SCR
22.40 Confidentiality.
SCR
22.41 Pending litigation.
SCR
22.43 Cooperation of district attorney.
SCR
22.44 Retention of records.
SCR
22.45 Expungement of records.
CHARACTER AND FITNESS INVESTIGATIONS
SCR
22.46 Character and fitness investigations of bar admission applicants.
SCR
22.47 Investigative report.
SCR 22 Note
Note: SCR Chapter 22 was repealed and recreated October 1, 2000; amended January 1, 2001; November 14, 2001; April 1, 2002; January 1, 2004; January 1, 2005; February 1, 2005; May 5, 2005; July 1, 2010; August 5, 2011; January 1, 2012; January 23, 2013.
22.001
SCR 22.001 Definitions. In SCR chapter 21 and this chapter:
22.001(1)
(1) "Attorney" means a person admitted to the practice of law in this state and a person admitted to practice in another jurisdiction who appears before a court or administrative agency in this state or engages in any other activity in this state that constitutes the practice of law.
22.001(2)
(2) "Cause to proceed" means a reasonable belief based on a review of an investigative report that an attorney has engaged in misconduct or has a medical incapacity that may be proved by clear, satisfactory and convincing evidence.
22.001(3)
(3) "Costs" means the compensation and necessary expenses of referees, fees and expenses of counsel for the office of lawyer regulation, a reasonable disbursement for the service of process or other papers, amounts actually paid out for certified copies of records in any public office, postage, telephoning, adverse examinations and depositions and copies, expert witness fees, witness fees and expenses, compensation and reasonable expenses of experts and investigators employed on a contractual basis, and any other costs and fees authorized by chapter 814 of the statutes.
22.001(4)
(4) "Director" means the director of the office of lawyer regulation provided in SCR 21.03.
22.001(5)
(5) "Grievance" means an allegation of possible attorney misconduct or medical incapacity received by the office of lawyer regulation.
22.001(6)
(6) "Grievant" means the person who presents a grievance, except that a judicial officer or a district committee who communicates a matter to the office of lawyer regulation in the course of official duties is not a grievant.
22.001(7)
(7) "Malfeasance" means a violation of the rules provided in SCR chapter 21 and this chapter.
22.001(8)
(8) "Medical incapacity" means a physical, mental, emotional, social or behavioral condition that is recognized by experts in medicine or psychology as a principal factor which substantially prevents a person from performing the duties of an attorney to acceptable professional standards.
22.001(9)
(9) "Misconduct" means any of the following:
22.001(9)(a)
(a) Violation or attempted violation of SCR chapter 20 — Rules of Professional Conduct for Attorneys, knowingly assisting or inducing another to do so, or doing so through the acts of another.
22.001(9)(b)
(b) Failure to cooperate in the investigation of a grievance.
22.001(9)(c)
(c) Engaging in prohibited conduct in respect to an attorney whose license to practice law is suspended or revoked.
22.001(9)(d)
(d) Commission of a criminal act that reflects adversely on an attorney's honesty, trustworthiness or fitness as an attorney in other respects.
22.001(9)(e)
(e) Engaging in conduct involving dishonesty, fraud, deceit or misrepresentation.
22.001(9)(f)
(f) Stating or implying an ability to influence improperly a government agency or official.
22.001(9)(g)
(g) Knowingly assisting a judge or judicial officer in conduct that is a violation of applicable rules of judicial conduct or other law.
22.001(9)(h)
(h) Violation of a statute, supreme court rule, supreme court order or supreme court decision regulating the conduct of lawyers.
22.001(9m)
(9m) "Public member" means an individual who is eligible to vote in the state of Wisconsin, but who is not a member of the state bar of Wisconsin.
22.001(10)
(10) "Respondent" means an attorney alleged in a grievance or in a complaint to have engaged in misconduct or alleged in a grievance or in a petition to have a medical incapacity.
SCR 22.001 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix; Sup. Ct. Order No.
01-12, 2001 WI 120, 247 Wis. 2d xiii; Sup. Ct. Order No.
04-10, 2005 WI 56, 279 Wis. 2d xiii.
attorney conduct
22.01
SCR 22.01 Inquiries and grievances. Any person may make an inquiry or a grievance to the office of lawyer regulation concerning the conduct of an attorney. Inquiries and grievances, except those from incarcerated persons, may be made by telephone. The staff may assist the person making an inquiry or a grievance in clearly stating the inquiry or grievance. If assistance is given, staff may send the person making the inquiry or grievance a written statement, and if it accurately sets forth the inquiry or grievance, the person shall sign it and return it to the office of lawyer regulation.
SCR 22.01 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix.
22.02(1)(1) The staff of the office of lawyer regulation shall receive and evaluate all inquiries and grievances concerning attorney conduct.
22.02(2)
(2) The staff shall conduct a preliminary evaluation of the inquiry or grievance and may do any of the following:
22.02(2)(b)
(b) Attempt to reconcile the matter between the grievant and the attorney if it is a minor dispute.
