SCR CHAPTER 21
LAWYER REGULATION SYSTEM
The lawyer regulation system is
established to carry out the supreme court's constitutional responsibility to
supervise the practice of law and protect the public from misconduct by persons
practicing law in
SCR
21.001 Definitions.
The
terms used in this chapter have the meaning set forth in SCR 22.001.
SCR 21.01 Components.
(1) The
lawyer regulation system consists of the following:
(a) Office
of lawyer regulation, provided in SCR 21.02.
(b) District
committees, provided in SCR 21.06.
(c) Preliminary
review committee, provided in SCR 21.07.
(d) Referees,
provided in SCR 21.08.
(e) Board
of administrative oversight, provided in SCR 21.10.
(f) Supreme
court.
SCR 21.02 Office of lawyer regulation.
(1) The office of lawyer
regulation consists of the director, investigative and support staff, and staff
counsel and retained counsel. The office
receives and responds to inquiries and grievances relating to attorneys
licensed to practice law or practicing law in
(2) The office of lawyer
regulation functions pursuant to the procedures set forth in SCR chapter 22.
SCR 21.03 Office of lawyer regulation - director.
(1) The director of the
office of lawyer regulation is appointed by and serves at the pleasure of the
supreme court.
(2) The director shall be
admitted to the practice of law in
(3) The director is an
employee of the supreme court under the supreme court's ultimate personnel
authority and subject to personnel policies and procedures administered by the
director of state courts.
(4) The performance of the
director shall be formally evaluated every two years by the director of state
courts, who shall consult with the staff of the office of lawyer regulation,
the preliminary review committee, the board of administrative oversight, and
attorneys who represent respondents in proceedings brought by the
director. The director of state courts
shall report the evaluation to the supreme court as a personnel matter.
(5) The director may not
engage in the private practice of law.
(6) The duties of the
director are:
(a) To investigate any
possible misconduct or medical incapacity of an attorney licensed to practice
law or practicing law in
(b) To receive, review and
direct the investigation of allegations of attorney misconduct or medical
incapacity.
(c) To close an inquiry or
grievance following preliminary evaluation and to dismiss a grievance following
investigation when there is insufficient evidence of cause to proceed.
(d) To present as the
director may consider appropriate the results of an investigation to the
preliminary review committee for a determination of cause to proceed in the
matter.
(e) To file with the
supreme court and prosecute complaints alleging attorney misconduct and
petitions alleging attorney medical incapacity after a preliminary review panel
has determined there is cause to proceed in the matter.
(f) To divert a matter to
an alternatives to discipline program as the director may consider appropriate
and to monitor the attorney's participation in the program.
(g) To monitor an
attorney's compliance with conditions imposed on the attorney's practice of
law.
(h) To investigate
petitions for license reinstatement and, at the request of the board of bar
examiners, to investigate the character and fitness of an applicant for bar
admission.
(j) To
employ, with the approval of the director of state courts, staff to assist in
the performance of the director's duties.
(k) To
supervise the district committees.
(m) To
prepare annually a budget for the operation of the office of lawyer regulation
and to submit it to the board of administrative oversight for review and
presentation, with comment, to the supreme court.
(n) To
prepare annually a report of the activities of the office of lawyer regulation
during the preceding year and to submit it to the board of administrative
oversight for review and presentation, with comment, to the supreme court.
(o) To
delegate the duties specified in this rule to staff as the director may
consider advisable.
(p) To perform other duties
as may be assigned by the supreme court.
(7) The director may refer
a matter alleging attorney misconduct or medical incapacity to a district
committee for investigation.
(8) The director may refer
a matter involving a fee dispute to a state or local bar association's fee
arbitration committee for resolution.
(9) The director, with
notice to the lawyer concerned, may refer a lawyer to a state bar lawyer
assistance program for any of the following reasons:
(a) The lawyer has agreed
to enter an alternative to discipline program and the director determines that
a state bar lawyer assistance program would be the appropriate entity to
monitor conditions.
