Preamble

A licensed paralegal practitioner's conduct should be characterized at all times by personal courtesy and professional integrity in the fullest sense of those terms. In fulfilling a duty to represent a client, we must be mindful of our obligations to the administration of justice, which is a truth-seeking process designed to resolve human and societal problems in a rational, peaceful, and efficient manner. We must remain committed to the rule of law as the foundation for a just and peaceful society.

Conduct that may be characterized as uncivil, abrasive, abusive, hostile, or obstructive impedes the fundamental goal of resolving disputes rationally, peacefully, and efficiently. Such conduct tends to delay and often to deny justice.

Licensed paralegal practitioners should exhibit courtesy, candor and cooperation in dealing with the public and participating in the legal system. The following standards are designed to encourage licensed paralegal practitioners to meet their obligations to each other, to litigants and to the system of justice, and thereby achieve the twin goals of civility and professionalism, both of which are hallmarks of a learned profession dedicated to public service.

Licensed paralegal practitioners should educate themselves on the potential impact of using digital communications and social media, including the possibility that communications intended to be private may be republished or misused. Licensed paralegal practitioners should understand that digital communications in some circumstances may have a widespread and lasting impact on their clients, themselves, lawyers, other licensed paralegal practitioners, and the judicial system.

Licensed paralegal practitioners are expected to make mutual and firm commitments to these standards. Adherence is expected as part of a commitment by all participants to improve the administration of justice throughout this State. We further expect licensed paralegal practitioners to educate their clients regarding these standards.

These standards should be followed by licensed paralegal practitioners in all interactions with each other, lawyers, and judges, and in any proceedings in this State. Copies may be made available to clients to reinforce our obligation to maintain and foster these standards. Nothing in these standards supersedes or detracts from existing disciplinary codes or standards of conduct.

Cross-References: L.P.P. R. Prof. Cond. Preamble [1], [13]; R. Civ. P. 1.

1. Licensed paralegal practitioners shall advance the legitimate interests of their clients, without reflecting any ill-will that clients may have for their adversaries, even if called upon to do so by another. Instead, licensed paralegal practitioners shall treat all other licensed paralegal practitioners, lawyers, parties, judges, and other participants in all proceedings in a courteous and dignified manner.

Comment: Licensed paralegal practitioners should maintain the dignity and decorum of judicial and administrative proceedings, as well as the esteem of the legal profession.

Licensed paralegal practitioners are expected to refrain from inappropriate language, maliciousness, or insulting behavior in meetings with opposing licensed paralegal practitioners, lawyers, and clients, telephone calls, email, and other exchanges. They should use their best efforts to instruct their clients to do the same.

Cross-References: L.P.P. R. Prof. Cond. 1.4, 1.16(a)(1), 2.1, 3.1, 3.2, 3.3(a)(1), 3.4, 3.5(d), 3.8, 3.9, 4.1(a), 4.4(a), 8.4(d); R. Civ. P. 10(h), 12(f).

2. Licensed paralegal practitioners shall advise their clients that civility, courtesy, and fair dealing are expected. They are tools for effective advocacy and not signs of weakness. Clients have no right to demand that licensed paralegal practitioners abuse anyone or engage in any offensive or improper conduct.

Cross-References: L.P.P. R. Prof. Cond. Preamble [5], 1.2(a), 1.2(d), 1.4(a)(5).

3. Licensed paralegal practitioners shall not, without an adequate factual basis, attribute to other licensed paralegal practitioners, lawyers, or the court improper motives, purpose, or conduct. Licensed paralegal practitioners should avoid hostile, demeaning, or humiliating words in written and oral communications with adversaries. Written submissions should not disparage the integrity, intelligence, morals, ethics, or personal behavior of an adversary unless such matters are directly relevant under controlling substantive law.

Comment: Hostile, demeaning, and humiliating communications include all expressions of discrimination on the basis of race, religion, gender, sexual orientation, age, handicap, veteran status, or national origin, or casting aspersions on physical traits or appearance. Licensed paralegal practitioners should refrain from acting upon or manifesting bigotry, discrimination, or prejudice toward any participant in the legal process, even if a client requests it.

Licensed paralegal practitioners should refrain from expressing scorn, superiority, or disrespect. Legal process should not be issued merely to annoy, humiliate, intimidate, or harass.

Cross-References: L.P.P. R. Prof. Cond. Preamble [5], 3.1, 3.5, 8.4; R. Civ. P. 10(h).

4. Licensed paralegal practitioners shall never knowingly attribute to other licensed paralegal practitioners, or to lawyers, a position or claim that the other professional has not taken or seek to create such an unjustified inference or otherwise seek to create a “record” that has not occurred.

Cross-References: L.P.P. R. Prof. Cond. 3.1, 3.3(a)(1), 3.5(a), 8.4(c), (d).

5. Reserved.

6. Licensed paralegal practitioners shall adhere to their express promises and agreements, oral or written, and to all commitments reasonably implied by the circumstances or by local custom.

Cross-References: L.P.P. R. Prof. Cond. 1.1, 1.3, 1.4(a), (b), 1.6(a), 1.9, 1.13(a), (b), 1.14, 1.15, 1.16(d), 1.18(b), (c), 2.1, 3.2, 3.3, 3.4(c), 3.8, 5.1, 5.3, 8.3(a), (b), 8.4(c), (d).

7. When committing oral understandings to writing, licensed paralegal practitioners shall do so accurately and completely. They shall provide other licensed paralegal practitioners or lawyers a copy for review, and never include substantive matters upon which there has been no agreement, without explicitly advising the other licensed paralegal practitioner or lawyer. As drafts are exchanged, licensed paralegal practitioners shall bring to the attention of other licensed paralegal practitioners or lawyers changes from prior drafts.

Comment: When providing the opposing party with a copy of any negotiated document for review, a licensed paralegal practitioner should not make changes to the written document in a manner calculated to cause the opposing party or that party’s representative to overlook or fail to appreciate the changes. Changes should be clearly and accurately identified in the draft or otherwise explicitly brought to the attention of the opposing party. Licensed paralegal practitioners should be sensitive to, and accommodating of, other professionals’ inability to make full use of technology and should provide hard copy drafts when requested and a redline copy, if available.

Cross-References: L.P.P. R. Prof. Cond. 3.4(a), 4.1(a), 8.4(c), (d).

8. Reserved.

9. Reserved.

10. Reserved.

11. Licensed paralegal practitioners shall avoid impermissible ex parte communications.

Cross-References: L.P.P. R. Prof. Cond. 1.2, 2.2, 2.9, 3.5, 5.1, 5.3, 8.4(a), (d).

12. Reserved.

13. Reserved.

14. Licensed paralegal practitioners shall advise their clients that they reserve the right to determine whether to grant accommodations to other licensed paralegal practitioners or lawyers in all matters not directly affecting the merits of the cause or prejudicing the client’s rights, such as extensions of time. Licensed paralegal practitioners shall agree to reasonable requests for extension of time when doing so will not adversely affect their clients’ legitimate rights.

Licensed paralegal practitioners shall never request an extension of time solely for the purpose of delay or to obtain a tactical advantage.

Comment: Licensed paralegal practitioners should not evade communication with other professionals, should promptly acknowledge receipt of any communication, and should respond as soon as reasonably possible. Licensed paralegal practitioners should only use data-transmission technologies as an efficient means of communication and not to obtain an unfair tactical advantage. Licensed paralegal practitioners should be willing to grant accommodations where the use of technology is concerned, including honoring reasonable requests to retransmit materials or to provide hard copies.

