Rule ELPOC. Rules for Enforcement of Limited Practice Officer Conduct (ELPOC)

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RULES FOR ENFORCEMENT OF LIMITED PRACTICE OFFICER CONDUCT

(ELPOC)

TITLE 1—SCOPE, JURISDICTION, AND DEFINITIONS

ELPOC 1.1 SCOPE OF RULES

These rules govern the procedure by which a Limited Practice Officer may be subjected to

disciplinary sanctions or actions for violation of the Limited Practice Officer Rules of

Professional Conduct (LPORPC) adopted by the Washington Supreme Court.

[Adopted effective January 1, 2009.]

ELPOC 1.2 JURISDICTION

Any licensed LPO permitted to engage in the limited practice of law in this state is subject

to these Rules for Enforcement of Limited Practice Officer Conduct. Jurisdiction exists

regardless of the LPO’s residency or authority to engage in the limited practice of law in this

state.

[Adopted effective January 1, 2009.]

ELPOC 1.3 DEFINITIONS

Unless the context clearly indicates otherwise, terms used in these rules have the following

meanings:

(a) "Association" means the Washington State Bar Association;

(b) "Public file" means the pleadings, motions, rulings, decisions, and other formal papers

filed in a proceeding;

(d) “Board of Governors” means the Board of Governors of the Washington State Bar

Association;

(e) “Chair” when used alone means the Chair of the Limited Practice Board;

(f) “Clerk” when used alone means the Association’s staff designated to work with the

Limited Practice Board and includes the Directory of Regulatory Services and other Association

counsel where appropriate;

(g) “Closing Firm” means any bank, depository institution, escrow agent, title company,

law firm, or other business, whether public or private, that employs, or contracts for the services

of, an LPO for the purpose of providing real or personal property closing services for a

transaction;

(h) “Court” unless otherwise specified, means the Supreme Court of Washington;

(i) “Disciplinary action” means sanctions under rule 13.1 and admonitions under rule 13.5;

nt, title company,

law firm, or other business, whether public or private, that employs, or contracts for the services

of, an LPO for the purpose of providing real or personal property closing services for a

transaction;

(h) “Court” unless otherwise specified, means the Supreme Court of Washington;

(i) “Disciplinary action” means sanctions under rule 13.1 and admonitions under rule 13.5;

(j) “ELC” means the Rules for Enforcement of Lawyer Conduct;

(k) “Final” means no review has been sought in a timely fashion or all appeals have been

concluded;

(l) “Grievant” means the person or entity who files a grievance (except for a confidential

source under rule 5.2);

(m) “Hearing Officer” means the person assigned under rule 10.2(a)(1) or, when a hearing

panel has been assigned, the hearing panel chair;

(n) “LPO” means limited practice officer;

(o) “Mental or physical incapacity” includes, but is not limited to, insanity, mental illness,

senility, or debilitating use of alcohol or drugs;

(p) "Panel" means a hearing panel under rule 10.2(a)(2);

(q) “Party” means disciplinary counsel or respondent, except in rule 2.3(f) “party” also

includes a grievant;

(r) “Respondent” means an LPO against whom a grievance is filed or an LPO investigated

by the Clerk or disciplinary counsel;

(s) “APR” means the Admission and Practice Rules;

(t) “CR” means the Superior Court Civil Rules;

(u) “RAP” means the Rules of Appellate Procedure;

(v) “LPORPC” means the Limited Practice Officer Rules of Professional Conduct adopted

by the Washington Supreme Court.

Respondent” means an LPO against whom a grievance is filed or an LPO investigated

by the Clerk or disciplinary counsel;

(s) “APR” means the Admission and Practice Rules;

(t) “CR” means the Superior Court Civil Rules;

(u) “RAP” means the Rules of Appellate Procedure;

(v) “LPORPC” means the Limited Practice Officer Rules of Professional Conduct adopted

by the Washington Supreme Court.

(w) Words of authority.

(1) “May” means “has discretion to,” “has a right to,” or “is permitted to.”

(2) “Must” means “is required to.”

(3) “Should” means recommended but not required.

[Adopted effective January 1, 2009; Amended effective March 1, 2016.]

ELPOC 1.4 NO STATUTE OF LIMITATION

No statute of limitation or other time limitation restricts filing a grievance or bringing a

proceeding under these rules, but the passage of time since an act of misconduct occurred may be

considered in determining what if any action or sanction is warranted.

[Adopted effective January 1, 2009.]

ELPOC 1.5 VIOLATION OF DUTIES IMPOSED BY THESE RULES

An LPO violates LPORPC 1.10 and may be disciplined under these rules for violating

duties imposed by these rules, including but not limited to the following duties:

•

respond to inquiries or requests about matters under investigation, rule 5.3(e);

•

file an answer to a formal complaint or to an amendment to a formal complaint,

rule 10.5;

•

cooperate with discovery and comply with hearing orders, rules 5.5 and 10.11(g);

•

attend a hearing and bring materials requested by Association staff and/or

disciplinary counsel, rule 10.13(b) and (c);

•

respond to subpoenas and comply with orders enforcing subpoenas, rule 10.13(e);

•

notify clients and others of inability to act, rule 14.1;

•

discontinue practice, rule 14.2;

•

file an affidavit of compliance, rule 14.3;

•

maintain confidentiality, rule 3.2;

•

cooperate with an examination of books and records, rule 15.2;

•

notify the Association of a trust account overdraft, rule

to subpoenas and comply with orders enforcing subpoenas, rule 10.13(e);

•

notify clients and others of inability to act, rule 14.1;

•

discontinue practice, rule 14.2;

•

file an affidavit of compliance, rule 14.3;

•

maintain confidentiality, rule 3.2;

•

cooperate with an examination of books and records, rule 15.2;

•

notify the Association of a trust account overdraft, rule 15.4(d);

•

file a declaration or questionnaire certifying compliance with LPORPC 1.12A and

B, rule 15.5;

•

comply with conditions of probation, rule 13.8;

•

comply with conditions of a stipulation, rule 9.1;

•

pay restitution, rule 13.7; or

•

pay costs, rule 5.3(e) or 13.9.

[Adopted effective January 1, 2009.]

TITLE 2—ORGANIZATION AND STRUCTURE

ELPOC 2.1 SUPREME COURT

The Washington Supreme Court has exclusive responsibility in the state to administer the

LPO discipline and disability system and has inherent power to maintain appropriate standards of

professional conduct and to dispose of individual cases of LPO discipline and disability. Persons

carrying out the functions set forth in these rules act under the Supreme Court’s authority.

[Adopted effective January 1, 2009.]

ELPOC 2.2 BOARD OF GOVERNORS

(a) Function. The Board of Governors of the Association:

(1) supervises the general functioning of the disciplinary counsel and Association staff; and

(2) performs other functions and takes other actions provided in these rules, delegated by

the Supreme Court, or necessary and proper to carry out its duties.

(b) Limitation of Authority. The Board of Governors has no right or responsibility to

review hearing officer, hearing panel, or Limited Practice Board decisions or recommendations

in specific cases.

[Adopted effective January 1, 2009.]

ELPOC 2.3 LIMITED PRACTICE BOARD

(a) Function for purposes of these rules. The Board performs the functions provided

under these rules, delegated by the Supreme Court, or necessary and proper to carry out its

duties.

or responsibility to

review hearing officer, hearing panel, or Limited Practice Board decisions or recommendations

in specific cases.

[Adopted effective January 1, 2009.]

ELPOC 2.3 LIMITED PRACTICE BOARD

(a) Function for purposes of these rules. The Board performs the functions provided

under these rules, delegated by the Supreme Court, or necessary and proper to carry out its

duties.

(b) Membership.

(1) Composition. The Board is composed as set forth in APR 12(b)(1).

(2) Voting. Each member, including the Chair, whether nonlawyer or lawyer, has one vote.

(3) Quorum. A majority of the Board members constitutes a quorum. If there is a quorum,

the concurrence of a majority of those present and voting constitutes action of the Board, so long

as at least five members vote.

(4) Leave of Absence While Grievance Is Pending. If a grievance is filed against a member

of the Board, the member shall take a leave of absence until the matter is resolved.

(1) A Board member should self-disqualify from a particular matter in which the member’s

impartiality might reasonably be questioned, including, but not limited to, instances in which:

(A) the member has a personal bias or prejudice concerning a party, or personal knowledge

of disputed evidentiary facts concerning the matter;

(B) the member previously served as a lawyer or LPO or was a material witness in the

matter in controversy, or a lawyer or LPO with whom the member works serves or has

previously served as a lawyer or LPO concerning the matter, or such lawyer or LPO is or has

been a material witness concerning the matter;

spouse or relative residing in the member’s household, has an economic interest in the subject

matter in controversy or in a party to the matter, or is an officer, director, or trustee of a party or

has any other interest that could be substantially affected by the outcome of the matter, unless

he matter;

spouse or relative residing in the member’s household, has an economic interest in the subject

matter in controversy or in a party to the matter, or is an officer, director, or trustee of a party or

has any other interest that could be substantially affected by the outcome of the matter, unless

there is a remittal of disqualification under section (d);

(D) the member or the member’s spouse or relative residing in the member’s household, or

the spouse of such a person:

(i) is a party to the matter, or an officer, director, or trustee of a party;

(ii) is acting as a lawyer or LPO in the matter;

(iii) is to the member’s knowledge likely to be a material witness in the matter;

(d) Remittal of Disqualification. A member disqualified under subsection (c)(1)(C) or

(c)(1)(D) may, instead of withdrawing from consideration of the matter, disclose on the record

the basis of the disqualification. If, based on such disclosure, the parties and lawyers,

independently of the member’s participation, all agree in writing or on the record that the

member’s relationship is immaterial or that the member’s economic interest is de minimis, the

member is no longer disqualified, and may participate in the matter. If a party is not

immediately available, the member may proceed on the assurance of the party’s counsel that the

party’s consent will be subsequently given.

(e) Counsel and Clerk. The Executive Director of the Association, under the direction of

the Association’s Board of Governors, may appoint a suitable person or persons to act as counsel

and Clerk to the Board, to assist the Board and the discipline committee in carrying out their

functions under these rules.

urance of the party’s counsel that the

party’s consent will be subsequently given.

(e) Counsel and Clerk. The Executive Director of the Association, under the direction of

the Association’s Board of Governors, may appoint a suitable person or persons to act as counsel

and Clerk to the Board, to assist the Board and the discipline committee in carrying out their

functions under these rules.

(f) Restriction on Representing Respondents. Former members of the Board are subject

to the restrictions on representing respondents in rule 2.11(b).

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 2.4 DISCIPLINE COMMITTEE

(a) Function. The discipline committee performs the functions provided under these rules,

delegated by the Board or the Chair, or necessary and proper to carry out its duties.

(b) Membership. The Chair appoints a discipline committee of three members from

among the Board members. At least one of the members must have substantial experience in the

industry. The Chair may change the appointment of members to the discipline committee as

necessary for equitable distribution of work or for other reasons. The Chair does not serve on the

discipline committee.

member of the discipline committee with substantial experience in the industry to act as its chair.

(d) Terms of Office. A Limited Practice Board member may serves as a discipline

committee member as long as the member is on the Board or for other shorter terms as

determined by the Chair of the Limited Practice Board to be appropriate.

The Chair of the Limited Practice Board designates one

member of the discipline committee with substantial experience in the industry to act as its chair.

(d) Terms of Office. A Limited Practice Board member may serves as a discipline

committee member as long as the member is on the Board or for other shorter terms as

determined by the Chair of the Limited Practice Board to be appropriate.

(e) Meetings. The discipline committee meets at times and places determined by the

discipline committee chair, under the general direction of the Chair of the Limited Practice

Board. In the discipline committee chair’s discretion, the committee may meet and act through

electronic, telephonic, written, or other means of communication.

[Adopted effective January 1, 2009.]

ELPOC 2.5 HEARING OFFICER OR PANEL

(a) Function. A hearing officer or panel to whom a case has been assigned for hearing

conducts the hearing and performs other functions as provided under these rules.

(b) Qualifications. A hearing officer must be an active hearing officer in the lawyer

discipline system as set forth in rule 2.5 of the Rules for Enforcement of Lawyer Conduct (ELC),

preferably with practice or adjudicative experience in law related to real estate transactions.

[Adopted effective January 1, 2009.]

ELPOC 2.6 HEARING OFFICER CONDUCT

Conduct of Those on Hearing Officer List. The duties and responsibilities imposed on

hearing officers by ELC 2.6 apply to hearing officers for LPO disciplinary proceedings.

Additionally, a person on the hearing officer list should not:

(1) testify voluntarily as a character witness in an LPO disciplinary proceeding;

(2) serve as an expert witness related to the professional conduct of LPOs in any

proceeding; or

ing Officer List. The duties and responsibilities imposed on

hearing officers by ELC 2.6 apply to hearing officers for LPO disciplinary proceedings.

Additionally, a person on the hearing officer list should not:

(1) testify voluntarily as a character witness in an LPO disciplinary proceeding;

(2) serve as an expert witness related to the professional conduct of LPOs in any

proceeding; or

(3) serve as respondent’s counsel in LPO disciplinary proceedings.

[Adopted effective January 1, 2009.]

ELPOC 2.7 DISCIPLINARY COUNSEL

Association disciplinary counsel appointed under ELC 2.8, or other designated Association

staff who are WSBA members, acts as counsel on the Board’s behalf on all matters under these

rules, and performs other duties as required by these rules. Special disciplinary counsel may be

appointed whenever necessary to conduct an individual investigation or proceeding.

[Adopted effective January 1, 2009.]

ELPOC 2.8 REMOVAL OF APPOINTEES

The power granted by these rules to any person, committee, or board to make any

appointment includes the power to remove the person appointed whenever that person appears

unwilling or unable to perform their duties, or for any other cause, and to fill the resulting

vacancy.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 2.9 COMPENSATION AND EXPENSES

Compensation and expenses of hearing officers will be as prescribed in ELC 2.11.

[Adopted effective January 1, 2009.]

ELPOC 2.10 COMMUNICATIONS TO THE BOARD PRIVILEGED

Communications to the Board, discipline committee, Association, Board of Governors,

hearing officer, disciplinary counsel, Association staff, or any other individual acting under

authority of these rules, are absolutely privileged, and no lawsuit predicated thereon may be

instituted against any grievant, witness, or other person providing information.

[Adopted effective January 1, 2009.]

ELPOC 2.11 RESPONDENT LIMITED PRACTICE OFFICER

ttee, Association, Board of Governors,

hearing officer, disciplinary counsel, Association staff, or any other individual acting under

authority of these rules, are absolutely privileged, and no lawsuit predicated thereon may be

instituted against any grievant, witness, or other person providing information.

[Adopted effective January 1, 2009.]

ELPOC 2.11 RESPONDENT LIMITED PRACTICE OFFICER

(a) Right to Representation. An LPO may be represented by counsel during any stage of

an investigation or proceeding under these rules.

(b) Restrictions on Representation of Respondent. A former Chair of the Board or

Board member cannot represent a respondent LPO in any proceeding under these rules until

three years after leaving office.

seek to charge a grievant a fee or recover costs from a grievant for responding to a grievance

unless otherwise permitted by these rules.

(d) Medical and Psychological Records. A respondent LPO must furnish written releases

or authorizations to permit disciplinary counsel access to medical, psychiatric, or psychological

records as may be relevant to the investigation or proceeding, subject to a motion to the chief

hearing officer, or the hearing officer if one has been appointed, to limit the scope of the

requested releases or authorizations for good cause shown.

[Adopted effective January 1, 2009.]

TITLE 3—ACCESS AND NOTICE

ELPOC 3.1 OPEN MEETINGS AND PUBLIC DISCIPLINARY INFORMATION

(a) Open Meetings. Disciplinary hearings of the Board are public. Except as otherwise

provided in these rules, Supreme Court proceedings are public to the same extent as other

Supreme Court proceedings. Deliberations of the Board, the discipline committee, a hearing

officer, or court, and matters made confidential by other provisions of these rules, are not public.

