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Alabama Rules of Disciplinary Procedure

Rule 12, Procedures

An investigation of alleged misconduct, whether upon complaint or otherwise, shall be initiated and conducted by the General Counsel, as provided in paragraph (a) of this rule, or by a local grievance committee, as provided in paragraph (b) of this rule. A recommendation based upon such investigation shall be submitted to, and acted upon by, the Disciplinary Commission, as provided in paragraph (c) of this rule. A decision by the Disciplinary Commission to enforce a private or public reprimand shall be responded to by the respondent, as provided in paragraph (d) of this rule. A disciplinary charge filed by the General Counsel shall be tried to the Disciplinary Board by a formal hearing, as provided in paragraph (e) of this rule. The parties shall have the right to appeal from an adverse decision, as provided in paragraph (f) of this rule.

    (1) The General Counsel for the Alabama State Bar shall have the right to investigate an allegation or complaint of misconduct of any member of the Alabama State Bar and any nonresident lawyer admitted pro hac vice pursuant to Rule VII, Rules Governing Admission to the Alabama State Bar (hereinafter referred to as "respondent").

    (2) Upon the conclusion of an investigation, the General Counsel shall decide whether the matter warrants dismissal, the imposition of a private or public reprimand, or the filing of formal charges with the Disciplinary Board. In making this decision, the General Counsel, without a formal hearing, shall consider all legal evidence pertinent to the issue, including any prior ethical violations by the respondent. The decision, along with all relevant materials considered by the General Counsel, shall be reported as a recommendation to the Disciplinary Commission.

    (3) Notice to Law Firms. When a formal disciplinary or investigative file is opened by the General Counsel or by a local grievance committee as provided in subsection (b) of this rule, the respondent shall disclose the fact that a disciplinary file has been opened to the respondent's current law firm by notifying the managing partner, senior partner, executive committee, or management committee. If the respondent changes law firms after a disciplinary file has been opened, but before a final determination has been made by the Disciplinary Commission or the Disciplinary Board, the respondent shall disclose the fact that a disciplinary file has been opened to the respondent's new law firm by notifying the managing partner, senior partner, executive committee, or management committee of the new firm. If the respondent was associated with a different law firm at the time of the act or acts giving rise to a complaint, then the respondent shall also notify that law firm. Disclosure shall be in writing and in the following form:

        "A complaint of unethical conduct against me has been filed with the Alabama State Bar. The nature of the allegations are: [Provide a general description.] This notice is provided pursuant to Rule 12(a)(3) of the Alabama Rules of Disciplinary Procedure."

The notice shall be provided within 15 days of notice that a disciplinary file has been opened, and a copy of the above notice shall be served on the Office of General Counsel of the Alabama State Bar.

    (1) A local grievance committee, approved pursuant to Rule 7 of these Rules, shall have the right to investigate an allegation or complaint of misconduct of any member of the Alabama State Bar and any nonresident lawyer admitted pro hac vice pursuant to Rule VII, Rules Governing Admission to the Alabama State Bar.

    (2) Upon the conclusion of an investigation, the local grievance committee shall decide whether the matter warrants dismissal, the imposition of a private or public reprimand, or the filing of formal charges before the Disciplinary Board. In making its decision, the local grievance committee, without a formal hearing, shall consider all legal evidence pertinent to the issue, including the respondent's prior ethical violations, if any. This decision, along with all relevant materials considered by the local grievance committee, shall be reported, as a recommendation, to the Disciplinary Commission.

    (3) In the event the Disciplinary Commission modifies the recommendation of a local grievance committee, the matter shall be continued until the next meeting of the Disciplinary Commission. The local grievance committee shall be notified of the modification by the Disciplinary Commission, and it may file a written request for reconsideration by the Disciplinary Commission. The Disciplinary Commission may require the attendance of a representative of the local grievance committee at any meeting at which such a modification is reconsidered.

    (1) Upon receiving a recommendation, as provided in paragraph (a)(2) or paragraph (b)(2) of this rule, the Disciplinary Commission shall decide, by majority vote, whether the matter should be concluded by dismissal; by imposition of a private or public reprimand; or by the filing of formal charges before the Disciplinary Board. The decision of the Disciplinary Commission not to pursue an inquiry is not appealable.