Licensed paralegal practitioners should not request inappropriate extensions of time or serve papers at times or places calculated to embarrass or take advantage of an adversary.

Cross-References: L.P.P. R. Prof. Cond. 1.2(a), 2.1, 3.2, 8.4.

15. Reserved.

16. Licensed paralegal practitioners shall not cause the entry of a default without first notifying the other party’s lawyer or licensed paralegal practitioner whose identity is known, unless their clients’ legitimate rights could be adversely affected.

Cross-References: L.P.P. R. Prof. Cond. 8.4; R. Civ. P. 55(a).

17. Reserved.

18. Reserved.

19. Reserved.

20. Licensed paralegal practitioners shall not authorize or encourage their clients or anyone under their direction or supervision to engage in conduct proscribed by these Standards.

As used in this article:

(a) “ABA” means the American Bar Association.

(b) “Accredited Program” means a course of instruction in paralegal studies from a program officially recognized as meeting the standards and requirements of a regional or national accrediting organization that is approved by the U.S. Department of Education, or a paralegal school or paralegal studies program that has been fully or provisionally approved by the ABA Standing Committee on Paralegals.

(c) “Accredited School” means a school officially recognized as meeting the standards and requirements of a regional or national accrediting organization that is approved by the U.S. Department of Education.

(d) “Applicant” means each person requesting licensure as a Licensed Paralegal Practitioner.

(e) “Approved Law School” means a law school which is fully or provisionally approved by the ABA pursuant to its Standards and Rules of Procedure for Approval of Law Schools. To qualify as approved, the law school must have been fully or provisionally approved at the time of the Applicant’s graduation, or at the time of the Applicant’s enrollment, provided the Applicant graduated within a typical and reasonable time.

(f) “Associate Degree” means an undergraduate academic degree conferred by a college upon completion of the curriculum required for an associate degree.

(g) “Bachelor’s Degree” means an academic degree conferred by a college or university upon completion of the undergraduate curriculum.

(h) “Bar” means the Utah State Bar, including its employees, committees and the Board.

(i) “Board” means the Board of Bar Commissioners.

(j) “Complete Application” means an application that includes all fees and necessary application forms, along with any required supporting documentation, character references, a criminal background check, a photo, an official certificate of graduation and if applicable, a test accommodation request with supporting medical documentation.

(k) “Confidential Information” is defined in Rule 15-720(a).

(l) “Disbarred Lawyer” means an individual who was once a licensed lawyer and is no longer permitted to practice law.

(m) “Executive Director” means the executive director of the Utah State Bar or designee.

(n) “First Professional Degree” means a degree that prepares the holder for admission to the practice of law (e.g. juris doctorate) by emphasizing competency skills along with theory and analysis. An advanced, focused, or honorary degree in law is not recognized as a First Professional Degree (e.g. master of laws or doctor of laws).

(o) “Full-time” means providing legal services as a paralegal for no fewer than 80 hours per month.

(p) “General Counsel” means the General Counsel of the Utah State Bar or designee.

(q) “Licensed Paralegal Practitioner” means a person licensed by the Utah Supreme Court to provide limited legal representation in the practice areas of (1) temporary separation, divorce, parentage, cohabitant abuse, civil stalking, custody and support, name or gender change, and petitions to recognize a relationship as a marriage, (2) forcible entry and detainer and unlawful detainer; or (3) debt collection matters in which the dollar amount in issue does not exceed the statutory limit for small claims cases.

(r) “LPP” means Licensed Paralegal Practitioner.

(s) “LPP Administrator” means the Bar employee in charge of LPP licensure or designee.

(t) “LPP Admissions Committee” means those Utah State Bar members or others appointed by the Board or president of the Bar who are charged with recommending standards and procedures for licensure of LPPs, with implementation of this article, reviewing requests for test accommodations, and assessing the qualifications of applicants.

(u) “NALA” means the National Association of Legal Assistants.

(v) “NALS” means The Association for Legal Professionals.

(w) “NFPA” means the National Federation of Paralegal Associations.

(x) “National Certification” means Certified Paralegal (CP or CLA) credential from the National Association of Legal Assistants (NALA); the Professional Paralegal (PP) credential from the National Association of Legal Professionals (NALS); or the Registered Paralegal (RP) credential from the National Federation of Paralegal Associations (NFPA).

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

(z) “Paralegal” means a person qualified through education, training, or work experience, who is employed or retained by a lawyer, law office, governmental agency, or the entity in the capacity or function which involves the performance, under the ultimate direction and supervision of an attorney, of specifically delegated substantive legal work, which work, for the most part, requires a sufficient knowledge of legal concepts that absent such assistance, the attorney would perform.

(aa) “Paralegal Certificate” means verification that an individual has successfully completed a paralegal studies program from an Accredited Program that includes at least 15 credit hours of paralegal studies. The certificate must be offered, taught, and granted by an Accredited Program.

(bb) “Paralegal Studies” and “Paralegal Studies Degree” mean course work that prepares a holder to work as a paralegal.

(cc) “Privileged Information” in this article includes: information subject to the attorney-client privilege, attorney work product, test materials and applications of examinees; correspondence and written decisions of the Board and LPP Admissions Committee, and the identity of individuals participating in the drafting, reviewing, grading and scoring of the LPP Licensure Examination.

(dd) “Reapplication for Licensure” means that for two years after the filing of an original application, an Applicant may reapply by completing a Reapplication for Licensure form updating any information that has changed since the prior application was filed and submitting a new criminal background check.

(ee) “Specialized Course of Instruction” means a course that has been approved by the Board to provide instruction in professional ethics or the subject areas for which LPP’s are licensed.

(ff) “Substantive Law-Related Experience” means the provision of legal services as a Paralegal, paralegal student or law student including, but not limited to, drafting pleadings, legal documents, or correspondence, completing forms, preparing reports or charts, legal research, and interviewing clients or witnesses. Substantive Law-Related Experience does not include routine clerical or administrative duties. Substantive Law-Related Experience for licensure in landlord-tenant and debt collection includes, but is not limited to, legal services provided in the areas of bankruptcy, real estate, mortgage and/or banking law.

(gg) “Substantive Legal Course” means a course offered for academic credit by an Approved Law School, an Accredited School, or an Accredited Program. Any course by an Approved Law School is a Substantive Legal Course. Any non-general education course required as part of a Paralegal Studies Degree or Certificate by an Approved School of an Approved Program, including required electives, is a Substantive Legal Course.

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

(ii) “Unapproved Law School” means a law school that is not fully or provisionally approved by the ABA.

(jj) “Updated Application” means that an Applicant is required to amend and update the Applicant’s application on an ongoing basis and correct any information that has changed since the application was filed.

(a) LPP Licensure. The Board shall recommend and certify to the Supreme Court for licensure as an LPP persons who possess the necessary qualifications of learning, ability and character which are a prerequisite to the privilege of licensure as an LPP, and who fulfill the requirements for licensure as provided by this article.

(b) Subpoena power. The Executive Director and the General Counsel shall have power to issue subpoenas for the attendance of witnesses or for the production of documentary evidence before the Board or before anyone authorized to act on its behalf.

(c) Administration of oaths. Members of the Board, the Executive Director and their designees shall have power to administer oaths in furtherance of this article.

(d) Taking of testimony. Members of the Board, the Executive Director and their designees shall have the power to take testimony in furtherance of this article.

(e) Regulations. The Board is empowered to appoint committees or persons who may adopt and enforce reasonable regulations and policies in furtherance of this article.