DISCIPLINARY INFORMATION

(a) Open Meetings. Disciplinary hearings of the Board are public. Except as otherwise

provided in these rules, Supreme Court proceedings are public to the same extent as other

Supreme Court proceedings. Deliberations of the Board, the discipline committee, a hearing

officer, or court, and matters made confidential by other provisions of these rules, are not public.

(b) Public Disciplinary Information. The public has access to the following information

subject to these rules:

(1) the record before the discipline committee and the order of the discipline committee in

any matter that a discipline committee has ordered to hearing or ordered an admonition be

issued;

(2) the record upon distribution to the discipline committee or to the Supreme Court in

proceedings based on a conviction of a felony or serious crime, as defined in rule 7.1(a);

(3) the record upon distribution to the discipline committee or to the Supreme Court in

proceedings under rule 7.2;

(4) the record and order upon approval of a stipulation for discipline imposing a sanction or

admonition, and the order approving a stipulation to dismissal of a matter previously made

public under these rules;

(5) the record before a hearing officer;

(6) the record and order before the Board in any matter reviewed under rule 10.9 or

Title 11;

(7) the public file and any exhibits and any Board or discipline committee order in any

matter that the Board or the discipline committee has ordered to public hearing, or any matter in

which disciplinary action has been taken, or any proceeding under rules 7.1-7.6;

(8) in any disciplinary matter referred to the Supreme Court, the file, record, briefs, and

argument in the case;

(9) an LPO’s voluntary cancellation in lieu of revocation under rule 9.2; and

(10) any sanction or admonition imposed on a respondent.

committee has ordered to public hearing, or any matter in

which disciplinary action has been taken, or any proceeding under rules 7.1-7.6;

(8) in any disciplinary matter referred to the Supreme Court, the file, record, briefs, and

argument in the case;

(9) an LPO’s voluntary cancellation in lieu of revocation under rule 9.2; and

(10) any sanction or admonition imposed on a respondent.

be subject to reasonable regulation as to time, place, and manner of access. Certified copies of

public file documents will be made available at the same rate as certified copies of superior court

records. Uncertified copies of public bar file documents will be made available at a rate to be set

by the Executive Director of the Association.

[Adopted effective January 1, 2009.]

ELPOC 3.2 CONFIDENTIAL DISCIPLINARY INFORMATION

(a) Scope of Confidentiality. All disciplinary materials that are not public information as

defined in rule 3.1(b) are confidential, and are held by the Board under the authority of the

Supreme Court, including but not limited to information protected by rule 3.3(b), rule 5.1(c)(3), a

protective order under rule 3.2(c), rule 3.2(b), court order, or other applicable law (e.g., medical

records, police reports, etc.).

(b) Investigative Confidentiality. During the course of an investigation or proceeding, the

Chair may direct that otherwise public information be kept confidential if necessary to further the

purposes of the investigation. At the conclusion of the proceeding, those materials become

public information unless subject to a protective order.

e law (e.g., medical

records, police reports, etc.).

(b) Investigative Confidentiality. During the course of an investigation or proceeding, the

Chair may direct that otherwise public information be kept confidential if necessary to further the

purposes of the investigation. At the conclusion of the proceeding, those materials become

public information unless subject to a protective order.

respondent LPO, or other participant in an investigation, on motion and for good cause shown,

the Board Chair, the chair of the discipline committee to which a matter is assigned, or a hearing

officer to whom a matter is assigned may issue a protective order prohibiting the disclosure or

release of specific information, documents, or pleadings, and direct that the proceedings be

conducted so as to implement the order. Filing a motion for a protective order stays the

provisions of this title as to any matter sought to be kept confidential until five days after a ruling

is served on the parties. The Board reviews decisions granting or denying a protective order if

either the respondent LPO, Clerk or disciplinary counsel requests a review within five days of

service of the decision. On review, the Board may affirm, reverse, or modify the protective

order. The Board’s decision is not subject to further review. A request for review by the Board

stays the provisions of this title as to any matter sought to be kept confidential in that request,

and the request itself is confidential until a ruling is issued.

[Adopted effective January 1, 2009.]

ELPOC 3.3 APPLICATION TO STIPULATIONS, DISABILITY PROCEEDINGS, AND

DIVERSION CONTRACTS

ective

order. The Board’s decision is not subject to further review. A request for review by the Board

stays the provisions of this title as to any matter sought to be kept confidential in that request,

and the request itself is confidential until a ruling is issued.

[Adopted effective January 1, 2009.]

ELPOC 3.3 APPLICATION TO STIPULATIONS, DISABILITY PROCEEDINGS, AND

DIVERSION CONTRACTS

(a) Application to Stipulations. A stipulation under rule 9.1 providing for imposition of a

disciplinary sanction or admonition is confidential until approved, except that a grievant may be

advised concerning a stipulation and its proposed or actual content at any time. An approved

stipulation is public, unless:

(1) it is approved before the filing of a formal complaint;

(2) it provides for dismissal of a grievance without a disciplinary sanction or admonition;

and

(3) proceedings have not been instituted for failure to comply with the terms of the

stipulation.

(b) Application to Disability Proceedings. Disability proceedings under title 8 are

confidential. However, a grievant may be advised that an LPO against whom the grievant has

complained is subject to disability proceedings. The following information is public:

(1) that an LPO has been transferred to disability inactive status, or has been reinstated to

active status; and

(2) that a disciplinary proceeding is deferred pending supplemental proceedings under title

are

confidential. However, a grievant may be advised that an LPO against whom the grievant has

complained is subject to disability proceedings. The following information is public:

(1) that an LPO has been transferred to disability inactive status, or has been reinstated to

active status; and

(2) that a disciplinary proceeding is deferred pending supplemental proceedings under title

under rules 6.5 and 6.6 are confidential, despite rule 3.1(b)(1), unless admitted into evidence in a

disciplinary proceeding following termination of the diversion contract for material breach.

When a matter that has previously become public under rule 3.1(b) is diverted by a diversion

contract, that contract and the supporting documents are confidential but the fact that the matter

was diverted from discipline is public information.

ELPOC 3.4 RELEASE OR DISCLOSURE OF OTHERWISE CONFIDENTIAL

INFORMATION

(a) Disclosure of Information. Except as provided in rule 3.2(c), the grievant, respondent

LPO, or any witness may disclose the existence of proceedings under these rules or any

documents or correspondence the person received.

(b) Investigative Disclosure. The Board, Clerk, or other Association staff performing

duties under these rules may disclose information as necessary to conduct the investigation or to

keep a grievant advised of the status of a matter except as prohibited by rule 3.3(b), or 5.1(c)(3),

other court order, or other applicable law.

an LPO, the Board may release the status of otherwise confidential disciplinary proceedings and

provide copies of nonpublic information to any agency that an LPO authorizes to investigate the

LPO’s disciplinary record.

pt as prohibited by rule 3.3(b), or 5.1(c)(3),

other court order, or other applicable law.

an LPO, the Board may release the status of otherwise confidential disciplinary proceedings and

provide copies of nonpublic information to any agency that an LPO authorizes to investigate the

LPO’s disciplinary record.

(d) Response to Inquiry or False or Misleading Statement.

(1) The Board, the Chair, the President, the Board of Governors, the Executive Director, or

Chief Disciplinary Counsel, or the Director of Regulatory Services or a designee of any of them,

may release otherwise confidential information:

(A) to respond to specific inquiries about matters that are in the public domain; or

(B) if necessary to correct a false or misleading public statement.

(2) A respondent must be given notice of a decision to release information under this

section unless the Board, the Chair, the President, the Board of Governors, the Executive

Director, or the Chief Disciplinary Counsel, or the Director of Regulatory Services finds that

notice would jeopardize serious interests of any person or the public or compromise an ongoing

investigation.

(e) Discretionary Release. The Chair, the Director of Regulatory Services, the Executive

Director or the Chief Disciplinary Counsel may authorize the general or limited release of any

confidential information obtained during an investigation when it appears necessary to protect

hat

notice would jeopardize serious interests of any person or the public or compromise an ongoing

investigation.

(e) Discretionary Release. The Chair, the Director of Regulatory Services, the Executive

Director or the Chief Disciplinary Counsel may authorize the general or limited release of any

confidential information obtained during an investigation when it appears necessary to protect

the interests of clients or other persons, the public, or the integrity of the disciplinary process. A

respondent must be given notice of a decision to release information under this section before its

release unless the Chair, the Director of Regulatory Services, the Executive Director or the Chief

Disciplinary Counsel finds that notice would jeopardize serious interests of any person or the

public, or that the delay caused by giving the respondent notice would be detrimental to the

integrity of the disciplinary process.

(f) Cooperation with Enforcement Authorities. Except as provided in rule 3.2(c),

information or testimony may be released to authorities in any jurisdiction authorized to

investigate alleged criminal activity, and to the Washington State Department of Financial

Institutions, and to the Washington Office of the Insurance Commissioner.

(g) Release to Practice of Law Board. Information obtained in an investigation relating

to possible unauthorized practice of law may be released to the Practice of Law Board. Such

information shall remain under the control of the Limited Practice Board and the Practice of Law

Board must treat it as confidential unless this title or the Board authorizes release.

[Adoptive effective January 1, 2009.]

ELPOC 3.5 NOTICE OF DISCIPLINE

(a) Notice to Supreme Court. The Clerk must provide the Supreme Court with:

(1) a copy of any decision imposing a disciplinary sanction when that decision becomes

final;

(2) a copy of any admonition, together with the order issuing the admonition, when the

admonition is accepted or otherwise becomes final.

elease.

[Adoptive effective January 1, 2009.]

ELPOC 3.5 NOTICE OF DISCIPLINE

(a) Notice to Supreme Court. The Clerk must provide the Supreme Court with:

(1) a copy of any decision imposing a disciplinary sanction when that decision becomes

final;

(2) a copy of any admonition, together with the order issuing the admonition, when the

admonition is accepted or otherwise becomes final.

(b) Notices of Suspension, Revocation, or Disability Inactive Status. The Board must

publish a notice of the revocation, suspension, or transfer to disability inactive status of an LPO

on the Association web site. For a transfer to disability inactive status, no reference may be

made to the specific disability. The Board may adopt formal publishing policies from time to

time as consistent with this rule.

[Adoptive effective January 1, 2009.]

ELPOC 3.6 MAINTENANCE OF RECORDS

(a) Permanent Records. In any matter in which a disciplinary sanction has been imposed,

the public file and transcripts of the proceeding are permanent records. Related file materials,

including investigative files, may be maintained in the Clerk’s or disciplinary counsel’s

discretion. Exhibits may be returned to the party supplying them, but copies should be retained

where possible.

(b) Destruction of Files. In any matter in which a grievance or investigation has been

dismissed without the imposition of a disciplinary sanction, whether following a hearing or

otherwise, file materials relating to the matter may be destroyed three years after the dismissal

first occurred, and must be destroyed at that time on the respondent LPO’s request unless the

files are being used in an ongoing investigation or unless other good cause exists for retention.

However, file materials on a matter concluded with an admonition must be retained at least five

years after the admonition was issued. If disciplinary counsel or the Clerk opposes a request by a

respondent for destruction of files under this rule, the Board rules on that request.

est unless the

files are being used in an ongoing investigation or unless other good cause exists for retention.

However, file materials on a matter concluded with an admonition must be retained at least five

years after the admonition was issued. If disciplinary counsel or the Clerk opposes a request by a

respondent for destruction of files under this rule, the Board rules on that request.

Board may retain a docket record of the matter for statistical purposes only. That docket record

must not include the name or other identification of the respondent.

(d) Deceased Limited Practice Officers. Records and files relating to a deceased LPO,

including permanent records, may be destroyed at any time in the Clerk’s discretion.

[Adoptive effective January 1, 2009.]

TITLE 4—GENERAL PROCEDURAL RULES

ELPOC 4.1 SERVICE OF PAPERS

(a) Service Required. Every pleading, every paper relating to discovery, every written

request or motion other than one which may be heard ex parte, and every similar paper or

document issued by the Board, the Clerk, disciplinary counsel or the respondent LPO under these

rules must be served on the opposing party. If a hearing is pending and a hearing officer has

been assigned, except for discovery, the party also must serve a copy on the hearing officer.

(b) Methods of Service.

(1) Service by Mail.

(A) Unless personal service is required or these rules specifically provide otherwise,

service may be accomplished by postage prepaid mail. If properly made, service by mail is

deemed accomplished on the date of mailing and is effective regardless of whether the person to

whom it is addressed actually receives it.

(B) Except as provided below, service by mail must be by certified or registered mail,

return receipt requested. Service may be by first class mail if:

otherwise,

service may be accomplished by postage prepaid mail. If properly made, service by mail is

deemed accomplished on the date of mailing and is effective regardless of whether the person to

whom it is addressed actually receives it.

(B) Except as provided below, service by mail must be by certified or registered mail,

return receipt requested. Service may be by first class mail if:

(i) the parties so agree;

(ii) the document is a notice of dismissal by the Clerk or disciplinary counsel, a notice

regarding deferral under rule 5.3(b), or a request for review of any of these notices;

(iii) one or more properly made certified mailings is returned as unclaimed; or

(iv) service is on a hearing officer.

(i) for the respondent, or their attorney of record, the address in the answer, a notice of

appearance, or any subsequent document filed by the respondent or their attorney; or, in the

absence of an answer, the respondent’s address on file with the Association;

(ii) for the Board, the Clerk or disciplinary counsel, at the address of the Association or

other address that disciplinary counsel requests.

(2) Service by Delivery. If service by mail is permitted, service may instead be

accomplished by leaving the document at the address for service by mail.

(3) Personal Service. Personal service on a respondent is accomplished as follows:

(A) if the respondent is found in Washington State, by personal service in the manner

required for personal service of a summons in a civil action in the superior court;

(B) if the respondent cannot be found in Washington State, service may be made either by:

document at the address for service by mail.

(3) Personal Service. Personal service on a respondent is accomplished as follows:

(A) if the respondent is found in Washington State, by personal service in the manner

required for personal service of a summons in a civil action in the superior court;

(B) if the respondent cannot be found in Washington State, service may be made either by:

(i) leaving a copy at the respondent’s place of usual abode in Washington State with a

person of suitable age and discretion then resident therein; or

(ii) mailing by registered or certified mail, postage prepaid, a copy addressed to the

respondent at their last known place of abode, office address maintained for the practice as an

LPO, post office address, or address on file with the Association.

described in (A) or (B) above.

been appointed for a respondent who has been judicially declared to be incapacitated or

incapable of conducting their own affairs, service under sections (a) and (b) above must also be

made on the guardian or guardian ad litem.

(d) Proof of Service. If personal service is required, proof of service may be made by

affidavit of service, sheriff's return of service, or a signed acknowledgment of service. In other

cases, proof of service may also be made by certificate of a lawyer similar to that allowed by

CR 5(b)(2)(B), which certificate must state the form of mail used. Proof of service in all cases

must be filed but need not be served on the opposing party.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 4.2 FILING; ORDERS

signed acknowledgment of service. In other

cases, proof of service may also be made by certificate of a lawyer similar to that allowed by

CR 5(b)(2)(B), which certificate must state the form of mail used. Proof of service in all cases

must be filed but need not be served on the opposing party.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 4.2 FILING; ORDERS

(a) Filing Originals. Except in matters before the Supreme Court, the original of any

pleading, motion, or other paper authorized by these rules, other than discovery, must be filed

with the Clerk. Filing may be made by first class mail and is deemed accomplished on the date

of mailing. Filing of papers for matters before the Supreme Court is governed by the Rules of

Appellate Procedure.

(b) Filing and Service of Orders. Any written order, decision, or ruling, except an order

of the Supreme Court or an informal ruling issued under rule 10.8(e), must be filed with the

Clerk, and the Clerk serves it on the respondent LPO and disciplinary counsel.

