Pennsylvania Code
Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

• No statutes or acts will be found at this website.

The Pennsylvania Bulletin website includes the following: Rulemakings by State agencies; Proposed Rulemakings by State agencies; State agency notices; the Governor’s Proclamations and Executive Orders; Actions by the General Assembly; and Statewide and local court rules.

PA Bulletin, Doc. No. 12-1006

THE COURTS

PART V. PROFESSIONAL ETHICS AND CONDUCT

[ 204 PA. CODE CH. 83 ]

Amendment of Rules 102, 203, 204, 205, 207, 208, 215 and 402 of the Rules of Disciplinary Enforcement; No. 111 Disciplinary Rules Doc.

[42 Pa.B. 3127]
[Saturday, June 2, 2012]

Order

Per Curiam

 And Now, this 17th day of May, 2012, upon the recommendation of the Disciplinary Board of the Supreme Court of Pennsylvania; the proposal having been published for public comment in the Pennsylvania Bulletin, 41 Pa.B. 4200 (August 6, 2011):

 It Is Ordered pursuant to Article V, Section 10 of the Constitution of Pennsylvania that Rules 102, 203, 204, 205, 207, 208, 215 and 402 of the Pennsylvania Rules of Disciplinary Enforcement are amended in the following form.

 This Order shall be processed in accordance with Pa.R.J.A. No. 103(b), and shall be effective in 30 days.

Annex A

TITLE 204. JUDICIAL SYSTEM GENERAL PROVISIONS

PART V. PROFESSIONAL ETHICS AND CONDUCT

Subpart B. DISCIPLINARY ENFORCEMENT

CHAPTER 83. PENNSYLVANIA RULES OF DISCIPLINARY ENFORCEMENT

Subchapter A. PRELIMINARY PROVISIONS

Rule 102. Definitions.

 (a) General rule. Subject to additional definitions contained in subsequent provisions of these rules which are applicable to specific provisions of these rules, the following words and phrases when used in these rules shall have, unless the context clearly indicates otherwise, the meanings given to them in this rule:

*  *  *  *  *

 Prothonotary—The Prothonotary of the Supreme Court of Pennsylvania.

 Public reprimand—Public reprimand by the Board.

 Respondent-attorney—Includes any person subject to these rules.

*  *  *  *  *

Subchapter B. MISCONDUCT

Rule 203. Grounds for discipline.

*  *  *  *  *

 (b) The following shall also be grounds for discipline:

 (1) Conviction of a crime.

 (2) Wilful failure to appear before the Supreme Court, the Board or Disciplinary Counsel for censure, public or private reprimand, or informal admonition.

*  *  *  *  *

Rule 204. Types of discipline.

 (a) Misconduct shall be grounds for:

*  *  *  *  *

 (5) Public reprimand by the Board with or without probation.

 (6) Private reprimand by the Board with or without probation.

 [(6)] (7) Private informal admonition by Disciplinary Counsel.

 (8) Revocation of an attorney's admission or license to practice law in the circumstances provided in Rule 203(b)(6) (relating to grounds for discipline).

 (b) Conditions may be attached to an informal admonition [or], private reprimand, or public reprimand. Failure to comply with such conditions shall be grounds for reconsideration of the matter and prosecution of formal charges against the respondent-attorney.

*  *  *  *  *

Rule 205. The Disciplinary Board of the Supreme Court of Pennsylvania.

*  *  *  *  *

 (c) The Board shall have the power and duty:

*  *  *  *  *

 (7) To assign periodically, through its Secretary, senior or experienced hearing committee members within each disciplinary district to:

 (i) review and approve or modify recommendations by Disciplinary Counsel for dismissals, informal admonitions, private reprimands, public reprimands and institution of formal charges[.];

 (ii) hear and determine attacks on the validity of subpoenas issued pursuant to Enforcement Rule 213(a)(2) (relating to subpoena power, depositions and related matters), as provided in Enforcement Rule 213(d)(2); or

 (iii) consider a petition for reinstatement to active status from retired or inactive status, or administrative suspension, under Enforcement Rule 218 (relating to reinstatement) of a formerly admitted attorney who has not been suspended or disbarred.

 (8) To review, through a designated panel of three members, and approve or modify a determination by a reviewing hearing committee member that a matter should be concluded by dismissal, private informal admonition, private reprimand, public reprimand or the institution of formal charges before a hearing committee.

 (9) To review, through a designated panel of three members, and approve or reject a joint petition in support of discipline on consent filed with the Board pursuant to Enforcement Rule 215(d).

 (10) To review, through a single member designated by the Board Chair, and approve or reject a certification filed by Disciplinary Counsel under Enforcement Rule 218(d)(2)(ii) indicating that Disciplinary Counsel has determined that there is no impediment to reinstatement of the petitioner, and to issue the report and recommendation required by subdivision (d) of Enforcement Rule 218.

