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Supreme
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Notice This order is subject to further editing and modification. The final version will appear in the bound volume of the official reports. |
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In the matter of the Amendment to Supreme Court Rules relating to the Lawyer Regulation System |
FILED NOV 14, 2001 Cornelia G. Clark Clerk of Supreme Court Madison, WI |
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On September 20, 2001, the court held a public hearing on the petition filed on June 22, 2001, by the Director of the Office of Lawyer Regulation seeking to amend the Supreme Court Rules, including rules in chapters 10, 11, 12, 20, 21, 22, 31, 60, and 62, as they relate to the Lawyer Regulation System. The court has considered the matters presented at the public hearing and the materials filed in the matter.
IT IS ORDERED that, effective the date of this order, the Supreme Court Rules are amended as set forth herein.
IT IS FURTHER ORDERED that the remainder of the petition is held in abeyance pending further order of this court.
Section 1. 10.03 (5) (a) of the Supreme Court Rules is amended to read:
10.03 (5)
(a) The annual membership dues for
state bar operations for an active member shall be established as provided
herein. Other classes of members shall
pay the fraction of the dues of an active member as follows: Supreme Court
Justices, the full amount; inactive member, one‑half; judicial members,
two‑thirds; and members admitted to practice three for 3
years or less, one‑half. For
purposes of determining an active member's dues status based on the
number of years admitted, there shall be no proration based on the exact
month and year of admission. A fiscal
year for which any dues are required to be paid under Bylaw 1, Section 2 shall
count as a full year and a fiscal year for which no dues payment is required
shall not count as a year. A change in
the dues of an active member for state bar operations may be made by the board
of governors or as set forth herein.
The state bar shall include in the dues statement each year the amount
necessary to pay the costs of the Board of Attorneys Professional
Responsibility Lawyer Regulation System and of the continuing legal
education functions of the Board of Bar Examiners as approved by the Supreme
Court. Judicial members other than
Supreme Court Justices are not liable to pay the portion of the annual dues for
the costs of these boards. The state
bar shall show separately on its annual dues statement the portion of the total
dues for state bar operations and each of the boards.
Section 2. 11.06 (9) (e) of the Supreme Court Rules is amended to read:
11.06 (9) (e) An opinion from the professional ethics
committee shall not be a prerequisite to a decision by the special committee on
group and prepaid legal services to file a complaint or report with the board
of attorneys professional responsibility office of lawyer regulation
in a situation in which the committee concludes that such a decision is warranted.
Section 3. 12.06 (6) of the Supreme Court Rules is amended to read:
12.06 (6) Access to board of attorneys professional
responsibility office of lawyer regulation files.
Notwithstanding other supreme court rules to the contrary, during the
investigation of a claim the committee or its designee shall have access to the
files of the board of attorneys professional responsibility office of
lawyer regulation which pertain to the alleged loss.
Section 4. 20:1.15 (f) of the Supreme Court Rules is amended to read:
20:1.15 (f) Upon
request of the Board of Attorneys Professional Responsibility office
of lawyer regulation, or upon direction of the Supreme Court, the records
shall be submitted to the board office for its inspection, audit,
use, and evidence under such conditions to protect the privilege of
clients as the court may provide. The records, or an audit thereof, shall be
produced at any disciplinary proceeding involving the attorney wherever
material. Failure to produce the
records shall constitute unprofessional conduct and grounds for disciplinary
action.
Section 5. 20:1.15 (j) of the Supreme Court Rules is amended to read:
20:1.15 (j) In the event any properly payable
instrument is presented against a lawyer trust account containing insufficient
funds, whether or not the instrument is honored, the financial institution or
investment institution shall, simultaneously with the customary overdraft
notice to the depositor or investor, report the overdraft to the Board of
Attorneys Professional Responsibility office of lawyer regulation.
Section 6. 20:1.15 (m) of the Supreme Court Rules is amended to read:
20:1.15 (m) The Board office of lawyer regulation shall hold
each overdraft report for 10 business days or the minimum time required by the
financial institution or investment institution, whichever is less, to enable
the financial institution or investment institution to withdraw a report
provided by inadvertence or mistake, except that the curing of an insufficiency
of available funds by a lawyer or law firm by the deposit of additional funds
does not constitute reason for withdrawing an overdraft report.
Section 7. 20:7.3 (b) of the Supreme Court Rules is amended to read:
20:7.3 (b) A
written communication under paragraph par. (a) shall be
conspicuously labeled with the word "Advertisement" and a copy of it
shall be filed with the Board of Attorneys Professional Responsibility office
of lawyer regulation within 5 days of its dissemination.
Section 8. 21.01 (1) (b) of the Supreme Court Rules is amended to read:
21.01 (1) (b)
District investigative committees, provided in SCR 21.06.
Section 9. 21.03 (6) (k) of the Supreme Court Rules is amended to read:
21.03 (6) (k) To supervise the district investigative
committees.
