SCR
CHAPTER 21
LAWYER
REGULATION SYSTEM
The lawyer regulation system is
established to carry out the supreme court's constitutional responsibility to
supervise the practice of law and protect the public from misconduct by persons
practicing law in Wisconsin.
SCR 21.001 Definitions.
The terms used
in this chapter have the meaning set forth in SCR 22.001.
SCR 21.01 Components.
(1) The
lawyer regulation system consists of the following:
(a) Office
of lawyer regulation, provided in SCR 21.02.
(b) District
committees, provided in SCR 21.06.
(c) Preliminary
review committee, provided in SCR 21.07.
(d) Referees,
provided in SCR 21.08.
(e) Board
of administrative oversight, provided in SCR 21.10.
(f) Supreme
court.
SCR 21.02 Office of lawyer regulation.
(1) The office of lawyer
regulation consists of the director, investigative and support staff, and staff
counsel and retained counsel. The
office receives and responds to inquiries and grievances relating to attorneys licensed
to practice law or practicing law in Wisconsin and, when appropriate,
investigates allegations of attorney misconduct or medical incapacity, and may
divert a matter to an alternatives to discipline program. The office is
responsible for the prosecution of disciplinary proceedings alleging attorney
misconduct and proceedings alleging attorney medical incapacity and the
investigation of license reinstatement petitions.
(2) The office of lawyer
regulation functions pursuant to the procedures set forth in SCR chapter 22.
SCR
21.03 Office
of lawyer regulation - director.
(1) The director of the
office of lawyer regulation is appointed by and serves at the pleasure of the
supreme court.
(2) The director shall be
admitted to the practice of law in Wisconsin no later than six months following
appointment.
(3) The director is an
employee of the supreme court under the supreme court's ultimate personnel
authority and subject to personnel policies and procedures administered by the
director of state courts.
(4) The performance of the
director shall be formally evaluated every two years by the director of state
courts, who shall consult with the staff of the office of lawyer regulation,
the preliminary review committee, the board of administrative oversight, and
attorneys who represent respondents in proceedings brought by the
director. The director of state courts
shall report the evaluation to the supreme court as a personnel matter.
(5) The director may not
engage in the private practice of law.
(6) The duties of the
director are:
(a) To investigate any
possible misconduct or medical incapacity of an attorney licensed to practice
law or practicing law in Wisconsin.
(b) To receive, review and
direct the investigation of allegations of attorney misconduct or medical
incapacity.
(c) To close an inquiry or
grievance following preliminary evaluation and to dismiss a grievance following
investigation when there is insufficient evidence of cause to proceed.
(d) To present as the
director may consider appropriate the results of an investigation to the
preliminary review committee for a determination of cause to proceed in the
matter.
(e) To file with the
supreme court and prosecute complaints alleging attorney misconduct and
petitions alleging attorney medical incapacity after a preliminary review panel
has determined there is cause to proceed in the matter.
(f) To divert a matter to
an alternatives to discipline program as the director may consider appropriate
and to monitor the attorney's participation in the program.
(g) To monitor an
attorney's compliance with conditions imposed on the attorney's practice of
law.
(h) To investigate
petitions for license reinstatement and, at the request of the board of bar
examiners, to investigate the character and fitness of an applicant for bar
admission.
(j) To employ, with the approval of the
director of state courts, staff to assist in the performance of the director's
duties.
(k) To supervise the district
committees.
(m) To prepare annually a budget for the
operation of the office of lawyer regulation and to submit it to the board of
administrative oversight for review and presentation, with comment, to the
supreme court.
(n) To prepare annually a report of the
activities of the office of lawyer regulation during the preceding year and to
submit it to the board of administrative oversight for review and presentation,
with comment, to the supreme court.
(o) To delegate the duties specified in this
rule to staff as the director may consider advisable.
(p) To perform other duties
as may be assigned by the supreme court.
(7) The director may refer
a matter alleging attorney misconduct or medical incapacity to a district
committee for investigation.
(8) The director may refer
a matter involving a fee dispute to a state or local bar association's fee
arbitration committee for resolution.
