Rule 23. Disciplinary Commission and Proceedings
Effective January 1, 2021
Table of Contents
I. Overview
Section 1. General Principles
(a) Duties of attorneys
(b) Supreme Court’s exclusive jurisdiction
(c) Purpose
(d) Definitions
Section 2. Grounds for Discipline or Suspension
(a) Indiana standards of conduct
(b) Standards of conduct of other jurisdictions
(c) Disability
Section 3. Types of Discipline and Suspension; Notice of Orders and Opinions
(a) Discipline for professional misconduct
(b) Disability suspension
(c) Probation
(d) Required notice of orders and opinions
II. The Disciplinary Commission and Bar Associations
Section 4. Sources and Uses of Funds
(a) Source and deposit of funds
(b) Disbursements
(c) Salaries
(d) Budget
Section 5. Role of Bar Associations
(a) Mandatory and prohibited actions
(b) Permissive actions regarding fee disputes
(c) Authorization to file grievance
Section 6. Composition of Supreme Court Disciplinary Commission
(a) Establishment
(b) Composition
Section 7. Organization of the Disciplinary Commission
(a) Officers
(b) Quorum
(c) Meetings
(d) Expenses and compensation
Section 8. Powers and Duties of the Disciplinary Commission
(a) Duties and powers
(b) Rules and regulations
Section 9. Powers and Duties of the Executive Director
III. Specific Procedures
Section 10. Investigatory Procedures
(a) Initial review of grievances
(b) Grievance on behalf of Disciplinary Commission
(c) Demand for information
(d) Additional allegations or evidence
(e) Duty to respond to demand for information
(f) Self-report of misconduct
(g) Action by Executive Director
(h) Limitation on time to complete investigation
Section 10.1. Noncooperation with Disciplinary Investigation
(a) Duty to cooperate
(b) Failure to cooperate
(c) Suspension for noncooperation
(1) Show cause order
(2) Entry of noncooperation suspension order
(3) Certification of cooperation
(4) Conversion to indefinite suspension
(5) Repeated failures to cooperate
(d) Costs.
Section 11. Disciplinary Commission Consideration of Grievances
(a) Consideration of Executive Director’s report
(b) Authorization to dismiss grievance
(c) Authorization to file Disciplinary Complaint
Section 11.1. Duty to Report Findings of Guilt; Interim and Summary Suspensions
(a) Findings of criminal guilt
(1) Duty to report finding of guilt of any felony or misdemeanor
(2) Criminal conviction of crime punishable as a felony
(b) Emergency interim suspension
(c) Delinquency in paying child support
Section 12. Prosecution of Attorney Misconduct
(a) Disciplinary Complaint
(b) Summons
(c) Service of Disciplinary Complaint and summons
(d) Modification of a Disciplinary Complaint or charge
Section 12.1. Agreed Discipline
(a) Private administrative admonition
(1) Available for minor misconduct
(2) Private administrative admonition letters
(b) Conditional Agreement for discipline
(1) Submission to the Supreme Court
(2) Contents of Conditional Agreement
(3) Respondent’s affidavit
(4) Consideration and disposition by the Supreme Court
(5) Use of Conditional Agreement.
