LastreviewedandeditedOctober26,2020IncludesamendmentseffectiveOctober26,2020

MAINEBARRULES*TableofContents

PREAMBLEANDTERMINOLOGYI.BOARDOFOVERSEERSOFTHEBARRULE1 STRUCTURE

(a) Board(b) Appointment(c) DesignationofOfficers(d) BoardActionandRecusal(e) Compensation(f) ExpensesandFinancialPolicies(g) RosterofLawyers(h) PowersandDuties(i) DestructionofConfidentialDocuments

RULE2 BARCOUNSEL(a) Appointment(b) PowersandDuties(c) AdvisoryOpinions(d) ExParteCommunication(e) SuccessiveEmployment(f) Recusal(g) ContinuingLegalEducationLectures

RULE3 CENTRALINTAKE(a) Functions(b) PowersandDuties

*AseparateversionoftheseRulescontainingReporter’sNotesisavailableontheMaineJudicial

Branchwebsite.

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II.MAINEBARADMINISTRATIVERULESRULE4 REGISTRATION

(a) Requirement(b) Registration(c) Exemptions(d) ReceiptDemonstratingCompliancewithRegistrationFiling(e) ApplicationforTransfertoInactiveStatus(f) ApplicationforEmeritusStatus (g) AdministrativeSuspension(h) NoticeofAdministrativeSuspension(i) ReinstatementfromAdministrativeSuspension(j) ReinstatementfromInactiveStatus(k) NoticetoClients,AdverseParties,andOtherCounsel(l) NoticeofRegistrationStatusChange(m) CertificateofGoodStanding

RULE5 CONTINUINGLEGALEDUCATION(CLE)(a) Purpose(b) ContinuingLegalEducation(CLE)Committee(c) MCLERequirements(d) Exemptions(e) ReportingPeriodandCompliance(f) AccumulationandComputationofCredits(g) StandardsforAccreditationofMCLEPrograms(h) CreditCategories(i) ApprovedSponsorStatus(j) ApplicationProceduresforProgramAccreditation(k) ReportingCLECredit(l) EnforcementofMCLERequirements(m) ConfidentialityandRecordRetention

RULE6 MAINTENANCEOFTRUSTACCOUNTSINAPPROVEDINSTITUTIONS;IOLTA

(a) ClearlyIdentifiedTrustAccountsinEligibleInstitutionsRequired(b) ReportingandCertification(c) IOLTAAccountRequirements(d) VerificationofBankAccounts(e) MaineBarFoundationActions

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(f) ReceiptofVoluntaryContributions(g) ConsentbyLawyers(h) Costs

III.COMMISSIONS

RULE7 FEEARBITRATIONCOMMISSION(a) Commission(b) PowersandDuties(c) BoardClerk(d) Procedures(e) ArbitrationHearing(f) ArbitrationAward(g) EnforcementandChallengestoAward(h) Confidentiality

RULE8 PROFESSIONALETHICSCOMMISSION

(a) Appointment(b) TermsofOffice(c) QuorumandAction(d) PowersandDuties(e) OpinionsasEvidence(f) Confidentiality(g) DestructionofConfidentialDocuments

RULE9 GRIEVANCECOMMISSION(a) Appointment(b) TermsofOffice(c) RepresentationProhibition(d) PowersandDuties(e) ReviewbyPublicMember(f) PowersandDutiesofPanelChair(g) RecusalandDisqualificationofPanelMembers(h) DestructionofConfidentialDocuments(i) ExParteCommunication

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IV.MAINEDISCIPLINARYRULESRULE10 JURISDICTION

(a) LawyersAdmittedtoPractice(b) FormerJudges(c) IncumbentJudges(d) PowersNotAssumed

RULE11 STATUTEOFLIMITATIONSRULE12 IMMUNITYRULE13 DISCIPLINARYRULESOFPROCEDURE

(a) Evaluation(b) Investigation(c) AlternativestoDisciplineProgram(d) PreliminaryReviewbyGrievanceCommissionPanel(e) FormalChargesHearing(f) PetitionforReviewofDismissal,Admonition,Reprimand,or

Probation(g) AttorneyDisciplineActionsbeforetheCourt

RULE14 ADDITIONALRULESOFPROCEDURE(a) ProceedingsbeforeaGrievanceCommissionPanel(b) ProceedingsBeforeaSingleJusticeortheCourt(c) ComplaintsAgainstBarCounsel,AttorneyCommissionandBoard

Members,ortheBoardClerk(d) CamerasandAudioRecordings

RULE15 SERVICEANDNOTICERULE16 SUBPOENAPOWER

(a) InvestigatorySubpoenas(b) SubpoenasforHearing(c) EnforcementofSubpoenas(d) QuashingSubpoena(e) WitnessesandFees(f) SubpoenaPursuanttoLawofAnotherJurisdiction

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RULE17 DISCOVERY(a) PublicProceedingsbeforetheGrievanceCommission(b) DisciplinaryProceedingsBeforeaSingleJustice

RULE18 ACCESSTODISCIPLINARYINFORMATIONa Confidentiality(b) PublicInformation(c) PublicProceedings(d) ProtectiveOrders(e) DisclosureofNonpublicInformation(f) ReleaseofConfidentialInformationtoAuthorizedEntities(g) ReleasetoLawEnforcementandtheMaineAssistanceProgram(h) ReleasetoInvestigatorsorProsecutors(i) FileRetention(j) DutyofOfficialsandEmployeesoftheBoard(k) CopyingandAttestationFees

RULE19 DISSEMINATIONOFDISCIPLINARYINFORMATION(a) PublicNotice(b) NoticetoDisciplineAuthoritiesandOtherEntities

RULE20 FAILURETOANSWER/FAILURETOAPPEAR(a) FailuretoAnswer(b) FailuretoAppear

RULE21 SANCTIONS(a) GroundsforDiscipline(b) TypesofSanctions(c) FactorstobeConsideredinImposingSanctions(d) PublicNatureofSanctions

RULE22 REIMBURSEMENTOFCOSTS(a) Costs(b) FailuretoPay(c) Waiver

RULE23 LAWYERSFOUNDGUILTYOFACRIME

(a) Notification(b) Determinationof“SeriousCrime”

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(c) Definitionof“SeriousCrime”(d) ImmediateInterimSuspension(e) ConvictionasConclusiveEvidence(f) AutomaticReinstatementfromInterimSuspensionuponReversal

ofFindingofGuiltorConviction(g) NoticetoClientsandOthersofInterimSuspension

RULE24 INTERIMSUSPENSION(a) TransmittalofEvidence(b) ImmediateInterimSuspension(c) NoticetoClients(d) MotionforDissolutionofInterimSuspension

RULE25 DISCIPLINEBYCONSENTANDSURRENDEROFLICENSE(a) ApprovalofTenderedAdmission(b) AffidavitofConsent(c) OrderofDiscipline(d) SurrenderofLicense

RULE26 RECIPROCALDISCIPLINE(a) Notification(b) CertifiedOrder(c) NoticeServedUponRespondent(d) EffectofStayinOtherJurisdiction(e) DisciplinetobeImposed(f) ConclusivenessofAdjudicationinOtherJurisdictions

RULE27 PROCEEDINGSINWHICHALAWYERISDETERMINEDINCAPACITATED

(a) Incapacity(b) InabilitytoProperlyDefend(c) ProceedingsWhereanAttorneyisAllegedtobeIncapacitated(d) Reinstatement

RULE28 REINSTATEMENTFOLLOWINGADISCIPLINARYSUSPENSIONOFSIXMONTHSORLESS

RULE29 REINSTATEMENTAFTERDISCIPLINARYSUSPENSIONFOR

MORETHANSIXMONTHS(a) Generally

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(b) Petition(c) ServiceofPetition(d) PublicationofNoticeofPetition(e) CriteriaforReinstatement(f) ReviewofPetition(g) Hearing;Report(h) DecisionastoReinstatement(i) ConditionsofReinstatement(j) ReciprocalReinstatement

RULE30 ABATEMENTORMODIFICATIONOFCONDITIONSOFDISCIPLINEORREINSTATEMENT

RULE31 NOTICETOCLIENTS,ADVERSEPARTIES,ANDOTHER

COUNSEL(a) RecipientsofNotice;Contents(b) SpecialNotice(c) DutytoMaintainRecords(d) ReturnofClientProperty(e) RefundofFees(f) WithdrawalfromRepresentation(g) NewRepresentationProhibited(h) AffidavitFiledwithCourt

RULE32 RECEIVER(a) AppointmentofReceiver(b) Receiver’sDischargePlan(c) TermofReceiver(d) ClientRights(e) Liability(f) Pleadings

RULE33 TRANSITION

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PREAMBLEANDTERMINOLOGY

ThereisherebyestablishedacomprehensivesystemofregulationofthelegalprofessionintheStateofMainetoencourageandpromotecompetentandethicalpracticebymembersof theMaineBar, and tomake these standardsknowntomembersofthepublic,sothattheymayhaveconfidenceinthelegalprofessioninMaine.TheseBarRulessupplementexistingstatutoryregulationandprocesses,suchasthoseestablishedin4M.R.S.§§851and858,andtheinherent authority of the courts to regulate attorney conduct. Attorneyregulation includes,but isnot limited to, registration, fee arbitration,ethicalguidance,anddiscipline. TermsusedintheseRulesshallhavethefollowingmeanings,unlessthecontextclearlyrequiresadifferentmeaning:“Action”meansaciviljudicialoradministrativeproceedingbroughttoenforce,redress,orprotectaright.“Active status” means an attorney duly admitted to the practice of law inMaine,currentlyregisteredandingoodstandingwiththeBoard.“Allowablereasonablefees” forIOLTAaccountsarepercheckcharges,perdepositcharges,sweepfees,feesinlieuofaminimumbalance,federaldepositor share insurance fees, and reasonable IOLTA account administrative ormaintenancefees.Allotherfeesaretheresponsibilityof,andmaybechargedtothelawyermaintainingtheIOLTAaccount.FeesorchargesinexcessoftheinterestordividendsearnedontheaccountforanymonthorquartershallnotbetakenfrominterestordividendsearnedonotherIOLTAaccountsorfromtheprincipaloftheaccount.“AlternativestoDisciplineProgram”meansanyprogram,authorizedbytheCourt,towhichanattorneymaybereferredinlieuofdiscipline,includingfeearbitration,arbitration,mediation, lawofficemanagementassistance, lawyerassistanceprograms,counseling,continuinglegaleducationprograms,oranyotherprogramauthorizedbytheCourt.“Approved Legal Services Organization” means a pro bono publico legalservicesprogramsponsoredbyacourt-annexedprogram,theMaineStateBarAssociation, theUniversityofMaineSchoolof Law; anonprofit organization

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that provides legal services to persons of limited means and that receivesfunding from the federal Legal Services Corporation, the Maine JusticeFoundation,ortheMaineCivilLegalServicesFund;oranyothernonprofitlegalservicesorganizationdesignatedbytheCourt.“Attorney” and “lawyer” are used interchangeably, and mean a personadmitted to the practice of law inMaine or any other personwho appears,participatesorotherwiseengagesinthepracticeoflawinMaine.“Award” means the decision of the arbitrators in the fee arbitrationproceeding.“Bar Counsel” means the attorneys employed by the Board to perform theprosecutorial function in lawyer disciplinary matters, or Special CounselretainedbytheBoardpursuanttoRule2(a).“Board”meanstheBoardofOverseersoftheBar.“BoardClerk”meanstheattorneyemployedbytheBoardtoperformadvisory,review,andadministrativefunctionsassetforthintheseRules.“Central Intake Office”means an office staffed by a Board Clerk that hascertainadministrativeandreviewfunctionsassetforthintheseRules.“CLE”meanscontinuinglegaleducation.“Client” means a person, public officer, corporation, association, or otherorganizationorentity,eitherpublicorprivate,whoreceivesprofessionallegalservicesfromanattorney.“Client Protection Fund” means the Maine Lawyers’ Fund for ClientProtection.“Commission” means either Fee Arbitration Commission, GrievanceCommission,orProfessionalEthicsCommission.“Complainant”meansthepartyfilingagrievancecomplaint.“Court”meanstheMaineSupremeJudicialCourt.

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“ExecutiveClerkoftheCourt”meanstheClerkoftheMaineSupremeJudicialCourt.“ExecutiveDirector”meanstheattorneyemployedbytheBoardtoperformtheadministrativeandexecutivefunctionsoftheBoard.

“Fee Arbitration Commission” means a creation of the Maine SupremeJudicialCourt,underthejurisdictionoftheBoardofOverseersoftheBar,thatprovidesanefficientand less formaladjudicationprocess forattorney-clientfeedisputes.“Financial institution” includes abank, savings and loanassociation, creditunion,savingsbank,andanyotherbusinessorpersonthatacceptsfordepositfundsheldintrustbylawyers.“Good standing” means an attorney, not currently suspended or disbarred,dulyadmittedtothepracticeoflawinMaineor,ifspecificallyreferencedintheapplicablerule,otherjurisdictions.“Inactivestatus”referstothestatusofanattorneyingoodstandingwhoisnotengagedinthepracticeoflawinMaine.“Judge(s)”meansJusticesoftheMaineSupremeJudicialCourt,JusticesoftheMaineSuperiorCourt, Judgesof theMaineDistrictCourt,MaineFamilyLawMagistrates,JudgesandMagistratesoftheUnitedStatesDistrictCourtfortheDistrictofMaine,Maine Judgesof theUnitedStatesCourtofAppeals for theFirstCircuit,andJudgesoftheUnitedStatesBankruptcyCourtfortheDistrictofMaine.“Judicial Law Clerk” means an attorney serving in a non-administrativepositionwhoprovidesassistance toa judge inresearching issuesbefore thecourtandinwritingmemorandaandopinions.“GrievanceCommission”meanstheattorneydisciplinarybodyappointedbyandresponsibletotheBoard.“IOLTA”meansInterestonLawyers’TrustAccounts.

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“IOLTAaccount”meansapooledtrustaccountearninginterestordividendsataneligibleinstitutioninwhichalawyerorlawfirmholdsfundsonbehalfofclient(s),which fundsaresmall inamountorheld forashortperiodof timesuchthattheycannotearninterestordividendsfortheclientinexcessofthecostsincurredtosecuresuchincome.“Maine Assistance Program” refers to the Maine Assistance Program forLawyers and Judges,which offers confidential assistance to help individualsidentify and address problems with alcoholism, drug abuse, and mental oremotionaldisorders.“Monitor”meansanattorneyappointedbytheGrievanceCommissionortheCourt to provide a system of accountability and support to a respondentattorney.“Noticeofdishonor”referstothenoticethatafinancialinstitutionisrequiredtogive,underthelawsofMaine,uponpresentationofaninstrumentthattheinstitutionrefusestopayuponpresentment.“Panel” means three members of the Grievance Commission or the FeeArbitrationCommissionassignedtoadjudicateandissueadecision.“Party” means a person or entity directly involved in a grievance or feearbitrationproceeding.“Petition”meansawrittenrequestforfeearbitrationinaformapprovedbytheCommission.“Petitioner” means the party requesting fee arbitration, Bar Counselprosecuting a Grievance Commission proceeding, or an attorney seekingreinstatementfollowingsuspensionordisbarment.“Probation”meansadisciplineimposedwherecertainconditionsareplacedonanattorney’spractice.“Properlypayable”describesaninstrumentthat,ifpresentedinthenormalcourse of business, is in a form requiring payment under the laws of thisjurisdiction.

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“ProfessionalEthicsCommission”meansacommissionthatrendersformaland informal written advisory opinions to the Court, Board, GrievanceCommission, Bar Counsel, and members of the Maine bar involvinginterpretationandapplicationof theMaineRulesofProfessionalConduct tolawyerconduct.“Proxy”meansanattorneynamedinanotherattorney’sregistrationstatementwhowillacttoprotecttheinterestsofclientsandconcludethelawpracticeofan attorney who is incapacitated, suspended, or disbarred; or who hasdisappearedordied.“Publicmember”meansaMaineresidentappointedbytheCourttoserveontheBoardoraMaineresidentappointedbytheBoardtoserveonaCommissionwhohasnotbeenadmittedtopracticelawinanyjurisdiction.“Receiver”meansalicensedMaineattorneyingoodstandingwhoisappointedby the Court to act to protect the interests of clients and conclude the lawpracticeofanattorneywhoisincapacitated,suspended,ordisbarred;orwhohasordisappearedordied.“Registrationdocuments”means thosedocuments that theBoard requireseachattorneytofileonanannualbasis,consistingofaregistrationstatement,Continuing Legal Education Annual Report [Rule 5(e)], and IOLTA ElectionForm[Rule6(b)],andsuchotherdocumentsas theBoardmay fromtime totimedirect.“Registrationstatus”meansregistrationcategoriesestablishedbytheBoard.“Respondent” or “respondent attorney” means the attorney with whompetitionerhasafeedispute,oranattorneywho isthesubjectofagrievancecomplaintordisciplinaryproceeding.“SingleJustice”meansasinglejusticeorjudgeofMaine’strialcourtsoroftheSupremeJudicialCourt,designatedbytheChiefJusticeoftheSupremeJudicialCourt. ThisincludesactiveretiredjusticesoftheSupremeJudicialCourtandactiveretiredjusticesandjudgesofthetrialcourts.“Surrender”meanswithdrawalfromthepracticeoflawintheStateofMaineinordertoavoiddisciplinaryproceedings,orinlieuofanyothersanction.

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I. BOARDOFOVERSEERSOFTHEBAR

RULE1.STRUCTURE

(a) Board. The Board is established as the statewide agency toadminister the regulation of lawyers. The Board oversees a GrievanceCommissionasprovided inRule9;BarCounselasprovided inRule2; aFeeArbitration Commission as provided in Rule 7; a Professional EthicsCommissionasprovidedinRule8;andstaffappointedbytheBoardand/ortheExecutiveDirector.TheBoardisaunitaryentityresponsibleforeducational,prosecutorial,andadjudicativefunctions;however,toavoidunfairness,thesefunctions shall be separated within the agency insofar as practicable. TheprosecutorialfunctionsshallbedirectedbyBarCounselandperformed,insofaras practicable, by Board employees. The adjudicative functions shall bedirectedby theBoardClerkandperformed, insofar aspracticable, byBoardemployees,practicinglawyers,andpublicmembersservingontheBoard,theGrievance Commission, and the Fee Arbitration Commission. The Board’sadministrative and executive functions shall be performed by the ExecutiveDirector,whoshallreportdirectlytotheBoard.TheExecutiveDirectorshallnotperformordirecttheprosecutorialoradjudicativefunctionsofBarCounselortheBoardClerk. (b) Appointment. NineBoard members shall be appointed by theCourt, three of whom shall be public members appointed on therecommendationoftheGovernorandsixofwhomshallbelawyersadmittedtopractice in Maine. The terms of all members shall be for three years. Nomembershallservemorethantwoconsecutivethree-yearterms,exceptthatmembersmaycontinuetoserveuntilareplacementhasbeenappointed. (c) Designation of Officers. The Court shall periodically designateonememberoftheBoardasChairandanotherasViceChair.TheChair,andintheChair’sabsencetheViceChair,shallperformthedutiesassociatedwiththatoffice. (d) BoardActionandRecusal. (1) Quorum.FivemembersshallconstituteaquorumforanymeetingoftheBoard.TheBoardmayactthroughtheconcurrenceorvoteofamajority

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ofthememberspresentatadulyconstitutedmeeting.Afterreasonablenoticetoallmembersandwiththeconsentofallparticipatingmembers,ameetingmaybeduly constituted andaction takenbymeansof a telephoneor videoconference or other communications equipment enabling all membersparticipatinginthemeetingtohearoneanother.MeetingsoftheBoardshallbeopentothepublic,exceptthoseportionsofthemeetingswhereintheBoard(1)consultswithcounselpertainingtocontemplatedorpendinglitigation,orproceedings pending before the Grievance Commission, the Fee ArbitrationCommission, and/or the Court; (2) considers matters pertaining to thepersonnel of theBoard and/or appointments to theBoard; or (3) considersothermattersmadeconfidentialorprivatebytheseRules,courtorder,orlaw. (2) Recusal.IfaGrievanceCommissionpanelfindsprobablecauseforapublicdisciplinaryhearingorauthorizesBarCounseltofileanInformationandtherespondentattorneyisamemberoftheBoard,theremainingmembersof the Board shall determine whether the nature of the allegations shoulddisqualifythatmemberfromperformingBoardresponsibilitiesuntilsuchtimeasthependingmatterisconcluded. (3) RepresentationProhibition.NomemberoftheBoardmaybelegalcounselforapartyinanyproceedingsundertheseRules.WhenamemberofhisorherfirmservesaslegalcounselforapartyinanyproceedingundertheseRules,theBoardmembershallbeineligibletoperformBoardresponsibilitiesrelatingtothatproceeding.TheBoardmembershallremaineligibletoperformBoardresponsibilitiesunrelated to thatproceeding,provided that theBoardmember is timely screened from any participation in or relating to thatproceeding,atboththeBoardmember’sfirmandtheBoard. (4) Board members may not testify voluntarily in any proceedingsundertheseRulesorasanexpertwitnessinanycourtproceedinginthefieldofethics. (5) Boardmembersmaynotserveasprobationmonitorsandshallberecused from participating in any matter where a member of the Boardmember’sfirmisservingasaprobationmonitor. (e) Compensation.BoardandCommissionmembersshallreceivenocompensation for theirservicesbutmaybe reimbursed for travelandotherexpensesincidentaltotheperformanceoftheirduties.