22.02(2)(c)
(c) Close the matter if it does not present sufficient information of cause to proceed.
22.02(2)(d)
(d) Refer the matter to the director with a recommendation that the matter be investigated by staff or diverted.
22.02(3)
(3) If staff forwards the matter to another agency, it shall provide the grievant the reasons for doing so. The decision of staff is final, and there shall be no review of the decision.
22.02(4)
(4) The staff shall notify the grievant in writing that the grievant may obtain review by the director of the staff's closure of a matter under sub. (2) (c) by submitting to the director a written request. The request for review must be received by the director within 30 days after the date of the letter notifying the grievant of the closure. The director may, upon a timely request by the grievant for additional time, extend the time for submission of additional information relating to the request for review. The decision of the director affirming the closure or referring the matter to staff for further evaluation is final, and there shall be no review of the director's decision.
22.02(5)
(5) In the performance of duties under this chapter, staff may not give legal advice.
22.02(6)
(6) The director shall review each matter referred by staff and do one or more of the following:
22.02(6)(a)
(a) Close the matter for lack of an allegation of possible misconduct or medical incapacity or lack of sufficient information of cause to proceed. The director shall notify the grievant in writing that the grievant may obtain review by a preliminary review panel of the director's closure by submitting a written request to the director. The request for review must be received by the director within 30 days after the date of the letter notifying the grievant of the closure. The director shall send the request for review to the chairperson of the preliminary review committee, who shall assign it to a preliminary review panel. Upon a timely request by the grievant for additional time, the director shall report the request to the chairperson of the preliminary review committee, who may extend the time for submission of additional information relating to the request for review.
22.02(6)(b)
(b) Divert the matter to an alternatives to discipline program as provided in SCR 22.10.
22.02(6)(c)
(c) Commence an investigation when there is sufficient information to support an allegation of possible misconduct or medical incapacity.
SCR 22.02 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix; Sup. Ct. Order No.
01-12A, 2002 WI 8, 249 Wis. 2d xiii.
22.03
SCR 22.03 Investigation. 22.03(1)(1) The director shall investigate any grievance that presents sufficient information to support an allegation of possible misconduct.
22.03(2)
(2) Upon commencing an investigation, the director shall notify the respondent of the matter being investigated unless in the opinion of the director the investigation of the matter requires otherwise. The respondent shall fully and fairly disclose all facts and circumstances pertaining to the alleged misconduct within 20 days after being served by ordinary mail a request for a written response. The director may allow additional time to respond. Following receipt of the response, the director may conduct further investigation and may compel the respondent to answer questions, furnish documents, and present any information deemed relevant to the investigation.
22.03(3)
(3) Staff involved in the investigation process shall include in reports to the director all relevant exculpatory and inculpatory information obtained.
22.03(4)
(4) If the respondent fails to respond to the request for written response to an allegation of misconduct or fails to cooperate in other respects in an investigation, the director, or a special investigator acting under SCR 22.25, may file a motion with the supreme court requesting that the court order the respondent to show cause why his or her license to practice law should not be suspended for willful failure to respond or cooperate with the investigation. All papers, files, transcripts, communications, and proceedings on the motion shall be confidential and shall remain confidential until the supreme court has issued an order to show cause. The license of an attorney suspended for willful failure to respond or cooperate with an investigation may be reinstated by the supreme court upon a showing of cooperation with the investigation and compliance with the terms of suspension. The director or the special investigator shall file a response in support of or in opposition to the reinstatement within 20 days after the filing of an attorney's request for reinstatement. Upon a showing of good cause, the supreme court may extend the time for filing a response.
22.03(5)(a)
(a) Except as provided in sub (b), the director shall provide the grievant a copy of the respondent's response to the grievance and the opportunity to comment in writing on the respondent's response.
22.03(5)(b)
(b) In limited circumstances when good cause is shown, the director may provide the grievant a summary of the respondent's response prepared by the investigator in place of a copy of the response.
22.03(6)
(6) In the course of the investigation, the respondent's willful failure to provide relevant information, to answer questions fully, or to furnish documents and the respondent's misrepresentation in a disclosure are misconduct, regardless of the merits of the matters asserted in the grievance.
22.03(7)
(7) The duty of the respondent to cooperate with the investigation does not affect the respondent's privilege against self-incrimination, but the privilege may be asserted only in respect to matters that may subject the respondent to criminal liability.
22.03(8)
(8) The director, or a special investigator acting under SCR 22.25, may subpoena the respondent and others and compel any person to produce pertinent books, papers, and documents. The director, or a special investigator acting under SCR 22.25, may obtain expert assistance in the course of an investigation.
SCR 22.03 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix; Sup. Ct. Order No.
01-12A, 2002 WI 8, 249 Wis. 2d xiii.