(f) Waiver of rules. Neither the Bar nor its representatives has authority to waive any rule. Waiver of any rule may only be obtained by petitioning the Supreme Court.

(a) Requirements of Licensed Paralegal Practitioner Applicants. The burden of proof is on the Applicant to establish by clear and convincing evidence that the Applicant:

(1) paid the prescribed application fees;

(2) is at least 21 years old;

(3) has:

(A) graduated with a First Professional Degree in law from an Approved Law School; or

(B) graduated with an Associate’s Degree in paralegal studies from an Accredited School or Accredited Program; or an Associate’s Degree in any subject from an Accredited School or Accredited Program plus a Paralegal Certificate from an Accredited School or Accredited Program; or

(C) graduated with a Bachelor’s Degree in any subject from an Accredited School or Accredited Program; or

(D) graduated with a Master’s Degree in legal studies or equivalent that is offered through an Approved Law School; or

(E) obtained either the Certified Paralegal (CP or CLA) credential from the National Association of Legal Assistants (NALA); the Professional Paralegal (PP) credential from the National Association of Legal Professionals (NALS); or the Registered Paralegal (RP) credential from the National Federation of Paralegal Associations (NFPA).

(4) is of good moral character and satisfies the requirements of Rule 15-708; and

(5) has a proven record of ethical, civil, and professional behavior.

(b) Specialized Course of Instruction requirement. If the Applicant has not graduated with a First Professional Degree in law from an approved law school, the Applicant must take a Specialized Course of Instruction, as defined in Rule 15-701, in:

(1) professional ethics for Licensed Paralegal Practitioners; and

(2) each subject for which the Applicant seeks to be licensed.

(c) Substantive Law-Related Experience requirement. An Applicant must have 1500 hours of Substantive Law-Related Experience, as defined in Rule 15-701, within the last 3 years, including 500 hours of Substantive Law-Related Experience in temporary separation, divorce, parentage, cohabitant abuse, civil stalking, custody and support, and name or gender change, and petitions to recognize a relationship as a marriage if the Applicant is to be licensed in that area, or 100 hours of Substantive Law-Related Experience in forcible entry and detainer or debt collection if the Applicant is to be licensed in those areas. Except as provided in paragraph (d), the Substantive Law-Related Experience must have been supervised by a lawyer licensed in any state or a Utah Licensed Paralegal Practitioner.

(d) Substantive Law-Related Experience in a school or program. An Applicant may submit a transcript from an Approved Law School, an Accredited School, or an Accredited Program and receive a maximum of 750 credit hours toward the Substantive Law-Related Experience requirements under the following conditions:

(1) Courses must have been completed within the five years prior to applying for licensure as a Licensed Paralegal Practitioner.

(2) The transcript must specifically note the Substantive Legal Course, as that term is defined in Rule 15-701, for which the Applicant requests credit under this paragraph.

(3) The transcript or other documentation must note whether the credits are semester-based or quarter-based.

(4) For credit to apply to a specific practice area, the Applicant must specifically request that a course apply and also demonstrate that the course covers the specific area of practice.

(5) Upon request, the Applicant must provide the course description, syllabus, or other course materials.

(6) To receive Substantive Law-Related Experience credit, a course must meet the definition of Substantive Legal Course under Rule 15-701, as determined by the LPP Admissions Committee.

(e) Credit for Substantive Legal Courses. Substantive Law-Related Experience credit for a Substantive Legal Course will be given as follows:

(1) If the course is offered at an institution that works on the common semester model, the Applicant will receive 30 Substantive Law-Related Experience hours for each credit hour of the course.

(2) If the course is offered at an institution that works on the common quarter model, Applicants will receive 20 Substantive Law-Related Experience hours for each credit hour of the course.

(3) If the course is offered using any other formula, the Applicant must submit documentation of the actual hours of classroom instruction along with the hours of out-of-classroom work expected by the program or school. The committee will determine how many Substantive Law-Related Experience hours to grant the Applicant based on a rough equivalence to the semester or quarter models.

(f) Examination requirement. An Applicant must successfully pass:

(1) the Licensed Paralegal Practitioner Ethics Examination; and

(2) the Licensed Paralegal Practitioner Examination(s) for the practice area(s) in which the Applicant seeks licensure.

(g) Licensure and fee requirements. Upon successfully completing the application and examination requirements, an Applicant must comply with the provisions of Rule 15-716 concerning licensing and enrollment fees before the Applicant will be licensed.

(h) Disqualification. An individual who has been disbarred or suspended in any jurisdiction may not apply for licensure as a Paralegal Practitioner.

(a) Disabilities and impairments. An Applicant who has mental, physical, or cognitive disabilities as defined by the Americans with Disabilities Act ("ADA") may request test accommodations. The request, including all supporting medical documentation, shall be made in writing at the time of application in the format prescribed by the Bar. The decision on such requests shall be made by the LPP Admissions Committee. Test accommodation requests received after the application filing deadline shall not be considered until the review period prior to the immediately following examination. An Applicant requesting test accommodations who withdraws within 60 days prior to the examination date may be charged a fee equivalent to any nonrefundable expenses the Bar has incurred responding to the accommodation request. The Applicant must demonstrate that:

(a)(1) she or he is disabled as defined by the ADA; and

(a)(2) the disability impacts her or his ability to take the Paralegal Practitioner Examination(s); and

(a)(3) the accommodation requested is necessary to meet the limitation caused by the disability.

(b) English as a second language. English as a second language is not a cognitive disability or impairment.

(c) Review. An Applicant may request a review of the decision. The review will be conducted in accordance with Rule15-715.

(c)(1) The review will only reexamine the documentation the Applicant submitted at the time she or he requested accommodation, the written opinion of the Committee’s psychologist, the written recommendation of the LPP Admissions Committee and the Bar’s written decision.

(c)(2) Any attempt to change the original accommodations request or submit new medical documentation will be considered a new request for accommodation. The new request must be resubmitted to the LPP Admissions Committee for review and is subject to the deadlines set forth in Rule 15-706(a).

(a) Form. Each Applicant must submit a Complete Application for licensure in accordance with the instructions prescribed by the Bar. Such application must include an authorization and release enabling the Bar to obtain information concerning the Applicant.

(b) Filing deadlines generally. Except as otherwise provided herein, the Bar must receive the Complete Application by October 1 preceding the March LPP Examination and by April 1 preceding the August LPP Examination. A Complete Application will be accepted up to 15 calendar days after the filing deadline if accompanied by the prescribed 15-day late fee. A Complete Application will be accepted up to November 1 for the March LPP Examination if accompanied by the prescribed 30-day late fee and up to May 1 for the August LPP Examination if accompanied by the prescribed 30-day late fee. In accordance with the filing instructions and information for the application, late or incomplete applications will not be accepted with the following exceptions:

(1) An Applicant who has not received the criminal background report may submit the application without a criminal background report provided the Applicant provides proof that a criminal background request has been filed prior to submission of the application. Sufficient proof of submission of the criminal background request must be by declaration in the form prescribed by the Bar. In order for the Applicant’s name to be included on a motion for licensure the criminal background report must be submitted to the Bar no later than 14 calendar days prior to the date the motion is submitted to the Court. The LPP Admissions Committee may withdraw or modify its approval based upon information contained in the criminal background report. In the event the criminal background report is not timely received by the Bar, an Applicant will not be included on the motion for licensure.

(2) An applicant may submit an application without having completed the national certification requirements set forth in 15-703(a)(3)(E), provided that the national certification is completed within one year of the successful passage of the LPP examination. An applicant will be unable to obtain licensure prior to successfully completing the national certification.