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(f) ExpensesandFinancialPolicies. Boardexpensesshallbepaidoutof the fundscollectedunder theseRules. TheBoardmay,subject to theCourt’s approval, adopt financial policies and procedures that are notinconsistentwiththeseRules. (g) RosterofLawyers.TheBoardshallmaintaincurrentinformationrelatingtoalllawyersadmittedtotheMaineBarincluding,butnotlimitedto,thefollowing: (1) fullnameandallnamesunderwhichthelawyerhasbeenadmittedorpracticed; (2) dateofbirth; (3) currentofficeaddress,telephonenumber,andemailaddress; (4) currentresidenceaddress,telephonenumber,andemailaddress; (5) dateofadmissiontotheMaineBar; (6) registrationstatusandthedateofanytransfertoorfromastatus; (7) socialsecurityorfederalidentificationnumber; (8) other jurisdictions in which the lawyer is admitted and date ofadmission; (9) locationandaccountnumbersinwhichclients’fundsareheldbythelawyer; (10) nature, date, and place of any discipline imposed and anyreinstatementsinanyotherjurisdiction; (11) whether the lawyer, if engaged in the private practice of law,maintainsprofessionalliabilityinsurance(seeRule4(b)(4)); (12) ifengagedintheprivatepracticeoflawinMaine,thenameofanactivestatusattorneywhohasconsentedtoserveasaproxyonbehalfoftheattorney(seeRule32);and

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(13) thebarnumberassignedtoeveryadmittedlawyer.TheinformationsubmittedpursuanttothisruleshallbemadeavailabletothepublicwiththeexceptionofinformationdeemedconfidentialbytheBoard. (h) PowersandDuties. TheBoardshallhavethefollowingpowersandduties: (1) toproposerulesofprocedureforlawyerdisciplineproceedingsforpromulgationby theCourt,and tocommenton theenforceabilityofexistingandproposedMaineRulesofProfessionalConduct.Infurtherancehereof,theBoardmayestablishordesignatesuch commissions,agencies,orpersons toassistitsstudyasitshalldeemadvisable (2) toreviewperiodicallywiththeCourttheoperationoftheBoard; (3) toenforceattorneycompliancewith theseRules, theproceduresand regulations adopted thereunder, and the Maine Rules of ProfessionalConduct; (4) subject to the Court’s approval, to appoint, compensate, andsupervisetheBarCounselandtheExecutiveDirector; (5) to appoint and compensate other legal, prosecutorial, andadministrativestafftoassisttheBoardinitsfunctions; (6) toappointmemberstotheGrievanceCommission,FeeArbitrationCommission,andProfessionalEthicsCommission; (7) to inform the public about the existence and operation of thesystemandthedispositionofeachmatterinwhichpublicdisciplinehasbeenimposed,oralawyerhasbeenreinstatedorreadmitted; (8) toprepareandfilewiththeCourtforapprovalinMayofeachyearitsbudgetforthenextfiscalyear,withtheBoard’srecommendationastotheamount of fees to be assessed to members of the bar and ancillaryorganizations;

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(9) toprepare,approve,andfileanAnnualReportwiththeCourt; (10) toadoptpersonnelandfinancialpoliciesandprocedures(seeRule1(f)); (11) to establish procedures for and supervise the registration of allattorneys admitted to the practice of law and compile and keep current aregisterfortheCourtofallpersonsadmittedasmembersoftheMaineBar,anda recordof the death, or terminationor suspensionof the rightof any suchpersontopracticelawinMaine; (12) to adopt and publish its own rules of procedure and suchregulationsasarenotinconsistentwiththeseRules; (13) todelegate,initsdiscretion,totheChairorViceChairthepowertoactfortheBoardonadministrativeandproceduralmatters; (14) tofurnishtotheStateTaxAssessoreachyearthenames,addresses,social security or federal identification numbers, and other identifyinginformationofallattorneysregisteredwiththeBoardastheStateTaxAssessormayrequire; (15) toreceiveandactonapplicationsfromorganizationsforapprovaltorecognize,designate,orcertifyattorneysadmitted topractice inMaineashavingexpertiseinoneormoreareasoflaw; (16) toperformanyadjudicativeand/orappellatereviewfunctionsasdefinedbytheseRules; (17) tomaintaintheconfidentialityofmatterscomingbeforetheBoard;and (18) any other powers and duties as are not inconsistentwith theseRules. (i) Destruction of Confidential Documents. Upon conclusion ofservice,membersshalltakereasonablestepstodestroyalldocuments,inpaperorelectronicformat,relatingtotheproceedingsoftheBoardandsubjecttotheconfidentialityprovisionsoftheseRules.

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(j) Executive Director. The Executive Director shall be a lawyer

admittedtopracticeinMaine.

(1)Responsibilities.UnderthedirectionandsupervisionoftheBoard,theExecutiveDirectorisresponsiblefor

(A)theadministrativefunctionsoftheBoard,includingbutnotlimitedto, the day to day operation of the Board, the management andsupervisionofallBoardemployees,thekeepingoftheBoard’saccountsandfinancialreports,andthekeepingofacurrentregisterofallpersonsadmittedtotheMaineBar;and

(B)theexecutivefunctionsoftheBoard,including,butnotlimitedto,theexecutionoftheBoard’smissionandpoliciestopromotethecompetentpracticeof lawthroughregulationandeducation,and theprovisionofgeneralandlegaladvicetotheBoard.

(2) Ethical Obligations. The Executive Director shall maintain theconfidentiality ofmatters coming before the Board. The Executive Directorshallnotengageintheprivatepracticeoflaworparticipateinactivitiesthatwould,appear,toareasonableperson,tounderminetheExecutiveDirector’sintegrity. TheExecutive Directormay lecture at continuing legal educationseminars on topics relating to ethics or professionalism provided that theExecutiveDirectorshalldosowithoutcompensationandmayrenderadvisoryopinions,alongwithBarCounsel,pursuanttoRule2(c).TheExecutiveDirectormaybereimbursedfortravelandancillaryexpenses.

RULE2.BARCOUNSEL (a) Appointment.The Board, subject to the Court’s approval, shallappointa lawyeradmittedtopracticeinMainetoserveasBarCounsel. TheBoard may also appoint Assistant Bar Counsel or Deputy Bar Counsel asdeemednecessary.NeitherBarCounselnoranyattorneyemployedonafull-timebasis asanAssistantorDeputyBarCounselshallengage in theprivatepractice law, or participate in activities that (1) will lead to Bar Counsel’sfrequent disqualification or (2) would appear, to a reasonable person, toundermine Bar Counsel’s integrity. As needed, the Board has the power toemploy Special Counsel, who shall not be subject to the prohibition of theprivatepracticeoflaw.

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(b) PowersandDuties.BarCounsel shall performall prosecutorialfunctions on behalf of the Court and the Board hereunder, and have thefollowingpowersandduties: (1) toevaluateallinformationcomingtotheattentionoftheofficeofBarCounseltodeterminewhethersuchinformationconcernsalawyersubjecttothejurisdictionoftheBoard; (2) toinvestigateallinformationcomingtotheattentionoftheofficeofBarCounselthat,iftrue,wouldbegroundsfordiscipline,andtoinvestigateallfactspertainingtopetitionsforreinstatement; (3) tomakereferralstotheCentralIntakeOffice,toissuestays,dismisscomplaints, recommend dismissals with a warning, refer respondent to theAlternatives to Discipline Program pursuant to Rule 13(c), or file formalchargeswithrespecttoeachmatterbroughttotheattentionoftheBoard; (4) to prosecute before Grievance Commission panels, the Board,and/ortheCourtanyappropriatedisciplineandreinstatementproceedings; (5) to supervise staff needed for the performance of prosecutorialfunctions; (6) tonotify the complainant and the respondentwhenBarCounseldismisses a complaint, including but not limited to providing to thecomplainant

(A) acopyofanywrittencommunicationfromtherespondenttoBarCounselrelatingtothematterexceptinformationthat issubjecttotheprivilegeofoneotherthanthecomplainant;and(B) aconcisewrittenstatementofthefactsandreasonssupportingadismissalattheconclusionofBarCounsel’sinvestigationandacopyofthe written guidelines for dismissal issued pursuant to Rule 3(a)(5),providedthatthecomplainantshallbegivenareasonableopportunitytorebutstatementsoftherespondentbeforethecomplaintisdismissed;

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(7) toissuewrittenguidelinesforusebytheCentralIntakeOfficeandBarCounseltodeterminewhichmattersshallbedismissedforfailuretoallegefactsthat,iftrue,wouldconstitutegroundsfordisciplinaryaction; (8) toseekreciprocaldisciplinewheninformedofanypublicdisciplineimposedinanyotherjurisdiction;and (9) to encourage and promote competent and ethical practice bymembersoftheMaineBarbyorganizing,participatingin,andpresentingCLEprograms. (c) Advisory Opinions. Upon request by an attorney licensed topractice law in Maine, Bar Counsel may render confidential, informal, non-binding advisory opinions to such attorney concerning interpretation orapplicability of these Rules or the Maine Rules of Professional Conduct,providedthat(1)thefactsdescribeandinvolvetheconductoftheparticularinquiringattorney,oranotherattorneyatthatattorney’slawfirm,and(2)atthe time of any such informal advisory opinion, the inquiring attorney isinformedbyBarCounselthatsuchanopinionisnotbindingandmaybesubjectto eventual revision or reversal by either the Grievance Commission or theProfessionalEthicsCommission. Suchopinionsmaybeprovidedorallyor inwriting. Bar Counsel may also assist the Professional Ethics Commission inperformingitsdutiesundertheseRules.Shouldacomplaintbefiledinvolvingthesubjectmatterandtheattorneywhorequested the advisory opinion, the Bar Counselwho rendered the opinionshallberecusedfromanyinvestigationandprosecutionofthecomplaint. (d) ExParteCommunication. (1) MembersofaGrievanceCommissionpanel,theBoard,theCourtorSingle Justices shall not communicateexpartewithBarCounsel regardingapendingorimpendinginvestigationordisciplinarymatterexceptasexplicitlyprovided for by Rule 13(d); other law; or for scheduling, administrativepurposes,oremergenciesthatdonotdealwithsubstantivemattersorissuesonthemeritsprovidedthat:

(A) it isreasonabletobelievethatnopartywillgainaproceduralortacticaladvantageasaresultoftheexpartecommunication;and

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(B) all other parties are notified of the substance of the ex partecommunicationandprovidedanopportunitytorespond.

(2) A violation of this rule shall be a ground for lawyer or judicialdiscipline, as appropriate, and cause for removal from the GrievanceCommissionpanelortheBoard. (e) SuccessiveEmployment.AformerBarCounselshallcomplywithRule 1.11 of the Maine Rules of Professional Conduct regarding successivegovernmentandprivateemployment. (f) Recusal. (1) Bar Counsel and staff attorneys must be sensitive to familial orclose personal or professional relationships between themselves andrespondents, complainants, or other related parties which may result in aconflictof interestortheappearanceofaconflictof interest,orwhichcouldotherwiseinterferewiththeproperperformanceoftheirduties. (2) Staff attorneys who become aware of the existence of such arelationship in a particular case shall immediately report the nature andcircumstancesofthatrelationshiptoBarCounselwhowillreviewthematter,includingallrelevantinformationbroughttohisorherattention,todeterminewhetherthestaffattorneyshouldbedisqualified. (3) IndeterminingwhethertomakeareporttoBarCounselunderthispolicy,astaffattorneyshallconsider,andbeguidedby,theprovisionsoftheMaine Rules of Professional Conduct as well as the factors for judicialdisqualificationlistedintheMaineJudicialCodeofConduct. (4) Indeterminingwhetherastaffattorneyshouldberecusedfromaparticularcase,BarCounselshalllikewiseconsiderallprovisionsoftheMaineRulesofProfessionalConductaswellasthefactorsforjudicialdisqualificationlistedintheMaineJudicialCodeofConduct. (5) IfBarCounsel concludes that a staff attorney shouldbe recusedfrom a particular case under this policy, the matter shall be reassigned to

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anotherstaffattorney,orifnootherstaffattorneyisavailable,toBarCounselpersonally,ortoSpecialCounselpursuanttoRule14(c)(1). (6) In the event that the case is reassigned under this policy, thedisqualifiedattorneyshallhavenoinvolvementinthecaseoranyinteractionwiththeassignedattorneyregardingthecase. (7) IntheeventthatBarCounselconcludesthathe,orshe,personallyhassucharelationshipdescribedabove,BarCounselshallimmediatelyapprisetheBoardChairofthepotentialconflictofinterest,andtheinvestigationshallbeassignedtoSpecialCounselpursuanttoRule14(c)(1). (8) NeitherBarCounselnorstaffattorneysmaytestifyvoluntarilyinany proceedings under these Rules or as an expert witness in any courtproceedinginthefieldofethics. (g) ContinuingLegalEducationLectures.BarCounselmaylectureat continuing legal education seminars on topics relating to ethics orprofessionalismprovidedthatBarCounselshalldosowithoutcompensation.BarCounselmaybereimbursedfortravelandancillaryexpenses.

RULE3.CENTRALINTAKE. (a) Functions. There is hereby established a Central Intake Office,staffedbytheBoardClerk,whichshall (1) receive information and complaints regarding the conduct oflawyersoverwhomtheCourthasjurisdiction,providedthisruleshallnotbeconstrued to limit the authority of any authorized agency to instituteproceedings; (2) provideassistancetocomplainantsinstatingtheircomplaints; (3) provide information to complainants about the status of theircomplaints; (4) determine whether the facts stated in a complaint or otherinformation regarding the conduct of a lawyer provide grounds for furtheractionbyBarCounselorreferraltoanotheragency,and

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(A) dismissthecomplaint;or(B) forwardittoBarCounsel,ortoanappropriateagencyoragencies;

(5) providetothecomplainant,ifacomplaintisdismissed:

(A) acopyofthewrittenguidelinesfordismissal;and(B) intheeventofdismissal,anoticeofcomplainant’srightofreviewpursuanttoRule9(e);

(6) recorddispositionofallcomplaints. (b) Powers and Duties. The Board Clerk shall have the followingpowersandduties: (1) tonotifythecomplainantandtherespondentofthedispositionofmatters; (2) toforwardacertifiedcopyofthejudgmentofalawyer’scriminalconvictiontothedisciplinaryagencyineachjurisdictioninwhichthatlawyeris admittedwhen the lawyer is convicted of a serious crime (as hereinafterdefined)inMaine; (3) to maintain disciplinary records, subject to the file retentionrequirements of Rule 18(g), and to compile statistics to aid in theadministration of the system, including but not limited to a single log of allcomplaints received, investigative files, statistical summaries of docketprocessingandcasedispositions,andotherrecordsastheBoardortheCourtmay require to be maintained. Statistical summaries shall contain, at aminimum:

(A) the number of pending cases at each stage in the disciplinaryprocessforeachcounselandfortheagency;(B) thenumberofnewcasesassignedtoeachcounselduringtheyearandthetotalfortheagency;

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(C) the number of cases carried over from the prior year for eachcounselandthetotalfortheagency;and(D) thenumberofcasesclosedbyeachcounselduringtheyearandthetotalfortheagency.

(4) toprovidelegalandadministrativesupporttotheFeeArbitrationCommissionandGrievanceCommission; (5) toappointalternatememberstotheFeeArbitrationCommissionandGrievanceCommissionpanelsasnecessary tomeet the requirementsofRules7(d)(8)(A)and9(a); (6) toprovidenoticeofpublicdiscipline,suspension,disbarment,andreinstatement to general media outlets throughout Maine, and throughoutotherjurisdictionsinwhichtheBoardhasreasontobelievetheattorneyhasbeenadmittedtopractice;and (7) toperformanyotherfunctionsauthorizedbytheseRules.

II. MAINEBARADMINISTRATIVERULES

RULE4.REGISTRATION

(a) Requirement.EverylawyeradmittedtoactivepracticeinMaineshallpaytotheBoardanannualregistrationfeeforeachfiscalyearbeginningJuly 1st. The annual registration fee, established by the Court onrecommendationoftheBoard, shallbeusedtodefraythecostsoftheBoardandofothercomponentsofthesystemoflawyerregulationunderotherrulesestablishedbytheCourt,andforthoseotherpurposestheCourtshallfromtimetotimedesignate. Additionally, in accordance with the Rules for the Maine AssistanceProgramforLawyersRule1(C)(1)andtheMaineRulesfortheLawyers’FundforClientProtectionRule3(a), every lawyer admitted toactivepracticeandfull-timeandactiveretiredjudgesrequiredtoregisterinaccordancewiththeseRulesshallpayassessments insupportof themissionof these entities. TheassessmentsshallbeestablishedbytheCourt.

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(b) Registration.Tofacilitatethecollectionoftheannualregistrationfee provided for in Rule 4(a), commencing July 1st each year, every lawyeradmitted to practice in Maine is required to complete, certify and fileregistrationdocuments,whichshallbeonformsprescribedbytheBoard.EachlawyershallfilewiththeBoardasupplementalstatementofanychangeintheinformationpreviouslysubmittedwithin30daysofthechange.RegistrationdocumentsandpaymentsreceivedafterAugust31stwillbeassessedanon-waivablelatefee. AllpersonsfirstbecomingsubjecttotheseRulesbyadmissiontopracticeinMaineafterApril1stshall filetheregistrationdocumentsrequiredbythisruleatthetimeofadmission,butnoannualregistrationfeeshallbepayableuntilthenextannualregistrationcollection.FailuretoregistershallresultintheissuanceofanoticeofadministrativesuspensionpursuanttoRule4(h). Unlessotherwiseexempted,eachlawyeradmittedtotheactivepracticeoflawshallannuallyfilethefollowing: (1) RegistrationStatement.EachlawyeradmittedtotheactivepracticeoflawinMaineshallfilearegistrationstatementwiththeBoardsettingforththeinformationstatedinRule1(g)andsuchotherinformationastheCourtortheBoardmaydirect. (2) IOLTATrustAccountReport.SeeRule6(b). (3) InsuranceDisclosure. Eachlawyeradmittedtotheactivepracticeof lawinMaineshallannuallycertifytotheBoard(A)whetherthelawyerisengagedintheprivatepracticeoflaw;(B)ifengagedintheprivatepracticeoflaw, whether the lawyer is currently covered by professional liabilityinsurance; (C)whether the lawyer intends tomaintain insuranceduring theperiodof time the lawyer is engaged in theprivatepracticeof law; and (D)whether the lawyer is exempt from the provisions of this rule because thelawyerisengagedinthepracticeoflawasafull-timegovernmentlawyerorisemployed by an organization in a capacity in which the lawyer does notrepresentclientsotherthantheemployingorganization.EachlawyeradmittedtotheactivepracticeoflawinMainewhoreportsbeingcoveredbyprofessionalliability insurance shall notify the Board in writing if the insurance policyprovidingcoveragelapses,isnolongerineffect,orterminatesforanyreason.NoticemustbedeliveredtotheBoardwithin30daysofthelapse,cancellation,

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or termination,unless thepolicy is renewedorreplacedwithoutsubstantialinterruption. TheinformationsubmittedpursuanttothisruleshallbemadeavailabletothepublicbysuchmeansasdesignatedbytheBoard. (c) Exemptions. (1) Registration.Full-timeandactiveretiredjudgeswhoaremembersof the Maine or federal judiciary shall be exempt from the payment of theannualregistrationfeeduringthetimetheyserveinoffice.Judgesshallremainon the roll of lawyers in judicial status, andmay retire in judicial status orresume active practice upon completion of their tenure in office, by filingregistrationdocumentsandpayingtheannualregistrationfeerequiredfortheyear in which active practice is resumed. Additionally, lawyers who havenotifiedtheBoardthattheyare(a)membersofthearmedforcesoftheUnitedStateswhoareonactivedutyoutsideofMaine,or(b)judiciallawclerks,or(c)emeritus attorneys, shall be exempt from the payment of the annualregistrationfee.Judiciallawclerksandemeritusattorneysshallremainontherolloflawyersduringthetenureoftheirserviceandannuallyfileregistrationdocuments. (2) IOLTAAccounts.SeeRule6(a)(2). (d) Receipt Demonstrating Compliance with Registration Filing.Within30daysofthereceiptofalawyer’scompletedregistrationdocumentsand payment of all fees, the Board shall acknowledge compliance with theannualregistrationrequirements. (e) Application for Transfer to Inactive Status. Any lawyer, notunder an administrative suspension or the subject of a disciplinaryinvestigation or proceeding under these Rules, who has retired or is notengagedinpracticeshalladvisetheBoardinwritingofthelawyer’sdesiretoassumeinactivestatusanddiscontinuethepracticeoflaw.Uponthefilingofthenotice,thelawyershallnolongerbeeligibletopracticelawinMaine.TheBoardshallremovealawyeroninactivestatusfromthelistofclassifiedactivelawyersuntilandunlessthelawyerrequestsandisgrantedreinstatementtotheactiverolls.ThelawyershallalsocomplywiththeprovisionsofRule4(k). (f) ApplicationforEmeritusStatus.

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(1) Purpose.Thepurposeofenactingemeritusstatusistoencourageandprovideretiring attorneysornon-practicingattorneyswhohavechosenothercareerpaths,whootherwisemaychooseinactivestatus,theopportunitytoprovideprobonopublicolegalservicesundertheauspicesofanApprovedLegalServiceOrganization. (2) Application.AnylawyerwhohasdiscontinuedthepracticeoflawandwhohasgiventhenoticerequiredbyRule4(e)butwhowishestoprovidepro bono publico legal services without compensation or expectation ofcompensation shall advise the Board by filing an emeritus status statementindicatingheorshewilllimithisorheractivelegalpracticetoprovidingprobonopublico legal servicesunder the auspicesof anApprovedLegal ServiceOrganization,asdefinedintheseRules.Theemeritusstatusstatementshallbesigned by an authorized representative of the Approved Legal ServiceOrganizationunderwhoseauspicesthelawyerwillprovidesuchlegalservices.Alawyerwhohasassumedemeritusstatusshallnotberelievedofhisorherobligationtocomplywithannualregistrationrequirements. (g) AdministrativeSuspension. (1) An administrative suspension shall not be considered a per seviolationoftheMaineRulesofProfessionalConductandshallnotconstitutetheimposition of discipline. The Board may, however, institute separateproceedingstodeterminewhetherdisciplineisappropriate. (2) FailuretofileRegistrationDocuments.Unlessexcusedongroundsof financial hardship or for other good cause pursuant to proceduresestablishedbytheBoard,anylawyerwhofailstosubmitcompletedregistrationdocumentsundertheprovisionsofRule4(b)orpaytheannualregistrationfeeby August 31st shall be suspended provided notice is given under theprovisions in Rule 4(h). The suspended attorney shall comply with theprovisionsofRule4(k). (3) Failure toFileStateTaxReturns. Whenever, pursuant toSection175ofTitle36oftheMaineRevisedStatutes,theStateTaxAssessornotifiestheBoardoftheAssessor’sfinaldeterminationtopreventrenewalorreissuanceofa “licenseorcertificateofauthority” fora lawyer topractice law, the lawyershallbeimmediatelysuspendedprovidednoticeisgivenundertheprovisions

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inRule4(h).ThesuspendedlawyershallcomplywiththeprovisionsofRule4(k). (4) Failure to Complywith a Support Order. Whenever, pursuant toSection2201ofTitle19-Aof theMaineRevisedStatutes, theDepartmentofHealthandHumanServicescertifiesinwritingtotheBoardthat,incompliancewiththestatutoryprocedure,theDepartmenthasdeterminedthatalawyerisin noncompliancewith a support order; the lawyer has failed to appeal theDepartment’sdecision;orafinaljudgmenthasbeenenteredagainstthelawyeron the lawyer’s petition for judicial review, the lawyer shall be immediatelysuspended provided notice is given under the provisions inRule 4(h). ThesuspendedlawyershallcomplywiththeprovisionsofRule4(k). (5) Failure to File an Unemployment Tax Return or to Pay anUnemploymentTaxAssessment.Whenever,pursuanttoSection1232ofTitle26oftheMaineRevisedStatutes,theStateCommissionerofLabororDirectorofEmploymentSecuritycertifiesinwritingtotheBoardthattheCommissionhasdetermined in compliance with the statutory procedure that a lawyer is innoncompliancewiththeunemploymentcompensationstatute,andthelawyerhas either failed to pursue an appeal from the Commission’s decision or ajudgment has been entered against the lawyer on the lawyer’s petition forjudicialreview,thelawyershallbeimmediatelysuspendedprovidednoticeisgivenundertheprovisionsofRule4(h).ThesuspendedlawyershallcomplywiththeprovisionsofRule4(k). (h) NoticeofAdministrativeSuspension. TheBoardshallprovidenotice of any administrative suspensions to the suspended attorney inaccordancewiththerequirementsofRule15.Thisnoticeofsuspensionshallnotbeeffectiveuntil30daysafterthedateofmailing.Alawyerwho,afterthedateofthemailingofanoticeofsuspensionbutbeforetheeffectivedateofthesuspension,fileswiththeBoard(1)registrationdocumentsandtherequiredregistrationfeeor(2)acertificateissuedbytheStateagencypursuanttoRule4(g)(2),(3),and(4)statingthattheattorneyiscurrentlyingoodstandingandhas satisfied anyobligations andpaid all feesdue, shall be deemed tobe incompliancewiththisruleandshallnotbesuspendedforfailuretocomplywiththeobligationsthatledtothenoticeofsuspension. (i) Reinstatement fromAdministrative Suspension. Any lawyersuspendedunderRule4(g)(2)shallbe reinstatedbyadministrativeorder if,

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within fiveyearsof theeffectivedateof thesuspension fornonpayment, thelawyer remits to the Board a reinstatement fee, submits all requiredregistrationdocuments,andmakespaymentofallarrears. If an attorney is administratively suspended pursuant to Rule 4(g)(3),(4),or(5),thatattorneymustalsosubmitacertificateissuedbytheappropriatestate agency stating that the attorney is currently in good standing and hassatisfiedanyobligationsandpaidanysumsdue. A lawyerwhohasbeenadministrativelysuspendedmustcompletethecontinuinglegaleducationrequirementsofRule5foreachyeartheattorneyhasbeensuspended,butneednotcompletemorethan24credithoursforthatentire period of suspension, provided that (1) nomore than one half of thecreditsareearnedthroughself-study;(2)atleasttwocredithoursareprimarilyconcernedwith the issues of ethics or professionalism; and (3) at least twocredithoursareprimarilyconcernedwithissuesofrecognitionandavoidanceof harassment and discriminatory communication or conduct related to thepractice of law. Additionally, a lawyerwho has been suspendedwithin theprevious five years for noncompliance with the continuing legal educationrequirementsofRule5 shall be assessedanadditional reinstatement fee, asmaybesetbytheBoard. Any lawyer who fails to seek reinstatement within five years of theeffectivedateoftheadministrativesuspensionshallberequiredtopetitionforreinstatementunderRule29. (j) Reinstatement from Inactive Status. Any lawyer on inactivestatusunderRule4(e)shallbereinstatedbyadministrativeorderoftheBoardif the lawyer seeks reinstatement within five years of the effective date oftransfertoinactivestatus.Anylawyerwhofailstoseekreinstatementwithinfive years of the effective date of transfer to inactive status may, in thediscretionoftheCourt,berequiredtopetitionforreinstatementunderRule29.Inadditiontoallotherrequirements,aninactivelawyerseekingreinstatementshall remit to the Board a reinstatement fee and an arrearage registrationpaymentequaltothetotalregistrationfeesthatthelawyerwouldhavebeenobligated to pay the Board had the lawyer remained actively registered topracticeinMaineduringthatperiodofinactivestatus,butnomorethan$1,000. (k) NoticetoClients,AdverseParties,andOtherCounsel.