SCR
21.04 Office
of lawyer regulation - staff.
Staff of the office of lawyer regulation are permanent supreme court employees supervised by the director and over whom the director of state courts has ultimate personnel authority. Staff are subject to personnel policies and procedures administered by the director of state courts. Work assignments to staff are made in accordance with the chain of command established by pertinent job descriptions. Annual performance evaluations of staff are conducted by immediate supervisors in the manner prescribed by the director of state courts.
SCR
21.05 Office
of lawyer regulation - counsel.
(1) Staff of the office of
lawyer regulation may include persons admitted to the practice of law in
Wisconsin whose duties are to conduct or assist in investigations, present
matters to the preliminary review panels, prosecute complaints alleging attorney
misconduct and petitions alleging attorney medical incapacity, conduct or
assist in reinstatement investigations and represent the office of lawyer
regulation in hearings, and perform other duties assigned by the director.
(2) The director may retain
attorneys engaged in the practice of law in Wisconsin to assist in the
performance of the director's duty to present matters to the preliminary review
panels, to prosecute complaints alleging attorney misconduct and petitions
alleging attorney medical incapacity, and to conduct or assist in reinstatement
investigations and represent the office of lawyer regulation in hearings, and
perform other duties assigned by the director.
Retained counsel are independent contractors and serve at the pleasure
of the director.
SCR
21.06 District
committees.
(1) A district committee in
each of the state bar districts established under SCR 10.05(2) consists of
lawyers and nonlawyers appointed by the supreme court. The number of members of each committee
shall be in proportion to the geographic and population size of the district,
and to the extent feasible, one-third of the members shall be nonlawyers. Members serve staggered 3-year terms. A member may serve not more than 3
consecutive 3-year terms.
(2) District committees
function under the supervision of the director.
(3) The duties of a
district committee are:
(a) To educate the bar and
the public about the high ideals of the legal profession and the practice of
law consistent with the rules of professional conduct for attorneys set forth
in SCR chapter 20.
(b) To refer promptly to
the director any possible misconduct or medical incapacity of an attorney that
comes to its attention.
(c) To assist in the
investigation of possible misconduct or medical incapacity of an attorney upon
referral by the director.
(d) To
make a recommendation to the director as it may consider appropriate as to the
disposition of any matter the committee has investigated.
(e) To assist upon request
of the director in monitoring an attorney's participation in an alternatives to
discipline program or compliance with conditions imposed on the attorney's
practice of law.
(f) To resolve or adjust at
the request of the director a dispute between an attorney and a client or other
attorney if the dispute does not involve misconduct or medical incapacity and
the complaining person agrees to the procedure. Within 30 days after receiving notice of the dispute, the
committee shall report to the director each dispute resolved, adjusted or
unresolved.
(4) Each district committee
shall hold regularly scheduled meetings as needed to complete its work timely.
Meetings also may be held at the call of the chairperson. At the first meeting held each calendar
year, the committee shall elect a chairperson and a vice-chairperson to act in
the absence of the chairperson. A majority of members constitutes a quorum,
except that the chairperson may designate a subcommittee of one or more members
to conduct a preliminary investigation or investigative meeting and prepare a
report and recommendation for consideration and action by the committee. A subcommittee also may be designated to
monitor an attorney's participation in a diversion from discipline program or
compliance with conditions imposed on the attorney's practice of law.
(5) The portions of the
meetings of a district committee relating to specific disciplinary matters are
closed. The portions of the meetings relating to other matters are open.
SCR
21.07 Preliminary
review committee.
(1) The 14-member
preliminary review committee consists of 9 lawyers and 5 nonlawyers appointed
by the supreme court. Members serve
staggered 3-year terms. A member may
serve not more than 2 consecutive 3-year terms.
(2) The preliminary review
committee, having a quorum of 8 members, is comprised of 2 7-member panels,
each having at least 4 lawyers and 2 nonlawyers and a quorum of 4 members. The chairperson of the preliminary review
committee shall designate the members of each panel and shall devise and
implement a rotation system by which each member of the committee serves on
each panel during each 3-year period.