(c) Withdrawal of applications and refunds. To withdraw an application, the applicant must provide written notice to the LPP Admissions Office. If written notice of withdrawal is received by the LPP Admissions Office 30 calendar days or more before the examination date, one-half of the filing fee will be refunded, unless the Applicant withdraws after appearing before the LPP Admissions Committee or after the Bar has incurred nonrefundable expenses related to a test accommodation request. Late fees, computer fees, and the application fees of Applicants not taking the licensing exam are nonrefundable.

(d) Postponement of application. An Applicant may only postpone or transfer the application due to emergency circumstances or pursuant to Rule 15-708(b)(4)(A). Emergency transfers are subject to the following restrictions:

(1) The Applicant must provide a written request, including payment of the prescribed transfer fee, prior to the conclusion of the licensing exam.

(2) Proof of the emergency must be provided. The reasons for the transfer are limited to two circumstances:

(A) a personal medical emergency, or

(B) a death in the immediate family.

(3) The transferring Applicant must specify which future licensing exam they plan to take. The exam must be taken within the next two scheduled licensing exams.

(4) The Applicant must provide an Updated Application by filing a Reapplication for Licensure form, updating any information that has changed since the prior application was filed, and a new criminal background check. The Reapplication for Licensure form should be submitted by the initial application deadline of October 1 preceding the March LPP Examination and by April 1 preceding the August LPP Examination. A Reapplication for Licensure will be accepted up to 15 calendar days after the filing deadline if accompanied by the prescribed 15-day late fee. A Complete Reapplication will be accepted up to November 1 for the March LPP Examination if accompanied by the prescribed 30-day late fee and up to May 1 for the August LPP Examination if accompanied by the prescribed 30-day late fee.

(5) An Applicant is entitled to one transfer only.

(e) Retaking Licensure Exam(s). An Applicant failing a licensure exam who wishes to retake the examination must file a written request, including payment of the prescribed fee, by the retake deadline. Late applications will not be accepted.

(1) The Applicant must provide an Updated Application by filing a Reapplication for Licensure form, updating any information that has changed since the application was filed, and a new criminal background check.

(2) An Applicant who fails to achieve a passing score after six Licensure Examinations may only take additional examination(s) with the permission of the LPP Admissions Committee. The applicant must file a petition with the LPP Admissions Office by the retake deadline providing good cause as to why the LPP Admissions Committee should grant such a request. Late applications will not be accepted.

(a) Standard of character and fitness. A Licensed Paralegal Practitioner’s conduct should conform to the requirements of the law, both in professional service to clients and in the Licensed Paralegal Practitioner’s business and personal affairs. A Licensed Paralegal Practitioner should be one whose record of conduct justifies the trust of clients, adversaries, courts, and others with respect to the professional duties owed to them. An Applicant whose record manifests a significant deficiency in honesty, trustworthiness, diligence, or reliability shall be denied licensure. The Applicant has the burden of proof to establish by clear and convincing evidence her or his fitness to be licensed as a Paralegal Practitioner. Applicants must be approved by the LPP Admissions Committee prior to sitting for the Paralegal Practitioner Examinations. At any time before being licensed as a Paralegal Practitioner, the LPP Admissions Committee may withdraw or modify its approval.

(b) Investigative process; investigative interview. Investigations into the character and fitness of Applicants may be informal, but shall be thorough, with the object of ascertaining the truth.

(b)(1) The LPP Admissions Committee may conduct an investigation and may act with or without requiring a personal appearance by an Applicant.

(b)(2) At the discretion of the LPP Admissions Committee, an Applicant may be required to attend an investigative interview conducted by one or more members of the Committee. The investigative interview shall be informal but the Applicant shall have the right to counsel and shall be notified in writing of the general factual areas of inquiry. Documentary evidence may be provided as part of the investigation, but no witnesses will be permitted to appear during the interview. The interview shall be a closed proceeding.

(b)(3) After an investigative interview has been conducted, the Applicant shall be notified regarding whether or not she or he has been approved to sit for the Paralegal Practitioner Examination(s). Applicants who are not approved will be notified regarding those areas that are of concern to the Committee. An Applicant seeking review of the decision must request a formal hearing within ten calendar days of notice of the Committee's decision. The request must be made in writing and provided to the LPP Administrator. The hearing will be conducted in accordance with Rule 15-708(c).

(b)(4) The Committee may determine that an Applicant must take corrective action before approval of her or his application can be granted. The Applicant shall be notified in writing of the action required. No later than 30 days prior to the date of the Paralegal Practitioner’s Examination(s), the Applicant must provide written documentation to the LPP Administrator proving that the required corrective action has been completed.

(b)(4)(A) If the documentation is not provided as required within 30 days prior to the Paralegal Practitioner’s Examination(s), the Applicant must, instead, submit to the LPP Administrator, a written request to transfer to a future exam date, including the payment of the prescribed transfer fee. The request must specify when the corrective action will be completed and which future examination(s) the Applicant intends to take.

(b)(4)(B) The exam must be taken within the next two scheduled Paralegal Practitioner Examination(s). An Applicant is entitled to one transfer only.

(b)(4)(C) The application of an Applicant who neither takes corrective action nor requests a transfer shall be considered withdrawn.

(c) Formal hearing. In matters where the LPP Admissions Committee decides to convene or an Applicant so requests, the LPP Admissions Committee shall hold a formal hearing. The formal hearing shall be a closed proceeding and may be scheduled whether or not preceded by an investigative interview.

(c)(1) A formal hearing shall be attended by no fewer than three LPP Admissions Committee members. Five calendar days before the hearing, the Applicant and the Committee must provide a list of witnesses and a copy of any exhibits to be offered into evidence. If an Applicant chooses to submit a written statement, it must also be filed five calendar days before the hearing.

(c)(2) Written notice of the formal hearing shall be given at least ten calendar days before the hearing. Notice shall be sent to the Applicant at the address in the application. The notice shall include a statement of the preliminary factual matters of concern. The matters inquired into at the hearing are not limited to those identified in the notice, but may include any concerns relevant to making a determination regarding the Applicant's character and fitness.

(c)(3) The formal hearing will have a complete stenographic record made by a certified court reporter or an electronic record made by means acceptable in the courts of Utah. All testimony shall be taken under oath. Although no formal rules of evidence or civil procedure will apply, an Applicant has the right to counsel, the right to cross-examine witnesses, the right to examine the evidence and the right to present witnesses and documentary evidence. An Applicant is entitled to make reasonable use of the Bar's subpoena powers to compel attendance of witnesses and to adduce relevant evidence relating to matters adverse to the applicant.

(c)(4) Written findings of fact and conclusions of law shall be issued no later than 45 calendar days after the formal hearing and any subsequent inquiries have been concluded. In computing the period of time, the last day of the period shall be included, unless it is a Saturday, a Sunday, or a legal holiday, in which event the period extends until the end of the next day that is not a Saturday, Sunday, or a legal holiday. “Legal holiday” includes days designated as holidays by the state or federal governments.