[Adopted effective January 1, 2009.]

ELPOC 4.3 PAPERS

All pleadings or other papers must be typewritten or printed, double spaced, on good

quality 8-1/2 by 11-inch paper. The use of letter size copies of exhibits is encouraged if it does

not impair legibility.

[Adopted effective January 1, 2009.]

ELPOC 4.4 COMPUTATION OF TIME

CR 6(a) and (e) govern the computation of time under these rules.

[Adopted effective January 1, 2009.]

ELPOC 4.5 STIPULATION TO EXTENSION OR REDUCTION OF TIME

Except for notices of appeal or matters pending before the Supreme Court, the respondent

LPO and the Board, the Clerk or disciplinary counsel may stipulate in any proceeding to

extension or reduction of the time requirements.

[Adopted effective January 1, 2009.]

ELPOC 4.6 ENFORCEMENT OF SUBPOENAS

pted effective January 1, 2009.]

ELPOC 4.5 STIPULATION TO EXTENSION OR REDUCTION OF TIME

Except for notices of appeal or matters pending before the Supreme Court, the respondent

LPO and the Board, the Clerk or disciplinary counsel may stipulate in any proceeding to

extension or reduction of the time requirements.

[Adopted effective January 1, 2009.]

ELPOC 4.6 ENFORCEMENT OF SUBPOENAS

(a) Authority. To enforce subpoenas issued under these rules, the Supreme Court

delegates contempt authority to the Superior Courts as necessary for the Superior Courts to act

under this rule.

(b) Procedure.

(1) If a person fails to obey a subpoena, or obeys the subpoena but refuses to testify or

produce documents when requested, disciplinary counsel, the respondent LPO or the person

issuing the subpoena may petition the Superior Court of the county where the hearing is being

conducted, where the subpoenaed person resides or is found, or where the subpoenaed

documents are located, for enforcement of the subpoena. The petition must:

(A) be accompanied by a copy of the subpoena and proof of service;

(B) state the specific manner of the lack of compliance; and

(2) Upon the filing of the petition, the Superior Court enters an order directing the person to

appear before it at a specified time and place to show cause why the person has not obeyed the

subpoena or has refused to testify or produce documents. A copy of the Superior Court’s show

cause order must be served on the person.

k of compliance; and

(2) Upon the filing of the petition, the Superior Court enters an order directing the person to

appear before it at a specified time and place to show cause why the person has not obeyed the

subpoena or has refused to testify or produce documents. A copy of the Superior Court’s show

cause order must be served on the person.

(3) At the show cause hearing, if it appears to the Superior Court that the subpoena was

properly issued, and that the particular questions the person refused to answer or the requests for

production of documents were reasonable and relevant, the Superior Court enters an order

requiring the person to appear at a specified time and place and testify or produce the required

documents. On failing to obey this order, the person is dealt with as for contempt of court.

[Adopted effective January 1, 2009.]

TITLE 5—GRIEVANCE INVESTIGATIONS AND DISPOSITION

ELPOC 5.1 GRIEVANTS

(a) Filing of Grievance. Any person or entity may file a grievance against an LPO

licensed in this state.

(b) Consent to Disclosure. By filing a grievance, the grievant consents to disclosure of the

content of the grievance to the respondent LPO or to any other person contacted during the

investigation of the grievance, or to any person under rules 3.1 – 3.4, unless a protective order is

issued under rule 3.2(c) or the grievance was filed under rule 5.2. By filing a grievance, the

grievant also agrees that the respondent may disclose to the Clerk or disciplinary counsel

investigating the grievance any information relevant to the investigation, unless a protective

order is issued under rule 3.2(c).

grievance, or to any person under rules 3.1 – 3.4, unless a protective order is

issued under rule 3.2(c) or the grievance was filed under rule 5.2. By filing a grievance, the

grievant also agrees that the respondent may disclose to the Clerk or disciplinary counsel

investigating the grievance any information relevant to the investigation, unless a protective

order is issued under rule 3.2(c).

(1) to be advised promptly of the receipt of the grievance, and of the name, address, and

office phone number of the person assigned to its investigation if such an assignment is made;

(2) to have a reasonable opportunity to speak with the person assigned to the grievance, by

telephone or in person, about the substance of the grievance or its status;

(3) to receive a copy of any response submitted by the respondent, except:

(A) if the response contains information of a personal and private nature about the

respondent; or

(B) if the discipline committee determines that the interests of justice would be better

served by not releasing the response;

(4) to submit additional supplemental written information or documentation at any time;

(5) to attend any hearing conducted into the grievance, subject to these rules and any

protective order issued under rule 3.2(c);

(6) to provide relevant testimony at any hearing conducted into the grievance, subject to

these rules and any protective order issued under rule 3.2(c);

(7) to be notified of any proposed decision to refer the respondent to diversion and to be

given a reasonable opportunity to submit to the Clerk or disciplinary counsel a written comment

thereon;

(8) to be advised of the disposition of the grievance; and

(9) to request reconsideration of a dismissal of the grievance as provided in rule 5.6(b).

protective order issued under rule 3.2(c);

(7) to be notified of any proposed decision to refer the respondent to diversion and to be

given a reasonable opportunity to submit to the Clerk or disciplinary counsel a written comment

thereon;

(8) to be advised of the disposition of the grievance; and

(9) to request reconsideration of a dismissal of the grievance as provided in rule 5.6(b).

(d) Grievant Duties. A grievant must do the following, or the grievance may be

dismissed:

(1) give the person assigned to the grievance documents or other evidence in the grievant’s

possession, and witnesses’ names and addresses;

(2) assist in securing relevant evidence; and

(3) appear and testify at any hearing resulting from the grievance.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 5.2 CONFIDENTIAL SOURCES

If a person files a grievance or provides information to the Clerk, disciplinary counsel or

the Board about an LPO’s possible misconduct or disability, and asks to be treated as a

confidential source, an investigation may be conducted in the Board’s name. The confidential

source has neither the rights nor the duties of a grievant. Unless otherwise ordered, the person’s

identity may not be disclosed, either during the investigation or in subsequent formal

proceedings. If the respondent requests disclosure of the person’s identity, the Chair, the chair of

the discipline committee, or a hearing officer before whom a matter is pending examines

disciplinary counsel and any requested documents or file materials in camera without the

presence of the respondent or respondent’s counsel and may order disciplinary counsel or the

Clerk to reveal the identity to the respondent if doing so appears necessary for the respondent to

conduct a proper defense in the proceeding.

[Adopted effective January 1, 2009.]

ELPOC 5.3 INVESTIGATION OF GRIEVANCE

inary counsel and any requested documents or file materials in camera without the

presence of the respondent or respondent’s counsel and may order disciplinary counsel or the

Clerk to reveal the identity to the respondent if doing so appears necessary for the respondent to

conduct a proper defense in the proceeding.

[Adopted effective January 1, 2009.]

ELPOC 5.3 INVESTIGATION OF GRIEVANCE

(a) Review and Investigation. The chair of the discipline committee or the chair’s

designee must review and may refer for investigation by the Clerk or disciplinary counsel any

alleged or apparent misconduct by an LPO and any alleged or apparent incapacity of an LPO to

practice as an LPO whether the chair of the discipline committee learns of the misconduct by

grievance or otherwise. If there is no grievant, the chair of the discipline committee may refer

the matter to the Board with a request that the Board open a grievance in the Board’s name.

(b) Deferral.

(1) An investigation into alleged acts of misconduct by an LPO may be deferred by the

chair of the discipline committee or disciplinary counsel, with the approval of the chair of the

discipline committee:

(A) if it appears that the allegations are related to pending civil or criminal litigation;

(B) if it appears that the respondent LPO is physically or mentally unable to respond to the

investigation; or

ne committee or disciplinary counsel, with the approval of the chair of the

discipline committee:

(A) if it appears that the allegations are related to pending civil or criminal litigation;

(B) if it appears that the respondent LPO is physically or mentally unable to respond to the

investigation; or

(2) The Clerk or disciplinary counsel must inform the grievant and respondent of a decision

to defer or a denial of a request to defer and of the procedure for requesting review. A grievant

or respondent may request review of a decision on deferral. If review is requested, the Clerk or

disciplinary counsel refers the matter to the discipline committee for reconsideration of the

decision on deferral. To request review, the grievant or respondent must deliver or deposit in the

mail a request for review to the Board no later than 45 days after the Clerk mails the notice

regarding deferral.

of a grievance: the unwillingness of a grievant to continue the grievance, the withdrawal of the

grievance, a compromise between the grievant and the respondent, or restitution by the

respondent.

(d) Duty To Furnish Prompt Response. Any LPO must promptly respond to any inquiry

or request made under these rules for information relevant to grievances or matters under

investigation. Upon inquiry or request, any LPO must:

(1) furnish in writing, or orally if requested, a full and complete response to inquiries and

questions;

(2) permit inspection and copying of the LPO’s business records, files, and accounts;

(3) furnish copies of requested records, files, and accounts;

(4) furnish written releases or authorizations if needed to obtain documents or information

from third parties; and

(5) comply with discovery conducted under rule 5.5.

requested, a full and complete response to inquiries and

questions;

(2) permit inspection and copying of the LPO’s business records, files, and accounts;

(3) furnish copies of requested records, files, and accounts;

(4) furnish written releases or authorizations if needed to obtain documents or information

from third parties; and

(5) comply with discovery conducted under rule 5.5.

(e) Failure To Cooperate.

(1) Noncooperation Deposition. If an LPO has not complied with any request made under

section (d) or rule 2.11(d) for more than 30 days, the Clerk or disciplinary counsel may notify the

LPO that failure to comply within ten days may result in the LPO deposition or subject the LPO

to interim suspension under rule 7.2. Ten days after this notice, disciplinary counsel may serve

the LPO with a subpoena for a deposition. Any deposition conducted after the ten day period

and necessitated by the LPO’s continued failure to cooperate may be conducted at any place in

Washington State.

(2) Costs and Expenses.

(A) Regardless of the underlying grievance’s ultimate disposition, an LPO who has been

served with a subpoena under this rule is liable for the actual costs of the deposition, including

but not limited to service fees, court reporter fees, travel expenses, and the cost of transcribing

the deposition, if ordered by disciplinary counsel. In addition, an LPO who has been served with

a subpoena for a deposition under this rule is liable for a reasonable attorney fee of $500.

(B) The procedure for assessing costs and expenses is as follows:

al costs of the deposition, including

but not limited to service fees, court reporter fees, travel expenses, and the cost of transcribing

the deposition, if ordered by disciplinary counsel. In addition, an LPO who has been served with

a subpoena for a deposition under this rule is liable for a reasonable attorney fee of $500.

(B) The procedure for assessing costs and expenses is as follows:

(i) Disciplinary counsel applies to the discipline committee by itemizing the cost and

expenses and stating the reasons for the deposition.

(ii) The LPO has ten days to respond to disciplinary counsel’s application.

(iii) The discipline committee by order assesses appropriate costs and expenses.

(iv) Rule 13.9(e) governs Board review of the discipline committee order.

(3) Grounds for Discipline. An LPO’s failure to cooperate fully and promptly with an

investigation as required by section (d) or rule 2.11(d) is also grounds for discipline.

[Adopted effective January 1, 2009.]

ELPOC 5.4 PRIVILEGES

Privilege Against Self-Incrimination. An LPO’s duty to cooperate is subject to the

LPO’s privilege against self-incrimination, where applicable.

[Adopted effective January 1, 2009.]

ELPOC 5.5 DISCOVERY BEFORE FORMAL COMPLAINT

(a) Procedure. Before filing a formal complaint, disciplinary counsel or the Clerk may

depose either a respondent LPO or a witness, or issue requests for admission to the respondent.

To the extent possible, CR 30 or 31 applies to depositions under this rule. CR 36 governs

requests for admission.

(b) Subpoenas for Depositions. Disciplinary counsel or the Clerk may issue subpoenas to

compel the respondent’s or a witness’s attendance, or the production of books, documents, or

other evidence, at a deposition. Subpoenas must be served as in civil cases in the superior court

and may be enforced under rule 4.6.

applies to depositions under this rule. CR 36 governs

requests for admission.

(b) Subpoenas for Depositions. Disciplinary counsel or the Clerk may issue subpoenas to

compel the respondent’s or a witness’s attendance, or the production of books, documents, or

other evidence, at a deposition. Subpoenas must be served as in civil cases in the superior court

and may be enforced under rule 4.6.

disciplinary counsel or the Clerk.

[Adopted effective January 1, 2009.]

ELPOC 5.6 DISPOSITION OF GRIEVANCE

(a) Dismissal. The Chair of the discipline committee or disciplinary counsel with the

approval of the chair of the discipline committee may dismiss grievances with or without

investigation. On dismissal, the Clerk or disciplinary counsel must notify the grievant of the

procedure for review in this rule.

(b) Review of Dismissal. A grievant may request review of dismissal of the grievance by

delivering or depositing in the mail a request for review to the Clerk no later than 45 days after

the Clerk mails the notice of dismissal. Mailing requires postage prepaid first class mail. If

review is requested, the chair of the discipline committee may either reopen the matter for

investigation or refer it to the discipline committee.

committee the results of investigations except those dismissed or diverted.

the notice of dismissal. Mailing requires postage prepaid first class mail. If

review is requested, the chair of the discipline committee may either reopen the matter for

investigation or refer it to the discipline committee.

committee the results of investigations except those dismissed or diverted.

(d) Authority on Review. In reviewing grievances under this rule, the discipline

committee may:

(1) affirm the dismissal;

(2) issue an advisory letter under rule 5.7;

(3) issue an admonition under rule 13.5;

(4) order a hearing on the alleged misconduct; or

(5) order further investigation as may appear appropriate.

[Adopted effective January 1, 2009.]

ELPOC 5.7 ADVISORY LETTER

An advisory letter may be issued when a hearing does not appear warranted but it appears

appropriate to caution a respondent LPO concerning their conduct. An advisory letter may be

issued by the discipline committee but may not be issued when a grievance is dismissed

following a hearing. An advisory letter does not constitute a finding of misconduct, is not a

sanction, is not disciplinary action, and is not public information.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

TITLE 6—DIVERSION

ELPOC 6.1 REFERRAL TO DIVERSION

In a matter involving less serious misconduct as defined in rule 6.2, before filing a formal

complaint, disciplinary counsel or the Clerk may refer a respondent LPO to diversion. Diversion

may include

•

arbitration;

linary action, and is not public information.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

TITLE 6—DIVERSION

ELPOC 6.1 REFERRAL TO DIVERSION

In a matter involving less serious misconduct as defined in rule 6.2, before filing a formal

complaint, disciplinary counsel or the Clerk may refer a respondent LPO to diversion. Diversion

may include

•

arbitration;

•

mediation;

•

psychological and behavioral counseling;

•

monitoring;

•

restitution;

•

continuing education programs; or

•

any other program or corrective course of action agreed to by disciplinary counsel

and respondent to address respondent’s misconduct.

Disciplinary counsel or the Clerk may negotiate and execute diversion contracts, monitor

and determine compliance with the terms of diversion contracts, and determine fulfillment or any

material breach of diversion contracts, subject to review under rule 6.9.

[Adopted effective January 1, 2009.]

ELPOC 6.2 LESS SERIOUS MISCONDUCT

Less serious misconduct is conduct not warranting a sanction restricting the respondent

LPO’s license to practice as an LPO. Conduct is not ordinarily considered less serious

misconduct if any of the following considerations apply:

(A) the misconduct involves the misappropriation of funds;

(B) the misconduct results in or is likely to result in substantial prejudice to a third person,

absent adequate provisions for restitution;

(D) the misconduct is of the same nature as misconduct for which the respondent has been

sanctioned or admonished in the last five years;

(E) the misconduct involves dishonesty, deceit, fraud, or misrepresentation;

(F) the misconduct constitutes a “serious crime” as defined in rule 7.1(a); or

(G) the misconduct is part of a pattern of similar misconduct

tioned in the last three years;

(D) the misconduct is of the same nature as misconduct for which the respondent has been

sanctioned or admonished in the last five years;

(E) the misconduct involves dishonesty, deceit, fraud, or misrepresentation;

(F) the misconduct constitutes a “serious crime” as defined in rule 7.1(a); or

(G) the misconduct is part of a pattern of similar misconduct.

