Section8. Compliance Procedures Applicable to Active Lawyers.
(a) If a lawyer fails to comply with any requirement under the rules or these regulations, the Board will send the lawyer a notice of noncompliance.
(b) Such notice shall specify the nature of the lawyer’s noncompliance. Within thirty (30) days of the date of the notice, the lawyer shall either file evidence of compliance or request a hearing. The lawyer must within sixty (60) days from the date of the notice comply with the requirements of the rules and these regulations. In addition, the lawyer shall pay a late fee as required by the Board.
(c) If the lawyer fails to comply with the requirements of paragraph (b), the Board shall file a report of the lawyer’s noncompliance with the Supreme Court, recommending that the lawyer be placed on inactive status.
(d) If the lawyer is able to provide sufficient evidence to establish compliance, the Board may, nevertheless, assess the lawyer a late fee.
(e) Credit hours earned shall be first applied to satisfy the requirements of the compliance period which was the subject of the notice to the lawyer before any excess credits earned during the notice period may be applied to subsequent requirements.
(f) If, in response to the notice of noncompliance, the lawyer timely files a request for a hearing, the Board shall schedule a hearing. The hearing may be conducted by one (1) or more members of the Board or a hearing officer, who should be a lawyer appointed by the Chair of the Board. If the hearing is conducted by more than one (1) person, the Chair of the Board shall designate the person who will act as the presiding hearing officer. The hearing shall be held at least ten (10) days after written notice to the lawyer. Within thirty (30) days after the hearing, the hearing person or body shall submit to the Board findings of fact, conclusions of law and a recommendation which may be approved, modified or rejected by the Board, and no recommendation shall become the finding or determination of the Board until ordered by the Board. Regardless of who conducts the hearing, the findings and determination of the Board shall have the same effect as if the hearing had been conducted by the Board.
(g) The Board may engage special independent counsel to investigate and prosecute to conclusion charges of noncompliance by a lawyer. Fees and expenses of the special independent counsel shall be paid in the first instance by the Board but in cases of a finding of noncompliance, all or a portion of these fees may, at the discretion of the Board, be assessed to the noncomplying lawyer.
(h) If the Board finds that the lawyer was in compliance with the requirements of the rules and these regulations, the lawyer shall be notified and a late filing fee may be assessed at the discretion of the Board.
(i) If the Board finds that the lawyer was not in compliance with the requirements of the rules or these regulations, the Board shall carry out the provisions of paragraph (c) if the requirements of paragraph (b) are not complied with. The Board may assess the costs of the hearing, including the compensation of the hearing officer, room rental, depositions and other hearing expenses upon the lawyer.
(j) If the Board finds that the lawyer had reasonable cause for noncompliance, the lawyer shall have sixty (60) days from the date of notice of the Board’s decision to correct the noncompliance. The Board may waive the late filing fee if it so determines. If compliance is not achieved within the sixty (60) day period, the Board shall proceed as provided in paragraph (c).
(k) All hearings shall be public. Witnesses shall be sworn and a complete electronic record or a transcript may be made. The presiding hearing officer shall have authority to rule on all motions, objections and other matters presented.
(l) In investigations and proceedings under the rules and these regulations, the Board shall have power to issue subpoenas and cause testimony to be taken under oath before the Board, Board member(s), or hearing examiner appointed by the Board. All subpoenas shall be issued in the name and under the seal of the Supreme Court and served as provided by the Rules of Civil Procedure. Fees and costs of the subpoenas shall be paid from the funds of the Board or taxed as costs, as determined by the Board.
(m) The Board may order the testimony of a witness to be taken by deposition within or without this Commonwealth in the manner prescribed for the taking of depositions in civil actions and the depositions may be used to the same extent as permitted in civil actions.
(n) The hearing shall result in findings of fact, conclusions of law and recommendations for action with respect to: (1) the lawyer’s compliance or noncompliance with the requirements of the rules and these regulations, and (2) a determination of the existence of reasonable cause in the event of a finding of noncompliance. A copy of the same shall be sent to the lawyer.
Source The provisions of this Section 8 amended March 8, 1996, effective March 9, 1996, 26 Pa.B. 984. Immediately preceding text appears at serial page (177393).
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