delaware lawyers’ rules of disciplinary procedure · amend the rules of the board on professional...

DELAWARELAWYERS’RULESOFDISCIPLINARYPROCEDURE

EffectiveMarch9,2000

I. StructureandScope

Rule

1. DelawareSupremeCourt.

2. BoardonProfessionalResponsibility.

3. PreliminaryReviewCommittee.

4. OfficeofDisciplinarycounsel.

5. Jurisdiction.

6. Rosteroflawyersanddisciplinaryrecords.

7. Groundsfordiscipline.

8. Sanctions.

II. Procedure

9. Generalprocedures.

10. Immunity.

11. Service.

12. Subpoenapoweranddiscovery.

13. Accesstodisciplinaryinformation.

14. Disseminationofdisciplinaryinformation.

15. Additionalrulesofprocedure.

16. Interimsuspension.

17. Conditionaladmissionsanddisciplinebyconsent.

18. Reciprocaldisciplineandreciprocaldisabilityinactivestatus.

19. Disability proceedings in which a lawyer is alleged or declared to beincompetentorincapacitated.

20.Probation.

21.Ordersandpost-orderprocedures.

22.Reinstatementproceedings.

23.Noticetoclients,adverseparties,andothers.

24.Lawpracticereceivers.

25.Noticeofcomplainant.

26.Nolimitationsperiod.

27.Paymentofcosts.

28.Effectivedate.

OfficialFormsforBoardonProfessionalResponsibility

IndexfollowsRules.

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INTHESUPREMECOURTOFTHESTATEOFDELAWARE

ORDERAMENDINGTHERULESOF

THEBOARDONPROFESSIONAL

RESPONSIBILITY

Before VEASEY, Chief Justice, WALSH, HOLLAND, HARTNETT andBERGER,Justices,constitutingtheCourtenbanc.

ORDER

This 9th day ofMarch 2000, it appears to the Court that it is desirable toamend theRulesof theBoardonProfessionalResponsibility.Accordingly, thepresentrulesshallbedeletedintheirentirety.Newrules,whichshallbecalledDelaware Lawyers’ Rules of Disciplinary Procedure, shall be adopted in lieuthereof. The new rules are contained in the exhibit attached to thisOrder andshall be effective immediately. The Committee Comment following each rule

reflects the explanatory views of the Committee appointed by the Court torecommendchangestotheRulesoftheBoardonProfessionalResponsibility.

TheClerkofthisCourtisdirectedtotransmitforthwithacertifiedcopyofthisOrder and the attachment to theRegister inChancery, theProthonotaryof theSuperiorCourt ineachcounty, theClerkof theFamilyCourt, theClerkof theCourt ofCommonPleas, and theChiefMagistrate of the Justice of thePeaceCourts.

ITISORDERED:

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• I. »Del.Law.R.ofDisciplinaryProc.I

I.STRUCTUREANDSCOPE

• I. »,• Rule1. »Del.Law.R.ofDisciplinaryProc.1

Rule1.DelawareSupremeCourt.

(a)Inherentpowerandauthority.PursuanttotheCourt’sinherentpowerandauthority over the regulation of the legal profession, the Court shall maintainappropriate standards of professional conduct for all lawyers subject to itsjurisdiction,disposeof individualcasesof lawyerdisciplineanddisability,andadministerthelawyerdisciplinarysystem.

(b)Appointment of members of disciplinary agencies. Pursuant to SupremeCourtRules62and64,theCourtshallappointthemembersoftheBoard(whichincludesallmembersoftheUnauthorizedPracticeofLawSubcommitteeoftheBoard),thePRC,andtheODC,whoshallfunctionwithsuchpowersanddutiesassetforthbytheCourt.

(c)Administration of disciplinary system. There shall be an AdministrativeAssistant to thedisciplinary agencieswho shall be appointedby theDelawareSupreme Court. To maintain the efficient operation and regulation of thedisciplinary system, theAdministrativeAssistant shall oversee implementationandcoordinationofproceduresfortheprocessinganddispositionofdisciplinarymatters,including,withoutlimitation,theassignmentofindividualpanelsoftheBoardand thePRC, the schedulingofBoardhearings andPRCmeetings, andthe filing, docketing, andmaintenanceof original pleadings andother originalpapers constituting the official record in individual disciplinary cases. TheAdministrativeAssistantshallalsohavesuchpowersanddutieswithrespecttothe administration of the disciplinary system as are authorized by the Court.(Amended,Sept.12,2017.)

COMMITTEECOMMENT

This is a new Rule, intended to illustrate the central role of the DelawareSupremeCourttotheattorneydisciplinarysystem.TheRulealsodescribeswithparticularity the duties of the Administrative Assistant, who has assumedresponsibilityformanyoftheadministrativefunctionsformerly,handledbytheBoardanditsSecretary.

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Effect of amendments.—The 2017 amendment, effective Sept. 12, 2017,inserted “(which includes all members of the Unauthorized Practice of LawSubcommitteeoftheBoard)”in(b).

NOTESTODECISIONS

Jurisdiction.

DelawarePublicIntegrityCommission(PIC)didnotexceeditsjurisdictioninfinding it lacked jurisdiction over the Chief Counsel (CC) of the Office ofDisciplinary Counsel (ODC) because: (1) attorney discipline was within theDelawareSupremeCourt’sauthority,withtheODCassistingintheregulationoflegalpractice;(2)CC’sperformanceofattorneydisciplinedutieswasregulatedbytheDelawareSupremeCourt; (3)anyreviewof theODC’s investigationoflawyermisconductwaswithinDelawareSupremeCourt’sauthority;and(4)PIClacked authority overCCand could not perfect personal jurisdictionoverCC.Abbott v. Del. State Pub. Integrity Comm’n, — A.3d —, 2018 Del. Super.LEXIS99(Del.Super.Ct.Feb.28,2018).

• I. »,« Rule2. »Del.Law.R.ofDisciplinaryProc.2

Rule2.BoardonProfessionalResponsibility.

(a)Composition,powers,andduties.ThecompositionoftheBoardshallbeasset forth in SupremeCourtRule 62. Subject to the approval of theCourt, theBoardshall:

(1) Adopt guidelines for the conduct of hearings and other business, notinconsistentwiththeseRules;

(2) Periodically review the operation of the disciplinary system with theCourt,thePRC,andtheODC;

(3)Considermatters and conduct hearings in cases filedwithin theBoard’sjurisdiction;

(4)ThroughitsHearingPanels,makefindingsoffact,conclusionsoflaw,andrecommended dispositions, and file its findings, conclusions, andrecommendationswiththeCourt;and

(5)Delegate,initsdiscretion,totheChairandViceChairthepowertoactfortheBoardonadministrativeandproceduralmatters.

(b)Quorum. Except as theBoardmay have delegated powers to theChair,ViceChairorHearingPanels,actionbytheBoardrequirestheconcurrenceofamajorityof the entireBoard.Amajorityof thewholeBoard shall constitute aquorumforanymeetingoftheBoard.

(c)Hearingpanels.TheBoard’spower toactas todisciplinaryordisabilitymatters,including,withoutlimitation,conductinghearings,andmakingfindings,recommendations,reports,andorders,shallbeexercisedbyhearingpanels,eachofwhich shall consist of threemembers of the Board, ofwhom two shall belawyers and one shall be a non-lawyer, except as otherwise provided in theseRules.TheHearingPanelChairshallbealawyer.TheAdministrativeAssistantshalldesignatethemembersoftheHearingPanelanditschair.DecisionsoftheHearingPanelastowhetheralawyerissubjecttodisciplineunderRule7orisdisabled, requireaunanimousvote.Therecommendationof theHearingPanelontheappropriatesanctionfordisciplineorconsequencefordisabilitydoesnotrequireaunanimousvote.Ifapanelisunabletoreachaunanimousdecisionasto whether a lawyer is subject to discipline or disabled in a case undersubmission, twoadditionalmembersof theBoard shall bedesignated, and thecaseshallbehearddenovo.TheHearingPanelChairshalldecidescheduling,

administrative,procedural,andevidentiarymatters.IftheHearingPanelChairisnotavailabletoruleonanadministrative,procedural,orevidentiarymatter,thepartiesmayaddressthemattertotheremaininglawyerontheHearingPanelortheChairorViceChairoftheBoard.

(d) Disqualification of members. Members shall not take part in anyproceeding in which a judge, similarly situated, would be required to abstainpursuant toCanon3(C)of theDelaware Judges’Codeof JudicialConduct, oranysubsequentlyadoptedsimilarcode.Thedecisiontodisqualifyoneselffromaproceedingisamatterwithinthesounddiscretionoftheindividualmember.Ifnecessary, theCourtmay appoint anActingChair in anymatter inwhich theChairorViceChairof theBoardhasenteredadisqualificationor isotherwiseunavailable.

(e) Appointment of counsel. Upon receipt of satisfactory proof of arespondent’sindigency,theChairorViceChairoftheBoard,orifapaneloftheBoardhasalreadybeenassigned,theHearingPanelChair,mayappointalawyerto serve as counsel for the respondent upon such terms and subject to suchprovisionsasjusticeandequitymayrequire.TherespondentshallfilewiththeBoard an affidavit demonstrating a financial inability to retain counsel. Therespondentmust, upon request from theBoard, also produce financial records(includingtaxreturns)tosupportanapplicationfortheappointmentofcounselonthegroundsofindigency.Thedeterminationofindigencyshallbebaseduponareviewofthefinancialcircumstancesoftherespondent.Arequestforcounselshall not be considered if respondent fails or refuses to furnish proof ofindigency.

(f)Compensationandexpenses.Membersshall receivenocompensationfortheir services, but may be reimbursed by application to the AdministrativeAssistant for travel and other expenses incidental to the performance of theirduties.

(g)Meetings.FromtimetotimetheBoardmaymeetuponcallofitsChairoruponcallof theSupremeCourt,atsuchplaceandtimeasmaybespecifiedinthecall.Exceptinrespectofahearinginanyformalproceeding,theBoard,orany of themembers thereof,may participate in anymeeting of theBoard, bytelephone or electronicmeans, and participation in ameeting pursuant to thissubsection shall constitute presence in person at the meeting. (Amended,effectiveMay14,2008;Feb.26,2015;Sept.12,2017.)

COMMENT

Uponsatisfactorydemonstrationofarespondent’s indigency, theBoardmayrequestthatalawyerrepresenttherespondent.Whilenosimpleformulacanbedevised for determining eligibility for representation by counsel based onindigence, the Board shall consider such factors as the respondent’s income,fixed monthly expenditures, assets, fixed liabilities, borrowing capacity, andgoodfaitheffortstosecurerepresentation.

COMMITTEECOMMENT

The Board may reserve the right to approve the rate of compensation forcounselwhorepresentsanindigentrespondent.Inanyevent,thefeeforservicesrenderedshallbesupportedbydocumentationofthetimespentonthematter.

ThisRuleissubstantiallyequivalenttotheformerproceduralrulerelatingtothe duties, powers, and functions of theBoard on ProfessionalResponsibility,andclarifiestheproceduresfollowedwithrespecttodisciplinaryhearings.ThepositionofVice-ChairiseliminatedandaprovisionaddedfortheappointmentofanActingChairincasesofdisqualificationorunavailability.Rule2(e)givesauthority to the Chair of the Board or of a Hearing Panel to make adeterminationof indigency for thepurposeof considerationof appointmentofcounselforarespondent.

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Effectofamendments.—The2015amendment,effectiveFeb.26,2015,in(c), substituted “as” for “with respect” following “act” in the first sentence,rewrote the fourth sentence, added the fifth sentence, and substituted “as towhetheralawyerissubjecttodisciplineordisabled”for“onthemerits”intheseventhsentence.

The2017amendment,effectiveSept.12,2017,added(g).

NOTESTODECISIONS

Analysis

Enforcementofethicalstandards.

Sanctions.

—Disciplinaryproceedings.


The General Assembly’s adoption of 10 Del. C. § 1906, providing for acompetentnumberofpersons tobeadmitted to thebarby theSupremeCourt,and to be subject to such disciplinary measures as the Supreme Court in itsdiscretionmaydetermine,ismerelydeclaratoryoftheancientrule,transplantedto Delaware by the English colonists, that the Supreme Court alone mayestablish and govern the bar. In re Infotechnology, Inc., 582 A.2d 215 (Del.1990).

Sanctions.


Absent misconduct which taints the proceeding, thereby obstructing theorderly administration of justice, there is no independent right of counsel tochallengeanotherlawyer’sallegedbreachoftheRulesofProfessionalConductoutside of a disciplinary proceeding. In re Infotechnology, Inc., 582A.2d 215(Del.1990).

http://advance.lexis.com/api/document/citation/10%20DEL.%20CODE%20ANN.%201906

http://advance.lexis.com/api/document/citation/582%20A.2d%20215



Rule3.PreliminaryReviewCommittee.

(a)Composition,powers,andduties.ThecompositionofthePRCshallbeasset forth in Supreme Court Rule 62(c). The PRC shall review therecommendationsof theODCfollowingits initial investigation.ThePRCmayrequestsuchadditionalinformationandinvestigation,asitdeemsappropriate.

(b)Quorum.ThePRCshallactthroughpanels,eachofwhichshallconsistoftwolawyermembersandonenon-lawyermember.Twomembersshallconstitutea panel quorum, provided that onemember is a non-lawyer.A panelmay actonlywiththeconcurrenceofatleasttwoofitsmembers.

(c) Record. Each panel of the PRC shall prepare for filing with theAdministrativeAssistant adisposition sheet recording theactions takenby thepanel.