[Adopted effective January 1, 2009.]

ELPOC 6.3 FACTORS FOR DIVERSION

Disciplinary counsel or the Clerk considers the following factors in determining whether to

refer a respondent LPO to diversion:

(A) whether participation in diversion is likely to improve the respondent’s future

professional conduct and accomplish the goals of LPO discipline;

(B) whether aggravating or mitigating factors exist; and

[Adopted effective January 1, 2009.]

ELPOC 6.4 NOTICE TO GRIEVANT

As provided in rule 5.1(c)(7), disciplinary counsel or the Clerk must notify the grievant, if

any, of the proposed decision to refer the respondent LPO to diversion, and must give the

grievant a reasonable opportunity to submit written comments. The grievant must be notified

when the grievance is diverted and when the grievance is dismissed on completion of diversion.

Such decisions to divert or dismiss are not appealable.

[Adopted effective January 1, 2009.]

ELPOC 6.5 DIVERSION CONTRACT

(a) Negotiation. Disciplinary counsel or the Clerk and the respondent LPO negotiate a

diversion contract, the terms of which are tailored to the individual circumstances.

when the grievance is diverted and when the grievance is dismissed on completion of diversion.

Such decisions to divert or dismiss are not appealable.

[Adopted effective January 1, 2009.]

ELPOC 6.5 DIVERSION CONTRACT

(a) Negotiation. Disciplinary counsel or the Clerk and the respondent LPO negotiate a

diversion contract, the terms of which are tailored to the individual circumstances.

(b) Required Terms. A diversion contract must:

(1) be signed by the respondent and disciplinary counsel or the Clerk;

(2) set forth the terms and conditions of the plan for the respondent and, if appropriate,

identify the use of a practice monitor and/or a recovery monitor and the monitor’s

responsibilities. If a recovery monitor is assigned, the contract must include respondent’s limited

waiver of confidentiality permitting the recovery monitor to make appropriate disclosures to

fulfill the monitor’s duties under the contract;

(3) provide for oversight of fulfillment of the contract terms. Oversight includes reporting

any alleged breach of the contract to disciplinary counsel or the Clerk;

(4) provide that the respondent will pay all costs incurred in connection with the contract.

The contract may also provide that the respondent will pay the costs associated with the

grievances to be deferred; and

(5) include a specific acknowledgment that a material violation of a term of the contract

renders the respondent’s participation in diversion voidable by disciplinary counsel or the Clerk.

ide that the respondent will pay all costs incurred in connection with the contract.

The contract may also provide that the respondent will pay the costs associated with the

grievances to be deferred; and

(5) include a specific acknowledgment that a material violation of a term of the contract

renders the respondent’s participation in diversion voidable by disciplinary counsel or the Clerk.

disciplinary counsel or the Clerk.

[Adopted effective January 1, 2009.]

ELPOC 6.6 AFFIDAVIT SUPPORTING DIVERSION

A diversion contract must be supported by the respondent LPO’s affidavit or declaration as

approved by disciplinary counsel or the Clerk setting forth the respondent’s misconduct related

to the grievance or grievances to be deferred under this title. If the diversion contract is

terminated due to a material breach, the affidavit or declaration is admissible into evidence in

any ensuing disciplinary proceeding. Unless so admitted, the affidavit or declaration is

confidential and must not be provided to the grievant or any other individual outside the Clerk

and the Office of Disciplinary Counsel, but may be provided to the discipline committee or the

Board considering the grievance.

[Adopted effective January 1, 2009.]

ELPOC 6.7 EFFECT OF NON-PARTICIPATION IN DIVERSION

The respondent LPO has the right to decline the offer to participate in diversion. If the

respondent chooses not to participate, the matter proceeds as though no referral to diversion had

been made.

[Adopted effective January 1, 2009.]

ELPOC 6.8 STATUS OF GRIEVANCE

After a diversion contract is executed by the respondent LPO and disciplinary counsel or

the Clerk, the disciplinary grievance is deferred pending successful completion of the contract.

[Adopted effective January 1, 2009.]

ELPOC 6.9 TERMINATION OF DIVERSION

er proceeds as though no referral to diversion had

been made.

[Adopted effective January 1, 2009.]

ELPOC 6.8 STATUS OF GRIEVANCE

After a diversion contract is executed by the respondent LPO and disciplinary counsel or

the Clerk, the disciplinary grievance is deferred pending successful completion of the contract.

[Adopted effective January 1, 2009.]

ELPOC 6.9 TERMINATION OF DIVERSION

(a) Fulfillment of the Contract. The contract terminates when the respondent LPO has

fulfilled the terms of the contract and gives disciplinary counsel or the Clerk an affidavit or

declaration demonstrating fulfillment. Upon receipt of this affidavit or declaration, disciplinary

counsel or the Clerk must acknowledge receipt and either dismiss any grievances deferred

pending successful completion of the contract or notify the respondent that fulfillment of the

contract is disputed. The grievant cannot appeal the dismissal. Successful completion of the

contract is a bar to any further disciplinary proceedings based on the same allegations.

(b) Material Breach. A material breach of the contract is cause for termination of the

diversion. After a material breach, disciplinary counsel or the Clerk must notify the respondent

of termination from diversion and disciplinary proceedings may be instituted, resumed, or

reinstated.

may review disputes about fulfillment or material breach of the terms of the contract on the

request of the respondent, the Clerk or disciplinary counsel. The request must be filed with the

Board within 15 days of notice to the respondent of the determination for which review is

sought. Determinations by the chair of the discipline committee under this section are not

subject to further review and are not reviewable in any proceeding.

[Adopted effective January 1, 2009.]

TITLE 7—INTERIM PROCEDURES

ELPOC 7.1 INTERIM SUSPENSION FOR CONVICTION OF A CRIME

ust be filed with the

Board within 15 days of notice to the respondent of the determination for which review is

sought. Determinations by the chair of the discipline committee under this section are not

subject to further review and are not reviewable in any proceeding.

[Adopted effective January 1, 2009.]

TITLE 7—INTERIM PROCEDURES

ELPOC 7.1 INTERIM SUSPENSION FOR CONVICTION OF A CRIME

(a) Definitions.

(1) "Conviction" for the purposes of this rule occurs upon entry of a plea of guilty, unless

the defendant affirmatively shows that the plea was not accepted or was withdrawn, or upon

entry of a finding or verdict of guilty, unless the defendant affirmatively shows that judgment

was arrested or a new trial granted.

(2) "Serious crime" includes any:

(A) felony;

(B) crime a necessary element of which, as determined by its statutory or common law

definition, includes any of the following:

•

interference with the administration of justice;

•

false swearing;

•

misrepresentation;

•

fraud;

•

deceit;

•

bribery;

•

extortion;

•

misappropriation; or

•

theft; or

(b) Procedure upon Conviction.

(1) If an LPO is convicted of a felony, disciplinary counsel must file a formal complaint

regarding the conviction. Disciplinary counsel must also petition the Supreme Court for an order

suspending the respondent LPO during the pendency of disciplinary proceedings. The petition

for suspension may be filed before the formal complaint.

(2) If an LPO is convicted of a crime that is not a felony but that reflects directly on the

LPO’s honesty, trustworthiness or fitness as an LPO in other respects, disciplinary counsel may

refer the matter to the discipline committee to determine whether the crime is a serious crime. If

so, disciplinary counsel proceeds in the same manner as for a felony.

filed before the formal complaint.

(2) If an LPO is convicted of a crime that is not a felony but that reflects directly on the

LPO’s honesty, trustworthiness or fitness as an LPO in other respects, disciplinary counsel may

refer the matter to the discipline committee to determine whether the crime is a serious crime. If

so, disciplinary counsel proceeds in the same manner as for a felony.

(3) If an LPO is convicted of a crime that is neither a felony nor a serious crime, the

discipline committee considers a report of the conviction in the same manner as any other report

of possible misconduct by an LPO.

copy of any available document establishing the fact of conviction. If the crime is not a felony,

the petition must also include a copy of the discipline committee order finding that the crime is a

serious crime. Disciplinary counsel may also include additional facts, statements, arguments,

affidavits, and documents in the petition. A copy of the petition must be personally served on

the respondent, and proof of service filed with the Court.

(d) Immediate Interim Suspension. Upon the filing of a petition for suspension under

this rule, the Court determines whether the crime constitutes a serious crime as defined in section

(a).

(1) If the crime is a felony, the Court must enter an order immediately suspending the

respondent’s LPO license.

(2) If the crime is not a felony, the Court conducts a show cause proceeding under rule

7.2(b) to determine if the crime is a serious crime. If the Court determines the crime is a serious

crime, the Court must enter an order immediately suspending the respondent’s LPO license. If

the Court determines that the crime is not a serious crime, upon being so advised, the Association

processes the matter as it would any other grievance.

(3) If suspended, the respondent must comply with Title 14.

ermine if the crime is a serious crime. If the Court determines the crime is a serious

crime, the Court must enter an order immediately suspending the respondent’s LPO license. If

the Court determines that the crime is not a serious crime, upon being so advised, the Association

processes the matter as it would any other grievance.

(3) If suspended, the respondent must comply with Title 14.

(4) Suspension under this rule occurs:

(A) whether the conviction was under a law of this state, any other state, or the United

States;

(B) whether the conviction was after a plea of guilty, nolo contendere, not guilty, or

otherwise; and

(e) Duration of Suspension. A suspension under this rule must terminate when the

disciplinary proceeding is fully completed, after appeal or otherwise.

(f) Termination of Suspension.

(1) Petition and Response. A respondent may at any time petition the Board to recommend

termination of an interim suspension. Disciplinary counsel may file a response to the petition.

The Chair may direct disciplinary counsel to investigate as appears appropriate.

(2) Board Recommendation. If either party requests, the Board must hear oral argument on

the petition at a time and place and under terms as the Chair directs. The Board may recommend

termination of a suspension only if the Board makes an affirmative finding of good cause to do

so. There is no right of appeal from a Board decision declining to recommend termination of a

suspension.

(3) Court Action. The Court determines the procedure for its consideration of a

recommendation to terminate a suspension.

d place and under terms as the Chair directs. The Board may recommend

termination of a suspension only if the Board makes an affirmative finding of good cause to do

so. There is no right of appeal from a Board decision declining to recommend termination of a

suspension.

(3) Court Action. The Court determines the procedure for its consideration of a

recommendation to terminate a suspension.

(g) Notice of Dismissal to Supreme Court. If disciplinary counsel has filed a petition for

suspension under this rule, and the disciplinary proceedings based on the criminal conviction are

dismissed, the Supreme Court must be provided a copy of the decision granting dismissal

whether or not the respondent is suspended at the time of dismissal.

[Adopted effective January 1, 2009.]

ELPOC 7.2 INTERIM SUSPENSION IN OTHER CIRCUMSTANCES

(a) Types of Interim Suspension.

(1) Discipline Committee Finding of Risk to Public. Disciplinary counsel may petition the

Supreme Court for an order suspending the respondent LPO during the pendency of any

proceeding under these rules if:

(A) it appears that a respondent’s continued practice as an LPO poses a substantial threat of

serious harm to the public; and

(B) the discipline committee recommends an interim suspension.

(2) Board Recommendation for Revocation. When the Board enters a decision

recommending revocation, disciplinary counsel must file a petition for the respondent’s

suspension during the remainder of the proceedings. The respondent must be suspended absent

an affirmative showing that the respondent’s continued practice as an LPO will not be

detrimental to the administration of justice or be contrary to the public interest. If the Board’s

decision is not appealed and becomes final, the petition need not be filed, or if filed may be

withdrawn.

espondent’s

suspension during the remainder of the proceedings. The respondent must be suspended absent

an affirmative showing that the respondent’s continued practice as an LPO will not be

detrimental to the administration of justice or be contrary to the public interest. If the Board’s

decision is not appealed and becomes final, the petition need not be filed, or if filed may be

withdrawn.

(3) Failure To Cooperate with Investigation. When any LPO fails without good cause to

comply with a request under rule 5.3(e) for information or documents, or with a subpoena issued

under rule 5.3(e), or fails to comply with disability proceedings as specified in rule 8.2(d),

disciplinary counsel may petition the Court for an order suspending the LPO pending compliance

with the request or subpoena. If the LPO complies with the request or subpoena, the LPO may

petition the Court to terminate the suspension on terms the Court deems appropriate.

(b) Procedure.

(1) Petition. A petition to the Court under this rule must set forth the acts of the LPO

constituting grounds for suspension, and if filed under subsection (a)(2) must include a copy of

the Board’s decision. The petition may be supported by documents or affidavits. The Board

must serve the petition by mail on the day of filing. In addition, a copy of the petition must be

personally served on the LPO no later than the date of service of the show cause order.

(2) Show Cause Order. Upon filing of the petition, the Chief Justice orders the LPO to

appear before the Court on a date set by the Chief Justice, and to show cause why the petition for

suspension should not be granted. Disciplinary counsel must have a copy of the order to show

cause personally served on the LPO at least ten days before the scheduled show cause hearing.

Subsection (b)(5) notification requirements must be included in the show cause order.

stice orders the LPO to

appear before the Court on a date set by the Chief Justice, and to show cause why the petition for

suspension should not be granted. Disciplinary counsel must have a copy of the order to show

cause personally served on the LPO at least ten days before the scheduled show cause hearing.

Subsection (b)(5) notification requirements must be included in the show cause order.

(3) Answer to Petition. The LPO may answer the petition. An answer may be supported

by documents or affidavits. Failure to answer does not result in default or waive the right to

appear at the show cause hearing.

(4) Filing of Answer. A copy of any answer must be filed with both the Court and

disciplinary counsel by the date specified in the show cause order, which will be at least

five days before the scheduled show cause hearing.

(5) Notification. The LPO must inform the court no less than 7 days prior to the show

cause hearing whether the LPO will appear for the show cause hearing, or the hearing will be

stricken and the Court will decide the matter without oral argument.

(6) Application of Other Rules. If the Court enters an order suspending the LPO, the rules

relating to suspended LPOs, including Title 14, apply.

[Adopted effective January 1, 2009.]

ELPOC 7.3 AUTOMATIC SUSPENSION WHEN RESPONDENT ASSERTING

INCAPACITY

When a respondent LPO asserts incapacity to conduct a proper defense to disciplinary

proceedings, upon receipt of appropriate documentation of the assertion, the respondent must be

suspended on an interim basis by the Supreme Court pending the conclusion of the disability

proceedings. However, if the hearing officer in the supplemental proceeding files a decision that

ASSERTING

INCAPACITY

When a respondent LPO asserts incapacity to conduct a proper defense to disciplinary

proceedings, upon receipt of appropriate documentation of the assertion, the respondent must be

suspended on an interim basis by the Supreme Court pending the conclusion of the disability

proceedings. However, if the hearing officer in the supplemental proceeding files a decision that

the respondent is not incapacitated, on petition of either party, the Court may terminate the

interim suspension.

[Adopted effective January 1, 2009.]

ELPOC 7.4 STIPULATION TO INTERIM SUSPENSION

At any time a respondent LPO and disciplinary counsel may stipulate that the respondent

be suspended during the pendency of any investigation or proceeding because of conviction of a

serious crime, or a substantial threat of serious harm to the public. A stipulation must state the

factual basis for the stipulation and be submitted directly to the Supreme Court for expedited

consideration. Stipulations under this rule are public upon filing with the Court, but the Court

may order that supporting materials are confidential. Either party may petition the Court to

terminate the interim suspension, and on a showing that the cause for the interim suspension no

longer exists, the Court may terminate the suspension.

