title: Board of Governors; Disciplinary Selection Panel

text: ELC 2.2 BOARD OF GOVERNORS; DISCIPLINARY SELECTION PANEL (a) Function. The Board of Governors of the Association: (1) through the Executive Director, provides administrative and managerial support to enable the Office of Disciplinary Counsel, the Disciplinary Board, review committees, and other Association staff and appointees to perform the functions specified by these rules; (2) makes appointments, removes those appointed, and fills vacancies as provided in these rules; and (3) performs other functions and takes other actions provided in these rules, delegated by the Supreme Court, or necessary and proper to carry out its duties. (b) Limitation of Authority. The Board of Governors, officers of the Association, and the Executive Director of the Association have no right or responsibility to direct the investigations, prosecutions, appeals, or discretionary decisions of the Office of Disciplinary Counsel under these rules, or to review hearing officer, review committee, or Disciplinary Board decisions or recommendations in specific cases. (c) Restrictions on Discipline-System Appointments. After leaving office, Association officers and Executive Director and Board of Governors members cannot serve as hearing officers, Disciplinary Board members, or Conflicts Review Officers until three years have expired after departure from office. (d) Restriction on Advising or Representing Respondents or Grievants. Current and former members of the Board of Governors, Executive Directors, and officers of the Association are subject to the restrictions set forth in rule 2.14. (e) Disciplinary Selection Panel. The Disciplinary Selection Panel makes recommendations to the Board of Governors for appointment, reappointment, and removal of Disciplinary Board members, hearing officers, chief hearing officer, and Conflicts Review Officers. The Panel is appointed by the Supreme Court, upon the recommendation of the Board of Governors, shall include a Board of Governors member who serves as its chair, and should include, without limitation, one or more former Chairs of the Disciplinary Board, one or more current or former hearing officers, and one or more former nonlawyer members of the Disciplinary Board. (f) Diversity. The Disciplinary Selection Panel and the Board of Governors considers diversity in gender, ethnicity, disability status, sexual orientation, geography, area of practice, and practice experience, when making appointments under Rules 2.2, 2.3, 2.5, 2.7, and 2.9. [Adopted effective October 1, 2002; Amended effective January 1, 2014; September 1, 2015.]

citation: ELC ELC 2.2

rule_number: ELC 2.2


doc_type: court-rule

jurisdiction: wa

title: Disciplinary Board

text:
ELC 2.3 DISCIPLINARY BOARD (a) Function. The Board performs the functions provided under these rules, delegated by the Supreme Court, or necessary and proper to carry out its duties. (b) Membership. (1) Composition. The Board consists of not fewer than four nonlawyer members, appointed by the Court, and not fewer than ten lawyers, appointed by the Court, upon the recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel. (2) Qualifications. A lawyer Board member must be an Active member of the Association, have been an Active or Judicial member of the Association for at least five years, and have no record of public discipline. (3) Voting. Each member, including the Chair and the Vice Chair, whether nonlawyer or lawyer, has one vote. Recused members may not attend or participate in the Board’s deliberations on a matter. Board staff may attend Board deliberations, to serve as a resource. (4) Quorum. A majority of the Board members constitutes a quorum. If there is a quorum, the concurrence of a majority of those present and voting constitutes action of the Board, so long as at least seven members vote. (5) Leave of Absence While Grievance Is Pending. If a grievance is filed against a lawyer member of the Board, the following procedures apply: (A) The member initially decides whether to remain on the Board or take a leave of absence until the matter is resolved. (B) If the member chooses to remain on the Board, the Conflicts Review Officer who is conducting the review of the grievance under rule 2.7 must promptly provide a confidential summary of the grievance to a different Conflicts Review Officer who is not conducting the review. A copy of the summary is provided to the member at the same time. (C) The Conflicts Review Officer who is not conducting the review of the grievance should then, or at any time thereafter as deemed appropriate, determine if the member is so impaired from serving on the Disciplinary Board that the member should take, or continue to take, a leave of absence to protect the integrity of the discipline system. In making this determination, the Conflicts Review Officer should consider, among other things, the facts, circumstances, and nature of the misconduct alleged, the possible outcome, and the extent of public concern regarding the matter. (D) The Conflict Review Officer’s determination is confidential. All materials used in connection with such a determination are confidential unless released under rule 3.4(d) or (e). (c) Terms of Office. The term of office for a Board member is three years. Newly created Board positions may be filled by appointments of less than three years, as designated by the Court, to permit as equal a number of positions as possible to be filled each year. Terms of office begin October 1 and end September 30 or when a successor has been appointed, whichever occurs later. Members may not serve more than one term except as otherwise provided in these rules. Members continue to serve until replaced, except a member’s term of office ends immediately if a disciplinary sanction is imposed. (d) Chair. The Supreme Court, upon the recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel, annually designates one lawyer member of

the Board to act as Chair and another as Vice Chair. The Vice Chair serves in the absence of or at the request of the Chair. (e) Unexpired Terms. The Supreme Court, upon the recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel, fills unexpired terms in membership on the Board. A member appointed to fill an unexpired term will complete the unexpired term of the member replaced, and may be reappointed to a consecutive term if the unexpired term is less than 18 months. (f) Pro Tempore Members. If a Board member is disqualified or unable to function, the Chair may, by written order, designate a member pro tempore. A member pro tempore must have previously served on the Board. Only a lawyer may be appointed to substitute for a lawyer member, and only a nonlawyer to substitute for a nonlawyer member. (g) Meetings. The Board meets regularly at times and places it determines. The Chair may convene special Board meetings. In the Chair’s discretion, the Board may meet and act through electronic, telephonic, written, or other means of communication. (h) Disqualification. A Board member should self-disqualify from a particular matter in which the member’s impartiality might reasonably be questioned, -including, but not limited to, instances in which: (1) the member has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the matter; (2) the member previously served as a lawyer or was a material witness in the matter in controversy, or a lawyer with whom the member practices law serves or has previously served as a lawyer concerning the matter, or such lawyer is or has been a material witness concerning the matter; (3) the member knows that, individually or as a fiduciary, the member or the member’s spouse or relative residing in the member’s household, has an economic interest in the subject matter in controversy or in a party to the matter, or is an officer, director, or trustee of a party or has any other interest that could be substantially affected by the outcome of the matter, unless there is a remittal of disqualification under subsection (i); (4) the member or the member’s spouse or relative residing in the member’s household, or the spouse of such a person: (A) is a party to the matter, or an officer, director, or trustee of a party; (B) is acting as a lawyer in the matter; (C) is to the member’s knowledge likely to be a material witness in the matter; (5) the member served as a hearing officer for a hearing on the matter, or served on a review committee that issued an admonition to the lawyer regarding the matter. (i) Remittal of Disqualification. A member disqualified under subsection (h)(3) or (h)(4) may, instead of withdrawing from consideration of the matter, disclose on the record the basis of the disqualification. If, based on such disclosure, the parties and lawyers, independently of the member’s participation, all agree in writing or on the record that the member’s relationship is immaterial or that the member’s economic interest is de minimis, the member is no longer disqualified, and may participate in the matter. If a party is not immediately available, the member may proceed on the assurance of the party’s counsel that the party’s consent will be subsequently given.

(j) Counsel and Clerk. The Executive Director of the Association may appoint a suitable person or persons to act as counsel and clerk to the Board, to assist the Board and the review committees in carrying out their functions under these rules. (k) Restriction on Representing or Advising Respondents or Grievants. Current and former members of the Disciplinary Board are subject to the restrictions on representing respondents in rule 2.14. [Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2023.]

license: public-domain-government-work

citation: ELC ELC 2.3

rule_set: ELC

rule_number: ELC 2.3


title: Review Committees

text: ELC 2.4 REVIEW COMMITTEES (a) Function. A review committee performs the functions provided under these rules, delegated by the Board or the Chair, or necessary and proper to carry out its duties. (b) Membership. The Chair appoints three or more review committees of three members each from among the Board members. Each review committee consists of two lawyers and one nonlawyer. The Chair may reassign members among the several committees on an interim or permanent basis. The Chair does not serve on a review committee. (c) Review Committee Chair. The Chair of the Disciplinary Board designates one member of each review committee to act as its chair. (d) Terms of Office. A review committee member serves as long as the member is on the Board. (e) Distribution of Cases. The Clerk assigns matters to the several review committees under the Chair’s direction, equalizing the committee’s caseloads as possible. (f) Meetings. A review committee meets at times and places determined by the review committee chair, under the general direction of the Chair of the Disciplinary Board. In the review committee chair’s discretion, the committee may meet and act through electronic, telephonic, written, or other means of communication. A majority of a review committee constitutes a quorum. A review committee can act only upon at least two affirmative votes. (g) Adjunct Review Committee Members. Notwithstanding other provisions of these rules, if deemed necessary to the efficient operation of the discipline system, the Board may authorize the Chair to appoint former Board members as adjunct review committee members for a period deemed necessary by the Chair, but those appointments terminate at the end of the term of the Chair making the appointment. The Chair may remove adjunct review committee members when deemed appropriate. The Chair may appoint adjunct review committee members to existing review committees or may create adjunct review committees. An adjunct member has the same authority as a regular review committee member and must comply with rule 2.3(b)(5) but is not otherwise a Board member. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 2.4

rule_number: ELC 2.4


title: Hearing Officers

text:
ELC 2.5 HEARING OFFICERS (a) Function. A hearing officer to whom a case has been assigned for hearing conducts the hearing and performs other functions as provided under these rules. (b) Qualifications. A hearing officer must be an active member of the Association, have been an active or judicial member of the Association for at least seven years, have no record of public discipline, and have experience as an adjudicator or as an advocate in contested adjudicative hearings. (c) Appointment. The Supreme Court, upon recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel, appoints hearing officers to the hearing officer list. The list should include as many lawyers as necessary to carry out the provisions of these rules effectively and efficiently. (d) Terms of Appointment. Appointment to the hearing officer list is for an initial period of two years, followed by periods of four years. Reappointment is in the discretion of the Supreme Court on recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel. A hearing officer may continue to act in any matter assigned before their term expires. On the recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel, the Supreme Court may remove a person from the list of hearing officers. (e) Chief Hearing Officer. (1) Appointment. The Supreme Court, upon recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel, appoints a chief hearing officer for a renewable term of two years. The person appointed as chief hearing officer must meet the qualifications for hearing officers set forth in paragraph (b) above, have significant experience in the adjudication of contested matters, and have substantial administrative and managerial skills. If the chief hearing officer position is vacant or the chief hearing officer has recused or been disqualified from a particular matter, the Chair may, as necessary, perform the duties of chief hearing officer. (2) Duties and Authority. The chief hearing officer: (A) hears matters, (B) assigns cases, (C) monitors and evaluates hearing officer performance, (D) hears motions for hearing officer disqualification, (E) hears prehearing motions when no hearing officer has been assigned, (F) hears motions for protective orders under rule 3.2(e), (G) hears motions prior to a matter being ordered to hearing, including while a grievance is being investigated, (H) hears requests for amendment of formal complaints under rule 10.7(c), (I) approves stipulations to discipline not involving suspension or disbarment as provided by rule 9.1(d)(2),

