POLICIES ADOPTED

POLICIES ADOPTED

FOR THE FISCAL YEAR 2000

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1. Inasmuch as the open meeting law at 1 V.S.A. §312 does not apply to the Judiciary, the Board concluded that it is not required to open its meetings to members of the press. However, because the PRB would like to educate the public on the function of the Professional Responsibility Program, it granted the request of a member of the media to attend that part of the September meeting in which Disciplinary Counsel and Bar Counsel presented a general overview of the new program. Left unresolved was the issue of access to meeting minutes. (September 1, 1999).

2. All inquiries from lawyers to Bar Counsel regarding ethics and law practice, as envisioned by A.O. 9, Rule 3 B(1) are confidential. (October 7, 1999).

3. The Board amended the record destruction policy first adopted by the Professional Conduct Board in 1998. The new policy is as follows:

1. COMPLAINTS WHERE NO INVESTIGATION IS INITIATED BY COUNSEL. Files pertaining to these complaints will be destroyed after one year. Counsel will so advise complainants so that complainants can request return of documents prior to destruction. (September 17, 2004; Amended to reflect "Counsel.")

2. COMPLAINTS WHICH ARE DISMISSED BY DISCIPLINARY COUNSEL AFTER INVESTIGATION OR REFERRED TO THE ASSISTANCE PANELS. Files regarding these complaints will be sent to public records for storage with an order to destroy after five years.

3. COMPLAINTS WHICH RESULT IN IMPOSITION OF DISCIPLINE OR TRANSFER TO DISABILITY STATUS. Files regarding these complaints will not be destroyed. (October 7, 1999).

4. The Board will review all decisions of the hearing panels, but not before those decisions are filed. When a hearing panel report is sent to the Supreme Court, the Board will be given a copy electronically. Review of decisions will be put on the agenda for the next meeting. (January 21, 2000). (September 17, 2004; Amended to reflect "filed" rather than "published.")

5. After Bar Counsel screens the complaint and makes a determination that the matter shall be referred to Disciplinary Counsel, Disciplinary Counsel will be provided with a copy of the complaint only. Copies of Respondent’s response, Bar Counsel’s notes, memos, communications, intake sheets, etc. will not be provided to Disciplinary Counsel. (January 21, 2000). The Board agreed to revisit this issue after one year. It reaffirmed this policy on May 8, 2000, as follows: "Other than the complaint, any communication, written or otherwise, and any investigation performed by Office of Bar Counsel should not be communicated in any way to Disciplinary Counsel Office." This policy was rescinded by the Board on January 30, 2003.

6. All proceedings before Assistance Panels pursuant to Rule 4.B.(1) are confidential. If Counsel refers a file to an Assistance Panel, the panel will receive the intake sheet, Counsel’s notes, annotations, and all information that is in the file. (January 21, 2000). (September 17, 2004; Amended to reflect "Counsel" and changes instituted by rescinding of Policy No. 5).

7. Until the Supreme Court can address the inconsistency in A.O. 9, at Rule 12, Rule 11.D., and Rule 8(A)(5), the Board concludes that all proceedings initiated by a stipulation recommending admonition shall remain under seal. In event the hearing panel rejects the recommended admonition, the stipulation can be withdrawn and the file remains sealed. (January 21, 2000).

8. If the Assistance Panel refers a matter to Disciplinary Counsel, Disciplinary Counsel must resolve it. The case may not be referred back to an Assistance Panel a second time. (January 21, 2000).

9. A member of the PRB does not need to be present at every meeting of an Assistance Panel. A designee may be used. Pursuant to Rule 4. A., the Chair of the Board will appoint substitute members of Assistance Panels as necessary and will so notify Respondents and Complainants. (May 8, 2000).

10. All correspondence and decisions by Hearing Panels are to be on Professional Responsibility Program stationery. (May 8, 2000).

11. In the event Disciplinary Counsel brings a new complaint against a respondent who has failed to co-operate in the investigation of an existing complaint, a new docket number will be assigned to that matter while the original complaint would retain its original file number. (May 8, 2000).