(b) The lawyer is subject
to conditions on the continued practice of law or conditions on seeking license
reinstatement and the director determines a state bar lawyer assistance program
would be the appropriate entity to monitor conditions.
(c) The lawyer has pleaded
impairment or medical incapacity in response to an investigation or a
complaint.
(d) The lawyer has
exhibited or engaged in other behavior that provides a reasonable belief that
the lawyer may be impaired or incapacitated.
SCR 21.04 Office of lawyer regulation - staff.
Staff of the office of lawyer regulation are
permanent supreme court employees supervised by the director and over whom the
director of state courts has ultimate personnel authority. Staff are subject to personnel policies and
procedures administered by the director of state courts. Work assignments to staff are made in
accordance with the chain of command established by pertinent job descriptions. Annual performance evaluations of staff are
conducted by immediate supervisors in the manner prescribed by the director of
state courts.
SCR 21.05 Office of lawyer regulation - counsel.
(1) Staff of the office of lawyer
regulation may include persons admitted to the practice of law in
(2) The director may retain
attorneys engaged in the practice of law in Wisconsin to assist in the
performance of the director's duty to present matters to the preliminary review
panels, to prosecute complaints alleging attorney misconduct and petitions
alleging attorney medical incapacity, and to conduct or assist in reinstatement
investigations and represent the office of lawyer regulation in hearings, and
perform other duties assigned by the director.
Retained counsel are independent contractors and serve at the pleasure
of the director.
SCR 21.06 District committees.
(1) A district committee in
each of the state bar districts established under SCR 10.05(2) consists of
lawyers and public members 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. To the extent feasible, at least one-third
and preferably two-fifths, of the members shall be public members. Members serve staggered 3-year terms. A member may serve not more than 3
consecutive 3-year terms.
(2) District committees
function under the supervision of the director.
(3) The duties of a
district committee are:
(a) To educate the bar and
the public about the high ideals of the legal profession and the practice of
law consistent with the rules of professional conduct for attorneys set forth
in SCR chapter 20.
(b) To refer promptly to
the director any possible misconduct or medical incapacity of an attorney that
comes to its attention.
(c) To assist in the
investigation of possible misconduct or medical incapacity of an attorney upon
referral by the director.
(d) To
make a recommendation to the director as it may consider appropriate as to the
disposition of any matter the committee has investigated.
(e) To assist upon request
of the director in monitoring an attorney's participation in an alternatives to
discipline program or compliance with conditions imposed on the attorney's
practice of law.
(f) To resolve or adjust at
the request of the director a dispute between an attorney and a client or other
attorney if the dispute does not involve misconduct or medical incapacity and
the complaining person agrees to the procedure.
Within 30 days after receiving notice of the dispute, the committee
shall report to the director each dispute resolved, adjusted or unresolved.
(4) Each district 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.
(5) The portions of the
meetings of a district committee relating to specific disciplinary matters are
closed. The portions of the meetings relating to other matters are open.
SCR 21.07 Preliminary review committee.
(1) The 14-member
preliminary review committee consists of 9 lawyers and 5 public members
appointed by the supreme court. Members
serve staggered 3-year terms. A member
may serve not more than 2 consecutive 3-year terms.
(2) The preliminary review
committee, having a quorum of 8 members, is comprised of 2 7-member panels,
each having at least 4 lawyers and 2 public members and a quorum of 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 3-year period.
(3) The duties of the
preliminary review panels are:
(a) To review the results
of investigations of allegations of attorney misconduct or medical incapacity
presented by the director and to determine whether there is cause for the
director to proceed in the matter. The
affirmative vote of four or more members of a panel is required to determine
cause to proceed in a matter.
(b) To review at the
request of a grievant the director's closing of a matter prior to investigation
under SCR 22.02(6)(a) and dismissal of a grievance following investigation
under SCR 22.05(1)(a).