Section 10. 21.03 (7) of the Supreme Court Rules is amended to read:
21.03 (7) The director may refer a matter
alleging attorney misconduct or medical incapacity to a district investigative
committee for investigation.
Section 11. 21.06 (title) of the Supreme Court Rules is amended to read:
21.06 (title) District investigative
committees.
Section 12. 21.06 (1) of the Supreme Court Rules is amended to read:
21.06 (1) A district investigative
committee in each of the state bar districts established under SCR 10.05 (2)
consists of lawyers and nonlawyers appointed by the supreme court. The number of members of each committee
shall be in proportion to the geographic and population size of the district,
and to the extent feasible, one-third of the members shall be nonlawyers. Members serve staggered three-year 3-year
terms. A member may serve not more than
three 3 consecutive three-year 3-year terms.
Section 13. 21.06 (2) of the Supreme Court Rules is amended to read:
21.06 (2) District investigative
committees function under the supervision of the director.
Section 14. 21.06 (3) (intro.) of the Supreme Court Rules is amended to read:
21.06 (3) (intro.) The duties of a district
investigative committee are:
Section 15. 21.06 (4) of the Supreme Court Rules is amended to read:
21.06 (4) Each district investigative
committee shall hold regularly scheduled meetings as needed to complete its
work timely. Meetings also may be held at the call of the chairperson. At the first meeting held each calendar
year, the committee shall elect a chairperson and a vice-chairperson to act in
the absence of the chairperson. A
majority of members constitutes a quorum, except that the chairperson may
designate a subcommittee of one or more members to conduct a preliminary
investigation or investigative meeting and prepare a report and recommendation
for consideration and action by the committee.
A subcommittee also may be designated to monitor an attorney's participation
in a diversion from discipline program or compliance with conditions imposed on
the attorney's practice of law.
Section 16. 21.06 (5) of the Supreme Court Rules is amended to read:
21.06 (5) The portions of the meetings of a
district investigative committee relating to specific disciplinary
matters are closed. The portions of the meetings relating to other matters are
open.
Section 17. 21.07 (1) of the Supreme Court Rules is amended to read:
21.07 (1) The 12-member 14-member
preliminary review committee consists of 8 9 lawyers and 4
5 nonlawyers appointed by the supreme court. Members serve staggered three-year 3-year
terms. A member may serve not more than
two 2 consecutive three-year 3-year terms.
Section 18. 21.07 (2) of the Supreme Court Rules is amended to read:
21.07 (2) The preliminary review committee,
having a quorum of 8 members, is comprised of two six-member 2
7-member panels, each having four at least 4 lawyers and two
2 nonlawyers and a quorum of five 4 members. The chairperson of the preliminary review
committee shall designate the members of each panel and shall devise and
implement a rotation system by which each member of the committee serves on
each panel during each three-year 3-year period.
Section 19. 21.11 (2) of the Supreme Court Rules is amended to read:
21.11 (2) The director shall provide formal
training to the members of the district investigative committees.
Section 20. 21.12 of the Supreme Court Rules is amended to read:
21.12 Roles of office of lawyer regulation,
grievant, and district investigative committees. In the investigation process and in the
prosecution of complaints alleging attorney misconduct and petitions alleging
attorney medical incapacity, the director and staff of the office of lawyer
regulation and the district investigative committees do not represent
the complaining person, the attorney against whom a grievance has been made,
the bar generally, or any other person or group. The director, staff and district investigative committees
represent the interests of the supreme court and the public in the integrity of
the lawyer regulation system in its search for the truth. A grievant is not a party to a misconduct or
medical incapacity proceeding brought by the office of lawyer regulation.
Section 21. 21.14 (2) of the Supreme Court Rules is amended to read:
21.14 (2) Allegations of misconduct or
malfeasance against the director, staff, retained counsel, a member of a
district investigative committee, a member of a special investigative
panel, a member of the preliminary review committee, a member of a
special preliminary review panel, a referee, an attorney designated by
the director to monitor an attorney's participation in a diversion from
discipline program or compliance with conditions imposed on the attorney's
practice of law, or a member of the board of administrative oversight shall be
governed by the procedures set forth in SCR 22.25.
Section 22. 21.19 of the Supreme Court Rules is amended to read:
21.19 Immunity. Communications with the director or staff, a district investigative
committee, a member of a special investigative panel, retained counsel, the
preliminary review committee, and a special preliminary review panel alleging
attorney misconduct or medical incapacity and testimony given in an
investigation or proceeding under SCR chapter 22 are privileged, and no lawsuit
predicated on those communications may be instituted against any grievant or
witness. The director, staff, members
of a district investigative committee, members of a special
investigative panel, retained counsel, members of the preliminary review
committee, members of a special preliminary review panel, referees, and
members of the board of administrative oversight shall be immune from suit for
any conduct in the course of their official duties.
