days. When the answer is filed or if the Respondent fails to respond, the OPC will refer the case to a screening panel to make a determination or recommendation. The OPC must forward a copy of the answer to the Complainant.

(g) Dismissing the Complaint.

(1) Reasons for dismissal. The OPC may dismiss a Complaint without referral to a screening panel hearing if the OPC determines the Complaint is:

(A) frivolous, unintelligible, unsupported by fact, or fails to raise probable cause of any unprofessional misconduct;

(B) barred by the statute of limitations;

(C) more adequately addressed in another forum; or

(D) one in which the OPC declines to prosecute.

(2) Notification and appeal.

(A) When the OPC dismisses a Complaint, it must:

(i) notify the Complainant and the Respondent that the OPC has dismissed the Complaint;

(ii) state the reasons for dismissal; and

(iii) include a notice of the Complainant’s right to appeal an OPC decision to the Committee chair.

(B) The Complainant may appeal the dismissal by filing an appeal with the Committee clerk and serving a copy of the appeal on the OPC within 21 days after the dismissal notification is mailed.

(C) On appeal, the Committee chair or a vice chair will conduct a de novo review of the file, either affirm the dismissal or require the OPC to prepare a Notice (if necessary), and set the matter for hearing by a screening panel. If the chair recuses, the chair will appoint the vice chair or one of the screening panel chairs to review and determine the appeal.

(a) Review. Screening panels will review all Complaints the OPC refers to them, including all facts developed in the Complaint, the answer, the contents of the file, and the hearing, and including the OPC’s recommendations.

(b) OPC’s summary and Notice of additional alleged violations. Before any screening panel hearing, the OPC may file with the clerk and serve on the Respondent a summary of its investigation. If the OPC has determined, after serving Respondent with the Notice, that the Respondent may have violated any additional Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct, then the summary must identify with particularity all such additional alleged violations. The summary will serve as Notice of any additional violations the OPC did not previously charge. If the OPC provides a summary to the screening panel, the OPC must also provide the summary to the Respondent. If the OPC alleges additional rule violations in the summary, the summary must be served on the Respondent at least 14 days before the hearing. In cases where a judicial officer has not addressed or reported a Respondent’s alleged misconduct, the screening panel may not consider this inaction to be evidence either that misconduct has occurred or has not occurred.

(c) Respondent’s appearance. The screening panel must, with at least 28 days’ notice, afford the Respondent an opportunity to appear before the screening panel before taking any action that may result in recommending an admonition or public reprimand, or the OPC’s filing of an Action. Respondent and any witnesses the Respondent calls may testify, and Respondent may present oral argument with respect to the Complaint.

(d) Respondent’s brief. Respondent may submit a written brief to the screening panel and serve a copy on the OPC at least 7 days before the hearing, which may not exceed 10 pages unless the panel chair or vice chair allows an extension for good cause. The OPC will forward a copy of the brief to the Complainant.

(e) Complainant’s appearance. A Complainant has the right to appear before the screening panel personally and may testify, together with any witnesses the Complainant calls.

(f) Right to hear evidence; cross-examination. The Complainant and Respondent have the right to be present during presentation of evidence unless excluded by the screening panel chair for good cause. Respondent may be represented by counsel, and Complainant may be represented by counsel or another representative. Either Complainant or Respondent may request that the panel chair seek responses or pose questions to the other party at the hearing. Direct cross-examination will ordinarily not be permitted unless, upon request, the panel chair deems that it would materially assist the panel in its deliberations.

(g) Rule violations not charged by the OPC. During the screening panel hearing, but not after, the panel may find that rule violations have occurred not previously charged by the OPC. If so, the screening panel will give Respondent a reasonable opportunity to respond during the hearing. The Respondent may address the additional charges at the hearing and may file with the Committee clerk and serve on the OPC within two business days of the hearing a written response to the new charges along with supplemental materials related to the new charges. Before making a determination or recommendation, the response and any supplemental materials must be reviewed and considered by the panel members present at the original hearing.

(h) Hearing record. The proceedings of any screening panel hearing under this rule will be recorded at an audio quality level that permits an accurate transcription of the proceedings. The clerk will assemble and deliver to the Committee chair a complete record of the proceedings upon the panel’s determination or recommendation to the Committee chair. The record of the proceedings before the panel must be preserved for at least one year after delivery of the panel’s determination or recommendation to the Committee chair and for such additional time as any further proceedings on the matter are pending or might be instituted under this rule.

(i) Screening panel determination or recommendation. After reviewing all the facts developed by the Complaint, answer, investigation, and hearing, the screening panel will make one of the following determinations or recommendations:

(1) The preponderance of evidence does not establish that the Respondent engaged in misconduct, in which case the screening panel will dismiss the Complaint. A letter of caution may also be issued with the dismissal. The letter must be signed by the screening panel chair or vice chair and will serve as a guide for the future conduct of the Respondent. The Complainant will be confidentially notified of the caution;

(2) The Complaint must be referred to the Professionalism and Civility Counseling Board established under Rule 14-303;

(3) The Complaint must be referred to the Committee chair with an accompanying screening panel recommendation that the Respondent be admonished;

(4) The Complaint must be referred to the Committee chair with an accompanying screening panel recommendation that the Respondent receive a public reprimand;

(5) The OPC must file an Action against the Respondent if the panel finds probable cause to believe there are grounds for public discipline that merit an Action; or

(6) The OPC must file an Action if the panel finds misconduct and the misconduct is similar to the misconduct alleged in an Action against the Respondent that has been recommended by a screening panel or is pending in district court at the time of the hearing.

(j) Aggravation and mitigation. The Respondent and the OPC may present evidence and argument as to mitigating and aggravating circumstances during the screening panel hearing, but this evidence will not be considered unless the panel has determined the Respondent engaged in misconduct.

(k) Multiple cases involving the same Respondent. More than one case involving the same Respondent may be scheduled before the same panel, but in determining whether a rule has been violated in one case, only the factual allegations in that case may be considered.

(l) Recommendation of admonition or public reprimand. A screening panel recommendation that the Respondent be disciplined under paragraph (i)(3) or (i)(4) must be in writing and state the substance and nature of the Complaint and defenses and the basis upon which the screening panel has concluded, by a preponderance of the evidence, that the Respondent be admonished or publicly reprimanded. The screening panel must deliver copies of the recommendation to the Committee chair, Respondent, and the OPC.

(a) Time to file. Within 28 days of the date of service of the screening panel’s determination or recommendation:

(1) the OPC may file an exception to the determination or recommendation and may request a hearing, and Respondent will have 28 days to respond, and

(2) the Respondent may file an exception to the determination or recommendation and may request a hearing, and the OPC will have 28 days to respond.

(b) Reply. The Committee chair may allow a reply to any response.

(c) Actions. No exception may be filed to a screening panel determination that an Action will be filed against a Respondent.

(d) Requirements. All exceptions must include a memorandum, not exceeding 20 pages, stating the grounds for review, the relief requested, and the bases in law or in fact for the exceptions. All exceptions, responses, and replies must be filed with the Committee clerk.

(e) Procedure on exceptions.

(1) Hearing not requested. If no hearing is requested, the Committee chair will review the record compiled before the screening panel.

(2) Hearing requested. If a request for a hearing is made, the Committee chair or a screening panel chair designated by the Committee chair will serve as the Exceptions Officer and hear the matter in an expeditious manner, with OPC Counsel and the Respondent having the opportunity to be present and give an oral presentation. The Complainant need not appear personally.

(3) Transcript Request. Upon request, the Committee chair must extend the deadlines for filing exceptions or responses no more than 60 days to allow a party time to obtain a transcript of the screening panel proceedings, so long as the audio or video recording is requested within 28 days. The requesting party will bear the costs of such transcript and must file the transcript with the Committee clerk at the time of or before filing an exception or response, together with an unsworn declaration establishing the transcript’s chain of custody.

(4) Burden of proof. The party who files an exception has the burden of showing that the determination or recommendation of the screening panel is unsupported by substantial evidence or is arbitrary, capricious, legally insufficient, or otherwise clearly erroneous.

(5) Record on exceptions. The proceedings of any hearing on an exception must be recorded at a level of audio quality that permits an accurate transcription of the proceedings.

(a) Testimony. All testimony given before a screening panel or the Exceptions Officer must be under oath.

(b) Service. To the extent applicable, the Utah Rules of Civil Procedure govern the service or filing of documents.

(c) Abeyance of disciplinary proceedings. A disciplinary proceeding may be held in abeyance by the Committee chair at any time before a screening panel hearing, when the allegations or the Complaint contain matters of substantial similarity to the material allegations of pending criminal or civil litigation in which the Respondent is involved. Requests for abeyance and requests to remove proceedings from abeyance must be filed with the Committee clerk.

(a) Final, written determination. Either upon completing the exception procedure under Rule 11-532 or if no exception has been filed, the Committee chair will review the screening panel’s findings and recommendations and will prepare the order to execute those findings and recommendations. The Committee chair may not make changes to screening panel findings and recommendations, other than changes needed for clarity. If no exception is filed, the Committee chair need not issue a final, written determination for a dismissal or a dismissal with a letter of caution.

(b) Public reprimand. If the screening panel recommends a public reprimand, the Respondent may, within 28 days, file an exception in accordance with Rule 11-532, or elect a trial de novo with the district court by notifying the Committee chair, who will authorize the Action in accordance with Rule 11-536.

(a) Within 28 days after the Committee chair serves a final, written disposition, the Respondent or the OPC may appeal the disposition to the Supreme Court and ask the Court to reverse or modify the final Committee disposition. An appeal under this rule is only available in cases where exceptions have been filed. Until the time for filing an appeal expires, dissemination of disciplinary information will be automatically stayed. If a timely appeal is filed, the stay will remain in place pending the Supreme Court’s resolution unless the Court orders otherwise.

(b) An appeal under this rule will be subject to the procedures set forth in Title III of the Utah Rules of Appellate Procedure. Documents submitted under this rule must conform to the requirements of Rules 27(a) and 27(b) of the Utah Rules of Appellate Procedure.

(c) A party requesting a transcript of the record below will bear the costs. The party obtaining the transcript must file it with the appellate clerk, together with an unsworn declaration establishing the transcript’s chain of custody.

(d) The Supreme Court will conduct a review of the matter on the record.

(e) The party requesting review has the burden of demonstrating that the Committee action was:

(1) based on a determination of fact not supported by substantial evidence when viewed in light of the whole record before the Court;

(2) an abuse of discretion;

(3) arbitrary or capricious; or

(4) contrary to Chapter 11, Article 5 of the Supreme Court Rules of Professional Practice.

(a) Commencing an Action. If the screening panel finds probable cause to believe there are grounds for public discipline that merit filing an Action, the OPC will file an Action in district court. The Committee chair must be given notice of the screening panel recommendation and a copy of the pleadings.

(b) Venue. The Action must be brought:

(1) in the county in which an alleged offense occurred; or

(2) in the county where the Respondent resides, practices law, or last practiced law in Utah; provided, however, that if the Respondent is not a resident of Utah and the alleged offense is not committed in Utah, the Action must be brought in a county designated by the Chief Justice of the Supreme Court.

(c) Style of proceedings. All proceedings instituted by the OPC must be classd: “In the Matter of the Discipline of (Respondent’s name and Bar number), Respondent.”

(d) Actions tried to the bench; findings and conclusions. All Actions tried according to this article will be tried to the bench, and the district court will enter findings of fact and conclusions of law. Neither masters nor commissioners may be used.

(e) Sanctions hearing. If the district court finds misconduct, it will hold a hearing to receive relevant evidence in aggravation and mitigation, and will enter an order sanctioning the Respondent. Upon reasonable notice to the parties, the court, at its discretion, may hold the sanctions hearing immediately after the misconduct proceeding.

(f) Review. Either the OPC or the Respondent may appeal the discipline order to the Supreme Court.

(a) Failure to answer. If having received actual notice of the charges filed, the Respondent fails to answer the charges within 21 days, the Respondent will be deemed to have admitted the factual allegations.

(b) Failure to appear. If the Committee orders the Respondent to appear and the Respondent, having received actual notice of that order, fails to appear, the Respondent will be deemed to have admitted the factual allegations which were the subject of such appearance. The Committee may not, absent good cause, continue or delay proceedings because of the Respondent’s failure to appear.

(c) Notice of consequences. Any notice within the scope of paragraph (a) or (b) above must expressly state the consequences, as specified above, of the Respondent’s failure to answer or appear.

(a) Protective appointment of trustee. If a Lawyer has died or cannot be located, or if a Respondent has been suspended, delicensed, or transferred to disability status, and if there is evidence that the Lawyer or Respondent has not complied with the provisions of Rule 11-570 and no partner, executor, or other responsible party capable of conducting the Lawyer’s or Respondent’s affairs is known to exist, a district judge of the judicial district in which the Lawyer or Respondent maintained a principal office may, on the OPC’s request, appoint a trustee to inventory the Lawyer’s or Respondent’s files, notify the Lawyer’s or Respondent’s clients, distribute the files to the clients, return unearned fees and other funds, and take any additional action the judge authorizes.

(b) Confidentiality. No attorney-client relationship exists between the client and the trustee except to the extent necessary to maintain and preserve the client’s confidentiality. The trustee may not disclose any information contained in the files so inventoried without the consent of the client to whom such files relate, except as necessary to carry out the court’s order making the appointment.

(c) Immunity. Any person appointed as a trustee has the immunity granted by Rule 11-540.

(a) Assessment. The prevailing party in an Action may be awarded judgment for costs in accordance with Rule 54(d) of the Utah Rules of Civil Procedure.

(b) Offer of discipline by consent. The OPC will not be deemed to have prevailed in the Action on any count of the complaint unless the sanction imposed exceeds any sanction to which the Respondent conditionally consented under Rule 11-565 before the hearing.

(c) Disability cases. Costs will not be awarded in disability cases except pursuant to paragraph (d).

(d) Trusteeship. Court-appointed trustees, including the OPC in cases in which it is appointed the trustee, may collect costs for notifying the Respondent’s clients, including charges for copying, postage, publication, and fees from money collected.

Participants in proceedings conducted under this article are entitled to the same protections for statements made in the course of the proceedings as participants in judicial proceedings. Except as provided in Utah Rules of Civil Procedure 65A and 65B, the district courts, Committee members, special counsel appointed pursuant to Rule 11-542, supervising attorneys engaged in pro bono assistance, trustees appointed pursuant to Rule 11-538, and OPC Counsel and staff will be immune from suit, for any conduct committed in the course of their official duties, including the investigatory stage. There is no immunity from civil suit for intentional misconduct.

Documents filed in an Action must be served on Respondent in accordance with the Utah Rules of Civil Procedure.

(a) Governing rules. Unless otherwise provided in this article, the Utah Rules of Civil Procedure, Utah Rules of Appellate Procedure, and Utah Rules of Evidence apply in Actions.

(b) Standard of proof. A misconduct Action, petition for reinstatement and relicensure, and petition for transfer to and from disability status will be established by a preponderance of the evidence. A motion for interim discipline under Rule 11-563 will also be established by a preponderance of the evidence.

(c) Burden of proof. The OPC carries the burden of proof in discipline proceedings and transfers to disability status. The Respondent carries the burden of proof in seeking a reversal of a screening panel recommendation of discipline, reinstatement, relicensure, or transfer from disability status.

(d) Related pending litigation. Either party may request a stay of an Action because of substantial similarity to the material allegations of a pending criminal, civil, or disciplinary Action.

(e) The Complainant’s actions. An Action will not be abated due to:

(1) the Complainant’s unwillingness to prosecute a Complaint;

(2) settlement or compromise between the Complainant and the Respondent; or

(3) restitution by the Respondent.