(d) Factors related to character and fitness. In addition to the standards set forth in Rules 15-708(a), and 15-708(f) and Rule 15-717 if applicable, the LPP Admissions Committee may use the following factors to decide whether an Applicant possesses the requisite character and fitness to be licensed as a Paralegal Practitioner:

(d)(1) the Applicant's lack of candor;

(d)(2) unlawful conduct;

(d)(3) academic misconduct;

(d)(4) making of false or misleading statements, including omissions;

(d)(5) misconduct in employment;

(d)(6) acts involving dishonesty, fraud, deceit or misrepresentation;

(d)(7) abuse of legal process;

(d)(8) neglect of financial responsibilities;

(d)(9) neglect of professional obligations;

(d)(10) violation of a court order;

(d)(11) evidence of mental or emotional instability;

(d)(12) evidence of drug or alcohol dependency;

(d)(13) lack of diligence or reliability;

(d)(14) lack of civility;

(d)(15) denial of admission to the bar in another jurisdiction on character and fitness

grounds;

(d)(16) past or pending disciplinary action by a lawyer disciplinary agency or other professional disciplinary agency of any jurisdiction; and

(d)(17) other conduct bearing upon character or fitness to be licensed as a Paralegal Practitioner.

(e) Assigning weight and significance to prior conduct. In making a determination as to the requisite character and fitness, the following factors should be considered in assigning weight and significance to prior conduct:

(e)(1) age at the time of conduct;

(e)(2) recency of the conduct;

(e)(3) reliability of the information concerning the conduct;

(e)(4) seriousness of the conduct;

(e)(5) factors underlying the conduct;

(e)(6) cumulative effect of conduct or information;

(e)(7) evidence of rehabilitation;

(e)(8) positive social contributions since the conduct;

(e)(9) candor in the admissions process;

(e)(10) materiality of any omission or misrepresentations; and

(e)(11) acceptance of responsibility for past conduct.

(f) Civil, criminal, or disciplinary charges.

(f)(1) Where bar complaints, civil cases, or criminal charges are pending, an Applicant's character and fitness review may be held in abeyance until the matter has been resolved by the authority in question.

(f)(2) An Applicant convicted of a misdemeanor offense or who has entered a plea in abeyance to any criminal offense may be asked to appear before members of the LPP Admissions Committee for an investigation interview or a formal hearing. In determining whether the Applicant is of good character, the Committee will consider the nature and seriousness of the criminal conduct resulting in the conviction(s), mitigating and aggravating factors including completion of terms and conditions of any sentence imposed, payment of restitution if applicable, and demonstration of clearly proven rehabilitation.

(f)(3) A rebuttable presumption exists against licensing of an Applicant convicted of a felony offense. For purposes of this rule, a conviction includes entry of a nolo contendre (no contest) plea. An Applicant who has been convicted of a felony offense is not eligible to apply for licensure until after the date of completion of any sentence, term of probation or term of parole or supervised release, whichever occurred last. Upon an Applicant's eligibility, a formal hearing may be held as set forth in Rule 15-708(c). Factors to be considered by the Committee include, but are not limited to, the nature and seriousness of the criminal conduct resulting in the conviction(s), mitigating and aggravating factors including completion of terms and conditions of a sentence imposed and demonstration of clearly proven rehabilitation.

(g) Review. An Applicant may request a review of a formal hearing decision. The review will be conducted in accordance with Rule 15-715.

(h) Reapplication. Reapplication after denial in a character and fitness determination may not be made prior to one year from the date of the final decision (including the appellate decision, if applicable), unless a different time period is specified in the final decision. If just cause exists, the LPP Admissions Committee may require an Applicant to wait up to three years from the date of the final decision to reapply. If a reapplication period longer than one year is set for a delicensed Paralegal Practitioner, then the time period is subject to approval by the District Court hearing the petition for reinstatement.

(a) Notice from Bar. An Applicant whose application is denied because it is determined that the Applicant does not meet the qualifications for licensure under this article will receive written notice from the Bar that her or his application has been denied along with a statement explaining the deficiency and reason(s) for denial.

(b) Review. An Applicant may request a review of a denial under subsection (a). The review will be conducted in accordance with Rule 15-715.

(a) Paralegal Practitioner Examination(s). The Paralegal Practitioner Examination(s) consists of a multiple choice section on substantive law and a practical application specific to the area(s) of practice selected by the applicant. Areas of practice include (1) temporary separation, divorce, parentage, cohabitant abuse, civil stalking, and custody and support; (2) forcible entry and detainer and unlawful detainer; or; (3) debt collection.

(b) All components of the Paralegal Practitioner Examination(s) for an area of practice must be taken in the same examination administration.

(c) The Paralegal Practitioner Examination(s) are administered only for the purpose of licensure as a Paralegal Practitioner.

(a) Grading the written component of the Paralegal Practitioner Examination. Essay answers shall be uniformly graded on a scale from zero to ______ points. In order to assure maximum fairness and uniformity in grading, the Board or its designees shall prescribe procedures and standards for grading to be used by all graders.

(b) Scoring the written component of the Paralegal Practitioner Examination. The essay scores added together constitute the raw written component score. The raw written component score is scaled to the multiple choice portion of the examination using the standard deviation method.

(c) Weighting of exam components. The multiple choice score is weighted ______%, the essay score is weighted ________% in calculating the Applicant’s total score.

(d) Passing grade. The Applicant’s total score is the sum of the scaled multiple choice score and the scaled written component score. The total score is based on a _______ point scale. A total score of ________ or above is required to pass the Paralegal Practitioner Examination.

(e) Paralegal Practitioner Examination results are final. Examination answers will not be reread, reevaluated or regraded by the Bar or its designees.

(a) An Applicant must receive a passing score on the Ethics Exam prior to licensure as a LPP. A scaled score of ____is passing.

(b) Administration of the (Ethics Exam).

(a) Request for Review. An Applicant may request a review of final decision made regarding a Test Accommodation, Character and Fitness and denial of an application. A request for review of a final decision, along with the prescribed filing fee, must be filed with the Bar in writing within 10 calendar days of the date on the written notice of the decision. The request for review shall be addressed to the LPP Admissions Committee and contain a short and plain statement of the reasons that the Applicant is entitled to relief.

(b) Rule waivers. The review panel does not have authority to waive admission rules.

(c) Burden of Proof. The Applicant bears the burden of proof by clear and convincing evidence. Harmless error does not constitute a basis to set aside the decision. On appeal, the decision may be affirmed, modified, or reversed. The decision, whether based on testimony or documentary evidence, shall not be set aside unless clearly erroneous, and deference shall be given to those making the decision to judge the credibility of witnesses.

(d) Review process. An Applicant’s appearance at the review will only be permitted if deemed necessary. The review will be a closed proceeding and will be limited to consideration of the record, the Applicant’s memorandum, and the Bar’s responsive memorandum, if any. Requests for review setting forth common issues may be consolidated in whole or in part. After the completion of the review, a written decision shall be issued.

(d)(1) Payment of Transcript. An Applicant appealing a decision of the LPP Admissions Committee issued after a formal hearing is responsible for paying for and submitting a duly certified copy of the transcript of the formal hearing proceedings or other electronic record copy made by means acceptable in the courts of Utah.

(d)(2) Memoranda. After filing a written request for review, an Applicant must file a written memorandum citing to the record to show that the evidence does not support the decision. The issues in the memorandum must be limited to matters contained in the record. The review panel will not consider issues raised for the first time in the request for review. The memorandum must be filed within 30 calendar days of the filing of the request for review. The Bar may file a response, but no reply memorandum will be permitted.

(e) Supreme Court appeal. Within 30 calendar days of the date on the panel’s written decision, the Applicant may appeal to the Supreme Court by filing a notice of appeal with the clerk of the Supreme Court and serving a copy upon the General Counsel for the Bar. At the time of filing the notice of appeal, the Applicant shall pay the prescribed filing fee to the clerk of the Supreme Court. The clerk will not accept a notice of appeal unless the filing fee is paid.