(J) responds to hearing officer requests for information or advice related to their duties, (K) supervises hearing officer training in accordance with established policies, and (L) performs other duties as the chief hearing officer deems necessary for an efficient and effective hearing system. (f) Case Assignment. The chief hearing officer assigns hearing officers to cases from the list of hearing officers appointed by the Supreme Court. The chief hearing officer shall be given confidential notice of any grievances filed against any hearing officers, and the ultimate disposition of those grievances, and shall consider this information when making assignments. (g) Training. Hearing officers must comply with training requirements established by the chief hearing officer. (h) Staff. The Executive Director of the Association may appoint a suitable person or persons to assist the hearing officers and the chief hearing officer in carrying out their functions under these rules. [Adopted effective October 1, 2002; Amended effective January 1, 2014; September 1, 2017; January 1, 2023.]

citation: ELC ELC 2.5

rule_number: ELC 2.5


title: Hearing Officer Conduct

text:
ELC 2.6 HEARING OFFICER CONDUCT (a) Integrity of Hearing Officer System. The integrity and fairness of the disciplinary system requires that hearing officers observe high standards of conduct. The Code of Judicial Conduct is useful guidance for hearing officers. The following rules have been adapted from the Code of Judicial Conduct and the words “should” and “shall” have the meanings ascribed to them in those rules. (b) Hearing Officer’s Duty To Avoid Impropriety and the Appearance of Impropriety. Hearing officers should respect and comply with the law and act at all times in a manner that promotes public confidence in the integrity and impartiality of the disciplinary system. Hearing officers should not allow family, social, or other relationships to influence their conduct or judgment. Hearing officers should not lend the prestige of the hearing officer position to advance the private interests of the hearing officer or others; nor should hearing officers convey or permit others to convey the impression that they are in a special position to influence them. Hearing officers should not be members of any organization practicing discrimination prohibited by law. (c) Conduct of Those on Hearing Officer List. A person on the hearing officer list should not: (1) testify voluntarily as a character witness in a disciplinary proceeding; (2) serve as an expert witness related to the professional conduct of lawyers in any proceeding; or (3) serve as special disciplinary counsel, adjunct investigative counsel, or respondent’s counsel. (d) Performing Duties Impartially and Diligently. When acting as a hearing officer, the following standards apply: (1) Adjudicative Responsibilities. (A) Hearing officers should be faithful to the law and maintain professional competence in it. Hearing officers should be unswayed by partisan interests, public clamor, or fear of criticism. (B) Hearing officers should maintain order and decorum in proceedings before them. (C) Hearing officers should be patient, dignified, and courteous to parties, witnesses, lawyers, and others with whom hearing officers deal in their official capacity, and should require similar conduct of lawyers, and of the staff, and others subject to their direction and control. (D) Hearing officers should accord to every person who is legally interested in a proceeding, or that person’s lawyer, full right to be heard according to law, and, except as authorized by law, neither initiate nor consider ex parte or other communications concerning a pending or impending proceeding. Hearing officers, however, may obtain the advice of a disinterested expert on the law applicable to a proceeding before them, by amicus curiae only, if they afford the parties reasonable opportunity to respond. (E) Hearing officers shall perform their duties without bias or prejudice. (F) Hearing officers should dispose promptly of assigned matters. (G) Hearing officers shall not, while a proceeding is pending or impending, make any public comment that might reasonably be expected to affect its outcome or impair its fairness or

make any nonpublic comment that might substantially interfere with a fair hearing. The hearing officer shall require similar abstention on the part of personnel subject to the hearing officer’s direction and control. This section does not prohibit hearing officers from making public statements in the course of their official duties or from explaining for public information the procedures of the discipline system. (2) Administrative Responsibilities. (A) Hearing officers should diligently discharge their administrative responsibilities. (B) Hearing officers should require their staff and others subject to their direction and control to observe the standards of fidelity and diligence that apply to them. (3) Disciplinary Responsibilities. (A) Hearing officers having actual knowledge that another hearing officer has committed a violation of these rules should take appropriate action. Hearing officers having actual knowledge that another hearing officer has committed a violation of these rules that raises a substantial question as to the other hearing officer’s fitness for office should take or initiate appropriate corrective action, which may include informing the appropriate authority. (B) Hearing officers having actual knowledge that a lawyer has committed a violation of the Rules of Professional Conduct or Rules for Enforcement of Lawyer Conduct should take appropriate action. Hearing officers having actual knowledge that a lawyer has committed a violation of the Rules of Professional Conduct or Rules for Enforcement of Lawyer Conduct that raises a substantial question as to the lawyer’s fitness as a lawyer should take or initiate appropriate corrective action, which may include informing the appropriate authority. (4) Disqualification. (A) Hearing officers should disqualify themselves in a proceeding in which their impartiality might reasonably be questioned, including but not limited to instances in which: (i) the hearing officer has a personal bias or prejudice concerning a party, or personal knowledge of disputed evidentiary facts concerning the proceeding; (ii) the hearing officer previously served as a lawyer or was a material witness in the matter in controversy, or a lawyer with whom the hearing officer previously practiced law served during such association as a lawyer concerning the matter, or such lawyer has been a material witness concerning it; (iii) the hearing officer knows that, individually or as a fiduciary, the hearing officer or the hearing officer’s spouse or member of the hearing officer’s family residing in the hearing officer’s household, has an economic interest in the subject matter in controversy or in a party to the proceeding, or is an officer, director or trustee of a party or has any other interest that could be substantially affected by the outcome of the proceeding, unless there is a remittal of disqualification; (iv)the hearing officer or the hearing officer's spouse or member of the hearing officer's family residing in the hearing officer's household, or the spouse of such a person: (a) is a party to the proceeding, or an officer, director, or trustee of a party; (b) is acting as a lawyer in the proceeding; (c) is to the hearing officer's knowledge likely to be a material witness in the proceeding.

(B) Hearing officers should inform themselves about their personal and fiduciary economic interests, and make a reasonable effort to inform themselves about the personal economic interests of their spouse and minor children residing in their household. (5) Remittal of Disqualification. A hearing officer disqualified by the terms of subsections (d)(4)(A)(iii) or (iv) may, instead of withdrawing from the proceeding, disclose on the record the basis of the disqualification. If, based on such disclosure, the parties and lawyers, independently of the hearing officer's participation, all agree in writing or on the record that the hearing officer's relationship is immaterial or that the hearing officer's economic interest is de minimis, the hearing officer is no longer disqualified and may participate in the proceeding. When a party is not immediately available, the hearing officer may proceed on the assurance of the lawyer that the party's consent will be subsequently given. (e) Restriction on Advising or Representing Respondents or Grievants. Appointees to the hearing officer list are subject to the restrictions set forth in rule 2.14. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 2.6

rule_number: ELC 2.6


title: Conflicts Review Officer

text:
ELC 2.7 CONFLICTS REVIEW OFFICER (a) Function. Conflicts Review Officers review grievances filed against disciplinary counsel and other lawyers employed by the Association, hearing officers, conflicts review officers and conflicts review officers pro tempore, members of the Disciplinary Board, officers and members of the Board of Governors, and staff, attorneys, and judicial officers of the Supreme Court. Conflicts Review Officers also review grievances filed against persons who have been assigned cases as adjunct disciplinary or special disciplinary counsel, or appointed in disability matters pursuant to ELC 8.2(c)(2), at the time the grievance is filed. A Conflicts Review Officer performs other functions as set forth in these rules. (1) Authority. The Conflicts Review Officer’s duties are limited to performing the initial review of grievances covered by this Rule. A Conflicts Review Officer may, under rule 5.3(b), obtain the respondent lawyer’s response to the grievance, if they feel it is necessary to do so, in their sole discretion. A Conflicts Review Officer may dismiss the grievance under rule 5.7(a), defer the investigation under rule 5.3(d), or assign the grievance to special disciplinary counsel for investigation under rules 2.8(b) and 5.3. If a grievant requests review of a dismissal under rule 5.7(b), the Conflicts Review Officer may either reopen the matter for investigation or refer it to a review committee under that rule. (2) Independence. Conflicts Review Officers act independently of disciplinary counsel and the Association. (b) Appointment and Qualifications. (1) The Supreme Court, on the recommendation of the Board of Governors in consultation with the Disciplinary Selection Panel, shall appoint three active members of the Association as Conflicts Review Officers. Each Conflicts Review Officer is appointed for a three-year term on a staggered basis, and may be recommended for reappointment at the discretion of the Board of Governors. Applications shall be solicited from those eligible to serve, and submitted to the Board of Governors, in such manner as the Association deems most appropriate under the policies and procedures then in effect for recruitment and appointment of volunteers in the discipline system. (2) When no Conflicts Review Officer is available to handle a matter due to conflict of interest or other good cause, the Supreme Court, on the recommendation of the Board of Governors, shall appoint a Conflicts Review Officer pro tempore for the matter. (3) To be eligible for appointment as Conflicts Review Officer or Conflicts Review Officer pro tempore, a lawyer must have prior experience as a Disciplinary Board member, disciplinary counsel, or special disciplinary counsel. Conflicts Review Officers and Conflicts Review Officers pro tempore may have no other active role in the discipline system during the term of appointment. (c) Counsel and Clerk; Assignment of Cases. The Association shall assign matters to the Conflicts Review Officers in such a manner as to balance their caseloads insofar as it is practicable to do so. The Executive Director of the Association may appoint a suitable person or persons to act as counsel and clerk to the Conflicts Review Officers, to assist them in carrying out their functions under these rules. (d) Access to Disciplinary Information. Conflicts Review Officers and Conflicts Review Officers pro tempore have access to any otherwise confidential disciplinary information necessary to perform the duties required by these rules. Conflicts Review Officers and Conflicts Review Officers pro tempore shall return original files to the Association promptly upon completion of the duties required by these rules and shall not retain copies.