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(1) A lawyer who transfers to inactive status or who has beenadministrativelysuspendedshall

(A) notifyallclientsbeingrepresentedinpendingmatters;(B) notifyanyco-counselinpendingmatters;and(C) notifyanyopposingcounselinpendingmatters,orintheabsenceof opposing counsel, the adverse parties, of the matter and that thelawyeristhereforedisqualifiedtoactaslawyeraftertheeffectivedateoftheorder.Thenoticeshallstatetheclient’splaceofresidence.

(2) SpecialNotice.TheBoardmaydirecttheissuanceofnoticetosuchfinancialinstitutionsorothersasmaybenecessarytoprotecttheinterestsofclientsorothermembersofthepublic. (3) Duty toMaintainRecords. Theattorney shall keepandmaintainrecordsofthestepstakentoaccomplishtherequirementsofRule4(k)(1)(A)to(C),andshallmakethoserecordsavailabletotheBoardonrequest. (4) ReturnofClientProperty. Theattorneyshalldelivertoallclientsbeingrepresentedinpendingmattersanypapersorotherpropertytowhichtheyareentitledandshallnotifythemandanycounselrepresentingthemofasuitabletimeandplacewherethepapersandotherpropertymaybeobtained,callingattentiontoanyurgencyforobtainingthepapersorotherproperty. (5) RefundofFees. Within10daysafterentryoftheorderimposingdisbarmentorsuspension,theattorneyshallrefundanypartofanyfeespaidinadvancethathavenotbeenearned. (6) WithdrawalfromRepresentation. Intheeventtheclientdoesnotobtain another lawyer before the effective date of the administrativesuspension,itshallbetheresponsibilityoftheattorneytomoveinthecourt,agency,ortribunalinwhichtheproceedingispendingforleavetowithdraw.Theattorneyshallinthateventfilewiththecourt,agency,ortribunalbeforewhich the litigation is pending a copy of the notice to opposing counsel oradverseparties.

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(7) New Representation Prohibited. Upon the effective date of theadministrative suspension, the attorney shall not undertake any new legalmatters. The attorney shall take such action as is necessary to cause theremovalofanyindiciaoflawyer,counseloratlaw,orsimilartitle. (8) Affidavit Filedwith theBoard. Within10days after the effectivedateof the suspensionorder, the attorney shall filewith theBoardClerkanaffidavitshowing

(A) compliancewiththeprovisionsofthisrule;(B) allotherstate,federalandadministrativejurisdictionstowhichthelawyerisadmittedtopractice;and(C) residence or other addresses where communications maythereafterbedirected.

(l) NoticeofRegistrationStatusChange.TheBoardshalltransmit,electronically or otherwise, notice of attorney status changes to all State,Federal,andTribalCourtsinMaineandsuchotherorganizationsasdeterminedbytheBoard. (m) CertificateofGoodStanding. (1) Issuance. All certificates related to the good standing or lackthereof ofmembers of theMaine Bar shall be issued by theBoard Clerk onbehalfoftheCourt. (2) Certificate Requests. A lawyer’s request for a certificate of goodstandingshallbemadeinwritingtotheBoardClerkandshallbeaccompaniedbyarequisitefeeasestablishedbytheBoard. (3) FormofCertificate.Thecertificateshallbeonaformprescribedbythe Court and shall include the attorney’s full name, the attorney’s date ofadmission to the Maine Bar, the attorney’s current registration status, anypublicdisciplinaryrecord if requested, thedateofcertificationby theBoardClerk,signatureoftheExecutiveClerkoftheCourt,andthesealoftheCourt.

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RULE5.CONTINUINGLEGALEDUCATION(“CLE”) (a) Purpose. Tomaintainpublicconfidenceinthelegalprofessionandtheruleoflaw,andtopromotethefairadministrationofjustice,attorneysmustbecompetentregardingthelaw,legalandpractice-orientedskills,thestandardsandethicalobligationsofthelegalprofession,andthemanagementoftheirpractices.Thepurpose ofminimum continuing legal education (MCLE) requirements is topromote and sustain competence and professionalism and to ensure thatattorneysremaincurrentonthelaw,lawpracticemanagement,andtechnologyinourrapidlychangingsociety.Theserulesestablishminimumrequirementsfor continuing legal education, accreditation criteria, and complianceprocedures. (b) ContinuingLegalEducation(CLE)Committee.

(1) The Board shall establish a CLE Committee to oversee the

administration of these rules. The CLE Committee shall review theeffectiveness and efficiency of the MCLE requirements and recommendproposedchangesoradditionstotheserulestotheBoard.

(2) The CLE Committee shall comprise threemembers of theBoard

includingtwoattorneysandonenonattorneypublicmember.TheVice-Chairof the Board shall serve as Chair of the Committee. The two remainingmembersshallbeappointedbytheBoardChair.

(3) Inadditiontoadministeringandinterpretingtheserules,theCLE

Committeeshallhavethefollowingpowersandduties:(A) Monitor the availability andqualityofprograms formembersofthebar;(B) Publish policy statements and regulations regarding programs,credits,andtheinterpretationoftherules;(C) Delegate course approval responsibilities and other functionsunderthisRuletotheBoardstaff;and

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(D) Upon request, review any decisions denying approved status,programaccreditation,orcomputationofcredits.TheCLECommittee’sdeterminationonanysuchissueshallbefinal.

(c) MCLERequirements.

(1) Every attorney with an active license to practice law in thisjurisdictionshallberequiredtoearnaminimumof12MCLEcredithourspercalendaryear.Nomorethanfiveofthecredithoursmaybeearnedthroughself-studyprogramsasdefinedinRule5(h)(1)(B).

(2) As part of the required credit hours referenced in Rule 5(c)(1),

attorneysmustearnatleastonelivecredithourinEthicsandProfessionalism.Qualifying Ethics and Professionalism topics include professionalresponsibility,legalethics,substanceabuseandmentalhealthissues,diversityawarenessinthelegalprofession,attorneywellness,andlegalmalpracticeandbarcomplaintprevention topics includingclientrelations, lawofficeand filemanagement,andclienttrustaccountadministration.ThecredithourrequiredbythissectionisseparatefromandinadditiontothecredithourrequiredbyRule5(c)(3).

(3) As part of the required credit hours referenced in Rule 5(c)(1),

attorneysmustearnatleastonein-personcredithourintherecognitionandavoidance of harassment and discriminatory communication or conductrelated to the practice of law as set out in the Maine Rules of ProfessionalConduct. Qualifying topics include harassment or discriminatorycommunicationorconducton thebasisof race, sex, religion,nationalorigin,ethnicity,disability,age,sexualorientation,orgenderidentity.Thecredithourrequired by this section is separate from and in addition to the credit hourrequiredbyRule5(c)(2).

(4) ThecredithourrequiredbyRule5(c)(3)mustbeearnedthroughin person attendance, unless, in the discretion of the CLE Committee, fordemonstratedgoodcauseshown,anattorneyseeksandobtainspriorapprovalto attend a live presentation through live-streaming or other electronicmediumapprovedbytheCommittee.TheCLECommittee’sdeterminationmayincludeconditionsmandatingtheCLEsponsortoensurethatparticipantswillbe monitored throughout the program for active, contemporaneousparticipation.

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(d) Exemptions.(1) The following individuals otherwise subject to this Rule are

exemptedfromitsrequirements:

(A) Full-timejudgesinanystate,federal,ortribalcourt;

(B) Active retired state court judges and senior status federal courtjudges;

(C) Full-timeteachersinanylawschoolapprovedbytheAmericanBarAssociation;(D) MembersofthearmedforcesoftheUnitedStateswhoareonactivedutyoutsideofthisjurisdiction;(E) Residents of another country unless they are actively practicinglawinthisjurisdiction;(F) Attorneyswhohavepracticed40yearsormore,attainedtheageof65years,andarenotengagedinthefull-timepracticeoflaw;(G) LegislatorsandmembersofCongress;(H) Attorneyswith active licenses topractice law in this jurisdictionwho maintain a principal office for the practice of law in anotherjurisdiction that requiresMCLE andwho can demonstrate compliancewiththeMCLErequirementsofthatjurisdiction;(I) Nonresidentattorneyswhoaretemporarilyadmittedtopracticeinthisjurisdictionunderprohacvicerules;(J) Attorneysservingasjudiciallawclerks;(K) Emeritusattorneys;and(L) Attorneysadmittedforlessthanthreemonthsofthecalendaryear.

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(2) NewadmitteestotheMainebarwhocompleteanaccreditednewattorneyprogramthatfocusesonbasicskillsandsubstantivelawduringtheyear inwhich they are admitted are exempt for that year and the followingcalendaryear.

(3) In the discretion of the CLE Committee, any individual may be

exemptedfromallorpartoftherequirementsofthisRuleuponashowingofhardship or for other good cause shown pursuant to procedures to beestablished by the CLE Committee. An exemption may not be granted insuccessiveyearsforthesameorsimilarhardship. (e) ReportingPeriodandCompliance.

(1) Attorneys subject to these rules shall complete the MCLErequirementsofRule5(c)ineachcalendaryear.AttorneyswhofailtomeettheMCLE requirement within the reporting period will be considerednoncompliant.

(2) OnJanuary1stofeachyear,attorneyssubjecttotheserulesshall

demonstrate compliance with the requirements of these rules for the priorcalendaryear.

(3) Eachyear,attorneyssubjecttotheserulesshallcertifytheaccuracy

of their individualMCLEAnnualReport Statement to theCLECommitteenolaterthanthecloseofbusinessonthelastbusinessdayofFebruary. (f) AccumulationandComputationofCredits.

(1)Credithourswillbeawardedonthebasisofonecredithourforevery60 minutes spent engaged in an accredited program, unless otherwisespecified.

(2) Credit hourswill not be given for time spent on nonsubstantive

matterssuchasintroductoryremarks,breaks,orbusinessmeetings.(3) Thenumberofcredithoursawardedtoaprogramisthemaximum

thatmaybeearned for thatprogramunless the attorney is apresenter. Anattorney may claim partial credit (a minimum of 30 minutes) for partialattendanceorcompletionofanaccreditedprogram.

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(4) Anattorneysubjecttotheseruleswhomakesapresentationatan

accredited program not offered for academic credit by the sponsoringinstitution may earn two credit hours for every 30 minutes of actualpresentation for the accredited program if the attorney has preparedsubstantial written materials—as defined by the CLE Committee—toaccompany thepresentation. If substantialwrittenmaterialshave notbeenprepared,theattorneywillearnonecredithourforevery30minutesofactualpresentation.

(5) Anattorneywhoteachesaregularlyscheduledlaw-relatedcourse

offered for academic credit at an accredited post-secondary educationalinstitutionmayearnsixcredithoursunderthisruleforeveryhourofacademiccreditawardedby the institution for thecourse. Anattorneywhoassistsorparticipatesinsucharegularlyscheduledcoursewillearnonecredithourforeveryhourofactualparticipation,uptoamaximumofsixhours.

(6) Anattorneysubjecttotheseruleswhoformallytakesforcreditor

officiallyauditsaregularlyscheduledcourseofferedforacademiccreditatalaw school approved by the American Bar Associationwill earn four credithours under this rule for every hour of academic credit awarded by theinstitutionforthecourse,providedthattheattorneyattendsatleast75%oftheclasses in the course and, if enrolled for academic credit, receives a passinggrade.

(7) Eachcalendaryear,attorneysmaycarryoverupto10credithours

tosatisfytherequirementsofthefollowingyear,providedthatnomorethanfiveofthecredithoursmaybeearnedthroughself-studyprogramsasdefinedin Rule 5(h)(1)(B). Themandatory live credit requirements of Rule 5(c)(2)mustbesatisfiedforeachreportingperiod. (g) StandardsforAccreditationofMCLEPrograms.

(1) Tobeaccredited,aprogrammustmeetthefollowingstandards:

(A) Theprogrammusthavesignificantintellectualorpracticalcontentdesignedtopromoteattorneycompetenceandmustdealprimarilywithmattersrelatedtothepracticeoflaw,ethicsandprofessionalism,orlawpracticemanagement.

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(B) Interdisciplinaryprograms,ifpertinenttoanindividualattorney’spractice,willbeconsideredonacase-by-casebasis.(C) Althoughwrittenmaterialsmaynotbeappropriateforallcourses,they are expected to be utilized whenever possible. Written coursematerialsmaybeprovidedinpaperordigitalformat,inadvanceoratthetimeoftheactivity.(D) Programpresentersmustbequalifiedwiththenecessarypracticaland/oracademicexperiencetoteachthetopicscovered.(E) The program must be presented in a suitable environmentconducivetolearning.(F) Theprogrammustlast30minutesorlonger.(G) With the exception of certain self-study programs, the sponsormustmonitortheprogramforattendanceandcertifysuchattendancetotheCLECommittee.(2) NotwithstandingtheminimumrequirementssetforthinthisRule,

thefollowingactivitiesarenoteligibleforMCLECredit:(A) Ameetingofabarassociation,committee,section,orotherentitycomposed of attorneys, that is intended primarily to be a generalbusinessmeetingorworksessionasopposedtoanMCLEprogram;(B) Aprogramthatisintendedprimarilytomarketaproductorservicetoattorneys;(C) Aprogramthatisintendedprimarilytoattractclients;(D) Discussionsrelatedtothehandlingofspecificcaseswithina lawfirm,corporatelawdepartment,governmentalagency,orsimilarentity;(E) A program that teaches nonlegal skills, general communicationskills such as public speaking skills, personal money management or

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investing,generalinvestmentprinciples,careerbuilding,rainmaking,ormarketingorsocialmedianetworkingskills;(F) Reviewing or reading legal articles, legal journals, or casesummaries;(G) Acourseattendedinpreparationforadmissiontopracticelawinanyjurisdiction;or(H) Any other course or activity deemed ineligible by the CLECommittee.

(h) CreditCategories.

(1) Anaccreditedprogramiseither“live”or“self-study”dependingonthefollowingcriteria:

(A) Liveprograms.Aprogramis“live”ifitisascheduledactivitythatanattorneymayattendin-personorviaelectronicmediuminwhichthepresentersareavailabletoallcourseattendeesatthetimethecourseispresented,andallattendeescancontemporaneouslyhearorseeotherattendees’ questions as well as any responses and discussion. Thefollowingprogramsqualifyforlivecredit:

(i) “In-Person”–aCLEprogramwithattendeesinthesameroomasatleastoneofthepresenters;(ii) “Satellite/Groupcast” – a CLE program broadcast to remotelocations (i.e., a classroom setting or a central viewing or listeninglocation);(iii) “Teleseminar”–aCLEprogrambroadcastviatelephonetoremotelocations (i.e., a classroomsettingor a central listening location)or toindividualattendeesviatelephonelines;(iv) “ModeratedVideoReplay”–arecordedCLEprogram,inthesameroom as a qualifiedmoderator who answers questions and facilitatesdiscussion;

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(v) “Webcast/Webinar” – aCLEprogrambroadcast via the internet toremotelocations(i.e.,aclassroomsettingoracentralviewingorlisteninglocation)ortoindividualattendees;and(vi)“Webcast/WebinarReplay”–arecordedCLEprogrambroadcastviathe internet to remote locations (i.e., a classroom setting or a centralviewingorlisteninglocation)ortoindividualattendeeswithaqualifiedcommentatoravailabletoanswerquestionsandfacilitatediscussion.

(B) Self-study Programs. The following programs may qualify forself-studycredit:

(i) “IndependentStudy”–viewingorlisteningtoapre-recordedCLEaudio,video,digitalmedia,orothersuchprograms;(ii) “Authorship” – upon written request, attorneys may beawarded ethics and professionalism credit hours each calendaryear for authoring or co-authoring written material that ispublishedinalegalperiodical,journal,book,ortreatiseapprovedbytheCLECommittee;and(iii) “Volunteer Service” –uponwritten request, attorneysmaybe awarded up to three ethics and professionalism credit hourseach calendar year for their volunteer service as members of aboard,commission,orcommitteeestablishedbytheCourtortheBoard, which is primarily concernedwith ethics or professionalresponsibility. Creditsmay also be awarded to court-appointedreceiversandmonitors.

(2) AccreditationPeriod.(A) Accreditationof liveprogramsexpiresattheendofthecalendaryearofthedateofaccreditation.(B) Accreditationofself-studyprograms is foraperiodof twoyearsfromthedateoftheaccreditation.

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(i) ApprovedSponsorStatus.(1) TheCLECommitteemayextend “ApprovedSponsor” status to a

providerassetforthbelow:(A) Application for Approved Sponsor Status. A sponsor may beapprovedbysubmittinganApprovedSponsorApplicationandrequisitefee, together with evidence establishing to the satisfaction of the CLECommitteethat:

(i) the sponsor has been approved or accredited by anaccrediting authority established by court rule or statute inanotherstate;or(ii) during the immediatelypreceding threeyears, thesponsorhasannuallysponsoredatleast10liveprogramsthatcomplywiththerequirementsforindividualprogramaccreditationunderRule5(g)(1).

(B) BenefitsofApprovedSponsorStatus.

(i) AnApprovedSponsormayindicateinpromotionalmaterialsthat it is an “Approved Sponsor” by including the followingstatementinthosepromotionalmaterials:“[SponsorName]isanApprovedSponsor,asrecognizedbytheCLECommittee.”(ii) ApprovedSponsorspayareducedapplicationfee.(iii) Programming presented by an Approved Sponsor ispresumptivelyaccredited.(iv) ApprovedSponsorsmayelecttoreceiveaquarterlyinvoiceforprogramaccreditation.

(C) RevocationofApprovedSponsorStatus. ApprovedSponsorstatusmayberevokedbytheCLECommitteeifthereportingrequirementsoftheserulesarenotmetorif,uponreviewofthesponsor’sperformance,theCLECommitteedeterminesthatthecontentorqualityoftheprogramorprogrammaterialsortheprovider’sperformancedoesnotmeetthe

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standards set forth in these rules. In such circumstances, the CLECommittee shall mail the Approved Sponsor a 30-day notice ofrevocation. The Approved Sponsor may request a review of suchrevocation, and the CLE Committee shall act on the requestwithin 90daysafterreceipt.ThedecisionoftheCLECommitteeshallbefinalaftersuchreview.(j) ApplicationProceduresforProgramAccreditation.(1) Eachsponsorseekingaccreditationofaprogramshallsubmitan

application, together with the requisite fee, at least 30 days prior to theprogramdate.Alatefeewillbeassessedforuntimelysubmissions.

(2) If theprogramsponsor choosesnot to submit anapplication for

accreditationofaprogram,anindividualattorneymaysubmitanapplication,together with the requisite fee, in advance of, but no later than 60 daysfollowingtheprogramcompletiondate.Alatefeewillbeassessedforuntimelysubmissions. (k) ReportingCLECredit.

(1) SponsorReporting.Sponsorsofaccreditedprogramsshallsubmitattendance rosters no later than 30 days following the program date in amanner prescribed by the CLE Committee. A late fee will be assessed foruntimelysubmissions.

(2) AttorneyReporting.(A) If an attorney has received program accreditation (see Rule5(j)(2)), the attorney shall independently submit a certificate ofattendancenolaterthan30daysfollowingtheprogramcompletiondateinamannerprescribedbytheCLECommittee.Alatefeewillbeassessedforuntimelysubmissions.(B) If a program has not been accredited (see Rule 5(j)(2)), theattorneyshallindependentlysubmitanapplicationforaccreditationandacertificateofattendance,togetherwiththerequisitefee,nolaterthan60daysfollowingtheprogramcompletiondateinamannerprescribed

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by the CLE Committee. A late fee will be assessed for untimelysubmissions.(C) IndependentStudy. Attorneyswhoapplytoearnself-studycreditthrough independentstudyshall submitaCertificateofCompletionnolaterthan30daysfollowingthecompletiondateinamannerprescribedby the CLE Committee. A late fee will be assessed for untimelysubmissions.(D) Authorship.Attorneyswhoauthororco-authorpublishedwrittenmaterialsshallsubmitaCertificateofCompletiontogetherwithacopyofthe published written materials no later than 30 days following thepublicationdateinamannerprescribedbytheCLECommittee.Alatefeewillbeassessedforuntimelysubmissions.

(l) EnforcementofMCLERequirements.

(1) AttorneyswhoaredeficientintheirMCLErequirementsattheendof the applicable reporting period shall be considered noncompliant.NoncompliantattorneysshallbeentitledtoanautomaticgraceperioduntilthecloseofbusinessonthelastbusinessdayofFebruaryofthesucceedingyeartomakeuptheirdeficiencies.Credithoursearnedduringthatgraceperiodmaybecountedtowardcompliancewiththepreviousreportingperiod,andhoursinexcessmaybeusedtomeetthesubsequentreportingperiod’srequirement.

(2) Attorneyswhoremaindeficientonthecloseofbusinessonthelast

businessdayofFebruaryshallbeassessedanoncompliancefeeinanamountsetbytheCLECommittee.

(3) AttorneyswhofailtomeettheMCLErequirementsshallhavetheir

righttopractice lawsuspendedsubject totheprovisionsofMaineBarRules4(g)and(h).

(4) AttorneyswhoaresuspendedpursuanttoMaineBarRule4(g)may

seekreinstatementunderMaineBarRule4(i).(5) If theCLECommitteehas reason tobelieve that anattorneyhas

submittedafalsetranscriptorotherfalseinformationtotheCLECommittee,it

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shallforwardtheattorney’snametoBarCounselforinvestigationpursuanttoM.R.Prof.Conduct8.4(c).

(m) ConfidentialityandRecordRetention.(1) Thefiles,records,andproceedingsoftheCLECommittee,asthey

relatetoorariseoutofanyfailureofanattorneytosatisfytherequirementsoftheserules,shallbedeemedconfidentialandshallnotbedisclosed,exceptinfurtherance of the duties of the CLE Committee, upon the request of theattorney affected, upon the request of Bar Counsel, or upon court order.Nonetheless,thefilesandrecordsmaybeintroducedinevidenceorotherwiseproducedinproceedingsundertheserules.