 (11) To administer, by the Board or through a designated panel of three members selected by the Board Chair, private reprimands or public reprimands to attorneys for misconduct.

*  *  *  *  *

Rule 207. Disciplinary [counsel] Counsel.

*  *  *  *  *

 (b) Disciplinary Counsel shall have the power and duty:

 (1) To investigate all matters involving alleged misconduct called to their attention whether by complaint or otherwise.

 (2) To dispose of any matter that is governed by Enforcement Rules 214 (Attorneys convicted of crimes), 215 (Discipline on Consent), and 216 (Reciprocal discipline) in accordance with the substantive and procedural provisions of those rules, and to dispose of all other matters [(subject to review by a member of a hearing committee)] involving alleged misconduct by dismissal[,] or (subject to review by a member of a hearing committee) by recommendation for informal admonition, [recommendation for] private or public reprimand, or the prosecution of formal charges before a hearing committee or special master. Except in matters requiring dismissal because the complaint is frivolous or falls outside the jurisdiction of the Board, no disposition shall be recommended or undertaken by Disciplinary Counsel until the [accused attorney] respondent-attorney has been notified of the allegations and the time for response under Enforcement Rule 208(b) (relating to formal hearing), if applicable, has expired.

*  *  *  *  *

 (c) Disciplinary Counsel:

 (1) Shall be a party to all proceedings and other matters before the Board or the Supreme Court under these rules.

 (2) May urge in the Supreme Court a position inconsistent with any recommendation of the Board where in the judgment of Disciplinary Counsel a different disposition of the matter is warranted by the law or the facts.

 (3) May within the time and in the manner prescribed by the Pennsylvania Rules of Appellate Procedure obtain in the Supreme Court judicial review of any final determination of the Board, except a determination to conclude a matter by dismissal, informal admonition [or], private reprimand, or public reprimand.

 (4) May within the time and in the manner prescribed by the Pennsylvania Rules of Appellate Procedure petition the Supreme Court for allowance of an appeal from any final determination of the Board to conclude a matter by dismissal, informal admonition, private reprimand, or public reprimand.

Rule 208. Procedure.

 (a) Informal proceedings.

 (1) All investigations, whether upon complaint or otherwise, shall be initiated and conducted by Disciplinary Counsel.

 (2) Upon the conclusion of an investigation, Disciplinary Counsel may dismiss the complaint as frivolous, as falling outside the jurisdiction of the Board, or on the basis of Board policy or prosecutorial discretion. Disciplinary Counsel may recommend:

 (i) Dismissal of the complaint.

 (ii) A conditional or unconditional informal admonition of the attorney concerned.

 (iii) A conditional or unconditional private reprimand by the Board of the attorney concerned.

 (iv) A conditional or unconditional public reprimand by the Board of the attorney concerned.

 (v) The prosecution of formal charges before a hearing committee or special master.

 (3) Except where Disciplinary Counsel dismisses the complaint as frivolous, as falling outside the jurisdiction of the Board, or on the basis of Board policy or prosecutorial discretion, the recommended disposition shall be reviewed by a member of a hearing committee in the appropriate disciplinary district who may approve or modify.

 (4) Disciplinary Counsel may appeal the recommended disposition directed by a hearing committee member to a reviewing panel composed of three members of the Board which shall order that the matter be concluded by dismissal, conditional or unconditional informal admonition [or], conditional or unconditional private reprimand, or conditional or unconditional public reprimand, or direct that a formal proceeding be instituted before a hearing committee or special master in the appropriate disciplinary district.

 (5) A recommendation by a reviewing hearing committee member for a conditional or unconditional private or public reprimand shall be reviewed by a panel composed of three members of the Board who may approve or modify.

 (6) [A] In cases where no formal proceeding has been conducted, a respondent-attorney shall not be entitled to appeal an informal admonition, a private reprimand, a public reprimand, or any conditions attached thereto [in cases where no formal proceeding has been conducted], but may demand as of right that a formal proceeding be instituted against such attorney in the appropriate disciplinary district. In the event of such demand, the respondent-attorney need not appear for the administration of the informal admonition [or], private reprimand, or public reprimand, and the matter shall be disposed of in the same manner as any other formal proceeding, but any expenses of the proceeding taxed against the respondent-attorney shall be paid as required by paragraph [(q)(2)] (g)(2) of this rule.

*  *  *  *  *

 (d) Review and action by Board.