(e) Compensation and Expenses. The Association reimburses Conflicts Review Officers and Conflicts Review Officers pro tempore for all necessary and reasonable expenses, and may provide compensation at a level established by the Board of Governors. (f) Restriction on Representing or Advising Respondents or Grievants. Current Conflicts Review Officers are subject to the restrictions set forth in rule 2.14. Members serving as Conflicts Review Officer pro tempore are subject to the same restriction while serving in that capacity. [Adopted effective October 1, 2002; Amended effective January 12, 2010; January 1, 2014; January 1, 2015; September 1, 2017; January 1, 2023.]

citation: ELC ELC 2.7

rule_number: ELC 2.7


title: Disciplinary Counsel; Special Disciplinary Counsel

text: ELC 2.8 DISCIPLINARY COUNSEL; SPECIAL DISCIPLINARY COUNSEL (a) Function. Disciplinary counsel acts as counsel on all matters under these rules, and performs other duties as required by these rules or the Chief Disciplinary Counsel. (b) Appointment. The Executive Director of the Association, under the direction of the Board of Governors, employs a suitable member of the Association as Chief Disciplinary Counsel, and in consultation with the Chief Disciplinary Counsel, selects and employs suitable members of the association as disciplinary counsel, in a number to be determined by the Executive Director. Special disciplinary counsel may be appointed by the Executive Director whenever necessary to conduct an individual investigation or proceeding. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 2.8

rule_number: ELC 2.8


title: Adjunct Disciplinary Counsel

text: ELC 2.9 ADJUNCT DISCIPLINARY COUNSEL (a) Function. Adjunct disciplinary counsel performs the functions set forth in these rules as directed by disciplinary counsel. (b) Appointment and Term of Office. The Board of Governors, upon the recommendation of the Chief Disciplinary Counsel, appoints adjunct disciplinary counsel from among the active members of the Association, who have been active or judicial Association members for at least seven years, and have no record of disciplinary action as defined in these rules. Each adjunct disciplinary counsel is appointed for a five year term on a staggered basis and may be reappointed. (c) Restriction on Representation. Adjunct disciplinary counsel are subject to the restrictions of rule 2.14. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 2.9

rule_number: ELC 2.9


title: Removal of Appointees

text: ELC 2.10 REMOVAL OF APPOINTEES The power granted by these rules to any person, committee, or board to make any appointment includes the power to remove the person appointed whenever that person appears unwilling or unable to perform their duties, or for any other cause, and to fill the resulting vacancy. [Adopted effective October 1, 2002. Amended effective January 1, 2023.]

citation: ELC ELC 2.10


title: Compensation and Expenses

text: ELC 2.11 COMPENSATION AND EXPENSES (a) Compensation. The Association compensates the chief hearing officer to the extent authorized by the Board of Governors. The Association may compensate hearing officers and special disciplinary counsel to the extent authorized by the Board of Governors. Board members and adjunct disciplinary counsel receive no compensation for their services. (b) Expenses. The Association pays expenses incurred by hearing officers, special disciplinary counsel, the chief hearing officer, Board members, and adjunct disciplinary counsel in connection with their duties, subject to any limitation established by resolution of the Board of Governors. (c) Special Appointments. The Association pays the fees for counsel appointed under rules 7.7, 8.2(c)(2), or 8.3(d)(3) and costs or expenses reasonably incurred by these counsel. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 2.11


title: Communications to the Association Privileged

text: ELC 2.12 COMMUNICATIONS TO THE ASSOCIATION PRIVILEGED Communications to the Association, Board of Governors, Disciplinary Board, review committee, hearing officer, disciplinary counsel, adjunct disciplinary counsel, Association staff, or any other individual acting under authority of these rules, are absolutely privileged, and no lawsuit predicated thereon may be instituted against any grievant, witness, or other person providing information. [Adopted effective October 1, 2002; Amended effective January 2, 2008; January 1, 2014; January 1, 2015.]

citation: ELC ELC 2.12


title: Respondent Lawyer

text: ELC 2.13 RESPONDENT LAWYER (a) Right to Representation. A lawyer may be represented by counsel during any stage of an investigation or proceeding under these rules. (b) Restriction on Charging Fee To Respond to Grievance. A respondent lawyer may not seek to charge a grievant a fee or recover costs from a grievant for responding to a grievance unless otherwise permitted by these rules. (c) Medical and Psychological Records. A respondent must furnish written releases or authorizations to permit disciplinary counsel access to medical, psychiatric, or psychological records as may be relevant to the investigation or proceeding, subject to a motion to the chief hearing officer, or the hearing officer if one has been appointed, to limit the scope of the requested releases or authorizations for good cause shown. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 2.13


title: Restrictions on Representing or Advising Respondents or Grievants

text: ELC 2.14 RESTRICTIONS ON REPRESENTING OR ADVISING RESPONDENTS OR GRIEVANTS (a) Current Officeholders. Association officers and Executive Director, Board of Governors members, Disciplinary Board members, and hearing officers, while serving in that capacity, cannot knowingly advise or represent individuals regarding pending or likely disciplinary grievances or proceedings, other than advising a person of the availability of grievance procedures. (b) Former Officeholders. After leaving office, Association officers and Executive Director, Board of Governors members, Disciplinary Board members, and hearing officers cannot represent individuals in pending disciplinary grievances or proceedings until three years have expired after departure from office. (c) Other Volunteers. Conflicts Review Officers, Conflicts Review Officers pro tempore, adjunct disciplinary counsel, adjunct review committee members and members pro tempore of the Board are subject to the restrictions on advising and representing individuals set forth in this rule only while serving in that capacity. (d) Exceptions. The prohibition in subsection (b) of this rule on representing individuals after leaving office does not prevent: (1) a lawyer from serving as appointed counsel under rule 8.3(d)(3); or (2) a former Board of Governors member from representing individuals in pending disciplinary proceedings or grievances after leaving office provided that: (a) the former member represented at least 10 respondents in disciplinary proceedings or grievances prior to taking office, and (b) for three years after leaving office, the former member does not participate in or seek to influence a decision or action of the Board of Governors related to functions under these rules. [Adopted effective January 1, 2014; Amended effective October 1, 2024.]

citation: ELC ELC 2.14


title: Open Meetings and Public Disciplinary Information

text: ELC 3.1 OPEN MEETINGS AND PUBLIC DISCIPLINARY INFORMATION (a) Open Meetings. Disciplinary hearings and meetings of the Board are public. Except as otherwise provided in these rules, Supreme Court proceedings are public to the same extent as other Supreme Court proceedings. Deliberations of a hearing officer, board, review committee, or court, and matters made confidential by a protective order, or by other provisions of these rules, are not public. (b) Public Disciplinary Information. The public has access to the following information subject to these rules: (1) the record before a review committee and the order of the review committee in any matter that a review committee has ordered to hearing or ordered an admonition be issued; (2) the record upon distribution to a review committee or to the Supreme Court in proceedings based on a conviction of a felony, as defined in rule 7.1(a); (3) the record upon distribution to a review committee or to the Supreme Court in proceedings under rule 7.2; (4) a statement of concern to the extent provided under rule 3.4(f); (5) the record and order upon approval of a stipulation for discipline imposing a sanction or admonition, and the order approving a stipulation to dismissal of a matter previously made public under these rules; (6) the record before a hearing officer; (7) the record and order before the Board in any matter reviewed under rule 10.9 or Title 11; (8) the bar file and any exhibits and any Board or review committee order in any matter ordered to public hearing, or that is deemed ordered to hearing under rule 13.5(a)(2), or any matter in which disciplinary action has been taken, or any proceeding under rules 7.1-7.6; (9) in any disciplinary matter referred to the Supreme Court, the file, record, briefs, and argument in the case; (10) a lawyer’s resignation in lieu of discipline under rule 9.3; (11) any sanction or admonition imposed on a respondent; and (12) a stipulation to dismissal upon institution of proceedings for failure to comply with the terms of the stipulation. (c) Regulations. Public access to file materials and proceedings permitted by this rule may be subject to reasonable regulation as to time, place, and manner of access. Certified copies of public bar file documents will be made available at the same rate as certified copies of superior court records. Uncertified copies of public bar file documents will be made available at a rate to be set by the Executive Director of the Association. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 3.1