(c) To confer periodically
with the board of administrative oversight about the operation of the
preliminary review committee and panels and suggest improvements in their
operation.
(4) The preliminary review
committee shall hold regularly scheduled meetings at least quarterly. At the first meeting of each calendar year,
the preliminary review committee shall elect a chairperson and a
vice-chairperson to act in the absence of the chairperson.
(5) Each panel shall meet
as needed and shall report its determinations to the chairperson of the
preliminary review committee.
(6) The portions of the
meetings of the preliminary review committee and of the panels relating to
specific disciplinary matters are closed.
The portions of the meetings relating to other matters are open.
(7) The preliminary review
committee and the panels shall take and retain full and complete minutes of the
open and closed sessions of their meetings.
The minutes of the open sessions are available to the public.
(8) The preliminary review
panels shall function pursuant to the procedures set forth in SCR chapter 22.
(9) Members of the
preliminary review committee are entitled to reimbursement for expenses
incurred in connection with membership on the committee.
SCR 21.08 Referees.
(1) Members of a permanent
panel of attorneys and reserve judges appointed by the supreme court shall
serve as referees to conduct hearings on complaints of attorney misconduct,
petitions alleging attorney medical incapacity, and petitions for license
reinstatement, to make findings, conclusions and recommendations and submit
them to the supreme court for review and appropriate action, and to review
consensual discipline under SCR 22.09.
(2) Referees shall function
pursuant to the procedures set forth in SCR chapter 22.
SCR 21.09 Supreme court.
(1) The supreme court
determines attorney misconduct and medical incapacity and imposes discipline or
directs other action in attorney misconduct and medical incapacity proceedings
filed with the court.
(2) The supreme court shall
meet with the director, with the preliminary review committee, and with the
board of administrative oversight annually to discuss the operation of the
lawyer regulation system and consider improvements in its operation.
SCR 21.10 Board of administrative oversight.
(1) The 12-member board of
administrative oversight of the lawyer regulation system consists of 8 lawyers
and 4 public members appointed by the supreme court. Members serve staggered three-year terms. A member may serve not more than two
consecutive three-year terms.
(2) The duties of the board
of administrative oversight are:
(a) To monitor the
fairness, productivity, effectiveness, and efficiency of the attorney
regulation system, including intake, the time required for disposition of an
allegation of attorney misconduct or medical incapacity, the presence of a
quorum at meetings of the preliminary review panels and the frequency of
divided votes determining cause to proceed, variations in specific matters
among the discipline sought by the director, the discipline recommended by the
referee, and the discipline imposed by the supreme court.
(b) To monitor implementation of new
procedures in the lawyer regulation system.
(c) To assess the public's and the
bar's perception of the integrity of the lawyer regulation system.
(d) To report its findings to the
supreme court.
(e) To review periodically
with the supreme court the operation of the lawyer regulation system and to
file an annual report with the supreme court of the system's activities during
the preceding year.
(f) To propose for
consideration by the supreme court substantive and procedural rules related to
the regulation of lawyers.
(g) To inform and educate
the public and the bar about the operation of the lawyer regulation system.
(h) To propose to the
supreme court, after consultation with the director, an annual budget for the
office of lawyer regulation.
(3) The board of
administrative oversight has no substantive or procedural function in the
lawyer regulation system as it concerns particular matters and does not
exercise administrative oversight or supervision of the operation of the lawyer
regulation system in respect to specific matters or proceedings involving
allegations of attorney misconduct or medical incapacity. A member of the board may not contact
investigative or prosecutorial staff directly in respect to a particular
investigative or prosecutorial matter, whether completed, pending or
contemplated. A member of the board may
contact investigative or prosecutorial staff directly and privately in respect
to purely administrative matters.
(4) The board shall hold at
least four regularly scheduled meetings each year. The meetings shall be open to the public
except as otherwise provided by law. A
majority of members currently serving constitutes a quorum of the board. At its first meeting each calendar year the
board shall elect a chairperson, a vice-chairperson to act in the absence of
the chairperson, and such other officers as it may consider necessary.