    (2) The notice by the Disciplinary Commission to the respondent of a decision to impose a public or private reprimand shall include a recital of the Disciplinary Rule, and a concise finding of fact constituting the misconduct, upon which the proposed discipline is based.

(d) Action by Respondent. A respondent, within fourteen (14) days after being advised of the decision to impose a private or public reprimand, may do any of the following:

    (1) Accept the proposed private or public reprimand;

    (2) Submit in writing to the Disciplinary Commission additional information and request the Disciplinary Commission to reconsider the proposed discipline. If, after reconsideration, the Disciplinary Commission approves a private or public reprimand, the respondent may accept such sanction or demand charges, as provided in paragraph (d)(3) below, within fourteen (14) days after being advised of the decision of the Disciplinary Commission; or

    (3) Demand, in writing and delivered to the General Counsel, that the General Counsel file formal charges with the Disciplinary Board, in accord with paragraph (c) of this rule.

    (1) Formal disciplinary proceedings before a Disciplinary Board shall be instituted by the General Counsel's filing with the Disciplinary Clerk of the Alabama State Bar a petition, which shall reasonably inform the respondent of the alleged misconduct. The Disciplinary Clerk shall assign and transmit the petition to a Disciplinary Hearing Officer and a Disciplinary Board. A copy of the petition shall be served upon the respondent. The respondent shall serve a copy of his answer upon the General Counsel and file the original with the Disciplinary Clerk within twenty-eight (28) days after the service of the petition, unless the Disciplinary Hearing Officer extends the time for answering the petition. If the respondent fails to answer, the charges shall be deemed admitted; provided, however, that if the failure to answer was attributable to mistake, inadvertence, surprise, or excusable neglect, a respondent who fails to answer within the time provided may obtain permission from the Disciplinary Hearing Officer to file an out-of-time answer.

    (2) Following the service of the answer or upon failure to answer, a time, date, and place for a hearing shall be set by the Disciplinary Hearing Officer.

    (3) The Disciplinary Hearing Officer shall serve a notice upon the General Counsel and the respondent, or the respondent's counsel, at least fourteen (14) days in advance of the date set for the hearing, stating the time, date, and place of the hearing. The notice shall advise the respondent that he or she is entitled to be represented by counsel, to cross-examine witnesses, and to present evidence in his or her own behalf.

    (4) If the Disciplinary Board finds that the respondent has violated the Alabama Rules of Professional Conduct, the Disciplinary Board shall permit the General Counsel and the respondent to present matters in aggravation and in mitigation, including any prior violations of the Rules of Professional Conduct by the respondent, or the absence of such violations, for consideration by the Disciplinary Board in determining the appropriate discipline. If the charges have been deemed admitted because the respondent failed to file an answer within the prescribed time, the respondent will be advised that the purpose of the hearing is to determine punishment and that the Disciplinary Board will consider only those matters relevant in aggravation and in mitigation of punishment.

    (1) The parties have a right to appeal an adverse decision of the Disciplinary Board or, in a Rule 20 proceeding, an adverse decision of the Disciplinary Commission, to the Supreme Court of Alabama by filing a notice of appeal with the Disciplinary Clerk of the Alabama State Bar and the Clerk of the Supreme Court within fourteen (14) days after the decision of the Disciplinary Board or the Disciplinary Commission is filed with the Disciplinary Clerk.

    (2) The record on appeal shall include: (A) all filings except those listed in Rule 10(a), Alabama Rules of Appellate Procedure, unless the inclusion of those items is specifically requested by the respondent or by the Office of General Counsel; (B) a transcript of testimony; and (C) the decision of the Disciplinary Board or the Disciplinary Commission.

    (3) Within seven (7) days after filing notice of appeal, the appellant shall make satisfactory arrangements with the Disciplinary Clerk for payment of the costs of photocopying a sufficient number of copies of the record on appeal in order to furnish one copy each to the Supreme Court of Alabama, the appellee, and the appellant, if the appellant desires to order a copy.

    (4) Within fourteen (14) days thereafter, the Disciplinary Clerk shall forward the record on appeal to the Clerk of the Supreme Court of Alabama.

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