22.04
SCR 22.04 Referral to district committee. 22.04(1)
(1) The director may refer a matter to a district committee for assistance in the investigation. A respondent has the duty to cooperate specified in SCR 21.15 (4) and 22.03 (2) in respect to the district committee. The committee may subpoena and compel the production of documents specified in SCR 22.03 (8) and 22.42.
22.04(2)
(2) When the director refers a matter to a committee, the respondent may make a written request for the substitution of the investigator assigned to the matter by the committee chairperson, or may provide a written waiver of the right to request substitution. The request for substitution shall be made within 14 days after receipt of notice of the assignment of the investigator. One timely request for substitution shall be granted as a matter of right. Additional requests for substitution shall be granted by the committee chairperson for good cause. When a request for substitution is granted, the investigator initially assigned shall not participate further in the matter.
22.04(3)
(3) The district committee shall conduct an investigation and file an investigative report with the director within 90 days after the date the respondent's right to request substitution of the investigator assigned to the matter under sub. (2) as a matter of right terminates or has been waived. The committee chairperson, with notice to the grievant and respondent, may request an extension of time to complete the investigative report from the director. The committee chairperson shall set forth the reasons for the request and the date by which a report will be filed in a written request for the extension. The director may approve or deny the request, in the director's discretion. The investigative report shall outline the relevant factual allegations and identify possible misconduct, if any, and may make a recommendation as to the disposition of the matter. The district committee shall include in reports to the director all relevant exculpatory and inculpatory information obtained.
22.04(4)
(4) The director shall send a copy of the investigative report of the committee to the respondent and to the grievant. The respondent and the grievant each may submit a written response to the investigative report within 10 days after the date the report is sent to them.
22.04(5)
(5) The director may withdraw the referral of a matter to a committee at any time, and the committee thereupon shall terminate its investigation.
SCR 22.04 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix; Sup. Ct. Order No.
01-12, 2001 WI 120, 247 Wis. 2d xiii; Sup. Ct. Order No.
01-12A, 2002 WI 8, 249 Wis. 2d xiii; Sup. Ct. Order No.
03-01, 2003 WI 133, 264 Wis. 2d xiii; Sup. Ct. Order No.
04-10, 2005 WI 56, 279 Wis. 2d xiii.
22.05
SCR 22.05 Disposition of investigation. 22.05(1)
(1) Upon completion of an investigation, the director may do one or more of the following:
22.05(1)(a)
(a) Dismiss the matter for lack of sufficient evidence of cause to proceed.
22.05(1)(b)
(b) Divert the matter to an alternatives to discipline program as provided in SCR 22.10.
22.05(1)(c)
(c) Obtain the respondent's consent to the imposition of a public or private reprimand and proceed under SCR 22.09.
22.05(1)(d)
(d) Present the matter to the preliminary review committee for a determination that there is cause to proceed in the matter.
22.05(2)
(2) The director shall notify the grievant in writing that the grievant may obtain review by a preliminary review panel of the director's dismissal of a matter under sub. (1) by submitting to the director a written request. The request for review must be received by the director within 30 days after the date of the letter notifying the grievant of the dismissal. The director shall send the request to the chairperson of the preliminary review committee, who shall assign it to a preliminary review panel. Upon a timely request by the grievant for additional time, the director shall report the request to the chairperson of the preliminary review committee, who may extend the time for submission of additional information relating to the request for review.
22.05(3)
(3) The preliminary review panel may affirm the dismissal or, if it determines that the director has exercised the director's discretion erroneously, refer the matter to the director for further investigation. A majority vote of the panel is required to find that the director has exercised discretion erroneously. The panel's decision is final, and there shall be no review of the panel's decision. The chairperson of the preliminary review committee shall notify the grievant and the respondent in writing of the panel's decision.
SCR 22.05 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix; Sup. Ct. Order No.
01-12A, 2002 WI 8, 249 Wis. 2d xiii.
22.06
SCR 22.06 Presentation to preliminary review committee. 22.06(1)(1) The director shall submit investigative reports, including all relevant exculpatory and inculpatory information obtained and appendices and exhibits, if any, pursuant to SCR 22.05 (1) (c) to the chairperson of the preliminary review committee. The chairperson shall assign each matter to a panel for consideration.
22.06(2)
(2) The director shall provide each member of the panel a copy of the investigative report in the matter assigned to the panel and the responses of the respondent and the grievant, if any.
22.06(3)
(3) The director and staff designated by the director shall appear before the panel and summarize the investigative reports and the director's position in the matter.
SCR 22.06 History
History: Sup. Ct. Order No.
99-03, 2000 WI 106, 237 Wis. 2d xix.
22.07
SCR 22.07 Preliminary review panels — procedure. 22.07(1)(1) The preliminary review panels shall review the matters assigned to them and determine in each whether there is cause for the director to proceed.
22.07(2)
(2) The meetings and deliberations of the panels are private and confidential. The panels shall take and retain full and complete minutes of their meetings.