rule_number: ELC 3.1


title: Confidential Disciplinary Information

text:
ELC 3.2 CONFIDENTIAL DISCIPLINARY INFORMATION (a) Scope of Confidentiality. All disciplinary information that is not public information as defined in rule 3.1(b) is confidential, and is held by the Association under the authority of the Supreme Court, including but not limited to materials submitted to a review committee under rule 8.9 or information protected by rule 3.3(b), rule 5.4(b), rule 5.1(c)(3), a protective order under rule 3.2(e), rule 3.2(b), court order, or other applicable law (e.g., medical records, police reports, etc.). (b) Restriction on Release of Client Information. Notwithstanding any other provision of this title, no information identified to the Association by a respondent as privileged or confidential client information under rule 5.4 may be released under rule 3.4(c)-(i) unless the client consents, including implied consent under rule 5.1(b). (c) Investigative Confidentiality. During the course of an investigation or proceeding, the Chief Disciplinary Counsel may direct that otherwise public information be kept confidential if necessary to further the purposes of the investigation. At the conclusion of the proceeding, those materials become public information unless subject to a protective order. (d) Discipline Under Prior Rules. Discipline imposed under prior rules of this state that was confidential when imposed remains confidential. A record of confidential discipline may be kept confidential during proceedings under these rules, or in connection with a stipulation under rule 9.1, through a protective order under section (e). (e) Protective Orders. (1) Authorization. To protect a compelling interest of a grievant, witness, third party, respondent lawyer, the Association, or other participant in any matter under these rules, on motion and for good cause shown, a protective order may be entered prohibiting any participant in the disciplinary process from disclosing or releasing specific information, documents, or pleadings obtained in the course of any matter under these rules, and direct that the proceedings be conducted so as to implement the order. (2) Pending Relief. Upon filing a motion for a protective order, any participant in the disciplinary matter may move for a temporary protective order prohibiting any participant in the disciplinary matter who has actual notice of the motion for temporary protective order from taking any action which would violate the requested protective order if granted. A motion for temporary protective order may only be granted upon notice and an opportunity to be heard to all affected participants in the matter unless the participant seeking the order demonstrates that immediate and irreparable harm will result to the applicant before the affected participants can be heard in opposition and the participant seeking the order certifies the efforts, if any, which have been made to give notice and the reasons supporting the claim that notice should not be required. Any temporary protective order granted without notice must set forth the irreparable harm warranting issuance of the order without notice. Any temporary protective order expires upon the filing of a decision regarding the requested protective order, or thirty days following issuance of the temporary protective order, whichever is sooner. Upon two day’s notice to the party who obtained a temporary protective order, any participant in the matter may move for the dissolution or modification of a temporary protective order, which motion must be heard as expeditiously as the ends of justice require. (3) Entry. A protective order under this rule may be entered by the following: (A) A hearing officer when a matter is pending before that hearing officer; (B) The Chair when a matter is pending before the Board;

(C) The chair of a review committee when the matter is pending before a review committee; or (D) The chief hearing officer when not otherwise authorized above. (4) Service. The Clerk serves copies of decisions and protective orders entered under this rule on all affected participants in the disciplinary process. (5) Review. The Board reviews decisions granting or denying a protective order if any party subject to the decision seeks relief from the decision by requesting a review within five days of service of the decision. The Clerk serves a copy of the request for review on all parties to the disciplinary matter. The Board considers the review under such procedure as it determines, but must allow comment from any person or party affected by the decision under review. Any participant in the disciplinary matter who has actual notice of the request for review is prohibited from taking any action which would violate the relief requested by the party seeking review if granted. On review, the Board may affirm, reverse, or modify the protective order. The Board’s decision is not subject to further review. (6) Relief from Protective Order. Any person may apply to the authority that issued a protective order for specific relief from the order upon good cause shown, provided that notice and an opportunity to respond to the requested relief must be afforded any person affected by the order. (f) Wrongful Disclosure or Release. Disclosure or release of information made confidential by these rules, except as permitted by rule 3.4(a) or otherwise by these rules, may subject a person to an action for contempt of the Supreme Court. If the person is a lawyer, wrongful disclosure or release may also be grounds for discipline. [Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2015.]

citation: ELC ELC 3.2

rule_number: ELC 3.2


title: Application to Stipulations, Disability Proceedings, Custodianships, and Diversion Contracts

text: ELC 3.3 APPLICATION TO STIPULATIONS, DISABILITY PROCEEDINGS, CUSTODIANSHIPS, AND DIVERSION CONTRACTS (a) Application to Stipulations. A stipulation under rule 9.1 providing for imposition of a disciplinary sanction or admonition is confidential until approved, except that a grievant may be advised concerning a stipulation and its proposed or actual content at any time. An approved stipulation is public, unless: (1) it provides for dismissal of a grievance without a disciplinary sanction or admonition; and (2) proceedings have not been instituted for failure to comply with the terms of the stipulation. (b) Application to Disability Proceedings. Disability proceedings under Title 8 or rule 9.2 are confidential. However, the following are public information: the fact that a lawyer has been transferred to disability inactive status, the fact that a lawyer has been reinstated to active status from disability inactive status, and the fact that a disciplinary proceeding is stayed pending supplemental proceedings under Title 8. (c) Custodianships. The fact that a custodian has been appointed under rule 7.7, together with the custodian’s name and contact information and orders appointing and discharging such custodians, are public information and the notices required by rule 3.5(d) will be given. Client files and records under the control of such custodians will be held confidential absent authorization to release from the client. (d) Diversion Contracts. Except as provided by rule 6.6, diversion contracts and supporting affidavits and declarations under rules 6.5 and 6.6 are confidential, despite rule 3.1(b)(1). However, release of a diversion contract or supporting affidavit may be authorized under rule 3.4, provided that a respondent must be given notice of a decision to make a discretionary release under ELC 3.4(e) and a reasonable opportunity to seek a protective order under ELC 3.2(e). When a matter that has previously become public under rule 3.1(b) is diverted by a diversion contract, that contract and the supporting documents are confidential but the fact that the matter was diverted from discipline is public information and a notice of diversion will be placed in the public file. Upon the conclusion of the diversion, whether by successful completion of diversion and dismissal of the grievance, or by breach of the diversion contract, a notice of that result will be placed in the public file. [Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2015; January 2, 2018.]

citation: ELC ELC 3.3

rule_number: ELC 3.3


title: Release or Disclosure of Otherwise Confidential Information

text:
ELC 3.4 RELEASE OR DISCLOSURE OF OTHERWISE CONFIDENTIAL INFORMATION (a) Disclosure of Information. Except as prohibited by rule 3.2(e), court order, or other law, the grievant, respondent lawyer, or any witness may disclose any information in their possession regarding a disciplinary matter. (b) Investigative Disclosure. The Association may disclose otherwise confidential information, including relevant information from related grievances filed by the same grievant, as necessary to conduct a review or investigation, to recruit counsel, or to keep a grievant advised of the status of a matter except as prohibited by rule 5.4(b) or 5.1(c)(3), a protective order under rule 3.2(e), other court order, or other applicable law. (c) Release Based upon Lawyer’s Waiver. Upon a written waiver by a lawyer, except as prohibited by rule 3.2(e), the Association may release the status of otherwise confidential disciplinary or disability proceedings and provide otherwise confidential information to any person or entity authorized by the lawyer to receive the information. (d) Response to Inquiry or False or Misleading Statement. (1) Except as prohibited by rule 3.2(e), the Executive Director or Chief Disciplinary Counsel, or a designee of either of them, may release otherwise confidential information: (A) to respond to specific inquiries about matters that are in the public domain; or (B) if necessary to correct a false or misleading public statement. (2) A respondent must be given notice of a decision to release information under this section unless the Executive Director or the Chief Disciplinary Counsel finds that notice would jeopardize serious interests of any person or the public or compromise an ongoing investigation. (3) A decision regarding release of information is final and is not subject to further review. (e) Discretionary Release. The Executive Director or the Chief Disciplinary Counsel may authorize the general or limited release of any confidential information when it appears necessary to protect the interests of clients or other persons, the public, or the integrity of the disciplinary process, except as prohibited by rule 3.2(e). A respondent must be given notice of a decision to release information under this section before its release unless the Executive Director or the Chief Disciplinary Counsel finds that notice would jeopardize serious interests of any person or the public, or that the delay caused by giving the respondent notice would be detrimental to the integrity of the disciplinary process. A decision regarding release of information is final and is not subject to further review. (f) Statement of Concern. (1) Authority. The Chief Disciplinary Counsel has discretion to file a statement of concern with the Clerk when deemed necessary to protect members of the public from a substantial threat, based on information from a pending investigation into a lawyer’s apparent ongoing serious misconduct not otherwise made public by these rules. The statement may not disclose information protected by rule 3.2(e). (2) Procedure. (A) On or before the date it is filed, a copy of the statement of concern must be served under rule 4.1 on the lawyer about whom the statement of concern has been made. The statement of concern is not public information until 14 days after service.