(5) The board shall take
and retain full and complete minutes of the open and closed sessions of its
meetings, including the identification of members whose motions, votes, and
comments are recorded, and shall provide a copy of the minutes of the open
session of each meeting to each member of the supreme court as soon as
practicable following the meeting. The
minutes of the open sessions are available to the public.
(6) Members of the board
are entitled to reimbursement for expenses incurred in connection with
membership on the board.
SCR 21.11 Training of lawyer regulation system participants.
(1) The director and
current staff of the office of lawyer regulation shall provide formal training
for new members of the staff.
(2) The director shall
provide formal training in procedural and substantive ethics rules to the
members of the district committees.
Committee members shall attend at least one training session within the
first year of appointment as a condition of appointment, unless the director
extends the time to fulfill the training requirement.
(3) The director and
current members of the preliminary review committee shall provide formal
training to new members of the preliminary review committee.
(4) Staff of the supreme
court shall provide formal training to the referees.
(5) The director and
current members of the board of administrative oversight shall provide formal
training to the new members of the board of administrative oversight.
(6) The training provided
in (1) through (3) and (5) shall emphasize the role and the importance of the
contributions of public member participants in the lawyer regulation system.
SCR 21.12 Roles of office of lawyer regulation, grievant, and district 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 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 of the office of lawyer regulation, and district 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.
SCR 21.13 Official duties.
When acting in the course of their official
duties under SCR chs. 21 and 22, the following are acting on behalf of the
supreme court in respect to the statutes and supreme court rules and orders
regulating the conduct of attorneys:
(1) The
director and staff of the office of lawyer regulation.
(2)
Retained counsel.
(3)
Members of district committees.
(4)
Special investigators.
(5)
Members of the preliminary review committee.
(6)
Members of a special preliminary review panel.
(7)
Referees.
(8)
Members of the board of administrative oversight.
(9)
Attorneys designated by the director to monitor compliance with
diversion agreements or with conditions imposed by the supreme court in
misconduct and medical incapacity proceedings, or to investigate or conduct a
hearing in a reinstatement proceeding.
SCR 21.14 Conflict of interests, recusal.
(1) The following may not take part
in a matter in which they are a complaining person, grievant, or respondent or
in which their own interests outside of their official duties under SCR chs. 21
and 22 reasonably may be perceived to impair their impartiality or when a judge
similarly situated would be disqualified under s. 757.19, 1997 stats. or
recusal would be required under SCR 60.04(4):
(a) The
director and staff of the office of lawyer regulation.
(b)
Retained counsel.
(c)
Members of district committees.
(d)
Special investigators.
(e) Members
of the preliminary review committee.
(f)
Members of a special preliminary review panel.
(g)
Referees.
(h)
Attorneys 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.
(i)
Members of the board of administrative oversight.
(2) Allegations of misconduct or
malfeasance against the director, staff of the office of lawyer regulation,
retained counsel, a member of a district committee, a special investigator, 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 under SCR
22.25.
SCR 21.15 Duties of attorneys.
(1) Pursuant to SCR
20:8.5(a), an attorney admitted to practice law or practicing law in
(2) A license to practice
law authorizes a person to practice law and to participate in the
administration of justice. It is the
duty of every attorney to act in conformity with standards imposed upon
attorneys as conditions of the privilege to practice law set forth in SCR
chapter 20: rules of professional conduct for attorneys.
(3) An attorney has the
duty to refer a member of the public who wishes to communicate an inquiry about
or a grievance against an attorney to the director.
(4) Every attorney shall
cooperate with the office of lawyer regulation in the investigation,
prosecution and disposition of grievances, complaints filed with or by the
director, and petitions for reinstatement.
An attorney's wilful failure to cooperate with the office of lawyer
regulation constitutes violation of the rules of professional conduct for
attorneys.