[Adopted effective January 1, 2009.]

ELPOC 7.5 INTERIM SUSPENSIONS EXPEDITED

(a) Expedited Review. Petitions seeking interim suspension under this title receive an

expedited hearing, ordinarily no later than 14 days from issuance of an order to show cause.

erim suspension, and on a showing that the cause for the interim suspension no

longer exists, the Court may terminate the suspension.

[Adopted effective January 1, 2009.]

ELPOC 7.5 INTERIM SUSPENSIONS EXPEDITED

(a) Expedited Review. Petitions seeking interim suspension under this title receive an

expedited hearing, ordinarily no later than 14 days from issuance of an order to show cause.

(b) Procedure During Court Recess. When a petition seeking interim suspension under

this title is filed during a recess of the Supreme Court, the Chief Justice, the Acting Chief Justice,

or the Senior Justice under SAR 10, subject to review by the full Court on motion for

reconsideration, may rule on the motion for interim suspension.

[Adopted effective January 1, 2009.]

ELPOC 7.6 EFFECTIVE DATE OF INTERIM SUSPENSIONS

Interim suspensions become effective on the date of the Supreme Court’s order unless the

order provides otherwise.

[Adopted effective January 1, 2009.]

TITLE 8—DISABILITY PROCEEDINGS

ELPOC 8.1 ACTION ON ADJUDICATION OF INCAPACITY

(a) Grounds. The Board must automatically transfer an LPO from active to disability

inactive membership status upon receipt of a certified copy of the judgment, order, or other

appropriate document demonstrating that the LPO:

(1) was found to be incapable of assisting in their own defense in a criminal action;

(2) was acquitted of a crime based on insanity;

(3) had a guardian (but not a limited guardian) appointed for themself or their estate on a

finding of incapacity; or

ive membership status upon receipt of a certified copy of the judgment, order, or other

appropriate document demonstrating that the LPO:

(1) was found to be incapable of assisting in their own defense in a criminal action;

(2) was acquitted of a crime based on insanity;

(3) had a guardian (but not a limited guardian) appointed for themself or their estate on a

finding of incapacity; or

(b) Notice to LPO. The Board must forthwith notify the disabled LPO and their guardian,

if one has been appointed, of the transfer to disability inactive status. The Association must also

notify the Supreme Court of the transfer and provide a copy of the judgment, order, or other

appropriate document on which the transfer was based.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 8.2 DETERMINATION OF INCAPACITY TO PRACTICE AS AN LPO

(a) Discipline Committee May Order Hearing. The Clerk or disciplinary counsel reports

to the discipline committee on investigations into an active, suspended, or inactive respondent

LPO’s mental or physical capacity to practice as an LPO. The committee orders a hearing if it

appears there is reasonable cause to believe that the respondent does not have the mental or

physical capacity to practice as an LPO. In other cases, the committee may direct further

investigation as appears appropriate or dismiss the matter.

(b) Not Disciplinary Proceedings. Proceedings under this rule are not disciplinary

proceedings.

ctice as an LPO. The committee orders a hearing if it

appears there is reasonable cause to believe that the respondent does not have the mental or

physical capacity to practice as an LPO. In other cases, the committee may direct further

investigation as appears appropriate or dismiss the matter.

(b) Not Disciplinary Proceedings. Proceedings under this rule are not disciplinary

proceedings.

(1) Applicable Rules. Proceedings under this rule are conducted under the procedural rules

for disciplinary proceedings.

(2) Appointment of Counsel. If counsel for the respondent does not appear within the time

for filing an answer, the Chair must appoint a member of the Association as counsel for the

respondent.

(3) Health Records. After a review committee orders a hearing under this rule, disciplinary

counsel may require the respondent to furnish written releases and authorizations for medical,

psychological, or psychiatric records as may be relevant to the inquiry, subject to a motion to the

hearing officer, or if no hearing officer has been appointed, to the chief hearing officer, to limit

the scope of the requested releases or authorizations for good cause.

(4) Examination. Upon motion, the hearing officer, or if no hearing officer has been

appointed, the chief hearing officer as defined in ELC 2.5(f), may order an examination by a

physician of the respondent’s physical condition or by a mental health professional (as defined

by RCW 71.05.020) of the respondent’s mental condition to assist in determining the

respondent’s capacity to practice as an LPO. Unless waived by the parties, the examiner must

submit a report of the examination, including the results of any tests administered and any

diagnosis, to the hearing officer, disciplinary counsel, and the respondent.

on or by a mental health professional (as defined

by RCW 71.05.020) of the respondent’s mental condition to assist in determining the

respondent’s capacity to practice as an LPO. Unless waived by the parties, the examiner must

submit a report of the examination, including the results of any tests administered and any

diagnosis, to the hearing officer, disciplinary counsel, and the respondent.

(5) Hearing Officer Recommendation. If the hearing officer or panel finds that the

respondent does not have the mental or physical capacity to practice as an LPO, the hearing

officer or panel must recommend that the respondent be transferred to disability inactive status.

(6) Appeal Procedure. The procedures for appeal and review of suspension

recommendations apply to recommendations for transfer to disability inactive status.

(7) Transfer Following Board Review. If, after review of the decision of the hearing officer

or panel, the Board finds that the respondent does not have the mental or physical capacity to

practice as an LPO, it must enter an order immediately transferring the respondent to disability

inactive status. The transfer is effective upon service of the order under rule 4.1.

(d) Interim Suspension.

(1) When the discipline committee orders a hearing on the capacity of a respondent to

practice as an LPO, disciplinary counsel must petition the Supreme Court for the respondent’s

interim suspension under rule 7.2(a) unless the respondent is already suspended on an interim

basis.

(2) Even if the Court previously denied a petition for interim suspension under subsection

(d)(1), disciplinary counsel may petition the Court for the interim suspension of a respondent

under rule 7.2(a)(3) if the respondent fails:

(A) to appear for an independent examination under this rule;

(B) to waive health care provider-patient privilege as required by this rule; or

ly denied a petition for interim suspension under subsection

(d)(1), disciplinary counsel may petition the Court for the interim suspension of a respondent

under rule 7.2(a)(3) if the respondent fails:

(A) to appear for an independent examination under this rule;

(B) to waive health care provider-patient privilege as required by this rule; or

(e) Termination of Interim Suspension. If the hearing officer or panel files a decision

recommending that a respondent placed on interim suspension under this rule not be transferred

to disability inactive status, upon either party’s petition, the Court may terminate the interim

suspension.

[Adopted effective January 1, 2009.]

ELPOC 8.3 DISABILITY PROCEEDINGS DURING THE COURSE OF

DISCIPLINARY PROCEEDINGS

(a) Supplemental Proceedings on Capacity To Defend. A hearing officer or hearing

panel, or chief hearing officer if no hearing officer has been appointed, must order a

supplemental proceeding on the respondent LPO’s capacity to defend the disciplinary

proceedings if the respondent asserts, or there is reasonable cause to believe, that the respondent

is incapable of properly defending the disciplinary proceeding because of mental or physical

incapacity.

(b) Purpose of Supplemental Proceedings. In a supplemental proceeding, the hearing

officer or panel determines if the respondent:

(1) is incapable of defending themself in the disciplinary proceedings because of mental or

physical incapacity;

(2) is incapable, because of mental or physical incapacity, of defending against the

disciplinary charges without the assistance of counsel; or

(3) is currently unable to practice as an LPO because of mental or physical incapacity.

proceedings.

inary proceedings because of mental or

physical incapacity;

(2) is incapable, because of mental or physical incapacity, of defending against the

disciplinary charges without the assistance of counsel; or

(3) is currently unable to practice as an LPO because of mental or physical incapacity.

proceedings.

(d) Procedure for Supplemental Proceedings.

(1) Applicable Rules. Proceedings under this rule are conducted under the procedural rules

for disciplinary proceedings.

(2) Deferral of Disciplinary Proceedings. The disciplinary proceedings are deferred

pending the outcome of the supplemental proceeding.

(3) Appointment of Counsel. If counsel for the respondent does not appear within 20 days

of notice to the respondent of the issues to be considered in a supplemental proceeding under this

rule, or within the time for filing an answer, the Chair must appoint a member of the Association

as counsel for the respondent in the supplemental proceedings.

(4) Health Records. Disciplinary counsel may require the respondent to furnish written

releases and authorizations for medical, psychological, or psychiatric records as may be relevant

to the determination under section (b), subject to a motion to the hearing officer to limit the

scope of the requested releases or authorizations for good cause. If the respondent asserted

incapacity, there is a rebuttable presumption that good cause does not exist.

respondent to furnish written

releases and authorizations for medical, psychological, or psychiatric records as may be relevant

to the determination under section (b), subject to a motion to the hearing officer to limit the

scope of the requested releases or authorizations for good cause. If the respondent asserted

incapacity, there is a rebuttable presumption that good cause does not exist.

(5) Examination. Upon motion, the hearing officer may order an examination by a

physician of the respondent’s physical condition or by a mental health professional (as defined

by RCW 71.05.020) of the respondent’s mental condition to assist in the determinations to be

made under section (b). Unless waived by the parties, the examiner must submit a report of the

examination, including the results of any tests administered and any diagnosis, to the hearing

officer, disciplinary counsel, and the respondent.

(6) Failure To Appear or Cooperate. If the respondent fails to appear for an independent

examination, fails to waive health care provider-patient privilege as required in these rules, or

fails to appear at the hearing, the following procedures apply:

(A) If the Association has the burden of proof, the hearing officer must hold a hearing and,

if presented with sufficient evidence to determine incapacity, order the respondent transferred to

disability inactive status. If there is insufficient evidence to determine incapacity, the hearing

officer must enter an order terminating the supplemental proceedings and reinstating the

disciplinary proceedings. A respondent who does not appear at the hearing may move to vacate

the order of transfer under rule 10.6(c).

(B) If the respondent has the burden of proof, the hearing officer must enter an order

terminating the supplemental proceedings and resuming the disciplinary proceedings.

fficer must enter an order terminating the supplemental proceedings and reinstating the

disciplinary proceedings. A respondent who does not appear at the hearing may move to vacate

the order of transfer under rule 10.6(c).

(B) If the respondent has the burden of proof, the hearing officer must enter an order

terminating the supplemental proceedings and resuming the disciplinary proceedings.

(7) Hearing Officer Decision.

(A) Capacity To Defend and practice as an LPO. If the hearing officer or panel finds that

the respondent is capable of defending themself and has the mental and physical capacity to

practice as an LPO, the disciplinary proceedings resume.

(B) Capacity To Defend with Counsel. If the hearing officer or panel finds that the

respondent is not capable of defending themself in the disciplinary proceedings but is capable of

adequately assisting counsel in the defense, the supplemental proceedings are dismissed and the

disciplinary proceedings resume. If counsel does not appear on behalf of the respondent within

20 days of service of the hearing officer’s decision, the Chair must appoint a member of the

Association as counsel for the respondent in the disciplinary proceeding.

does not have the mental or physical capacity to practice as an LPO, or is incapable of assisting

counsel in properly defending a disciplinary proceeding because of mental or physical

incapacity, the hearing officer or panel must recommend that the respondent be transferred to

disability inactive status. The procedures for appeal and review of suspension recommendations

apply to recommendations for transfer to disability inactive status.

to practice as an LPO, or is incapable of assisting

counsel in properly defending a disciplinary proceeding because of mental or physical

incapacity, the hearing officer or panel must recommend that the respondent be transferred to

disability inactive status. The procedures for appeal and review of suspension recommendations

apply to recommendations for transfer to disability inactive status.

(8) Transfer Following Board Review.

(A) The Board must enter an order immediately transferring the respondent to disability

inactive status if after review of a hearing officer’s or panel’s recommendation of transfer to

disability inactive status, the Board finds that the respondent:

(i) does not have the mental or physical capacity to practice as an LPO; or

(ii) is incapable of assisting counsel in properly defending a disciplinary proceeding

because of mental or physical incapacity.

(B) The transfer is effective upon service of the order on the respondent under rule 4.1.

(e) Interim Suspension. When supplemental proceedings have been ordered, disciplinary

counsel must petition the Supreme Court for the respondent’s interim suspension under

rule 7.2(a)(1) or seek automatic suspension under rule 7.3 unless the respondent is already

suspended on an interim basis.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 8.4 APPEAL OF TRANSFER TO DISABILITY INACTIVE STATUS

The respondent LPO may appeal an order of transfer to disability inactive status by filing a

request for the Court to review the record and order in the same manner as review by the Court

under rule 12.1. The Board’s order remains in effect, regardless of the pendency of an appeal,

unless and until reversed by the Supreme Court.

[Adopted effective January 1, 2009.]

ELPOC 8.5 STIPULATED TRANSFER TO DISABILITY INACTIVE STATUS

der of transfer to disability inactive status by filing a

request for the Court to review the record and order in the same manner as review by the Court

under rule 12.1. The Board’s order remains in effect, regardless of the pendency of an appeal,

unless and until reversed by the Supreme Court.

[Adopted effective January 1, 2009.]

ELPOC 8.5 STIPULATED TRANSFER TO DISABILITY INACTIVE STATUS

(a) Requirements. At any time a respondent LPO and disciplinary counsel may stipulate

to the transfer of the respondent to disability inactive status under this title. The respondent and

disciplinary counsel must sign the stipulation.

(b) Form. The stipulation must:

(1) state with particularity the nature of the respondent’s incapacity to practice as an LPO

and the nature of any pending disciplinary proceedings that will be deferred as a result of the

respondent’s transfer to disability inactive status;

(2) state that it is not binding on the Association as a statement of all existing facts relating

to the professional conduct of the respondent and that any additional existing facts may be

proved in a subsequent disciplinary proceeding; and

(3) fix the amount of costs and expenses to be paid by the respondent.

stipulation based solely on the record agreed to by the respondent and disciplinary counsel. The

Board may either approve the stipulation or reject it. Upon approval, the transfer to disability

inactive status is not subject to further review.

ix the amount of costs and expenses to be paid by the respondent.

stipulation based solely on the record agreed to by the respondent and disciplinary counsel. The

Board may either approve the stipulation or reject it. Upon approval, the transfer to disability

inactive status is not subject to further review.

(d) Stipulation Not Approved. If the stipulation is rejected by the Board, the stipulation

has no force or effect and neither it nor the fact of its execution is admissible in any pending or

subsequent disciplinary proceeding or in any civil or criminal action.

[Adopted effective January 1, 2009.]

ELPOC 8.6 COSTS IN DISABILITY PROCEEDINGS

When reviewing a matter under this title, the Board may authorize disciplinary counsel to

seek assessment of the costs and expenses against the respondent LPO. If the Board authorizes,

disciplinary counsel may file a statement of costs within 20 days of service of the Board’s order.

Rule 13.9 governs assessment of these costs and expenses. The respondent LPO is not required

to pay the costs and expenses until 90 days after reinstatement to active status, or as otherwise

approved by the Board.

[Adopted effective January 1, 2009.]

ELPOC 8.7 BURDEN AND STANDARD OF PROOF

In proceedings under rules 8.2 or 8.3, the party asserting or alleging the incapacity has the

burden of establishing it by a preponderance of the evidence. If the issue of incapacity is raised

by a hearing officer or panel, the Association has the burden of proof.

[Adopted effective January 1, 2009.]

ELPOC 8.8 REINSTATEMENT TO ACTIVE STATUS

(a) Right of Petition and Burden. A respondent LPO transferred to disability inactive

status may resume active status only by Board or Supreme Court order. Any respondent

transferred to disability inactive status may petition the Board for transfer to active status. The

respondent has the burden of showing that the disability has been removed.

9.]