(f) Complaints against OPC Counsel, Committee members, the Bar Commission, or Lawyers employed by the Bar. The Committee chair will assign a screening panel any Complaint filed against OPC Counsel, a Committee member, a Bar Commission member, or a Lawyer employed by the Utah State Bar. The assigned panel chair will review the Complaint and any additional material that the screening panel chair asks the Respondent to provide.

(1) A Complaint will be dismissed without hearing by a screening panel if, after considering all factors, the chair determines the Complaint is:

(A) frivolous or unintelligible;

(B) barred by the statute of limitations;

(C) being or should have been addressed in another more appropriate forum; or

(D) unsupported by fact or does not raise probable cause of any unprofessional conduct.

(2) The screening panel chair must notify the Complainant of the dismissal and the reasons for dismissal.

(3) The Complainant may appeal the screening panel chair’s dismissal to the Committee chair within 21 days after notification of the dismissal is mailed.

(4) Upon appeal, the Committee chair must conduct a de novo review of the file, and either affirm or reverse the dismissal.

(5) If the screening panel chair determines not to dismiss the Complaint, or the Committee chair reverses the dismissal on appeal, the Committee chair must request that the Supreme Court appoint a special counsel to present the case, and if necessary, a special screening panel. In all other respects, the matter will proceed in accordance with this article. Special counsel must be a lawyer outside of the OPC appointed by the Supreme Court to act as counsel for investigation and prosecution of the Complaint. Special counsel must notify the OPC of the results of the investigation.

(a) Referral to diversion. In a matter involving less serious misconduct under Rule 11-551, upon receiving a Complaint and beforethe matter is submitted to a screening panel, the Respondent may have the option of electing to have the matter referred to diversion, the appropriateness of which the OPC will determine.

(b) Authority and responsibility. The OPC may negotiate and execute diversion contracts, assign monitoring to a Lawyer or assistance program, determine if the Lawyer complied with the diversion contract, determine if the Lawyer fulfilled or materially breached the diversion contract, and adopt such policies and procedures as may be appropriate to accomplish its duties. The OPC has authority to establish committees of volunteer attorneys and other professionals for the specific purpose of monitoring the compliance of any attorney under diversion and reporting compliance to the OPC.

(c) Notice to Complainant. The OPC will notify the Complainant, if any, of the proposed decision to refer the Respondent to diversion, and the Complainant may submit written comments. The Complainant will be notified when the Complaint is diverted and when the Complaint is dismissed. All notices will be sent to the Complainant’s address according to the OPC’s records. Such decision to divert or dismiss is not appealable.

(d) Effect of not participating in diversion. The Respondent has the right to decline to participate in diversion. If the Respondent chooses not to participate in diversion, the matter proceeds under these rules.

(a) Prohibited misconduct. Conduct may only be considered less serious misconduct warranting diversion if it does not result in a suspension or delicensure. Conduct is not ordinarily considered less serious misconduct if any of the following considerations apply:

(1) the misconduct involves the misappropriation of client funds;

(2) the misconduct results in or is likely to result in substantial prejudice to a client or other person, absent adequate provisions for restitution;

(3) the Respondent has been sanctioned in the last three years;

(4) the misconduct is of the same nature as misconduct for which the Respondent has been sanctioned in the last three years;

(5) the misconduct involves dishonesty, deceit, fraud, or misrepresentation;

(6) the misconduct constitutes a substantial threat of irreparable harm to the public; a felony; or a misdemeanor which reflects adversely on the Respondent’s honesty, trustworthiness or fitness as a Lawyer; or

(7) the misconduct is part of a pattern of similar misconduct.

(b) Factors for consideration. The OPC considers these factors in negotiating and executing the diversion contract:

(1) whether in the OPC’s opinion, the presumptive sanction that would be imposed is likely to be no more severe than a public reprimand or private admonition;

(2) whether participating in diversion is likely to improve the Respondent’s future professional conduct and accomplish the goals of Lawyer discipline;

(3) whether aggravating or mitigating factors exist; and

(4) whether diversion was already tried.

(a) Contract requirements.

(1) If the Respondent agrees or elects to participate in diversion, the terms of the diversion must be set forth in a written contract. The contract will be between the Respondent and the OPC.

(2) The OPC must monitor and supervise the conditions of diversion and the terms of the diversion contract.

(3) The contract must specify the program(s) to which the attorney will be diverted, the general purpose of the diversion, the manner in which compliance is to be monitored, and any requirement for payment of restitution or cost.

(4) The Respondent will bear the burden of drafting and submitting the proposed diversion contract. Respondent may use counsel to assist in the negotiation phase of diversion. Respondent may also request that the OPC draft the proposed diversion contract.

(5) Respondent may also use benefits programs provided by the Bar, such as a lawyer or licensed paralegal practitioner assistance program to assist in developing terms and conditions for the diversion contract appropriate to that Respondent’s particular situation. Use of a lawyer or licensed paralegal practitioner assistance program to assess appropriate conditions for diversion will not conflict that entity from providing services under the contract.

(6) The terms of each contract must be specifically tailored to the Respondent’s individual circumstances. The contract is confidential and its terms may not be disclosed to anyone other than the parties to the contract.

(b) Contract terms. All diversion contracts must contain at least:

(1) the signatures of respondent, Respondent’s counsel (if any), and the OPC;

(2) the terms and conditions of the plan for Respondent and, the identity, if appropriate, of any service provider, mentor, monitor and/or supervisor and that individual’s specific responsibilities. If Respondent uses a professional or service, and it is necessary to disclose confidential information, Respondent must sign a limited conditional waiver of confidentiality permitting the professional or service to make the necessary disclosures for the Respondent to fulfill the Respondent’s duties under the contract;

(3) the necessary terms providing for oversight of fulfilling the contract terms, including provisions for those involved to report any alleged breach of the contract to the OPC;

(4) the necessary terms providing that Respondent will pay all costs incurred in connection with the contract and those costs further specified under Rule 11-555 and any costs associated with the Complaints to be deferred; and

(5) a specific acknowledgement that a material violation of a contract term renders the Respondent’s participation in diversion voidable by the OPC.

(c) Amendments.The contract may be amended if the Respondent and the OPC agree.

(d) Status of complaint. After a diversion contract is executed by the Respondent, the Complaint is deferred pending successful completion of the contract.

(a) Diversion may require the Respondent’s participation in one or more of the following:

(1) fee arbitration;

(2) mediation;

(3) law office management assistance;

(4) lawyer or licensed paralegal practitioner assistance programs;

(5) psychological and behavioral counseling;

(6) monitoring;

(7) restitution;

(8) continuing legal education programs including, but not limited to, ethics school; or

(9) any other program or corrective course of action to address the Respondent’s conduct.

(a) Fulfilling the contract. The contract terminates when the Respondent fulfills the contract terms and gives the OPC an unsworn declaration demonstrating fulfillment. Upon receiving the unsworn declaration, the OPC must acknowledge receipt and dismiss any Complaint(s) deferred pending successful completion of the contract or notify the Respondent that fulfillment of the contract is terminated based on an OPC claim of material breach. Determinations under this rule are not subject to further review and are not reviewable in any proceeding. Successfully completing the contract is a bar to any further disciplinary proceedings based on the same allegations and successfully completing diversion may not constitute a form of discipline.

(b) Material breach. Materially breaching the contract is cause for terminating the contract. After a material breach, the OPC must notify the Respondent of the alleged breach and intent to terminate the diversion. Thereafter, disciplinary proceedings may be instituted, resumed, or reinstated.

Respondent must pay an initial fee of $250 upon entering diversion, and a monthly fee of $50 during diversion, unless the contract specifies otherwise. All such fees are payable to the Bar’s general fund.

It constitutes a ground for discipline for a Lawyer to:

(a) violate these rules, the Rules of Professional Conduct, or the Licensed Paralegal Practitioner Rules of Professional Conduct;

(b) violate a valid court or Committee order imposing discipline;

(c) be publicly disciplined in another jurisdiction;

(d) fail to comply with the requirements of Rule 11-570; or

(e) fail to notify the OPC of public discipline in another jurisdiction in accordance with Rule 11-567(a).

(a) Confidentiality. Before the OPC initiates an Action or publishes notice of a public reprimand, OPC Counsel, OPC staff, the Committee, Committee volunteers, Committee staff, Committee employees, special counsel appointed pursuant to Rule 11-542, and special counsel employees or assistants, must keep the proceeding confidential, but the OPC may disclose the pendency, subject matter, and status of an investigation if the proceeding is based on allegations disseminated through the mass media, or include either the conviction of a crime or reciprocal public discipline. The proceeding is not confidential to the extent:

(1) the Respondent has given an express written waiver of confidentiality;

(2) there is a need to notify another person or organization—including the Bar’s Lawyer’s Fund for Client Protection or Licensed Paralegal Practitioners’ Fund for Client Protection—to protect the public, the administration of justice, or the legal profession;

(3) the information is required in a subsequent Lawyer sanctions hearing; or

(4) a referral is made to the Professionalism and Civility Counseling Board, in which event OPC Counsel, Committee members, screening panel members, and Professionalism and Civility Counseling Board members may share all information between and among them with the expectation that such information will in all other respects be subject to applicable confidentiality rules or exceptions.

(b) Public proceedings. Upon filing an Action or a petition for reinstatement or relicensure, the proceedings are public, except as provided in paragraph (d) below.

(c) Proceedings alleging disability. Proceedings for transfer to or from disability status are confidential. All orders transferring a Respondent to or from disability status are public.

(d) Protective order. To protect the interest of a Complainant, witness, third party, or Respondent, the district court may, on any person’s request and for good cause, issue a protective order prohibiting the disclosure of specific information and direct that the proceedings be conducted so as to implement the order, including requiring that the hearing be conducted in such a way as to preserve the confidentiality of the information that is the subject of the application.

(e) Request for nonpublic information. Nonpublic information is confidential, other than as authorized for disclosure under paragraph (a), unless the request for information is approved by the OPC and the requestor complies with paragraphs (f) and (g).

(f) Notice to the Respondent. Except as provided in paragraph (g), if the Committee decides to provide nonpublic information requested pursuant to paragraph (e), and if the Respondent has not signed an express written waiver permitting the party requesting the information to obtain the nonpublic information, the Respondent must be notified in writing at the Respondent’s mailing address as shown by Bar records of the information that has been requested and by whom, together with a copy of the information proposed to be released. The notice must advise the Respondent that the information will be released 21 days after the notice’s mailing unless the Respondent objects to the disclosure. If the Respondent timely objects to the disclosure, the information must remain confidential unless the requesting party obtains a court order authorizing its release.

(g) Release without notice. If a requesting party as outlined in paragraph (e) has not obtained an express written waiver from the Respondent to obtain nonpublic information, and requests that the information be released without giving notice to the Respondent, the requesting party must certify that:

(1) the request will further an ongoing investigation into the Respondent’s misconduct;

(2) the information is essential to that investigation; and

(3) disclosing the existence of the investigation to the Respondent would seriously prejudice that investigation.

(h) Disclosure without notice. The OPC may disclose nonpublic information without notice to the Respondent if:

(1) disclosure furthers an ongoing OPC investigation into the Respondent’s misconduct; and

(2) disclosure is essential to that investigation.

(i) Participants’ duty. OPC Counsel, OPC staff, the Committee, Committee volunteers, Committee staff, Committee employees, special counsel appointed pursuant to Rule 11-542, and special counsel employees or assistants in a proceeding under these rules must maintain confidentiality. Unless otherwise authorized, persons receiving private records under paragraph (e) will not provide access to the records to anyone else.

(a) Notice to disciplinary agencies. The OPC must send notice of public discipline, resignation with discipline pending, transfers to or from disability status, reinstatements, relicensures, and certified copies of judgments of conviction to the disciplinary enforcement agency of every other jurisdiction in which the Respondent is licensed, and to the American Bar Association’s National Lawyer Regulatory Database.

(b) Notice to the public. The OPC will publish notices of admonition, public reprimand, suspension, delicensure, resignation with discipline pending, transfer to disability status, and petitions for reinstatement or relicensure to the OPC’s website and the Utah Bar Journal.

(c) Notice to the courts. The OPC must promptly forward notices of suspension, delicensure, resignation with discipline pending, transfer to or from disability status, reinstatement, or relicensure to all Utah state courts for licensed paralegal practitioners and to both Utah state and federal courts for lawyers.

(a) Petition for interim discipline. Upon receiving sufficient evidence that a Lawyer subject to the Supreme Court’s disciplinary jurisdiction poses a threat of serious harm to the public and has either committed a violation of the Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct or is under a disability as herein defined, the OPC must file a petition for interim discipline in the district court, requesting a hearing and giving notice in accordance with Utah Rule of Civil Procedure 65A.

(1) The petition for interim discipline must be filed with the district court and served on the Respondent in accordance with Rule 4 of the Utah Rules of Civil Procedure.

(2) The district court will set a hearing within 14 days of filing the return of service showing that Respondent has been served.

(b) Immediate interim discipline. After conducting a hearing on the petition, the district court may enter an order immediately suspending the respondent, limiting the Respondent’s practice area, or requiring supervision of the Respondent pending final disposition of a disciplinary proceeding, or may order such other action as deemed appropriate.

(1) If an order is entered:

(A) the district court may appoint a trustee under Rule 11-538, to protect the interests of the Respondent’s clients; and

(B) the OPC may file an Action without presenting the matter to a screening panel.

(2) If an order for interim discipline is not obtained, the OPC must dismiss the interim Action and will process the matter as it does any other information coming to the OPC’s attention.

(c) Notice to clients. A Respondent subject to interim discipline pursuant to paragraph (b) must comply with the notice requirements in Rule 11-570 as ordered by the district court.

(d) Motion to dissolve or modify interim discipline. On 48 hours’ notice to the OPC, a Respondent suspended pursuant to paragraph (b) may appear and move to dissolve or modify the order of discipline, and such motion will be heard and determined as expeditiously as justice requires.

(a) Duty to report any finding of guilt or plea to a crime. After a finding of guilt or entry of a plea of guilty or no contest—including the entry of a plea in abeyance—for any crime, except for misdemeanor traffic offenses or traffic ordinance violations not involving the use of alcohol or drugs:

(1) The Lawyer must notify the OPC in writing of such a finding or plea within 14 days after it is entered and include the following information:

(A) name, bar number, and current address;

(B) the court in which the finding or plea was entered; and

(C) the case number in which the finding or plea was entered.

(2) The court must forward documentation that the Lawyer has been found guilty of or has entered a plea to a crime to the OPC within 28 days after the finding or plea is entered.

(b) Motion for interim suspension. On being advised that a Lawyer has been found guilty of or has entered a plea of guilty or no contest for a felony or misdemeanor that reflects adversely on the Lawyer’s honesty, trustworthiness, or fitness to practice law, the OPC must determine whether the crime warrants interim suspension. After determining that the crime warrants interim suspension, the OPC must file an Action, and concurrently file a motion for immediate interim suspension. The Respondent may assert any jurisdictional deficiency establishing that the interim suspension may not properly be ordered, such as the crime is not a felony or misdemeanor that reflects adversely on the Respondent’s honesty, trustworthiness, or fitness to practice law, or that the Respondent is not the individual who was found guilty of or had entered a plea of guilty or no contest. The Respondent is not entitled to an evidentiary hearing but may request an informal hearing, solely to determine whether the finding of guilt or plea was for a felony or misdemeanor that reflects adversely on the Respondent’s honesty, trustworthiness, or fitness to practice law. If an order for interim suspension is not obtained, the OPC must dismiss the Action and will process the matter as it does any other information coming to the OPC’s attention.