(d)Appointmentandscheduling.PanelsofthePRCshallbeappointedbytheAdministrative Assistant, and shall meet in accordance with schedulesestablishedbytheAdministrativeAssistant.

(e)DisqualificationofPRCmembers.MembersofthePRCshallnottakepartin any proceeding in which a judge, similarly situated, would be required toabstain pursuant to Canon 3(C) of the Delaware Judges’ Code of JudicialConduct,oranysubsequentlyadoptedsimilarcode.Thedecision todisqualifyoneself from a proceeding is a matter within the sound discretion of theindividualmember.

(f) Compensation and expenses. Members of the PRC shall receive nocompensation for their services, but may be reimbursed by application to theAdministrative Assistant for travel and other expenses incidental to theperformanceoftheirduties.

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerproceduralrulerelatingtothe duties, powers, and functions of the Preliminary Review Committee, andclarifies the current procedures followed with respect to its meetings anddisqualification.


Rule4.OfficeofDisciplinarycounsel.

All disciplinary counsel shall be appointed and shall have such powers anddutiesasdesignatedbytheCourtpursuanttoSupremeCourtRule64.

COMMITTEECOMMENT

In 1995, the Delaware Supreme Court officially established the Office ofDisciplinaryCounselasanindependentarmoftheCourtunderSupremeCourtRule64.Sincethatrulecontainsadetaileddescriptionoftheduties,powers,andfunctionsoftheOffice,across-referencetothatruleissufficientforthepresentRule.


Rule5.Jurisdiction.

(a)Lawyersadmittedtopractice.Anylawyeradmittedtopracticelawinthisjurisdiction, including any formerly admitted lawyer with respect to actscommitted prior to suspension, disbarment, transfer to inactive status orretirement,orwithrespect to lateractswhichamount to thepracticeof laworconstitute a violation of these Rules or of the Delaware Lawyers’ Rules ofProfessionalConduct, or any rules or code theCourt adopts later; any lawyerspeciallyadmittedbyacourtofthisjurisdictionforaparticularproceeding;andany lawyer not admitted in this jurisdiction who practices law or renders orofferstorenderanylegalservicesinthisjurisdiction,issubjecttothisCourtandtheBoard’sdisciplinaryjurisdiction.

(b)Formerjudges.Aformerjudgewhohasresumedthestatusofalawyerissubject to thedisciplinary jurisdictionof theCourtunder theseRulesnotonlyforconductasalawyerbutalsoformisconductthatoccurredwhileajudgeandthatwouldhavebeengroundsforlawyerdiscipline.

(c)Incumbentjudges.Anylawyerwhoisanincumbentjudgeissubjecttothedisciplinary jurisdiction of the Court under these Rules with respect to actscommittedpriortotakingofficeasajudge.

(d)Powersnotassumed.TheseRules shall notbe construed todeny to anycourtthepowersnecessarytomaintaincontroloveritsproceedings.(Amended,effectiveJuly15,2008.)

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerproceduralrulerelatingtojurisdiction. Under Rule 5(b), former judges are under the jurisdiction of thedisciplinary systembecause suchpersons, as non-judges,wouldnot fall underthejurisdictionoftheCourtontheJudiciary.


Rule6.Rosteroflawyersanddisciplinaryrecords.

(a)Rosterof lawyers.TheSupremeCourtshallmaintaina rosterof lawyerswhoaresubjecttothedisciplinaryjurisdictionoftheCourtpursuanttoSupremeCourt Rule 69. The Board, the PRC, and the ODC shall have access toinformationcontainedintheroster.

(b)Disciplinaryrecordoflawyer.ThedisciplinaryrecordofalawyersubjecttothedisciplinaryjurisdictionoftheCourtshallbemaintainedbytheODCandshall consist of thehistoryof disciplinary sanctionswhichhavebeen imposedupon the lawyer since the time that the lawyer became subject to suchjurisdiction,exceptfordisciplinarysanctionswhichhavebeenremovedpursuantto Rule 9(b)(4) or expunged pursuant to Rule 9(i) herein. The fact that adisciplinary evaluation or investigation has been undertaken pursuant toRules9(a)or9(b)hereinshallnotbeconsideredaspartofthedisciplinaryrecordofalawyer unless a disciplinary sanction has been imposed in that matter.(Amended,effectiveJuly18,2007.)

COMMITTEECOMMENT

ThisRuleismoregeneralthantheformerrulerelatingtothemaintenanceofaroster of lawyers, allowing for more flexibility in the kinds of informationretained.Rule6(b)isnew,andisintendedtodefineandclarifytheconceptofalawyer’s“disciplinaryrecord.”


Rule7.Groundsfordiscipline.

Itshallbegroundsfordisciplinaryactionforalawyerto:

(a)Violate any of theDelawareLawyers’Rules of ProfessionalConduct oranysubsequentrulesorcodeadoptedbytheCourtinlieuthereof,whetherornottheviolationoccurredinthecourseofalawyer-clientrelationship;

(b)Engage inconduct that results in lawyeror judicialdiscipline inanotherjurisdiction;

(c) Violate the terms of any conditional diversion or private or publicdisciplinaryordisabilitydisposition;

(d)FailtofurnishinformationtoorrespondtoarequestforinformationfromtheODC,thePRC,theBoard,or theCourt,unlessaprotectiveorderhasbeenobtainedfromtheBoardortheCourt;or

(e) Fail to appear before the Court or the Board when required to do so.(Amended,effectiveJuly18,2007.)

COMMITTEECOMMENT

This Rule is substantially equivalent to the former rule dealing with thegrounds for imposing disciplinary sanctions. Former subsection (b) regardingconvictionofacrimewasdeletedbecauseitwasdeemedtobeincludedundersubsection (a). The other revisions to theRule are slight and are intended forclarification.

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NOTESTODECISIONS

Analysis

Legalservicesmarketing.

—Firmletterheadandnames.

Sanctions.

—Admonition.

—Disbarment.


—Reprimand.

—Suspension.

Legalservicesmarketing.

—Firmletterheadandnames.

Attorney’s conduct inmeetingwith a former client to provide legal advice,discussinglegalservicesandfeeswithapotentialclientwhichledtheclienttobelieve that the attorney’s residential services company could provide legalservices and using the attorney’s former law firm email address incommunications with the public at least 6 weeks after a suspension orderviolatedLaw.Disc.P.R.7(c).InreDavis,43A.3d856(Del.2012).

Sanctions.

—Admonition.

Whenanattorneyfailedtocomplywiththeconditionofaprivateadmonition,which required the attorney to complete the probate and administration of anestatebyadatecertain,theattorneyviolatedLaw.R.Disc.P.7(c).InreWilson,886A.2d1279(Del.2005).

—Disbarment.

Becausetherewasevidencetosupport thefindingthatasuspendedattorneyknowingly practiced law multiple times over more than 1 year during adisciplinary suspension, the lawyer violated multiple disciplinary rules; theappropriatesanctioninthecircumstanceswasdisbarment.InreMemberoftheBaroftheSupremeCourtofDel.Feuerhake,89A.3d1058(Del.2014).


Nostatuteoflimitationappliestoaprofessionaldisciplinaryproceedingand,therefore,nobasisexistsinsuchproceedingstoasserttheaffirmativedefenseoflaches.InreTenenbaum,918A.2d1109(Del.2007).

—Reprimand.

Theappropriatesanctionwasapublicreprimandand1yearprobationperiodwhere: (1) an attorneyviolated the conditionsof a previously imposedprivateadmonition by failing to provide a required precertification and not promptly





payingvariouspayrolltaxes;(2)theattorneyadmittedtoviolatingLaw.Disc.P.R.7(c)andLawProf.ConductR.1.15(b),1.15(d),5.3,8.4(c),and8.4(d);(3)theattorney’sviolationswerenot isolated incidentsbutwere repeatviolations; (4)the attorney failed to adequately supervise a nonlawyer assistant to assure anaccurate accounting of the firm’s books and records; and (5) the attorneydisregardedtheconditionsimposedontheprivateadmonition.conditionimposedontheprivateadmonition.InreMartin,35A.3d419(Del.2011).

Followingaself-reportedembezzlementbyamemberoftheattorney’sstaff,theattorneyfailedtoobtaincourt-orderedprecertificationbyalicensedcertifiedpublicaccountantfor2yearsofcertificatesofcompliance, reporting thestatusofrecordkeepingwithregardtorequirementsofLawProf.ConductR.1.15andLawProf.ConductR.1.15A;becausetheabsenceofanyinjurytoclientsdidnotexcusethemisconduct,theattorney’srepeatedviolationsofLaw.Disc.P.R.7(c)andLawProf.ConductR.8.4(d)supportedanimpositionofapublicreprimandwithconditions.InreHolfeld,74A.3d605(Del.2013).

Attorney committed professional misconduct by failing to comply with theconditions of private probation, by failing to maintain the firm’s books andrecords properly, and by filing false certifications with respect to compliancewiththatobligation;publicreprimandandprobationfor3yearswithconditionswereimposedupontheattorney’simmediatereinstatementtothepracticeoflaw.InreWoods,143A.3d1223(Del.2016).

Attorney was publicly reprimanded with a 2-year probation, subject toconditions; the attorney acted with “wilfulness” and did not comply with 3conditions of a prior disciplinary sanction by failing to inform the firm’ssupervisingattorneyoftheconditionsoftheattorney’sreinstatement,includingtheneed for apracticemonitor. In reGrandell,—A.3d—,2018Del.LEXIS309(Del.June29,2018).

—Suspension.

Attorney, who was on probation for previous violations of the Rules ofProfessionalConductandwhoviolatedLaw.Prof.ConductR.1.1,1.2(a),1.4(a),1.15(a),8.1,8.1(b),8.4(c),and8.4(d),andLaw.Disc.P.R.7(c),wassuspendedfromthepracticeoflawinDelawarefor3yearsaftertheBoardonProfessionalResponsibility found that theattorney’sproblemsappeared tobegettingworseand included: co-mingling client trust funds; inadequate bookkeeping andsafeguarding of client funds; inadequate maintenance of books and records;knowingly making false statements of material fact to the ODC; false




representations in Certificates of Compliance for 3 years; and failure to filecorporatetaxreturnsfor3years.InreBecker,947A.2d1120(Del.2008).


• I. »,« Rule8. •Del.Law.R.ofDisciplinaryProc.8

Rule8.Sanctions.

(a)Typesof sanctions.Misconduct shall be grounds for one ormore of thefollowingsanctions:

(1)DisbarmentbytheCourt;

(2) Suspension by the Court for an appropriate fixed period of time not inexcessofthreeyears;

(3)ImmediateinterimsuspensionbytheCourt,pendingfinaldeterminationofdisciplinary sanctions, or suspensionby theCourt as a result of “showcause”proceedingsunderRule17oronasuaspontebasis;

(4)PublicprobationbytheCourt;

(5)PublicreprimandbytheCourt;

(6)PrivateadmonitionbytheCourtor,withtheconsentoftherespondent,bythePRC;

(7)PrivateprobationbytheCourtor,withtheconsentoftherespondent,byPRC;

(8)ConditionaldiversionbytheCourtor,withtheconsentoftherespondent,byPRC;

(9)Court-orderedrestitutiontopersonsfinanciallyinjuredandCourt-orderedreimbursementtotheLawyers’FundforClientProtection;and

(10)Limitationby theCourton thenatureand/orextentof the respondent’sfuturepractice.

(b) Conditions. Written conditions may be attached to any disciplinarysanction.

(c) Mitigating or aggravating circumstances. Mitigating or aggravatingcircumstances that affect thenatureordegreeofdiscipline tobe imposed in amattershallbefullysetforthintheBoardreportrecommendingtotheCourtanappropriatesanction.

(d)Dismissals. A disciplinary matter which results in a dismissal, with orwithout conditions or cautionary language, shall not be considered as theimpositionofadisciplinarysanction.

(e) Conditional diversion. With the consent of the respondent, therecommendationoftheODC,andtheapprovalofthePRC,conditionaldiversionmaybegranted,exceptifthemisconductisseriousincludingbutnotlimitedtothe misappropriation of funds or property or other misconduct that is seriousenoughtowarrantsuspensionordisbarment.(Amended,effectiveMay7,2002;effectiveJuly18,2007.)

COMMITTEECOMMENT

This Rule contains the same basic types of disciplinary sanctions as werefoundintheformerrule.ThisRuleexpandsthemaximumsuspensionfromthreetofiveyearsandeliminatesthetimelimitonprobationscontainedintheformerrule, giving the Court more flexibility to structure sanctions tailored to thespecifics of a particular case. Rule 8(d) is new, and is intended to provideclarificationandconformitytoactualpractice.

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NOTESTODECISIONS

Analysis


Sanctions.

—Determiningfactors.

—Disbarment.

—Reprimand.

—Suspension.


The inherent and exclusive authority for disciplining members of theDelaware Bar is vested in the Supreme Court of Delaware; in imposingsanctions, the Supreme Court is guided by its prior precedents and the ABAStandardsforImposingLawyerSanctions,whichhavebeencitedwithapproval.InreAgostini,632A.2d80(Del.1993).

Sanctions.

—Determiningfactors.


The difficulties the attorney was having in his personal life and his direfinancialproblemsweremitigatingcircumstanceswhichthecourtoughttohavetaken into account whenmeting out an appropriate sanction. In re Rich, 559A.2d1251(Del.1989).

Thecourtconsidersthefactthatalawyerhascommittedmultipleviolationsofthe Rules of Professional Responsibility as a factor in determining anappropriatesanction;andsuchconductconstitutesanaggravatingcircumstance.InreRich,559A.2d1251(Del.1989).