ELPOC 8.8 REINSTATEMENT TO ACTIVE STATUS

(a) Right of Petition and Burden. A respondent LPO transferred to disability inactive

status may resume active status only by Board or Supreme Court order. Any respondent

transferred to disability inactive status may petition the Board for transfer to active status. The

respondent has the burden of showing that the disability has been removed.

(b) Petition. The petition for reinstatement must:

(1) state facts demonstrating that the disability has been removed;

(2) include the name and address of each psychiatrist, psychologist, physician, or other

person and each hospital or other institution by whom or in which the respondent has been

examined or treated since the transfer to disability inactive status; and

(3) be filed with the Clerk and served on disciplinary counsel.

respondent transferred to disability inactive status waives any privilege as to treatment of any

medical, psychological, or psychiatric condition during the period of disability. The respondent

must furnish, if requested by the Board or disciplinary counsel, written consent to each treatment

provider to divulge information and records relating to the disability.

(d) Initial Review by Chair. The Chair reviews the petition and any response by

disciplinary counsel and directs appropriate action to determine whether the disability has been

removed, including investigation by disciplinary counsel or any other person or an examination

by a physician of the respondent’s physical condition or by a mental health professional (as

defined by RCW 71.05.020) of the respondent’s mental condition.

Chair reviews the petition and any response by

disciplinary counsel and directs appropriate action to determine whether the disability has been

removed, including investigation by disciplinary counsel or any other person or an examination

by a physician of the respondent’s physical condition or by a mental health professional (as

defined by RCW 71.05.020) of the respondent’s mental condition.

(e) Board Review.

(1) The respondent must have a reasonable opportunity to review any reports of

investigations or examinations ordered by the Chair and submit additional materials before the

matter is submitted to the Board.

(2) On submission, the Board reviews the petition and any reports as expeditiously as

possible and takes one or more of the following actions:

(A) grants the petition;

(B) directs additional action as the Board deems necessary to determine whether the

disability has been removed;

rules for disciplinary proceedings;

(D) directs the respondent to establish proof of competence and learning in the practice of

an LPO, which may include successful completion of the LPO examination;

(E) denies the petition;

(F) directs the respondent to pay the costs of the reinstatement proceedings; or

(G) approves or rejects a stipulation to reinstatement between the respondent and

disciplinary counsel.

(3) The petition may be denied without the respondent having an opportunity for a hearing

before a hearing officer or panel only if the Board determines that a hearing is not necessary

because:

(A) the respondent fails to state a prima facie case for reinstatement in the petition; or

(B) the petition does not indicate a material change of circumstance since a previous denial

of a petition for reinstatement.

be denied without the respondent having an opportunity for a hearing

before a hearing officer or panel only if the Board determines that a hearing is not necessary

because:

(A) the respondent fails to state a prima facie case for reinstatement in the petition; or

(B) the petition does not indicate a material change of circumstance since a previous denial

of a petition for reinstatement.

(f) Petition Granted. If the petition for reinstatement is granted, the Court immediately

restores the respondent to the respondent’s prior status. If a disciplinary proceeding has been

deferred because of the disability transfer, the proceeding resumes upon reinstatement.

(g) Review by Supreme Court. If the petition for reinstatement is not granted, the

respondent may appeal the Board’s decision to the Supreme Court, by filing a request for the

Court to review the record and order in the same manner as review by the court under rule 12.1

within 15 days of service of the Board’s decision on the respondent. Title 12 applies to review

under this section.

[Adopted effective January 1, 2009.]

TITLE 9—RESOLUTIONS WITHOUT HEARING

ELPOC 9.1 STIPULATIONS

(a) Requirements. Any disciplinary matter or proceeding may be resolved by a stipulation

at any time. The stipulation must be signed by the respondent LPO and approved by disciplinary

counsel or the Clerk. The stipulation may impose terms and conditions of probation and contain

any other appropriate provisions.

nuary 1, 2009.]

TITLE 9—RESOLUTIONS WITHOUT HEARING

ELPOC 9.1 STIPULATIONS

(a) Requirements. Any disciplinary matter or proceeding may be resolved by a stipulation

at any time. The stipulation must be signed by the respondent LPO and approved by disciplinary

counsel or the Clerk. The stipulation may impose terms and conditions of probation and contain

any other appropriate provisions.

(b) Form. A stipulation must:

(1) provide sufficient detail regarding the particular acts or omissions of the respondent to

permit the Board or hearing officer to form an opinion as to the propriety of the proposed

resolution, and, if approved, to make the stipulation useful in any subsequent disciplinary

proceeding against the respondent;

(2) set forth the respondent’s prior disciplinary record or its absence;

(3) state that the stipulation is not binding on the Association as a statement of facts about

the respondent’s conduct, and that additional facts may be proved in a subsequent disciplinary

proceeding; and

(4) fix the amount of costs and expenses to be paid by the respondent.

(1) By Hearing Officer. A hearing officer or panel may approve a stipulation disposing of a

matter pending before the officer or panel, unless the stipulation requires the respondent’s license

suspension or revocation. This approval constitutes a final decision and is not subject to further

review.

(2) By Board. All other stipulations must be presented to the Board. The Board reviews a

stipulation based solely on the record agreed to by the respondent LPO and disciplinary counsel

or the Clerk. All parties to the stipulation may jointly ask the Chair to permit them to address the

Board regarding a stipulation. Such presentations are at the Chair’s discretion. The Board may

approve, conditionally approve, or reject a stipulation. Regardless of the provisions of rule

3.3(a), the Board may direct that information or documents considered in reviewing a stipulation

be kept confidential.

All parties to the stipulation may jointly ask the Chair to permit them to address the

Board regarding a stipulation. Such presentations are at the Chair’s discretion. The Board may

approve, conditionally approve, or reject a stipulation. Regardless of the provisions of rule

3.3(a), the Board may direct that information or documents considered in reviewing a stipulation

be kept confidential.

(d) Conditional Approval. The Board may condition its approval of a stipulation on the

agreement by the respondent and disciplinary counsel or the clerk to a different disciplinary

action, probation, restitution, or other terms the Board deems necessary to accomplish the

purposes of LPO discipline. If the Board conditions approval of a stipulation, the stipulation as

conditioned is deemed approved if, within 14 days of service of the order, or within additional

time granted by the Chair, all parties to the stipulation serve on the Clerk written consent to the

conditional terms in the Board’s order.

(e) Reconsideration. Within 14 days of service of an order rejecting or conditionally

approving a stipulation, all parties to the stipulation may serve on the Clerk a joint motion for

reconsideration and may ask to address the Board on the motion.

(f) Stipulation Rejected. The Board’s order rejecting a stipulation must state the reasons

for the rejection. A rejected stipulation has no force or effect and neither it nor the fact of its

execution is admissible in evidence in any disciplinary, civil, or criminal proceeding.

(g) Failure To Comply. A respondent’s failure to comply with the terms of an approved

stipulation may be grounds for discipline.

[Adopted effective January 1, 2009.]

ELPOC 9.2 VOLUNTARY CANCELLATION IN LIEU OF REVOCATION

A rejected stipulation has no force or effect and neither it nor the fact of its

execution is admissible in evidence in any disciplinary, civil, or criminal proceeding.

(g) Failure To Comply. A respondent’s failure to comply with the terms of an approved

stipulation may be grounds for discipline.

[Adopted effective January 1, 2009.]

ELPOC 9.2 VOLUNTARY CANCELLATION IN LIEU OF REVOCATION

(a) Grounds. A respondent LPO who desires not to contest or defend against allegations

of misconduct may, at any time before the answer in any disciplinary proceeding is due,

voluntarily cancel their certification as an LPO in lieu of further disciplinary proceedings.

(b) Process. The respondent first notifies the Clerk or disciplinary counsel that the

respondent intends to submit a voluntary cancellation request and asks the Clerk or disciplinary

counsel to prepare a statement of alleged misconduct and to provide a declaration of costs. After

receiving the statement and the declaration of costs, if any, the respondent may resign by

submitting to disciplinary counsel or the Clerk a signed voluntary cancellation, sworn to or

affirmed under oath and notarized, that:

(1) includes disciplinary counsel’s or the Clerk’s statement of the alleged misconduct and

either an admission of that misconduct or a statement that while not admitting the misconduct the

respondent agrees that the Board could prove by a clear preponderance of the evidence that the

respondent committed violations sufficient to result in the revocation of respondent’s LPO

certification;

(1) includes disciplinary counsel’s or the Clerk’s statement of the alleged misconduct and

either an admission of that misconduct or a statement that while not admitting the misconduct the

respondent agrees that the Board could prove by a clear preponderance of the evidence that the

respondent committed violations sufficient to result in the revocation of respondent’s LPO

certification;

(2) affirmatively acknowledges that the voluntary cancellation is permanent including the

statement:

I understand that my voluntary cancellation is permanent and that any future application by

me for reinstatement as an LPO is currently barred. If the Supreme Court changes this rule or an

application is otherwise permitted in the future, it will be treated as an application by one whose

certification has been revoked for ethical misconduct, and that, if I file an application, I will not

be entitled to a reconsideration or reexamination of the facts, complaints, allegations, or

instances of alleged misconduct on which this voluntary cancellation was based.;

(3) assures that the respondent will:

(A) notify all other professional licensing agencies in any jurisdiction from which the

respondent has a professional license of the voluntary cancellation in lieu of revocation;

(B) seek to resign permanently from any such license; and

any responses;

(4) states that when applying for any employment or license the respondent agrees to

disclose the voluntary cancellation in lieu of revocation in response to any question regarding

disciplinary action or the status of the respondent’s limited license to practice law;

ch license; and

any responses;

(4) states that when applying for any employment or license the respondent agrees to

disclose the voluntary cancellation in lieu of revocation in response to any question regarding

disciplinary action or the status of the respondent’s limited license to practice law;

(5) states that the respondent agrees to pay any restitution or additional costs and expenses

ordered by the discipline committee, and attaches payment for costs as described in section (f)

below, or states that the respondent will execute a confession of judgment or deed of trust as

described in section (f); and

(6) states that when the voluntary cancellation becomes effective, the respondent will be

subject to all restrictions that apply to an LPO whose certification has been revoked.

forth above, and any executed confession of judgment or deed of trust required under section (f),

disciplinary counsel promptly causes it to be filed with the Clerk as a public and permanent

record of the Board.

(d) Effect. A voluntary cancellation under this rule is effective upon its filing with the

Clerk. All disciplinary proceedings against the respondent terminate except the Clerk or

disciplinary counsel has the discretion to continue any investigations deemed appropriate under

the circumstances to create a record of the respondent’s actions. The Association immediately

notifies the Supreme Court of a voluntary cancellation under this rule and the respondent’s name

is forthwith stricken from the roll of LPOs. Upon filing of the voluntary cancellation, respondent

must comply with the same duties under Title 14 as an LPO whose license has been revoked and

comply with all restrictions that apply to an LPO whose license has been revoked. Notice is

given of the voluntary cancellation in lieu of revocation under rule 3.5

der this rule and the respondent’s name

is forthwith stricken from the roll of LPOs. Upon filing of the voluntary cancellation, respondent

must comply with the same duties under Title 14 as an LPO whose license has been revoked and

comply with all restrictions that apply to an LPO whose license has been revoked. Notice is

given of the voluntary cancellation in lieu of revocation under rule 3.5.

(e) Voluntary Cancellation is Permanent. Voluntary cancellation under this rule is

permanent. A respondent who has voluntarily cancelled under this rule will never be eligible to

apply and will not be considered for admission to the practice of law nor will the respondent be

eligible for admission or reinstatement for any limited practice of law.

(f) Costs and Expenses.

(A) If a respondent voluntarily cancels under this rule, the expenses under rule 13.9(c) are

$1,000 for any proceedings for which an answer was not due when the respondent notified

disciplinary counsel of the respondent’s intent to voluntarily cancel under section (b). With the

voluntary cancellation, the respondent must pay this $1,000 expense, plus all actual costs for

which disciplinary counsel or the Clerk provides documentation, up to an additional $1,000. If

the respondent demonstrates inability to pay these costs and expenses, instead of paying this

amount, the respondent must execute, in disciplinary counsel’s or the Clerk’s discretion, a

confession of judgment or a deed of trust for that amount. Disciplinary counsel may file a claim

under section (g) for costs not covered by the payment, confession of judgment, or deed of trust.

(B) If at the time respondent serves the notice of intent to voluntarily cancel, an additional

proceeding is pending against the respondent for which an answer has been filed or is due,

disciplinary counsel may also file a claim under section (g) for costs and expenses for that

proceeding.

aim

under section (g) for costs not covered by the payment, confession of judgment, or deed of trust.

(B) If at the time respondent serves the notice of intent to voluntarily cancel, an additional

proceeding is pending against the respondent for which an answer has been filed or is due,

disciplinary counsel may also file a claim under section (g) for costs and expenses for that

proceeding.

(g) Review of Costs, Expenses, and Restitution. Any claims for restitution or for costs

and expenses not resolved by agreement between the Clerk or disciplinary counsel and the

respondent may be submitted at any time, including after the voluntary cancellation, to the

discipline committee in writing for the determination of appropriate restitution or costs and

expenses. The discipline committee’s order is not subject to further review and is the final

assessment of restitution or costs and expenses for the purposes of rule 13.9 and may be enforced

as any other order for restitution or costs and expenses. The record before the discipline

committee and the discipline committee’s order is public information under rule 3.1(b).

[Adopted effective January 1, 2009.]

TITLE 10—HEARING PROCEDURES

ELPOC 10.1 GENERAL PROCEDURE

(a) Applicability of Civil Rules. The civil rules for the superior courts of the State of

Washington serve as guidance in proceedings under this title and, where indicated, apply

directly. A party may not move for summary judgment, but either party may move at any time

for an order determining the collateral estoppel effect of a judgment in another proceeding.

Motions for judgment on the pleadings and motions to dismiss based upon the pleadings are

available only to the extent permitted in rule 10.10.

uidance in proceedings under this title and, where indicated, apply

directly. A party may not move for summary judgment, but either party may move at any time

for an order determining the collateral estoppel effect of a judgment in another proceeding.

Motions for judgment on the pleadings and motions to dismiss based upon the pleadings are

available only to the extent permitted in rule 10.10.

(b) Meaning of Terms in Civil Rules. In applying the civil rules to proceedings under

these rules, terms have the following meanings:

(1) "Court" or "judge” means the hearing officer or hearing panel or its chair, as

appropriate; and

(2) "Parties” means the respondent LPO and disciplinary counsel.

rules, the hearing officer may make any ruling that appears necessary and appropriate to insure a

fair and orderly proceeding.

[Adopted effective January 1, 2009.]

ELPOC 10.2 HEARING OFFICER OR PANEL

(a) Assignment.

(1) Hearing Officer. The chief hearing officer, as defined in ELC 2.5(f), ordinarily assigns

a single hearing officer, from those eligible under rule 2.5, to hear a matter ordered to hearing.

(2) Hearing Panel. On either party’s motion, or when otherwise deemed advisable, the

chief hearing officer may assign a hearing panel. In determining whether to assign a hearing

panel, the chief hearing officer considers whether public interest in the proceeding or other

considerations makes a panel advisable. When a panel is assigned, the chief hearing officer

designates one member as panel chair. The chief hearing officer’s ruling on assigning a hearing

panel is not subject to interim review. The chief hearing officer makes an assignment to fill any

hearing officer or panel member vacancy.

officer considers whether public interest in the proceeding or other

considerations makes a panel advisable. When a panel is assigned, the chief hearing officer

designates one member as panel chair. The chief hearing officer’s ruling on assigning a hearing

panel is not subject to interim review. The chief hearing officer makes an assignment to fill any

hearing officer or panel member vacancy.

(b) Disqualification and Removal.

(1) Removal Without Cause. Either party may have an assigned hearing officer or hearing

panel member removed, without establishing cause for the removal, by filing a written request

with the chief hearing officer within ten days of service on the moving party of that officer or

panel member’s assignment. A party may only once request removal without cause in any

proceeding.