(c) Imposition. The district court will place a Respondent on interim suspension upon proof that the Respondent has been found guilty of or has entered a plea to a felony or misdemeanor that reflects adversely on the Respondent’s honesty, trustworthiness, or fitness to practice law regardless of any pending appeal.

(d) Dissolving interim suspension. Interim suspension may be dissolved as provided in Rule 11-563.

(e) Documentation as conclusive evidence. Except as provided in paragraph (b), documentation that the Respondent has been found guilty of or has entered a plea to a crime constitutes conclusive evidence that the Respondent committed the crime.

(f) Automatic reinstatement from interim suspension. If a Respondent suspended solely under paragraph (c) demonstrates that the underlying finding of guilt or plea has been reversed or vacated, the order for interim suspension will be vacated and the Respondent placed on active status. Vacating the interim suspension will not automatically terminate any disciplinary proceeding then pending against the Respondent, the disposition of which will be determined based on the available evidence other than the reversed or vacated finding of guilt or plea.

(g) Notice to clients and other of interim suspension. An interim suspension under this rule constitutes a suspension of the Respondent for the purpose of Rule 11-570.

(a) Discipline by consent before the matter is submitted to a screening panel. A Respondent against whom a Complaint has been filed may, before the matter is submitted to a screening panel, tender a proposal for discipline by consent, including a conditional admission to the Complaint or portions thereof in exchange for a disciplinary sanction and final disposition of the Complaint. The proposal must include a waiver of right to a screening panel hearing. The Respondent must submit the proposal to the OPC, who will forward the proposal to the Committee chair with a recommendation in favor of or opposed to the proposal and a statement of the basis for such recommendation. If the Committee chair approves the proposal, the sanction will be imposed as provided in this rule. If the proposal is rejected by the Committee chair, the proposal and admission will be withdrawn and cannot be used against the Respondent in subsequent proceedings.

(b) Discipline by consent after filing an Action. A Respondent against whom an Action has been filed may tender a conditional admission to the allegations in the OPC’s complaint or to a particular count thereof in exchange for a stated form of discipline and final disposition of the Action. The proposal must be submitted to the OPC, who will then forward the proposal to the district court with a recommendation favoring or opposing the proposal and a statement of the basis for such recommendation. The district court will either approve or reject the proposal. If the district court approves the proposal and the stated form of discipline includes public discipline, it will enter the appropriate disciplinary order as provided in paragraph (d). If the district court rejects the proposal, the proposal and conditional admission will be withdrawn and cannot be used against the Respondent in subsequent proceedings.

(c) Order of discipline by consent. The final order of discipline by consent will be predicated on:

(1) the Complaint and Notice if no Action has been filed;

(2) the Action, if filed;

(3) the approved proposal for discipline by consent; and

(4) an unsworn declaration of consent by the Respondent to be disciplined.

(d) Unsworn declaration of consent. A Respondent whose proposal for discipline by consent has been approved, must submit an unsworn declaration to the Committee chair or the district court as appropriate, consenting to the approved disciplinary sanction and affirming that:

(1) the consent is freely and voluntarily entered;

(2) the Respondent is not acting under coercion or duress;

(3) the Respondent is fully aware of the implications of submitting the consent;

(4) the Respondent is aware that there is presently pending an investigation into, or proceeding involving, allegations that there exist grounds for discipline, the nature of which must be specifically set forth;

(5) for purposes of disciplinary proceedings, the Respondent acknowledges that the material facts so alleged are true; and

(6) the Respondent submits consent because the Respondent knows that if the Complaint or Action were predicated on the allegations under investigation were filed, or the pending Action were prosecuted, the Respondent could not successfully defend against the charges upon which the discipline is based.

(a) A Respondent may resign by voluntarily relinquishing the Respondent’s license before a pending Complaint is adjudicated only with the Supreme Court’s consent and upon such terms as the Supreme Court may impose for the public’s protection.

(b) The Respondent must submit a petition:

(1) admitting for purposes of the disciplinary proceedings the facts upon which the allegations of misconduct are based;

(2) admitting that the facts constitute grounds for discipline;

(3) stating that the Respondent’s resignation is freely and voluntarily tendered and that it is submitted without coercion or duress;

(4) verifying that the Respondent is fully aware of the implications of submitting the resignation;

(5) acknowledging that the discipline matter, the petition, and the sanction will be available to the public and that a notice of the resignation will be published in the Utah Bar Journal;

(6) agreeing to comply with these rules, including Rule 11-570 regarding notice to clients and return of clients’ property; and

(7) agreeing to comply with other Supreme Court orders.

(c) A copy of the petition must be submitted to the OPC. The OPC may, within 21 days, object to the petition. If the OPC consents to the petition, the Supreme Court will review the petition and enter an appropriate order. If the OPC files a timely objection, the matter will be set for hearing in the district court. Within 14 days after the hearing, the district court will transmit its findings of fact and conclusions of law to the Supreme Court to review and enter an appropriate order.

(d) If the Supreme Court accepts the resignation, it will enter an order specifying the effective date of the resignation. The order may include additional or alternative terms and conditions deemed appropriate, including conditions precedent to relicensure.

(e) A Respondent whose resignation is accepted must comply with Rule 11-591 and may not apply for relicensure until five years after the effective date of the resignation unless the Supreme Court orders otherwise in its order accepting the resignation.

(a) Duty to notify the OPC of discipline or transfer to disability inactive status. When another court, jurisdiction, or regulatory body having disciplinary jurisdiction publicly disciplines or transfers to disability inactive status a Lawyer licensed to practice in Utah, such Lawyer must inform the OPC of the discipline or transfer within 28 days. If the OPC receives notification from any source that a Lawyer within the Supreme Court’s jurisdiction has been publicly disciplined or transferred to disability inactive status by any other jurisdiction, the OPC must obtain a certified copy of the disciplinary order.

(b) Serving notice on Lawyer. On receiving a certified copy of an order demonstrating that a Lawyer licensed to practice in Utah has been publicly disciplined or transferred to disability inactive status by another court, jurisdiction, or regulatory body having disciplinary jurisdiction, the OPC will issue a notice directed to the Lawyer containing:

(1) a copy of the order from the other court, jurisdiction, or regulatory body; and

(2) a notice giving the Lawyer the right to inform the OPC, within 28 days from service of the notice, of any claim by the Lawyer predicated on the grounds set forth in paragraph (d), that imposing discipline or transfer in Utah would be unwarranted and stating the reasons for that claim.

(c) Effect of stay of discipline in another jurisdiction. If the discipline or transfer imposed in the other court, jurisdiction, or regulatory body has been stayed, any reciprocal discipline or transfer imposed in Utah will be deferred until the stay expires.

(d) Discipline to be imposed.

(1) After 28 days from service of the notice under paragraph (b), the district court will take such action as may be appropriate to cause the discipline or transfer to be imposed in this jurisdiction, unless it clearly appears on the face of the record from which the discipline or transfer is predicated that:

(A) the procedure was so lacking in notice or opportunity to be heard as to constitute a deprivation of due process;

(B) imposing discipline would result in grave injustice;

(C) the misconduct warrants substantially different discipline in Utah or is not misconduct in this jurisdiction; or

(D) the reason for the original transfer to disability inactive status no longer exists.

(2) If the district court determines that any of these elements exist, it will enter such other order as it deems appropriate. The burden is on the Lawyer seeking different discipline or transfer to demonstrate that imposing discipline or transfer is not appropriate.

(e) Other jurisdictions’ final adjudications. Except as provided in paragraphs (c) and (d) above, a Respondent who has been found guilty of misconduct or is transferred to disability inactive status in a final adjudication of another court, jurisdiction, or regulatory body will establish conclusively the misconduct or the disability for purposes of a disciplinary or disability proceeding in Utah.

(a) Involuntary commitment or adjudication of incompetency. If a Lawyer has been judicially declared incompetent or is involuntarily committed on the grounds of incompetency, then upon proper proof of the fact, the OPC must file a petition with the district court for the immediate transfer of the Lawyer to disability status for an indefinite period until further order of the district court. The OPC must serve a copy of the order on the Lawyer or the Lawyer’s guardian or, if no guardian or legal representative has been appointed, on the director of the institution to which the Lawyer has been committed.

(b) Inability to properly defend. If a Lawyer alleges in the course of a disciplinary proceeding an inability to assist in the defense due to mental or physical incapacity, the district court will immediately transfer the Lawyer to disability status pending determination of the incapacity.

(1) If the district court determines the claim of inability to defend is valid, the disciplinary proceeding will be deferred and the Lawyer retained on disability status until the district court subsequently considers a petition for transfer of the Lawyer to active status. If the district court considering the petition for transfer to active status determines the petition should be granted, the interrupted disciplinary proceedings may resume.

(2) If the district court determines the claim of incapacity to defend to be invalid, the disciplinary proceeding will resume.

(c) Proceedings to determine incapacity. Information relating to a Lawyer’s physical or mental condition that adversely affects the Lawyer’s ability to practice law will be investigated, and if warranted, will be the subject of formal proceedings to determine whether the Lawyer must be transferred to disability status. Hearings will be conducted in the same manner as disciplinary proceedings, except that all of the proceedings will be confidential. The district court will provide the Lawyer with such notice of proceedings in the matter as it deems proper and advisable and may appoint counsel to represent the Lawyer if the Lawyer is without adequate representation. The district court may take or direct whatever action it deems necessary or proper to determine whether the Lawyer is so incapacitated, including designating qualified experts to examine the Lawyer. If the district court concludes that the Lawyer is incapacitated from continuing to practice law, it will enter an order transferring the Lawyer to disability status for an indefinite period and until the further order. Any pending disciplinary proceedings against the Lawyer will be held in abeyance.

(d) Reinstatement from disability status.

(1) Court order. No Lawyer transferred to disability status may resume active status except by district court order.

(2) Petition. Any Lawyer transferred to disability status is entitled to petition for transfer to active status once a year, or at whatever shorter intervals the district court may direct in the order transferring the Lawyer to disability status or any modifications thereof.

(3) Examination. Upon filing a petition for transfer to active status, the district court may take or direct whatever action it deems necessary or proper to determine whether the disability has been removed, including directing designated qualified experts to examine the Lawyer. In its discretion, the district court may direct the Lawyer to pay the examination expense.

(4) Waiver of privilege. When filing a petition for reinstatement to active status, the Lawyer will be required to disclose the name of each psychiatrist, psychologist, physician, or other health care provider and hospital or other institution by whom or in which the Lawyer has been examined or treated related to the disability since the transfer to disability status. The Lawyer must furnish written consent to each listed provider to divulge information and records relating to the disability if requested by the district court or the district court’s appointed experts.

(5) Learning in law; Bar examination. The district court may also direct that the Lawyer establish proof of competence and learning in law, which proof may include the Bar’s certification that the Lawyer has successfully completed an examination for relicensure.

(6) Granting petition for transfer to active status. The district court will grant the petition for transfer to active status on a showing by clear and convincing evidence that the disability has been removed.

(7) Judicial declaration of competence. If a Lawyer transferred to disability status on the basis of a judicial determination of incompetence is subsequently judicially declared to be competent, the district court may dispense with further evidence that the Lawyer’s disability has been removed and may immediately order the Lawyer’s reinstatement to active status upon terms as are deemed proper and advisable.

(a) Upon entering an order holding a Lawyer in contempt for the Lawyer’s noncompliance with a child support order, child visitation order, or a subpoena or order relating to a paternity or child support proceeding, a district court may suspend the Lawyer’s license to engage in the practice of law consistent with applicable law and, if suspended, will also impose conditions of reinstatement.

(b) If a district court suspends a Lawyer’s license to engage in the practice of law, the court will provide a copy of the order to the OPC.

(a) Effective date of order; winding up affairs. Each order that imposes delicensure or suspension is effective 28 days after the order’s date, or at such time as the order provides. Each order that transfers a Respondent to disability status is effective immediately, unless the order otherwise provides. After the court enters any order of delicensure, suspension, or transfer to disability status, the Respondent may not accept any new retainer or employment as a Lawyer in any new case or legal matter; except that during any period between the date an order is entered and its effective date, the Respondent may, with the consent of the client after full disclosure, wind up or complete any matters pending on the date the order is entered.

(b) Notice to clients and others. In every case in which a Respondent is delicensed or suspended for more than six months, the Respondent must, within 21 days after the order is entered, accomplish the following acts:

(1) notify each client and any co-counsel in every pending legal matter, litigation, and non-litigation, that the Respondent has been delicensed or suspended from the practice of law and is disqualified from further participation in the matter;

(2) notify each client that, in the absence of co-counsel, the client should obtain a new Lawyer, calling attention to the urgency to seek new counsel, particularly in pending litigation;

(3) deliver to every client any papers or other property to which the client is entitled or, if delivery cannot reasonably be made, make arrangements satisfactory to the client or co-counsel of a reasonable time and place where papers and other property may be obtained, calling attention to any urgency to obtain the same;

(4) refund any part of any fee paid in advance that has not been earned as of the order’s effective date;

(5) in each matter pending before a court, agency, or tribunal, notify opposing counsel or, in the absence of counsel, the adverse party, of the Respondent’s delicensure or suspension and consequent disqualification to further participate as a Lawyer in the matter;

(6) file with the court, agency, or tribunal before which any matter is pending a copy of the notice given to opposing counsel or to an adverse party; and

(7) within 14 days after the effective date of delicensure or suspension, file an unsworn declaration with the OPC showing complete performance of the foregoing requirements. The Respondent must keep and maintain for the OPC’s inspection all records of the steps taken to accomplish the requirements of this rule.

(c) Lien. Any attorney’s lien for services rendered that are not tainted by reason of delicensure or suspension may not be rendered invalid merely because of the order of discipline.

(d) Other notice. If a Respondent is suspended for six months or less, the district court may impose conditions similar to those set out in paragraph (b). In any public disciplinary matter, the district court may also require the Respondent to issue notice to others as it deems necessary to protect the interests of clients or the public.

(e) Compliance. Substantial compliance with the provisions of paragraphs (a), (b) and (d) will be a precondition for reinstatement or relicensure. Willful failure to comply with paragraphs (a), (b) and (d) constitute contempt of court and may be punished as such or by further disciplinary action.

(a) Purpose of sanctions. The purpose of imposing Lawyer sanctions is to ensure and maintain the high standard of professional conduct required of those who undertake the discharge of professional responsibilities as Lawyers, and to protect the public and the administration of justice from Lawyers who have demonstrated by their conduct that they are unable or likely to be unable to discharge properly their professional responsibilities.

(b) Public nature of sanctions. The ultimate disposition of Lawyer discipline will be public in cases of delicensure, suspension, and reprimand; and nonpublic in cases of admonition.

(c) Purpose of the sanctions rules. These rules are designed for use in imposing a sanction or sanctions following a determination that a member of the legal profession has violated a provision of the Rules of Professional Conduct orLicensed Paralegal Practitioner Rules of Professional Conduct. Descriptions in these rules of substantive disciplinary offenses are not intended to create grounds for determining culpability independent of the Rules of Professional Conduct orLicensed Paralegal Practitioner Rules of Professional Conduct. The rules constitute a system for determining sanctions, permitting flexibility and creativity in assigning sanctions in particular cases of Lawyer misconduct. The rules are designed to promote:

(1) consideration of all factors relevant to imposing the appropriate level of sanction in an individual case;

(2) consideration of the appropriate weight of such factors in light of the stated goals of Lawyer discipline; and

(3) consistency in the imposition of disciplinary sanctions for the same or similar offenses within and among jurisdictions.

(a) Scope. A disciplinary sanction is imposed on a Lawyer upon the Committee’s or the court’s finding that the Lawyer has engaged in professional misconduct.