Lawyer’snumerousfailurestocomplywithCourtrulesandrespondtoclient’sinquiriesresultedinsuspensionfromBarforoneyear,takingintoconsiderationthe fact he had voluntarily rearranged his practice of law, his remorse for thedamagecausedbyhismisconduct, andhisefforts to rehabilitatehimself. In reTos,576A.2d607(Del.1990).

Addictiontoalcoholorotherdrugsisaformofillnessordisease,deservingofconsiderationasamitigatingfactor.InreClyne,581A.2d1118(Del.1990).

Indetermining theappropriate sanction, theCourtconsiders four factors: (i)thenatureofthedutyviolated;(ii)theattorney’smentalstate;(iii)theactualorpotentialinjurycausedbythemisconduct;and(iv)theexistenceofaggravatingandmitigatingcircumstances.InreFigliola,652A.2d1071(Del.1995).

—Disbarment.

Attorney’s lack of effort to either recognize his disease or to demonstratesincereeffortsatrecoveryfromhisaddictiontoalcohol,combinedwithrecordthat fully supported the Board’s factual findings that he engaged in acts ofseriousdeception,andhisfailure toshowthatalcoholismwas thecauseofhisprofessional misconduct or that such violations were not likely to recur,warrantedtheultimatesanctionofdisbarment.InreClyne,581A.2d1118(Del.1990).

Lawyerconvictedoffelonytheftforconversionofclientfundswasdisbarred.InreAgostini,632A.2d80(Del.1993).

Attorney was disbarred for knowingly violating the terms of a priorsuspensionby failing to turn all files over to an activemember of the bar, byfailing to notify all parties of attorney’s suspension, and by paying attorney’sfeesfromestatesduringthesuspension;thatmisconductcausedpotentialinjurytotheestatebeneficiaries.InreMcCann,894A.2d1087(Del.2005).

Attorneywasdisbarredinpartbecauseoffailureto:(1)maintainproperbooks









andrecordsrelatingtoclientfunds,butfalselycertifiedcompliancefor3years;(2) timely file and pay federal and state payroll taxes, but falsely certifiedcompliancefor6years;and(3)paypersonalstateandfederalincometaxes.InreMcCann,894A.2d1087(Del.2005).

—Reprimand.

Reprimand should be reserved for lawyers who are merely negligent indealing with client property; suspension is appropriate for lawyers who aregrosslynegligent.InreFigliola,652A.2d1071(Del.1995).

Whenanattorneyhandling2estatesviolatednumerousrulesofprofessionalconductbyfailingtocomplywithaconditionofaprivateadmonition,failingtoactwithreasonablediligenceandpromptnessinprobatingtheestates,failingtodistributefundstimely,failingtoprovideinformationanddocumentsinatimelymannerinresponsetoarequestbytheOfficeofDisciplinaryCounsel,failingtopromptlydiscloseescrowaccounts,andfalselyrepresentingthattheattorneyhaddesignatedanestateaccountasanattorneytrustorescrowaccount,theattorneywaspubliclyreprimanded,preventedfromrepresentingapersonalrepresentativeorservingas1,andrequiredtocooperateandpaycostsunderLaw.R.Disc.P.8.InreWilson,886A.2d1279(Del.2005).

—Suspension.

Anylawyerwhoissuspendedfromthepracticeoflawneedsadequatetimetonotifyclients,makearrangementsforcasescurrentlyinprogress tobehandledprofessionallytotheclients’satisfaction,tidyupfinancialdealingsandremoveoneself totally from the practice of law; it is simply not practicable to do thiswithina thirty-daysuspensiontimeperiod.InreFigliola,652A.2d1071(Del.1995).

Court imposed an 18 month suspension from the practice of law upon alawyerwhohaddisobeyedanorderprohibitingcontactwiththespouse,andwhohad concealed or destroyed potential evidence relevant to criminal chargesagainstlawyer.InreMelvin,807A.2d550(Del.2002).

Law.R.Prof.Conduct1.15(a),1.15(d),1.15A,1.16(d),3.4(c),8.1(b),8.4(d)were violatedwhen for several years the attorneymishandled and improperlyaccountedfortheattorney’sclient’sfundsandtheattorney’sescrowaccountandinaccurately completed certificates of compliance; the attorneywas suspendedfor3years, couldapply for reinstatementafter2years if theattorney fulfilledconditions,andcouldnotreturntosolopractice.InreFountain,878A.2d1167(Del.2005).







In a reciprocal attorney disciplinary case, where the Board of ProfessionalResponsibilityfiledareportpursuanttoLaw.Disc.P.R.9recommendingthata1-year retroactive suspension be imposed against the attorney, although theOfficeofDisciplinaryCounsel recommended a 1-year prospective suspension,thereviewingcourtimposedthe1-yearretroactivesuspensionrecommendedbythe Board; either sanction would have required the attorney to petition forreinstatement under Law. Disc. P. R. 22. In re Staropoli, 865 A.2d 522 (Del.2005).


« II. »Del.Law.R.ofDisciplinaryProc.II

II.PROCEDURE

« II. »,• Rule9. »Del.Law.R.ofDisciplinaryProc.9

Rule9.Generalprocedures.

(a) Screening and evaluation. The ODC shall screen and evaluate allinformation coming to its attention by complaint or otherwise concerningpossiblemisconductbyorincapacityofalawyer.

(i)Screening.IfthelawyerisnotsubjecttothedisciplinaryjurisdictionoftheCourt,themattershallbedismissedandreferredtotheappropriateentityinthejurisdictioninwhichthelawyerisadmitted.

(ii)Evaluation. If the lawyer issubject to thedisciplinary jurisdictionof theCourt, the ODC shall conduct an evaluation of the information regarding thelawyer,utilizingthefollowinggeneralprocedure:

(A) If the information regarding the lawyer, on its face, is not sufficient toraiseareasonableinferenceofmisconductorincapacity,theODCshalldismissthematter;

(B)Iftheinformationregardingthelawyer,onitsface,issufficienttoraiseareasonable inference of misconduct or incapacity, the ODC shall gathersupplementalinformation;

(C)If theaggregateof informationgatheredby theODCisnotsufficient toraiseareasonableinferenceofmisconductorincapacity,theODCshalldismissthematter;

(D)IftheaggregateofinformationgatheredbytheODCissufficienttoraisea reasonable inference of misconduct or incapacity, the ODC shall conduct aformalinvestigationofthematter.

(b) Formal investigation and consideration by the PRC. The ODC shallconduct all formal investigations subsequent to the screening and evaluationprocedures described in Rule 9(a). Following the receipt of sufficientinformation,theODCshalldismissthematterorpresentthemattertothePRC.

(1) If the matter is to be presented to the PRC, the ODC shall notify therespondent ina timelymannerprior to thescheduledmeetingof thePRC,and

shall inform the respondent that the respondent may submit to the ODC anyfurther written information for consideration by the PRC at such meeting.Neither the respondent nor the respondent’s counsel shall have the right toappearatameetingofthePRC.

(2)TheODCmayrecommendtothePRConeormoreofthefollowing:

(A)dismissalofthematterwithorwithoutconditions;

(B) theofferofaprivateprobationnot toexceed twoyearswithorwithoutconditions;

(C)theofferofaprivateadmonitionwithorwithoutconditions;

(D)astay;

(E)thefilingofapetitionfordisciplinewiththeBoard;or

(F)conditionaldiversion.

(3) The PRC shall review the ODC’s recommendation and any writteninformation submitted by the respondent. Disciplinary matters involving thesamerespondentmaybeconsolidatedbythePRCasitdeemsappropriate.ThePRC shall determine whether there is probable cause to conclude that therespondent has engaged in professional misconduct. The PRC may approve,disapprove,ormodify theODC’srecommendation,andmayrequestadditionalinformationandinvestigationasitdeemsappropriate.

(4)WherethePRCdeterminesthatanofferofconditionaldiversion,aprivateprobationoraprivateadmonitionisappropriate,theODCshallsendalettertotherespondentortherespondent’scounsel,whichshallcontainthefollowing:

(A)adescriptionofthefactsandlegalissuesconsideredbythePRC;

(B) the PRC’s conclusion that there is probable cause that the respondentcommittedatleastonespecifieddisciplinaryviolation;

(C) a description of any conditions attached to the offer of conditionaldiversion,aprivateprobationoraprivateadmonition;and

(D) a certification of acceptance and imposition of conditional diversion, aprivateprobationoraprivateadmonition.

Iftherespondentdesirestoaccepttheofferofconditionaldiversion,aprivateprobationoraprivateadmonition,therespondentshallexecutethecertificationattachedtotheletterandreturnthecertificationinatimelymannertotheODC.In the case of a conditional diversion the respondent shall submit a signed

conditionaldiversionagreementandanexecutedreleaseofinformationthroughan approved monitor including but not limited to the Delaware LawyersAssistance Program to enable the ODC to verify the satisfaction of theconditions of the conditional diversion. The respondent’s acceptance of theimposition of a private admonition under thisRulemeans that the respondentdoesnotcontestthefindingsofthePRCthattherewasprobablecausethattherespondentengagedinprofessionalmisconduct,andthatsuchsanctionmaybetreatedforallotherpurposesasifthesanctionhadotherwisebeenimposedafterthefilingofapetitionfordisciplinewiththeBoard.Therespondent’sacceptanceoftheimpositionofconditionaldiversionoraprivateprobationunderthisRulemeans that the respondent does not contest the findings of thePRC that therewas probable cause that the respondent engaged in professional misconduct;however, if therespondent isnotsubsequentlyfoundbyapanelof thePRCtohave engaged in professional misconduct within the probationary period, theconditionaldiversionorprobationwillberemovedfromtherespondent’sformaldisciplinary record and cannot be used in any subsequent disciplinaryproceeding.WheneverthePRCconcludesthatanofferofconditionaldiversionoraprivateprobationoraprivateadmonitionisappropriate,thePRCshallalsoconcurrently approve the filingof a petition for discipline,whichmay containadditional or different disciplinary violations than those specified in the letter,andwhich shall be filedwith theBoard if the respondent does not accept theofferofconditionaldiversion,aprivateprobation,oraprivateadmonition.Iftheconditionsoftheconditionaldiversionagreementaresatisfied,includingthattherespondentisnotsubsequentlyfoundbyapanelofthePRCtohaveengagedinprofessional misconduct within the period of conditional diversion, thedisciplinary matter shall be removed from the respondent’s record. If theconditions of the conditional diversion agreement are not satisfied, the ODCshallfilethepetitionfordisciplinewiththeBoard.

(c)Dispositionpriortoformalcharges.Therespondentmayacceptorrejectanyofferofconditionaldiversionoraprivateprobationoraprivateadmonitionprior to the filingofapetition fordiscipline.Upon receiptby theODCof thesigned certificate of acceptance and imposition, and the payment of costs, themattershallbeclosed.Iftherespondentrejectstheofferofconditionaldiversionoraprivateprobationoraprivateadmonitionordoesnottimelyrespondthereto,theoffershallbedeemedrejected,andtheODCshallproceedtofileapetitionfordisciplinewiththeBoardcontainingchargesthathavebeenapprovedbythePRC.

(d)Formalproceedings.(1)FormaldisciplinaryproceedingsbeforetheBoard

shallbeinstitutedbytheODCbyfilingwith theAdministrativeAssistant,andserving upon the respondent, after approval by a panel of the PRC, a petitionwhich is sufficientlyclearandspecific to inform the respondentof theallegedmisconduct. The filing of a petition with the Administrative AssistantcommencestheofficialBoardrecordinthematter.

(2)TherespondentshallserveananswerupontheODCandfiletheoriginalwith theAdministrativeAssistantwithin 20 days after service of the petition,unlessthetimeisextendedbytheChairorViceChairoftheBoard.Intheeventthe respondent fails to serve an answer within the prescribed time, all of theallegationsandcharges in thepetition shallbedeemedadmitted, such that thesole remaining issue to be determined by the Board shall be the appropriatedisciplinarysanction.

(3)TheAdministrativeAssistantshallserveanoticeofhearingupontheODCandtherespondent,identifyingthemembersoftheBoardassignedtothematter,andthedateandplaceofthehearing.Thenoticeshallbegivenatleast20daysinadvanceof thedateof thehearing.Thenoticeofhearingshallstate that therespondentisentitledtoberepresentedbyalawyerattherespondent’sexpense,tocross-examinewitnesses,andtopresentevidence.

(4) All hearings before the Board shall be recorded. Following a hearing,briefs,memoranda,andoralargumentmaybepermittedinthediscretionoftheBoard. If the Board initially finds that the respondent has engaged inprofessionalmisconduct,theBoardshallthenmakeaseparatefindingastotheappropriatedisciplinarysanction.TheBoardmayconductaseparatehearingonsanctions in order to evaluate evidence of possible aggravating andmitigatingfactors.

(5)TheBoardshallsubmittotheCourtafinalreportcontainingitsfindings,reasons, and recommendations within 60 days after the conclusion of itsproceedings. A copy of the report shall be served on the ODC and therespondent.IfamatterisheldunderadvisementbytheHearingPanelformorethan60days,thenthechairoftheHearingPanel,eitherbeforeorimmediatelyupon the expiration of the 60 day period, shall submit to the Court a writtenrequestforanextensionoftimetocompletethefinalreport.Thewrittenrequestshallcontainthefollowinginformation:

(A)TheBoardcasenumber(s);

(B)Thedatethematterwastakenunderadvisement;

(C)Thespecificreasonforthedelay;and

(D)AtargetdateonwhichthechairoftheHearingPanelreasonablyexpectsthefinalreporttobeissued.