(e)(1) Record of proceedings. A record of the proceedings shall be prepared by the Bar and shall be filed with the clerk of the Supreme Court within 21 calendar days following the filing of the notice of appeal.

(e)(2) Appeal petition. An appeal petition shall be filed with the Supreme Court 30 calendar days after a record of the proceedings has been filed with the Supreme Court. The appeal petition shall state the name of the petitioner and shall designate the Bar as respondent. The appeal petition must contain the following:

(e)(2)(A) a statement of the issues presented and the relief sought;

(e)(2)(B) a statement of the facts necessary to an understanding of the issues presented by the appeal;

(e)(2)(C) the legal argument supporting the petitioner’s request; and

(e)(2)(D) a certificate reflecting service of the appeal petition upon the General Counsel.

(e)(3) Format of appeal and response petitions. Except by permission of the Court, the appeal petition and the Bar’s response shall contain no more than 14,000 words or, if it uses a monospaced face, it shall contain no more than 1,300 lines of text.

(e)(4) Response petition. Within 30 calendar days after service of the appeal petition on the Bar, the Bar, as respondent, shall file its response with the clerk of the Supreme Court. At the time of filing, a copy of the response shall be served upon the petitioner. No reply memorandum will be permitted.

(e)(5) The clerk of the Supreme Court will notify the parties if any additional briefing or oral argument is permitted. Upon entry of the Supreme Court’s decision, the clerk shall give notice of the decision.

(a) Court enrollment fees and Bar license fee. After notification that the Board has approved the Applicant for licensure, the Applicant must pay to the Bar the applicable Bar license fee.

(b) Motion for licensure and enrollment. Upon satisfaction of the requirements of Rule 15-716(a), the Board will submit motions to the Supreme Court for licensure certifying that the Applicants have satisfied all qualifications and requirements for licensure as a Paralegal Practitioner. The Board will submit two motions for licensure per year. After the motions are submitted and upon approval by the Supreme Court and upon taking the required oath, an Applicant is eligible to be licensed as a Paralegal Practitioner.

(c) Oath and certificate of licensure. Every Applicant must take an oath. The oath must be administered by the clerk of the Supreme Court or a Utah state judge of district or juvenile court level or higher.

(d) Time limit for licensure. An Applicant must resolve all application deficiencies and gain character and fitness approval within one year of filing the application or the application is closed. After receiving notice of character and fitness approval, an Applicant must pay the prescribed license and enrollment fees and take the oath as required by Rule 15-716(c) within six months or approval for licensure is automatically withdrawn.

(a) Relicensure after resignation without discipline pending. A Licensed Paralegal Practitioner who seeks relicensure subsequent to resignation without discipline pending must submit a new application, payment of fees, and undergo a character and fitness investigation. An Applicant is not required to retake the Licensed Paralegal Practitioner Examination(s), but must fully comply with the requirements of Rule 15-716 (fees and oath).

(b) Relicensure of delicensed Licensed Paralegal Practitioners. A Licensed Paralegal Practitioner who seeks relicensure after delicensure shall satisfy all requirements of this article, including Rules 15-703, 15-708 and 15-716, and shall satisfy all other requirements imposed by Rule 11-591 of the Rules Governing Lawyer Discipline, Disability, and Sanctions, the OPC, and Utah courts. A report and recommendation shall be filed by the LPP Admissions Committee in the District Court in which the Applicant has filed his or her petition for relicensure. The District Court must approve the Applicant's petition for relicensure under Rule 11-591 before an Applicant can be admitted and licensed under Rule 15-716.

(c) Formal hearing.A delicensed Licensed Paralegal Practitioner Applicant must undergo a formal hearing as set forth in Rule 15-708(c). A delicensed Licensed Paralegal Practitioner Applicant has the burden of proving rehabilitation by clear and convincing evidence. No delicensed Licensed Paralegal Practitioner Applicant may take the LPP Examination(s) prior to being approved by the LPP Admissions Committee as provided in Rule 15-708(a). In addition to the requirements set forth in this rule and in conjunction with the application, an Applicant under this rule must:

(1) file an application for licensure in accordance with the requirements and deadlines set forth in Rule 15-707(c);

(2) provide a comprehensive written explanation of the circumstances surrounding her or his delicensure or resignation;

(3) provide copies of all relevant documents including, but not limited to, orders containing findings of fact and conclusions of law relating to delicensure or resignation; and

(4) provide a comprehensive written account of conduct evidencing rehabilitation.

(5) To prove rehabilitation, the Applicant must demonstrate and provide evidence of the following:

(A) strict compliance with all disciplinary and judicial orders;

(B) full restitution of funds or property where applicable;

(C) a lack of malice toward those who instituted the original proceeding against the Applicant;

(D) unimpeachable character and moral standing in the community;

(E) acceptance of responsibility for the conduct leading to the discipline;

(F) a desire and intent to conduct one's self in an exemplary fashion in the future;

(G) treatment for and current control of any substance abuse problem and/or psychological condition, if such were factors contributing to the delicensure or resignation; and

(H) positive action showing rehabilitation by such things as a person's occupation, religion, or community or civic service. Merely showing that the Applicant is now living as and doing those things she or he should have done throughout life, although necessary to prove rehabilitation, does not prove that the individual has undertaken a useful and constructive place in society.

(a) Confidentiality. Confidential Information relating to LPP Licensure shall not be disclosed other than as permitted by this article. Confidential Information includes but is not limited to all records, documents, reports, letters and sources whether or not from other agencies or associations, relating to licensure and the examination and grading process.

(b) Disclosure of Confidential Information in licensure process. Nothing in this article limits disclosure of Confidential Information to the Board and the Bar's employees, committees and their agents in connection with the performance of and within the scope of their duties. The Bar is authorized to disclose information relating to Applicants as follows:

(b)(1) records pertaining to an Applicant as authorized by the Applicant in writing for release to others;

(b)(2) the names of Applicants and the names of Applicants who are eligible for LPP licensure; and

(b)(3) the Applicant’s exam results to the paralegal program from which the Applicant graduated or completed study.

(c) Disclosure of Confidential Information to Applicant. An Applicant and an Applicant's attorney are entitled to Confidential Information directly related to the Applicant:

(c)(1) which is to be considered by the LPP Admission Committee in conjunction with a formal hearing in accordance with Rule 15-708(c); and

(d) Privileged Information. Neither an Applicant nor an Applicant's attorney nor any person is entitled to Privileged Information.

(e) Communications relating to applications. Letters or information relating to an Applicant in which the writer requests confidentiality shall not be placed into evidence or otherwise made available to the decision-making body or anyone else involved in a decision-making capacity with respect to the admission of the Applicant. Such material will be destroyed by the admissions office. Any person having knowledge of the content of the information shall withdraw from participation in the matter, and if necessary persons shall be appointed to replace those required to withdraw from the decision-making process.

(f) Release of information. Except as otherwise authorized by order of the Supreme Court, the Bar shall deny requests for Confidential Information but may grant the request if made by one of the following entities:

(f)(1) an entity authorized to investigate the qualifications of persons for licensure as an LPP;

(f)(2) an agency or entity authorized to investigate the qualifications of persons for government employment; or

(f)(3) a lawyer or LPP discipline enforcement agency.

(g) Release of Confidential Information. If the request for Confidential Information is granted, it shall be released only upon certification by the requesting agency or entity that the Confidential Information shall be used solely for authorized purposes. If one of the above-enumerated entities requests Confidential Information, the Bar shall give written notice to the Applicant that the Confidential Information will be disclosed within ten calendar days unless the Applicant obtains an order from the Supreme Court restraining such disclosure.