(2) Disqualification for Cause. Either party may seek to disqualify any assigned hearing

officer or hearing panel member for good cause. A motion under this subsection must be filed

promptly after the party knows, or in the exercise of due diligence should have known, of the

basis for the disqualification.

(3) Removal. The chief hearing officer decides all requests for removal and

disqualification motions, except the Chair decides a request to remove or disqualify the chief

hearing officer. The decision of the chief hearing officer or Chair on a request for removal or a

motion to disqualify is not subject to interim review. Upon removal or disqualification of an

assigned hearing officer or hearing panel member, the chief hearing officer assigns a

replacement.

[Adopted effective January 1, 2009.]

ELPOC 10.3 COMMENCEMENT OF PROCEEDINGS

or disqualify the chief

hearing officer. The decision of the chief hearing officer or Chair on a request for removal or a

motion to disqualify is not subject to interim review. Upon removal or disqualification of an

assigned hearing officer or hearing panel member, the chief hearing officer assigns a

replacement.

[Adopted effective January 1, 2009.]

ELPOC 10.3 COMMENCEMENT OF PROCEEDINGS

(a) Formal Complaint.

(1) Filing. After a matter is ordered to hearing, disciplinary counsel files a formal

complaint with the Clerk.

(2) Service. After the formal complaint is filed, it must be personally served on the

respondent LPO, with a notice to answer.

(3) Content. The formal complaint must state the respondent LPO’s acts or omissions in

sufficient detail to inform the respondent of the nature of the allegations of misconduct.

Disciplinary counsel must sign the formal complaint, but it need not be verified.

(4) Prior Discipline. Prior disciplinary action against the respondent may be described in a

separate count of the formal complaint if the respondent is charged with conduct demonstrating

unfitness to practice as an LPO.

(b) Filing Commences Proceedings. A disciplinary proceeding commences when the

formal complaint is filed.

panel may in its discretion consolidate for hearing two or more charges against the same

respondent, or may join charges against two or more respondents in one formal complaint.

[Adopted effective January 1, 2009.]

ELPOC 10.4 NOTICE TO ANSWER

proceeding commences when the

formal complaint is filed.

panel may in its discretion consolidate for hearing two or more charges against the same

respondent, or may join charges against two or more respondents in one formal complaint.

[Adopted effective January 1, 2009.]

ELPOC 10.4 NOTICE TO ANSWER

(a) Content. The notice to answer must be substantially in the following form:

BEFORE THE LIMITED PRACTICE BOARD OF

WASHINGTON STATE

In re

)

NOTICE TO ANSWER;

)

NOTICE OF HEARING OFFICER [OR PANEL];

_________________, )

NOTICE OF DEFAULT PROCEDURE

LPO,

)

To: The above named LPO:

A formal complaint has been filed against you, a copy of which is served on you with this

notice.

You are notified that you must file your answer to the complaint within 20 days of the date

of service on you, by filing the original of your answer with the Clerk to the Limited Practice

Board care of the Washington State Bar Association, [insert address] and by serving one copy

[on the hearing officer] [on each member of the hearing panel] if one has been assigned and one

copy on disciplinary counsel at the address[es] given below. Failure to file an answer may result

in the imposition of a disciplinary sanction against you and the entry of an order of default under

rule 10.6 of the Rules for Enforcement of Limited Practice Officer Conduct.

Notice of default procedure: Your default may be entered for failure to file a written

answer to this formal complaint within 20 days of service as required by rule 10.6 of the

Rules for Enforcement of Limited Practice Officer Conduct. The entry of an order of

default may result in the charges of misconduct in the formal complaint being admitted

and discipline being imposed or recommended based on the admitted charges of

misconduct

t may be entered for failure to file a written

answer to this formal complaint within 20 days of service as required by rule 10.6 of the

Rules for Enforcement of Limited Practice Officer Conduct. The entry of an order of

default may result in the charges of misconduct in the formal complaint being admitted

and discipline being imposed or recommended based on the admitted charges of

misconduct. If an order of default is entered, you will lose the opportunity to participate

further in these proceedings unless and until the order of default is vacated on motion

timely made under rule 10.6(c) of the Rules for Enforcement of Limited Practice Officer

Conduct. The entry of an order of default means that you will receive no further notices

regarding these proceedings except those required by rule 10.6(b)(2).

The [hearing officer] [hearing panel] assigned to this proceeding is: [insert name, address,

and telephone number of hearing officer, or name, address, and telephone number of each

hearing panel member with an indication of the chair of the panel].

Dated this __________ day of __________________, 20___.

WASHINGTON STATE BAR ASSOCIATION

By _________________________________

Disciplinary Counsel, Bar No.

Address: _______________________________

Telephone: _____________________________

(b) Notice When Hearing Officer or Panel Not Assigned. If no hearing officer or panel

has been assigned when a formal complaint is served, disciplinary counsel serves the formal

complaint and a notice to answer as in section (a), but without reference to the hearing officer or

panel.

[Adopted effective January 1, 2009.]

ELPOC 10.5 ANSWER

_______

Telephone: _____________________________

(b) Notice When Hearing Officer or Panel Not Assigned. If no hearing officer or panel

has been assigned when a formal complaint is served, disciplinary counsel serves the formal

complaint and a notice to answer as in section (a), but without reference to the hearing officer or

panel.

[Adopted effective January 1, 2009.]

ELPOC 10.5 ANSWER

(a) Time to Answer. Within 20 days of service of the formal complaint and notice to

answer, the respondent LPO must file and serve an answer. Failure to file an answer as required

may be grounds for discipline and for an order of default under rule 10.6. The filing of a motion

to dismiss for failure to state a claim stays the time for filing an answer during the pendency of

the motion.

(b) Content. The answer must contain:

(1) a specific denial or admission of each fact or claim asserted in the formal complaint in

accordance with CR 8(b);

(2) a statement of any matter or facts constituting a defense, affirmative defense, or

justification, in ordinary and concise language without repetition; and

(3) an address at which all further pleadings, notices, and other documents in the

proceeding may be served on the respondent.

hearing panel has been assigned to hear a matter, the respondent must serve each member with a

copy of the answer.

[Adopted effective January 1, 2009.]

ELPOC 10.6 DEFAULT PROCEEDINGS

ress at which all further pleadings, notices, and other documents in the

proceeding may be served on the respondent.

hearing panel has been assigned to hear a matter, the respondent must serve each member with a

copy of the answer.

[Adopted effective January 1, 2009.]

ELPOC 10.6 DEFAULT PROCEEDINGS

(a) Entry of Default.

(1) Timing. If a respondent LPO, after being served with a notice to answer as provided in

rule 10.4, fails to file an answer to a formal complaint or to an amendment to a formal complaint

within the time provided by these rules, disciplinary counsel may serve the respondent with a

written motion for an order of default.

(2) Motion. Disciplinary counsel must serve the respondent with a written motion for an

order of default and a copy of this rule at least five days before entry of the order of default. The

motion for an order of default must include the following:

(A) the dates of filing and service of the notice to answer, formal complaint, and any

amendments to the complaint; and

(B) disciplinary counsel’s statement that the respondent has not timely filed an answer as

required by rule 10.5 and that disciplinary counsel seeks an order of default under this rule.

(3) Entry of Order of Default. If the respondent fails to file a written answer with the Clerk

within five days of service of the motion for entry of an order of default, the hearing officer, or if

no hearing officer or panel has been assigned, the chief hearing officer, on proof of proper

service of the motion, enters an order finding the respondent in default.

of default under this rule.

(3) Entry of Order of Default. If the respondent fails to file a written answer with the Clerk

within five days of service of the motion for entry of an order of default, the hearing officer, or if

no hearing officer or panel has been assigned, the chief hearing officer, on proof of proper

service of the motion, enters an order finding the respondent in default.

(4) Effect of Order of Default. Upon entry of an order of default, the allegations and

violations in the formal complaint and any amendments to the complaint are deemed admitted

and established for the purpose of imposing discipline and the respondent may not participate

further in the proceedings unless the order of default is vacated under this rule.

(b) Proceedings After Entry of an Order of Default.

(1) Service. The Clerk serves the order of default and a copy of this rule under rule 4.2(b).

(2) No Further Notices. After entry of an order of default, no further notices must be

served on the respondent except for copies of the decisions of the hearing officer or hearing

panel and the Board.

(3) Disciplinary Proceeding. Within 60 days of the filing of the order of default, the

hearing officer must conduct a disciplinary proceeding to recommend disciplinary action based

on the allegations and violations established under section (a). At the discretion of the hearing

officer or panel, these proceedings may be conducted by formal hearing, written submissions,

telephone hearing, or other electronic means. Disciplinary counsel may present additional

evidence including, but not limited to, requests for admission under rule 10.11(b), and

depositions, affidavits, and declarations regardless of the witness’s availability.

on (a). At the discretion of the hearing

officer or panel, these proceedings may be conducted by formal hearing, written submissions,

telephone hearing, or other electronic means. Disciplinary counsel may present additional

evidence including, but not limited to, requests for admission under rule 10.11(b), and

depositions, affidavits, and declarations regardless of the witness’s availability.

(1) Motion To Vacate Order of Default. A respondent may move to vacate the order of

default and any decision of the hearing officer or panel or Board arising from the default on the

following grounds:

(A) mistake, inadvertence, surprise, excusable neglect, or irregularity in obtaining the

default;

(B) erroneous proceedings against a respondent who was, at the time of the default,

incapable of conducting a defense;

discovered;

(D) fraud, misrepresentation, or other misconduct of an adverse party;

(E) the order of default is void;

(F) unavoidable casualty or misfortune preventing the respondent from defending; or

(G) any other reason justifying relief from the operation of the default.

(2) Time. The motion must be made within a reasonable time and for grounds (A) and (C)

within one year after entry of the default. If the respondent's motion is based on allegations of

incapability of conducting a defense, the motion must be made within one year after the

disability ceases.

(3) Burden of Proof. The respondent bears the burden of proving the grounds for setting

aside the default. If the respondent proves that the default was entered as a result of a disability

which made the respondent incapable of conducting a defense, the default must be set aside.

s of

incapability of conducting a defense, the motion must be made within one year after the

disability ceases.

(3) Burden of Proof. The respondent bears the burden of proving the grounds for setting

aside the default. If the respondent proves that the default was entered as a result of a disability

which made the respondent incapable of conducting a defense, the default must be set aside.

(4) Service and Contents of Motion. The motion must be filed and served under rules 4.1

and 4.2 and be accompanied by a copy of respondent's proposed answer to each formal

complaint for which an order of default has been entered. The proposed answer must state with

specificity the respondent's asserted defenses and any facts that respondent asserts as mitigation.

The motion to vacate the order of default must be supported by an affidavit showing:

(A) the date on which the respondent first learned of the entry of the order of default;

(B) the grounds for setting aside the order of default; and

default is vacated.

(5) Response to Motion. Within ten days of filing and service of the motion to vacate,

disciplinary counsel may file and serve a written response.

(6) Decision. The hearing officer or panel decides a motion to vacate the order of default

on the written record without oral argument. If the proceedings have been concluded, the chief

hearing officer assigns a hearing officer or panel to decide the motion. Pending a ruling on the

motion, the hearing officer or panel may order a stay of proceedings not to exceed 30 days. In

granting a motion to vacate an order of default, the hearing officer or panel has discretion to

order appropriate conditions.

cord without oral argument. If the proceedings have been concluded, the chief

hearing officer assigns a hearing officer or panel to decide the motion. Pending a ruling on the

motion, the hearing officer or panel may order a stay of proceedings not to exceed 30 days. In

granting a motion to vacate an order of default, the hearing officer or panel has discretion to

order appropriate conditions.

(7) Appeal of Denial of Motion. A respondent may appeal to the Chair a denial of a motion

to vacate an order of default by filing and serving a written notice of appeal stating the

arguments against the hearing officer or panel's decision. The respondent must file the notice of

appeal within ten days of service on the respondent of the order denying the motion. The appeal

is decided on the written record without oral argument. Pending a ruling on the appeal, the Chair

may order a stay of proceedings not to exceed 30 days. In granting a motion to vacate an order

of default, the Chair has discretion to order appropriate conditions.

(8) Decision To Vacate Is Not Subject to Interim Review. An order setting aside an order of

default is not subject to interim review.

(d) Order of Default Not Authorized in Certain Proceedings. The default procedure in

this rule does not apply to a proceeding to inquire into an LPO’s capacity to practice as an LPO

under Title 8 except as provided in that title.

[Adopted effective January 1, 2009.]

ELPOC 10.7 AMENDMENT OF FORMAL COMPLAINT

(a) Right To Amend. Disciplinary counsel may, without discipline committee

authorization, amend a formal complaint at any time to add facts or charges that relate to matters

in the formal complaint or to the respondent LPO’s conduct regarding the pending proceedings.

er Title 8 except as provided in that title.

[Adopted effective January 1, 2009.]

ELPOC 10.7 AMENDMENT OF FORMAL COMPLAINT

(a) Right To Amend. Disciplinary counsel may, without discipline committee

authorization, amend a formal complaint at any time to add facts or charges that relate to matters

in the formal complaint or to the respondent LPO’s conduct regarding the pending proceedings.

(b) Amendment with Authorization. Disciplinary counsel must seek discipline

committee authorization for amendments other than those under section (a). The discipline

committee may authorize the amendment or may require that the additional facts or charges be

the subject of a separate formal complaint. The Chair, with the consent of the respondent, and

after consultation with the hearing officer on the previously filed matter, may consolidate the

hearing on the separate formal complaint with the hearing on the other pending formal complaint

against the respondent.

on the respondent as provided in rule 4.1 but need not serve a Notice to Answer with the

amendment. Rule 10.5 governs the answer to an amendment except that any part of a previous

answer may be incorporated by reference.

[Adopted effective January 1, 2009.]

ELPOC 10.8 MOTIONS

(a) Filing and Service. Motions to the hearing officer, except motions which may be made

ex parte or motions at hearing, must be in writing and filed and served as required by rules 4.1

and 4.2.

(b) Response. The opposing party has five days from service of a motion to respond,

unless the time is shortened by the hearing officer for good cause. A request to shorten time for

response to a motion may be made ex parte.

officer should promptly rule on the motion, with or without argument as may appear appropriate.

Argument on a motion may be heard by conference telephone call.

respond,

unless the time is shortened by the hearing officer for good cause. A request to shorten time for

response to a motion may be made ex parte.

officer should promptly rule on the motion, with or without argument as may appear appropriate.

Argument on a motion may be heard by conference telephone call.

(d) Ruling. A ruling on a written motion must be in writing and filed with the Clerk.

(e) Minor Matters. Alternatively, motions on minor matters may be made by letter to the

hearing officer, with a copy to the opposing party and to the Clerk. The provisions of sections

(b) and (c) apply to these motions. A ruling on such motion may also be by letter to each party

with a copy to the Clerk.

(f) Chief Hearing Officer Authority. Before the assignment of a hearing officer or panel,

the chief hearing officer, as defined in ELC 2.5(f), may rule on any prehearing motion.

[Adopted effective January 1, 2009.]

ELPOC 10.9 INTERIM REVIEW

Unless these rules provide otherwise, the Board may review any interim ruling on request

for review by either party, if the Chair determines that review is necessary and appropriate and

will serve the ends of justice.

[Adopted effective January 1, 2009.]

ELPOC 10.10 PREHEARING DISPOSITIVE MOTIONS

(a) Respondent Motion. A respondent LPO may move for dismissal of all or any portion

of one or more counts of a formal complaint for failure to state a claim upon which relief can be

granted.

(b) Disciplinary Counsel Motion. Disciplinary counsel may move for an order finding

misconduct based on the pleadings. In ruling on this motion, the hearing officer or panel may

find that all or some of the misconduct as alleged in the formal complaint is established, but will

determine the sanction after a hearing.

l complaint for failure to state a claim upon which relief can be

granted.