Section 13. Hearing Officers
(a) Appointment and qualifications
(b) Change of hearing officer
(c) Powers and duties
Section 14. Proceedings Before the Hearing Officer
(a) Rules of pleading and practice
(b) Appearance and answer
(c) Failure to answer
(d) Discovery
(e) Pre-hearing conference
(f) The hearing
(g) Hearing Officer’s Report
Section 15. Supreme Court Review
(a) Petition for Review
(1) Time for filing
(2) Brief in Support of Petition for Review
(3) Response and reply briefs
(b) Brief on Sanction
(c) Format
Section 16. Probation
(a) Imposition
(b) Termination
(1) Termination of probation not automatic
(2) Petition for termination of probation
(3) Objection to termination of probation
(4) Adjustment of status in absence of objection
(5) Procedure if the Disciplinary Commission objects to termination of probation
(c) Revocation
(1) Motion to Revoke Probation
(2) Response to motion
(3) Burden of proof and matters considered
(4) Disposition
(d) Service in termination and revocation matters
(e) Immediate suspension pending revocation
Section 17. Resignation and Disbarment by Consent on Admission of Misconduct
(a) Affidavit consenting to resignation
(b) Supreme Court action on affidavit consenting to resignation
(1) Approval of resignation
(2) Rejection of resignation
(c) Disbarment by consent
(d) Confidentiality of affidavit
Section 17.1. Consent to Discipline on Admission of Misconduct
(a) Affidavit consenting to discipline
(b) Briefing and decision
Section 18. Reinstatement
(a) Reinstatement after suspension with automatic reinstatement
(b) Reinstatement after suspension without automatic reinstatement
(1) Time for filing
(2) Prerequisites for seeking reinstatement
(3) Proof needed for reinstatement
(4) Hearing on petition for reinstatement
(5) Supreme Court review of the Hearing Officer’s Report
(c) Reinstatement under other Sections of Rule 23
(d) Other terms and conditions
Section 19. Proceedings to Determine Disability
(a) Report to the Disciplinary Commission
(b) Investigation
(c) Hearing and Petition for Disability Suspension
(d) Immediate emergency suspension
(e) Objection to Petition for Disability Suspension
(f) Suspension if no objection is filed
(g) Procedure if an objection is filed
(h) Procedure for reinstatement.
Section 20. Discipline Imposed by Other Jurisdictions
(a) Definitions and applicability
(b) Indiana attorney’s duty to report foreign discipline
(c) Executive Director’s duty to obtain copy of order
(d) Notice and request for reciprocal suspension
(e) Supreme Court order
(f) Effect of foreign adjudication
(g) Motion for Release from Reciprocal Suspension.
IV. General Provisions
Section 21. Costs and Expenses
(a) Imposition of costs and expenses in disciplinary proceedings
(b) Costs of hearing in reinstatement proceedings
(c) Costs for Disciplinary Commission services in providing copies of documents
(1) Documents
(2) Delivery costs
(3) Right to withhold until payment is made
(4) Inapplicable to discovery requests
(d) Failure to pay costs and expenses
Section 22. Public Access
(a) Documents and information about disciplinary matters
(b) Hearings
Section 23. Filing, Service, Submission, Format of Documents; Motion Practice
(a) Filing; general provisions
(b) Filing defined
(c) Filing; required documents
(d) Time for service
(e) Required service
(f) Manner and date of service
(g) Certificate of service
(h) Documents submitted to the Supreme Court
(i) Inclusion of contact information
(j) Format
(k) Electronic copy
(l) Motion practice
Section 23.1. Obligations of Attorneys regarding Service; Constructive Service
(a) Obligation to accept service
(b) Obligation to notify Executive Director of the Indiana Office of Admissions and Continuing Education of change of contact information
(c) Executive Director of the Indiana Office of Admissions and Continuing Education as agent to receive constructive service
Section 23.2. Computation of Time
(a) Non-business and business days
(b) Counting days
(c) Extension of time when served by mail or carrier
Section 24. Assistance of Law Enforcement Agencies and to Attorney Disciplinary Agencies in Other Jurisdictions
(a) Assistance from law enforcement
(b) Assistance to other jurisdictions
Section 25. Immunity
(a) Statements to the Disciplinary Commission or Lawyers Assistance Program
(b) Suit arising from performance of duties
Section 26. Duties of Suspended Attorneys, Disbarred Attorneys, and Attorneys whose Resignation has been Accepted
(a) Applicability
(b) Duties of all suspended and disbarred attorneys
(c) Additional duties of attorneys who have been disbarred, suspended without automatic reinstatement, or suspended for more than 180 days
(d) Additional duties of suspended attorneys not subject to subsection (c)
Section 27. Attorney Surrogates
Section 28. (Reserved).
V. Trust Accounts
Section 29. Trust Account Funds
(a) Required trust account records
(b) Availability of records
(c) Trust account safeguard
(d) Dissolution or sale of law practice
Section 30. Overdraft Notification and Processing
(a) Definitions
(b) Approval of financial institutions
(c) Disapproval and revocation of approval of financial institutions
(d) Duty to notify institutions of trust accounts
(e) Maintaining a trust account in a foreign jurisdiction
(f) Overdraft reports
(g) Investigation of overdrafts