(3) The duties of the
preliminary review panels are:
(a) To review the results
of investigations of allegations of attorney misconduct or medical incapacity
presented by the director and to determine whether there is cause for the
director to proceed in the matter. The
affirmative vote of four or more members of a panel is required to determine cause
to proceed in a matter.
(b) To review at the
request of a grievant the director's closing of a matter prior to investigation
under SCR 22.02(6)(a) and dismissal of a grievance following investigation
under SCR 22.05(1)(a).
(c) To confer periodically
with the board of administrative oversight about the operation of the
preliminary review committee and panels and suggest improvements in their
operation.
(4) The preliminary review
committee shall hold regularly scheduled meetings at least quarterly. At the first meeting of each calendar year,
the preliminary review committee shall elect a chairperson and a
vice-chairperson to act in the absence of the chairperson.
(5) Each panel shall meet
as needed and shall report its determinations to the chairperson of the
preliminary review committee.
(6) The portions of the
meetings of the preliminary review committee and of the panels relating to
specific disciplinary matters are closed.
The portions of the meetings relating to other matters are open.
(7) The preliminary review
committee and the panels shall take and retain full and complete minutes of the
open and closed sessions of their meetings.
The minutes of the open sessions are available to the public.
(8) The preliminary review
panels shall function pursuant to the procedures set forth in SCR chapter 22.
(9) Members of the
preliminary review committee are entitled to reimbursement for expenses
incurred in connection with membership on the committee.
SCR
21.08 Referees.
(1) Members of a permanent
panel of attorneys and reserve judges appointed by the supreme court shall
serve as referees to conduct hearings on complaints of attorney misconduct,
petitions alleging attorney medical incapacity, and petitions for license
reinstatement, to make findings, conclusions and recommendations and submit
them to the supreme court for review and appropriate action, to review
consensual discipline under SCR 22.09, and to review determinations of the
preliminary review panels under SCR 22.07(4) that the director has failed to
establish cause to proceed in a matter.
(2) Referees shall function
pursuant to the procedures set forth in SCR chapter 22.
SCR
21.09 Supreme
court.
(1) The supreme court determines attorney misconduct and medical incapacity and imposes discipline or directs other action in attorney misconduct and medical incapacity proceedings filed with the court.
(2) The supreme court shall
meet with the director, with the preliminary review committee, and with the
board of administrative oversight annually to discuss the operation of the
lawyer regulation system and consider improvements in its operation.
SCR
21.10 Board
of administrative oversight.
(1) The 12-member board of administrative oversight of the lawyer regulation system consists of 8 lawyers and 4 nonlawyers appointed by the supreme court. Members serve staggered three-year terms. A member may serve not more than two consecutive three-year terms.
(2) The duties of the board
of administrative oversight are:
(a) To monitor the
fairness, productivity, effectiveness, and efficiency of the attorney
regulation system, including intake, the time required for disposition of an
allegation of attorney misconduct or medical incapacity, the presence of a
quorum at meetings of the preliminary review panels and the frequency of
divided votes determining cause to proceed, variations in specific matters
among the discipline sought by the director, the discipline recommended by the
referee, and the discipline imposed by the supreme court.
(b) To monitor implementation of new procedures in the lawyer regulation system.
(c) To
assess the public's and the bar's perception of the integrity of the lawyer
regulation system.
(d) To
report its findings to the supreme court.
(e) To review periodically
with the supreme court the operation of the lawyer regulation system and to
file an annual report with the supreme court of the system's activities during
the preceding year.
(f) To propose for
consideration by the supreme court substantive and procedural rules related to
the regulation of lawyers.
(g) To inform and educate
the public and the bar about the operation of the lawyer regulation system.
(h) To propose to the
supreme court, after consultation with the director, an annual budget for the
office of lawyer regulation.
(3) The board of
administrative oversight has no substantive or procedural function in the
lawyer regulation system as it concerns particular matters and does not
exercise administrative oversight or supervision of the operation of the lawyer
regulation system in respect to specific matters or proceedings involving
allegations of attorney misconduct or medical incapacity. A member of the board may not contact
investigative or prosecutorial staff directly in respect to a particular
investigative or prosecutorial matter, whether completed, pending or
contemplated. A member of the board may
contact investigative or prosecutorial staff directly and privately in respect
to purely administrative matters.