(5) An attorney found guilty or
convicted of any crime on or after July 1, 2002, shall notify in writing the
office of lawyer regulation and the clerk of the Supreme Court within 5 days
after the finding or conviction, whichever first occurs. The notice shall include the identity of the
attorney, the date of finding or conviction, the offenses, and the jurisdiction. An attorney’s failure to notify the office of
lawyer regulation and clerk of the supreme court of being found guilty or his
or her conviction is misconduct.
SCR 21.16 Discipline.
(1m) Any
of the following may be imposed on an attorney as discipline for misconduct
pursuant to the procedure set forth in SCR chapter 22:
(a) Revocation of license
to practice law.
(b) Suspension of license
to practice law.
(c) Public or private
reprimand.
(d) Conditions on the
continued practice of law.
(e) Monetary payment.
(em)
Restitution, as provided under sub. (2m).
(f) Conditions on seeking
license reinstatement.
(2m) (a)
An attorney may be ordered to do any of the following as restitution under sub.
(1m)(em):
1. Pay
monetary restitution to the person whose money or property was misappropriated
or misapplied in the amount or value of such money or property as found in the
disciplinary proceedings.
2. Reimburse
the
(b) Any
payment made as restitution under par. (a) does not limit, preclude or impair
any liability for damages in any civil action or proceeding for an amount in
excess of the payment.
(c) Upon
ordering restitution to the
SCR 21.17 Medical incapacity suspension, conditions.
The license of an attorney to practice
law may be suspended indefinitely or conditions may be imposed on the
attorney's practice of law with the attorney's consent or upon a finding that
the attorney has a medical incapacity, pursuant to the procedure set forth in
SCR chapter 22.
SCR 21.18 Limitation.
(1) Information, an
inquiry, or a grievance concerning the conduct of an attorney shall be
communicated to the director within 10 years after the person communicating the
information, inquiry or grievance knew or reasonably should have known of the
conduct, whichever is later, or shall be barred from proceedings under this
chapter and SCR chapter 22.
(2) The time during which a
person who knew or should have known of the attorney's conduct is under a
disability as provided in Wis. Stat. § 893.16 (1997-98) and the time
during which the attorney acted to conceal the conduct from or mislead the
person who knew or should have known of the conduct regarding the conduct are
not part of the time specified in sub. (1).
SCR 21.19 Privileges, immunity.
Communications with the director, staff of the
office of lawyer regulation, a district committee, a special investigator,
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 ch. 22 are privileged. No lawsuit predicated on these communications
may be instituted against any grievant or witness. The director, staff of the office of lawyer
regulation, members of a district committee, special investigators, retained
counsel, members of the preliminary review committee, members of a special
preliminary review panel, referees, members of the board of administrative
oversight, and persons designated by the director to monitor compliance with
diversion agreements or with conditions imposed on the attorney's practice of
law, shall be immune from suit for any conduct in the course of their official
duties.
SCR 21.20 Cooperation with other agencies.
(1) The office of lawyer
regulation shall cooperate with the board of bar examiners in matters of mutual
interest. The office and the board may
exchange confidential information and may conduct joint proceedings.
(2) The office of lawyer
regulation shall cooperate with lawyer regulatory bodies from other
jurisdictions and may share confidential information with them.
(3) The office of lawyer
regulation shall cooperate with district attorneys in the state of
SCR 21.21 Cost of lawyer regulation system.
The cost of the office of lawyer regulation,
the district committees, the preliminary review committee, all matters relating
to investigation and prosecution of possible attorney misconduct and medical
incapacity, reinstatement investigations and hearings, and the board of
administrative oversight shall be paid from the appropriation provided in s.
20.680 (3) (h), 1997 stats.
Chapter repealed and recreated by S.Ct. Order 99-03, effective
October 1, 2000. Amended November 14,
2001; January 23, 2002; May 5, 2005; July 1, 2007; July 1, 2010; July 6, 2015.