(b) Delicensure. Delicensure terminates the individual’s status as a Lawyer. A Lawyer who has been delicensed may be relicensed.

(c) Suspension. Suspension removes a Lawyer from the practice of law for a specified minimum time, generally six months or more. In no event should the time before application for reinstatement be more than three years.

(d) Interim suspension or interim discipline. Interim suspension temporarily suspends a Lawyer from the practice of law. Interim suspension or interim discipline may be imposed as set forth in Rules 11-563 and 11-564.

(e) Reprimand. Reprimand is public discipline that declares the Lawyer’s conduct improper, but does not limit the Lawyer’s right to practice law.

(f) Admonition. Admonition is nonpublic discipline that declares the conduct of the Lawyer improper, but does not limit the Lawyer’s right to practice law.

(g) Probation. Probation allows a Lawyer to practice law under specified conditions. The Lawyer’s probationary status is public, but the terms of probation may be public or nonpublic. Probation may be imposed alone or in conjunction with other sanctions, and imposed as a condition of reinstatement or relicensure.

(1) Requirements. To be eligible for probation, a Respondent must demonstrate that:

(A) the Respondent can perform legal services and the continued practice of law will not cause the courts or the profession to fall into disrepute;

(B) the Respondent is unlikely to harm the public during probation;

(C) the necessary conditions of probation can be adequately supervised; and

(D) the Respondent has not committed acts warranting delicensure.

(2) Conditions. Probation may include the following conditions:

(A) no further violations of the Rules of Professional Conduct or Licensed Paralegal Practitioner Rules of Professional Conduct;

(B) restitution;

(C) assessment of costs;

(D) limitation on practice;

(E) requirement that the Lawyer pass the Multistate Professional Responsibility Exam;

(F) requirement that the Lawyer take continuing legal education courses;

(G) mental health counseling and treatment;

(H) abstinence from drugs and alcohol;

(I) medical evaluation and treatment;

(J) periodic reports to the court and the OPC; and

(K) monitoring of all or part of Respondent’s work by a supervising attorney.

(3) Costs. The Respondent is responsible for all costs of evaluation, treatment, and supervision. Failing to pay these costs before probation terminates is a violation of probation.

(4) Terminating probation. A Respondent may terminate probation by filing with the district court and serving on the OPC an unsworn declaration stating that the Respondent has fully complied with the requirements of the probation order. The OPC may file an objection and thereafter the court will conduct a hearing.

(5) Violations. If during the period of probation, the OPC receives information that any probation term has been violated, the OPC may file a motion specifying the alleged violation and seeking to have the probation terminated. Upon filing such motion, the Respondent must have the opportunity to respond and a hearing will be held, at which time the court will determine whether to revoke probation.

(h) Diversion. Diversion is an alternative to a sanction if completed. Diversion allows a Lawyer to practice law under specified conditions. Diversion may be public or non-public.

(1) Rule 11-550 governs diversion matters before the matter is submitted to a screening panel.

(2) For an Action, the following criteria will determine the appropriateness of a diversion:

(A) The misconduct does not involve the misappropriation of funds or property; fraud, dishonesty, deceit or misrepresentation; or the commission of a misdemeanor adversely reflecting on the Lawyer’s fitness to practice law or any felony;

(B) The misconduct appears to be the result of inadequate law office management, chemical dependency, a physical or mental health condition, negligence or lack of training, education or other similar circumstance; and

(C) There appears to be a reasonable likelihood that the successful completion of a remedial program will prevent the recurrence of conduct by the attorney similar to that under consideration for diversion.

(3) In addition to the above-required criteria of (A), (B) and (C), other considerations may include whether the misconduct is a one-time act or based on a physical or mental condition beyond the Respondent’s control and whether there is sufficient evidence connecting the condition to the misconduct.

(4) Diversion determinations must include compliance conditions to address the misconduct and the time for completion.

(5) If the Lawyer completes the diversion conditions, the Action will be dismissed with prejudice.

(6) If the Lawyer does not complete the diversion conditions within the required time, the Lawyer will be subject to a suspension of six months and a day.

(i) Resignation with discipline pending. Resignation with discipline pending is a form of public discipline that allows a Respondent to resign from the practice of law while either a Complaint or Action is pending against the Respondent. Resignation with discipline pending may be imposed as set forth in Rule 11-566.

(j) Other sanctions and remedies. Other sanctions and remedies that a court may impose include:

(1) restitution;

(2) assessment of costs;

(3) limitation upon practice;

(4) appointment of a receiver;

(5) a requirement that the Lawyer take the Bar Examination or professional responsibility examination; and

(6) a requirement that the Lawyer attend continuing education courses.

(k) Reciprocal discipline. Reciprocal discipline is imposing a disciplinary sanction on a Lawyer who has been disciplined in another court, another jurisdiction, or a regulatory body having disciplinary jurisdiction.

(a) The Committee and the court must consider the following factors in imposing sanctions after a finding of Lawyer misconduct:

(1) the presumptive sanction as contained in these rules or, if there is no presumptive sanction, the appropriate sanction based on:

(A) the duty violated;

(B) the Lawyer’s mental state;

(C) the potential or actual injury caused by the Lawyer’s misconduct; and

(2) the existence of aggravating or mitigating factors.

(b) Multiple charges of misconduct.

(1) Where a Respondent is found to have committed multiple charges of misconduct, the ultimate sanction imposed must at least be consistent with the sanction for the most serious instance of misconduct among the violations, and may be greater than the sanction for the most serious misconduct.

(2) Either a pattern of misconduct or multiple instances of misconduct should be considered as aggravating factors.

(a) Failing to preserve the client’s property. The following sanctions are generally appropriate when a Lawyer fails to preserve client property in violation of Rule 1.15:

(1) Delicensure is generally appropriate when a Lawyer knowingly converts client property, with the intent to benefit the Lawyer or another, and causes serious injury or potentially serious injury to a client.

(2) Suspension is generally appropriate when a Lawyer knows or should know that the Lawyer is dealing improperly with client property and causes injury or potential injury to a client.

(3) Reprimand is generally appropriate when a Lawyer is negligent in dealing with client property and causes injury or potential injury to a client.

(4) Admonition is generally appropriate when a Lawyer is negligent in dealing with client property and causes little or no actual or potential injury to a client.

(b) Failing to preserve the client’s confidences. The following sanctions are generally appropriate when a Lawyer improperly reveals information related to representing a client in violation of Rule 1.6:

(1) Delicensure is generally appropriate when a Lawyer, with the intent to benefit the Lawyer or another, knowingly reveals information relating to representation of a client not otherwise lawfully permitted to be disclosed, and the disclosure causes serious injury or potentially serious injury to a client.

(2) Suspension is generally appropriate when a Lawyer knowingly reveals information relating to the representation of a client not otherwise lawfully permitted to be disclosed, and the disclosure causes injury or potential injury to a client.

(3) Reprimand is generally appropriate when a Lawyer negligently reveals information relating to representation of a client not otherwise lawfully permitted to be disclosed and the disclosure causes injury or potential injury to a client.

(4) Admonition is generally appropriate when a Lawyer negligently reveals information relating to representation of a client not otherwise lawfully permitted to be disclosed and the disclosure causes little or no actual or potential injury to a client.

(c) Failing to avoid conflicts of interest. The following sanctions are generally appropriate in cases involving conflicts of interest in violation of Rules1, 7, 1.8, 1.9, 1.10, 1.11, 1.12, 1.13, 3.7, 5.4(c), or 6.3:

(1) Delicensure is generally appropriate when a Lawyer, without the informed consent of client(s):

(A) engages in representation of a client knowing that the Lawyer’s interests are adverse to the client’s with the intent to benefit the Lawyer or another, and causes serious or potentially serious injury to the client;

(B) simultaneously represents clients that the Lawyer knows have adverse interests with the intent to benefit the Lawyer or another, and causes serious or potentially serious injury to a client;

(C) represents a client in a matter the Lawyer knows is substantially related to a matter in which the interests of a present or former client are materially adverse, and knowingly uses information relating to the representation of a client with the intent to benefit the Lawyer or another, and causes serious or potentially serious injury to a client.

(2) Suspension is generally appropriate when a Lawyer knows of a conflict of interest and does not fully disclose to a client the possible effect of that conflict, and causes injury or potential injury to a client.

(3) Reprimand is generally appropriate when a Lawyer is negligent in determining whether the representation of a client may be materially affected by the Lawyer’s own interests, or whether the representation will adversely affect another client, and causes injury or potential injury to a client.

(4) Admonition is generally appropriate when a Lawyer engages in an isolated instance of negligence in determining whether the representation of a client may be materially affected by the Lawyer’s own interests, or whether the representation will adversely affect another client, and causes little or no actual or potential injury to a client.

(d) Lack of diligence. The following sanctions are generally appropriate when a Lawyer fails to act with reasonable diligence and promptness in representing a client in violation of Rules 1.2(a), 1.2(b), 1.2(c), 1.2(e), 1.3, or 1.4:

(1) Delicensure is generally appropriate when a Lawyer abandons the practice of law and thereby causes serious or potentially serious injury to a client;

(2) Delicensure or suspension is generally appropriate when a Lawyer engages in a substantial pattern of neglect or knowingly fails to perform significant services for a client and thereby causes injury to a client. The appropriate sanction will depend on the nature and significance of the services and the seriousness of the injury to the client.

(3) Reprimand is generally appropriate when a Lawyer is negligent and does not act with reasonable diligence in representing a client, and thereby causes injury or potential injury to a client.

(4) Admonition is generally appropriate when a Lawyer is negligent and does not act with reasonable diligence in representing a client, and causes little or no actual or potential injury to a client.

(e) Lack of competence. The following sanctions are generally appropriate when a Lawyer fails to provide competent representation to a client in violation of Rule 1.1:

(1) Delicensure or suspension is generally appropriate when a Lawyer’s course of conduct demonstrates that the Lawyer:

(A) does not understand fundamental legal doctrines or procedures, and the Lawyer’s conduct causes injury or potential injury to a client; or

(B) substantially engages in areas of practice central to the representation of a client in which the Lawyer knows the Lawyer is not competent and thereby causes injury or potential injury to a client.

(C) the appropriate sanction under (e)(1) will depend on the scope and significance of the incompetent representation and the seriousness of the injury to the client.

(2) Reprimand is generally appropriate when a Lawyer:

(A) demonstrates failure to understand relevant legal doctrines or procedures and causes injury or potential injury to a client; or

(B) is negligent in determining whether the Lawyer is competent to handle a legal matter and causes injury or potential injury to a client.

(3) Admonition is generally appropriate when a Lawyer engages in an isolated instance of negligence in determining whether the Lawyer is competent to handle a legal matter, and causes little or no actual or potential injury to a client.

(f) Lack of candor. The following sanctions are generally appropriate in cases where a Lawyer engages in fraud, deceit, or misrepresentation directed toward a client in violation of Rules 1.5 or 8.4(c):

(1) Delicensure is generally appropriate when a Lawyer knowingly deceives a client with the intent to benefit the Lawyer or another, and causes serious or potentially serious injury to a client.

(2) Suspension is generally appropriate when a Lawyer knowingly deceives a client, and causes injury or potential injury to the client.

(3) Reprimand is generally appropriate when a Lawyer negligently fails to provide a client with accurate or complete information, and causes injury or potential injury to the client.

(4) Admonition is generally appropriate when a Lawyer engages in an isolated instance of negligence in failing to provide a client with accurate or complete information, and causes little or no actual or potential injury to the client.

(a) Failing to maintain personal integrity. The following sanctions are generally appropriate when a Lawyer commits a criminal act that reflects adversely on the Lawyer’s honesty, trustworthiness, or fitness as a Lawyer in other respects in violation of Rules 8.1, 8.4(b), or 8.4(c):

(1) Delicensure is generally appropriate when a Lawyer intentionally or knowingly engages in criminal conduct that would be a felony under applicable law and the conduct:

(A) involves dishonesty, fraud, deceit, or misrepresentation, including but not limited to theft, fraud, extortion, bribery, obstruction of justice, and false statements; or

(B) poses a serious danger to the safety of others, including but not limited to assault, homicide, kidnapping, sexual offenses, and distribution of controlled substances.

(2) Suspension is generally appropriate when a Lawyer intentionally or knowingly engages in non-felony criminal conduct that seriously adversely reflects on the Lawyer’s honesty, trustworthiness, or fitness as a Lawyer in other respects.

(3) Either reprimand or admonition is appropriate when a Lawyer engages in any other non-felony criminal conduct that adversely reflects on the Lawyer’s fitness to practice law, depending on the potential or actual injury to the public trust.

(b) Failing to adhere to the special duties of a prosecutor. The following sanctions are generally appropriate in cases involving Lawyers who violate Rule 3.8:

(1) Delicensure is generally appropriate when a Lawyer violates the special duties of a prosecutor with the intent to obtain a significant benefit or advantage for the Lawyer or another, or with the intent to cause serious or potentially serious injury to a party or to the integrity of the legal process.

(2) Suspension or reprimand is generally appropriate when a Lawyer knowingly or negligently violates the special duties of a prosecutor. The appropriate sanction will depend on the Lawyer’s mental state and the seriousness of the injury or potential injury to a party or to the integrity of the legal process.

(3) Admonition is generally appropriate when a Lawyer violates the special duties of a prosecutor in an isolated instance of negligence, and causes little or no actual or potential injury to a party or to the integrity of the legal process.

(1) Delicensure is generally appropriate when a Lawyer, with the intent to deceive the court, makes a false statement, submits a false document, or improperly withholds material information, and causes serious or potentially serious injury to a party, or causes a significant or potentially significant adverse effect on the legal proceeding.

(2) Suspension is generally appropriate when a Lawyer learns that false statements or documents have been submitted or material information improperly withheld, and takes no remedial action, and thereby causes injury or potential injury to a party to the legal proceeding, or causes an adverse or potentially adverse effect on the legal proceeding.

(3) Reprimand is generally appropriate when a Lawyer is negligent either in determining whether statements or documents are false or in taking remedial action when material information is being withheld and causes injury or potential injury to a party to the legal proceeding, or causes an adverse or potentially adverse effect on the legal proceeding.

(4) Admonition is generally appropriate when a Lawyer engages in an isolated instance of neglect in determining whether submitted statements or documents are false or in failing to disclose material information upon learning of its falsity, and causes little or no actual or potential injury to a party, or causes little or no adverse or potentially adverse effect on the legal proceeding.

(1) Delicensure is generally appropriate when a Lawyer engages in a pattern or practice of knowingly abusing the legal process with the intent to obtain a benefit for the Lawyer or another and causes serious or potentially serious injury to a party, or causes serious or potentially serious interference with a legal proceeding.

(2) Suspension or reprimand is generally appropriate when a Lawyer knowingly or negligently abuses the legal process and causes injury or potential injury to a client or a party, or causes interference or potential interference with a legal proceeding. The appropriate sanction will depend on the Lawyer’s mental state and the seriousness of the injury or potential injury to a client or a party, or the degree of interference or potential interference with a legal proceeding.

(3) Admonition is generally appropriate when a Lawyer negligently abuses the legal process in an isolated instance and causes little or no actual or potential injury to a party, or causes little or no actual or potential interference with a legal proceeding.

(1) Delicensure is generally appropriate when a Lawyer:

(A) intentionally tampers with a witness and causes serious or potentially serious injury to a party, or causes significant or potentially significant interference with the outcome of the legal proceeding;

(B) makes an ex parte communication with a judge or juror with intent to affect the outcome of the proceeding, and causes serious or potentially serious injury to a party, or causes significant or potentially significant interference with the outcome of the legal proceeding; or

(C) improperly communicates with someone in the legal system other than a witness, judge, or juror with the intent to influence or affect the outcome of the proceeding, and causes significant or potentially significant interference with the outcome of the legal proceeding.