(B) The lawyer may at any time appeal to the Chair to have the statement of concern withdrawn. (C) If an appeal to the Chair is filed with the Clerk under rule 4.2(a) within 14 days of service of the statement of concern, the statement of concern is not public information unless the Chair so orders and becomes public information upon issuance of the Chair’s order. (D) The Chair’s decision is not subject to further review. (E) The Chief Disciplinary Counsel may withdraw a statement of concern at any time. (g) Release to Judicial Officers. Any state or federal judicial officer may be advised of the status of a confidential disciplinary grievance about a lawyer appearing before the judicial officer in a representational capacity and, except as prohibited by rule 3.2(e), may be provided with requested confidential information if the grievance is relevant to the lawyer’s conduct in a matter before that judicial officer. The judicial officer must maintain the confidentiality of the matter. (h) Cooperation with Law Enforcement and Disciplinary Authorities. Except as prohibited by rule 3.2(e), information or testimony may be released to authorities in any jurisdiction authorized to investigate alleged criminal or unlawful activity, judicial or lawyer misconduct, or disability. (i) Release to Lawyers' Fund for Client Protection. Information relating to applications pending before the Lawyers' Fund for Client Protection Board (LFCP Board) may, except as prohibited by rule 3.2(e), be released to the LFCP Board. The LFCP Board must treat such information as confidential unless the Executive Director or the Chief Disciplinary Counsel authorizes release. (j) Other Counsel. Conflicts review officers, special disciplinary counsel, adjunct disciplinary counsel, Association counsel, a custodian appointed under ELC 7.7, counsel for a petitioner under rule 8.9(d), counsel appointed under rule 8.10, and any lawyer representing the Association in any matter have access to any otherwise confidential disciplinary information necessary to perform their duties. (k) Chief Hearing Officer and Disciplinary Selection Panel. The chief hearing officer and the Disciplinary Selection Panel shall have access to any otherwise confidential disciplinary information necessary to perform their duties. The chief hearing officer shall be given notice when any grievance is filed against a hearing officer and of the disposition of that grievance. Confidential information provided under the terms of this rule shall not be further disseminated except as may be otherwise allowed under these rules. (l) Release to Board of Governors or Officers. The Chief Disciplinary Counsel may authorize release of otherwise confidential information to the Board of Governors or officers of the Association as necessary to carry out their duties under these rules, except as prohibited by rule 3.2(e), but the Board of Governors or officers of the Association must maintain its confidentiality. (m) Release to Practice of Law Board. Information obtained in an investigation relating to possible unauthorized practice of law may, except as prohibited by rule 3.2(e), be released to the Practice of Law Board. The Practice of Law Board must maintain the confidentiality of the information unless the Executive Director or the Chief Disciplinary Counsel authorizes release. (n) Information Not Subject to Subpeona. Information made confidential under these rules shall not be subject to a subpoena in any civil, criminal, or other proceeding except by leave of the Supreme Court upon a showing of compelling need.

[Adopted effective October 1, 2002; Amended effective September 1, 2005; January 1, 2014; January 2, 2018; September 1, 2022]

citation: ELC ELC 3.4

rule_number: ELC 3.4


title: Notice of Disciplinary Action, Interim Suspension, or Transfer to Disability Inactive Status

text:
ELC 3.5 NOTICE OF DISCIPLINARY ACTION, INTERIM SUSPENSION, OR TRANSFER TO DISABILITY INACTIVE STATUS (a) Notice to Supreme Court. The counsel to the Board must provide the Supreme Court with: (1) a copy of any decision imposing a disciplinary sanction when that decision becomes final; (2) a copy of any admonition, together with the order issuing the admonition, when the admonition is accepted or otherwise becomes final; and (3) a copy of any transfer to disability inactive status; and (4) a copy of any resignation in lieu of discipline. (b) Other Notices. The counsel to the Board must also notify the following entities of the imposition of a disciplinary sanction or admonition, a transfer to disability inactive status, a resignation in lieu of discipline, or the filing of a statement of concern under rule 3.4(f) as follows, in such form as may appear appropriate: (1) the lawyer discipline authority or highest court in any jurisdiction where the lawyer is believed to be admitted to practice; (2) the chief judge of each federal district court in Washington State and the chief judge of the United States Court of Appeals for the Ninth Circuit; and (3) the National Lawyer Regulatory Data Bank. (c) Bar News Notice and Web Site Notice. (1) Preparation and content. Notice of the imposition of any disciplinary sanction, admonition, resignation in lieu of discipline, interim suspension, or transfer to disability inactive status, or the filing of a statement of concern under rule 3.4(f) must be published in the Washington State Bar News or other official publication of the Washington State Bar Association and on any electronic or other index or site maintained by the Association for public information. Association counsel has discretion in drafting notices for publication in the Washington State Bar News or other official publication of the Washington State Bar Association and on the web site, and should include sufficient information to adequately inform the public and the members of the Association about the misconduct found, the rules violated and the disciplinary action imposed. For a transfer to disability inactive status, reference will be made to the disability inactive status, but no reference will be made to the specific disability. For an interim suspension, the basis of the interim suspension will be stated. All notices under this subsection should include the respondent lawyer’s name, bar number, date of admission, the time frame of the misconduct, the rules violated, and the disciplinary action. Association Counsel must serve a copy of the draft notice under this subsection on respondent and disciplinary counsel under rule 4.1 and review any comments filed with Association counsel within five days of service, but Association counsel’s decision about the content of the notice is not subject to further review. (2) Finality. Except as specified in section (c)(3), discipline notices published in the Bar News or other official publication of the Washington State Bar Association and posted on the WSBA web site are final and may not be modified following publication.

(3) Modification. A respondent lawyer who is the subject of a discipline notice may file a written request with Association counsel seeking modification of a discipline notice posted on the WSBA web site. A notice may be modified only in the following circumstances: (A) a criminal conviction, court judgment, or order relating directly to the disciplinary action imposed and referenced in the discipline notice has been subsequently expunged, vacated, or otherwise conclusively nullified; (B) the expungement, vacation, or nullification occurred after the notice was published; (C) there are no ongoing or pending proceedings relating to the conviction, judgment, or order; and (D) the fact of the expungement, vacation, or nullification is undisputed and can be conclusively established without an investigation. The respondent seeking modification bears the burden of establishing each of the above factors. If Association counsel determines each factor has been established, a supplemental note may be added regarding the expungement, vacation, or nullification, but the original discipline notice must otherwise remain unchanged. The supplemental note is not published in Bar News. The decision whether or not to add a supplemental note, and the content of a supplemental note, is solely within the discretion of Association counsel and is not subject to review. (d) Notices to News Media of Suspension, Disbarment, Resignation in Lieu of Discipline, Interim Suspension, or Disability Inactive Status. In addition to the notices published under subsections (b) and (c) of this rule, notice in such form as may be appropriate of the disbarment, suspension, resignation in lieu of discipline, interim suspension, or transfer to disability inactive status of a lawyer must be provided to the news media in a manner designed to notify the public in the county or region where the lawyer has maintained a practice. For a transfer to disability inactive status, reference will be made to the disability inactive status, but no reference may be made to the specific disability. For an interim suspension, the basis of the interim suspension will be stated. (e) Notice to Judges. The Association must promptly notify the presiding judge of the superior court of the county in which the lawyer maintained a practice of the lawyer's disbarment, suspension, resignation in lieu of discipline, interim suspension, or transfer to disability inactive status, and may similarly notify the presiding judge of any district court located in the county where the lawyer practiced, or the judge of any other court in which the lawyer may have practiced or is known to have practiced. [Adopted effective October 2, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 3.5

rule_number: ELC 3.5


title: Maintenance of Records

text: ELC 3.6 MAINTENANCE OF RECORDS (a) Permanent Records. In any matter in which a disciplinary sanction or admonition has been imposed or the lawyer has resigned in lieu of discipline under rule 9.3, the bar file and transcripts of the proceeding are permanent records. Related file materials, including investigative files, may be maintained in disciplinary counsel’s discretion. Exhibits may be returned to the party supplying them, but copies should be retained where possible. (b) Destruction of Grievance and Investigation Files. In any matter in which a grievance or investigation has been dismissed without the imposition of a disciplinary sanction or admonition, whether following a hearing or otherwise, file materials relating to the matter may be destroyed three years after the dismissal first occurred, and must be destroyed at that time on the respondent lawyer’s request unless the files are being used in an ongoing investigation or unless other good cause exists for retention. However, file materials on a matter dismissed after a diversion must be retained at least five years after the dismissal. (c) Retention of Docket. If a file on a matter has been destroyed under section (b), the Association may retain a docket record of the matter for statistical purposes only. That docket record must not include the name or other identification of the respondent. (d) Destruction of Random Examination Files. In any random examination matter concluded under rule 15.1 without a disciplinary grievance being ordered, the file materials relating to the matter may be destroyed three years after the matter was concluded, and must be destroyed at that time on the respondent lawyer’s request unless the files are being used in an ongoing investigation or unless other good cause exists for retention. In any random examination matter that a review committee directs be made the subject of a disciplinary grievance, the materials related to the random examination will be made part of the disciplinary grievance. A docket, limited to the name of the lawyer and any law firm examined or reexamined under rule 15.1, together with the date the examination or reexamination was concluded, will be maintained for a period of seven years for the purpose of determining prior examinations under rule 15.1(b). (e) Review. If disciplinary counsel opposes a request by a respondent for destruction of files under this rule, the Board rules on that request. (f) Deceased Lawyers. Records and files relating to a deceased lawyer, including permanent records, may be destroyed at any time in disciplinary counsel’s discretion. [Adopted effective October 1, 2002; Amended effective January 1, 2014; December 8, 2015.]

citation: ELC ELC 3.6

rule_number: ELC 3.6


title: Service of Papers

text:
ELC 4.1 SERVICE OF PAPERS (a) Service Required; Transmittal of Other Documents. (1) Whenever these rules require service of papers or documents, service must be accomplished as provided in this rule or as otherwise agreed to in writing by the parties. If a hearing is pending and a hearing officer has been assigned, except for discovery, the party also must serve a copy on the hearing officer. (2) Every written request or other paper or document issued under these rules, which these rules do not require to be served, may be transmitted by postage prepaid mail or electronic means (including email), or may be personally delivered. (b) Methods of Service. (1) Service by Mail. (A) Unless personal service is required, service may be accomplished by postage prepaid mail. If properly made, service by mail is deemed accomplished on the date of mailing and is effective regardless of whether the person to whom it is addressed actually receives it. (B) Service by mail may be by first class mail or by certified or registered mail, return receipt requested. (C) The address for service by mail is as follows: (i) for the respondent, or their attorney of record, the address in the answer, a notice of appearance, or any subsequent document filed by the respondent or their attorney; or, in the absence of an answer, the respondent’s address on file with the Association; (ii) for disciplinary counsel, at the address of the Association or other address that disciplinary counsel requests; (iii) for a hearing officer assigned to a matter, at the address of the hearing officer set forth on the notice of assignment of the hearing officer, or such other address as the hearing officer directs; and (iv) for the chief hearing officer, the Chair, the Board, a review committee, Association counsel, or any other person or entity acting under the authority of these rules, addressed to that person or entity in care of the Clerk at the address of the Association. (2) Service by Delivery. If service by mail is permitted, service may instead be accomplished by leaving the document at the address for service by mail. (3) Personal Service. Personal service on a respondent is accomplished as follows: (A) if the respondent is found in Washington State, by personal service in the manner required for personal service of a summons in a civil action in the superior court; (B) if the respondent cannot be found in Washington State, service may be made either by: (i) leaving a copy at the respondent’s place of usual abode in Washington State with a person of suitable age and discretion then resident therein; or