(2) The Board shall retain program and course approval

documentation, certificates of attendance, and attendance rosters, for aminimumoftwoyearsinpaperordigital format. AnnualReportStatementsshallberetainedindigitalformatforaminimumof10years.

RULE6.MAINTENANCEOFTRUSTACCOUNTSINAPPROVEDINSTITUTIONS;IOLTA

(a) Clearly Identified Trust Accounts in Eligible InstitutionsRequired.EverylawyeradmittedtopracticeinMaineshalldepositallfundsheldintrustinthisjurisdictioninaccordancewithRule1.15oftheMaineRulesof Professional Conduct in accounts clearly identified as IOLTA accounts ineligibleinstitutionsandshalltakeallstepsnecessarytoinformthedepositoryinstitution of the purpose and identity of the accounts. Funds held in trustinclude funds held in any fiduciary capacity in connection with arepresentation,whetherastrustee,agent,guardian,executor,orotherwise.

(b) ReportingandCertification.Everylawyeradmittedtopractice

in Maine shall annually certify to the Board in connection with the annualrenewal of the lawyer’s registration that, to the lawyer’s knowledge afterreasonableinvestigation:

(1) (A) the lawyer or the lawyer’s law firm maintains at least one

IOLTAaccount,and(B)thelawyerhastakenreasonablestepstoensurethatall

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client funds are held in IOLTA accounts meeting the requirements of theseRules;or

(2) thelawyerisexemptfrommaintaininganIOLTAaccountbecause

thelawyer:(A) isnotengagedintheprivatepracticeoflaw;(B) doesnothaveanofficewithinMaine;(C) is(1)ajudgeemployedfull-timebytheUnitedStatesGovernment,theStateofMaineoranotherstategovernment;(2)onactivedutywiththearmedservices;or(3)employedfull-timeasanattorneybyalocal,state,orfederalgovernment,andisnototherwiseengagedintheprivatepracticeoflaw;(D) iscounselforacorporationornon-profitorganizationorateacherorprofessoremployedbyaneducationalinstitution,andisnototherwiseengagedintheprivatepracticeoflaw;(E) has been exempted by an order of the Court that is cited in thecertification;or(F) holdsnoclientfunds.(c) IOLTAAccountRequirements.(1) An IOLTA account is a pooled trust account earning interest or

dividendsataneligibleinstitutioninwhichalawyerorlawfirmholdsfundsonbehalfofclients,whichfundsaresmallinamountorheldforashortperiodoftimesuchthattheycannotearninterestordividendsfortheclientinexcessofthecostsincurredtosecuresuchincomeandtheaccountis:

(A) aninterest-bearingcheckingorsharedraftaccount;(B) amoneymarketaccountwithortiedtocheck-writing;(C) an account whose funds are invested solely in repurchaseagreements;or

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(D) an account whose funds are invested solely in qualified moneymarketfunds.A “qualifiedmoneymarket fund” is an open-end investment company

registeredunder the InvestmentCompanyActof1940 that is regulatedasamoneymarketfundunderRule270.2a-7thereof(oranysuccessorregulation)andthat,atthetimeoftheinvestment,hastotalassetsofatleast$250,000,000,substantially all of which are invested in U.S. Government Securities. A“repurchaseagreement”isadailyovernightrepurchaseagreementwhichmustbe fullycollateralizedbyU.S.GovernmentSecurities andmaybeestablishedonlywith a bank or other depository institution that is deemed to be “wellcapitalized” or “adequately capitalized” under applicable regulations of theFederal Deposit Insurance Corporation and National Credit Union ShareInsurance Fund. U.S. Government Securities, for the purpose of this section,includesecuritiesofGovernmentSponsoredEntities,includingbutnotlimitedto Federal National Mortgage Association Securities, Government NationalMortgage Association Securities, and Federal Home Loan MortgageCorporationSecurities.

An “eligible institution” for trust accounts or IOLTA is a bank, trust

company, savings bank, credit union, or savings and loan associationauthorizedbyfederalorstatelawtodobusinessinMaine,thedepositsofwhichare insured by an agency of the federal government, and which has beendesignatedbytheMaineJusticeFoundationasaneligibleinstitution.

(2) TheMaineJusticeFoundationshallestablishguidelinesgoverning

approvalandterminationofeligiblestatusforfinancialinstitutions,andshallannuallypublishalistofeligiblefinancialinstitutions.

(3) OverdraftNotificationAgreementRequired.Toqualifyasaneligible

institution,afinancial institutionmustfilewiththeMaineJusticeFoundationanagreement,inaformprovidedbytheMaineJusticeFoundation,toreporttotheBoardwheneveranyproperlypayable instrument ispresentedagainstalawyertrustaccountcontaininginsufficientfunds,irrespectiveofwhetherornot the instrument ishonored. No trust account shall bemaintained in anyfinancialinstitutionthatdoesnotagreetosoreport.Anysuchagreementshallapply to all branches of the financial institution and shall not be cancelledexceptupon60days’noticeinwritingtotheMaineJusticeFoundation. The

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overdraft notification agreement shall provide that all reports made by thefinancialinstitutionshallbeinthefollowingformat:

(A) Inthecaseofadishonoredinstrument,thereportshallbeidenticaltotheoverdraftnoticecustomarilyforwardedtothedepositorandshallincludeacopyofthedishonoredinstrument,ifsuchacopyisnormallyprovidedtodepositors;(B) Inthecaseof instrumentsthatarepresentedagainst insufficientfundsbutwhich instrumentsarehonored, thereportshall identify thefinancialinstitution,thelawyerorlawfirm,theaccountnumber,thedateofpresentationforpayment,andthedatepaid,aswellastheamountofoverdraftcreatedthereby;and(C) Timing ofReports. ReportsunderRule 6(c)(5)(B) shall bemadesimultaneouslywith,andwithinthetimeprovidedbylawfornoticeofdishonor,ifany.Ifaninstrumentpresentedagainstinsufficientfundsishonored,thenthereportshallbemadewithinfivebankingdaysofthedateofpresentationforpaymentagainstinsufficientfunds.

(4) IOLTA Requirements. In addition to the requirements above, toqualifyasaneligibleinstitutionforthemaintenanceofIOLTA,theinstitutionmustmeetthefollowingrequirements:

(A) remit the interest and dividends on this account, net of anyallowable reasonable fees, at least quarterly to the Maine JusticeFoundation;(B) transmitwitheachremittanceareportonaformapprovedbytheMaineJusticeFoundationthatshallidentifyeachlawyerorlawfirmforwhomtheremittance issent, theamountof remittanceattributable toeachIOLTAaccount,therateandtypeofinterestanddividendsapplied,theamountof interestanddividends,theamountandtypeofaccount-relatedchargesdeducted,ifany,andtheaverageaccountbalancefortheperiodinwhichthereportismade;(C) transmit to the depositing lawyer or law firm a report inaccordancewithnormalproceduresforreportingtoitsdepositors;and

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(D) pay on IOLTA accounts interest or dividends no less than thehighestinterestrateordividendgenerallyavailablefromtheinstitutionto its non-IOLTA customers on accounts having similar minimumbalances andother eligibilityqualifications. Interestordividendsandfees shall be calculated in accordance with the eligible institution’sstandardpractice.Indeterminingthehighestinterestrateordividendgenerallyavailablefromtheinstitution toitsnon-IOLTAcustomers,aninstitutionmayconsiderinadditiontothebalanceintheIOLTAaccount,factorscustomarilyconsideredby the institutionwhensetting interestrates or dividends for its non-IOLTA customers, provided that suchfactorsdonotdiscriminatebetweenIOLTAaccountsandotheraccountsandthatthesefactorsdonotincludethefactthattheaccountisanIOLTAaccount.Theeligibleinstitutionshallcalculateinterestanddividendsinaccordance with its standard practice for non-IOLTA customers. Theeligibleinstitutionmaychoosetopaythehigherinterestrateordividendonan IOLTAaccount in lieuofestablishing itasahigherrateproduct.NothingcontainedinthisrulewillbedeemedtoprohibitaninstitutionfrompayingahigherinterestrateordividendonIOLTAaccountsthanrequired by this rule or from electing to waive any fees and servicecharges on an IOLTA account. Lawyers may only maintain IOLTAaccounts at eligible institutions that meet this rule’s requirements, asdeterminedfromtimetotimebytheMaineJusticeFoundation.

Eligible institutions may comply with the rate requirements of this rule byelectingtopayanamountonfundsthatwouldotherwisequalifyfortheoptionsnotedabove,equaltothegreaterof(1)a1%interestrateor(2)65%oftheFederalFundsTargetRateineffectonJuly1ofeachyear,whichrateremainsineffectfortwelvemonths,andwhichamountisdeemedtobealreadynetofallowablereasonablefees.

(d) VerificationofBankAccounts.(1) Generally.WheneverBarCounselhasevidencethatbankortrust

accounts of a lawyer that contain, should contain, or have contained fundsbelongingtoclientshavenotbeenproperlymaintainedorthatthefundshavenotbeenproperlyhandled,BarCounselshallrequesttheapprovaloftheChairof the Board to initiate an investigation for the purpose of verifying theaccuracy and integrity of all bank accounts maintained by the lawyer. If

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approval is granted, Bar Counsel shall proceed to verify the accuracy of thebankaccounts.

(2) Confidentiality. Investigations, examinations, and verifications

shallbeconductedsoastopreservetheprivateandconfidentialnatureofthelawyer’srecordsinsofarasisconsistentwiththeseRulesandthelawyer-clientprivilege.

(e) MaineJusticeFoundationActions.(1) The Maine Justice Foundation shall publish annually a list of

eligibleinstitutionsthatmayholdtrustandIOLTAaccounts.(2) By March 1 of each year, the Maine Justice Foundation shall

completeafinancialreportoftheIOLTAfundsreceivedanddistributedbyitfor the previous calendar year. The financial report shall be conductedaccording to generally accepted accounting principles and shall includeindicationofthepurposesforwhichIOLTAfundshavebeenexpendedinthepreviousyear.CopiesofthefinancialreportshallbeprovidedtotheCourt.

(f) ReceiptofVoluntaryContributions.Aspartofitsnotificationto

attorneystofileannualregistrationstatements,theBoardmayinviteattorneystomakeavoluntarycontribution to theCampaign for Justice toassist in thefunding of legal services for low income individuals. The Board may alsoprovideameansformakingthevoluntarycontributionatthesametimethattheannualfeeispaidandisauthorizedtoutilize itsadministrativestaffandfacilities to receive these voluntary contributions and forward them to theCampaignforJustice.

(g) Consent by Lawyers. Every lawyer practicing or admitted to

practiceinMaineshall,asaconditionthereof,beconclusivelydeemedtohaveconsented to the reporting, verification, and production requirementsmandatedbythisrule.Suchconsentspecificallyincludesauthorizationtothedisclosure by financial institutions of all bank or trust account records andinformation as requested of them by Bar Counsel for the purposes ofverificationandinvestigationpursuanttoRule6(d).

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(h) Costs. Nothinghereinshallprecludea financial institution fromchargingaparticularlawyerorlawfirmforthereasonablecostofproducingthereportsandrecordsrequiredbythisrule.

III. COMMISSIONS

RULE7.FEEARBITRATIONCOMMISSION

(a) Commission.

(1) Appointment.TheBoardshallappointfiveormoreFeeArbitrationCommissionpanels,eachofwhichshallbeassignedageographicregionofthestate.EachpanelshallconsistoftwoattorneyslicensedtopracticelawinMaineand one public member who is a Maine resident. The Board shall appointalternate attorneys and public members to serve on the Fee ArbitrationCommission asmembers at large. Each year theBoard shall also appoint aChair and Vice Chair of the Fee Arbitration Commission from among theCommission’sattorneymembers.TheChairorViceChairshallappointoneoftheattorneymembersofeachpaneltochairthatpanel.

(2) TermsofOffice. Panelmembersshallbeappointed fora termoffouryears.Nomembershallservemorethantwoconsecutivefour-yearterms.Amemberwhosetermhasexpiredmaycontinuetoserveonanycasethatwascommenced before the expiration of the member’s term. As each regularmember’stermofofficeontheFeeArbitrationCommissionexpires,asuccessorshallbeappointedfornomorethantwoconsecutivefulltermsbutaregularmemberappointedforlessthanafullterm(originallyortofillavacancy)mayserve twoadditional full terms. Amemberwhohasserved twoconsecutivefour-yeartermsmaynotbereappointedbeforetheexpirationofatleastoneyear.MembersshallnotbesubjecttoremovalbytheBoardduringtheirtermsofofficeexceptforcause.

(3) Representation Prohibition. No member of the Fee ArbitrationCommissionmaybelegalcounselforapartyinanyproceedingsundertheseRules. When a member of the Commission member’s firm serves as legalcounselforapartyinanyproceedingunderthisrule,theCommissionmembermay perform Commission responsibilities unrelated to that proceeding,provided that the Commission member is timely screened from any

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participation in or relating to that proceeding, at both the Commissionmember’sfirmandtheCommission.

(4) Uponconclusionofservice,membersshalltakereasonablestepstodestroy all documents, in paper or electronic format, relating to theproceedings of the Board subject to the confidentiality provisions of theseRules.

(b) PowersandDuties.TheFeeArbitrationCommissionshallhavethefollowingpowersandduties:

(1) tointerpretthisrule;

(2) toapproveforms;

(3) to establish written procedures that afford a full and equalopportunitytoallpartiestopresentrelevantevidence;

(4) to educate the public and the bar about the Fee ArbitrationCommission;and

(5) toperformallactsnecessaryfortheeffectiveoperationoftheFeeArbitrationCommission.

(c) Board Clerk.The Board Clerk shall perform the administrativefunctionsoftheCommission.TheBoardClerkshallhavethefollowingpowersandduties:

(1) tokeepandmaintainrecordsofallpetitionersandrespondents,aswell as all proceedings, determinations, and awards of the Fee ArbitrationCommission;

(2) toprocessFeeArbitrationcasesandcommunicatewithpartiestothedispute;

(3) toscheduleFeeArbitrationhearings;

(4) toprocessanddisseminateArbitrationAwardstotheappropriategroupsandparties;and

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(5) toperformsuchadditionaldutiesasmaybeassignedbytheBoardortheFeeArbitrationCommission.

(d) Procedures.

(1) InitiationofProceedings. Proceedingsbefore theFeeArbitrationCommission shall be initiatedupon receiptof apetition regarding legal feesand/or costs paid to or charged by an attorney providing legal services inMaine.Thepetitionershall

(A) set forth the petitioner’s full name and current address and theattorneywithwhomthepetitionerhasadispute;(B) agreetobeboundbythedecisionofaFeeArbitrationPanel;(C) represent that the petitioner has made a good faith effort toresolvethedisputewiththeattorneyinvolvedbeforefilingthepetition;and(D) statewhetherthedisputeisthepresentsubjectoflegalactionandcertify that the matter has not been finally adjudicated by a court oradministrative agency. If the dispute is currently the subject of otherjudicial or administrative proceedings, such proceedings shall beidentifiedinthepetition.(2) PendingAction.Ifthereisapendingactionorproceedingbeforea

Mainecourtoragencyinvolvingthedisputedfees,thensuchmattershall,uponmotion of the petitioner, be stayed by that tribunal until such dispute isresolvedpursuanttothisrule,andtheawardhereundershallbedeterminativeoftheactionsostayed.

(3) PreliminaryReviewbyBoardClerk.Uponfiling,apetitionshallbeexpeditiouslyreviewedbytheBoardClerk.IftheBoardClerkdeterminesthattherearenojustgroundsforthedispute,orthatthematterismoot,orthatthearbitration was not commenced within six years from the time the bill indisputewasrenderedorthefeepaidinwholeorpart,whicheveroccursfirst,the Board Clerk may recommend that the Chair or Vice Chair of the FeeArbitrationCommissiondismissthematter.Whenrecommendingadismissal,the Board Clerk shall provide a concise written statement of the facts andreasonswhyamattershouldbedismissedtotheChairorViceChairoftheFee

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Arbitration Commission. If the Chair or Vice Chair concurswith the BoardClerk’s recommendations, the matter shall be closed and the petitioner soadvised.IftheChairorViceChairrejectstheBoardClerk’srecommendations,themattershallproceedunderthisrule.

(4) PetitionFiledbyNon-Client.Whenapetitionisfiledbyanon-clientofthenamedrespondentattorney,theBoardClerkshallprovidetheclientwithnotice of the petition and request that within 10 days the client consent inwritingtothefilingandprocessingofthepetitionunderthisrule.Shouldtheclientfailtoprovideconsent,theBoardClerkshallreferthemattertotheChairor Vice Chair for determination whether any action under this rule isappropriatefortheFeeArbitrationCommissionorifdismissalisrequired.

(5) NoticetoRespondent.Ablankformcaptioned“Respondent’sReplyandSubmission toArbitration”shallbe forwarded to therespondent. If therespondent fails,withoutgoodcause, to fileareplywithin30daysafter themailing,thepanelmayproceedtohearthepetitionandmakeitsfindingsandawardupon theevidenceproducedby thepetitioner. The panelmay, at itsdiscretion,refusetoconsiderevidenceofferedbytherespondentthatwouldreasonably be expected to have been disclosed in the Respondent’s Reply.UponreceiptofRespondent’sReply,theBoardClerkshallforwardacopyofthesametothepetitioner.

(6) Notice of Client’s Right to Arbitrate Legal Fees. At least 30 daysbeforeserviceorfilingofacomplaintinacivilactionagainstanattorney’sclientor former client (hereinafter client) to recover fees forprofessional servicespreviously rendered and/or costs incurred for which no judgment haspreviouslybeenobtained,anattorneyshallmailtotheclientattheclient’slastknownaddress,andtothepersonliableforthepaymentoftheattorney’sfeesifotherthantheclientatthatperson’slastknownaddresses,awrittennoticeoftherighttoarbitrate,whichshallincludethefollowinglanguage:

Youcurrentlyowethesumof$____inlegalfees[andcosts]to[nameofattorneyorfirm].Ifyoudisputethefactthatyouoweanypartoftheamountclaimed to be due, you have the right to have the matter resolved withoutadditionalexpensetoyoubyarbitrationbeforeapaneloftheFeeArbitrationCommission. Forms and instructions for filing a petition for arbitration areavailablefromtheBoardofOverseersoftheBar[insertBoardaddress,phonenumberandwebsiteURL].

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(7) FailuretoGiveNotice.Noattorneyshallseektoenforceajudgmentagainst a client for attorney fees or costswhich have been enteredwithouthavingprovidedthatclientwiththerequirednoticeoftherighttoarbitrateassetforthabove.

(8) ReferraltoArbitrationPanel.

(A) Panel Composition. After notification of appointment to a panel,assignedpanelmembersshallnotify theBoardClerkofanyconflictofinterestwithapartytothearbitration.Uponnotificationoftheconflict,the Board Clerk shall appoint a replacement from the list of FeeArbitrationCommissionmembers. Partiesmayobjectinwritingtothecompositionofapanel,andtheFeeArbitrationCommissionmayrelievethedisqualifiedpanelmemberandappointareplacement.(B) NoticeofHearing.TheBoardClerkshallmakeareasonableefforttoassignthematterforhearingwithin60daysafterthedateofreceiptof the petition. TheBoard Clerk shall also provide petitioner and therespondentwrittennoticeofthedate,time,andplaceofhearing.(C) Dismissal. If not earlier resolved pursuant to Rule 7(d)(3), apetitionshalllaterbedismissedbytheBoardClerkuponthepetitioner’ssubmissionofawrittenrequestfordismissalpriortotherespondent’sfilingofareplytothedispute.Aftertherespondentfilesareplytothedispute,thepetitionshallnototherwisebedismissedexceptbyorderofthechairoftheassignedhearingpaneloroftheChairorViceChairoftheFeeArbitrationCommission.(9) RighttoCounsel.Eachpartytoadisputeshallhavetherighttobe

represented at the party’s own expense by an attorney at any stage of thearbitration.Forcauseshown,oronitsownmotion,theChairorViceChairmay,initsdiscretion,authorizetheBoardClerktoobtainthevolunteerservicesofandassignanattorneytorepresenteitherthepetitionerortherespondentinanyproceedingbeforethepanel.

(10) Communications.AnynoticeorothercommunicationrequiredbythisruleshallbesufficientifinaccordancewiththerequirementsofRule15.Noticetoapetitionershallbemadetotheaddresssetforthbypetitionerinthepetition.

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(e) ArbitrationHearing.

(1) If,atthetimesetforahearingbeforeapanel,threemembersarenotpresent,thechairofthepanel,orintheeventofthechair’sunavailability,theothermemberspresent,maydecideeithertopostponethehearing,or,withthewrittenconsentofthosepartiespresent,toproceedwiththehearingwithtwopanelmembers,oneofwhommustbeapublicmember.

(2) Ifanymemberofapaneldiesorbecomesunabletocontinuetoactwhile the matter is pending and before an award has been issued, theproceedings to that point shall be declared null and void and the matterassignedtoanewpanelforrehearingunlesstheparties,withtheconsentofthepanelchair,orintheeventofthechair’sunavailability,theChairorViceChairof the Fee Arbitration Commission, consent to proceed with the remainingpanelmembers,oneofwhommustbeapublicmember.

(3) Themembersofthearbitrationpanelsshallbevestedwithallofthepowers,andshallassumealloftherelevantduties,grantedandimposeduponneutralarbitratorsby theUniformArbitrationAct,14M.R.S.§5927etseq.,totheextentthatthesameisnotinconflictwiththisrule.

(4) On the hearing date, the arbitration panel shall meet, taketestimony,receiveotherevidence,andotherwiseconductanimpartial,fair,andexpeditioushearingonthematter.Thepanelshallacceptsuchevidenceasisrelevant and material to the dispute and request additional evidence asnecessarytounderstandandresolvethedispute.Thepartiesshallbeentitledtobeheard,topresentevidence,andtocross-examinepartiesandwitnesses.Thepanelshalljudgetherelevanceandmaterialityoftheevidence.

(5) Uponrequestofapartyoruponitsowndetermination,apaneloritschairmay,forgoodcauseshown,adjournorpostponethehearing.

(6) Thechairofthepanelshallpresideatthehearing.Forpurposesofadmissibility,thechairshallbethejudgeoftherelevanceandmaterialityoftheevidence offered and shall rule on questions of procedure. The chair shallexerciseallpowersrelatingtotheconductofthehearing. Evidenceshallbeadmitted if it is the kind of evidence upon which reasonable persons areaccustomedtorely in theconductofseriousaffairs. Thepanelmayexcludeirrelevant,undulyrepetitious,orundulyprejudicialevidence.TheMaineRulesofEvidenceshallnotapplyatthehearing.

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(7) Thepetitionerandtherespondent,orcounselrepresentingeitherofthem,shallbeentitledtobeheard,topresentevidence,andtocross-examinepartiesandwitnessesappearingatthehearing.Inaddition,anypanelmembershallbeentitledtomakeinquiriesofanypartyorwitnessatthehearing.Thetestimony ofwitnesses shall be by oath or affirmation administered by thepanelchair.

(8) Appearance by a party at a scheduled hearing shall constitutewaiverbysaidpartyofanydeficiencywithrespect to thegivingofnoticeofhearing. If apartywhohasbeennotifiedof the time,date, andplaceof thehearing in accordancewith theproceduresof thisrule fails toappear at thehearing,anarbitrationpanelor itschairmayeitherpostponethehearingorproceedwith the hearing and determine the controversy upon the petition,reply,andotherevidenceproduced.