Section 23. 21.21 of the Supreme Court Rules is amended to read:
21.21 Cost of lawyer regulation system. The cost
of the office of lawyer regulation, the district investigative
committees, the preliminary review committee, all matters relating to
investigation and prosecution of possible attorney misconduct and medical
incapacity, and the board of administrative oversight shall be paid from the
appropriation provided in Wis. Stat. § 20.680 (3) (h) (1997-98).
Section 24. 22.001 (6) of the Supreme Court Rules is amended to read:
22.001 (6) "Grievant" means the
person who presents a grievance, except that a judicial officer or a district investigative
committee who communicates a matter to the office of lawyer regulation in the
course of official duties is not a grievant.
Section 25. 22.04 (title) of the Supreme Court Rules is amended to read:
22.04 (title) Referral to district investigative
committee.
Section 26. 22.04 (1) of the Supreme Court Rules is amended to read:
22.04 (1) The director may refer a matter to a
district investigative committee for assistance in the
investigation. A respondent has the
duty to cooperate specified in SCR 21.15 (4) and 22.03 (2) in respect to the investigative
district committee. The
committee has the power to subpoena and compel the production of documents
specified in SCR 22.03 (7) and 22.42.
Section 27. 22.04 (3) of the Supreme Court Rules is amended to read:
22.04 (3) The investigative district
committee shall conduct an investigation and file an investigative report with
the director within 90 days after the date of referral. The investigative report shall outline the
relevant factual allegations and identify possible misconduct, if any, and may
make a recommendation as to the disposition of the matter. The investigative district
committee shall include in reports to the director all relevant exculpatory and
inculpatory information obtained.
Section 28. 22.25 (1) of the Supreme Court Rules is amended to read:
22.25 (1) Allegations of misconduct against
the director, a lawyer member of staff, retained counsel, a lawyer member of a
district investigative committee, a lawyer member of the preliminary
review committee, a lawyer member of the board of administrative oversight, or
a referee shall be referred by the director for investigation to a special
investigative panel composed of six lawyers appointed by the supreme court who
are not currently participating in the lawyer regulation system and are not
among the lawyers from whom retained counsel is selected under SCR 21.05. A matter referred by the director shall be
assigned to a member of the special investigative panel in rotation.
Section 29. 22.25 (8) of the Supreme Court Rules is amended to read:
22.25 (8) Allegations of malfeasance
against the director, retained counsel, a member of a district investigative
committee, a member of the preliminary review committee, a member of the board
of administrative oversight, or a referee shall be referred by the director to
the supreme court for appropriate action.
Section 30. 22.40 (1) of the Supreme Court Rules is amended to read:
22.40 (1)
Prior to the filing of a misconduct complaint, medical incapacity
petition or petition for temporary license suspension, all papers, files,
transcripts and communications in any matter involving the office of lawyer
regulation are to be held in confidence by the office of lawyer regulation, the
district investigative committees, and the preliminary review
committee. Following the filing of a
complaint or petition, the proceeding and all papers filed in it are public,
except where expressly provided otherwise in this chapter or by law.
Section 31. 22.42 (1) of the Supreme Court Rules is amended to read:
22.42 (1) In any matter under investigation, the
director or district investigative committee may require the attendance
of lawyers, witnesses and the
production of documentary evidence. A
subpoena issued in connection with a confidential investigation must so
indicate on its face. It is not a
breach of confidentiality for a person subpoenaed to consult with an attorney.
Section 32. 31.10 (2) of the Supreme Court Rules is amended to read:
31.10 (2)
If the board believes that a false
report has been filed, the board may refer the matter to the board of
attorneys professional responsibility office of lawyer regulation.
Section 33. 60.01 (1) of the Supreme Court Rules is amended to read:
60.01 (1) "Appropriate
authority" means the chief judge of an offending judge's district, the
director of state courts, the judicial commission, and the board of
attorneys professional responsibility office of lawyer regulation.
Section 34. 62.01 of the Supreme Court Rules is amended to read:
62.01 Scope.
The uniform standards of
courtroom courtesy and decorum in SCR 62.02, adopted to enhance the
administration of justice by promoting good manners and civility among all who
participate in the administration of justice in Wisconsin, are applicable to
judges, court commissioners, lawyers, court personnel, and the public in
all Wisconsin courts. Notwithstanding
SCR 20:8.4 (f), the standards under SCR 62.02 are not enforceable by the board
of attorneys professional responsibility office of lawyer regulation. Conduct by a lawyer that violates chapter 20
of the supreme court rules or SCR 40.15 is subject to the authority of the board
of attorneys professional responsibility office of lawyer regulation.
IT IS ORDERED that notice of this amendment of these Supreme Court Rules be given by a single publication of a copy of this order in the official state newspaper and in an official publication of the State Bar of Wisconsin.
Dated at Madison, Wisconsin, this 14th day of November, 2001.
BY THE COURT:
Cornelia G. Clark
Clerk of Supreme Court