(2) Suspension is generally appropriate when a Lawyer engages in communication with an individual in the legal system when the Lawyer knows that such communication is improper, and causes injury or potential injury to a party or causes interference or potential interference with the outcome of the legal proceeding.

(3) Reprimand is generally appropriate when a Lawyer is negligent in determining whether it is proper to engage in communication with an individual in the legal system, and causes injury or potential injury to a party or interference or potential interference with the outcome of the legal proceeding.

(4) Admonition is generally appropriate when a Lawyer engages in an isolated instance of negligence in improperly communicating with an individual in the legal system, and causes little or no: (A) actual or potential injury to a party, or (B) actual or potential interference with the outcome of the legal proceeding.

In cases including but not limited to false or misleading communication about the Lawyer or the Lawyer’s services, improper solicitation of professional employment from a prospective client, unreasonable or improper fees, unauthorized practice of law, improper withdrawal from representation, failure to respond to a lawful request for information from a disciplinary authority, or failure to report professional misconduct in violation of Rules 1.5, 1.14, 1.16, 2.1, 2.3, 5.1, 5.2, 5.3, 5.4(a), 5.4(b), 5.4(d), 5.5, 5.6, 6.2, 7.1, 8.1, and 8.3, the appropriate sanction will vary based on the Lawyer’s mental state and the potential or actual injury to a client, the public, or the legal system.

The following sanctions are generally appropriate in cases involving prior discipline.

(a) Delicensure is generally appropriate when a Lawyer:

(1) intentionally or knowingly violates the terms of a prior disciplinary order and such violation causes injury or potential injury to a client, the public, the legal system, or the profession; or

(2) has been suspended for the same or similar misconduct, and intentionally or knowingly engages in further similar acts of misconduct that cause injury or potential injury to a client, the public, the legal system, or the profession.

(b) Suspension is generally appropriate when a Lawyer has been reprimanded for the same or similar misconduct and engages in further similar acts of misconduct that cause injury or potential injury to a client, the public, the legal system, or the profession.

(c) Reprimand is generally appropriate when a Lawyer:

(1) negligently violates the terms of a prior disciplinary order and such violation causes injury or potential injury to a client, the public, the legal system, or the profession; or

(2) has received an admonition for the same or similar misconduct and engages in further similar acts of misconduct that cause injury or potential injury to a client, the public, the legal system, or the profession.

(d) An admonition is generally not an appropriate sanction when a Lawyer violates the terms of a prior disciplinary order or when a Lawyer has engaged in the same or similar misconduct in the past.

(a) Application. After the presumptive sanction has been determined, aggravating and mitigating circumstances may be considered and weighed in deciding whether departure from the presumptive sanction is warranted.

(b) Aggravating circumstances. Aggravating circumstances are any considerations or factors that may justify an increase in the degree of discipline to be imposed. Aggravating circumstances may include:

(1) prior record of discipline;

(2) dishonest or selfish motive;

(3) a pattern of misconduct;

(4) multiple offenses;

(5) obstruction of the disciplinary proceeding by intentionally failing to comply with rules or orders of the disciplinary authority;

(6) submission of false evidence, false statements, or other deceptive practices during the disciplinary process;

(7) refusal to acknowledge the wrongful nature of the misconduct involved, either to the client or to the disciplinary authority;

(8) vulnerability of victim;

(9) substantial experience in the practice of law;

(10) lack of good faith effort to make restitution or to rectify the consequences of the misconduct involved; and

(11) illegal conduct, including the use of controlled substances.

(c) Mitigating circumstances. Mitigating circumstances are any considerations or factors that may justify a reduction in the degree of discipline to be imposed. Mitigating circumstances may include:

(1) absence of a prior record of discipline;

(2) absence of a dishonest or selfish motive;

(3) personal or emotional problems;

(4) timely good faith effort to make restitution or to rectify the consequences of the misconduct involved;

(5) full and free disclosure to the client or the disciplinary authority prior to the discovery of any misconduct or cooperative attitude toward proceedings;

(6) inexperience in the practice of law;

(7) good character or reputation;

(8) physical disability;

(9) mental disability or impairment, including substance abuse when:

(A) the Respondent is affected by a substance abuse or mental disability;

(B) the substance abuse or mental disability causally contributed to the misconduct;

(C) the Respondent’s recovery from the substance abuse or mental disability is demonstrated by a meaningful and sustained period of successful rehabilitation; and

(D) the recovery arrested the misconduct and the recurrence of that misconduct is unlikely;

(10) unreasonable delay in disciplinary proceedings, provided that the Respondent did not substantially contribute to the delay and provided further that the Respondent has demonstrated prejudice resulting from the delay;

(11) interim reform in circumstances not involving mental disability or impairment;

(12) imposition of other penalties or sanctions;

(13) remorse; and

(14) remoteness of prior offenses.

(d) Other circumstances. The following circumstances may not be considered as either aggravating or mitigating:

(1) forced or compelled restitution;

(2) withdrawal of Complaint against the Lawyer;

(3) resignation prior to completion of disciplinary proceedings;

(4) Complainant’s recommendation as to sanction; and

(5) failure of injured client to complain.

A Respondent who has been suspended for no more than six months or placed on probation pursuant to disciplinary proceedings will be reinstated at the end of the suspension or probation upon filing with the district court and serving on the OPC an unsworn declaration stating that the Respondent has fully complied with the requirements of the suspension or probation order and that the Respondent has fully reimbursed the Bar’s Lawyers’ Fund for Client Protection or Licensed Paralegal Practitioners’ Fund for Client Protection for any amounts paid on account of the Respondent’s conduct. Within 14 days, the OPC may file an objection and the district court will hold a hearing.

(a) Generally. A Respondent suspended for more than six months or a delicensed Respondent may be reinstated or relicensed only upon the district court’s order. No Respondent may petition for reinstatement until three months before the period for suspension has expired. No Respondent may petition for reinstatement until five years after the effective date of delicensure. A Respondent who has been placed on interim suspension and is then delicensed for the same misconduct that was the ground for the interim suspension may petition for reinstatement or relicensure at the expiration of five years from the effective date of the interim suspension.

(b) Petition. A petition for reinstatement or relicensure must be verified, filed with the district court, and must specify with particularity the manner in which the Respondent meets each of the criteria specified in paragraph (e) or, if not, why there is otherwise good and sufficient reason for reinstatement or relicensure. With specific reference to paragraph (e)(4), before filing a petition for relicensure, the Respondent must receive a report and recommendation from the Bar’s Character and Fitness Committee. In addition to receiving the report and recommendation from the Character and Fitness Committee, the Respondent must satisfy all other requirements as set forth in Chapter 14, Article 7. Before or as part of the Respondent’s petition, the Respondent may request to modify or abate conditions of discipline, reinstatement or relicensure.

(c) Serving the petition. The Respondent must serve the OPC with a copy of the petition.

(d) Publishing notice of petition. When a Respondent files a petition for reinstatement or relicensure, the OPC must:

(1) publish a notice of the petition in the Utah Bar Journal, which:

(A) informs Bar members of the application for reinstatement or relicensure, and

(B) requests that any individuals file notice of their opposition or concurrence with the district court within 28 days of the date of publication; and

(2) send a notice to the Complainant’s last known address according to OPC records, to each Complainant in the disciplinary proceeding that led to the Respondent’s suspension or delicensure informing such Complainant that:

(A) the Respondent is applying for reinstatement or relicensure, and

(B) the Complainant has 28 days from the mailing date to object to or support the Respondent’s petition.

(e) Criteria for reinstatement and relicensure. A Respondent may be reinstated or relicensed only if the Respondent meets each of the following criteria, or, if not, presents good and sufficient reason why the Respondent should nevertheless be reinstated or relicensed.

(1) The Respondent has fully complied with the terms and conditions of all prior disciplinary orders except to the extent such orders are abated by the district court.

(2) The Respondent has not engaged nor attempted to engage in the unauthorized practice of law during the period of suspension or delicensure.

(3) If the Respondent was suffering from a physical or mental disability or impairment which was a causative factor of the Respondent’s misconduct, including substance abuse, the disability or impairment has been removed. Where substance abuse was a causative factor in the Respondent’s misconduct, the Respondent may not be reinstated or relicensed unless the Respondent:

(A) has recovered from the substance abuse as demonstrated by a meaningful and sustained period of successful rehabilitation;

(B) has abstained from the use of the abused substance and the unlawful use of controlled substances for the preceding six months; and

(C) is likely to continue to abstain from the substance abused and the unlawful use of controlled substances.

(4) Notwithstanding the conduct for which the Respondent was disciplined, the Respondent has the requisite honesty, integrity, and fitness to practice law. In relicensure cases, the Respondent must appear before the Bar’s Character and Fitness Committee and cooperate in its investigation of the Respondent. A copy of the Character and Fitness Committee’s report and recommendation will be provided to the OPC and forwarded to the district court assigned to the petition after the Respondent files a petition.

(A) Factors considered in determining honesty, integrity, and fitness for reinstatement or relicensure. The court must determine whether the Lawyer seeking reinstatement or relicensure has demonstrated the requisite honesty, integrity, and fitness to practice law. The court may consider the Respondent’s actions taken during the suspension or delicensure including:

(i) lack of candor;

(ii) unlawful conduct;

(iii) false or misleading statements or omissions;

(iv) acts involving dishonesty, fraud, deceit, or misrepresentation;

(v) abuse of the legal process;

(vi) neglecting financial responsibilities;

(vii) violating court order;

(viii) evidence of mental or emotional instability; and

(ix) evidence of drug or alcohol dependency;

(B) Assigning weight and significance to conduct. In determining honesty, integrity, and fitness to practice law, the court may use the following factors to assign weight and significance to prior conduct:

(i) how recent the conduct occurred;

(ii) seriousness of the conduct;

(iii) cumulative effect of the conduct;

(iv) evidence of rehabilitation; and

(v) positive social contributions while suspended.

(5) The Respondent has kept informed about recent developments in the law by engaging in legal education and is competent to practice.

(6) In cases of suspensions for one year or more, a Respondent lawyer will be required to retake and pass the Multistate Professional Responsibility Examination, and Respondent licensed paralegal practitioners must pass the Licensed Paralegal Practitioner Professional Responsibility Exam.

(7) In all cases of delicensure, a Respondent lawyer will be required to pass the student applicant Bar Examination and the Multistate Professional Responsibility Examination, and Respondent licensed paralegal practitioners must pass the student applicant Licensed Paralegal Practitioner Licensing Exam.

(8) The Respondent has fully reimbursed the Bar’s Lawyers’ Fund for Client Protection or Licensed Paralegal Practitioners’ Fund for Client Protection for any amounts paid on account of the Respondent’s conduct.

(f) Review of petition. Within 60 days of receiving a Respondent’s petition for reinstatement or relicensure, the OPC must either:

(1) advise the Respondent and district court that the OPC will not object to the Respondent’s reinstatement or relicensure; or

(2) object in writing to the petition.

(g) Hearing; report. If the OPC objects, the district court, as soon as reasonably practicable and within a target date of 90 days of the filing of the petition, will conduct a hearing at which the Respondent will have the burden of demonstrating by a preponderance of the evidence that the Respondent has met each of the criteria in paragraph (e) or, if not, that there is good and sufficient reason why the Respondent should nevertheless be reinstated or relicensed. The district court will enter its findings and order. If the OPC does not object, the district court will review the petition without a hearing and enter its findings and order.

(h) Successive petitions. Unless the district court orders otherwise, no Respondent may apply for reinstatement or relicensure within one year following an adverse judgment upon a petition for reinstatement or relicensure.

(i) Conditions of reinstatement or relicensure. The district court may impose conditions on a Respondent’s reinstatement or relicensure if the Respondent has met the burden of proof justifying reinstatement or relicensure, but the district court reasonably believes that further precautions should be taken to ensure that the public will be protected when the Respondent returns to practice.

(j) Reciprocal reinstatement or relicensure. If a Respondent has been suspended or delicensed solely because of discipline imposed by another court, another jurisdiction, or a regulatory body having disciplinary jurisdiction, and if the Respondent is later reinstated or relicensed by that court, jurisdiction or regulatory body, the Respondent may petition for reciprocal reinstatement or relicensure in Utah. The Respondent must file with the district court and serve the OPC with a petition for reciprocal reinstatement or relicensure. The petition must include a certified or otherwise authenticated copy of the order of reinstatement or relicensure from the other court, jurisdiction, or regulatory body. Within 21 days of receiving the petition, the OPC may object based solely on substantial procedural irregularities. If the OPC objects, the district court will hold a hearing and enter its findings and order. If no objection is filed, the district court will enter its order based on the petition.

By continuing their legal education throughout the time they practice law, lawyers and licensed paralegal practitioners can better fulfill their obligation to serve their clients competently. This article establishes minimum requirements for mandatory continuing legal education and the means by which the requirements are enforced.

As used in this article:

(a) “Active emeritus” or “active emeritus lawyer” means a lawyer who has been a Bar member for 50 years or who is 75 years of age as of July 1 of the current year and who qualifies for active emeritus status as defined under the Bar’s rules, regulations, and policies.

(b) “Active status” or “active status lawyer” means a lawyer who elects to be on active status as defined under the Bar's rules, regulations, and policies.

(c) “Admission on motion applicant or lawyer” means a lawyer who has been admitted for reciprocal admission as defined under Rule 14-705.

(d) “Accredited”means:

(1) as it relates to a lawyer, that CLE is approved by the Board as CLE that counts towards the 12-hour CLE requirement per Compliance Cycle; or

(2) as it relates to a licensed paralegal practitioner, that CLE is approved by the Board as CLE that counts towards the six-hour CLE requirement per Compliance Cycle.

(e) “Approved law school” means an ABA approved law school as defined underRule 14-701.

(f) “Bar” means the Utah State Bar.

(g) “Bar Examination” means the Bar Examination as defined in Rules14-710 and14-711 and includes the UBE, regardless of where the UBE was taken.

(h) “Board” means the Utah Supreme Court Board of Mandatory Continuing Legal Education as set forth inRule 11-603.

(i) “Board of Bar Commissioners” means the governing board of the Bar.

(j) “Carry-Forward Hours” means up to six hours of excess Accredited Verified CLE earned by a lawyer in the current Compliance Cycle which:

(1) may be carried forward only to the next Compliance Cycle;

(2) do not include Ethics CLE hours or Professionalism and Civility CLE hours;

(3) may be carried forward only if the lawyer has met the mandatory CLE requirements by June 30th of the current Compliance Cycle;

(4) are not available to Active Emeritus Lawyers or lawyers that must comply with the New Lawyer Training Program requirements pursuant to Rule 11-604; and

(5) may be accumulated beginning July 1, 2026 for use in the Compliance Cycle beginning July 1, 2027. The Court may postpone the July 1, 2026 implementation date if necessary.

(k) “Certificate of Compliance” means a report evidencing a lawyer’s or licensed paralegal practitioner’s completion of Accredited CLE as required and defined under Rule 11-614.

(l) “CLE” means continuing legal education, including Verified CLE and Elective CLE.

(m) “Compliance Cycle”means the fiscal year period (July 1 through June 30) during which:

(1) an active status lawyer admitted to practice in Utah is required to complete a minimum of 12 hours of Accredited CLE; or

(2) a licensed paralegal practitioner licensed in Utah is required to complete a minimum of six hours of Accredited CLE.

(n) “Director” means the person appointed by the Supreme Court to provide administrative assistance to the Board, perform duties delegated by the Board, and manage MCLE staff as outlined in Rule 11-603 and directed by the Board.