(ii) mailing by registered or certified mail, postage prepaid, a copy addressed to the respondent at their last known place of abode, office address maintained for the practice of law, post office address, or address on file with the Association. (C) if the respondent is found outside of Washington State, then by the methods of service described in (A) or (B) above. (4) Electronic Service. (A) Unless personal service is required, service may also be accomplished by electronic service of all papers or documents. Electronic service is complete on transmission when made prior to 5:00 p.m. Pacific Time on a day that is not a Saturday, Sunday, or legal holiday. Service made on a Saturday, Sunday, legal holiday, or after 5:00 p.m. Pacific Time on any other day is deemed complete on the first day thereafter that is not a Saturday, Sunday, or legal holiday. If properly made, electronic service is presumed effective. (B) The address for electronic service is as follows: (i) if service is on the Office of Disciplinary Counsel, to the assigned disciplinary counsel’s e-mail address on file with the Bar, unless a different e-mail address is provided in writing by disciplinary counsel; (ii) if service is on respondent or any lawyer representing the respondent, to the e-mail address on file with the Bar, unless a different e-mail address is provided in writing by respondent or respondent’s counsel. (C) The e-mail address specified in section (b)(4)(B) of this rule must be sufficient to receive electronic transmission of information and electronic documents. (c) Service Where Question of Mental Competence. If the Superior Court has appointed a guardian or guardian ad litem for a respondent, service under sections (a) and (b) above must also be made on the guardian or guardian ad litem. (d) Proof of Service. (1) If service is accomplished electronically, by mail, or by other means authorized by this rule, proof of service may be made by a certificate of service. (2) If personal service is required, proof of service may be made by affidavit or declaration of service, sheriff’s return of service, or a signed acknowledgment of service. (3) Proof of service in all cases must be filed but need not be served. [Adopted effective October 1, 2002; Amended effective January 1, 2014; September 1, 2022; January 1, 2023; September 1, 2025.]

citation: ELC ELC 4.1

rule_number: ELC 4.1


title: Filing; Orders

text: ELC 4.2 FILING; ORDERS (a) Filing and Signing of Originals. Except in matters before the Supreme Court, the original of any pleading, motion, or other paper authorized by these rules, other than discovery, must be filed with the Clerk. Original documents filed with the Clerk must be signed by the party or person filing the document or the attorney of record for the party or person filing the document. Filing may be made by first-class mail or electronically as set forth in subsection (c) of this rule. Filing made by first-class mail is deemed accomplished on the date of mailing. Filing of papers for matters before the Supreme Court is governed by the Rules of Appellate Procedure. (b) Filing and Service of Orders. Any written order, decision, or ruling, except an order of the Supreme Court or an informal ruling issued under rule 10.8(f), must be filed with the Clerk, and the Clerk serves it on the respondent lawyer and disciplinary counsel. (c) Electronic Filing. Filing of documents with the Clerk under subsections (a) and (b) of this rule may be accomplished by e-mail or an electronic system provided by the Clerk. A document filed electronically with the Clerk after 5:00 p.m. or on weekends or legal holidays shall be deemed to have been filed on the next business day. A document filed electronically shall be considered an original under this rule. [Adopted effective October 1, 2002; Amended effective January 1, 2014; September 1, 2017.]

citation: ELC ELC 4.2

rule_number: ELC 4.2


title: Papers

text: ELC 4.3 PAPERS All pleadings or other papers must be legibly written or printed on 8 1/2- by 11-inch paper or the electronic equivalent. The use of letter-size copies of exhibits is encouraged if it does not impair legibility. [Adopted effective October 1, 2002; Amended effective September 1, 2022.]

citation: ELC ELC 4.3

rule_number: ELC 4.3


title: Computation of Time

text: ELC 4.4 COMPUTATION OF TIME CR 6(a) and (e) govern the computation of time under these rules. [Adopted effective October 1, 2002.]

citation: ELC ELC 4.4

rule_number: ELC 4.4


title: Stipulation to Extension or Reduction of Time

text: ELC 4.5 STIPULATION TO EXTENSION OR REDUCTION OF TIME Except for notices of appeal or matters pending before the Supreme Court, the respondent lawyer and disciplinary counsel may stipulate in any proceeding to extension or reduction of the time requirements. [Adopted effective October 1, 2002.]

citation: ELC ELC 4.5

rule_number: ELC 4.5


title: Subpoena Under the Law of Another Jurisdiction

text: ELC 4.6 SUBPOENA UNDER THE LAW OF ANOTHER JURISDICTION Disciplinary counsel, the chief hearing officer, or the Chair may issue a subpoena for use in lawyer discipline or disability proceedings in another jurisdiction if the issuance of the subpoena has been authorized under the law of that jurisdiction and upon a showing of good cause. The subpoena may compel the attendance of witnesses and production of documents in the county where the witness resides or is employed or elsewhere as agreed by the witness. These rules apply to service, enforcement, and challenges to subpoenas issued under this rule. [Adopted effective October 1. 2002.]

citation: ELC ELC 4.6

rule_number: ELC 4.6


title: Enforcement of Subpoenas

text: ELC 4.7 ENFORCEMENT OF SUBPOENAS (a) Authority. To enforce subpoenas issued under these rules, the Supreme Court delegates contempt authority to the Superior Courts as necessary for the Superior Courts to act under this rule. (b) Procedure. (1) If a person fails to obey a subpoena, or obeys the subpoena but refuses to testify or produce documents when requested, disciplinary counsel, the respondent lawyer or the person issuing the subpoena may petition the Superior Court of the county where the hearing is being conducted, where the subpoenaed person resides or is found, or where the subpoenaed documents are located, for enforcement of the subpoena. The petition must: (A) be accompanied by a copy of the subpoena and proof of service; (B) state the specific manner of the lack of compliance; and (C) request an order compelling compliance. (2) Upon the filing of the petition, the Superior Court enters an order directing the person to appear before it at a specified time and place to show cause why the person has not obeyed the subpoena or has refused to testify or produce documents. A copy of the Superior Court’s show cause order must be served on the person. (3) At the show cause hearing, if it appears to the Superior Court that the subpoena was properly issued, and that the particular questions the person refused to answer or the requests for production of documents were reasonable and relevant, the Superior Court enters an order requiring the person to appear at a specified time and place and testify or produce the required documents. On failing to obey this order, the person is dealt with as for contempt of court. [Adopted effective October 1, 2002.]

citation: ELC ELC 4.7

rule_number: ELC 4.7


title: Declarations in Lieu of Affidavits

text: ELC 4.8 DECLARATIONS IN LIEU OF AFFIDAVITS Whenever an affidavit is required by these rules, a declaration in the form authorized by GR 13 may be used. [Adopted effective January 1, 2014.]

citation: ELC ELC 4.8

rule_number: ELC 4.8


title: Service and Filing by an Incarcerated Person

text: ELC 4.9 SERVICE AND FILING BY AN INCARCERATED PERSON Service and filing of papers under these rules by an incarcerated person will conform to the requirements of GR 3.1. [Adopted effective January 1, 2014. Amended effective January 1, 2023.]

citation: ELC ELC 4.9

rule_number: ELC 4.9


title: Redaction or Omission of Confidential Identifiers

text: ELC 4.10 REDACTION OR OMISSION OF CONFIDENTIAL IDENTIFIERS In all matters filed with a review committee, a hearing officer or the chief hearing officer, the clerk, the Board, or the Supreme Court, both disciplinary counsel and respondents must redact or omit from all exhibits, documents, and pleadings all personal identifiers as are required to be redacted or omitted by the General Rules applicable to the Superior Court, including GR 15, 22, and 31. When it is not feasible to redact or omit a personal identifier, the filing party must seek a protective order under rule 3.2(e) to have the document filed under seal. This rule does not apply to a request for review of dismissal under rule 5.7(b) or a request for review of deferral under rule 5.3(d) (2). [Adopted effective January 1, 2014; amended effective January 1, 2014.]

citation: ELC ELC 4.10


title: Grievants

text:
ELC 5.1 GRIEVANTS (a) Filing of Grievance. Any person or entity may file a grievance against a lawyer who is subject to the disciplinary authority of this jurisdiction. (b) Consent to Disclosure. (1) Subject to paragraph (2), by filing a grievance, the grievant consents to disclosure of all information submitted. This includes disclosure to the respondent lawyer or to any person under rules 3.1 – 3.4. (2) Disclosure may be specifically restricted, such as: (A) when a protective order is issued under rule 3.2(e); or (B) when the grievance was filed under rule 5.2; or (C) when necessary to protect a compelling privacy or safety interest of a grievant or other individual. (3) By filing a grievance, the grievant also agrees that the respondent or any other lawyer contacted by the grievant may disclose to disciplinary counsel any information relevant to the investigation, unless a protective order is issued under rule 3.2(e). (4) Consent to disclosure under this rule by submitting information to disciplinary counsel does not constitute a waiver of any privilege or restriction against disclosure in any other forum. (c) Grievant Rights. A grievant has the following rights: (1) to be advised promptly of the receipt of the grievance, and of the name, address, and office phone number of the person assigned to its investigation if such an assignment is made; (2) to have a reasonable opportunity to communicate with the person assigned to the grievance, by telephone, in person, or in writing, about the substance of the grievance or its status; (3) to receive a copy of any response submitted by the respondent, subject to the following: (A) Withholding Response. Disciplinary counsel may withhold all or a portion of the response from the grievant when: (i) the response refers to information protected by RPC 1.6 or RPC 1.9 to which the grievant is not privy; or (ii) the response contains information of a personal and private nature about the respondent or others; or (iii) the interests of justice would be better served by not releasing the response. (B) Challenge to Disclosure Decision. Either the grievant or the respondent may transmit a written challenge to disciplinary counsel’s decision to withhold or not withhold all or a portion of a grievance or response within 20 days of the date of transmittal of the decision by disciplinary counsel. The challenge shall be resolved by a review committee, unless the matter has previously been dismissed under rule 5.7(d) or the time period for submitting a request for review of a dismissal has expired under rule 5.7(b).