POLICIES ADOPTED

FOR THE FISCAL YEAR 2001

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12. Complainants will be allowed sixty days to appeal Counsel’s dismissal of their complaint. Counsel informs the Complainant of this deadline and advises of a deadline in which to respond. This information has been added to the current language used in the dismissal letters sent out by Counsel. (November 30, 2000). (September 17, 2004; Amended to reflect "Counsel.")

13. Bar Counsel will inform participants in case referred to Assistance Panels that failure to carry out a directive of the Assistance Panel could be grounds for a separate disciplinary violation. (February 16, 2001).

14. A probable cause decision will follow the standard form and will only indicate whether or not PC was found. There will be no written decisions. (April 26, 2001).

15. Second requests for PC are only submitted if the presence of different or new information is to be brought to the panel’s attention. (April 26, 2001).

16. Respondent will be notified when the Complainant appeals Counsel’s decision to dismiss. (June 14, 2001). (September 17, 2004; Amended to reflect "Counsel.")

POLICIES ADOPTED

FOR THE FISCAL YEAR 2002

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17. Copies of approved final minutes will be sent to the Court Administrator and to the Chief Justice. The minutes will remain confidential. (July 18, 2001). The Board amended this policy to also include the Board’s liaison. (October 29, 2002).

18. Each Assistance Panel Chair has the discretion of allowing persons other than the parties to the complaint at an assistance panel meeting. If the situation arises wherein a complainant or respondent contacts the Program to ask if a support person is allowed at the hearing, that person should be directed to the Chair of the panel so that he/she may make that determination. (August 30, 2001).

19. Filed Hearing Panel Decisions wherein private discipline is imposed will not be redacted to reflect gender neutrality. (August 30, 2001).

20. When Counsel refers a complaint to Disciplinary Counsel’s office, the Respondent will be given 20 days in which to respond. (December 7, 2001). (September 17, 2004; Amended to reflect "Counsel.")

21. All finalized published decisions of the Board will be distributed electronically to assistance and hearing panel members. (March 1, 2002).

22. When formal proceedings are commenced by the filing of stipulated facts and a hearing panel determines that a hearing is not necessary, the hearing panel shall issue a decision containing its findings of fact, conclusions of law, and the sanction imposed, if any, within sixty days of the filing of the stipulated facts.

The sixty day time period is directory and not jurisdictional. A hearing panel’s failure to observe the sixty day time period does not justify the abatement or dismissal of the disciplinary or disability proceeding. (May 2, 2002).

23. All probable cause requests will be assigned to one panel for the next year. After one year, the hearing panels will rotate and another panel will receive probable cause requests for the following year. The Chair will determine which hearing panel is first in the rotation. (May 2, 2002).

POLICIES ADOPTED

FOR THE FISCAL YEAR 2003

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24. The Board agreed, and it was decided, that assistance panels will not have access to a respondent’s disciplinary history. (September 19, 2002). This policy was rescinded by the Board on October 20, 2006. See Policy No. 29 adopted on October 20, 2006.

25. The Board amended Policy No. 17 so as to authorize distribution of its Minutes to the Chief Justice, the Court’s liaison to the Board, and the Court Administrator. (October 29, 2002).

26. The Board repealed Policy No. 5. All information obtained during the screening process may be shared with Disciplinary Counsel. (January 30, 2003).

POLICIES ADOPTED

FOR THE FISCAL YEAR 2004

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27. Disciplinary Counsel may investigate any conduct that comes to his or her attention that appears to constitute misconduct that might require a disciplinary sanction. (September 12, 2003).

28. Hearing panel members are prohibited from representing respondents. (March 31, 2004).

POLICIES ADOPTED

FOR THE FISCAL YEAR 2005

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No policies adopted.

POLICIES ADOPTED

FOR THE FISCAL YEAR 2006

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No Policies adopted.

POLICIES ADOPTED

FOR THE FISCAL YEAR 2007

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29. In making a referral to an Assistance Panel, Disciplinary Counsel shall explain his rationale to the Respondent and the Panel for a referral, which may include reference to relevant past disciplinary history. (October 20, 2006).