Section 13 - Settlement of Complaints; Consent Decree Agreements(A)Resolution procedureThe proposed resolution of a complaint filed pursuant to Section 9 of this rule, prior to adjudication by the Board, shall not be permitted without the prior review of the Board and the Supreme Court. Parties contemplating the proposed resolution of a complaint shall file a motion to approve a proposed consent decree agreement with the secretary which shall be forwarded to the hearing panel. If the hearing panel, by majority vote, recommends acceptance of the agreement and concurs in the agreed recommended civil penalty, if any, the matter shall be submitted to the Board for consideration.
(1) The motion shall be accompanied by a proposed consent decree agreement that is signed by the respondent, respondent's counsel, if the respondent is represented by counsel, and the relator that shall contain the following: (a) A stipulation of facts and waiver of notice and hearing;(b) An explanation of how the proposed consent decree agreement complies with the applicable factors set forth in division (B) of this section;(c) A recommendation concerning civil penalties based upon the factors set forth in Section 15(B) of this rule and Regulation 400(F) of the Regulations Governing Procedure on Complaints and Hearings Before the Board on the Unauthorized Practice of Law; and(d) An itemized statement of relator's costs or a statement that no costs have been incurred.(2) The motion may be accompanied by a brief filed by either party, or jointly filed by both parties, in support of the agreement.(3) The panel chairperson may order the parties to supplement the agreement with additional information or exhibits to facilitate the hearing panel's consideration of the agreement.(B)Consent decree agreement requirementsA proposed consent decree agreement shall be considered and approved by the hearing panel, the Board and the Court based on the following factors:
(1) The extent the proposed consent decree agreement:(a) Protects the public from future harm and remedies any substantial injury;(b) Resolves material allegations of the unauthorized practice of law;(c) Contains an admission by the respondent to the conduct which gave rise to the complaint;(d) Contains an admission that the conduct constitutes the unauthorized practice of law;(e) Contains an agreement by the respondent to cease and desist the alleged activities;(f) Furthers the stated purposes of this rule;(g) Designates whether civil penalties are to be imposed in accordance with Section 16 of this rule;(h) Assigns the party responsible for costs, if any.(2) Any other relevant factors.(C)Review by the BoardUpon receipt of a proposed consent decree agreement, the assigned hearing panel shall prepare and file a written report to the Board setting forth its recommendation for the acceptance or rejection of the proposed resolution. The Board shall vote to accept or reject the proposed consent decree agreement. Upon a majority vote to accept a consent decree agreement, the Board shall prepare and file a final report with the Supreme Court in accordance with division (D)(l) of this section.
(D)Review by the Court(1) After approving a proposed consent decree agreement, the Board shall file an original final report and the proposed consent decree agreement with the Clerk of the Supreme Court. A copy of the report shall be served upon all parties and counsel of record. Neither party shall be permitted to file an objection to the final report.(2) A consent decree agreement may be approved or rejected by the Supreme Court. If a consent decree agreement is approved, the Court shall issue a consent decree.(E)Rejection of a proposed consent decree agreement(1) A complaint will proceed on the merits pursuant to this rule if a proposed consent decree agreement is rejected by either the Board or the Supreme Court. Upon rejection by the Board, an order shall be issued rejecting the proposed consent decree agreement and remanding the matter to the hearing panel for further proceedings. Upon rejection by the Supreme Court, an order shall be issued remanding the matter to the Board with instructions.(2) A rejected proposed consent decree agreement shall not be admissible or otherwise used in a subsequent proceeding before the Board.(3) No objections or other appeal may be filed with the Supreme Court upon a rejection by the Board of a proposed consent decree agreement.(F)Consultation on terms of proposed consent decree agreement The parties may consult with secretary or with the chairperson of the hearing panel concerning the terms of a proposed consent decree agreement.
(G)Recording of consent decree agreement All consent decree agreements approved by the Supreme Court shall be recorded for reference by the Board, certified unauthorized practice of law committees, disciplinary counsel and the Attorney General.
(H)ApplicationThis section shall not apply to the resolution of matters considered by a certified unauthorized practice of law committee, disciplinary counsel, or the Attorney General before a complaint is filed pursuant to Section 11 of this rule.
Amended April 27, 2021, effective 7/1/2021