(9) The Board shall cause all proceedings before the panel to bestenographicallyorelectronicallyrecordedinaformthatwillreadilypermittranscription.AhearingtranscriptorpartialtranscriptmaybeorderedatanytimebytheFeeArbitrationCommissionpanel,thepetitioner,therespondent,ortheBoard.Whenorderingatranscript,therespondentorpetitionermustprovideacopyoftherequestedtranscripttotheopposingpartyandtheBoardatthatparty’sownexpense.

(10) Death or Incompetency of a Party. In the event of death orincompetencyofaparty,thepersonalrepresentativeofthedeceasedpartyortheguardianorconservatoroftheincompetentmaybesubstituted.

(11) A witness or party may be summoned by subpoena to appearbeforeaFeeArbitrationCommissionpanelpursuanttotheproceduressetforthinRule16.

(12) In theevent there isnowrittenagreementor engagement letterbetweenthepartiesconcerningfeesandexpensesastotheparticularmatterindispute,therespondentshallbeartheburdenofproofofanagreement,orotherbasisforrecoveryoffeesandexpenses,andofthereasonablenessofthefeesandexpenses.

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(f) ArbitrationAward.

(1) Thedecisionofthearbitrationpanelshallbeexpressedinawrittenaward accompanied by a confidential addendum expressing the specificreasons for the award, signedby thepanel chaironbehalf of thepanel, andthereupon filedwith theBoardClerk. If there isadissent, it shallbesignedseparatelybythedissentingpanelmember.Ifthehearingisheldbeforeatwomember panel, both panel members must be in agreement regarding thedispositionofacase.Absentsuchagreement,thematterwillberescheduledforanewhearingbeforeadifferentpanel.Anawardmayalsobeenteredonconsentoftheparties.

(2) Thedecisionandawardofthearbitratorsshallcontainastatementof the amount or nature of the award, if any, and the terms of payment, ifapplicable. Clerical mistakes arising from oversight or omission may becorrected at any time by the panel chair or the Board Clerk at the FeeArbitrationCommission’sinitiativeoronthemotionofaparty.

(3) Theawardofthearbitrationpanelshallberenderedwithin30daysafterthecloseofthehearing,unlessotherwiseextendedbytheChairorViceChairoftheFeeArbitrationCommission.

(4) AcopyofthedecisioncontainingtheawardandtheaccompanyingconfidentialaddendumshallbepromptlyforwardedbytheBoardClerktothepetitionerandtherespondent,ortheirrespectivecounsel;theChairandViceChairoftheFeeArbitrationCommission;andtheBoard.

(g) EnforcementandChallengestoAward.Wheneveranarbitrationpanelfindsbyitsawardthatallorpartofthefeepaidbythepetitionershouldberefundedby therespondent, theattorneyshallmake theawardedrefundwithin30daysof receiptof theaward,unlessotherwiseprovided for in theaward. If the respondent fails to make the awarded refund within theapplicabletimeframe,theBoardClerkshallreferthemattertoBarCounselforactionpursuanttoRule14(b)(5).TheawardrenderedbyanarbitrationpanelmaybeenforcedinaccordancewiththeUniformArbitrationAct,14M.R.S.§5927etseq.Section5928ofTitle14,relatingtoproceedingstocompelorstayarbitrationisnotapplicabletoproceedingsunderthisrule.Theawardmaybechallengedonthelimitedgrounds,andbytheprocedure,setforthin14M.R.S.§5938.

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(h) Confidentiality. With the exception of the award itself, theconfidential addendum as well as all petitions, replies, records, documents,files, proceedings, andhearingspertaining to arbitrationsof any fee disputeunder this rule and these procedures shall be confidential, and, unlessotherwiseorderedbytheCourt,shallnotbeopentothepublic,press,oranypersonnotinvolvedinthedispute,exceptingonlythestaffandmembersoftheFee Arbitration Commission, the Board, and the Committee on JudicialResponsibility and Disability in connection with any complaint within itsjurisdiction. Notwithstandingthisconfidentiality,anyperson—includingbutnot limited to members of the Board, members of the Fee ArbitrationCommission,andBoardstaff—maynotifygovernmentalofficialsofactualorthreatenedcriminalconductbyanyindividual.Accesstorelevantinformationmayalsobeprovidedtoauthorizedagencies.

RULE8.PROFESSIONALETHICSCOMMISSION

(a) Appointment.TheBoardshallappointeightattorneymemberstotheProfessionalEthicsCommission.

(b) TermsofOffice. Membersshallbeappointedforatermoffouryears.Nomembershallserveformorethantwoconsecutivefour-yearterms,except that members shall continue to serve until a replacement has beenappointed. Amemberwhohasservedtwoconsecutivefour-yeartermsmaynotbereappointedbeforetheexpirationofatleastoneyear.TheBoardmaynotremovemembersduringtheirtermsofofficeexceptforcause.

(c) QuorumandAction.AquorumshallexistforthepurposesoftheProfessionalEthicsCommission’sexerciseof itsauthorityanddutieswhenamajorityof itsmembers arepresent. Theconcurrenceof amajorityofsuchmemberspresentshallbesufficientforanyactiontaken.

(d) Powers and Duties. The Professional Ethics Commission shallhavethefollowingpowersandduties:

(1) torenderadvisoryopinionstotheCourt,theBoard,BarCounsel,and the Grievance Commission onmatters involving the interpretation andapplicationoftheMaineRulesofProfessionalConduct;

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(2) to receive ethicalquestions posedbymembersof theMainebarinvolvingtheMaineRulesofProfessionalConductandtodeterminewhethertoissueaformaladvisoryopinion;

(3) to make recommendations to the Board or to the AdvisoryCommitteeontheRulesofProfessionalConductregardingamendmentstotheMaineRulesofProfessionalConduct;and

(4) tomaintainanindexedcompilationofitsopinions.

(e) Opinions as Evidence. Opinions of the Professional EthicsCommissionshallbeadmissibleinanyproceedinginwhichtheinterpretationorapplicationofaprovisionoftheMaineRulesofProfessionalConduct isatissue.

(f) Confidentiality.Withtheexceptionofanadvisoryopinionfinallyrenderedpursuanttothisrule,allinquiries,replies,records,documents,files,and proceedings pertaining to the interpretation of ethical rules and therenderingofadvisoryopinionswithrespecttheretoshallbeconfidential,and,unlessotherwiseorderedbytheCourt,shallnotbeopenedtothepublic,press,oranypersonnotinvolvedintherenderingoftheadvisoryopinions,exceptingonly thestaffandmembersof theProfessionalEthicsCommissionand theirprofessionalassociatesactivelyinvolvedinworkingonanadvisoryopinionforsuch member, the staff and members of the Grievance Commission, BarCounsel,thestaffandmembersoftheBoard,andtheCourt.Nopersonshallpublicly disclose the identity of another individual whose conduct was thesubjectofanadvisoryopinionwithouttheconsentofthatindividual.

(g) Destruction of Confidential Documents. Upon conclusion ofservice,membersshalltakereasonablestepstodestroyalldocuments,inpaperorelectronicformat,relatingtotheproceedingsoftheBoardandsubjecttotheconfidentialityprovisionsoftheserules.

RULE9.GRIEVANCECOMMISSION

(a) Appointment. The Board shall appoint five or more GrievanceCommission panels. Each Grievance Commission panel shall consist of twoattorney members and one public member. The Board shall also appointalternate attorneymembers and publicmembers to serve on the GrievanceCommission.TheBoardshallappointtheChairandViceChairoftheGrievance

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Commission each year from among the attorneymembers of the GrievanceCommission.TheChairorViceChairshallappointalawyermemberofeachpaneleachyearaschairofthatpanel.

(b) TermsofOffice.Panelmembersshallbeappointedforatermoffouryears.Nomember shall serve formore than two consecutive four-yearterms.Amemberwhosetermhasexpiredmaycontinuetoserveonanycasethatwascommencedbeforetheexpirationofthemember’sterm.Amemberwho has served two consecutive four-year terms may not be reappointedbeforetheexpirationofatleastoneyear.TheBoardmaynotremovemembersduring their terms of office except for cause. The Board may defer thereappointment of commission members who are temporarily removedpursuanttoRule1(d)(2).

(c) RepresentationProhibition. Nomembermaybe legal counselforaparty inanyproceedingsunderRules10 to32.Whenamemberof thepanelmember’sfirmservesaslegalcounselforapartyinanyproceedingunderRules10 to32, thepanelmembermayperformCommissionresponsibilitiesunrelated to that proceeding, provided that the panel member is timelyscreenedfromanyparticipationinorrelatingtothatproceeding,atboththepanelmember’sfirmandtheCommission.

(d) PowersandDuties.GrievanceCommissionpanelsshallhavethefollowingpowersandduties:

(1) toreviewandapprove,modify,ordisapproverecommendationsbyBarCounsel;and

(2) to conduct hearings in connection with public disciplinaryproceedingson chargesofmisconductorpetitions for reinstatement, and inconnectionwithsuchhearings,tomakefindingsandissuewrittendecisions.

(e) Review by Public Member. Upon a written request made inaccordancewithRule13(b)(3),apublicmembershallreviewdismissalsbytheCentral IntakeOfficeorBarCounsel. DismissalsbyBarCounselshallnotbesubjecttoreviewunderthisruleifapublicmemberhaspreviouslyreviewedadismissalbytheCentralIntakeOfficeinthesamematter.Thewrittenrequestforreviewmustbemadewithin21daysofreceiptofthedismissalnotice.Thepublicmembershall

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(1) approvethedismissalbytheCentralIntakeOfficeorBarCounsel,andtheBoardClerkshallnotifythecomplainantandtherespondentthatthemattershallremainclosed;or

(2) disapprove the dismissal by the Central Intake Office or BarCounselanddirectthatthematterbeinvestigatedfurtherbyBarCounselandreviewed in accordance with Rule 13(d). The Board Clerk shall notify thecomplainantandtherespondentofthepublicmember’sactioninwriting.

(f) PowersandDutiesofPanelChair.EachGrievanceCommissionpanelchairshallhavethefollowingpowersandduties:

(1) topresideathearingsinaccordancewithRules13(e)and14(a);

(2) to conduct prehearing conferences regarding formal charges ofmisconductorpetitionsforreinstatement;and

(3) toconsideranddecideprehearingmotions.

(g) RecusalandDisqualificationofPanelMembers.

(1) Panelmembersshallrefrainfromtakingpartinanyproceedinginwhichajudge,similarlysituated,wouldberequiredtoabstain.Ifamemberisdisqualifiedorrecused,anothermembershallbeappointedbytheBoardClerk.Noperemptorychallengesofapanelmemberareallowed.

(2) Requeststodisqualifypanelmembersshallbefiledwithin10daysafter service of the first hearing notice containing the names of the panelmembersassignedtothematter.ThechairoftheGrievanceCommissionpanelor the Commission Chair or Vice Chair shall rule on themotion. Failure totimely file a motion to disqualify shall be a factor in deciding whether themotionshouldbegranted.

(3) Groundsfordisqualificationorrecusalnotreasonablydiscoverablewithin that 10-day period may be asserted within 10 days after they werediscovered or in the exercise of reasonable diligence should have beendiscovered.

(4) A former member of a Grievance Commission panel who is amemberofthebarshallcomplywiththeprovisionsofRule1.12oftheMaine

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RulesofProfessionalConductwithrespecttoparticipatinginanyproceedingsundertheseRules.

(5) In the event that a Grievance Commission panel finds probablecause for a public disciplinary hearing or authorizes Bar Counsel to file anInformation and the respondent attorney is a member of the GrievanceCommission,FeeArbitrationCommission,orProfessionalEthicsCommission,suchmembershallbedisqualifiedfromallCommissionresponsibilitiesuntilsuchtimeasthependingmatterisconcluded.

(6) GrievanceCommissionmembersmaynottestifyvoluntarilyinanyproceedingsundertheseRulesorasanexpertwitnessinthefieldofethicsinanycourtproceeding.

(7) Grievance Commission members may not serve as probationmonitors. Members of the Grievance Commission shall be recused fromparticipating in any matter where a member of the Grievance Commissionmember’sfirmisservingasaprobationmonitor.

(h) Destruction of Confidential Documents. Upon conclusion ofservice,membersshalltakereasonablestepstodestroyalldocuments,inpaperorelectronicformat,relatingtotheproceedingsoftheBoardandsubjecttotheconfidentialityprovisionsoftheserules.

(i) ExParteCommunication.ExceptasotherwisepermittedunderRule 13(f),members of a Grievance Commission panel shall refrain from exparte meetings and communication with non-Commission membersconcerningmattersaffectingaparticularcaseorpendingproceeding.

IV. MAINEDISCIPLINARYRULES

RULE10.JURISDICTION

(a) LawyersAdmittedtoPractice.Anylawyeradmittedtopracticelaw inMaine is subject to the disciplinary jurisdiction of the Court and theBoard. This includes any formerly admitted lawyer with respect to actscommittedpriortoresignation,surrenderoflicense,suspension,disbarment,ortransfertoinactivestatus,orwithrespecttoactssubsequenttheretowhichamounttothepracticeoflaworconstituteaviolationoftheseRulesoroftheMaine Rules of Professional Conduct or any Rules or Code subsequently

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adoptedby theCourt in lieu thereof,andany lawyerspeciallyadmittedbyaMainecourtforaparticularproceeding,andanylawyernotadmittedinMainewhopracticeslaworrendersorofferstorenderanylegalservicesinMaine.

(b) FormerJudges. Aformer justiceor judgewhohasresumedthestatusofalawyerissubjecttothejurisdictionoftheBoardnotonlyforconductasalawyerbutalsoformisconductthatoccurredwhilethelawyerwasajudgeand would have been grounds for lawyer discipline, provided that themisconductwasnotthesubjectofajudicialdisciplinaryproceedingastowhichtherehasbeenafinaldeterminationbytheCourt.Misconductbyajusticeorjudgethatisnotfinallyadjudicatedbeforethejusticeorjudgeleavesofficefallswithinthedisciplinary jurisdictionoftheBoard. TheBoardshallcoordinatewith the Committee on Judicial Responsibility and Disability in anyinvestigationsorproceedingsconcerninga justiceor judgearisingoutofthesameorrelatedconduct.

(c) Incumbent Judges. Incumbent justices or judges shall not besubject to the jurisdiction of theBoard; however, if an incumbent justice orjudge is to be removed from office in the course of a judicial discipline ordisabilityproceeding,theCourtshallfirstaffordtheBoardandtherespondentanopportunitytosubmitarecommendationwhetherlawyerdisciplineshouldbeimposed,andifso,theextentthereof.

(d) PowersNotAssumed.TheseRulesshallnotbeconstruedtodenytoanycourtthepowersnecessarytomaintaincontroloveritsproceedings.

RULE11.STATUTEOFLIMITATIONS

Proceedings under these Rules shall be exempt from all statutes oflimitations.

RULE12.IMMUNITY

TheBoardofOverseersoftheBarisaquasi-judicialagentoftheCourt.TheBoard,membersoftheBoard;membersofGrievanceCommissionpanels;membersofFeeArbitrationCommissionpanels; BarCounsel,monitors, andanypersonactingontheirbehalf;andtheBoard’sstaffshallbeimmunefromsuit or claim for conduct and communications in the course of their officialduties,totheextentprovidedbystatuteandotherprovisionsoflaw.

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RULE13.DISCIPLINARYRULESOFPROCEDURE

(a) Evaluation. The Central Intake Office shall evaluate allinformationcomingtotheattentionoftheBoardbycomplaintorfromothersourcesalleginglawyermisconductorincapacity.IfthelawyerisnotsubjecttothejurisdictionoftheCourt,theCentralIntakeOfficeshallreferthemattertotheappropriateentityinanyjurisdictioninwhichthelawyerisknowntobeadmitted. If the information, if true, would not constitute misconduct orincapacity, theCentral IntakeOfficemay refer thematter to another agencywithappropriatejurisdiction,ordismissthecomplaint.Ifthelawyerissubjectto the jurisdictionof theCourtand the informationalleges facts that, if true,wouldconstitutemisconductorincapacity,theCentralIntakeOfficeshallreferthemattertoBarCounsel,whoshallconductaninvestigation.

(b) Investigation.

(1) BarCounsel shall conduct all investigations, except asotherwiserequiredbytheseRules.Upontheconclusionofaninvestigation,BarCounselshall

(A) dismisssubjecttoreviewunderRules9(e)and13(b)(3);

(B) issueastay;

(C) refer respondent to the Alternatives to Discipline Program,pursuanttoRule13(c);

(D) recommend dismissal, if a public member had previouslydisapproveddismissalunderRule9(e);

(E) recommenddismissalwithawarning,subjecttoreviewunderRule13(d);or

(F) issueareporttotheBoardClerkrecommendingthefilingofformalcharges with a Grievance Commission panel (or a Single Justice, ifauthorizedbytheseRules).

Inallcases,BarCounselshallbrieflyandgenerallystateinwritingthereasonsfortherecommendeddisposition.

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(2) NoticetoRespondent.BarCounselmaydismissamatterorissueastaywithout providing respondent an opportunity to respond. In all othercases,BarCounselshallfirstnotifytherespondentinwritingofthesubstanceofthematterandaffordhimorheranopportunitytorespond. NoticetotherespondentshallbepursuanttoRule15.

(3) Dismissal Review. If Bar Counsel dismisses the complaint, BarCounsel shall notify the complainant and the respondent of the dismissal,provide the reasons for the dismissal, and inform the complainant and therespondentthatanyreviewofthedismissalmustberequestedwithin21daysofservicepursuanttoRule15.AnyfurtherreviewshallbesubjecttoRule9(e).

(c) AlternativestoDisciplineProgram.

(1) Referral to Program. Bar Counsel may refer respondent to theAlternativestoDisciplineProgram.TheAlternativestoDisciplineProgrammayincludefeearbitration,SilentPartners,MaineAssistanceProgramforLawyersandJudges,psychologicalcounseling,continuinglegaleducation,oranyotherprogramauthorizedbytheBoardortheCourt.

(2) Factors. ThefollowingfactorsmaybeconsideredindeterminingwhethertoreferarespondenttotheAlternativestoDisciplineProgram:

(A) whether the presumptive sanction under theABA Standards forImposingLawyerSanctionsfortheallegedmisconductislikelytobenomoreseverethanreprimandoradmonition;

(B) whether participation in the program is likely to benefit therespondentandaccomplishthegoalssetforthbytheprogram;and

(C) whetheraggravatingormitigatingfactorsexist.

(3) NoticetoComplainant.BarCounselshallnotifythecomplainant,ifany, of thedecision to refer the respondent to theAlternatives toDisciplineProgram. The complainant shall have a reasonableopportunity to submit astatement offering any new information regarding the respondent. Thisstatementshallbemadepartoftherecord.

(4) Contract. Bar Counsel and the respondent shall negotiate acontract,thetermsofwhichshallbetailoredtotheindividualcircumstances.

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Ineachcase,thecontractshallbeinwritingandsignedbytherespondentandbyBarCounsel.Thecontractshallsetforththetermsandconditionsoftheplanfor the respondent and, if appropriate, shall identify the use of a practicemonitorand/orarecoverymonitorandtheresponsibilitiesofthemonitor(s).The contract shall provide for oversight of fulfillment of the contract terms.OversightincludesreportingofanyallegedbreachofcontracttoBarCounsel.Thecontractshallalsoprovidethattherespondentwillpayallcostsincurredin connection with the contract. The contract shall include a specificacknowledgment that amaterial violation of a termof the contract rendersvoidable the respondent’s participation in the program for the originalcharge(s) filed. The contract may be amended upon agreement of therespondentandBarCounsel. Ifa recoverymonitor isassigned, thecontractshall include respondent’s waiver of confidentiality so that the recoverymonitormaymakenecessarydisclosuresinordertofulfillthemonitor’sdutiesunderthecontract.

(5) EffectofNon-ParticipationintheProgram.Therespondenthastheright not to participate in the Alternatives to Discipline Program. If therespondentdoesnotparticipate,thematterwillproceedasthoughnoreferraltotheProgramhadbeenmade.

(6) Stay. After an agreement is reached, the disciplinary complaintmaybestayedpendingsuccessfulcompletionofthetermsofthecontract.

(7) Termination.

(A) FulfillmentoftheContract.BarCounselmayterminatethecontractwhenBarCounseldeterminesthattherespondenthasfulfilledthetermsofthecontract,atwhichpointthestayislifted.

(B) MaterialBreach. Amaterialbreachofthecontractshallbecauseforterminationoftherespondent’sparticipationintheprogram.Aftersuch termination, disciplinary proceedings may be resumed orreinstituted.

(d) PreliminaryReviewbyGrievanceCommissionPanel.

(1) Ifacomplaint isnotconcludedpursuant toRules13(b)(1)(A) to(C), at the conclusion of Bar Counsel’s investigation, Bar Counsel shall file aconfidentialreportwiththeBoardClerkrecommendingdispositionpursuant

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toRules 13(b)(1)(D) to (F). Bar Counsel shall also notify the parties of theproposedrecommendation.

(2) At least fourteendays in advanceof thepreliminary review, theBoard Clerk shall prepare and deliver to Bar Counsel a statement as to theexistence of any sanction record, reinstatement, or surrender of licenseinvolving the respondent. Bar Counsel shall thenmail the statement to therespondent. Within 10 days, the respondent may submit a reply as to therelevanceofthepriorsanctionrecordtothepresentcharge.Thestatementandany reply from the respondent shall beprovided to thepanel in accordancewithRule13(e)(8).Theseproceduresandfilingsshallnotbeapplicablewhentherespondentattorneyhasnopriorsanctionrecord.

(3) The Board Clerk shall assign the complaint to a three-memberpaneloftheGrievanceCommissionforaconfidentialreview. However,withtheconsentofthereviewpanelchair,thepanelmayactwiththeconcurrenceofoneattorneyandonepublicmember.Intheeventthatsuchareviewpanelis deadlocked, a new three-member panel shall be assigned to review. Theconfidentialreviewisnotopentothepublic.OnlyBarCounselandthepanelshallbepresentforthereview.

(4) Thepanelshallreviewthecomplaint,anyresponsesubmittedbythe attorney, any reply submitted by the complainant, the results of BarCounsel’sinvestigation,andBarCounsel’sreportwithrecommendationto(A)fileformalcharges,(B)dismisswithawarning,or(C)dismiss.Within10daysfollowingareview,unlessotherwiseextendedbytheChairorViceChairoftheGrievance Commission, the panel shall decide whether it approves BarCounsel’srecommendeddispositionandnotifytheBoardClerkofitsdecision.

(5) TheBoardClerkshallnotifyBarCounsel,therespondent,andtheComplainantinwritingofthepanel’sdecisiontodefer,dismiss,dismisswithawarning,orfileformalcharges.Thepanel’sdecisionisfinalandnotsubjecttofurtherreview.

(6) When a respondent is the subject of a pending disciplinaryproceedingpursuanttoRule13(g),withtheconsentofaGrievanceCommissionreview panel, Bar Counsel may bypass the preliminary review stage andcommence a disciplinary action before a Single Justice concerning anyallegationsofmisconductbythesameattorneythathavesubsequentlycometotheattentionofBarCounsel.

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(7) Prior to a hearing, a review panel may, for good cause shown,rescindthedirectivetoproceedtoapublichearingandissueadismissaloradismissalwithawarning.

(e) FormalChargesHearing.Ifamatteristoberesolvedbyaformalproceeding,BarCounselshallprepareformalchargesinwritingthatgivefairandadequatenoticeofthenatureoftheallegedmisconduct.

(1) BarCounselshallfilethechargeswiththeBoardClerk.