(h) Immunity from civil suits. Participants in proceedings conducted under this article shall be entitled to the same protections for statements made in the course of the proceedings as participants in judicial proceedings. The licensure-related committee members, the General Counsel and the LPP admissions staff shall 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.

(i) Persons providing information to the LPP admissions office or admissions or licensure-related committees. Every person or entity shall be immune from civil liability for providing, in good faith, documents, statements of opinion, records or other information regarding an Applicant or potential Applicant for LPP licensure to the admissions office or to those members of the admissions or licensure related committees.

(a) A licensed paralegal practitioner or a licensed paralegal practitioner firm shall create and maintain an interest or dividend-bearing trust account for client funds ("IOLPPTA account"). All client funds shall be placed into this account except those funds which can earn net income for the client in excess of the costs to secure such income, except as provided in paragraph (g).

(b) In determining whether a client's funds can earn net income in excess of the costs of securing that income for the benefit of the client, the licensed paralegal practitioner or licensed paralegal practitioner firm shall consider the following factors:

(b)(1) the amount of the funds to be deposited;

(b)(2) the expected duration of the deposit, including the likelihood of delay in the matter for which funds are held;

(b)(3) the rates of interest or yield at financial institutions where the funds are to be deposited;

(b)(4) the costs of establishing and administering non-IOLPPTA accounts for the client's benefit, including service charges, and the costs of preparing any tax reports required for income accruing to the client's benefit; and

(b)(5) the capability of financial institutions, licensed paralegal practitioners, or their firms to calculate and pay income to individual clients and any other circumstances that may affect the ability of the client's funds to earn net income.

(c) The licensed paralegal practitioner, or the licensed paralegal practitioner firm, shall review the IOLPPTA account at reasonable intervals, but not less than annually, to determine whether changed circumstances require further action with respect to the funds of a particular client.

(d) The licensed paralegal practitioner, or the licensed paralegal practitioner firm shall:

(d)(1) not allow earnings from an IOLPPTA account to be made available to a licensed paralegal practitioner, or licensed paralegal practitioner firm;

(d)(2) place in the IOLPPTA account all client funds which cannot earn net income for the client in excess of the costs of securing that income;

(d)(3) establish an IOLPPTA account with an eligible financial institution that has voluntarily chosen to offer and maintain IOLPPTA accounts, and:

(d)(3)(A) is authorized by federal or state law to do business in Utah;

(d)(3)(B) is insured by the Federal Deposit Insurance Corporation or its equivalent;

(d)(3)(C) complies with Rule 1.15 (a) of the Utah Rules of Licensed Paralegal Practitioner Professional Conduct; and

(d)(4) direct the depository institution where the IOLPPTA account is established:

(d)(4)(A) to remit all interest or dividends, net of allowable reasonable service charges or fees, if any, on the average monthly balance in the account, or as otherwise computed in accordance with the institution's standard practice, at least quarterly, solely to the Utah Bar Foundation ("Foundation"). When feasible, the depository institution shall remit the interest or dividends on all of its IOLPPTA accounts in a lump sum, however, the depository institution must provide, for each individual IOLPPTA account, the information to the Foundation required by subparagraphs (d)(4)(B) and (d)(4)(C) of this rule;

(d)(4)(B) to report in a form and through any manner of transmission approved by the Foundation showing the name of the licensed paralegal practitioner, or licensed paralegal practitioner firm, and the amount of the remittance attributable to each, account number for each account, the rate and type of interest or dividend applied, the amount and type of allowable reasonable service charges or fees deducted, the average account balance for the reporting period and such other information as is reasonably required by the Foundation;

(d)(4)(C) to report in accordance with normal procedures for reporting to depositors;

(d)(4)(D) that allowable reasonable service charges or fees in excess of the interest earned on the account for any period shall not be taken from interest earned on other IOLPPTA accounts or any principal balance of the accounts; and

(d)(4)(E) to comply with all other administrative rules for IOLPPTA accounts as promulgated by the Foundation or the Supreme Court.

(e) The determination of whether an institution is an eligible institution and whether it is meeting the requirements of this rule shall be made by the Utah Bar Foundation. The Foundation shall maintain a list of participating eligible financial institutions, and shall provide a copy of the list to any Utah licensed paralegal practitioner upon request.

(f) Licensed paralegal practitioners may only maintain IOLPPTA accounts in eligible financial institutions. Eligible financial institutions are those that voluntarily offer IOLPPTA accounts and comply with the requirements of this rule, including maintaining IOLPPTA accounts which pay the highest interest rate or dividend generally available from the institution to its non-IOLPPTA account customers when IOLPPTA accounts meet or exceed the same minimum balance or other account eligibility qualifications, if any. In determining the highest interest rate or dividend generally available from the institution to its non-IOLPPTA accounts, eligible institutions may consider factors, in addition to the IOLPPTA account balance, customarily considered by the institution when setting interest rates or dividends for its customers, provided that such factors do not discriminate between IOLPPTA accounts and accounts of non-IOLPPTA customers, and that these factors do not include that the account is an IOLPPTA account.

(f)(1) An eligible financial institution may satisfy these comparability requirements by electing one of the following options:

(f)(1)(A) establish the IOLPPTA account as the comparable rate product; or

(f)(1)(B) pay the comparable rate on the IOLPPTA checking account in lieu of actually establishing the comparable highest interest rate or dividend product;

(f)(1)(C) pay an amount on funds that would otherwise qualify for the investment options noted at (f)(3) equal to 70% of the federal funds targeted rate as of the first business day of the month or other IOLPPTA remitting period, which is deemed to be already net of allowable reasonable service charges or fees. The safe harbor yield rate may be adjusted once per year by the Foundation, upon 90 days’ written notice to financial institutions participating in the IOLPPTA program; or

(f)(1)(D) pay a yield rate specified by the Foundation, if the Foundation so chooses, which is agreed to by the financial institution. The rate would be deemed to be already net of allowable reasonable fees and would be in effect for and remain unchanged during a period of no more than twelve months from the inception of the agreement between financial institution and the Foundation.

(f)(2) IOLPPTA accounts may be established as:

(f)(2)(A) a business checking account with an automated investment feature, such as an overnight and investment in repurchase agreements or money market funds invested solely in or fully collateralized by U.S. government securities, including U.S. Treasury obligations and obligations issued or guaranteed as to principal and interest by the United States or any agency or instrument thereof;

(f)(2)(B) a checking account paying preferred interest rates, such as money market or indexed rates;

(f)(2)(C) a government interest-bearing checking account such as accounts used for municipal deposits;

(f)(2)(D) an interest-bearing checking account such as a negotiable order of withdrawal (NOW) account, or business checking account with interest;

(f)(2)(E) any other suitable interest-bearing deposit account offered by the institution to its non-IOLPPTA customers.

(f)(3) A daily financial institution repurchase agreement shall be fully collateralized by United States Government Securities and may be established only with an eligible institution that is "well capitalized" or "adequately capitalized" as those terms are defined by applicable federal statutes and regulations. An open-end money-market fund shall be invested solely in the United States Government Securities or repurchase agreements fully collateralized by United States Government Securities, shall hold itself out as a "money-market fund" as that term is defined by federal statutes and regulations under the Investment Company Act of 1940 and, at the time of the investment, shall have total assets of at least two hundred fifty million dollars ($250,000,000).

(f)(4) Nothing in this rule shall preclude a participating financial institution from paying a higher interest rate or dividend than described above or electing to waive any service charges or fees on IOLPPTA accounts.