(4) to attend any hearing conducted into the grievance, subject to these rules and any protective order issued under rule 3.2(e), except that if the grievant is also a witness, the hearing officer may order the grievant excluded during the testimony of any other witness whose testimony might affect the grievant’s testimony; (5) to provide relevant testimony at any hearing conducted into the grievance, subject to these rules and any protective order issued under rule 3.2(e); (6) to be notified of any proposed decision to refer the respondent to diversion and to be given a reasonable opportunity to submit to disciplinary counsel a written comment thereon; (7) to be advised of the disposition of the grievance; and (8) to request reconsideration of a dismissal of the grievance as provided in rule 5.7(b). (d) Duties. A grievant should do the following:

(1) give the person assigned to the grievance documents or other evidence in the grievant’s possession, and witnesses’ names and addresses; (2) assist in securing relevant evidence; and (3) appear and testify at any hearing resulting from the grievance. (e) Vexatious grievants. (1) The Chair of the Disciplinary Board may enter an order declaring an individual or entity a vexatious grievant and restraining that individual from filing grievances or pursuing other rights under this rule, pursuant to the procedures set out in this subsection. A “vexatious grievant” is a person or entity who has engaged in a frivolous or harassing course of conduct that so departs from a reasonable standard of conduct as to render the grievant’s conduct abusive to the disciplinary system or participants in the disciplinary system. (2) Either disciplinary counsel or a lawyer who has been the subject of a grievance may file a motion to declare the grievant vexatious. (3) The motion must set forth with particularity (A) the facts establishing that the grievant’s conduct is vexatious and (B) the restrictions on the grievant’s conduct that are sought. (4) The moving party must serve a copy of the motion on the grievant. If the motion is filed by a respondent lawyer, the motion must also be served on disciplinary counsel. (5) The grievant, disciplinary counsel, and the respondent lawyer shall have 20 days to file a written response. (6) If the Chair finds that the person is a vexatious grievant, the Chair shall enter an order setting out with particularity (A) the factual basis for such finding, (B) the restrictions imposed on the grievant’s conduct, and (C) the basis for imposing such restrictions. The restrictions must be no broader than necessary to prevent the harassment and abuse found. (7) The moving party, the grievant, and the disciplinary counsel may seek review of the Chair’s order by a petition for discretionary review under rule 12.4. No other appeal of the order shall be allowed. (8) The fact that a person or entity has been determined to be a vexatious grievant and the scope of any restrictions imposed shall be public information. All other proceedings and documents related to a motion under this subsection are confidential.

[Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2014; January 1, 2015; September 1, 2022; January 1, 2023.]

citation: ELC ELC 5.1

rule_number: ELC 5.1


title: Confidential Sources

text: ELC 5.2 CONFIDENTIAL SOURCES If a person files a grievance or provides information to disciplinary counsel about a lawyer’s possible misconduct or disability, and asks to be treated as a confidential source, an investigation may be conducted in the name of the Office of Disciplinary Counsel. The confidential source has neither the rights nor the duties of a grievant. Unless otherwise ordered, the person’s identity may not be disclosed, either during the investigation or in subsequent formal proceedings. If the respondent lawyer requests disclosure of the person’s identity, the Chair, the chair of a review committee, or a hearing officer before whom a matter is pending examines disciplinary counsel and any requested documents or file materials in camera without the presence of the respondent or respondent’s counsel and may order disciplinary counsel to reveal the identity to the respondent if doing so appears necessary for the respondent to conduct a proper defense in the proceeding. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 5.2

rule_number: ELC 5.2


title: Investigation of Grievance

text:
ELC 5.3 INVESTIGATION OF GRIEVANCE (a) Review and Investigation. Disciplinary counsel must review and may investigate any alleged or apparent misconduct by a lawyer and any alleged or apparent incapacity of a lawyer to practice law, whether disciplinary counsel learns of the misconduct by grievance or otherwise. If there is no grievant, disciplinary counsel may open a grievance in the name of the Office of Disciplinary Counsel. (b) Preliminary Request for Response. Following review of a matter under section (a), disciplinary counsel may request a preliminary written response from a respondent lawyer. If a request for information (1) requests only the respondent lawyer’s preliminary written response, and (2) neither includes any other request for specific information nor requests that the respondent lawyer furnish or permit inspection of specific records, files, and accounts, the request is not subject to objection under subsection (i). (c) Adjunct Disciplinary Counsel. Disciplinary counsel may assign a case to adjunct disciplinary counsel for investigation. Disciplinary counsel assists in those investigations and monitors the performance of adjunct disciplinary counsel. On receiving a report of an investigation by an adjunct disciplinary counsel, disciplinary counsel may, as appears appropriate, request or conduct additional investigation or take any action under these rules. (d) Deferral by Disciplinary Counsel. (1) Disciplinary counsel may defer an investigation into alleged acts of misconduct by a lawyer: (A) if it appears that the allegations are related to pending civil or criminal litigation; (B) if it appears that the respondent lawyer is physically or mentally unable to respond to the investigation; or (C) if a hearing has been ordered under rule 8.2(a) or supplemental proceedings have been ordered under rule 8.3(a); or (D) for other good cause, if it appears that the deferral will not endanger the public. (2) Disciplinary counsel must inform the grievant and respondent of a decision to defer or a denial of a request to defer and of the procedure for requesting review. A grievant or respondent may request review of a decision on deferral. If review is requested, disciplinary counsel refers the matter to a review committee for reconsideration of the decision on deferral. To request review, the grievant or respondent must deposit in the mail or transmit a written request for review to disciplinary counsel no later than 45 days after disciplinary counsel transmits the notice regarding deferral. If the request for review is deposited in the mail, it must be postage prepaid. (e) Dismissal of Grievance Not Required. None of the following alone requires dismissal of a grievance: the unwillingness of a grievant to continue the grievance, the withdrawal of the grievance, a compromise between the grievant and the respondent, or restitution by the respondent. (f) Duty To Furnish Prompt Response. Any lawyer must promptly respond to any inquiry or request made under these rules for information relevant to grievances or matters under investigation. (g) Investigative Inquiries. Upon inquiry or request, any lawyer must:

(1) furnish in writing, or orally if requested, a full and complete response to inquiries and questions; (2) permit inspection and copying of the lawyer’s business records, files, and accounts; (3) furnish copies of requested records, files, and accounts; (4) furnish written releases or authorizations if needed to obtain documents or information from third parties; and (5) comply with investigatory subpoenas under rule 5.5. (h) Failure To Cooperate. (1) Noncooperation Deposition. If a lawyer has not complied with any request made under this rule or rule 2.13(c) for more than 30 days, disciplinary counsel may notify the lawyer that failure to comply within 10 days may result in the lawyer’s deposition or subject the lawyer to interim suspension under rule 7.2. Ten days after this notice, disciplinary counsel may serve the lawyer with a subpoena for a deposition. Any deposition conducted after the 10-day period and necessitated by the lawyer’s continued failure to cooperate may be conducted at any place in Washington State. (2) Costs and Expenses. (A) Regardless of the underlying grievance’s ultimate disposition, a lawyer who has been served with a subpoena under this rule is liable for the actual costs of the deposition, including but not limited to service fees, court reporter fees, travel expenses, and the cost of transcribing the deposition, if ordered by disciplinary counsel. In addition, a lawyer who has been served with a subpoena for a deposition under this rule is liable for a reasonable attorney fee of $500. (B) The procedure for assessing costs and expenses is as follows: (i) Disciplinary counsel applies to a review committee by itemizing the cost and expenses and stating the reasons for the deposition. (ii) The lawyer has ten days to respond to disciplinary counsel’s application. (iii) The review committee by order assesses appropriate costs and expenses. (iv) Rule 13.9(f) governs Board review of the review committee order. (3) Grounds for Discipline. A lawyer’s failure to cooperate fully and promptly with an investigation as required by this rule or rule 2.13(c) is also grounds for discipline. (i) Objections. Within 30 days of transmittal of an investigative inquiry under subsection (g) of this rule, a lawyer may serve a written objection on disciplinary counsel. An objection is reviewed by motion as provided in rule 5.6. [Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2015; September 1, 2017; September 1, 2022.]

citation: ELC ELC 5.3

rule_number: ELC 5.3


title: Privileges

text: ELC 5.4 PRIVILEGES (a) Privilege Against Self-Incrimination. A lawyer’s duty to cooperate is subject to the lawyer’s privilege against self-incrimination, where applicable. (b) Attorney-Client Privilege. (1) Assertion in Response to Investigative Inquiries. In response to an investigative inquiry made under rule 5.3(g), or an investigatory subpoena under rule 5.5, unless a lawyer makes an objection under rule 5.6, a lawyer may not assert the attorney-client privilege or other prohibitions on revealing information relating to the representation of a client as a basis for refusing to provide information. (2) Duties of Disciplinary Counsel. Disciplinary counsel receives, reviews, and holds attorney-client privileged and other confidential client information under and in furtherance of the Supreme Court’s authority to regulate the practice of law. Disclosure of information to disciplinary counsel is not prohibited by RPC 1.6 or RPC 1.9 and such disclosure does not waive any attorney-client privilege. If the lawyer identifies the specific information that is privileged or confidential and requests that it be treated as confidential, the Association must, absent authorization under rule 5.6, maintain the confidentiality of information provided by a lawyer in response to an inquiry or request under these rules. (3) Non-Disclosure. No information identified as confidential under this rule may be disclosed or released under Title 3 of these rules unless the client or former client consents, which includes consent under rule 5.1(b). Nothing in these rules waives or requires waiver of any lawyer’s own privilege or other protection as a client against the disclosure of confidences or secrets. [Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2015.]