TheCourtmaygrantanextensionforcompletingthefinalreportforgoodcauseshown.

(e)ReviewbytheCourt.UponthesubmissionbytheBoardofitsreportandrecommendationstotheCourtforreview,theClerkoftheCourtshallnotifytheODC and the respondent of their respective rights to file objections to theBoard’s report and recommendationswithin 20 days from the date of service,exceptforreportsfiledpursuanttoRule17.TherespondentandtheODCmaywaive the right to file objections.No further briefingwill be permitted unlessorderedbytheCourtforgoodcause.

(f) Witnesses and evidence. (1) All witnesses shall be sworn in allproceedings.Thecourt reporteroranymemberof theBoardor theODCmayadministeroathsandaffirmations.

(2) The Delaware Uniform Rules of Evidence shall be followed as far aspracticable, provided that evidence may be admitted and considered whichpossessesprobativevaluecommonlyacceptedbyreasonablyprudentpersonsintheconductoftheiraffairs,orasotherwiseprovidedintheseRules.

(3) Where the respondent is or has been a party to or a participant in aproceeding, whether administrative, criminal, civil, or otherwise, the relevantportions of the transcript of the proceedings, exhibits, findings of fact,conclusions of law, opinions, decisions, and judgments, shall be admitted inevidence,ifoffered,andshallbeaccordedsuchweightastheBoardshalldeemappropriate;provided,however,thatevidenceofaconvictionoftherespondentfor any crime shall be deemed conclusive as to the fact that such crime wascommitted,andevidenceoftheimpositionofadisciplinarysanctioninaforeignjurisdictionshallbedeemedconclusiveastothefactofthedisciplinaryviolationuponwhichsuchsanctionwaspredicated.RelevantcorrespondenceamongandbetweentheODC,therespondent,andthecomplainantshallalsobeadmittedinevidence, ifoffered,andshallalsobeaccordedsuchweightas theBoardshalldeem appropriate. Evidence of conduct or statements made in compromisenegotiationspriortoahearingshallnotbeadmitted,unlessthereisnoobjectionbyanyparty.

(4)Informationrelatingtopriordisciplineofarespondentshallnotnormallybe divulged until after there is a finding ofmisconduct in the pendingmatter,unlessthepriordisciplineisrelevanttothecurrentproceedings.

(5) After conviction of a felony or of any other form of criminal conductdemonstrating a significant threat of substantial harm to the public or to theorderlyadministrationof justice, the sole issue tobedeterminedby theBoardshall be the discipline to be imposed, if any, provided that a disciplinaryproceedingonsuchbasisshallnotbebroughttoahearinguntilallappealsfromtheconvictionareconcluded,unlesstherespondentrequeststhatthematternotbedeferred.

(g)Dismissalswithwarning.Whenadisciplinarymatterisdismissed,whetherbytheODC,thePRC,ortheCourt,thewrittennoticeofdismissalthatissenttotherespondent,whetherintheformofaletter,report,order,orotherwise,maycontain cautionary language directed to the respondent, for the purpose ofdirectlyinformingandeducatingtherespondentastoconductwhich,whilenotviolativeofadisciplinaryruleorworthyofadisciplinarysanction,neverthelesshasraisedprofessionalconcerns.

(h)Retentionofdisciplinaryfiles.FilesoftheODC,thePRC,andtheBoardinindividualdisciplinarymattersinwhichnodisciplinarysanctionwasimposedshall be retained for 5 years after the date that thematterwas resolved, afterwhich time such files may be destroyed; provided, however, that thisrequirement shall not apply to recordkeeping dockets and other listings ofdisciplinarymatters,general tabulationsof information,or statistical reportsorsummaries. Files in which a disciplinary sanction has been imposed shall beretained.

(i)Limitedexpungementofdisciplinaryrecord.Alawyerwhohasreceivedasingleprivateadmonitionandhas receivednootherdisciplinarysanction foraperiod of 10 years after the imposition of that sanction may request that thesanctionbeexpungedfromthelawyer’sdisciplinaryrecord,forthesolepurposeof precluding reference to that sanction in any future disciplinary proceeding.AnysuchrequestshallbeinwritingandshallbedirectedtotheAdministrativeAssistant,whoshalltaketheappropriatestepsinhavingthesanctionexpungedfrom the lawyer’s disciplinary record; provided, however, that no request forexpungementshallbegrantedwhenthereisadisciplinarymatterrelatingtothelawyerthatispendingatanystageoftheproceedingsdescribedintheseRules.(Amended,June5,2001;effectiveJuly18.2007;effectiveMay14,2008.)

COMMITTEECOMMENT

ThenewRule9,liketheformerrule,containsacomprehensivesetofspecificproceduresrelating to the initiationofdisciplinaryproceedingsandthevarious

paths that such proceedings may take. The sections of the Rule are arrangedgenerallyinachronologicalmanner.ThenewRule9ismoredetailedthantheformerrule,beingmoredescriptiveoftheactualpracticesthathaveevolvedinthelasttwodecades.Suchadditionaldetailalsoservesthepurposeofprovidingmore meaningful notice to respondent lawyers of the procedures that aregenerally followedwhen disciplinarymatters are initiated, in consideration ofdueprocessrequirements.

ThenewRule9(a),whichdealswiththeinitialstagesofadisciplinarymatter,is muchmore specific than the former rule, detailing the logical sequence ofsteps taken by the ODC in the screening, evaluation, and investigation ofinformation coming to its attention. Similarly, the procedures outlined in newRules9(b),9(d),and9(f)havebeenclarifiedwithrespecttoactualpractice.Rule9(e)hasbeenrevisedinordertoclarifythattheCourtreviewsalldisciplinaryordisabilitymatterswhich are heard by the Board. Under the previous rule, thefindings and recommendations in a Board report to which no objections hadbeen filedwere deemed as approved and so ordered by the Court, unless theCourtorderedotherwisewithin30daysofthelastdateforfilingobjections.

Rule 9(g) is a new rule, intended to conform to actual practice as it hasevolved,especiallyincasesconsideredbythePRCwhichhavebeendismissed.Rule9(h)isanewrule,intendedtooutlineageneralrecordsretentionpolicyforthe disciplinary system, and to identify the records which are to be retainedindefinitely,andwhichconstitutetheessentialhistoryofthedisciplinarysystemin Delaware. Rule 9(i) is a new rule, intended to implement a policy for thelimited expungement of a minor disciplinary sanction from the lawyer’sdisciplinaryrecord.

This Rule also has been amended to include the additional sanction of aconsensualprivateprobation.Iftherespondentisnotfoundtohaveengagedinprofessional misconduct within the probationary period, the probation will beremovedfromtherespondent’sdisciplinaryrecord.

__________

NOTESTODECISIONS

Analysis

Sanctions.


—Reprimand.

—Suspension.

Sanctions.


Nostatuteoflimitationappliestoaprofessionaldisciplinaryproceedingand,therefore,nobasisexistsinsuchproceedingstoasserttheaffirmativedefenseoflaches.InreTenenbaum,918A.2d1109(Del.2007).

—Reprimand.

Sanction of a public reprimand of attorney was the appropriate where theattorney violated Law Prof. Conduct R. 8.4(b), (c) and (d); the attorney hadmade a false report to the police in a 9-1-1 call that a hostage situation wastakingplace, inviolationof11Del.C.§1245, inorder toobtainanexpeditedpoliceresponse.InreSchaeffer,45A.3d149(Del.2012).

—Suspension.

In a reciprocal attorney disciplinary case, where the Board of ProfessionalResponsibilityfiledareportpursuanttoLaw.Disc.P.R.9recommendingthata1-year retroactive suspension be imposed against the attorney, although theOfficeofDisciplinaryCounsel recommended a 1-year prospective suspension,thereviewingcourt imposedtheone-yearretroactivesuspensionrecommendedby theBoard; either sanctionwould have required the attorney to petition forreinstatement under Law. Disc. P. R. 22. In re Staropoli, 865 A.2d 522 (Del.2005).


http://advance.lexis.com/api/document/citation/11%20DEL.%20CODE%20ANN.%201245



« II. »,« Rule10. »Del.Law.R.ofDisciplinaryProc.10

Rule10.Immunity.

All communications to and from the Board, PRC, or the ODC relating tolawyermisconductordisability,andalltestimonygiveninrelatedproceedings,shallbeabsolutelyprivileged,andnocivilsuitpredicatedonthoseproceedingsmaybe institutedagainst anycomplainant,witnessor lawyer.Membersof theBoard, members of the PRC, members of the ODC and its agents and staff;SpecialDisciplinaryCounselandhisorheragentsandstaff;theAdministrativeAssistant and staff; and receivers and their agents and staff shall be immunefrom civil suit for any conduct in the discharge of their official duties.(Amended,effectiveJuly15,2008.)

COMMITTEECOMMENT

The scope of persons given immunity in this new Rule has been slightlyexpandedfromthatoftheformerrule.


Rule11.Service.

(a) Service of petition. Service of the petition upon the respondent orrespondent’scounsel inanydisciplinaryordisabilityproceedingshallbemadebypersonal servicebyanypersonauthorizedby theODC,orby registeredorcertified mail at the address last furnished by the respondent pursuant toSupremeCourtRule69.

(b)Serviceofotherpapers.Serviceofanyotherpapersornoticesrequiredbythese Rules shall, unless otherwise provided by these Rules, be made inaccordancewiththeRulesofCivilProcedurefortheSuperiorCourtoftheStateofDelaware.

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerruleonservice.


Rule12.Subpoenapoweranddiscovery.

(a)Subpoenas.(1)Beforethefilingofapetitionfordiscipline,theODCmaycompelbysubpoenathe testimonyofwitnesses(includingtherespondent)andthe production of pertinent books, papers, and documents for purposes ofevaluationorinvestigation.

(2)Afterthefilingofapetitionfordiscipline,theODCortherespondentmaycompelbysubpoena the testimonyofwitnesses,or theproductionofpertinentrecords, books, papers, and documents, at a deposition or hearing under theseRules. The Clerk of the Supreme Court shall issue such subpoenas as arerequested inwriting by the respondent.Upon thewritten request of either theODC or the respondent to the Administrative Assistant, the Clerk of theSupremeCourtshall issueacommissionfor the issuanceofasubpoenawheretheevidencesoughtisbeyondjurisdictionallimits.

(3)SubpoenasissuedbytheODCorbytheClerkoftheSupremeCourtshallclearlyindicateontheirfacethatthesubpoenasareissuedinconnectionwithaconfidentialmatter under these Rules. It shall not be regarded as a breach ofconfidentialityforapersonsubpoenaedtoconsultwithanattorney.

(b)Quashingsubpoena.Any attack on the validity of a subpoena so issuedshall be heard and determined by the Chair or Vice Chair of the Board. AllordersbytheChairorViceChairoftheBoardrelatingtoattacksonthevalidityof a subpoena are interlocutory andmay not be appealed prior to theBoard’ssubmissiontotheCourtofitsfinalreport.

(c) Enforcement of subpoena. The Court may, upon proper application,enforcetheattendanceandtestimonyofanywitnessesandtheproductionofanydocumentssubpoenaed.

(d)Subpoenapursuanttolawofanotherjurisdiction.WheneverasubpoenaissoughtinDelawarepursuanttothelawofanotherjurisdictionforuseinlawyerdisciplineordisabilityproceedings,andwheretheissuanceofthesubpoenahasbeen duly approved under the law of the other jurisdiction, the Clerk of theSupremeCourt,uponrequestfromtheChairorViceChairoftheBoard,andforgood cause, may issue a subpoena as provided in this Rule to compel theattendance ofwitnesses and production of documents in the countywhere thewitness residesor isemployedorelsewhereasagreedby thewitness.Service,enforcement,orchallengestothissubpoenashallbeasprovidedintheserules.

(e)Depositions. TheODC and the respondentmay take the deposition of awitness (including the respondent) by subpoena as set forth in Rule 12(a)(2)above.Testimonyof adeponent tobepresentedat ahearingmaybe takenbydepositionorbycommissionifthewitnessisnotsubjecttoserviceofsubpoenaissued by a Delaware tribunal or is unable to attend or testify at a hearingbecause of age, illness or other compelling reason. A complete record of thetestimonysotakenshallbemadeandpreserved.

(f) Witnesses and fees. Subpoena and witness fees and mileagereimbursements shall be the same as those provided for in theRules of CivilProcedurefortheSuperiorCourtoftheStateofDelaware.

(g)Discovery.DisputesconcerningthescopeandotheraspectsofthelimiteddiscoveryaffordedundertheseRulesshallbeheardanddeterminedbytheChairor Vice Chair of the Board, unless a Hearing Panel has been assigned to thematter,inwhichcasesuchdisputesshallbeheardanddeterminedbythechairoftheHearingPanel.AlldiscoveryordersbytheChairorViceChairoftheBoardorthechairofaHearingPanelareinterlocutoryandmaynotbeappealedpriorto the Board’s submission to the Court of its final report. As soon as ispracticableafterapetition fordiscipline is filed, theODCshallprovide to therespondentaccesstoanyexculpatoryevidence.

(h)Exchange of information. The ODC and the respondent shall exchangenamesofwitnessesandcopiesofdocumentstobeusedbyeachsideinitscaseinchief10businessdaysprior toanyhearing,andmaysupplement those liststhereafterwith the approval of the opposing party or the chair of theHearingPanel. Recorded statements, if any, of all witnesses so designated shall beexchangedatthesametime.Theexchangemaytakeplacebyfirst-classmailtothe respondent’s last known address. The Hearing Panel may exclude anyevidenceofferedbyapartywhofailstocomplywiththisRule.