(o) “Ethics CLE” means CLE which significantly relates to and discusses general ethical conduct or any other matter (such as law practice management, disciplinary procedure, or the use of technology).

(p) “Elective CLE”means CLE, other than Verified CLE, credited for a number of hours as specified by these rules or determined by the Board on a case-by-case basis, including:

(1) viewing an audio, video, or webcast presentation or a computer interactive program;

(2) writing and publishing an article in a legal periodical, part-time teaching in an approved law school, or delivering a paper or speech on a professional subject at a meeting primarily attended by lawyers, licensed paralegal practitioners, legal assistants, or law school students;

(3) community outreach, as described in Rule 11-609; or

(4) Pro Bono Legal Services, as described in Rule 11-619.

(q) “Full exam” means all components of the Bar Examination as defined under Rule 14-710.

(r) “House Counsel” means a lawyer admitted with a restricted House Counsel license as defined in Rule 14-719, which is required and limits the lawyer’s practice of law to the business of the lawyer’s employer.

(s) “In-person CLE” means CLE presented in a classroom setting where the lawyer or licensed paralegal practitioner is in the same room as the presenter.

(t) “Inactive status” means a lawyer or licensed paralegal practitioner who has elected to be on inactive status as defined under the Bar’s rules, regulations, and policies.

(u) “Licensed paralegal practitioner”means a person licensed by the Utah Supreme Court to provide limited legal representation as described in Rule 14-802.

(v) “MCLE” or mandatory continuing legal education means CLE required by this article.

(w) “Multi-State Reciprocity” means compliance with Utah CLE requirements by a lawyer;

(1) who is licensed in another state that has a mandatory CLE requirement;

(2) whose principal office for the practice of law is not in Utah;

(3) who has met the mandatory CLE requirement in that other state; and

(4) who meets the conditions outlined in Rule 11-604.

(x) “New admittee” means a lawyer newly admitted to the Utah State Bar.

(y) “NLTP” means the New Lawyer Training Program as set forth in Rule 11-604 and Rule 14-808.

(z) “OPC” means the Office of Professional Conduct.

(aa) “OPC ethics school” means the OPC biannual seminar on the Utah Rules of Professional Conduct which provides six CLE credit hours.

(bb) “Presumptively approved sponsor” means a CLE sponsor or provider who qualifies under the standards prescribed in Rule 11-612.

(cc) “Presumptive CLE Accreditation” means CLE that qualifies under the standards prescribed in Rule 11-612.

(dd) “Pro Bono Legal Services” has the meaning described in Rule 6.1 of the Utah Rules of Professional Conduct.

(ee) “Professionalism and civility CLE” means CLE on conduct consistent with the tenets of the legal profession by which a lawyer demonstrates civility, honesty, integrity, character, fairness, competence, ethical conduct, public service, and respect for the rules of law, the courts, clients, other lawyers, witnesses and unrepresented parties, including:

(1) the Utah Standards of Professionalism and Civility; or

(2) general professional and civil conduct or another matter that significantly relates to and discusses compliance with one or more of the Utah Standards of Professionalism and Civility;

(3) Well-being;

(4) time management, effective client communication, or law practice management;

(5) the development of organizational cultures that foster professionalism and civility in the practice of law and a positive work environment;

(6) substance use disorder; or

(7) equal access, fairness, cultural engagement, and respect for others.

(ff) “Remote Group CLE” means CLE, sponsored or cosponsored by the Bar, that is presented from a location in Utah, via a live streaming audio-visual presentation, to another location in Utah where the lawyer or licensed paralegal practitioner is present, in accordance with Rule 11-618.

(gg) “Sponsoring entity” means an organization that qualifies as a sponsoring entity under Rule 14-803.

(hh) “Supreme Court” means the Utah Supreme Court.

(ii) “UBE Transfers” means applicants who gain admission by transferring a uniform bar exam score.

(jj) “Verified CLE” means In-person CLE, Remote Group CLE, or Verified E- CLE.

(kk) “Verified E-CLE” means CLE presented via a computer program or over the Internet where active participation by the lawyer or licensed paralegal practitioner in the CLE is verified by responding to scenarios during the CLE or answering knowledge-based questions during or after presentation of the CLE.

(ll) “Well-being,” as described by the National Task Force on Lawyer Well-Being, means a continuous process whereby lawyers and licensed paralegal practitioners seek to thrive in each of the following areas: emotional health, occupational pursuits, creative or intellectual endeavors, sense of meaningfulness or greater purpose in life, physical health, and social connections with others.”

(mm) “Well-being CLE” means instruction that:

(1) identifies and teaches principles or skills that can be applied to enhance well- being; and

(2) ties those principles or skills to the practice of law based on circumstances, challenges, or stressors that are commonly or uniquely faced by lawyers or licensed paralegal practitioners.

(a) Establishment. There is established by the Supreme Court a Board of Mandatory Continuing Legal Education. The Board comprises ten members, at least eight of whom are lawyers admitted to the Bar, and up to two of whom may be licensed paralegal practitioners.

(b) Terms. Members are appointed for staggered three-year terms. No lawyer or licensed paralegal practitioner may serve more than two consecutive terms as a member of the Board unless appointed by the Supreme Court as the Board chair or when justified by special circumstances, as determined by the Supreme Court. The Board may also have up to two additional nonvoting emeritus members. An emeritus member has the same authority and duties as other Board members, except that the member does not have authority to vote. An emeritus member may serve two terms in addition to the terms served as a member.

(c) Application and recruitment of committee members. The Supreme Court will announce vacancies on the Board in a manner reasonably calculated to reach members of the Utah State Bar. The notice will specify a brief description of the Board’s responsibilities, the method for submitting an application or letter of interest, and the application deadline. Members of the Board or the Supreme Court may solicit applications for Board membership. Applications and letters of interest must be submitted to the Supreme Court.

(d) Appointment of committee members and chair. Upon expiration of the application deadline, the Supreme Court will review the applications and letters of interest and appoint those individuals who it deems are best suited to serve on the Board. In the event of a mid-term vacancy the Supreme Court will appoint a new member to serve for the remainder of the term. The Supreme Court will select a chair from among the Board’s members.

(e) Absences. In the event a Board member fails to attend three Board meetings during a calendar year, the chair may notify the Supreme Court of those absences and may request that the Supreme Court replace that Board member.

(f) Appointment and duties of the Director. The Supreme Court appoints the Director. The Director serves at the pleasure of the Supreme Court, provides administrative support to the Board, and performs duties under the supervision and direction of the Board as outlined in the Board policies.

(g) Quorum. Six members of the Board constitute a quorum for conducting the Board's business and a majority vote of those present and voting at any meeting is sufficient to bind the Board. The chair may vote only to break a tie.

(a) Active status lawyers. Each active status lawyer admitted to practice in Utah must complete, during each Compliance Cycle, a minimum of 12 hours of Accredited CLE, as follows:

(1) at least six hours of the CLE must be Verified CLE, which may include any combination of In-person CLE, Remote Group CLE, or Verified E-CLE;

(2) the remaining six hours of CLE may include Elective CLE or Verified CLE; and

(3) the 12 hours of CLE must include a minimum of one hour of Ethics CLE and one hour of Professionalism and Civility CLE.

(b) Inactive status, NLTP, and New Lawyer Ethics Program.

(1) Inactive status. Lawyers or licensed paralegal practitioners on inactive status are not subject to the requirements of this rule, or (for lawyers) the NLTP requirements.

(2) Active status and NLTP. Lawyers on active status who reside in Utah and who are subject to the NLTP under Rule 14-808 must complete the NLTP requirements before the end of the Compliance Cycle that begins after the lawyer is admitted to practice in Utah. If a lawyer on active status who resides in Utah is granted an extension of time to complete the NLTP, the lawyer must, during the extension period, comply with the regular CLE requirements for an active status lawyer.

(3) NLTP credit. A lawyer who is obligated to and who successfully fulfills the requirements of the NLTP will receive 12 Accredited Verified CLE hours for the Compliance Cycle during which the lawyer completes the NLTP requirements.

(4) NLTP Mentor. A mentor for a lawyer described in paragraph (b)(3) will receive six Accredited Verified CLE hours for the Compliance Cycle during which the lawyer described in paragraph (b)(3) successfully fulfills the NLTP requirements.

(5) New Lawyer Ethics Program. New lawyers are required to attend the New Lawyer Ethics Program. This program satisfies the Ethics CLE requirement and the Professionalism and Civility CLE requirement for the Compliance Cycle during which the new lawyer completes the NLTP requirements.

(c) Admission on motion. A lawyer who is admitted on motion shall comply with paragraph (a) during the Compliance Cycle that begins after the lawyer is admitted on motion.

(d) Multi-State Reciprocity Compliance. An active lawyer who practices in a Multi-State Compliance Reciprocity State (Idaho, Oregon, or Washington) may elect to meet the CLE requirements in that other state and use that state’s CLE compliance as compliance in Utah by filing a “Comity Certificate” for Utah CLE compliance.

(e) House Counsel lawyers.

(1) Compliance reporting. House Counsel lawyers must pay the designated filing fee and file with the MCLE Board by July 31 of each year a House Counsel Certificate signed by the jurisdiction where House Counsel maintains an active license evidencing that the lawyer has completed the hours of continuing legal education required of active lawyers in the jurisdiction where House Counsel is licensed.

(2) MCLE requirements. A House Counsel lawyer must complete 12 hours of Accredited CLE each Compliance Cycle, to include one hour of Ethics CLE and one hour of Professionalism and Civility CLE, if: the jurisdiction where the lawyer maintains an active license does not have a CLE requirement; or the lawyer complies in a jurisdiction where CLE is self-reporting and the jurisdiction does not sign the House Counsel Certificate. At least six of the 12 hours must be Verified CLE.

(f) UBE Applicants.

(1) A lawyer who gains admission by transferring a UBE score and has less than two years of legal practice must comply with the New Lawyer Training Program during the Compliance Cycle that begins after the lawyer gains admission.

(2) A lawyer who gains admission by transferring a UBE score, has less than two years of legal practice, and receives a waiver of the New Lawyer Training Program because the lawyer lives out of the state, must comply with paragraph (a) during the Compliance Cycle that begins after the lawyer gains admission.

(3) A lawyer who gains admission by transferring a UBE score and who has at least two years of legal practice must comply with paragraph (a) during the Compliance Cycle that begins after the lawyer gains admission.

(g) Out-of-state CLE activities. CLE Accreditation may be awarded for out-of-state CLE that the Board determines meets standards in furthering a lawyer’s or licensed paralegal practitioner’s legal education. The Board determines whether to Accredit the CLE and, if Accredited, the number of hours of credit to allow for such CLE.

(h) Application for accreditation. A lawyer’s or licensed paralegal practitioner’s application for Accreditation of CLE must be submitted in writing to the Board if the activity has not been previously Accredited for CLE credit in Utah.

(i) Advertising legal services. Programs and topics focused on advertising legal services will be denied Accreditation, except to the extent they deal with the ethical restrictions concerning advertising.

(j) Judicial officers. State judges, federal judges, federal magistrates, court commissioners, active senior judges, and active justice court judges, both full and part time, meet CLE requirements through the Administrative Office of the Courts.

(k) Licensed paralegal practitioners. Each licensed paralegal practitioner licensed in Utah must complete, during each Compliance Cycle, a minimum of six hours of Accredited CLE, as follows:

(1) at least three hours of the CLE must be Verified CLE, which may include any combination of In-person CLE, Remote Group CLE, or Verified E-CLE;

(2) the remaining three hours of CLE may include Elective CLE or Verified CLE;

(3) the six hours of CLE must include a minimum of one hour of Ethics CLE and one hour of Professionalism and Civility CLE.

(a) Lawyers and licensed paralegal practitioners on inactive status are not subject to MCLE requirements while on inactive status.

(b) A lawyer who is on inactive status for 12 months or more and who returns to active status must complete the 12-hour Accredited CLE requirement by June 30 of the Compliance Cycle that begins after the lawyer’s return to active status. A licensed paralegal practitioner who is on inactive status for 12 months or more and who returns to active status must complete the six-hour Accredited CLE requirement by June 30 of the Compliance Cycle that begins after the licensed paralegal practitioner’s return to active status.

(c) A lawyer who has been on inactive status for less than 12 months may not elect active status until completing the Accredited CLE requirements that were incomplete at the time the lawyer elected to be enrolled as an inactive member. A licensed paralegal practitioner who has been on inactive status for less than 12 months may not elect active status until completing the Accredited CLE requirements that were incomplete at the time the licensed paralegal practitioner elected to be enrolled as an inactive licensed paralegal practitioner.

(a) Waiver for military members. Lawyers who are serving or called to federal active military duty that will last for 90 consecutive days or longer during any portion of a Compliance Cycle will have MCLE requirements waived for that particular Compliance Cycle.

(b) Statement of compliance. Each lawyer serving or called to federal active military duty that will last for 90 consecutive days or longer must file with the Board a statement of compliance providing verification of the date the lawyer was called to federal active military duty. The statement of compliance is due by July 31 following the end of the Compliance Cycle in which the report is due.

(c) Spouses of military members stationed in Utah. A lawyer who is admitted to practice law in Utah under Rule 14-805, because the lawyer is the spouse of an active military member with orders for a permanent change of station to reside in Utah, must:

(1) if the lawyer has two or more years of legal practice, comply with Rule 11- 604(a) in the Compliance Cycle that begins after the lawyer is admitted to practice law in Utah; or

(2) if the lawyer has less than two years of legal practice, complete the NLTP requirements before the end of the Compliance Cycle that begins after the lawyer is admitted to practice law in Utah.

(a) Lawyers on active emeritus status must comply with MCLE requirements by participation in six hours of Accredited CLE during each Compliance Cycle.

(b) Alternative. In the alternative, lawyers on active emeritus status may work in conjunction with another Utah lawyer on active status in lieu of complying with the requirement of six hours of Accredited CLE. These lawyers must contact the Director before working with another active Utah lawyer. A lawyer on active emeritus status who elects to work in conjunction with another Utah lawyer on active status in lieu of complying with six hours of Accredited CLE must file with the Board a signed statement verifying that the lawyer has complied with the requirements of this rule by July 31 following the end of the Compliance Cycle in which the report is due.

(c) Return to active status. An emeritus lawyer who is on inactive status for 12 months or more and who returns to active status must complete the six-hour Accredited CLE requirement by June 30 of the Compliance Cycle that begins after the emeritus lawyer’s return to active status.

(d) An emeritus lawyer who has been on inactive status for less than 12 months may not elect emeritus active status until completing the Accredited CLE requirements that were incomplete at the time the emeritus lawyer elected to be enrolled as an inactive member.

(a) Credit hour defined.

(1) An hour of In-person CLE or Remote Group CLE means 60 minutes of attendance in a one-hour period at an Accredited CLE program.

(2) An hour of Verified E-CLE means 60 minutes of the minimum actual viewing time to participate in the Verified E-CLE.

(3) An hour of Elective CLE means an hour of credit as specified by these rules or determined by the Board on a case-by-case basis.

(4) An hour of CLE for Pro Bono Legal Services means, in accordance with Rule 11-619, providing the equivalent of five hours of Pro Bono Legal equal to at least five hours.

(b) Application for approval. A lawyer, a paralegal practitioner, or a sponsoring agency applying for approval of CLE must submit to the Board all the necessary information required under this article.

(a) Lecturing, teaching, panel discussions and community outreach.

(1) Lecturing in an Accredited CLE Program. Lawyers or licensed paralegal practitioners who lecture in an Accredited CLE program will receive credit for three hours of Elective CLE for each hour spent lecturing, including participating as a presenter in a panel discussion. No lecturing or teaching credit is available for preparation time.