(2) Bar Counsel shall serve a copy of the formal charges upon therespondentinaccordancewithRule15.

(3) The respondent shall file awritten answerwith theBoardClerkand serve a copy onBar Counselwithin 21 days after service of the formalcharges,unlessthetimeisextendedbythechairoftheGrievanceCommissionpaneltowhichthematterisassignedforreviewor,inthechair’sabsence,bytheChairorViceChairoftheGrievanceCommission.Iftherespondentfailstoanswer within the prescribed time or the time as extended, the factualallegationsandtheallegedmisconductshallbedeemedadmittedasprovidedinRule20(a).BarCounselmayprovideacopyoftherespondent’sanswertothe complainant;provided,however, thatupon a requestby the respondentandsubmissionofaredactedversionoftheanswer,BarCounselmayprovidethecomplainantwithonlyaredactedversionoftheanswer.

(4) The Board Clerk shall assign the complaint to a three-memberpanelof theGrievanceCommission forhearing. Thepanelmayactwith theconcurrenceoftwomembers.However,oneattorneyandonepublicmembermayconductahearingwiththeconsentofallparties.Intheeventthatsuchatwo-memberpanelmemberisdeadlocked,anewthree-memberpanelshallbeassignedtohearthematter.

(5) TheBoardClerkshallserveanoticeofhearinguponBarCounsel,thecomplainantandtherespondent,statingthedateandplaceofhearingatleast 25 days in advance thereof. The notice of hearing shall advise therespondent of the right to be represented by a lawyer, to cross-examinewitnesses,andtopresentevidence.

(6) Atleast14daysbeforethehearing,theBoardClerkshallprepareanddelivertoBarCounselastatementastotheexistenceorabsenceofany

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sanction record, reinstatement, or surrender of license involving therespondent. Bar Counsel shall then mail the statement to the respondent.Within10days,therespondentmaysubmitareplyastotherelevanceofthepriorsanctionrecordtothepresentcharge.ThestatementandanyreplyfromtherespondentshallbeprovidedtothepanelinaccordancewithRule13(e)(8).

(7) Hearing.TheGrievanceCommissionpanelshallholdahearinginaccordancewithRule14(a)andthefollowing:

(A) The panel chair shall preside at the hearing, and shall have thepowertocontrolthecourseofproceedingsandregulatetheconductofthoseindividualsappearingascounsel,parties,orwitnesses.Thefailureof anattorneyparticipating in suchahearingas aparty, counsel for aparty, or a witness to obey an order of the chair shall constitute aviolationofRule8.4oftheMaineRulesofProfessionalConduct,andifcommittedbytherespondent,maybedulyconsideredbytheGrievanceCommissionpanelinitsdispositionofthematterbeforeit.

(B) Thehearingshallbeopentothepublic,exceptthattoprotecttheinterestsofacomplainant,witness,thirdparty,orrespondentattorney,thechairmay,uponmotionfiledwiththeBoardClerkandforgoodcauseshown, issue a protective order prohibiting the disclosure of specificinformation otherwise privileged or confidential and direct that theproceedings be conducted so as to implement that order. ThedeliberationsoftheGrievanceCommissionpanelfollowingthehearingshallnotbeopentothepublicortheparties.

(C) At the hearing, Bar Counsel and the respondent may presentevidence and may cross-examine witnesses. The respondent may berepresentedbycounsel.Thetestimonyofwitnessesshallbebyoathoraffirmationadministeredbythepanelchair.

(D) Subject to approval by the chair, hearing formalities of this rulemaybewaivedbyasigned,stipulatedagreementoftheparties. Whensuch a waiver includes or incorporates the parties’ submission of anagreedproposedsanctionorderpursuant toRule25, thatwaivershallalsocontaintherespondentattorney’ssignedwaiveroftherighttofileapetitionforreviewunderRule13(f).

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(8) BarCounselshallnotdivulgethestatementastotheexistenceorabsenceofanysanctionrecordtotheGrievanceCommissionpaneluntilafterthepanelhasmadeafindingofmisconduct,unlessthisstatementisprobativeofissuespendinginthematterbeforethepanel.

(9) Within30daysfollowingthehearing,unlessotherwiseextendedby the Chair or Vice Chair of the Grievance Commission, the GrievanceCommission panel shall issue a written report containing its findings anddecisionondismissalorsanctiontotheBoardClerk.Thereportshallsetforththe Grievance Commission panel’s findings of fact, conclusions of law, andapplicationof any relevant factorswith respect to appropriate sanctions formisconduct. TheBoard Clerk shall serve the report on respondent andBarCounsel,whoshallprovidethereporttothecomplainant.

(10) TheGrievanceCommissionpanel’sreportshallrenderoneormoreofthefollowing:

(A) Dismissal. The Grievance Commission panel shall dismiss thepetition if it finds, on the evidence and arguments presented, that nomisconductsubjecttosanctionundertheseRulesoccurred.

(B) Admonition.IfthedisciplinarypanelfindsthatmisconductsubjecttosanctionundertheseRuleshasoccurred,butthatthemisconduct isminor; that there is little or no injury to a client, the public, the legalsystem,ortheprofession;andthatthereislittlelikelihoodofrepetitionby the attorney, the panel will issue an admonition having the effectprovidedinRule21(b)(1).

(C) Reprimand.IfthedisciplinarypanelfindsthatmisconductsubjecttosanctionundertheseRuleshasoccurredandthatalloftheconditionssetforthinRule13(e)(10)(B)arenotpresent,thepanelmayreprimandtherespondentattorney.

(D) Probation. IfthedisciplinarypanelfindsthatmisconductsubjecttosanctionundertheseRuleshasoccurredandthatalloftheconditionssetforthinRule13(e)(10)(B)arenotpresent,thepanelmayimposeaperiod of probation on the respondent attorney as defined in Rule21(b)(4).

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(E) Information. Upona findingofprobablecause forsuspensionordisbarment,theGrievanceCommissionpanelshalldirectBarCounseltofileanInformationpursuanttoRule13(g).

(f) PetitionforReviewofDismissal,Admonition,Reprimand,orProbation.

(1) PetitionandAnswer.Within21daysafterdismissalordeliveryofareprimand,probation,oradmonition,arespondentattorneyorBarCounselmayfileapetitionforreviewbyaSingleJustice.ThepetitioningpartyshallfilethepetitionforreviewwiththeExecutiveClerkoftheCourt,andshallservethepetitionontheopposingparty.ThepetitionforreviewshallincludecopiesofthedisciplinarypetitionandanswerfiledwiththeGrievanceCommissionandof the panel’s decision dismissing or imposing a reprimand, probation, oradmonition,andshallcontainaconcisestatementofthegroundsuponwhichthepetitioningpartyseeksreliefandademandforthespecificreliefsought.Within21daysafterserviceofthepetitionforreview,theopposingpartyshallfileananswerwiththeExecutiveClerkoftheCourtandshalltransmitacopythereoftothepetitioningparty.

(2) PreparationofRecord.Within21daysaftertheanswerisfiled,theBoardClerkshallprepareandfilethecompleterecordoftheproceedingswiththeExecutiveClerkoftheCourtandprovidenoticethereoftotheparties. IfeitherpartybelievesthattherecordfiledbytheBoardClerkisincompleteorover-inclusive,thatpartyshallservenoticeupontheopposingpartywithin10days after the record is filed. The notice shall include specific proposalsregardingadditions toordeletions fromtherecord filedby theBoardClerk.Thepartiesshallattempttoagreeuponthecontentsoftherecord.Ifthepartiescannot agree, either party may request that the Single Justice modify thecontentsoftherecord.

(3) MotionforTrialoftheFacts.Therespondentmayfileamotionforatrialofthefactswiththepetitionforreview.If,onmotion,theCourtfindsinitsdiscretionthattherespondentattorneyoughttohaveatrialofthefacts,theSingleJusticemayorderahearingtopermittheintroductionofevidencethatdoes not appear in the record of the proceedings before the GrievanceCommissionpanelandthathasnotbeenstipulated.Respondent’sfailuretofilesuchamotionshallconstituteawaiverofanyrighttoatrialofthefacts.Withthemotion,therespondentattorneyshallalsofileadetailedstatement,inthenatureofanofferofproof,oftheevidencetobeintroducedatthehearing.That

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statement must be sufficient to permit the Single Justice to make a properdeterminationastowhetheranytrialofthefactsaspresentedinthemotionandofferofproofisappropriateand,ifso,towhatextent.Afterhearing,theSingleJusticeshallissueanappropriateorderspecifyingthefuturecourseofproceedings.TheSingleJusticemayorderthatadditionalevidencebetaken.

(4) ScopeofReview.UnlessotherwiseprovidedbyorderoftheSingleJustice,reviewofaGrievanceCommissionpanel’sdecisiontodismissorimposeareprimand,probation,oradmonitionshallbebasedupontherecordoftheproceedingsbefore thepanel. The judgment enteredafter such reviewmayaffirm,vacate,ormodifythedecisionofthepanel. AnyfindingsoffactoftheGrievanceCommissionpanel shall notbe set asideunless clearly erroneous.EitherpartymayappealtotheCourtwithin21daysfromentryofthejudgment.

(5) FindingofProbableCause. If at any stageof theproceedingsonpetitionforreview,theSingleJusticedeterminesthatthereisprobablecausethatthematterbeconcludedbysuspensionordisbarment,theSingleJusticeshalldirectBarCounseltofileanInformationandthemattershallbeconductedasanattorneydisciplineactioninaccordancewithRule13(g).

(g) AttorneyDisciplineActionsbeforetheCourt.

(1) Commencement.Anattorneydisciplineactionauthorizedpursuantto this rule shall be commenced by the filing of an Information with theExecutiveClerkoftheCourt.TheInformationshallallegethattherespondentisanattorneysubjecttotheseRulesandhasconductedherselforhimselfinamannerunworthyof anattorneyadmitted to theMaineBar for the reasonsspecified in the Information. TheBoard shall be responsible for serving theInformation, together with a summons, upon the respondent in accordancewithRule15.

(2) Procedure.AnattorneydisciplineactionshallbeheardbyaSingleJustice assigned by the Chief Justice to hear the action. The Board shall betreatedastheplaintiffandtherespondentattorneyasthedefendant;andtheactionshallbecaptioned“BoardofOverseersoftheBarv.[nameofrespondentattorney].”

(3) Discovery. BarCounsel shall furnish to the respondent attorney,withinareasonabletimeafterthefilingoftheInformation,copiesofallexhibitspresentedtotheGrievanceCommissionpanelortheBoardintheproceedings

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leadingtotheinformation.Thestenographicorelectronicrecord,asrequiredby Rule 14(a)(6), and any other matter within Bar Counsel’s possession orcontrolthatisdiscoverableunderRule26oftheMaineRulesofCivilProcedure,shallbemadeavailabletotherespondentattorneyattheofficeofBarCounselatanyreasonabletimeforinspectionandcopyingattherespondentattorney’sexpense.

(4) Judgment and Appeal. The Single Justice may enter judgmentimposing an admonition, probation, a reprimand, suspended suspension,suspension for a definite period, or disbarment, or may dismiss theInformation. Either partymay appeal to theCourtwithin21 days from theentryofthejudgment.

(5) Attorney’sStatusPendingAppeal. Pendingappeal to theCourt,ajudgmentofsuspensionordisbarmentshall,unlessstayedinwholeorinpartbytheSingleJusticeortheCourt,begivenfullforceandeffect.

RULE14.ADDITIONALRULESOFPROCEDURE

(a) ProceedingsbeforeaGrievanceCommissionPanel.

(1) NatureofProceedings.DisciplinaryproceedingsbeforeaGrievanceCommissionpanelareneithercivilnorcriminal.

(2) ProceedingsNotGovernedbyRulesofCivilProcedureandEvidence.ExceptasotherwiseprovidedintheseRules,theMaineRulesofCivilProcedureand the Maine Rules of Evidence do not apply in disciplinary proceedingsbeforeaGrievanceCommissionpanel.

(3) Evidence. Evidenceshallbeadmittedif it isthekindofevidenceupon which reasonable persons are accustomed to rely in the conduct ofserious affairs. The chair of the Grievance Commission panel may excludeirrelevantorundulyrepetitiousevidence.

(4) Burden and Standard of Proof. In disciplinary matters before aGrievanceCommissionpanel,BarCounselshallhavetheburdenofestablishingtheBoard’scasebyapreponderanceoftheevidence.Inproceedingsseekingreinstatement,thepetitionershallhave theburdenofestablishinghisorhercasebyclearandconvincingevidence.

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(5) Prehearing Conference. At the discretion of the chair of theGrievanceCommissionpaneloruponrequestofeitherparty,aconferencemaybeorderedforthepurposeofobtainingadmissionsorotherwisenarrowingtheissuespresentedbythepleadings.Theconferenceshallbeheldbeforethechairof the Grievance Commission panel or another member of the GrievanceCommissionpaneldesignatedbythechair.

(6) HearingsRecorded. TheBoardshallcauseallproceedingsbeforethepaneltobestenographicallyorelectronicallyrecordedinaformthatwillreadilypermittranscription.

(7) HearingTranscript.Ahearingtranscriptorpartialtranscriptmaybeorderedatany timeby theGrievanceCommissionpanel, respondent,BarCounsel,ortheBoard.Whenorderingatranscript,respondentorBarCounselmustprovideacopyoftherequestedtranscripttotheopposingpartyatthatparty’sownexpense.

(8) Related Pending Litigation. Upon a showing of good cause, theGrievance Commission panel may stay a disciplinary matter because ofsubstantial similarity to thematerial allegations of pending criminal or civillitigationordisciplinaryaction.Thepanelmayweighthefollowingfactors:

(A) whetherafactualdisputeexistssuchthatweighingandbalancingcontendingfactorsispeculiarlyoneforthetribunal;

(B) whetherdisciplinaryactionpriortoconclusionofthecasemighthaveanunwarrantedeffectontheoutcomeoflitigation;

(C) whetherthecomplainanthastakentheopportunitytopresentthedisputetothetribunalwheresuchactionwouldnormallybeexpected;and

(D) whether the misconduct is so blatant as to warrant immediatediscipline.

(9) Delay Caused by Complainant. None of the following shallindependentlyjustifyabatementoftheprocessingofanycomplaint:

(A) a complainant’s unwillingness or neglect to sign a complaint orprosecuteacharge,

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(B) a settlement or compromise between a complainant and therespondent,or

(C) acomplainant’sacceptanceofrestitutionfromtherespondent.

(10) EffectofTimeLimitations.ExceptasisotherwiseprovidedintheseRules,timeisnot jurisdictional. Failuretoobserveprescribedtimeintervalsmay result in sanctions against the party that has failed to observe suchprescribedtimeintervals,butdoesnotordinarily,initself,justifyabatementofanydisciplineinvestigationorproceeding.

(b) ProceedingsbeforeaSingleJusticeortheCourt.

(1) Proceedings Governed by Rules of Civil Procedure and Evidence.Exceptasotherwiseprovided,disciplinaryproceedingsbeforeaSingleJusticeortheCourtshallbegovernedbytheMaineRulesofCivilProcedureandtheMaineRulesofEvidence.ExceptasotherwiseprovidedbyRule17,MaineRulesofCivilProcedure12(c),13,14,16,26to37,and56shallnotapply.

(2) PrehearingConference. A Single Justiceor theCourtmayhold aprehearing conference with the attorneys for the parties to consider suchmattersasmayaidinthedispositionoftheactionandmaybywrittenorderlimittheissuestobetried.

(3) De Novo. Proceedings before a Single Justice or the Court aresubjecttoadenovostandardofreview.

(4) Burden and Standard of Proof. In disciplinary matters before aSingleJusticeortheCourt,theBoardshallhavetheburdenofestablishingitscasebyapreponderanceoftheevidence.

(5) FailuretoComplyWithanAwardoftheFeeArbitrationCommission.WhenamatterinvolvinganawardofapaneloftheFeeArbitrationCommissionisreferredtoBarCounselunderRule7(g)becauseoftheattorney’sfailuretomake an awarded refund to the petitioner within 30 days of receipt of thearbitrationaward,theBoard,uponrequestofBarCounselandafteraffordingtheattorneyanopportunitytorespond inwriting,mayreferthemattertoaSingleJusticeortheCourtforappropriatedisciplinaryaction.

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(c) Complaints Against Bar Counsel, Attorney Commission andBoard Members, or the Board Clerk. If a complaint is filed against BarCounsel, the Board Clerk, or attorney Commission or Board members, themattershallproceedinaccordancewiththeseRulesexceptthat:

(1) IftherespondentisBarCounselortheBoardClerk,theChairoftheBoardshallappointSpecialCounselwhoshallexerciseindependentauthoritytoinvestigatethecomplaint,and,ifnecessaryassignanadhocpaneltothecase.

(2) If therespondentisamemberoftheGrievanceCommission,FeeArbitrationCommission,orProfessionalEthicsCommission,theofficeofBarCounselshallinvestigatethecomplaint,and,ifnecessary,theChairoftheBoardshallassignanadhocpaneltothecase.

(3) IftherespondentisamemberoftheBoard,theChiefJusticeoftheCourtshallappointSpecialCounselwhoshallexerciseindependentauthoritytoinvestigatethecomplaint,andifnecessary,assignanadhocpaneltothecase.

(4) SpecialCounselshallnotreceivecompensationforservicesunlessthe Board has contracted in advance with that Special Counsel to receivecompensation. SpecialCounselmayseekreimbursementfromtheBoardforthepaymentofreasonableexpensesandforinvestigative,administrativeandlegal support. The Board shall have discretion to determine the amount offinancial,investigative,administrative,andlegalassistancetobeprovided.

(d) Cameras andAudio Recordings.Cameras and audio recordingdevicesareallowedinpublicdisciplinaryhearings,subjecttotheregulationsandlimitationscontainedintheCourt’sCamerasandAudioRecordingintheCourts Administrative Order, and provided any person or organizationintendingtorecordorphotographsuchproceedingsshallfileanoticeofintentto do sowith the Board Clerk or the Clerk of the Court in advance of suchhearing.

RULE15.SERVICEANDNOTICE

Serviceofapetition,orofanyotherpapersornoticesrequiredbytheseRules,shallbesufficientifmadebyfirstclassmailaddressedtotheattorney’sofficeand/orresidenceaddressasprovidedbytheattorneyintheregistrationmaterialsasrequiredbyRule4. Serviceiscompleteuponmailing,exceptasotherwise provided by these Rules. The Board may, in its discretion, use

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additional methods of service and notice (e.g., e-mail or telephonecommunication)uponlearningthatpreviousattemptsatprovidingserviceornoticeinthemannerrequiredbythisrulehavefailed.

RULE16.SUBPOENAPOWER

(a) InvestigatorySubpoenas.Beforeformalchargeshavebeenfiled,Bar Counsel may compel by subpoena the attendance of witnesses or therespondent,andtheproductionofpertinentbooks,papers,anddocuments,inaccordancewithRule45oftheMaineRulesofCivilProcedure.

(b) Subpoenas for Hearing. After formal charges are filed, BarCounselorrespondentmay,inaccordancewithRule45oftheMaineRulesofCivil Procedure, compel by subpoena the attendance of witnesses or therespondentandtheproductionofpertinentbooks,papers,anddocumentsatahearingundertheseRules.

(c) Enforcement of Subpoenas. The Court may, upon properapplication, enforce the attendance and testimony of any witnesses or therespondentandtheproductionofanydocumentssubpoenaedunderthisrule.

(d) QuashingSubpoena.Anypersontowhomasubpoenahasbeenissuedunderthisrulemayobjecttothesubpoena,ormaymovetoquashormodify the subpoena, as set forth in Rule 45 of the Maine Rules of CivilProcedure, and may appear through legal counsel for that purpose. Anyobjection to asubpoenaso issued,oranymotion toquashormodifysuchasubpoena,shallbeheardanddeterminedbythechairoftheCommissionpanelbeforewhichthematterispendingorbythecourtwhereinenforcementofthesubpoenaisbeingsought.

(e) WitnessesandFees.SubpoenaandwitnessfeesandmileageshallbethesameasthoseprovidedforproceedingsintheCourt.

(f) SubpoenaPursuanttoLawofAnotherJurisdiction.WheneverasubpoenaissoughtinMainepursuanttothelawofanotherjurisdictionforuseinlawyerdisciplineproceedings,andwheretheissuanceofthesubpoenahasbeendulyapprovedunderthelawoftheotherjurisdiction,theChair(or,intheChair’sabsence,theViceChair)oftheCommission,upongoodcauseshown,mayissueasubpoenainaccordancewithRule45oftheMaineRulesofCivilProcedure.

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RULE17.DISCOVERY

(a) PublicProceedingsbeforetheGrievanceCommission.

(1) Scope. Within21days following therespondent’sanswer toBarCounsel’sformalcharges,BarCounselandtherespondentshall(A)exchangethe names and addresses of all persons having knowledge of relevant facts;(B)identifywhichpersonsarereasonablyanticipatedtobecalledaswitnesses;and (C) exchange all documents Bar Counsel or respondent reasonablyanticipatewillbeintroducedattrialorhearing.

(2) Resolution of Disputes. The chair of the Grievance Commissionpanelshallresolvebyorderalldisputesconcerningdiscovery. Alldiscoveryordersareinterlocutoryandmaynotbeappealedpriortotheentryofthefinalorder.

(3) Additional Discovery. Upon good cause shown, the chair of theGrievanceCommissionpanelmayorderadditionaldiscovery.

(b) DisciplinaryProceedingsbeforeaSingleJustice.

(1) Scope. Within 21 days after filing of an Answer to the Board’sInformation with the Executive Clerk of the Court, Bar Counsel and therespondentshall(A)exchangethenamesandaddressesofallpersonshavingknowledge of relevant facts; (B) identify which persons are reasonablyanticipated to be called as witnesses; and (C) exchange all documents BarCounsel or respondent reasonably anticipates will be introduced at trial orhearing.

(2) ExhibitsandTranscripts.IntheeventthataformalchargeshearingwasheldbeforetheGrievanceCommissionpursuanttoRule13(e),BarCounselandtherespondentshallmakeavailabletooneanothercopiesofallexhibitspresented to theGrievance Commission hearing panel. The transcript fromproceedings before the Grievance Commission hearing panel and any othermatterwithinBarCounsel’sortherespondent’spossessionorcontrolthatisdiscoverableunderMaineRulesofCivilProcedure26,shallbemadeavailabletotheotherpartyatanyreasonabletimeforinspectionandduplicationatthatparty’sexpense.

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(3) ResolutionofDisputes. A Single Justice shall resolvebyorder alldisputesconcerningdiscovery.

(4) AdditionalDiscovery. Upongood cause shown, theSingle JusticemayorderadditionaldiscoverypursuanttoMaineRulesofCivilProcedure26to37.

RULE18.ACCESSTODISCIPLINARYINFORMATION

(a) Confidentiality. Prior to service of Bar Counsel’s disciplinarypetitionoranInformationupontherespondent,thedisciplinaryproceedingisconfidential, except that the pendency, subject matter, and status of aninvestigation by Bar Counsel or a Grievance Commission panel may bedisclosedbyBarCounselif

(1) respondenthaswaivedconfidentiality;

(2) the proceeding is based upon allegations that include therespondent’sconvictionofacrime;

(3) the proceeding is based upon allegations that have becomegenerallyknowntothepublic;or

(4) there is a need to notify another person or entity, in order toprotectthepublic,theadministrationofjustice,orthelegalprofession.

(b) PublicInformation.AllfilingssubmittedtotheBoardClerkortheExecutive Clerk of the Court shall be available to the public after adeterminationthatprobablecauseexiststobelievethatmisconductoccurredand the filing and service of formal charges, unless the complainant orrespondent obtains a protective order for specific testimony, documents, orrecords.