(i)Duty to respond. Nothing in these Rules shall be deemed to limit therespondent’sobligation to respondatanypoint in thedisciplinaryprocess toalawful demand for information from the ODC under the Delaware Lawyers’RulesofProfessionalConductoranysubsequent rulesorcodeadoptedby theCourtinlieuthereof.(Amended,effectiveMay14,2008.)

COMMITTEECOMMENT

ThisRulehasbeenchanged toprovide that theClerkof theSupremeCourtshallissuesubpoenas.Section(d)hasbeenaddedtopermitenforcementofthe

subpoenas issued by other jurisdictions. Former section (c) concerninginterrogatorieshasbeeneliminated.Section(h)hasbeenchangedtorequiretheexchange of information at least ten days prior to any hearing, instead of thepreviousthreedayprovision.


Rule13.Accesstodisciplinaryinformation.

(a)Confidentiality.PriortotheHearingPanel’ssubmissiontotheCourtofitsfinal report, and except as otherwise described in these rules, disciplinary anddisabilityproceedingsandtheofficialrecordinsuchmattersareconfidential.Ifthe Hearing Panel’s report recommends that the matter be dismissed, that alawyernotbe transferred todisability inactivestatus,or thataprivatesanctionbeimposed,anyfurtherproceedingsbytheCourtandtheofficialrecordinthematterareconfidentialunlessanduntilotherwiseorderedbytheCourt.

(b)Protectiveorders.Uponproperapplicationwithgoodcauseshown,oronasuaspontebasis,theChairorViceChairoftheBoard,theChairoftheHearingPanel,or theCourtmayissueappropriateprotectiveorderswithrespect toanyproceedings, reports,documents,orother informationwhichmayotherwisebemadepublic,forthepurposeofpreservingconfidentiality.

(c)Complainant’srighttoappear.Thecomplainantinadisciplinarymatter,ifany, shall have the right to appear at any Board hearing on sanctions or anyCourthearingonapetitionforinterimsuspensionrelatingtothematterforthesolepurposeofmakingastatementontherecordregardingthematter.

(d) Requests for confidential information. A request for the release ofconfidentialinformationasdescribedundertheseRulesshallbemadebywrittenapplication, with good cause shown, directed to the Administrative Assistant.SuchapplicationshallbeconsideredanddeterminedbytheCourt.

(e)Release of confidential information. Thework product of theODCmaynotbedisclosedorreleasedexceptpursuanttoRule13(f).Thependency,subjectmatter,orstatusofadisciplinarymattermaybedisclosedorreleasedif:

(1)therespondenthaswaivedconfidentialityinwriting;

(2)theproceedingisbaseduponallegationswhichincludetheconvictionofanycrime;

(3) the respondent has been placed upon interim suspension or disabilityinactivestatus;

(4)suchdisclosureorreleaseisnecessarytoobtaintheassistanceofanotherperson, agency, or organization, provided that such person, agency, ororganizationagreestomaintaintheconfidentialitymandatedbytheseRules;

(5) the proceedings are based upon allegations which have otherwise beenmadepublic;or

(6)withtheapprovalof theCourt,suchdisclosureorreleaseisnecessaryinorder to correct false or misleading public statements with respect to anyotherwise confidential proceeding or information, or is necessary to preventpublicconfidenceinthedisciplinarysystemfrombeingundermined.

(f)Cooperationwithcriminaljusticeauthorities.Anyevidenceorinformationobtained through the disciplinary process indicating criminal conduct by alawyer, including documents, transcripts, and work product, or any selectedportions thereof, may be disclosed or turned over to the appropriate criminaljusticeauthoritiesfortheirindependentreviewandinvestigation.

(g)Dutyof participants. All participants in a proceeding under theseRulesshallconductthemselvessoastomaintaintheconfidentialitymandatedbytheseRules.(Amended,effectiveMay14,2008.)

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerrulerelatingtotheoverallconfidentiality of disciplinary proceedings. The complicated process forrequestingaccess toconfidential informationhasbeeneliminated in favorofamore simplified process underwhich theCourt can consider such requests ontheir individualmerits and on a case-by-case basis. Rule 13(c) is new, and isintended to be similar to the right of the victim in a criminal proceeding toappear and submit an “impact statement.” Rule 13(f) is new, and reflects apracticethathaspreviouslybeenapprovedinparticularcasesbytheCourt.


Rule14.Disseminationofdisciplinaryinformation.

TheODC shall publicly disseminate all information relating to disciplinarymattersandproceedingsasisconsistentwiththeseRules.Inparticular,theODCshall transmit notices and information regarding the imposition of all publicdiscipline,transferstoorfromdisabilityinactivestatus,orreinstatementsto:

(a) the disciplinary enforcement agency in any jurisdiction in which therespondentisadmitted,

(b)thechiefjudicialofficersofallcourtsofthisState,

(c) the chief judicial officers of all federal courts located in this State, theUnited States Court of Appeals for the Third Circuit, and the United StatesSupremeCourt,

(d) any national data bank maintained for the purposes of reportingdisciplinaryactionrelatingtolawyers,and

(e)thenewsmedia.

COMMITTEECOMMENT

ThisRule isanexpansionandclarificationof theformerrulerelating to thedisseminationofdisciplinaryinformation.


Rule15.Additionalrulesofprocedure.

(a) Nature of proceedings. Disciplinary proceedings are neither civil norcriminal,butaresuigeneris.

(b)Proceedings governed byRules ofCivil Procedure. Except as otherwiseprovidedintheseRules,theRulesofCivilProcedurefortheSuperiorCourtofthe State ofDelaware shall apply to the extent practicable in disciplinary anddisability matters, provided that discovery procedures shall not be expandedbeyondthoseprovidedinRule12hereof,andthereshallbenoproceedingsforsummaryjudgment.

(c) Standard of proof. Formal charges of misconduct, petitions forreinstatement, and petitions for transfer to and from disability inactive statusshallbeestablishedbyclearandconvincingevidence.

(d)Burdenofproof.Theburdenofproofinproceedingsseekingdisciplineortransfer to disability inactive status is on the ODC. The burden of proof inproceedingsseekingreinstatementortransferfromdisabilityinactivestatusisontherespondent.

(e)Prehearingconferences.UponrequestofapartyoratthediscretionofthechairoftheHearingPanel,aprehearingconferencemaybeheldforthepurposeof dealing with administrative, evidentiary, or procedural issues, obtainingadmissions, identifying the issues to be presented at the hearing, or for otherreasons.TheconferenceshallbeheldbeforethechairoftheHearingPanel,andmayberecordedinthechair’sdiscretion.

(f)Availabilityofhearingtranscript.Thetranscriptandofficialrecordofanyhearingshallbemadeavailabletotherespondentattherespondent’sexpense.

(g) Related pending litigation. Where there are civil, criminal, or otherdisciplinaryproceedingspendingwithrespecttotherespondentinadisciplinarymatter,thePRCortheBoardmaystaythematterasappropriateandnecessary,withnoticetotheCourtofitsreasonsfortakingsuchaction.

(h) Position of complainant. Neither unwillingness nor neglect of thecomplainant to cooperate with the disciplinary process, nor settlement, norcompromisebetweenthecomplainantandtherespondent,norrestitutionbytherespondent,shallinitselfjustifyabatementoftheprocessingofanydisciplinarymatter. The complainant in a disciplinary matter shall not be considered as a

partyandshallhavenostandingtoappealthedispositionofsuchmatter.

(i)Effectoftimelimitations.ExceptasotherwiseprovidedintheseRules,timeprovisionsaredirectoryandnotjurisdictional.Failuretoobserveprescribedtimeintervals may result in sanctions against the violator but does not justifyabatementofanydisciplinaryordisabilityinvestigationorproceeding.

(j) Complaints against disciplinary agency members. Disciplinary mattersinvolvinganymemberoftheODC,SpecialDisciplinaryCounsel,ortheBoardshall be submitted directly to the Court for the assignment by the Court of aspecial disciplinary counsel pursuant to Supreme Court Rule 64(d) for theevaluation, investigation, and possible prosecution of the matter. ComplaintsagainstmembersofthePRCshallbesubmitteddirectlytotheBoard.TheChairorViceChair of theBoard shall request assignment by theCourt of a specialdisciplinarycounsel.

(k)ODC investigationsof seriousmisconduct.Where themisconduct underinvestigation by theODC is deemed to be serious and potentially criminal innature,andwhereothermeansofinvestigationmaynotbeeffectiveorpractical,the ODC shall be authorized, with the approval of the Court for good causeshown, to use all investigatorymeans andmethods as are commonly used bycriminalprosecutingagencies.(Amended,effectiveMay14,2008.)

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerrule,whichoutlinedvariousadditionalprocedures,andwhich referred to theSuperiorCourtRulesofCivilProcedure to cover areas not specifically addressed herein. There have beensomeminorrevisionsforthepurposeofclarificationandconsistency.Rule15(k)isnew,andisintendedtoconformtoactualpracticeasithasevolvedinthelasttwodecades.

__________

NOTESTODECISIONS

Analysis

Burdenofproof.

Sanctions.

—Disciplinaryprocedure.

Burdenofproof.

Because an attorney admitted professional misconduct with respect to theattorney’s representation of a client in a criminal matter, the Office ofDisciplinaryCounselwasnotrequiredtoprovetheallegationsofmisconductbyclearandconvincingevidence.InreLyle,74A.3d654(Del.2013).

BasedonareportbytheBoardonProfessionalResponsibility,therewasclearandconvincingevidencethatanattorneyengagedincriminalconductworthyofsuspnsionby:(1)misappropriatingfundsfromtheattorney’semployerovera5-year period; (2) engaging in dishonest conduct by lying to the attorney’smortgage company; and (3) forging the employer’s signature. In reLankenau,138A.3d1151(Del.2016).

Sanctions.

—Disciplinaryprocedure.

This rule is intended to provide a procedure for the filing of a Petition toDisciplineagainstamemberoftheBoardonProfessionalResponsibilitybasedupon an alleged violation of the Delaware Lawyers’ Rules of ProfessionalConduct; it was not intended as a means by which a person could file acomplaint in the Supreme Court against members of the Board when he isdissatisfied with the decision of the Disciplinary Counsel or the PreliminaryReviewCommitteeoradecisionbytheBoardonthemeritswhenapetitiontodisciplinehasbeenfiled.InreConnolly,510A.2d484(Del.1986).

Where an attorney asserted that the Board on Professional Responsibility’sextensive questioning of witnesses exceeded the proper scope of permissivequestioninganddeprivedtheattorneyoftheattorney’srighttoafulladversaryhearing, therewas no legal support for the attorney’s position, as disciplinaryproceedingsweresuigeneris,underDel.Law.R.Disc.P.15(a),andwereonlygovernedbytheDelawareSuperiorCourtRulesofCivilProceduretotheextentpracticable,underDel.Law.R.Disc.P.15(b);itwastheBoard’sresponsibilitytotestthestipulationofthepartiesandtosatisfyitselfthattherecordsupportedthestipulation.InreBailey,821A.2d851(Del.2003).

AllegationsofprofessionalmisconductsetforthinapetitionbytheDelawareOffice of Disciplinary Counsel must be established by clear and convincingevidence.InreSchaeffer,45A.3d149(Del.2012).







Rule16.Interimsuspension.

(a)Transmittalofevidence.Uponreceiptofsufficientevidencedemonstratingthat a lawyer subject to the disciplinary jurisdiction of theCourt (i) has beenchargedwithorconvictedofafelony,(ii)hasbeenchargedwithorconvictedofother criminal conductwhich demonstrates that the lawyer poses a significantthreatofsubstantialharmtothepublicortotheorderlyadministrationofjustice,or (iii) has otherwise engaged in professionalmisconductwhich demonstratesthatthelawyerposesasignificantthreatofsubstantialharmtothepublicortotheorderlyadministrationofjustice,theODCshalltransmitsuchevidencetotheCourt togetherwith a petition and proposed order for the lawyer’s immediateinterim suspension pending the disposition of disciplinary proceedings asotherwisedescribedintheseRules.TheODCshallalsotakeallappropriatestepstoprocessthematter throughthedisciplinarysystemasotherwisedescribedinthese Rules. The ODC’s filing of a petition for interim suspension, and allsubsequent proceedings, shall be confidential unless otherwise ordered by theCourt.

(b)Certificate of conviction conclusive. A certified copy of a judgment ofconviction of an attorney for any crime shall be prima facie evidence of thecommission of that crime in any disciplinary proceeding instituted against theattorneybasedupontheconviction.

(c)Petitionforinterimsuspension.TheODC’spetitionforinterimsuspensionshallsetforthaplainandconcisestatementofthegrounds,shallbeverifiedbythe member of the ODC signing the petition, or otherwise supported by anaffidavit,andshallbefiledwiththeCourtandservedupontherespondent.

(d)HearingbeforetheCourt.TheCourtshallpromptlyscheduleahearingonthepetitionforinterimsuspension,withnoticetotheODCandtherespondent.Thenoticeofhearingshallstatethattherespondentisentitledtoberepresentedby a lawyer at the respondent’s expense, to cross-examine witnesses, and topresentevidence.Attherequestoftherespondent, theClerkoftheCourtshallcompel by subpoena for any suchhearing the attendanceofwitnesses and theproductionofpertinent records,books,papers, anddocuments.TheODCmayexerciseitssubpoenapowersasotherwisedescribedintheseRulesforpurposesoftheproceedingsdescribedinthisRule.