(2) Community outreach.

(A) Lawyers or licensed paralegal practitioners who lecture in a community outreach capacity may receive Elective CLE credit for each hour spent lecturing to groups of five or more non-lawyers and non-licensed paralegal practitioners for the purpose of educating a non-lawyer and non-licensed paralegal practitioner audience about legal topics.

(B) Community outreach may include, but is not limited to, a lecture made by a lawyer or licensed paralegal practitioner about the lawyer’s or licensed paralegal practitioner’s deliberation on legal subject matter as an elected or appointed member of a public policy making body that is created by statute or constitution and a lecture by a lawyer or licensed paralegal practitioner about the structure of Government, the Utah Constitution, the U.S. Constitution or any legislation of either the Utah Legislature or U.S. Congress. Such community outreach lecturing, however, must be referenced in an agenda or outline format identifying: the body to whom the lecture is presented; the date, hour, and duration of the lecture; and the topics covered.

(C) Community outreach lecturing on legal subjects by a lawyer is eligible for a maximum of four hours of Elective CLE credit for a Compliance Cycle. community outreach lecturing on legal subjects by a licensed paralegal practitioner is eligible for a maximum of two hours of Elective CLE credit for a Compliance Cycle.

(b) Final published brochure, outline, or agenda. The Board will determine the number of Elective CLE hours available for a program based on the final published brochure, outline, or agenda, as appropriate.

(c) Equivalent CLE credit for certain Elective CLE.

(1) Subject to the Board’s determination, the Board may allow equivalent credit for such CLE that furthers the purpose of this article and qualifies for equivalency.

(2) Such equivalent CLE may include, but is not limited to, viewing Accredited CLE audio and video and webcast presentations or computer interactive programs, writing and publishing an article in a legal periodical, part-time teaching by a lawyer or licensed paralegal practitioner in an approved law school, or delivering a paper or speech on a professional subject at a meeting primarily attended by lawyers, licensed paralegal practitioners, legal assistants, or law students.

(3) The number of credit hours allowed for such activities and the procedures for obtaining equivalent credit will be determined specifically by the Board for each instance.

(d) Pro Bono Legal Services. Elective CLE credit for Pro Bono Legal Services is addressed in Rule 11-619.

Comment:

An example of community outreach that would qualify for Elective CLE credit under subsection (a)(2) is a presentation made by a Legislator to a group of non-lawyers and non-paralegal practitioners about the Legislator’s service on a public policy making body.

(a) Permitted number of Elective CLE hours. Unless the Board grants an undue hardship waiver under paragraph (f), a lawyer or licensed paralegal practitioner may not count Elective CLE hours towards more than half the amount of Accredited CLE required of the lawyer or licensed paralegal practitioner during a Compliance Cycle.

(b) Accredited CLE requirements. Accredited CLE activities provided by this article must:

(1) have as their primary objective to increase lawyers' or licensed paralegal practitioners’ professional competency;

(2) be comprised of subject matter directly related to the practice of law; and

(3) comply with the specific requirements set forth in this article with respect to each activity.

(c) Board to assign credit hours. The Board will assign an appropriate number of credit hours to each Accredited CLE activity.

(d) Ethics CLE. All courses or components of courses offered to fulfill the Ethics CLE requirement under 11-604(a) must be specifically Accredited by the Board.

(e) Professionalism and Civility. All courses or components of courses offered to fulfill the Professionalism and Civility CLE requirement under 11-604(a) must be specifically Accredited by the Board.

(f) Undue hardship; special Accreditation.

(1) Formal instruction or educational seminars that meet the requirements of paragraph (b) lend themselves well to the fulfillment of the educational requirement imposed by this article and will be readily Accredited by the Board.

(2) It is not intended that compliance with this article will impose any undue hardship upon any lawyer or licensed paralegal practitioner because the lawyer or licensed paralegal practitioner may find it difficult to attend such activities because of health or other special reasons.

(3) In addition to Accrediting formal instruction at centralized locations, the Board, in its discretion, may Accredit such CLE including, but not limited to, audio and video presentations, webcasts, computer interactive programs, teaching, preparation of articles and other meritorious learning experiences as provided in this article.

The Board in its discretion may Accredit CLE in accordance with the following standards.

(a) The CLE must be of intellectual or practical content and may include an ethics or professionalism and civility component.

(b) The CLE must contribute directly to a lawyer’s or licensed paralegal practitioner’s professional competence or skills, or the lawyer’s or licensed paralegal practitioner’s ethics or professionalism and civility obligations.

(c) CLE leaders or lecturers must have the necessary practical or academic skills to conduct the CLE effectively.

(d) Prior to or during the CLE, each attendee must be provided with written or electronic course materials of a quality and quantity which indicate that adequate time has been devoted to preparation and which are of value to lawyers in their practice of the law or to licensed paralegal practitioners providing limited legal representation. One-hour CLE courses meet this requirement by providing an outline of the CLE’s content.

(e) The CLE must be presented in an appropriate setting.

(f) The CLE must be made available to lawyers and licensed paralegal practitioners throughout the state unless the CLE provider demonstrates to the satisfaction of the Board that there is good reason to limit availability.

(1) A CLE provider may, upon Board approval, make some hours of a CLE course available to all lawyers and licensed paralegal practitioners and some hours available to only certain lawyers or licensed paralegal practitioners. A CLE provider may, for example, limit CLE to lawyers or licensed paralegal practitioners who specialize in a particular area of law, lawyers who are primarily plaintiff’s lawyers, defense lawyers or prosecutors, lawyers or licensed paralegal practitioners who fulfill a particular government function, or lawyers or licensed paralegal practitioners who are employed by a particular branch of local or state government.

(2) A CLE provider must submit a request for approval to limit availability of hours at least 30 days before the day of the CLE.

(3) A lawyer may not accrue more than three hours of CLE to which availability is limited per Compliance Cycle.

(4) A licensed paralegal practitioner may not accrue more than one hour of CLE to which availability is limited per Compliance Cycle.

(5) The CLE provider is responsible to provide to the Board, no later than 30 days after the day of the CLE, an accurate list of the lawyers and licensed paralegal practitioners who attended each hour of limited availability. Repeated failure to comply with this deadline may result in denial of future requests to limit availability.

(g) A CLE provider or attendee must submit to all reasonable requests for information related to the course or activity.

(h) A CLE provider or attendee must submit a written request for Accreditation on an approved form within 60 days prior to or 30 days following the CLE.

(i) A CLE provider who desires to advertise CLE as being Accredited must submit a request for approval at least 14 calendar days prior to the CLE.

(j) CLE to which availability is limited must be submitted for approval at least 30 days prior to the CLE.

(k) A CLE provider must apply separately for Accreditation of Elective CLE.

(l) The CLE provider must submit the registration list in an approved format, with CLE fees if applicable, within 30 days following the presentation of the CLE.

(m) A CLE provider who fails to comply with a deadline described in this rule must pay a $100 late fee.

(a) Designating presumptively approved CLE providers. The Board may designate an organization as a presumptively approved provider of Accredited CLE if the organization meets the following standards:

(1) The CLE provider must be either an approved law school or an organization engaged in CLE that has, during the three years immediately preceding its application, sponsored at least six separate CLE courses that comply with the requirements for individual course Accreditation under Rule 11-611. Status as a presumptively approved CLE provider is subject to periodic review.

(2) Presumptively approved CLE providers are required to pay an annual fee.

(3) No later than 14 calendar days prior to offering a CLE course, the presumptive CLE provider must indicate on a Board-approved form that the CLE course satisfies the provisions of Rule 11-611. The sponsor should also submit a copy of the brochure or outline describing the course, a description of the method or manner of presentation, and, if specifically requested by the Board, a set of materials.

(4) The presumptive CLE provider must submit the registration list in an approved format, with CLE fees if applicable, within 30 days following the presentation of the CLE course.

(5) The presumptive CLE provider must make its courses available to all lawyers and licensed paralegal practitioners throughout the state, unless, subject to Rule 11-611, it can demonstrate to the satisfaction of the Board that there is good reason to limit the availability.

(6) The sponsor must submit to all reasonable requests for information and comply with this article.

(b) Denial of presumptive CLE provider status. Notwithstanding a presumptive CLE provider’s compliance with paragraphs (a)(1) through (a)(6), the Board may deny designation as a presumptive CLE provider if the Board finds there is just cause for denial.

(c) Revocation of presumptive approval. The Board may audit any CLE provider having presumptive approval and may revoke the presumptive approval if it determines that the presumptive CLE provider is offering, as Accredited, courses that do not satisfy the standards established under Rule 11-611.

(d) Annual fee. A presumptive CLE provider pays an annual fee established by the Board for all CLE provided by the presumptive CLE provider, except that the presumptive CLE provider must pay additional fees established by the Board if the presumptive CLE provider provides more than 50 CLE courses per year. A presumptive CLE provider is otherwise exempt from the per CLE application fee.

(e) Late fee. A presumptive CLE provider who fails to comply with the deadline described in paragraph (a)(4) must pay a $100 late fee.

(a) Permissible Elective CLE credit. Elective CLE credit will be allowed for Accredited audio and video presentations, webcasts, computer interactive programs, writing, lecturing, teaching, and service in accordance with the following.

(1) One hour of Elective CLE credit will be allowed for viewing and/or listening to 60 minutes of audio or video presentations, webcasts, or computer interactive programs in accordance with Rule 11-608(a).

(2) Upon application to the Board, the Board may grant a waiver, permitting a lawyer or licensed paralegal practitioner on active status to obtain all required hours of credit through Elective CLE, if the lawyer or licensed paralegal practitioner:

(A) does not reside in Utah; and

(B) is engaged in full-time volunteer work for a religious or charitable organization.

(b) Writing and publishing articles. Elective CLE is allowed for lawyers and licensed paralegal practitioners for writing and publishing articles in a legal periodical in accordance with the following.

(1) To be eligible for any credit, an article must:

(A) be written to address an audience of lawyers or licensed paralegal practitioners;

(B) be at least 3,000 words in length;

(C) be published by a recognized publisher of legal material; and

(D) not be used in conjunction with a seminar.

(2) Three Elective CLE credit hours will be allowed for each 3,000 words in the article. An application for Accreditation of the article must be submitted at least 30 days prior to reporting the article for credit. Two or more authors may share credit obtained pursuant to this paragraph in proportion to their contribution to the article.

(c) Lecturing, teaching, or delivering a paper or speech at a meeting. Elective CLE Credit is allowed for lecturing in an Accredited CLE program, part-time teaching by a lawyer or licensed paralegal practitioner in an approved law school, or delivering a paper or speech on a professional subject at a meeting primarily attended by lawyers, licensed paralegal practitioners, legal assistants, or law students in accordance with the following.

(1) Lecturers in an Accredited CLE program and part-time teachers may receive three hours of Elective CLE credit for each hour spent in lecturing or teaching as provided in Rule 11-609(a)(1), including participation in panel discussions.

(2) Lecturers in a community outreach capacity, as described in Rule 11-609(a)(2), may receive one hour of Elective CLE credit for each hour spent in lecturing or teaching provided such CLE credit does not exceed four hours for a Compliance Cycle for a lawyer or two hours for a Compliance Cycle for a licensed paralegal practitioner.

(d) Full-time law school faculty members. Full-time law school faculty members may receive Elective CLE credit for lecturing and teaching, including participating as a presenter in a panel discussion, but only for lecturing and teaching Accredited CLE courses.

(e) Minimum Credit hours of Verified CLE. Credit is allowed for Verified CLE in accordance with Rule 11-608(a).

(1) A lawyer must obtain a minimum of six Accredited CLE hours, with no maximum restriction, through Verified CLE.

(2) A licensed paralegal practitioner must obtain a minimum of three Accredited CLE hours, with no maximum restriction, through Verified CLE.

(f) Total allowable hours. The total of all hours allowable under paragraphs (a), (b), (c), and (d) of this rule may not exceed six hours during a Compliance Cycle for a lawyer, nor three hours during a Compliance Cycle for a licensed paralegal practitioner.

(a) Certificate of compliance. On or before July 31 each year, each lawyer or licensed paralegal practitioner subject to MCLE requirements must file a Certificate of Compliance with the Board, appropriately evidencing the lawyer’s or licensed paralegal practitioner’s completion of Accredited CLE ending the preceding 30th day of June. The Certificate of Compliance must include:

(1) the title of the Verified CLE or Elective CLE, including the title of the audio or video presentation, webcast, or computer interactive program attended, viewed or listened to;

(2) the name of the CLE provider;

(3) the type of CLE (In-person CLE, Remote Group CLE, Verified E- CLE, or Elective CLE);

(4) for Elective CLE, a description of the Elective CLE material; and

(5) the number of hours in actual attendance at each In-person CLE, the number of hours in actual attendance at each Remote Group CLE, the minimum actual viewing time of each Verified E-CLE, and the number of hours of each audio or video presentation;

(6) if any CLE hours are limited to certain lawyers or licensed paralegal practitioners in accordance with Rule 11-611, the number of limited hours and an explanation establishing compliance with that rule; and

(7) other information as the Board requires.

(b) Filing fees, late fees, and reinstatement fees.

(1) Each lawyer or licensed paralegal practitioner shall pay a filing fee in the amount of $10 at the time of filing the Certificate of Compliance under paragraph (a).

(2) Any lawyer or licensed paralegal practitioner who fails to complete the MCLE requirement by the June 30 deadline, or fails to file by the July 31 deadline, will be assessed a $100 late fee.

(3) Lawyers and licensed paralegal practitioners who fail to comply with the MCLE requirements and are administratively suspended under Rule 11-615 will be assessed, in addition to the filing fee and late fee, a $200 reinstatement fee or if the failure to comply is a repeat violation within the past five years, a $500 reinstatement fee.

(c) Maintaining proof of compliance.

(1) Each lawyer or licensed paralegal practitioner will maintain proof to substantiate the information provided on the filed Certificate of Compliance.

(2) The proof may contain, but is not limited to, certificates of completion or attendance from sponsors, certificates from course leaders, or materials related to credit.

(3) The lawyer or licensed paralegal practitioner must retain this proof for a period of four years from the end of the period for which the Certificate of Compliance is filed.

(4) Proof must be submitted to the Board upon written request.

(d) Failure to provide proof of compliance; rebuttable presumption. Failure by the lawyer or licensed paralegal practitioner to produce proof of compliance within 15 days after written request by the Board constitutes a rebuttable presumption that the lawyer or licensed paralegal practitioner has not complied with the MCLE requirements for the applicable time period.

(e) Verification period. The Board may, at any time within four years after the Certificate of Compliance has been filed, commence verification proceedings to determine a lawyer’s or licensed paralegal practitioner’s compliance with this article.

(a) Failure to comply; petition for suspension. A lawyer or licensed paralegal practitioner who fails to comply with reporting provisions of Rule 11-614 will be assessed a late fee.

(1) On September 15, a lawyer who fails to comply with Rule 11-614 or who files a Certificate of Compliance showing that the lawyer has failed to complete the required number of hours of MCLE will be administratively suspended from the practice of law, beginning on October 1, and notified of the administrative suspension by certified mail, return receipt requested.

(2) On September 15, failure of a licensed paralegal practitioner to comply with Rule 11-614, or receipt of a Certificate of Compliance showing that the licensed paralegal practitioner has failed to complete the required number of hours of MCLE, will result in administrative suspension of the licensed paralegal practitioner’s license, beginning on October 1, and notification of the administrative suspension by certified mail, return receipt requested.