 (1) Proceedings before the Board shall be governed by Board rules, except that, unless waived in the manner provided by such rules, the respondent-attorney shall have the right to submit briefs and to present oral argument to a panel of at least three members of the Board. Members of the Board who have participated on a reviewing panel under paragraph (a)(4) or (5) of this rule shall not participate in further consideration of the same matter or decision thereof on the merits under this subdivision (d).

 (2) The Board shall either affirm or change in writing the recommendation of the hearing committee or special master by taking the following action, as appropriate, within 60 days after the adjudication of the matter at a meeting of the Board;

 (i) Dismissal. In the event that the Board determines that a proceeding should be dismissed, it shall so notify the respondent-attorney.

 (ii) Informal admonition [or], private reprimand, or public reprimand. In the event that the Board determines that the proceeding should be concluded by informal admonition [or], private reprimand, [it] or public reprimand, the Board shall arrange to have the respondent-attorney appear before Disciplinary Counsel for the purpose of receiving informal admonition or before a designated panel of three members selected by the Board Chair pursuant to Pa.R.D.E. 205(c)(9), for the purpose of receiving private reprimand or public reprimand.

 (iii) Other discipline. In the event that the Board shall determine that the matter should be concluded by probation, censure, suspension, disbarment, or by informal admonition [or], private reprimand, or public reprimand in cases where the respondent-attorney is unwilling to have the matter concluded by informal admonition [or], private reprimand, [it] or public reprimand, the Board shall file its findings and recommendations, together with the briefs, if any, before the Board and the entire record, with the Supreme Court. A respondent-attorney who is unwilling to have the matter concluded by an informal admonition [or], private reprimand, or public reprimand must file within thirty (30) days after notice of the determination of the Board, a notice of appeal. Review by the Supreme Court shall be de novo and the Court may impose a sanction greater or less than that recommended by the Board.

*  *  *  *  *

 (g) Costs.

 (1) The Supreme Court in its discretion may direct that the necessary expenses incurred in the investigation and prosecution of a proceeding which results in the imposition of discipline shall be paid by the respondent-attorney. All expenses taxed under this paragraph shall be paid by the respondent-attorney within 30 days of entry of the order taxing the expenses against the respondent-attorney.

 (2) In the event a proceeding is concluded by informal admonition [or], private reprimand or public reprimand, the Board in its discretion may direct that the necessary expenses incurred in the investigation and prosecution of the proceeding shall be paid by the respondent-attorney. All expenses taxed by the Board under this paragraph shall be paid by the respondent-attorney on or before the date fixed for the appearance of the respondent-attorney before Disciplinary Counsel for informal admonition or the Board for [informal admonition or] private or public reprimand. The expenses which shall be taxable under this paragraph shall be prescribed by Board rules.

*  *  *  *  *

Rule 215. Discipline on consent.

*  *  *  *  *

 (f) Private discipline.—If a panel approves a Petition consenting to an informal admonition or private reprimand, with or without probation, the Board shall enter an appropriate order, and [it] the Board shall arrange to have the attorney appear before Disciplinary Counsel for the purpose of receiving an informal admonition or before a designated panel of three members selected by the Board Chair for the purpose of receiving a private reprimand.

 (g) Public discipline.—

 (1) If a panel approves a Petition consenting to a public reprimand, the Board shall enter an appropriate order, and the Board shall arrange to have the attorney appear before the Board or a designated panel of three members selected by the Board Chair for the purpose of receiving a public reprimand.

 (2) If a panel approves a Petition consenting to public censure or suspension, the Board shall file the recommendation of the panel and the Petition with the Supreme Court. If the Court grants the Petition, the Court shall enter an appropriate order disciplining the attorney on consent.

*  *  *  *  *

Subchapter D. MISCELLANEOUS PROVISIONS

Rule 402. Access to [Disciplinary Information and Confidentiality] disciplinary information and confidentiality.

 (a) Except as provided in subdivisions (b), (d) and (k), all proceedings under these rules shall be open to the public after:

 (1) the filing of an answer to a petition for discipline;

 (2) the time to file an answer to a petition for discipline has expired without an answer being filed; [or]

 (3) the filing and service of a petition for reinstatement[.] or;

 (4) the Board has entered an Order determining a public reprimand.

 (b) Notwithstanding subdivision (a), an informal proceeding under these rules in which it is determined that private discipline should be imposed but that subsequently results in the filing of formal charges shall not be open to the public until or unless the Supreme Court enters its order for the imposition of public discipline.

*  *  *  *  *

[Pa.B. Doc. No. 12-1006. Filed for public inspection June 1, 2012, 9:00 a.m.]


No part of the information on this site may be reproduced for profit or sold for profit.

This material has been drawn directly from the official Pennsylvania Bulletin full text database. Due to the limitations of HTML or differences in display capabilities of different browsers, this version may differ slightly from the official printed version.