(4) The board shall hold at
least four regularly scheduled meetings each year. The meetings shall be open to the public except as otherwise
provided by law. A majority of members
currently serving constitutes a quorum of the board. At its first meeting each calendar year the board shall elect a
chairperson, a vice-chairperson to act in the absence of the chairperson, and
such other officers as it may consider necessary.
(5) The board shall take
and retain full and complete minutes of the open and closed sessions of its meetings,
including the identification of members whose motions, votes, and comments are
recorded, and shall provide a copy of the minutes of the open session of each
meeting to each member of the supreme court as soon as practicable following
the meeting. The minutes of the open
sessions are available to the public.
(6) Members of the board
are entitled to reimbursement for expenses incurred in connection with
membership on the board.
SCR
21.11 Training
of lawyer regulation system participants.
(1) The
director and current staff of the office of lawyer regulation shall provide
formal training for new members of the staff.
(2) The director shall
provide formal training to the members of the district committees.
(3) The director and
current members of the preliminary review committee shall provide formal
training to new members of the preliminary review committee.
(4) Staff of the supreme
court shall provide formal training to the referees.
(5) The director and
current members of the board of administrative oversight shall provide formal
training to the new members of the board of administrative oversight.
(6) The training provided
in (1) through (3) and (5) shall emphasize the role and the importance of the
contributions of nonlawyer participants in the lawyer regulation system.
SCR
21.12 Roles
of office of lawyer regulation, grievant, and district committees.
In the investigation process and in the prosecution of complaints alleging attorney misconduct and petitions alleging attorney medical incapacity, the director and staff of the office of lawyer regulation and the district committees do not represent the complaining person, the attorney against whom a grievance has been made, the bar generally, or any other person or group. The director, staff of the office of lawyer regulation, and district committees represent the interests of the supreme court and the public in the integrity of the lawyer regulation system in its search for the truth. A grievant is not a party to a misconduct or medical incapacity proceeding brought by the office of lawyer regulation.
SCR
21.13 Official duties.
When acting in the course of their official duties under SCR chs. 21 and 22, the following are acting on behalf of the supreme court in respect to the statutes and supreme court rules and orders regulating the conduct of attorneys:
(1) The director and staff of the office of lawyer regulation.
(2) Retained counsel.
(3) Members of district committees.
(4) Special investigators.
(5) Members of the preliminary review committee.
(6) Members of a special preliminary review panel.
(7) Referees.
(8) Members of the board of administrative oversight.
(9) Attorneys designated by the director to monitor compliance with diversion agreements or with conditions imposed by the supreme court in misconduct and medical incapacity proceedings, or to investigate or conduct a hearing in a reinstatement proceeding.
SCR
21.14 Conflict
of interests, recusal.
(1) The following may not take part in a matter in which they are a complaining person, grievant, or respondent or in which their own interests outside of their official duties under SCR chs. 21 and 22 reasonably may be perceived to impair their impartiality or when a judge similarly situated would be disqualified under s. 757.19, 1997 stats. or recusal would be required under SCR 60.04(4):
(a) The director and staff of the office of lawyer regulation.
(b) Retained counsel.
(c) Members of district committees.
(d) Special investigators.
(e) Members of the preliminary review committee.
(f) Members of a special preliminary review panel.
(g) Referees.
(h) Attorneys designated by the director to monitor an attorney's participation in a diversion from discipline program or compliance with conditions imposed on the attorney's practice of law.
(i) Members of the board of administrative oversight.
(2) Allegations of misconduct or malfeasance against the director, staff of the office of lawyer regulation, retained counsel, a member of a district committee, a special investigator, a member of the preliminary review committee, a member of a special preliminary review panel, a referee, an attorney designated by the director to monitor an attorney's participation in a diversion from discipline program or compliance with conditions imposed on the attorney's practice of law, or a member of the board of administrative oversight shall be governed by the procedures under SCR 22.25.