(b) Reinstatement prior to an administrative suspension for three or more years. The Supreme Court may reinstate a lawyer or licensed paralegal practitioner suspended under the provisions of this rule upon motion of the Board showing that prior to the administrative suspension of three or more years the lawyer or licensed paralegal practitioner has cured the delinquency for which the lawyer or licensed paralegal practitioner has been suspended and that the lawyer or licensed paralegal practitioner has paid all required fees.

(c) Readmission of a lawyer after an administrative suspension for three or more years. A lawyer who seeks readmission after an administrative suspension for three or more years must comply with the readmission requirements set forth in Rule 14-717 (a).

(d) Relicensure of a licensed paralegal practitioner after an administrative suspension for three or more years. A licensed paralegal practitioner who seeks relicensure after an administrative suspension for three or more years must comply with the requirements set forth in Rule 15-717 (a).

(e) Waivers and extensions of time. For good cause shown, the Board may use its discretion in cases involving hardship or extenuating circumstances to grant waivers of the minimum MCLE requirements or extensions of time within which to fulfill the requirements. Active Utah lawyers will not be granted a waiver of the CLE requirements in Utah if they are living outside of Utah and practicing law in other jurisdictions. These Active Utah lawyers must comply with the Utah CLE requirements or change from active to inactive status. Active Utah licensed paralegal practitioners will not be granted a waiver of the CLE requirements in Utah if they are living outside of Utah and practicing in other jurisdictions. These Active Utah licensed paralegal practitioners must comply with the Utah CLE requirements or change from active to inactive status.

(f) Deferrals. The Board may defer MCLE requirements in the event of the lawyer's or licensed paralegal practitioner’s serious illness.

(g) Petition to appeal. Any lawyer or licensed paralegal practitioner who is aggrieved by any Board decision under this rule may, within 30 days from the date of the mailing of the notice of decision, appeal to the Board requesting a hearing by filing a petition setting forth the decision and the relief sought along with the factual and legal basis. Unless a petition is timely filed, the Board's decision is final.

(1) The Board may approve a petition without hearing or may set a date for hearing. If the Board determines to hold a hearing, the Board will provide the lawyer or licensed paralegal practitioner at least 14 days’ notice of the time and place set for the hearing. Testimony taken at the hearing will be under oath. The Board will enter written findings of fact, conclusions of law, and a decision on each petition. The Board will send a copy of its findings of fact, conclusions of law, and a decision by certified mail, return receipt requested, to the lawyer or licensed paralegal practitioner.

(2) The Board may grant the petitioner an extension of time within which to comply with this rule.

(3) Except as provided in paragraph (h), the Board's decisions are final and are not subject to further review.

(h) Appeal to Supreme Court. A Board decision denying a request for waiver or a Board decision to suspend the lawyer or licensed paralegal practitioner is final and not subject to further review unless within 30 days from the date of the mailing of the notice of decision, the lawyer or licensed paralegal practitioner files a written notice of appeal with the Supreme Court.

(1) Transcripts. To perfect an appeal to the Supreme Court, the lawyer or licensed paralegal practitioner must, at the lawyer’s or licensed paralegal practitioner’s expense, obtain a transcript of the proceedings from the Board. If testimony was taken before the Board, the Board will certify that the transcript contains a fair and accurate report of the proceedings. The Board will prepare and certify a transcript of all orders and other documents pertinent to the proceeding before it and file them promptly with the Supreme Court clerk. The Supreme Court will hear the appeal under this article and other applicable Supreme Court rules.

(2) The time set forth in this article for filing notices of appeal are jurisdictional. The Board or the Supreme Court, as to appeals pending before each such body may, for good cause shown either extend the time for the filing or dismiss the appeal for failure to prosecute.

(a) A lawyer on active status who is not engaged in the practice of law in Utah, or a licensed paralegal practitioner on active status who is not engaged in practice in Utah, may file and attach to the lawyer’s or licensed paralegal practitioner’s Utah Certificate of Compliance evidence showing that the lawyer or licensed paralegal practitioner has met the Utah MCLE requirements in Rule 11-604 with CLE courses accredited in the state in which the lawyer or licensed paralegal practitioner resides and practices. This may include CLE transcripts, certificates of compliance, certificates of attendance, or other information indicating the identity of the accrediting jurisdiction.

(1) The lawyer or licensed paralegal practitioner must attach to the lawyer’s or licensed paralegal practitioner’s Utah Certificate of Compliance a copy of the lawyer’s or licensed paralegal practitioner’s CLE transcript from the reciprocal jurisdiction where the lawyer or licensed paralegal practitioner practices, together with evidence that the lawyer or licensed paralegal practitioner has completed a minimum of one hour of Ethics CLE and one hour of Professionalism and Civility CLE.

(2) If the lawyer or licensed paralegal practitioner lives in a jurisdiction where there is not a CLE requirement, the lawyer or licensed paralegal practitioner must comply with the Utah CLE requirements or place the lawyer’s or licensed paralegal practitioner’s license on inactive status.

(b) Upon application by a lawyer or licensed paralegal practitioner on active status, the Board may grant a waiver of the MCLE requirements of Rule 11-604 and issue a certificate of exemption if the lawyer or licensed paralegal practitioner:

(1) resides in a remote location outside of Utah where audio or video presentations or computer interactive telephonic programs sufficient to allow the lawyer or licensed paralegal practitioner to participate in CLE credit hours are not reasonably available to the lawyer or licensed paralegal practitioner; and

(2) is engaged in full-time volunteer work for a religious or charitable organization.

(a) All fees under this article are established by the Board and will be deposited in a special account of the Board and used to defray the costs of administering this article.

(b) A lawyer must pay an administrative fee for preparation and mailing of certificates of CLE compliance to other states, for filing House Counsel Certificates of Compliance from the jurisdiction where the House Counsel maintains an active license, or for filing an Out of State Certificate of Compliance form. The Board may establish other fees to defer administrative costs related to requests for Accreditation with Supreme Court approval.

(c) Members of the Board are not compensated but will be reimbursed for reasonable and necessary expenses incurred in the performance of their duties under this article.

(d) All CLE sponsors who offer any course for Utah Accredited CLE must pay to the Board, within 30 days following the course, a fee of $1.50 per credit hour per attendee. The required fee must accompany the required registration list. The $1.50 per credit hour fee will cap at $15 per attendee.

(1) All CLE sponsors that do not charge registration fees but submit more than 50 programs annually must pay to the Board additional application fees.

(2) If the CLE sponsor is a government or non-profit agency that is offering a program free of charge, the fees may be waived.

(e) Any lawyer or licensed paralegal practitioner who is required by this article to apply to the Board for CLE must pay a fee of $10 at the time of application.

(f) Any lawyer subject to NLTP requirements must pay a separate and additional fee of $300 to the Bar as specified in the NLTP Manual.

(g) Presumptive CLE providers are required to pay an annual fee. The presumptive provider fee must be paid by January 1st of each year and is good through December 31st of each year.

(1) Presumptive CLE providers that submit more than 50 applications annually must pay additional presumptive fees established by the Board.

(h) A CLE provider that is not a Presumptive CLE provider will pay an application fee established by the Board for each CLE application submitted by the CLE provider.

(a) Remote Group CLE is one method by which an attorney or licensed paralegal practitioner may obtain Verified CLE.

(b) Remote Group CLE must:

(1) be presented from a location in Utah via a live streaming audio-visual presentation to a remote location or remote locations in Utah, approved by the Board, where the lawyer or licensed paralegal practitioner is present;

(2) allow attendees to ask, and receive answers to, questions during the CLE presentation via voice or an electronic method; and

(3) be sponsored or cosponsored by the Bar.

(c) A person who applies for approval of a remote location must:

(1) ensure that the location is large enough to allow at least ten lawyers or licensed paralegal practitioners to attend at the remote location and to accommodate more lawyers or licensed paralegal practitioners than the number that will attend from the same firm or office;

(2) ensure that the remote location is open to any member of the Bar who wishes to attend at the remote location, subject to maximum occupancy requirements; and

(3) within five days after the day of the Remote CLE, provide the Bar with a list containing the names and Bar numbers of each attorney and each licensed paralegal practitioner who attended the CLE at the remote location.

(d) Remote location approval for Remote Group CLE occurs as follows:

(1) The Bar will post notice of the Remote Group CLE on the Bar’s website at least 30 days before the day of the CLE, including in the notice the process and deadline to apply for approval of a remote location.

(2) No later than seven days before the day of the CLE, a person may apply to the Bar's CLE Department for approval of a remote location.

(3) The application for approval of a remote location must include: the title of the CLE; the address of the remote location; a description of the remote location, including the maximum occupancy of the remote location; a description of the equipment that will be used at the remote location to comply with the communication requirements; the name and contact information of a person who will be available during presentation of the CLE to resolve any technical issues relating to communication and communication equipment at the remote location; subject to maximum occupancy requirements, a statement that any member of the Bar is able to attend the CLE at the remote location at no cost other than the cost imposed by the CLE provider for the CLE; and any other information required by the Board.

(4) Upon approval by the Bar of the remote location, the Bar will post notice of the remote location on the Bar’s website.

(a) CLE credit for Pro Bono Legal Services. A lawyer may be awarded a maximum of two CLE credits per Compliance Cycle for providing Pro Bono Legal Services or mentoring another lawyer or a law student providing Pro Bono Legal Services.

(b) Pro Bono referral source. To receive Pro Bono Legal Services CLE credit under this rule, the services rendered must be referred from a Utah court, the Utah State Bar, or a sponsoring entity. The Pro Bono referral must remain under the direction of the Utah court, the Utah State bar, or the sponsoring entity that provided the referral.

(c) Permissible CLE credit. One Elective CLE credit hour will be awarded for the following:

(1) providing the equivalent of five hours of Pro Bono Legal Services; or

(2) mentoring a lawyer or a law student on an entire Pro Bono matter that is equal to at least five hours.

(d) Declaration of services form. A lawyer seeking CLE credit under this rule must, consistent with Rule 11-614, complete a declaration of services form to keep with the lawyer’s records. Earned credit hours must be reported on an attorney’s Certificate of Compliance.

The Supreme Court created the Office of Legal Services Innovation and the Legal Services Innovation Committee to assist the Supreme Court in overseeing and regulating nontraditional legal services providers and the delivery of nontraditional legal services through a pilot legal regulatory sandbox. The Office of Legal Services Innovation will be housed at the Utah State Bar and is responsible for operating the legal regulatory sandbox in accordance with the policies adopted by the Supreme Court. The Office of Legal Services Innovation Committee is a Supreme Court advisory committee that makes policy-based recommendations for action by the Court.

(a) Composition. The Legal Services Innovation Committee must have at least ten members and include the following:

1. one elected Utah State Bar Commissioner;

2. one member of the Utah State Bar’s Access to Justice Commission;

3. the director of the Utah State Court’s Self Help Center or the director’s designee;

4. two experts in relevant fields, such as legal regulation, consumer legal needs, or data collection and analysis;

5. two Utah attorneys experienced in areas of law directly serving consumers;

6. one Utah licensed paralegal practitioner; and

7. one non-attorney member experienced in working with traditionally underserved communities.

(b) Terms. Members are appointed for staggered three-year terms, unless the Supreme Court determines that a different term length is appropriate for the needs of the Committee. The Supreme Court will appoint the chair and vice-chair. No Committee member may serve more than two full consecutive terms unless appointed as the chair, vice-chair, or when justified by special circumstances. The Committee may also have up to two non-voting emeritus members. An emeritus member has the same authority and duties as other Committee members, except that the member does not have authority to vote. An emeritus member may serve two full terms in addition to the terms served as a member.

(c) Application and recruitment of committee members. In the event of a committee vacancy, the Supreme Court, after consulting with the Committee chair, will appoint a new Committee member from the same category as the prior Committee member, if applicable. The new Committee member serves for the remaining unexpired term and thereafter is eligible to serve two additional consecutive terms.

(e) Absences. In the event a Committee member fails to attend three Committee meetings during a calendar year, the chair may notify the Supreme Court of those absences and may request that the Supreme Court replace that Committee member.

(f) Administrative assistance. The Utah State Bar will provide administrative assistance to the Committee.

(g) Staff. The Office of Legal Services Innovation’s Program Director will serve as staff and chief advisor to the Committee. The Program Director will be appointed by the Utah Supreme Court with the advice of the Utah State Bar.

(a) Intent. To establish procedures for the disclosure, recusal, or disqualification of a Committee member’s participation in any Committee action where a qualifying conflict of interest exists.

(b) Disclosure.

(1) A committee member must disclose any conflict of interest before the Committee takes action on an item in which the member has a conflict of interest.

(2) Each Committee member must disclose to the Committee the member’s professional or personal relationship or other conflict of interest with a subject party.

(3) Relationships that may affect an evaluation of the subject party include any contact or association that might influence a Committee member’s ability to fairly and reasonably evaluate a subject party without bias or prejudice, including but not limited to:

(A) a familial relationship with to a subject party within the third degree of relationship;

(B) any business or personal relationship between the Committee member and a subject party; and

(C) any personal litigation directly or indirectly involving a subject party and the Committee member, the Committee member’s family, or the Committee member’s business.

(c) Recusal.

(1) As used in this rule, recusal is a voluntary act of self-disqualification from an action item by a Committee member.

(2) After making a disclosure under paragraph (b), a Committee member may recuse if the Committee member believes the relationship with the subject party or other parties will affect the member’s evaluation of the subject party.

(3) A Committee member need not recuse if the member believes the member can be fair and unbiased.

(4) The Committee chair may order a Committee member be disqualified for either a disclosed or undisclosed apparent conflict of interest.

(d) Disqualification procedures.

(1) A subject party may move to disqualify a Committee member if such member:

(A) makes a disclosure and does not voluntarily recuse, and that member’s impartiality might reasonably be questioned; or

(B) does not make a disclosure, but known circumstances suggest the Committee member’s impartiality might reasonably be questioned.

(2) A motion to disqualify a Committee member must be submitted to the Committee staff member for review by the chair or vice chair before the applicable Committee meeting.

(a) Review of Sandbox Applications. The Committee reviews entity applications and assesses whether the entity has met the requirements for admission to the Sandbox. The Committee may require the applicant to provide additional information, may deny an application, or may recommend that the Supreme Court approve the application.

1. Denials. If the committee denies an entity application, the applicant may submit a request for reconsideration to the Committee. If the Committee denies the request for reconsideration, the entity applicant may appeal the denial to the Supreme Court.

(b) Policy Development. The Committee is responsible for developing and recommending policies to the Supreme Court to ensure that consumers have access to a well-developed, high-quality, innovative, affordable, and competitive market for legal services.

(c) Monitoring and Reporting. The Committee monitors entity data, consumer complaints, and the results of pre-launch assessments and audits for evidence of consumer harm. The Committee reports its findings and recommendations to the Supreme Court on a regular basis.

(d) Disciplinary Actions. The Committee may suspend or terminate any entity’s authorization as governed by the Innovation Office Manual.

1. Appealing Disciplinary Status. An entity may appeal its suspension or termination by submitting a request for reconsideration to the Committee. If the Committee denies the request for reconsideration, the entity may appeal the denial to the Supreme Court.

2. Reinstatement after Suspension or Termination.

A. Suspension. An entity may apply for reinstatement at any time by submitting an affidavit for reinstatement.

B. Termination. A previously terminated entity may apply for reinstatement after three years from the termination date.

(e) Withdrawal. The Committee may approve an entity’s request to withdraw from the Sandbox. The Committee will notify the Supreme Court of the withdrawal.

(a) Private Data. The data reported by Sandbox entities are classified as “protected records” under the Utah Code of Judicial Administration (UCJA) Rule 4-202.02. The data will not be released publicly, although the Supreme Court may share reported data with external researchers who enter into research agreements with the Administrative Office of the Courts.