citation: ELC ELC 5.4

rule_number: ELC 5.4


title: Investigatory Subpoenas

text: ELC 5.5 INVESTIGATORY SUBPOENAS (a) Procedure. Before filing a formal complaint, disciplinary counsel may issue a subpoena for a deposition or to obtain documents without a deposition. To the extent possible, CR 30 or 31 applies to depositions under this rule, however the respondent need not be given notice of a subpoena. (b) Subpoenas. Disciplinary counsel may issue subpoenas to compel the respondent’s or a witness’s attendance, and/or the production of books, documents, or other evidence, at a deposition or without a deposition. CR 45 governs subpoenas under this rule, but the notice required by CR 45(b)(2) need not be given. Subpoenas may be enforced under rule 4.7. (c) Challenges. Challenges by non-lawyers to subpoenas under this rule may be made to the chief hearing officer, who may issue a protective order under ELC 3.2(e). (d) Cooperation. Every lawyer must promptly respond to subpoenas and requests and inquiries from disciplinary counsel, subject to the provisions of ELC 5.3 and rule 5.4. (e) Objections by Lawyers. (1) To protect confidential client information, or for other good cause shown, a lawyer may object to an investigative subpoena or a disciplinary counsel request or inquiry during a deposition under this rule. An objection must be in writing or on the record and is reviewed by motion as provided in ELC 5.6. (2) A timely objection suspends any duty to respond to the subpoena or to a request or inquiry under this rule until a ruling has been made under ELC 5.6. An objection to a subpoena is timely if made prior to the date specified for production or the date of the deposition. An objection to a request or inquiry under this rule is timely if made in response to the request or inquiry during the course of the deposition. [Adopted effective October 1, 2002; Amended effective January 1, 2014; January 1, 2015; September 1, 2017.]

citation: ELC ELC 5.5

rule_number: ELC 5.5


title: Review of Objections to Inquiries and Motions to Disclose

text:
ELC 5.6 REVIEW OF OBJECTIONS TO INQUIRIES AND MOTIONS TO DISCLOSE (a) Review Authorized. Upon motion, the chief hearing officer, or a hearing officer designated by the chief hearing officer, may hear the following matters: (1) When a lawyer has objected under ELC 5.3(i) to an investigative inquiry; (2) When a lawyer has objected under ELC 5.5(e) to an investigatory subpoena; and (3) When disciplinary counsel seeks authorization under rule 5.4(b) to disclose confidential information. (b) Procedure. (1) A lawyer who has objected under ELC 5.3(i) or 5.5(e) must file a motion seeking review of the objection within 15 days of the date of the objection. (2) An objection must clearly and specifically set out the challenged inquiry or request and the basis for the objection. (3) A motion to authorize use in an investigation of confidential information must clearly state the information which has been identified as confidential and the investigatory use for which disciplinary counsel seeks authorization. (4) When deemed necessary by the chief or other hearing officer considering the matter, that hearing officer may conduct an in camera review of confidential client information. (5) In considering an objection under this rule, the chief or other hearing officer should consider factors including: (A) the relevance and necessity of the information to the investigation; (B) whether the information requested by the inquiry is likely to lead to information relevant to the investigation; (C) the availability of the information from other sources; (D) the sensitivity of the information and potential impact on the client including the client’s right to effective assistance of counsel; (E) the expressed desires of the client; (F) whether the objection was made before the due date of the request or inquiry; and (G) whether the burden of producing the requested information outweighs the likely utility of the information to the investigation. (6) In considering a motion to authorize disciplinary counsel to disclose information identified as confidential client information under this rule, the chief or other hearing officer should consider factors including: (A) the relevance and necessity of the disclosure of the information to the investigation; (B) whether the investigative disclosure is likely to lead to information relevant to the investigation;

(C) the sensitivity of the information and potential impact on the client of the investigative disclosure, including the client’s right to effective assistance of counsel; (D) the expressed desires of the client; and (E) whether the above factors outweigh the likely utility of the information to the investigation. (c) Ruling. In ruling on an objection, the chief or other hearing officer may deny the objection, or sustain the objection in whole or in part, and may establish terms or conditions under which specific information may be withheld, provided, maintained, or used. In ruling on a motion to authorize disclosure, the chief or other hearing officer may grant or deny the motion in whole or in part, and may establish terms or conditions for the investigative use of specific information. When appropriate, a ruling may take the form of, or may accompany a protective order under ELC 3.2(e). (d) Review. Any ruling by the chief or other hearing officer under this rule shall be subject to review as an interim ruling under rule 10.9. [Adopted effective January 1, 2014; Amended effective January 1, 2015; September 1, 2017.]

citation: ELC ELC 5.6

rule_number: ELC 5.6


title: Disposition of Grievance

text:
ELC 5.7 DISPOSITION OF GRIEVANCE (a) Dismissal by Disciplinary Counsel. Disciplinary counsel may dismiss grievances with or without investigation. On dismissal, disciplinary counsel must notify the grievant of the procedure for review in this rule. (b) Review of Dismissal. A grievant may request review of dismissal of the grievance by depositing in the mail or transmitting a written request for review to disciplinary counsel no later than 45 days after disciplinary counsel transmits the notice of dismissal. If the request for review is deposited in the mail, it must be postage prepaid. If review is requested, disciplinary counsel may either reopen the matter for investigation or refer it to a review committee. If no timely request for review is made, the dismissal is final and may not be reviewed. Disputes regarding timeliness may be submitted to a review committee. A grievant may withdraw in writing a request for review, but thereafter the request may not be revived. (c) Report in Other Cases. Disciplinary counsel must report to a review committee the results of investigations except those dismissed or diverted. The report may include a recommendation that the committee order a hearing or issue an advisory letter or admonition. may:

(d) Authority on Review. In reviewing grievances under this rule, a review committee (1) dismiss the grievance; (2) affirm the dismissal; (3) dismiss the grievance and issue an advisory letter under rule 5.8; (4) issue an admonition under rule 13.5; (5) order a hearing on the alleged misconduct; or (6) order further investigation as may appear appropriate.

(e) Issuing Admonition or Ordering Hearing without Recommendation from Disciplinary Counsel. When the review committee decides to issue an admonition or order a matter to hearing, and such action has not been recommended by disciplinary counsel, the committee shall issue notice of its intended action and state the reasons therefor. The matter shall be set for reconsideration by a review committee. The grievant, the respondent lawyer, and the disciplinary counsel may submit additional materials. On reconsideration, the committee may take any action authorized by subsection (d) of this rule. (f) Action Final. Except as provided in subsection (e), a review committee’s action under this rule is final and not subject to further review. [Adopted effective October 1, 2002; Amended and Renumbered from 5.6 to 5.7 effective January 1, 2014; September 1, 2022.]

citation: ELC ELC 5.7

rule_number: ELC 5.7


title: Advisory Letter

text: ELC 5.8 ADVISORY LETTER (a) Grounds. An advisory letter may be issued by a review committee when: (1) a respondent lawyer’s conduct constitutes a violation, but does not warrant an admonition or sanction, but it appears appropriate to caution a respondent lawyer concerning their conduct; or (2) a respondent lawyer’s conduct does not constitute a violation but the lawyer should be cautioned. (b) Review Committee. An advisory letter may only be issued by a review committee. An advisory letter may not be issued when a grievance is dismissed following a hearing. (c) Effect. An advisory letter is not a sanction and is not disciplinary action. An advisory letter is not public information, and may not be introduced into evidence in any subsequent disciplinary hearing. [Adopted effective October 1, 2002; Amended and renumbered from 5.7 to 5.8 effective January 1, 2014; January 1, 2023.]

citation: ELC ELC 5.8

rule_number: ELC 5.8


title: Referral to Diversion

text:
ELC 6.1 REFERRAL TO DIVERSION In a matter involving less serious misconduct as defined in rule 6.2, within 60 days of service of a formal complaint, disciplinary counsel may refer a respondent lawyer to diversion. Diversion may include 

fee arbitration;



arbitration;



mediation;



law office management assistance;



lawyer assistance programs;



psychological and behavioral counseling;



monitoring;



restitution;



continuing legal education programs; or



any other program or corrective course of action agreed to by disciplinary counsel and respondent to address respondent’s misconduct.

Disciplinary counsel may negotiate and execute diversion contracts, monitor and determine compliance with the terms of diversion contracts, and determine fulfillment or any material breach of diversion contracts, subject to review under rule 6.9. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 6.1

rule_number: ELC 6.1


title: Less Serious Misconduct

text: ELC 6.2 LESS SERIOUS MISCONDUCT Less serious misconduct is conduct not warranting a sanction restricting the respondent lawyer’s license to practice law. Conduct is not ordinarily considered less serious misconduct if any of the following considerations apply: (A) the misconduct involves the misappropriation of funds; (B) the misconduct results in or is likely to result in substantial prejudice to a client or other person, absent adequate provisions for restitution; (C) the respondent has been sanctioned in the last three years; (D) the misconduct is of the same nature as misconduct for which the respondent has been sanctioned or admonished in the last five years; (E) the misconduct involves dishonesty, deceit, fraud, or misrepresentation; (F) the misconduct constitutes a “felony” as defined in rule 7.1(a); or (G) the misconduct is part of a pattern of similar misconduct. [Adopted effective October 1, 2002; Amended effective January 1, 2014.]

citation: ELC ELC 6.2

rule_number: ELC 6.2