(f)(5) Interest and dividends shall be calculated in accordance with the participating financial institution's standard practice for non-IOLPPTA customers.

(f)(6) "Allowable reasonable service charges or fees" for IOLPPTA accounts are defined as per check charges, per deposit charges, a fee in lieu of minimum balances, sweep fees, FDIC insurance fees, and a reasonable IOLPPTA account administrative fee.

(f)(7) Allowable reasonable service charges or fees may be deducted from interest or dividends on an IOLPPTA account only at the rates and in accordance with the customary practices of the eligible institution for non-IOLPPTA customers. No fees or service charges other than allowable reasonable fees may be assessed against the accrued interest or dividends on an IOLPPTA account. Any fees and service charges other than allowable reasonable fees shall be the sole responsibility of, and may be charged to, the licensed paralegal practitioner or licensed paralegal practitioner firm maintaining the IOLPPTA account.

(g) Any IOLPPTA account which has or may have the net effect of costing the IOLPPTA program more in fees than earned in interest over a period of any time, may at the discretion of the Foundation, be exempted from and removed from the IOLPPTA program. Exemption of an IOLPPTA account from the IOLPPTA program revokes the permission to use the Foundation's tax identification number for that account. Exemption of such account from the IOLPPTA program shall not relieve the licensed paralegal practitioner and/or licensed paralegal practitioner firm from the obligation to maintain the property of client funds separately, as required above, in a non-interest bearing account and also will not relieve the licensed paralegal practitioner of the annual IOLPPTA certification.

(h) In the event a licensed paralegal practitioner determines that funds placed in an IOLPPTA account should have been placed in an interest bearing account for the benefit of the client, the licensed paralegal practitioner, licensed paralegal practitioner firm shall:

(h)(1) make a request for a refund in writing, in a timely manner, to the Foundation on firm letterhead within a reasonable period of time after the interest was remitted to the Foundation; and

(h)(2) provide verification from the financial institution of the interest amount. In no event will the Foundation refund more than the amount of net interest it received; remittance shall be made to the financial institution for transmittal to the licensed paralegal practitioner, or licensed paralegal practitioner firm, after appropriate accounting and reporting.

(i) On or before September 1 of each year, any licensed paralegal practitioner licensed in Utah shall certify to the Foundation, in such form as the Foundation shall provide ("IOLPPTA Certification Form"), that the licensed paralegal practitioner is in compliance with, or is exempt from, the provisions of this rule. If the licensed paralegal practitioner, or licensed paralegal practitioner firm, maintains an IOLPPTA account, the licensed paralegal practitioner shall certify the manner in which the licensed paralegal practitioner accounts for the interest on clients' trust accounts. The IOLPPTA Certification Form shall include the financial institution, account numbers, name of accounts and such other information as the Foundation shall require. If the licensed paralegal practitioner is exempt from the IOLPPTA program, the licensed paralegal practitioner must still submit an IOLPPTA Certification Form annually to certify to the Foundation that he or she is exempt from the provisions in this Rule. Each licensed paralegal practitioner shall keep and maintain records supporting the information submitted in the IOLPPTA Certification Form. The licensed paralegal practitioner shall maintain these records for a period of five years from the end of the period for which the IOLPPTA Certification Form is filed, and these records shall be submitted to the Foundation upon written request. Failure by the licensed paralegal practitioner to produce such records within thirty days after written request by the Foundation constitutes a rebuttable presumption that the licensed paralegal practitioner has not complied with these rules.

(i)(1) If the IOLPPTA Certification Form is timely filed, indicating compliance, there will be no acknowledgement. Should an IOLPPTA Certification Form filed by a licensed paralegal practitioner fail to evidence compliance, the Foundation shall contact the licensed paralegal practitioner and attempt to resolve the non-compliance administratively.

(i)(2) The Foundation shall furnish annually to the Utah Supreme Court a list of all licensed paralegal practitioners who have not timely filed an IOLPPTA Certification Form and any licensed paralegal practitioners with whom the Foundation has been unable to administratively resolve an impediment to the proper filing of an IOLPPTA Certification Form or the proper compliance with Rule 15-1001, IOLPPTA.

(i)(3) Any licensed paralegal practitioner who is not in compliance with IOLPPTA or who has failed to complete the IOLPPTA Certification Form by September 1 will be sent, by certified mail, return receipt requested, a non-compliance notice. Should the licensed paralegal practitioner fail or refuse to rectify the situation within thirty (30) days of such notice, the Foundation shall petition the Utah Supreme Court for the licensed paralegal practitioner’s suspension from the practice of law.

(i)(4) A licensed paralegal practitioner suspended by the Utah Supreme Court under the provisions of this rule may be reinstated by the Court upon motion of the Foundation showing that the licensed paralegal practitioner has cured the noncompliance issue for which the licensed paralegal practitioner has been suspended. If a licensed paralegal practitioner has been suspended by the Utah Supreme Court for non-compliance with these rules, the licensed paralegal practitioner must then comply with all applicable rules to be eligible to return to active or inactive status.

(j) A licensed paralegal practitioner may be exempt from having to maintain an IOLPPTA account for the following reasons:

(j)(1) the licensed paralegal practitioner, or law firm's client trust account has been exempted and removed from the IOLPPTA program by the Foundation pursuant to paragraph (g) of this rule; or

(j)(2) the licensed paralegal practitioner has certified in his or her most recent annual IOLPPTA Certification Form that the licensed paralegal practitioner:

(j)(2)(A) is not engaged in the private practice of law or does not manage or handle client trust funds and does not have a client trust account;

(j)(2)(B) does not have an office within Utah and has the client's permission to hold the funds out of state; or

(j)(2)(C) has been exempted by an order of general or special application of this Court which is cited in the certification;

(j)(3) the licensed paralegal practitioner, or licensed paralegal practitioner firm petitions for and receives a written exemption from the Foundation that compliance with this rule would create an undue hardship on the licensed paralegal practitioner and would be extremely impractical, based on geographic distance between the licensed paralegal practitioner’s principal office and the closest depository institution which is participating in the IOLPPTA program.

(k) Licensed paralegal practitioners must notify the Foundation in writing within thirty (30) days of any change in IOLPPTA status, including the opening or closing of any IOLPPTA accounts.

(l) The Foundation is the only entity authorized to receive and administer IOLPPTA funds in Utah.

(l)(1) The Foundation shall have general supervisory authority over the administration of the IOLPPTA funds, subject to the continuing jurisdiction of the Supreme Court.

(l)(2) The Foundation shall receive the net earnings from all IOLPPTA accounts and shall make appropriate investments of IOLPPTA funds. The Foundation shall maintain proper records of all IOLPPTA receipts and disbursements, which records shall be audited or reviewed annually by a certified public accountant. The Foundation shall annually present to the Supreme Court a reviewed or audited financial statement of the IOLPPTA receipts and expenditures for the prior year and a summary thereof shall be made available to anyone requesting copies.

(l)(3) The Foundation shall be responsible to present annually to the Supreme Court a status report on activities of the Foundation and compliance with these rules.

(l)(4) The Foundation shall be responsible to make disbursements from the IOLPPTA program funds, including current and accumulated net earnings, by grants, appropriations and other appropriate measures, as outlined in the articles and by-laws for the organization.

(l)(5) The Foundation shall promulgate such other rules, procedures, reports and forms that are necessary or advisable for the proper implementation of the foregoing rules.

(m) Every licensed paralegal practitioner, shall, as a condition thereof, be conclusively deemed to have consented to the reporting requirements mandated by this rule.