(c) PublicProceedings. Upon serviceofBarCounsel’sdisciplinarypetitionor informationupontherespondent,theproceedingispublicexceptfor:

(1) deliberationsoftheGrievanceCommissionpanel,ortheCourt;and

(2) information with respect to which the Grievance Commissionpanel,ortheCourthasissuedaprotectiveorder.

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(d) Protective Orders. To protect the interests of a complainant,witness, third party, or respondent, the Grievance Commission panel, theBoard, a Single Justice, or the Court may, upon motion and for good causeshown, issue a protective order prohibiting the disclosure of specificinformation and directing that the proceedings be conducted so as toimplementtheorder.

(e) DisclosureofNonpublicInformation.TheCourt,aSingleJustice,theBoard,GrievanceCommissionpanels,andBarCounselmaynotdiscloseanynonpublic information, other than that authorized fordisclosureunderRule18(a)and(b),unlesspursuanttooneofthefollowing:

(1) awrittenauthorizationfromtherespondent;

(2) anorderofacourthavingappropriatejurisdiction;or

(3) otherlawfulauthoritytocompeladisclosure.

(f) Release of Confidential Information to Authorized Entities.Theprovisionsof thisruleshall notbe construed todenyaccess torelevantinformation to authorized entities, includingmembers of theGrievance, FeeArbitration or Professional Ethics Commissions, agencies investigating thequalifications of judicial candidates, jurisdictions investigating qualificationsforadmissiontopracticeoflaworconsideringreciprocaldisciplinaryaction,law enforcement agencies investigating qualifications for governmentemployment,theABANationalLawyerRegulatoryDataBank,theCommitteeon Judicial Responsibility and Disability, the Maine Assistance Program forLawyersandJudges,ortheLawyers’FundforClientProtection.

(g) Release to Law Enforcement and the Maine AssistanceProgram.TheprovisionsofthissectionshallnotbeconstruedtopreventBarCounsel or any other person from notifying (1) the appropriate lawenforcement agency of complaints that accuse the respondent attorney ofconduct in violation of a criminal law, or (2) the Director of the MaineAssistanceProgramforLawyersandJudges,ofthenameofanylawyerwhomBarCounseldeterminesshouldbecontactedconcerningthatprogram.

(h) ReleasetoInvestigatorsorProsecutors.Theprovisionsofthissection shall not be construed to prohibit Bar Counsel’s use of relevant

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informationintheinvestigationorprosecutionofcomplaintspursuanttoRules2or13.

(i) File Retention. The Board shall retain all files. Files may beretainedinadigitalformat.

(j) DutyofOfficialsandEmployeesoftheBoard.Allofficialsandemployees of the Board in a proceeding under these Rules shall conductthemselves so as to maintain the confidentiality mandated by this rule.However, any person, including but not limited to members of the Board,Grievance Commission and Board staff,may notify governmental officials ofactualorthreatenedcriminalconductbyanyindividual.

(k) CopyingandAttestationFees.CopyingandattestationfeesshallbethesameasthoseforproceedingsintheCourt.

RULE19.DISSEMINATIONOFDISCIPLINARYINFORMATION

(a) PublicNotice.

(1) The Board Clerk shall issue, electronically or otherwise, a newsrelease to general media outlets throughout Maine to effect the notice ofdisciplinarydisbarment,suspension,probation,orreinstatementdecisionsandorders.

(2) TheBoardClerkshallpublishhearingdecisionsandordersissuedbytheCourt,theSingleJustice,andtheGrievanceCommissionontheBoard’swebsite.

(b) NoticetoDisciplineAuthoritiesandOtherEntities.TheBoardClerkshalltransmit,electronicallyorotherwise,noticeofallpublicdisciplinaryand non-disciplinary sanctions, reinstatement decisions and orders, andsurrendersoflicensetomembersoftheBoardandGrievanceCommission,andtomembersofthefollowing:

(1) allState,Federal,andTribalCourtsinMaine;

(2) theattorneydisciplinaryauthorityinanyotherjurisdictionknowntotheBoardinwhichtheattorneyislicensedtopractice;

(3) theMaineStateBarAssociation;

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(4) theAmericanBarAssociation’sNationalLawyerRegulatoryDataBank;and

(5) othersuchorganizationasdeterminedbytheBoard.

RULE20.FAILURETOANSWER/FAILURETOAPPEAR.

(a) FailuretoAnswer.Failuretoanswerchargesfiledshallconstituteanadmissionbytherespondentofthefactualallegationsandthemisconductallegedintheformalcharges.

(b) FailuretoAppear.Iftherespondentfails,withoutgoodcause,toappearatadisciplinaryproceeding,therespondentshallbedeemedtohaveadmittedthefactualandmisconductallegationsthatweretobethesubjectofsuch appearance, and/or to have waived objection to any motion orrecommendations to be considered at such appearance. The GrievanceCommission panel or Boardmay not, absent good cause, continue or delayproceedingsduetotherespondent’sfailuretoappear.

RULE21.SANCTIONS

(a) GroundsforDiscipline. Itshallbeagroundfordisciplineforalawyerto:

(1) violate or attempt to violate these Rules, the Maine Rules ofProfessional Conduct, or any other rules of this jurisdiction regardingprofessionalconductoflawyers;

(2) engage in conduct violating applicable rules of professionalconductofanotherjurisdiction;

(3) willfully violate a valid order of the Court, a Single Justice, theBoard,oraGrievanceCommissionpanel imposingdiscipline;willfully fail tocomplywithasubpoenavalidlyissuedundertheseRules;orknowinglyfailtorespondtoalawfuldemandfromadisciplinaryauthority,exceptthatthisruledoesnotrequiredisclosureofinformationotherwiseprotectedbyapplicablerulesrelatingtoconfidentiality.

(b) TypesofSanctions.Misconductshallbegroundsforoneormoreofthefollowingsanctions:

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(1) Admonition,apublicnon-disciplinarysanction,maybeimposedbythe Court, a Single Justice, or a Grievance Commission panel after hearingpursuanttoRule13(e)and(g).Admonitionsaretobeimposedonlyincasesofminormisconduct,whenthereislittleornoinjurytoaclient,thepublic,thelegalsystem,ortheprofession,andwhenthereislittlelikelihoodofrepetitionbythelawyer.

(2) Disbarment,apublicdisciplinarysanction,maybeimposedonlybytheCourtoraSingleJusticepursuanttoRule13(f)and(g).

(3) Dismissalwithawarning,aprivatenon-disciplinarysanction,maybe imposed by a Grievance Commission panel after a preliminary reviewpursuanttoRule13(d).Dismissalswithawarningaretobeimposedonlyincases ofminormisconduct, when there is little or no injury to a client, thepublic,thelegalsystem,ortheprofession,andwhenthereislittlelikelihoodofrepetitionbythelawyer.

(4) Probation, a public disciplinary sanction, may be imposed by aSingle Justice, theCourt, or a GrievanceCommission panel pursuant toRule13(e)or(g).Probationdurationsshallbeforaperiodnotinexcessoftwoyears;provided,however,thatprobationmayberenewedforanadditionaltwo-yearperiodbyconsentorafterahearingtodetermineifthereisacontinuedneedfor supervision. The conditions of probation shall be stated in writing.Probationshallbeusedonlyincaseswherethereis little likelihoodthattherespondentwill harm the public during the period of rehabilitation and theconditions of probation can be adequately supervised. Probation shall beterminateduponthefilingofanaffidavitbyrespondentshowingcompliancewith the conditions and an affidavit by the probation monitor stating thatprobationisnolongernecessaryandsummarizingthebasisforthatstatement.A Single Justice or theCourtmay impose other limitations on the nature orextentoftherespondent’sfuturepractice.

(5) Reprimand, a public disciplinary sanction,may be imposed by aSingle Justice, theCourt, or a GrievanceCommission panel pursuant toRule13(e)or(g).

(6) Suspension,apublicdisciplinarysanction,maybeimposedonlybyaSingleJusticeortheCourtpursuanttoRule13(g).Suspensiondurationsshallbeforanappropriatefixedperiodoftimenotinexcessofthreeyears.

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Sanctions issued under this rule shall be provided to tribunals in anysubsequent proceedings in which the respondent has been found to havecommittedmisconductasevidenceofpriormisconductbearingupontheissueofthepropersanctiontobeimposedinthesubsequentproceeding.

(c) FactorstobeConsideredinImposingSanctions.Inimposingasanctionafterafindingoflawyermisconduct,theSingleJustice,theCourt,orthe Grievance Commission panel shall consider the following factors, asenumeratedintheABAStandardsforImposingLawyerSanctions:

(1) whether the lawyer has violated a duty owed to a client, to thepublic,tothelegalsystem,ortotheprofession;

(2) whetherthelawyeractedintentionally,knowingly,ornegligently;

(3) theamountoftheactualorpotentialinjurycausedbythelawyer’smisconduct;and

(4) theexistenceofanyaggravatingormitigatingfactors.

(d) PublicNatureofSanctions.DispositionoflawyerdisciplineshallbepublicincasesbeforeaSingleJustice,theCourt,oraGrievanceCommissionpanel.TheSingleJustice,theCourt,ortheGrievanceCommissionpanelshallissueawrittenopinionsettingforthitsjustificationforimposingthesanctioninthatparticularcase.

RULE22.REIMBURSEMENTOFCOSTS

(a) Costs. Upon order of a Single Justice, the Court, or a GrievanceCommissionpanel,oruponstipulation,thefollowingcostsmaybeimposedontherespondent:

(1) assessment of the costs of the proceedings, including, but notlimitedto,thecostsofinvestigations,serviceofprocess,witnessfees,andcourtreporterservices,inanycasewheredisciplineisimposed;and

(2) disgorgementofallorpartof the lawyer’sor law firm’s fee, andreimbursementtotheLawyers’FundforClientProtection.

(b) FailuretoPay. Any lawyerwho fails topaycostsandexpenseswhenorderedtodosoorwhofailstocomplywiththetermsofanagreedupon

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periodic payment planmay be served pursuant to Rule 15with a notice ofdelinquencyandimminentsuspensionfromthepracticeoflaw.Anyattorneywho fails to comply with this notice within 30 days of service shall beadministrativelysuspendedby theBoard. TheBoardshallprovidenoticeofanyadministrativesuspensionstothesuspendedattorneyinaccordancewiththerequirementsofRule15. Thisnoticeshallnotbeeffectiveuntil30daysafterthedateofmailing.AlawyersuspendedpursuanttothisruleshallcomplywiththenoticerequirementsinRule30.Uponreceiptofalloutstandingcostsandexpenses,thesuspensionmaybecancelledbytheBoard.

(c) Waiver. In any case in which costs and expenses are soughtpursuanttothisrule,theassessmentofanyorallsuchcostsandexpensesmaybewaivedbytheBoardortheCourtwhenitservestheinterestofjusticetodoso.

RULE23.LAWYERSFOUNDGUILTYOFACRIME

(a) Notification. A Maine lawyer found guilty of any crime shall,within30daysafterthejudgment,transmitacertifiedcopyofthejudgmentofconvictiontocounselforthelawyerdisciplinaryagencyofeveryjurisdictioninwhich the lawyer is admitted to practice. The lawyer shall also submit acertifiedcopyofthejudgmentofconvictionwithregistrationmaterialstotheprofessional licensingagencyofevery jurisdictioninwhichthelawyerseeksadmissiontopractice,followingentryofthejudgment.

(b) Determinationof “Serious Crime.” Upon being advised that alawyersubjecttothedisciplinaryjurisdictionoftheCourthasbeenfoundguiltyof any crime, Bar Counsel shall determine whether the crime constitutes a“serious crime”warranting immediate interim suspension. If the crime is a“seriouscrime,”BarCounselmayprepareanorderforinterimsuspensionandforwardittotheCourtandtherespondentwithproofofthefindingofguilt.Bar Counsel shall in addition file formal charges against the respondentpredicateduponthefindingofguilt.Onorbeforethedateestablishedfortheentry of the order of interim suspension, the lawyer may assert anyjurisdictionaldeficiencythatestablishesthatthesuspensionmaynotproperlybeordered,suchasthatthecrimedidnotconstitutea“seriouscrime”orthatthe lawyer is not the individual found guilty. If the crime is not a “seriouscrime,”BarCounselshallprocessthematterinthesamemannerasanyotherinformationcomingtotheattentionoftheBoard.

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(c) Definitionof“SeriousCrime.”A“seriouscrime”isanyfelonyorany lesser crime that reflects adversely on the lawyer’s honesty,trustworthiness, or fitness as a lawyer in other respects, or any crime anecessaryelementofwhich,asdeterminedby thestatutoryorcommon lawdefinitionofthecrime,involvesinterferencewiththeadministrationofjustice,false swearing, misrepresentation, fraud, deceit, bribery, extortion,misappropriation,theft,oranattempt,conspiracyorsolicitationofanothertocommita“seriouscrime.”

(d) ImmediateInterimSuspension.TheCourthasexclusivepowertoplacealawyeroninterimsuspension.

(1) Imposition. TheCourtmayplacea lawyeroninterimsuspensionimmediately upon proof that the lawyer has been found guilty of a seriouscrime,regardlessofthependencyofanyappeal.Intheinterestofjustice,theCourt may elect not to impose an interim suspension upon a showing ofextraordinary circumstances, after affording Bar Counsel notice and anopportunitytobeheard.

(2) Termination. The Court has exclusive power to terminate aninterim suspension. In the interest of justice, the Court may terminate aninterimsuspensionatanytimeuponashowingofextraordinarycircumstances,afteraffordingBarCounselnoticeandanopportunitytobeheard.

(e) ConvictionasConclusiveEvidence.Forpurposesofahearingonformal charges filed as a result of a finding of guilt, a certified copy of aconviction constitutes conclusive evidence that the lawyer committed thecrime,andthesoleissueinanysuchhearingshallbethenatureandextentofthedisciplinetobeimposed.

(f) Automatic Reinstatement from Interim Suspension uponReversal of Finding of Guilt or Conviction. If a lawyer suspended solelyundertheprovisionsofRule23(d)demonstratesthattheunderlyingfindingofguilt or conviction has been reversed or vacated, the order for interimsuspension shall be vacated and the lawyer placed on active status. Thevacatingoftheinterimsuspensionwillnotautomaticallyterminateanyformalproceedingthenpendingagainstthelawyer,thedispositionofwhichshallbedeterminedbytheGrievanceCommissionpanelandtheBoardonthebasisoftheavailableevidenceotherthanthefindingofguiltorconviction.

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(g) NoticetoClientsandOthersofInterimSuspension.AninterimsuspensionunderthisruleshallconstituteasuspensionofthelawyerforthepurposeofRule31.

RULE24.INTERIMSUSPENSION

(a) TransmittalofEvidence.Uponreceiptofevidencedemonstratingthat a lawyer subject to the disciplinary jurisdiction of the Court (1) hascommitted a violation of the Maine Rules of Professional Conduct or isincapacitated; and (2)by reason of that violation or incapacity threatensimminentinjurytoaclient,tothepublic,ortotheadministrationofjustice,BarCounsel,withtheapprovaloftheBoard,shall

(1) transmit the evidence to the Court togetherwith a petition andproposedorderforinterimsuspension;

(2) certifytotheCourtinaccordancewithM.R.Civ.P.65(a)thatBarCounsel has contemporaneously made a reasonable attempt to provide thelawyerwithnoticepursuanttoRule15 thataproposedorderfor immediateinterimsuspensionhasbeentransmittedtotheCourt;and

Inexigentcircumstances,BarCounselmayapplyfortheInterimSuspensiononanexpartebasis.

(b) Immediate Interim Suspension. Upon examination of theevidencetransmittedtotheCourtbyBarCounselandofrebuttalevidence, ifany,whichthelawyerhastransmittedtotheCourtpriortotheCourt’sruling,theCourtmayenteranorderimmediatelysuspendingthelawyer,pendingfinaldispositionofadisciplinaryproceedingpredicatedupontheconductcausingtheharm,ormayordersuchotheractionasitdeemsappropriate.Intheeventtheorderisentered,theCourtmayappointareceiverpursuanttoRule32toprotectclients’interests.

(c) Notice to Clients. A lawyer suspended pursuant to Rule 24(b)shallcomplywiththenoticerequirementsinRule31.

(d) Motion for Dissolution of Interim Suspension. On two days’noticetoBarCounsel,alawyersuspendedpursuanttoRule24(b)mayappearandmovefordissolutionormodificationoftheorderofsuspension,andinthat

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eventthemotionshallbeheardanddeterminedasexpeditiouslyastheendsofjusticerequire.

RULE25.DISCIPLINEBYCONSENTANDSURRENDEROFLICENSE

(a) Approval of Tendered Admission. A lawyer against whomformal charges have been filed may tender to Bar Counsel a conditionaladmission to the petition or to a particular count thereof in exchange for astatedsanction. TheGrievanceCommissionpanelmayapproveorrejectthetendered conditional admission, subject to final approval or rejection by aSingleJusticeortheCourtifthestatedformofdisciplineincludesdisbarment,suspension, or surrender. If a Single Justice, the Court, or the GrievanceCommission panel reject the sanction, the admission and any affidavit(s)submitted pursuant to Rule 25(b) and (d) cannot be used against therespondentinanysubsequentproceedings.

(b) AffidavitofConsent.AlawyerwhoconsentstoastatedsanctionshallpresenttotheGrievanceCommissionpanelanaffidavitstatingthatthelawyerconsentstothesanctionandthat

(1) the consent is freely andvoluntarily rendered, the lawyer is notbeing subjected to coercion or duress, and the lawyer is fully aware of theimplicationsofsubmittingtheconsent;

(2) thelawyerisawarethatthereispresentlypendinganinvestigationinto,orproceedinginvolving,allegationsthatthereexistgroundsforsanction,thenatureofwhichshallbespecificallysetforth;

(3) thelawyeracknowledgesthatthematerialfactssoallegedaretrueorcouldbeproven;and

(4) thelawyeracknowledgesthatsufficientevidenceexiststosupportafindingofmisconductandtheimpositionofthestatedsanction.

(c) OrderofDiscipline.Ifthesanctionbyconsentisanadmonition,probation,orreprimand,theBoardClerkshallentertheorder.Ifthesanctionisdisbarmentorsuspension,reviewforapprovalofthesanctionmaybesoughtas permitted by these Rules. In all other instances in which any proposedsanction hasbeenapproved, theBoard Clerk shall file the affidavitwith the

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Court,anduponapprovaltheCourtshallentertheordersanctioningthelawyeronconsent.

(d) SurrenderofLicense.

(1) An attorney who is the subject of an investigation under theseRulesmaysubmittotheBoardaletterofsurrender,supportedbyanaffidavitshowingthat

(A) thesurrenderisfreelyandvoluntarilyrendered,theattorneyisnotbeingsubjectedtocoercionorduress,andtheattorneyisfullyawareoftheimplicationsofsurrender;

(B) the attorney is aware that there is presently pending aninvestigation into allegations of misconduct, the nature of whichallegationstheattorneyshallspecificallysetforth;and

(C) the attorney acknowledges that the material facts, or specifiedmaterialportionsofthem,underlyingtheallegationsaretrueorcouldbeproven.

(2) Uponreceiptofsuchsurrender,theBoardshallfileit,togetherwithits recommendation thereon,with theCourt,whichafterhearing shall entersuchorderasitdeemsappropriate.

(3) Any order accepting such surrender shall be a matter of publicrecord unless otherwise ordered by the Court; but the supporting affidavitrequiredundertheprovisionsofsubsection(1)shallbeimpounded,whetherornotsuchsurrenderisaccepted,andshallnotbemadeavailableforuseinanyotherproceedingunlessotherwiseorderedbytheCourt.

(4) Anattorneywhohassurrenderedhisorherlicenseunderthisrulemaybereinstatedonlyuponpetition filed in theCourtafterat least5yearsfromtheeffectivedateofthesurrender,unlessotherwiseorderedbytheCourt.

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RULE26.RECIPROCALDISCIPLINE

(a) Notification.Uponbeingdisciplinedortheequivalentinanotherjurisdiction,alawyeradmittedtopracticeinMaineshallpromptlyinformBarCounseloftheaction.

(b) CertifiedOrder.Uponnotificationfromanysourcethatalawyerwithin the jurisdictionof theBoardhasbeendisciplinedor its equivalent inanotherjurisdiction,BarCounselshallobtainacertifiedcopyoftheorderandfileitwiththeExecutiveClerkoftheLawCourt.

(c) NoticeServedUponRespondent.UponreceiptofacertifiedcopyofanorderdemonstratingthatalawyeradmittedtopracticeinMainehasbeendisciplined or its equivalent in another jurisdiction, the Chief Justice of theCourtshalldesignateaSingleJusticeforthwithandissueanoticedirectedtothelawyerandtoBarCounselcontaining

(1) acopyoftheorderfromtheotherjurisdiction;and

(2) anorderdirectingthatthelawyerorBarCounselinformtheCourt,within30days fromserviceof thenotice,ofanyclaimby the lawyerorBarCounsel predicated upon the grounds set forth in Rule 26(e), that theimpositionofasubstantially identicalorderinMainewouldbeunwarrantedandthereasonsforthatclaim.

(d) EffectofStayinOtherJurisdiction.Intheeventtheorderintheotherjurisdictionhasbeenstayedthere,anyreciprocalorderinMaineshallbedeferreduntilthestayexpires.

(e) DisciplinetobeImposed. Upontheexpirationof30daysfromserviceofthenoticepursuanttotheprovisionsofRule26(c),theCourtshallimpose a substantially identical order unless Bar Counsel or the lawyerdemonstrates, or theCourt finds that it clearly appearsupon the faceof therecordfromwhichtheorderispredicated,that

(1) theprocedurewassolackinginnoticeoropportunitytobeheardastoconstituteadeprivationofdueprocess;or

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(2) therewassuchinfirmityofproofestablishingthemisconductastogive rise to the clear conviction that theCourt couldnot, consistentwith itsduty,acceptasfinaltheconclusiononthatsubject;or

(3) the discipline imposed would result in grave injustice or beoffensivetoMainepublicpolicy;or

(4) thereasonfortheoriginalordernolongerexists.

If theCourtdetermines thatanyof thoseelementsexists, itmayentersuchotherorderasitdeemsappropriate.Theburdenisonthepartyseekingdifferentdiscipline inMaine todemonstrate that the impositionof thesamedisciplineisnotappropriate.

(f) Conclusiveness ofAdjudication inOther Jurisdictions. In allotheraspects,afinaladjudicationinanotherjurisdictionthatalawyer,whetheror not admitted in that jurisdiction, has been guilty of misconduct ordeterminedtobeincapacitatedshallestablishconclusivelythemisconductortheincapacityforpurposesofadisciplinaryproceedinginMaine.

RULE27.PROCEEDINGSINWHICHALAWYERISDETERMINEDINCAPACITATED

(a) Incapacity. In any instance where an attorney has beendetermined to be incapacitated, including any proceeding in which (1) theattorneyhasbeenjudiciallydeclaredincompetent;(2)theattorneyhasbeenacquitted of a crime by reason of mental illness; (3) the attorney has beencommittedtoamentalhealthhospitalafterajudicialhearing;(4)theattorneyhas admitted herself or himself to a mental health hospital for acute care;(5)theattorneyhasadmittedherselforhimselftoasubstanceabusefacilityforextended treatment and no proxy has been appointed to protect clientinterests; or (6) the attorney has been placed by court order underguardianshiporconservatorship,theGrievanceCommission,onreferencefromany courtoron its ownmotion,may, in itsdiscretion, give the attorney theopportunitytosurrenderortoagreetoasuspension.ASingleJustice,uponBarCounsel’spetitionoruponitsownmotion,mayenteranordertoshowcausewhytheattorneyshouldnotbesuspendedfromthepracticeoflaw.Acopyofsuch order shall be served upon the attorney, the attorney’s personalrepresentative,ifany,andthedirectorofthementalhealthhospitaltowhich

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the attorney is committed, if any, in suchmanner as the Single Justicemaydirect.