(e)Standardandburdenofproof.Thestandardofproofinproceedingsunder

this Rule shall be that the misconduct or charges are supported by clear andconvincingevidence.TheburdenofproofinsuchproceedingsshallbeupontheODC.

(f)Dispositionby theCourt.Following thehearing, theCourtmayenter anorder suspending the respondent from the practice of law on an interim basispending the disposition of disciplinary proceedings as otherwise described inthese Rules, or may enter such orders as it deems necessary to protect theinterestsofthepublicandtheorderlyadministrationofjustice,includingbutnotlimited to orders restricting the respondent’s right to practice pending theultimatedispositionofdisciplinaryproceedings.

(g)Publicity.IftheCourtissuesanorderthatsuspendsorotherwiserestrictstherespondent’sauthoritytopracticelaw,suchordershallbepublic,andshallbedisseminatedasotherwisedescribedintheseRules,unlessotherwiseorderedbytheCourt.If theCourt issuesanorderwhichdismissesthepetition,suchordershallremainconfidentialunlessotherwiseorderedbytheCourt.

(h)Appointment of receiver. In the event that the Supreme Court enters anordersuspendingtherespondentfromthepracticeoflawonaninterimbasis,theSupreme Court may direct that proceedings be instituted by the ODC for theappointment of a receiver of the respondent’s law practice by the Court ofChancerypursuanttoRule24.

(i)Cooperationandcompliancebyrespondent.AnylawyersuspendedunderthisRuleshallcomplywiththenoticeandotherrequirementsforsuspensionssetforth in these Rules, and with any other conditions set forth in the Court’sdispositionofthematter.AlawyernotsuspendedbytheCourtunderthisRulebut whose law practice or conduct is restricted by the Court shall take allappropriatestepstocomplyfullywiththeCourt’sorders.

(j)Reinstatement upon dismissal of charges or reversal of conviction. If alawyersuspendedonaninterimbasisundertheseRuleslaterdemonstratestotheCourtthatthecriminalchargeshavebeendismissedortheunderlyingconvictionhasbeenreversedorvacated,theorderforinterimsuspensionmaybevacatedbytheCourtuponmotion,andthelawyerreinstatedtopractice.Thevacatingoftheinterim suspension shall not automatically terminate any other disciplinaryproceedingscurrentlypendinginvolvingthelawyerwiththeODC,thePRC,orthe Board, the disposition of which shall be determined on the basis of theavailableevidence.

(k)Duty toreport.Any lawyer subject to thedisciplinary jurisdictionof the

Courtwhoischargedwithorconvictedofafelony,whetherwithinoroutsideofthisState,shallwithin10daysofsuchchargeorconvictionreportthemattertotheODC.

COMMITTEECOMMENT

Rule16hasbeensubstantiallyrevisedandclarified,althoughtheproceduresdescribedthereinaresimilartotheproceduresfoundintheformerrulesrelatingtotheseprocedures.Interimsuspensionproceedingsaregenerallyinitiatedasaresult of evidence of very serious misconduct, which includes being chargedwith criminal conduct. The types of conduct justifying the utilization of theproceduresinthisruleareprimarilyfeloniouscriminalconduct,criminalactivitycontaining an element of moral turpitude, or criminal conduct involvinginterference with the administration of justice, dishonesty, bribery, extortion,misappropriation,conspiracy,or the like. Inaddition, theRulemaybeutilizedfor non-criminal conduct that is serious enough to pose a significant threat ofsubstantial harm to the public or to the orderly administration of justice.Rule16(k)clarifiesalawyer’sdutytoreportchargesoffeloniouscriminalactivitytotheDelawaredisciplinaryauthority.


Rule17.Conditionaladmissionsanddisciplinebyconsent.

(a)Conditionaladmissionandproposedsanction.A lawyeragainstwhomapetition for discipline has been filed may offer to the Board a conditionaladmissionto thepetitionor toaparticularcountorcounts thereof inexchangeforaspecificdisciplinarysanction,providedthat theODCagrees inwritingtotheconditionaladmissionandproposeddisciplinarysanction.

(b)Affidavitofconsent.AconditionaladmissionofferedtotheBoardshallbeaccompaniedbytherespondent’sproposedaffidavitsettingforththefollowing:

(1)Adescriptionofthespecificfactualallegationsandtheparticularcountorcountsofthepetitionfordisciplinewhicharebeingconditionallyadmitted,and

(2)Astatementthattherespondentdesirestoconsenttotheimpositionoftheproposed sanction, that suchconsent is freelyandvoluntarilygivenand isnotthesubjectofcoercionorduress,and that the respondent is fullyawareof theimplicationsofsubmittingsuchconsent.

(c)ConsiderationbytheBoard.UpontheoffertotheBoardofaconditionaladmissionasdescribedherein, theBoard shallholdahearingon thematter todeterminetherespondent’sreasonsfor theprofferedconditionaladmissionandthe agreement by the ODC. If the Board is satisfied that the conditionaladmission and the proposed sanction are appropriate, the Board shall issue areportwithrecommendationstotheCourtasdescribedinRule9(d).IftheBoardis not satisfiedwith either the conditional admissionor theproposed sanction,the Board shall inform the ODC and the respondent of its determination andreasons.

(d) Rights of respondent. If the Board rejects a proposed conditionaladmission,orifaftertheBoardapprovesaproposedconditionaladmission,itisrejectedbytheCourtuponreviewunderRule9(e),theadmissionsmadeinthepriorproceedingsshallnotbeusedagainsttherespondentinthependingoranysubsequentlyfiledproceedings.

(e)Disbarment by consent.Where the respondent has admitted engaging inmisconduct that is seriousenough towarrantdisbarmentasa finaldisposition,the respondent and the ODC may submit at any stage of the disciplinaryproceedings described in these Rules a written stipulation of disbarment byconsent directly to the Court requesting that the Court enter an order of

disbarment as soon as possible. Any such stipulation shall contain a detaileddescriptionof themisconduct inwhich the respondent admittedly engaged, ananalysis of legal precedent for the imposition of such a sanction, a signedaffidavitofconsentfromtherespondentintheformdescribedinsubsection(b)of thisRule,andanyothersupplementarymaterialswhichmaybeappropriatefortheCourttoconsider.TheCourtmaythereuponenteranorderofdisbarmentasitdeemsappropriate,ormayremandthematterinitsdiscretiontotheODCortheBoardforfurtherproceedingsundertheseRules.

COMMITTEECOMMENT

ThisRulehasbeenrevisedinordertoprovidegreaterclaritywithrespecttothe options available using the conditional admissions procedure, which isutilizedinasignificantnumberofdisciplinarycases.Rule17(e) isnew,andisintendedtoprovideasummaryprocedureinthoserarecaseswherearespondentwho has engaged in very serious misconduct desires an expedited resolutionthroughdisbarment.


Rule18.Reciprocaldisciplineandreciprocaldisabilityinactivestatus.

(a)Duty of disciplinary counsel to obtain order of discipline or disabilityinactivestatusfromotherjurisdiction.Uponbeingdisciplinedor transferredtodisabilityinactivestatusinanotherjurisdiction,alawyeradmittedtopracticeinDelaware shall promptly inform ODC of the discipline or transfer. Uponnotification from any source that a lawyer within the Court’s jurisdiction hasbeendisciplinedortransferredtodisabilityinactivestatusinanotherjurisdiction,ODCshallobtainacertifiedcopyof thedisciplinaryorderand file itwith theBoardandwiththeCourt.

(b)Notice served upon respondent. Upon receipt of a certified copy of anorder demonstrating that a lawyer admitted to practice in Delaware has beendisciplinedortransferredtodisabilityinactivestatusinanotherjurisdiction,theChairorViceChairof theBoard shall forthwith issueanoticedirected to thelawyerortocounselcontaining:

(1)acopyoftheorderfromtheotherjurisdiction;and

(2) an order directing that the lawyer or lawyer’s counsel inform theBoardand theCourt,within 30days from service of the notice, of any claimby thelawyerorlawyer’[s]counselpredicateduponthegroundssetforthinparagraph(d),thattheimpositionoftheidenticaldisciplineordisabilityinactivestatusinthisStatewouldbeunwarrantedandthereasonstherefor.

(c)Effectofstayofdisciplineortransferinotherjurisdiction.Intheeventthedisciplineimposedortransferintheotherjurisdictionhasbeenstayedthere,anyreciprocaldisciplineimposedortransferinthisStatemaybedeferreduntil thestayexpires.

(d)Disciplinetobeimposedortransfertodisabilityinactivestatus.Upontheexpirationof30daysfromtheserviceofthenoticepursuanttotheprovisionsofparagraph(b), theBoardshallrecommendto theCourt that itshall imposetheidentical discipline or disability inactive status unless counsel or the lawyerdemonstrates,or theCourt finds thatupon the faceof the recordonwhich thedisciplineispredicateditclearlyappearsthat:

(1) the procedurewas so lacking in notice or opportunity to be heard as toconstituteadeprivationofdueprocess;

(2) therewas such infirmityofproof establishing themisconduct as togive

rise to the clear conviction that the Court could not, consistent with its duty,acceptasfinaltheconclusiononthatsubject;

(3) the impositionof thesamedisciplineby theCourtwould result ingraveinjustice;or

(4)themisconductestablishedwarrantssubstantiallydifferentdisciplineornodisciplineinthisState;or

(5) the reason for theoriginal transfer todisability inactive statusno longerexists.

IftheCourtdeterminesthatanyofthoseelementsexists,theCourtshallentersuchotherorderasitdeemsappropriate.

(e)Conclusivenessofadjudicationinotherjurisdiction.Inallotheraspects,afinal adjudication in another jurisdiction that a lawyer has been guilty ofmisconduct shall establish conclusively the misconduct for purposes of adisciplinaryproceeding in thisState. (Amended,Dec.23,2003; effectiveMay14,2008.)

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerrule.

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NOTESTODECISIONS

Analysis

Sanctions.

—Disbarment.

—Suspension.

Sanctions.

—Disbarment.

WhereanattorneywasdisbarredinNewHampshirefornumerousviolationsof theNewHampshire Rules of Professional Conduct, received proper noticeunderthisruleandanopportunitytorespondregardingwhyreciprocaldisciplineshouldnotbeimposedinDelaware,andfailedtoobjecttoadisciplinaryreportwhich recommended reciprocal discipline in Delaware, the Supreme Court of

DelawareagreedwiththedisbarmentrecommendationoftheDelawareBoardonProfessionalResponsibilityanddisbarred theattorneyfromthepracticeof lawinDelaware.InreParks,813A.2d1141(Del.2002).

—Suspension.

Pursuant to Law. Disc. P. R. 18(d), identical and reciprocal discipline wasimposed on an attorney indefinitely suspended in Maryland for failure tocommunicatewithaclientandformattersinvolvingtheattorney’sdisbursementof settlement proceeds; however, because the suspension in Maryland hadexpired, theattorneywas immediatelyreinstatedasamemberof theDelawareBar.InreStrott,2013Del.LEXIS150(Del.Mar.25,2013).


http://advance.lexis.com/api/document/citation/2013%20Del.%20LEXIS%20150


Rule19.Disabilityproceedings inwhicha lawyer isallegedordeclaredtobeincompetentorincapacitated.

(a)Involuntarycommitmentoradjudicationofincompetency.Ifalawyerhasbeen judicially declared incompetent or is involuntarily committed on thegroundsofincompetencyordisability,theCourt,uponproperproofofthefact,may enter an order immediately transferring the lawyer to disability inactivestatus for an indefinite period until further order of the Court. A copy of theordershallbeserveduponthelawyer,thelawyer’sguardian,and/orthedirectorof the institution to which the lawyer has been committed in the manner theCourtmaydirect.

(b) Inability toproperlydefend. If a respondent contends in the course of adisciplinaryproceedingthattherespondentisunabletoassistintherespondent’sdefenseduetomentalorphysical incapacity, theCourtshall,uponapplication,promptly transfer the lawyer todisability inactivestatuspendingdeterminationoftheincapacity.

If the Court determines the claim of inability to defend is valid, thedisciplinaryproceedingshallbestayedandtherespondentretainedondisabilityinactive status until theCourt subsequently considers a petition for transfer oftherespondenttoactivestatusfiledbytherespondentortheODC.IftheCourtdetermines that this petition for transfer shall be granted, theCourt shall alsodeterminethedispositionoftheinterrupteddisciplinaryproceedings.

If theCourt determines the claim of incapacity to defend to be invalid, thedisciplinary proceeding shall resume and the respondent shall promptly beplacedoninterimsuspensionpendingfinaldispositionofthematter,unlesstherespondentcandemonstratetotheCourtbyclearandconvincingevidencethatinterimsuspensionisnotappropriate.

(c)Proceedings to determine incapacity. Information relating to a lawyer’sphysical or mental condition which adversely affects the lawyer’s ability topracticelawshallbeinvestigatedbytheODC.Iftherearereasonablegroundstobelieve the interests of respondent’s clients or thepublic are endangered, suchinformationshallbethesubjectofformalproceedingstodeterminewhethertherespondentshallbetransferredtodisabilityinactivestatus.Theproceduresandhearingsshallbeconductedinthesamemannerasdisciplinaryproceedings.TheBoard may take or direct whatever action it deems necessary or proper to

determinewhethertherespondentissoincapacitated,includingtheexaminationof the respondentbyqualifiedmedical experts at the respondent’s expense. If,afterreviewingtherecommendationoftheBoardandupondueconsiderationofthe matter, the Court concludes that the respondent is incapacitated fromcontinuingtopractice law, itshallenteranorder transferringtherespondent todisability inactive status for an indefinite period and until further order of theCourt. Any pending disciplinary proceedings against the respondent shall beheldinabeyance.