SCR
21.15 Duties of attorneys.
(1) Pursuant to SCR
20:8.5(a), an attorney admitted to practice law or practicing law in Wisconsin
is subject to the lawyer regulation system, whether he or she practices in
Wisconsin or in other jurisdictions and regardless of where the attorney's
conduct occurs.
(2) A license to practice
law authorizes a person to practice law and to participate in the
administration of justice. It is the
duty of every attorney to act in conformity with standards imposed upon
attorneys as conditions of the privilege to practice law set forth in SCR
chapter 20: rules of professional conduct for attorneys.
(3) An attorney has the
duty to refer a member of the public who wishes to communicate an inquiry about
or a grievance against an attorney to the director.
(4) Every attorney shall
cooperate with the office of lawyer regulation in the investigation,
prosecution and disposition of grievances, complaints filed with or by the
director, and petitions for reinstatement.
An attorney's wilful failure to cooperate with the office of lawyer
regulation constitutes violation of the rules of professional conduct for
attorneys.
(5) An attorney found guilty or
convicted of any crime on or after July 1, 2002, shall notify in writing the
office of lawyer regulation and the clerk of the Supreme Court within 5 days
after the finding or conviction, whichever first occurs. The notice shall include the identity of the
attorney, the date of finding or conviction, the offenses, and the
jurisdiction. An attorney’s failure to
notify the office of lawyer regulation and clerk of the supreme court of being
found guilty or his or her conviction is misconduct.
SCR 21.16 Discipline.
Any of the following may be imposed on an attorney as
discipline for misconduct pursuant to the procedure set forth in SCR chapter
22:
(1) Revocation of license
to practice law.
(2) Suspension of license
to practice law.
(3) Public or private reprimand.
(4) Conditions on the
continued practice of law.
(5) Monetary payment.
(6) Conditions on seeking
license reinstatement.
SCR 21.17 Medical
incapacity suspension, conditions.
The license of an attorney to practice
law may be suspended indefinitely or conditions may be imposed on the
attorney's practice of law with the attorney's consent or upon a finding that
the attorney has a medical incapacity, pursuant to the procedure set forth in
SCR chapter 22.
SCR 21.18 Limitation.
(1) Information, an inquiry,
or a grievance concerning the conduct of an attorney shall be communicated to
the director within 10 years after the person communicating the information,
inquiry or grievance knew or reasonably should have known of the conduct,
whichever is later, or shall be barred from proceedings under this chapter and
SCR chapter 22.
(2) The time during
which a person who knew or should have known of the attorney's conduct is under
a disability as provided in Wis. Stat. § 893.16 (1997-98) and the time
during which the attorney acted to conceal the conduct from or mislead the
person who knew or should have known of the conduct regarding the conduct are
not part of the time specified in sub. (1).
SCR
21.19 Privileges,
immunity.
Communications with the director, staff of the office of lawyer regulation, a district committee, a special investigator, retained counsel, the preliminary review committee, and a special preliminary review panel alleging attorney misconduct or medical incapacity and testimony given in an investigation or proceeding under SCR ch. 22 are privileged. No lawsuit predicated on these communications may be instituted against any grievant or witness. The director, staff of the office of lawyer regulation, members of a district committee, special investigators, retained counsel, members of the preliminary review committee, members of a special preliminary review panel, referees, members of the board of administrative oversight, and attorneys designated by the director to monitor compliance with diversion agreements or with conditions imposed on the attorney's practice of law, shall be immune from suit for any conduct in the course of their official duties.
SCR
21.20 Cooperation
with other agencies.
(1) The office of lawyer
regulation shall cooperate with the board of bar examiners in matters of mutual
interest. The office and the board may
exchange confidential information and may conduct joint proceedings.
(2) The office of lawyer
regulation shall cooperate with lawyer regulatory bodies from other
jurisdictions and may share confidential information with them.
(3) The office of lawyer
regulation shall cooperate with district attorneys in the state of Wisconsin
and may share confidential information with them.
Chapter
repealed and recreated by S.Ct. Order 99-03, effective October 1, 2000. Amended November 14, 2001; January 23, 2002.