(b) InabilitytoProperlyDefend.Ifduringadisciplinaryproceedingthe respondent claims to be incapacitated, and the respondent’s incapacitymakes it impossible to present an adequate defense, the Single Justice mayimmediatelysuspendthelawyerpendingdeterminationoftheincapacity.

(1) If theSingleJusticedeterminestheclaimof inabilitytodefendisvalid, the disciplinary proceeding shall be deferred and the respondentretained on interim suspension until the Court subsequently considers apetition to terminate the suspension. If the Single Justice determines thepetitionshallbegranted,theSingleJusticeshallalsodeterminethedispositionoftheinterrupteddisciplinaryproceedings.

(2) IftheSingleJusticedeterminestheclaimofincapacitytodefendtobeinvalid,thedisciplinaryproceedingshallresumeandtherespondentmayimmediatelybeplacedoninterimsuspensionpendingthefinaldispositionofthematter.

(c) ProceedingsWhereanAttorneyIsAllegedtoBeIncapacitated.

(1) Bar Counsel may, after investigation, seek a determination by aGrievanceCommissionpanel, afterhearing, thatanattorney is incapacitatedfromcontinuingpractice. Upon so finding, theGrievanceCommissionpanelshall promptly petition the Court to determine whether the attorney is soincapacitated.TheChiefJusticeshalldesignateaSingleJusticewho,afterduenoticeandhearing,shallissueanyordersnecessaryorappropriatetoprotectthepublicinterest,includinganordersuspendingtheattorney.

(2) TheChairoftheBoard,orintheabsenceoftheChair,theViceChair,upon an application by Bar Counsel alleging such incapacity of an attorneytogetherwithanallegationthatthecontinuedpracticeofsuchattorneyposesa substantial threat of irreparable harm to the public,may direct that suchpetitionseekingthesuspensionoftheattorneybefileddirectlywiththeCourt.TheChiefJusticeshalldesignateaSingleJusticewhoshallordersuchactionasitdeemsappropriate,includinganexpeditedhearing.TheSingleJusticemayenter an interim order suspending the attorney pending such expeditedhearing.WithnoticetoBarCounsel,theattorneymaymovefordissolutionormodificationoftheinterimorderofsuspension.

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(d) Reinstatement.

(1) Generally. No respondent suspended hereunder may resumeactivestatusexceptbyorderoftheCourt.

(2) Petition.Anyrespondentsuspendedhereundershallbeentitledtopetition for transfer to active status once a year, or at whatever shorterintervalstheCourtmaydirectintheorderofsuspensionoranymodificationsthereof.

(3) Examination. Upon the filing of a petition for transfer to activestatus, the Courtmay take or directwhatever action it deems necessary orproper,includingadirectionforanexaminationoftherespondentbyqualifiedmedicalexpertsdesignatedbytheCourt.Initsdiscretion,theCourtmaydirectthattheexpenseoftheexaminationbepaidbytherespondent.

(4) WaiverofDoctor-PatientPrivilege.Withthefilingofapetitionforreinstatementtoactivestatus,therespondentshalldisclosethenameofeachpsychiatrist,psychologist(orothermentalhealthprofessional),physician,andhospital or other institution bywhomor inwhich the respondent has beenexaminedortreatedsincethesuspension.TherespondentshallfurnishtotheCourtwrittenconsenttothereleaseofinformationandrecordsrelatingtotheincapacityifrequestedbytheCourtorcourt-appointedmedicalexperts.

(5) LearninginLaw;BarExamination.TheCourtmayalsodirectthattherespondentestablishproofofcompetenceandlearninginlaw.

(A) The Court may, before granting the petition, require that by aspecificdatethepetitionertakeandpassthemodifiedbarexamination(or its then equivalent) as administered by the Maine Board of BarExaminers.

(B) TheCourtmayrequireproofthatthepetitionerhasmettheCLErequirements of Rule 5 for each year the attorney has been inactive,withdrawnorprohibitedfromthepracticeoflawinMaine,butneednotcomplete more than 24 credit hours of approved continuing legaleducationforthatentireperiodofabsencefrompractice,providedthat:(i)nomore thanonehalfof thecreditsareearned throughself-study;(ii)atleasttwocredithoursareprimarilyconcernedwiththeissuesofethicsorprofessionalresponsibility;and(iii)atleasttwocredithoursare

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primarily concerned with issues of recognition and avoidance ofharassmentanddiscriminatorycommunicationorconductrelatedtothepracticeoflaw.

(6) GrantingPetitionforTransfertoActiveStatus.TheCourtshallgrantthepetitionfortransfertoactivestatusuponashowingbyclearandconvincingevidencethattheincapacityhasbeenremoved.

(7) JudicialDeclarationofCompetence.Ifarespondentsuspendedonthebasisof adeterminationof incapacityhasbeen judiciallydeclared tobecompetent, the Courtmay dispensewith further evidence that the lawyer’sincapacity has been removed and may immediately direct the lawyer’sreinstatementtoactivestatusupontermsasaredeemedproperandadvisable.

RULE28.REINSTATEMENTFOLLOWINGADISCIPLINARYSUSPENSIONOFSIXMONTHSORLESS

A lawyerwho has been suspended for sixmonths or less pursuant todisciplinary proceedings may be reinstated at the end of the period ofsuspensionby filingwith theCourt and servingupon theBoard anaffidavitstating that he or she has fully complied with the requirements of thesuspensionorderandhaspaidanyrequiredfeesandcosts.

RULE29.REINSTATEMENTAFTERDISCIPLINARYSUSPENSIONFORMORETHANSIXMONTHS

(a) Generally. A lawyer suspended formore than sixmonths or adisbarred lawyer may be reinstated only upon order of the Court. Nosuspendedlawyermaypetitionforreinstatementuntilsixmonthsbeforetheperiod of suspension is to expire. No disbarred lawyer may petition forreinstatement until five years after the effective date of disbarment unlessotherwiseprovidedbyaSingleJusticeortheCourtinitsorderofdisbarment.Alawyerwhohasbeenplacedoninterimsuspensionandisthendisbarredforthe same misconduct that was the ground for the interim suspension maypetitionforreinstatementattheexpirationoffiveyearsfromthetimeoftheeffective date of interim suspension unless otherwise provided by a SingleJusticeortheCourtinitsorderofdisbarment.

(b) Petition. A petition for reinstatement must be under oath oraffirmation under penalty of perjury and shall specifywith particularity the

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mannerinwhichthepetitionermeetseachofthecriteriaspecifiedinRule29(e)or,ifnot,whythereisgoodandsufficientreasonforreinstatement.

(c) ServiceofPetition.ThepetitionshallbefiledwiththeExecutiveClerkoftheCourtandalsowithBarCounselaccompaniedbyafilingfeemadepayable to the Board of Overseers of the Bar and a completed BoardReinstatementQuestionnaire.

(d) PublicationofNoticeofPetition.Uponapetitioner’sfilingofapetitionforreinstatement,theBoardClerk,shallpublishanoticeofthepetitionontheBoard’swebsite. Thenoticeshall informmembersofthebarandthepublic about the application for reinstatement, and shall request that anyindividuals filenoticeof theiroppositionor supportof thepetitionwith theBoardwithin60days.Inaddition,asappropriate,BarCounselmaynotifythecomplainant(s) in the disciplinary proceeding that led to the petitioner’ssuspensionordisbarmentthatthepetitionerisapplyingforreinstatement,andshall inform each complainant that he or she has 60 days to file writtenoppositiontosupportthepetition.

(e) CriteriaforReinstatement.Apetitionermaybereinstatedonlyifthepetitionermeetseachofthefollowingcriteria:

(1) thepetitionerhasfullycompliedwiththetermsandconditionsofallpriordisciplinaryordersissuedinMaineorinanyotherjurisdictionexceptto the extent they are abated under Rule 30, unless such suspension,disbarment,ordisciplineissolelytheresultofreciprocalactionresultingfromdisciplinaryactiontakenbyMaineauthorities;

(2) the petitioner has not engaged or attempted to engage in theunauthorizedpracticeoflawduringtheperiodofsuspensionordisbarment;

(3) ifthepetitionerwassufferingunderaphysicalormentaldisabilityorinfirmityatthetimeofsuspensionordisbarment,includingalcoholorotherdrugabuse, thedisabilityor infirmityhasbeen removed. Where alcoholorother drug abusewas a causative factor in the petitioner’s misconduct, thepetitionershallnotbereinstatedunless:

(A) thepetitionerhaspursuedappropriaterehabilitativetreatment;

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(B) thepetitionerhasabstainedfromtheuseofalcoholorotherdrugsforatleastoneyear;and

(C) thepetitionerislikelytocontinuetoabstainfromalcoholorotherdrugs;

(4) thepetitionerrecognizesthewrongfulnessandseriousnessofthemisconductforwhichthepetitionerwassuspendedordisbarred;

(5) the petitioner has not engaged in any other professionalmisconductsincesuspensionordisbarment;

(6) notwithstanding the conduct for which the petitioner wasdisciplined, thepetitionerhas therequisitehonestyand integrity topracticelaw;

(7) thepetitionerhasmettheCLErequirementsofRule5foreachyearthe attorneyhasbeen suspendedor disbarred,but neednot completemorethan24hoursofapprovedcredithoursforthatentireperiodofabsencefrompractice,providedthat(i)nomorethanonehalfofthecredithoursareearnedthroughself-study;(ii)atleasttwocredithoursareprimarilyconcernedwiththeissuesofethicsorprofessionalism;and(iii)at leasttwocredithoursareprimarilyconcernedwith issuesof recognitionandavoidanceofharassmentanddiscriminatorycommunicationorconductrelatedtothepracticeof law;and

(8) Inadditiontoalloftherequirementsinthisprovision,theattorneyshall comply with Rule 4(a) and (b), and remit to the Board an arrearageregistrationpaymentequaltothetotalregistrationfeethattheattorneywouldhavebeenobligatedtopaytheBoardunderRule4(a)and(b)hadtheattorneyremainedactivelyregisteredtopracticeinMaine.

(f) ReviewofPetition.Within60daysafterreceivingapetitionforreinstatement,BarCounselshalleither

(1) advise the petitioner, the Grievance Commission Chair, and theCourtthatBarCounselwillstipulatetothepetitioner’sreinstatement,subjecttotheCourt’sapproval;or

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(2) advise the petitioner, the Grievance Commission Chair, and theCourtthatBarCounselopposesreinstatementandrequestsahearing.

(g) Hearing; Report. Upon receipt of Bar Counsel’s request for ahearing, the Board Clerk shall promptly refer the matter to a GrievanceCommissionpanel.Within90daysoftherequest,theGrievanceCommissionpanelshallconductahearingatwhichthepetitionershallhavetheburdenofdemonstratingbyclearandconvincingevidencethatheorshehasmeteachofthecriteriainRule29(e)or,ifnot,thatthereisgoodandsufficientreasonwhythepetitionershouldneverthelessbereinstated.TheGrievanceCommissionpanel shall file a report with the Board Clerk containing its findings andrecommendations. The Board Clerk shall file the reportwith the ExecutiveClerk of the LawCourt and transmit a copy thereof to Bar Counsel and thepetitioner.

(h) DecisionastoReinstatement.TheCourtshallreviewthereportfiledby theGrievanceCommissionpaneloranystipulationagreed toby thepetitioner and Bar Counsel. If the petitioner or Bar Counsel objects to thepanel’sreport,eitherpartymayfileapleadingwiththeCourtwithin21daysstatingthebasisforitsobjection.TheCourtshall,withorwithouthearingissueitsdecision.(SeeRule14(b)(1)-(3)).

If the Court reinstates the petitioner, the Court shall issue a writtenopinion setting forth the grounds for its decision. If the Court deniesreinstatement,theCourtshallissueawrittenopinionsettingforththegroundfor its decision and shall identify the period afterwhich the petitionermayreapplyforreinstatement.UnlessorderedotherwisebytheCourt,nopetitionermayreapplyforreinstatementwithinoneyearfollowinganadversejudgmentuponapetitionforreinstatement.

(i) ConditionsofReinstatement.TheCourtmayimposeconditionsonapetitioner’sreinstatement.Theconditionsshallbeimposedincaseswherethe petitioner hasmet the burden of proof justifying reinstatement, but theCourtreasonablybelievesthatfurtherprecautionsshouldbetakentoprotectthepublic.TheCourtmayimposeanyconditionsthatarereasonablyrelatedto the grounds for the petitioner’s original suspension or disbarment, or toevidencepresentedatthehearingregardingthepetitioner’sfailuretomeetthecriteriaforreinstatement.Passingthebarexaminationandthecharacterandfitnessexaminationshallbeconditionstoreinstatementfollowingdisbarment.The conditionsmay include, but are not limited to any of the following: (1)

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limitation upon practice to one area of law or through association with anexperiencedsupervisinglawyer;(2)participationincontinuinglegaleducationcourses;(3)monitoringofthepetitioner’spracticeforcompliancewithtrustaccount rules, account procedures, or office management procedures; (4)abstention from the use of drugs or alcohol; (5) active participation in analcohol or drug rehabilitation program; (6) active participation in mentalhealthtreatment;or(7)monitoringofthepetitioner’scompliancewiththeseconditions and any other orders. Should a monitor determine that thereinstated lawyer’s compliance with any condition of the reinstatement isunsatisfactory and that there exists a potential for harm to the public, themonitoringlawyershallnotifytheCourtand,wherenecessarytoprotectthepublic, the reinstated lawyer may be suspended from practice under Rule21(b).

(j) ReciprocalReinstatement. WhereaSingle Justiceor theCourthasimposedasuspensionordisbarmentsolelyonthebasisof impositionofdisciplineinanotherjurisdiction,andwherethepetitionergivesnoticetotheCourtthatheorshehasbeenreinstatedorreadmittedintheotherjurisdiction,theCourtshalldeterminewhetherthepetitionershouldbereinstated.UnlessBarCounselshowsgoodcausewhythepetitionershouldnotbereinstated,theCourtshallreinstateapetitionerwhohasbeenreinstatedorreadmittedinthejurisdictionwherethemisconductoccurred.

RULE30.ABATEMENTORMODIFICATIONOFCONDITIONSOFDISCIPLINEORREINSTATEMENT

WhereaSingleJusticehasimposedconditionsinanorderofdisciplineorinanorderofreinstatement,thelawyermayrequestoftheSingleJusticeanorderofabatementdischargingthelawyerfromtheobligationtocomplywiththe conditions, or an order modifying the conditions. The lawyer may sorequesteitherpriortooraspartofthelawyer’spetitionforreinstatement.TheSingleJusticemaygranttherequestifthelawyershowsbyclearandconvincingevidence that the lawyer has made a timely, good faith effort to meet thecondition(s).

RULE31.NOTICETOCLIENTS,ADVERSEPARTIES,ANDOTHERCOUNSEL

(a) RecipientsofNotice;Contents. UnlessotherwiseorderedbyaSingleJustice,within30daysafterthedateoftheorderimposingdiscipline,arespondent who has been disbarred, placed on interim suspension, or

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suspendedshallsonotifyinwritingallclientsrepresentedinpendingmatters;any co-counsel in pending matters; and any opposing counsel in pendingmatters,orintheabsenceofopposingcounsel,theadverseparties,oftheorderoftheSingleJusticeandthatthelawyeristhereforedisqualifiedtoactaslawyeraftertheeffectivedateoftheorder.Thenoticetobegiventothelawyer(s)foranadverseparty,or,intheabsenceofopposingcounsel,theadverseparties,shallstatetheplaceofresidenceoftheclientoftherespondent.

(b) SpecialNotice.TheCourtmaydirecttheissuanceofnoticetosuchfinancialinstitutionsorothersasmaybenecessarytoprotecttheinterestsofclientsorothermembersofthepublic.

(c) Duty to Maintain Records. The respondent shall keep andmaintain recordsof the steps taken to accomplish the requirementsofRule31(a)and(b),andshallmakethoserecordsavailabletoBarCounselonrequest.

(d) Returnof Client Property. The respondent shall deliver to allclientsbeingrepresentedinpendingmattersanypapersorotherpropertytowhich they are entitled and shall notify them and any counsel representingthemofasuitabletimeandplacewherethepapersandotherpropertymaybeobtained, calling attention to any urgency for obtaining the papers or otherproperty.

(e) RefundofFees.Within10daysafterentryoftheorderimposingdisbarmentorsuspension,therespondentshallrefundanypartofanyfeespaidinadvancethathasnotbeenearned.

(f) WithdrawalfromRepresentation.Unlessotherwiseordered,intheeventtheclientdoesnotobtainanotherlawyerbeforetheeffectivedateofthedisbarmentorsuspension,itshallbetheresponsibilityoftherespondenttomoveinthecourtoragencyinwhichtheproceedingispendingforleavetowithdraw. The respondentshall in thatevent filewith thecourt,agency,ortribunalbeforewhichthelitigationispendingacopyofthenoticetoopposingcounseloradverseparties.

(g) NewRepresentationProhibited.Priortotheeffectivedateoftheorder,ifnotimmediatelyineffect,therespondentshallnotundertakeanynewlegal matters between service of the order and the effective date of thediscipline.Therespondentshalltakesuchactionas isnecessarytocausetheremovalofanyindiciaoflawyer,counseloratlaw,orsimilartitle.

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(h) Affidavit Filed with Bar Counsel. Within 10 days after theeffectivedateofthedisbarmentorsuspensionorder,therespondentshallfilewithBarCounselanaffidavitshowing

(1) compliancewiththeprovisionsoftheorderandwiththisrule;

(2) allotherstate,federalandadministrativejurisdictionstowhichthelawyerisadmittedtopractice;and

(3) residence or other addresses where communications maythereafterbedirected.

RULE32.RECEIVER

(a) AppointmentofReceiver.Wheneveranattorneyisallegedtobeincapacitated, or is missing, deceased, disbarred, or subject to anadministrativeordisciplinarysuspension,theCourtmayappointaReceivertomanageorconcludetheattorney’slawpractice.TheReceiver,whoshallbealicensedMaineattorneyingoodstanding,shallbeappointedbytheCourtuponthe recommendation of Bar Counsel. Bar Counsel shall consider and mayrecommendtheproxyrecommendationontheattorney’sannualregistrationstatementunderRule4(b).AReceivershallbeauthorizedbyCourtordertotakesomeorallofthefollowingactions:

(1) securetheprofessionalfiles,clientdata,lawofficemail,officeandclientpropertyinanappropriatelocationandnotifytheboardofthatlocation;

(2) createaninventoryoftheopenandclosedclientfiles;

(3) givepriorityattentiontoclientmattersthatareidentifiedasopen,active,andapparentlytimesensitive,includingnotifyingclientsoftheneedtoseeknewcounselortorepresentthemselves.Ifnecessary,theReceivermayseek protection for certain clients by giving notice to tribunals or othersconcerningthecircumstancesgivingrisetotheReceivership,withoutenteringanappearancefortheclient;

(4) notify all clients that the law practice is being managed by theReceiver or concluding and invite clients to retrieve their client files. Suchnoticemaybebyletter,phone,email,newspaperadvertisementinanewspaperingeneralcirculationinthecountywherethelawpracticewaslocatedand/or

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suchothermethodaswilleffectnotice. Notice toclientswithopenmattersshouldbemadebyasdirectmeansaspossible;

(5) if necessary, provide notice of appointment to all Courts andrelevantstateandcountyagencies;

(6) prudentlyutilizetheoperatingaccountstoeffectthemanagementorconclusionofthepractice,includingthetemporaryretentionofofficestafforhiringotherpersonnelasnecessaryandappropriate;

(7) if necessary, establish a bank account in the Receiver’s name inordertoprotectassetstomanageorconcludethepracticeand/orprotecttheclients’interests;

(8) prudentlyutilizetheoperatingaccountsandclienttrustaccountsintheappropriatedistributionofclientfundsandpropertyheldintrust;

(9) reviewandauditanyIOLTAaccounts;

(10) submittotheCourtarecordofhoursworkedanddisbursementsmadetoallowinsomecasesforpaymentoflegalfeesandexpenses;

(11) receivepaymentoflegalfeesunderthetermsnegotiatedwiththeBoardandapprovedbytheCourt;

(12) continue to act as Receiver until discharged by the Court inaccordancewithRule32(c);and

(13) take any and all other appropriate action consistent with thediscretionvestedintheReceiverbytheCourtand/orasspecificallyorderedbytheCourt.

(b) Receiver’sDischargePlan. Prior to petition for discharge, theReceivershall formulatefortheapprovaloftheCourtaplanforthecustody,care,appropriatereleaseandultimatedestructionofclientfiles.Theplanwillidentify a file caretaker (whomaybe theReceiver)whowill preserve clientconfidentialityandmaintainandappropriatelyreleasetheclientfilestoclientssubsequent to the discharge of the Receiver. The plan must provide forconfidential destruction of all client files and data pursuant to M.R. Prof.Conduct1.15(f).ThedestructiondatemaybeearlierifsoorderedbytheCourt.

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TheplanmustincludetherequirementthatthefilecaretakerprovidewrittennoticetotheBoardofOverseersconfirmingtheconfidentialdestructionoffilesanddataimmediatelyafterithasoccurred.

(c) TermofReceiver. TheReceivershall serveuntildischargedbytheCourt.TheReceivermaypetitiontheCourtfordischargefromappointmentuponcompletionofdutiesorsoonerforothergoodcause.Withthepetitionfordischarge the Receiver shall file a report of services rendered. With theapprovaloftheCourt,thereportoranypartthereofmaybefiledunderseal.Without divulging confidential information, the report should include, ifapplicable:

(1) an inventory of files and the status of each file as released orretained;

(2) theplanforthesecurityandhandlingoftheretainedclientfiles;

(3) an accounting of the lawpractice operating accounts during theperiodofReceivership;

(4) anaccountingofthelawpracticeclienttrustfundaccountsduringtheperiodofReceivership;and

(5) anyotherinformationdeemedbytheReceiverortheCourttobenecessaryandappropriate.

(d) ClientRights. AnyReceiver so appointedmay not disclose anyinformationcontainedinanyfilelistedinsuchinventorywithouttheconsentoftheclienttowhomsuchfilerelatesexceptasmaybenecessarytocarryouta court order, including any order under this rule. Any Receiver may beengaged by any former client of the deceased, missing, or incapacitatedattorney,providedthattheReceiverinformsanysuchclientinwritingthattheclient is free to choose to employ any attorney, and that the Court’sappointment order under section (2) of this rule does not mandate orrecommendemploymentbytheclientoftheReceiver.TheReceiverissubjecttotheMaineRulesofProfessionalConduct.However,theclient’sretentionoftheReceiverassuccessorcounsel isnotaperseconflictof interestsolelybyreasonoftheReceiver’sappointmentunderthisrule.

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(e) Liability. The Receiver shall be protected from liability forprofessional services rendered pursuant to the Order appointing such aReceiver.

(f) Pleadings.TheReceivershallprovidecopiesofallpleadingsunderthisRuletotheBoard.

RULE33.TRANSITION

TheseRulesshallbecomeeffectiveonJuly1,2015(the“effectivedate”).As of the effective date, these Rules shall govern all new and pendingcomplaints and proceedings before the Fee Arbitration Commission,Professional Ethics Commission, and Grievance Commission. Any attorneyseekingreinstatement, including thosesuspendedprior to theeffectivedate,mustcomplywiththerequirementsoftheseRules.