TheBoardshallprovide forsuchnotice to the respondentofproceedings inthematterasitdeemsproperandadvisable.Iftherespondentisnotrepresentedbycounsel,theCourtshallappointcounselfortherespondent.

(d) Public notice of transfer to disability inactive status. The ODC maypublicizeanytransfertodisabilityinactivestatusinthesamemannerasforthefinalimpositionofpublicdiscipline.

(e)Reinstatementfromdisabilityinactivestatus.NorespondenttransferredtodisabilityinactivestatusmayresumeactivestatusexceptbyorderoftheCourt.Any respondent transferred to disability inactive status shall be entitled topetitiontheCourtfortransfertoactivestatusonceayear,oratwhatevershorterintervals the Court may direct in the order transferring the respondent todisability inactive status or any modification thereof. The petition may begrantedbytheCourtuponashowingbyclearandconvincingevidencethatthedisabilityhasbeenremoved.

Uponthefilingofapetitionfortransfertoactivestatus,theCourtmaytakeordirectwhateveraction itdeemsnecessaryorproper, includinga remand to theBoardforhearingandrecommendation,todeterminewhetherthedisabilityhasbeen removed, and may order an examination of the respondent by qualifiedmedicalexperts. In itsdiscretion, theCourtmaydirect that theexpenseof theexaminationbepaidbytherespondent.

TheCourtmayalsodirectthattherespondentestablishproofofcompetenceandlearninginlaw,whichproofmayincludecertificationbytheBoardofBarExaminers of the respondent’s successful completion of an examination foradmissiontopractice.

If a respondent transferred to disability inactive status on the basis of ajudicial determination of incompetence has been judicially declared to becompetent,theCourtmaydispensewithfurtherevidencethatthedisabilityhasbeen removed andmay immediately direct reinstatement to active status upon

termsasaredeemedproperandadvisable.

(f)Waiverofdoctor-patientprivilege.Thefilingofapetitionforreinstatementtoactivestatusbyarespondent transferredtodisability inactivestatusshallbedeemedtoconstituteawaiverofanydoctor-patientprivilegewithrespecttoanytreatmentoftherespondentduringtheperiodofdisability.Therespondentshalldisclosethenameofeachpsychiatrist,psychologist,physician,hospitalorotherinstitution bywhomor inwhich the respondent has been examined or treatedsincetransfertodisabilityinactivestatus.TherespondentshallfurnishtheCourtwithwrittenconsentsforeachdoctortodivulgeinformationandrecordsrelatingtothedisabilityifrequestedbytheCourtorCourt-appointedexperts.

(g) Mental incompetency as a defense to misconduct. (1) Mentalincompetency is a complete defense to conduct of a lawyer which wouldotherwisewarrantdisciplinaryactionif:

A.suchconductwastheresultorconsequenceofmentalincompetency;and

B.thementalincompetencywhichwasresponsibleforsuchconducthasbeencuredsocompletely that there isnoreasonablebasis tobelieve therewillbearecurrence of the condition. The burden of proof of this defense is upon therespondent.

(2) If the respondent is able to sustain the burden of proof as to mentalincompetencyatthetimeoftheconductthatisthebasisofthecomplaint,butisunable toprove recovery to theextent indicated insubsection (1)of thisRule,and theBoard has reason to believe that such recovery is possible, theBoardshall recommend to theCourt that respondentbe suspendeduntil such timeasthe respondent can prove recovery; otherwise the Board shall recommendtransfertodisabilityinactivestatus.

(3)Anyrespondentdefendingonthegroundsofmentalincompetencyshallbesuspendedimmediatelyonaninterimbasisuntilandunlesstherespondentshallsustaintheburdenofproofthattherespondenthasbeencuredsocompletelythatthereisnoreasonablebasistobelievetherewillbearecurrenceofthecondition.

COMMITTEECOMMENT

ThisRule is substantially equivalent to the former rule relating todisabilityproceedings, with some minor revisions for the purpose of clarification andconsistency.

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NOTESTODECISIONS

Analysis

Defensestomisconduct.

Disabilityproceedings.

Evidence.

Reinstatement.

Defensestomisconduct.

In a proper case, theBoardmay consider an attorney’smental condition indeterminingwhethertoimposedisbarment.InreSullivan,530A.2d1115(Del.1987).

Psychiatric problems of attorney were not such as to support a defense ofmentalincompetence.InreRich,559A.2d1251(Del.1989).

If attorney wished to present allergies and overmedication as a completedefense rather than as amitigating factor,mental incapacitywouldhave to beshownasrequiredunderthisRule.InreMcCann,669A.2d49(Del.1995).

Disabilityproceedings.

Where respondent attorney posed a substantial threat of irreparable harm toclients and to the orderly administration of justice, attorney was assigned todisabilityinactivestatuspursuanttosubsection(c)ofthisrule;proceedingsonapetition for interimsuspensionweredeferred. In reAmalfitano, 788A.2d 527(Del.2001).

Evidence.

Pattern of seriousmisconduct does not evidence an inability to function ascontemplatedbythisRuleanddoesnotmeetthenecessaryburdenofproofforamentalincompetencydefensetosuchmisconductundersubsection(g).(g).InreSullivan,530A.2d1115(Del.1987).

Thefact thatattorneycontinued to: (1)visithisofficeeveryday;(2)handlelegal matters, including other trials, for other clients; and (3) respond tocorrespondence and telephone communications negated any inference that hewasincapacitated.InreMcCann,669A.2d49(Del.1995).

Reinstatement.







StateSupremeCourtapprovedtheProfessionalResponsibilityBoard’sreportandrecommendedsanctionas theattorneyadmittedviolationsofLawR.Prof.Conduct8.4(b),andthe18-monthsuspensionwasproperlymaderetroactivetothe date that the State Supreme Court entered its order that the disciplinaryproceedings be held in abeyance because the attorney had been transferred todisability inactive status and was later granted transfer to active status afterrehabilitation.InreAmalfitano,931A.2d1006(Del.2007).



Rule20.Probation.

(a)Impositionofprobation.ProbationmaybeimposedbyorderoftheCourtinanydisciplinarymatterwherethereisnoreasonablebasistoconcludethattherespondentwillharm thepublicor theorderlyadministrationof justiceduringtheperiodoftheprobation,wheretheconditionsofprobationcanbeadequatelysupervised or monitored, and where the imposition of such a sanction isotherwise appropriate. Probation and any conditions attached thereto shallcontinue for any period of time deemed appropriate by the Court. Whenconditionsareimposed,probationshallnotterminateuntil;

(1)theexpirationoftheperiodestablished;

(2)thefilingwiththeCourtofanaffidavitbytherespondentaverringthattherespondenthascompliedwiththeconditionsofprobation;and

(3)anorderoftheCourtthattheprobationhasterminated.

(b) Publicity. If probation is imposed along with a private sanction, theprobation itself and the terms thereof shall be confidential. If probation isimposedalongwithapublicsanction,theprobationitselfandthetermsthereofshallbepublic.Ifprobationisimposedalone,theCourtshalldirectwhethertheexistenceandtermsthereofshallbeconfidentialorpublic.

COMMITTEECOMMENT

This Rule has been changed to enable the Court to impose a probationaryperiod of whatever length is appropriate under the circumstances. Thepublicationrequirementshavebeenclarified.


Rule21.Ordersandpost-orderprocedures.

Unlessotherwiseordered,ordersimposingdisciplineortransferstodisabilityinactivestatusareeffectiveimmediately.Therespondentshallrefundanypartofanyfeespaidinadvancewhichhavenotbeenearned.Intheeventtheclientdoesnot obtain another lawyer before the effective date of a disbarment orsuspension, it shall be the responsibility of the respondent tomove the court,agency, or tribunal inwhich the proceeding is pending for leave towithdraw.Therespondentshallinthateventfilewiththecourt,agency,ortribunalbeforewhich the litigation is pending a copy of the notice pursuant to Rule 23 toopposingcounseloradverseparties.

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerruledealingwithordersandpost-order procedures, and contains only slight revisions intended forclarification.


Rule22.Reinstatementproceedings.

(a)Proofofrehabilitation.Reinstatementfollowingsuspensionfrompractice,except forsuspensionsof6monthsor lessshall requireproofof rehabilitationbeforetheBoardandafinalorderofreinstatementbytheCourt.

(b)Reinstatementafter suspensionof6monthsor less.A lawyer suspendedfor less than 6 months may resume practice at the end of the period ofsuspensionbyfilingwiththeCourtandservinguponODCanaffidavitaffirmingthatthelawyerhasfullycompliedwiththerequirementsofthesuspensionorder,andpayinganyrequiredcosts.

(c)Reinstatementafterdisbarment.Alawyerwhohasbeendisbarredmaynotapply for reinstatement until the expiration of at least five years from theeffectivedateofthedisbarment.

(d)Successivepetitions.Nopetitionforreinstatementshallbefiledwithinone(1)yearfollowinganadversejudgmentuponapriorpetitionforreinstatement.

(e) Notice to ODC and deposit for costs. Prior to filing a petition forreinstatement, a suspended or disbarred lawyer except for lawyers suspendedpursuanttoRule16orsuspendedonanon-reciprocalbasispursuanttoRule17,shall send a written notification to the ODC of the intent to petition forreinstatement.Thelawyershallthereuponcomplywithanyproceduresdeemedappropriate by the ODC for the purpose of gathering information forpresentation to the Board, including the submission of any information orwaivers requested by the ODC, and the advance payment to the ODC of adeposit for the anticipated costs of the reinstatement proceeding. The ODC’sgatheringofinformationastothelawyer’sproposedcandidacyforreinstatementmay include physical or psychological examinations of the lawyer at thelawyer’sexpense.

(f)Petition to Board. All petitions for reinstatement shall be filed with theAdministrative Assistant and served upon the ODC. The petition and allsubsequentproceedingsshallbepublic.Thepetitionshallset forthaplainandconcise statement of the grounds therefor. The ODC may publicly solicitcomments or other information on the petition from members of the legalcommunityorthegeneralpublicbyanymeanstheODCdeemsappropriate.TheODCmayfileananswertothepetitionwiththeBoardwithin30daysofservice.TheODCmaysupport,objectto,ortakenopositionwithrespecttothepetition.

(g)HearingbeforeBoard.AfterthetimeexpiresduringwhichtheODCmayfileananswertothepetitionforreinstatement,theAdministrativeAssistantshallschedule a hearing on the petition before the Board within 30 days. Thepetitioner shall have the burden of demonstrating, by clear and convincingevidence:

(1) the petitioner’s professional rehabilitation, including substantialrehabilitation fromanydrugoralcoholproblemfromwhich thepetitionerhadsuffered;

(2) the petitioner’s compliance with all applicable disciplinary orders andotherrules,includingconditionsofrestitution;

(3)thepetitioner’sfitnesstopractice;

(4) the petitioner’s overall competence and current awareness of recentdevelopmentsinthelaw;

(5)thatthepetitionerhasnotengagedinanyotherprofessionalmisconductinanyjurisdictionsincesuspensionordisbarment;

(6) that thepetitioner sincerely recognizes thewrongfulnessandseriousnessofanymisconductuponwhichthesuspensionordisbarmentwaspredicated;

(7) that the petitioner has the requisite honesty andprofessional integrity toresumethepracticeoflaw;and

(8) that the petitioner’s resumption of the practice of law will not bedetrimentaltotheadministrationofjustice.

TheODCmayinitsdiscretionpresentevidenceinsupportoforadversetothepetition, and upon the presentation of all evidence, the ODC may make arecommendation to theBoard or take no positionwith respect to the petition.TheBoardshallconductthehearingasotherwiseprovidedintheseRuleswithrespect to ordinary disciplinary proceedings. The Board shall file a reportcontainingitsfindingsandrecommendationswiththeCourtasprovidedinRule9(d)(5)hereof,within60daysoftheconclusionofitsproceedings,withserviceuponthepetitionerandtheODC.

(h)Review byCourt. The petitioner or theODCmay file objections to theBoard’sreportwithin20daysfromthedateofservice.IfobjectionsarefiledtotheBoard’sreport,theCourtmayschedulethematterforbriefingandargumentasappropriate.Ifnoobjectionsarefiled,theCourtmayrequestargumentonthematterpriortoenteringafinalorder.IftheCourtfindsthatthepetitionerhasnot

shown good reasons for reinstatement, whether or not reinstatement has beenrecommendedbytheBoard,theCourtmaydismissthematterorremandittotheBoard for further proceedings as appropriate. If the Court finds that thepetitioner has shown good reasons for reinstatement, the Court may enter anappropriateorderreinstatingthepetitioner.TheCourtmayattachanyconditionsitdeemsappropriatetosuchareinstatementorder,includingbutnotlimitedto,restitutiontoformerclientsorthirdparties,thesuccessfulcompletionofthebarexamination administered by the Board of Bar Examiners, or a period ofprobation with such terms and conditions as the Court deems appropriate.(Amended,effectiveMay7,2002.)

COMMITTEECOMMENT

ThisRulecontainssomesubstantivechangesfromtheformerrulerelatingtoreinstatementproceedingsaftersuspensionordisbarment.Rule23(b) increasesthe time for possible reinstatement after disbarment to 10 years, partially inresponsetothenegativepublicperceptionoftheformerrequirementof5years.TheRulealsoclarifiestoagreaterextenttheroleoftheODCinreinstatementproceedings, and permits the ODC to file an answer to a petition forreinstatement. In addition, the list of requirements which a petitioner mustsatisfyforreinstatementhasbeenmademorecomprehensive,inordertoaddresstheconsiderationsoftheBoardandtheCourt invariousreinstatementcasesinthepasttwodecades.