(b) Disciplinary Counsel Motion. Disciplinary counsel may move for an order finding

misconduct based on the pleadings. In ruling on this motion, the hearing officer or panel may

find that all or some of the misconduct as alleged in the formal complaint is established, but will

determine the sanction after a hearing.

the answer to a formal complaint or amended formal complaint. A respondent may, within the

time provided for filing an answer, instead file a motion under this rule. If the motion does not

result in the dismissal of the entire formal complaint, the respondent must file and serve an

answer to the remaining allegations within ten days of service of the ruling on the motion.

(d) Procedure. Rule 10.8 and CR 12 apply to motions under this rule. No factual

materials outside the answer and complaint may be presented. If the motion results in dismissal

of part but not all of a formal complaint, the Board must hear an interlocutory appeal of the order

by either party. The appeal must be filed within 15 days of service of the order.

[Adopted effective January 1, 2009.]

ELPOC 10.11 DISCOVERY AND PREHEARING PROCEDURES

(a) General. The parties should cooperate in mutual informal exchange of relevant non-

privileged information to facilitate expeditious, economical, and fair resolution of the case.

(b) Requests for Admission. After a formal complaint is filed, the parties may request

admissions under CR 36. Under appropriate circumstances, the hearing officer may apply the

sanctions in CR 37(c) for improper denial of requests for admission.

operate in mutual informal exchange of relevant non-

privileged information to facilitate expeditious, economical, and fair resolution of the case.

(b) Requests for Admission. After a formal complaint is filed, the parties may request

admissions under CR 36. Under appropriate circumstances, the hearing officer may apply the

sanctions in CR 37(c) for improper denial of requests for admission.

discovery under the Superior Court Civil Rules, including under CR 27–31 and 33 –35, only on

motion and under terms and limitations the hearing officer deems just or on the parties’

stipulation.

(d) Limitations on Discovery. The hearing officer may exercise discretion in imposing

terms or limitations on the exercise of discovery to assure an expeditious, economical, and fair

proceeding, considering all relevant factors including necessity and unavailability by other

means, the nature and complexity of the case, seriousness of charges, the formal and informal

discovery that has already occurred, the burdens on the party from whom discovery is sought,

and the possibility of unfair surprise.

(e) Deposition Procedure.

(1) Subpoenas for depositions may be issued under CR 45. Subpoenas may be enforced

under rule 4.6.

(2) For a deposition outside Washington State, a commission need not issue, but a copy of

the order of the chief hearing officer or hearing officer, certified by the officer, is sufficient to

authorize the deposition.

(f) CR 16 Orders. The hearing officer may enter orders under CR 16.

(1) Subpoenas for depositions may be issued under CR 45. Subpoenas may be enforced

under rule 4.6.

(2) For a deposition outside Washington State, a commission need not issue, but a copy of

the order of the chief hearing officer or hearing officer, certified by the officer, is sufficient to

authorize the deposition.

(f) CR 16 Orders. The hearing officer may enter orders under CR 16.

(g) Duty to Cooperate. A respondent LPO who has been served with a formal complaint

must respond to discovery requests and comply with all lawful orders made by the hearing

officer. The hearing officer or panel may draw adverse inferences as appear warranted by the

failure of either the Board or the respondent to respond to discovery.

[Adopted effective January 1, 2009.]

ELPOC 10.12 SCHEDULING HEARING

(a) Where Held. All disciplinary hearings must be held in Washington State, unless the

respondent LPO is not a resident of the state, or cannot be found in the state.

(b) Scheduling of Hearing. If possible, the parties should arrange a date, time, and place

for the hearing by agreement among themselves and the hearing officer or panel members.

Alternatively, at any time after the respondent has filed an answer to the formal complaint, or

after the time to file the answer has expired, either party may move for an order setting a date,

time, and place for the hearing. Rule 10.8 applies to this motion. The motion must state:

•

the requested date or dates for the hearing;

•

other dates that are available to the requesting party;

•

the expected duration of the hearing;

•

discovery and anything else that must be completed before the hearing; and

•

the requested time and place for the hearing.

A response to the motion must contain the same information.

applies to this motion. The motion must state:

•

the requested date or dates for the hearing;

•

other dates that are available to the requesting party;

•

the expected duration of the hearing;

•

discovery and anything else that must be completed before the hearing; and

•

the requested time and place for the hearing.

A response to the motion must contain the same information.

of the hearing. This order may include any prehearing deadlines the hearing officer deems

required by the complexity of the case, and may be in the following form with the following

timelines:

IT IS ORDERED that the hearing is set and the parties must comply with prehearing

deadlines as follows:

1. Witnesses. A list of intended witnesses, including addresses and phone numbers, must

be filed and served by [Hearing Date (H)-8 weeks].

2. Discovery. Discovery cut-off is [H-6 weeks].

3. Motions. Prehearing motions, other than motions to bifurcate, must be served by

[H-4 weeks]. An exhibit not ordered or stipulated admitted may not be attached to a motion or

otherwise transmitted to the hearing officer unless the motion concerns the exhibit’s

admissibility. The hearing officer will advise counsel whether oral argument is necessary, and, if

so, the date and time, and whether it will be heard by telephone. (Rule 10.15 provides the

deadline for a motion to bifurcate.)

4. Exhibits. A list of proposed exhibits must be filed and served by [H-3 weeks].

5. Service of Exhibits/Summary. Copies of proposed exhibits and a summary of the

expected testimony of each witness must be served on the opposing counsel by [H-2 weeks].

6. Objections. Objections to proposed exhibits, including grounds, must be exchanged by

[H-1 week].

7. Briefs. Any hearing brief must be served and filed by [H-1 week]

exhibits must be filed and served by [H-3 weeks].

5. Service of Exhibits/Summary. Copies of proposed exhibits and a summary of the

expected testimony of each witness must be served on the opposing counsel by [H-2 weeks].

6. Objections. Objections to proposed exhibits, including grounds, must be exchanged by

[H-1 week].

7. Briefs. Any hearing brief must be served and filed by [H-1 week]. Exhibits not ordered

or stipulated admitted may not be attached to a hearing brief or otherwise transmitted to the

hearing officer before the hearing.

8. Hearing. The hearing is set for [H] and each day thereafter until recessed by the hearing

officer, at [location].

(d) Motion for Hearing Within 120 Days. A respondent’s motion under section (b) for a

hearing within 120 days must be granted, unless disciplinary counsel shows good cause for

setting the hearing at a later date.

(e) Notice. Service of a copy of an order or ruling of the hearing officer setting a date,

time, and place for the hearing constitutes notice of the hearing. The respondent must be given

at least ten days notice of the hearing absent consent.

(f) Continuance. Either party may move for a continuance of the hearing date. The

hearing officer has discretion to grant the motion for good cause shown.

[Adopted effective January 1, 2009.]

ELPOC 10.13 DISCIPLINARY HEARING

(a) Representation. The Board is represented at the hearing by disciplinary counsel. The

respondent LPO may be represented by counsel.

the hearing absent consent.

(f) Continuance. Either party may move for a continuance of the hearing date. The

hearing officer has discretion to grant the motion for good cause shown.

[Adopted effective January 1, 2009.]

ELPOC 10.13 DISCIPLINARY HEARING

(a) Representation. The Board is represented at the hearing by disciplinary counsel. The

respondent LPO may be represented by counsel.

(b) Respondent Must Attend. A respondent given notice of a hearing must attend the

hearing. Failure to attend the hearing, without good cause, may be grounds for discipline. If,

after proper notice, the respondent fails to attend the hearing, the hearing officer or panel:

(1) may draw an adverse inference from the respondent's failure to attend as to any

questions that might have been asked the respondent at the hearing; and

(2) must admit testimony by deposition regardless of the deponent’s availability. An

affidavit or declaration is also admissible, if:

(A) the facts stated are within the witness’s personal knowledge;

(B) the facts are set forth with particularity; and

writing, served on the respondent at least three days before the hearing, that the respondent bring

to the hearing any documents, files, records, or other written materials or things. The respondent

must comply with this request and failure to bring requested materials, without good cause, may

be grounds for discipline.

(d) Witnesses. Except as provided in subsection (b)(2) and rule 10.6, witnesses must

testify under oath. Testimony may also be submitted by deposition as permitted by CR 32.

Testimony must be recorded by a court reporter or, if allowed by the hearing officer, by tape

recording. The parties have the right to cross-examine witnesses who testify and to submit

rebuttal evidence.

or discipline.

(d) Witnesses. Except as provided in subsection (b)(2) and rule 10.6, witnesses must

testify under oath. Testimony may also be submitted by deposition as permitted by CR 32.

Testimony must be recorded by a court reporter or, if allowed by the hearing officer, by tape

recording. The parties have the right to cross-examine witnesses who testify and to submit

rebuttal evidence.

(e) Subpoenas. The parties may subpoena witnesses, documents, or things under the terms

of CR 45. A witness must promptly comply with all subpoenas issued under this rule and with

all lawful orders made by the hearing officer under this rule. Subpoenas may be enforced under

rule 4.6. The hearing officer or panel may additionally draw adverse inferences as appear

warranted by the respondent’s failure to respond.

(f) Prior Disciplinary Record. The respondent’s record of prior disciplinary action, or the

fact that the respondent has no prior disciplinary action, must be made a part of the hearing

record before the hearing officer or panel files a decision.

[Adopted effective January 1, 2009.]

ELPOC 10.14 EVIDENCE AND BURDEN OF PROOF

(a) Proceedings Not Civil or Criminal. Hearing officers should be guided in their

evidentiary and procedural rulings by the principle that disciplinary proceedings are neither civil

nor criminal but are sui generis hearings to determine if an LPO’s conduct should have an impact

on their license to practice as an LPO.

(b) Burden of Proof. Disciplinary counsel has the burden of establishing an act of

misconduct by a clear preponderance of the evidence.

respondent LPO with an act of misconduct for which the respondent has been convicted in a

criminal proceeding, the court record of the conviction is conclusive evidence at the disciplinary

hearing of the respondent’s guilt of the crime and violation of the statute on which the conviction

was based.

f the evidence.

respondent LPO with an act of misconduct for which the respondent has been convicted in a

criminal proceeding, the court record of the conviction is conclusive evidence at the disciplinary

hearing of the respondent’s guilt of the crime and violation of the statute on which the conviction

was based.

(d) Rules of Evidence. Consistent with section (a) of this rule, the following rules of

evidence apply during disciplinary hearings:

(1) evidence, including hearsay evidence, is admissible if in the hearing officer’s judgment

it is the kind of evidence on which reasonably prudent persons are accustomed to rely in the

conduct of their affairs. The hearing officer may exclude evidence that is irrelevant, immaterial,

or unduly repetitious;

(2) if not inconsistent with subsection (1), the hearing officer shall refer to the Washington

Rules of Evidence as guidelines for evidentiary rulings;

(3) documents may be admitted in the form of copies or excerpts, or by incorporation by

reference;

(4) Official Notice.

(A) official notice may be taken of:

(i) any judicially cognizable facts;

(ii) technical or scientific facts within the hearing officer’s or panel’s specialized

knowledge; and

(iii) codes or standards adopted by an agency of the United States, of this state, or of

another state, or by a nationally recognized organization or association.

(B) the parties shall be notified either before or during hearing, or by reference in

preliminary reports or otherwise, of the material noticed and the sources thereof, including any

staff memoranda and data, and they shall have an opportunity to contest the facts and material

noticed. A party proposing that official notice be taken may be required to produce a copy of the

material to be noticed.

the parties shall be notified either before or during hearing, or by reference in

preliminary reports or otherwise, of the material noticed and the sources thereof, including any

staff memoranda and data, and they shall have an opportunity to contest the facts and material

noticed. A party proposing that official notice be taken may be required to produce a copy of the

material to be noticed.

(e) APA as Guidance. The evidence standards in this rule are based on the evidence

provisions of the Washington Administrative Procedures Act, which, when not inconsistent with

these standards, should be looked to for guidance. “Shall” has the meaning in this rule ascribed

to it in the APA.

[Adopted effective January 1, 2009. Amended effective January 1, 2023.]

ELPOC 10.15 BIFURCATED HEARINGS

(a) When Allowed. Upon written motion filed no later than 60 days before the scheduled

hearing, either party may request that the disciplinary proceeding be bifurcated. The hearing

officer or panel must weigh the reasons for bifurcation against any increased cost and delay,

inconvenience to participants, duplication of evidence, and any other factors, and may grant the

motion only if it appears necessary to insure a fair and orderly hearing because the respondent

has a record of prior disciplinary sanction or because either party would suffer significant

prejudice or harm.

(b) Procedure.

(1) Violation Hearing.

(A) A bifurcated proceeding begins with an initial hearing to make factual determinations

and legal conclusions as to the violations charged, including the mental state necessary for the

violations. During this stage of the proceedings, evidence of a prior disciplinary record is not

admissible to prove the respondent’s character or to impeach the respondent’s credibility.

However, evidence of prior acts of misconduct may be admitted for other purposes, such as

proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of

mistake or accident

r the

violations. During this stage of the proceedings, evidence of a prior disciplinary record is not

admissible to prove the respondent’s character or to impeach the respondent’s credibility.

However, evidence of prior acts of misconduct may be admitted for other purposes, such as

proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of

mistake or accident.

(B) At the conclusion of that hearing, the hearing officer or panel files findings and

conclusions.

(i) If no violation is found, the proceedings are concluded, the findings and conclusions are

the decision of the hearing officer or panel, and the sanction hearing is canceled.

(ii) If any violation is found, after the expiration of the time for a motion to amend under

rule 10.16(c), or after ruling on that motion, the findings and conclusions as to those violations

are not subject to reconsideration by the hearing officer.

(2) Sanction Hearing. If any violation is found, a second hearing is held to determine the

appropriate sanction recommendation. During the sanction hearing, evidence of the existence or

lack of any prior disciplinary record is admissible. No evidence may be admitted to contradict or

challenge the findings and conclusions as to the violations. At the conclusion of the sanction

hearing, the hearing officer or panel files findings and conclusions as to a sanction

recommendation, that, together with the previously filed findings and conclusions, is the decision

of the hearing officer or panel.

(3) Timing. If a motion for bifurcation is granted, the violation hearing is held on the date

previously set for hearing. Upon granting a motion to bifurcate, the hearing officer must set a

date and place for the sanction hearing. Absent extraordinary circumstances, the sanction

hearing should be held no later than 45 days after the anticipated last day of the violation

hearing.

ELPOC 10.16 DECISION OF HEARING OFFICER OR PANEL

n is granted, the violation hearing is held on the date

previously set for hearing. Upon granting a motion to bifurcate, the hearing officer must set a

date and place for the sanction hearing. Absent extraordinary circumstances, the sanction

hearing should be held no later than 45 days after the anticipated last day of the violation

hearing.

ELPOC 10.16 DECISION OF HEARING OFFICER OR PANEL

(a) Decision. Within 20 days after the proceedings are concluded, unless extended by

agreement, the hearing officer should file with the Clerk a decision in the form of findings of

fact, conclusions of law, and recommendation.

(b) Preparation of Findings. The hearing officer or hearing panel write their own

findings of fact, conclusions of law, and recommendations. At the request of the hearing officer,

or without a request, either party may submit proposed findings, conclusions, and

recommendation.

(1) Timing of Motion. Either party may move to modify, amend, or correct the decision as

follows:

(A) In a proceeding not bifurcated, within ten days of service of the decision on the

respondent LPO;

(B) In a bifurcated proceeding, within five days of service of:

(i) the violation findings of fact and conclusions of law; or

(ii) the sanction recommendation, but this motion may not seek to modify, amend, or

correct the violation findings or conclusions.

period does not begin until the written dissent is filed or the time to file a dissent has expired,

whichever is sooner.

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