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NOTESTODECISIONS

Analysis

Reinstatementrequirements.

—Malpracticeinsurancecoverage.

—Minimumsentence.

—Rehabilitation.

—Restitution.

Reinstatementrequirements.

—Malpracticeinsurancecoverage.

Since the point of attorney discipline was to protect the public, it wasappropriate to imposeaconditiononanattorney’s reinstatement thatheobtainadequatemalpracticecoverage; thecourtalsorequired theattorneytoformallyre-affirm responsibility for a debt to a former client that had previously beendischargedinbankruptcy.InreSullivan,801A.2d933(Del.2002).

Wherealawyerhadahistoryofmalpractice,itwouldhavebeenabreachofapublic duty to reinstate the lawyer without adequate malpractice insurance;therefore, the lawyer’s petition tomodify the conditions of reinstatement wasdenied.InreSullivan,846A.2d239(Del.2003).

—Minimumsentence.

Attorney’s failure to file taxes ina timelymanner foraperiodofyears,andthe attorney’s false response on that issue on the annual attorney registrationstatement,warrantedasuspensionof6monthsand1dayinorder toavoidtheautomaticreinstatementofalessersuspensionperiod.InreBria,86A.3d1118(Del.2014).

—Rehabilitation.

Themerepassageoftimeduringwhichapartyseekingreinstatementleadsagood life free of criminal conduct and ethical misdeeds is not proof ofprofessional rehabilitation or of current professional competence. In re Reed,584A.2d1207(Del.1990).

The Board’s conclusions as to a lack of adequate proof of professionalrehabilitationandastolackofevidenceofcurrentprofessionalcompetenceweresupportedbysubstantialevidence.InreReed,584A.2d1207(Del.1990).

Attorneydemonstratedrehabilitationundersubsection(a)ofthisruleaftera6monthsuspension,havingrecognizedthewrongfulnessandseriousnessofpriormisconduct,bydemonstratinghonestyandprofessionalintegrity.InreGuy,788A.2d516(Del.2002).

Petition for reinstatement to the Delaware Bar was dismissed becausepetitioner had not demonstrated by clear and convincing evidence: (1)professional rehabilitation; (2) fitness to practice law; (3) failure to engage inany other professional misconduct; and (4) that readmission would not bedetrimental to theadministrationof justice. In rePoliquin,86A.3d1119 (Del.2014).

Attorneywhowaspreviouslysuspendedfor21monthswasreinstatedbecausethe attorney completed a residential treatment program, actively engaged in








extensive professional and peer counseling for a long period of time, madeimportant behavioral and lifestyle changes, complied with all recommendedtreatment and counseling, had been sober for more than 2 years and (whileworkingasalawclerk)remainedawareofrecentdevelopmentsinthelaw.InreCairns,169A.3d857(Del.2017).

AttorneywasreinstatedasamemberoftheDelawareBarsubjecttoaperiodofprobationbecause: (1) theattorneymet theburdenofproving the fitness topractice law; (2) theattorney’spsychiatrist reported that theattorneyhadbeencompliant with treatment and fully supported the attorney’s reinstatement; (3)theattorneyhadcompliedwithalldisciplinaryandotherorders;(4)theattorneyhadnooutstandingclaimsforrestitution;(5)therewasnoevidenceofanyprioror subsequent allegations or findings of any violations of any orders or othermisconduct inany jurisdiction; (6) theattorneyexpressed remorse;and (7) theattorney’s resumption of the practice of law would not be detrimental to theadministrationofjustice.Inre:Nowak,168A.3d674(Del.2017).

—Restitution.

Fullrestitution isnotnecessarilyaprerequisite toreinstatement. In reClark,607A.2d1230(Del.1992).





Rule23.Noticetoclients,adverseparties,andothers.

(a)Recipientsofnotice; contents.Unless otherwise ordered,within 10 daysafter the date of a court order imposing a disciplinary sanction or transfer todisabilityinactivestatus,arespondentdisbarred,transferredtodisabilityinactivestatus,placedon interimsuspensionorsuspendedfrompracticeshallnotifyorcausetobenotifiedbyregisteredorcertifiedmail,returnreceiptrequested:

(1)Allclientsbeingrepresentedinpendingmatters;

(2)Anyco-counselinpendingmatters;

(3) Any opposing attorney in pending matters, or in the absence of suchattorney, the adverse parties.Thenotice shall advise of the order of theCourtand that the lawyer is thereforedisqualified toactas lawyerafter theeffectivedateoftheorder.Thenoticetobegiventotheopposingattorneysortheadversepartyshallstatetheplaceofresidenceoftheclientoftherespondent;

(4)All persons or their agents or guardians towhom a fiduciary duty is ormaybeowedatanytimeafterdisciplineortransfertodisabilityinactivestatus;and

(5)Allotherpersonswithwhomthe formerlyadmittedattorneymayatanytimeexpect tohaveprofessionalcontactsundercircumstanceswhere there isareasonable probability that they may infer that respondent continues as anattorneyingoodstanding.

(b)Affidavitofcompliance. Immediately thereafter, the respondent shall fileanaffidavitwiththisCourtindicatingcompliancewithsubsection(a).

(c) Special notice. The Court may direct the issuance of notice to suchfinancial institutions or others asmay be necessary to protect the interests ofclientsorothermembersofthepublic.

(d) Return of client’s property. Unless otherwise ordered, any respondentdescribed in paragraph (a) of this Rule shall deliver to all clients beingrepresented inpendingmatters anypapersorotherproperty towhich they areentitled and shall notify themand any counsel representing themof a suitabletime and placewhere the papers and other propertymay be obtained, callingattention toanyurgencyforobtaining thepapersorotherproperty. (Amended,June5,2001.)

COMMITTEECOMMENT

This Rule is substantially equivalent to the former rule, with some minorconformingrevisions.


Rule24.Lawpracticereceivers.

(a)Appointmentofreceiveroflawpractice.Ifalawyerhasbeentransferredtodisability inactivestatus,hasdied,hasabandonedthelawyer’s lawpractice,orhasbeensuspendedordisbarredundertheseRules,andthereisevidencethatthelawyerhasnotcompliedwithRules21and23,andnopartner,executor,orotherresponsibleparty capableof conducting the lawyer’s affairs isknown to exist,the Court of Chancery, upon proper application by the ODC, shall appoint areceiver of the lawyer’s law practice with such powers and authority as areappropriateandnecessary.

(b)Maintenance of client confidences. Any receiver appointed under theseRules shallmaintain theconfidentialityof informationcontained inclient filesthathavebeenentrustedtothereceiver.(Amended,June5,2001.)

COMMITTEECOMMENT

This Rule is substantially equivalent to the former rule relating to theappointment of receivers of law practices, with some minor revisions for thepurposeofclarificationandconsistency.


Rule25.Noticeofcomplainant.

TheODCshallnotifyinwritingthecomplainant(s),astothefinaldispositionof each disciplinary matter promptly after the matter has been concluded,notwithstandingprovisionselsewhere in theseRules relating toconfidentiality.Suchnoticeshallspecifywhetherthematterhasbeendismissed,withorwithoutconditions,orwhetherthematterhasresultedintheimpositionofadisciplinarysanction, and if so, a description of the sanction imposed and themisconductuponwhichthesanctionwaspredicated.UnlessthesanctionimposedispublicasprovidedpursuanttotheseRules,thecomplainant(s)shallbenotifiedthatallrecordsandproceedingsshallbeprivateandconfidentialandshallnotbesubjectto production in any later proceedings before any tribunal except futuredisciplinaryproceedingsinvolvingtherespondentbeforethePRC,theBoard,ortheCourtwheresuchpriorproceedingsmayberelevant.

COMMITTEECOMMENT

ThisRulehasbeenmademorespecificforthepurposesofclarification.


Rule26.Nolimitationsperiod.

ThereshallbenostatuteoflimitationswithrespecttoanyproceedingsundertheseRules.

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerRule.


Rule27.Paymentofcosts.

Unless otherwise ordered by the Court, costs of all proceedings conductedundertheseRulesshallbeassessedagainst therespondent inanycasewhereadisciplinarysanctionisimposedorwherethereisatransfertodisabilityinactivestatus.

COMMITTEECOMMENT

ThisRuleissubstantiallyequivalenttotheformerRule.

« II. »,« Rule28. •Del.Law.R.ofDisciplinaryProc.28

Rule28.Effectivedate.

TheseRulesshallbecomeeffectiveonMarch9,2000,andanydisciplinaryordisabilityproceedingpendingon thatdateshallbeprocessedpursuant to theseRulesfromthatpointonunlessotherwisedirectedbytheCourt.

OFFICIALFORMSFORBOARDONPROFESSIONALRESPONSIBILITY

For court forms associated with this rule set, see:http://courts.delaware.gov/forms/.

INDEXTODELAWARELAWYERS’RULESOFDISCIPLINARYPROCEDURE

__________

A

ADMISSIONS,DiscProcRule17.

ADMONITION.Certificationofacceptance,DiscProcRule9.Typesofsanctions,DiscProcRule8.Violation.Groundsfordiscipline,DiscProcRule7.

APPOINTMENTOFCOUNSEL.Boardonprofessionalresponsibility,DiscProcRule2.

AUTHORITYOFCOURT,DiscProcRule1.

B

BOARDONPROFESSIONALRESPONSIBILITY,DiscProcRule2.Immunity,DiscProcRule10.

BURDENOFPROOF,DiscProcRule15.Interimsuspension,DiscProcRule16.

C

CIVILPROCEDURERULES.Governingofprocedures,DiscProcRule15.

CONDITIONALADMISSIONS,DiscProcRule17.

CONDITIONALDIVERSION.Certificationofacceptance,DiscProcRule9.Typesofsanctions,DiscProcRule8.Violation.Groundsfordiscipline,DiscProcRule7.

CONFIDENTIALITYOFINFORMATION,DiscProcRule13.Disseminationofinformation,DiscProcRule14.

COSTS,DiscProcRule27.

D

DATE,DiscProcRule28.

DISABILITYPROCEEDINGS.Incompetencyorincapacitation,DiscProcRule19.

DISBARMENT.Typesofsanctions,DiscProcRule8.

DISCIPLINEDBYCONSENT,DiscProcRule17.

DISCOVERY,DiscProcRule12.

DISMISSALOFDISCIPLINARYMATTER,DiscProcRule8.

E

EFFECTIVEDATE,DiscProcRule28.

EVIDENCE.Formalproceedings,DiscProcRule9.Interimsuspension,DiscProcRule16.

F

FORMALPROCEEDINGS,DiscProcRule9.

G

GENERALPROCEDURES,DiscProcRule9.Additionalrules,DiscProcRule15.

GROUNDSFORDISCIPLINE,DiscProcRule7.

I

IMMUNITY,DiscProcRule10.

INCAPACITATION.Disabilityproceedings,DiscProcRule19.

INCOMPETENCY.Disabilityproceedings,DiscProcRule19.

INFORMATION,ACCESSTO,DiscProcRule13.Disseminationofinformation,DiscProcRule14.

INTERIMSUSPENSION,DiscProcRule16.

INVESTIGATIONS,DiscProcRule9.

J

JUDGES.Disciplinaryjurisdictionofcourt,DiscProcRule5.

JURISDICTION,DiscProcRule5.Reciprocal discipline and reciprocal disability inactivity status, DiscProcRule18.

L

LAWPRACTICERECEIVERS,DiscProcRule24.

LIMITATIONOFACTIONS,DiscProcRule26.

M

MENTALINCOMPETENCYDEFENSE,DiscProcRule19.

N

NOTICE,DiscProcRule23.Tocomplainant,DiscProcRule25.

O

OFFICEOFDISCIPLINARYCOUNSEL,DiscProcRule4.Immunity,DiscProcRule10.

ORDERS,DiscProcRule21.

P

POST-ORDERPROCEDURES,DiscProcRule21.

POWEROFCOURT,DiscProcRule1.

PRELIMINARYREVIEWCOMMITTEE,DiscProcRule3.Immunity,DiscProcRule10.

PREPARINGCONFERENCES,DiscProcRule15.

PRIVILEGEDCOMMUNICATIONS,DiscProcRule10.

PROBATION,DiscProcRule20.Certificationofacceptance,DiscProcRule9.Typesofsanctions,DiscProcRule8.Violation.Groundsfordiscipline,DiscProcRule7.

PUBLICREPRIMAND.Typesofsanctions,DiscProcRule8.Violation.Groundsfordiscipline,DiscProcRule7.

R

RECEIVERS,DiscProcRule24.

RECIPROCAL DISCIPLINE AND RECIPROCAL DISABILITYINACTIVITYSTATUS,DiscProcRule18.

RECORDS.Disciplinaryrecords,DiscProcRule6.

REINSTATEMENTPROCEEDINGS,DiscProcRule22.

RESTITUTION.Typesofsanctions,DiscProcRule8.

ROSTEROFLAWYERS,DiscProcRule6.

S

SANCTIONS,DiscProcRule8.

SERVICEOFPROCESSORPAPERS,DiscProcRule11.

STATUTEOFLIMITATIONS,DiscProcRule26.

SUBPOENAS,DiscProcRule12.

SUSPENSION.Typesofsanctions,DiscProcRule8.

T

TRANSCRIPTS,DiscProcRule15.

W

WITNESSES.Formalproceedings,DiscProcRule9.Subpoenaandwitnessfees,DiscProcRule12.

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