N.D.R. Lawyer Discipl.
RULE 4.2. DISCIPLINE BY CONSENT.
1 A. Conditional Admission to Hearing Panel
Approval. A lawyer may tender
2 a conditional admission in exchange for a stated form of discipline. The tendered
3 admission must be submitted to counsel and approved or rejected by the hearing
4 panel, subject to final approval or rejection by the court if the stated form of discipline
5 includes disbarment or suspension. If the stated form of discipline is rejected by the
6 hearing panel, the admission must be withdrawn and cannot be used against the
7 lawyer in any subsequent proceedings. After approval by the hearing panel of the
8 proposed discipline and, if required, by the court, the final order of discipline must be
9 entered in accordance with the conditional admission tendered.
10 B. Stipulation of Consent.
A lawyer who consents to a stated form of discipline,
or disciplinary counsel, shall present to the hearing panel a Any disciplinary matter
12 may be resolved by stipulation at any time after investigation and an opportunity for
13 any complainant to have been heard. The stipulation must set forth the stated form of
14 discipline, which may include terms and conditions of probation, and any other
15 appropriate provisions. The stipulation
, must be signed by the lawyer and disciplinary
16 counsel, stating that the lawyer desires to consent to the discipline and that:
17 (1) Consent is freely and voluntarily rendered; there is no coercion or duress;
18 the lawyer is fully aware of the implications of the consent;
19 (2) The lawyer is aware that there is presently pending an investigation into,
20 or a proceeding involving, allegations that grounds for discipline exist, the nature of
21 which must be specifically set forth;
22 (3) The lawyer acknowledges that the material facts are true;
23 (4) The lawyer knows that the charges cannot be successfully defended
. ; and
24 (5) The lawyer waives procedural rights that may be available in the absence
25 of the stipulation, including as appropriate the right to a complaint specifying the
26 allegations of misconduct, the right to answer the allegations in writing, the right to
27 have the allegations reviewed by the inquiry committee, the right to a formal petition
28 for discipline, the opportunity to answer the petition for discipline, and the right to
29 defend against the petition for discipline in a disciplinary hearing before a hearing
31 C. Form. A stipulation must:
32 (1) provide sufficient detail regarding the particular acts or omissions of the
33 lawyer to permit the entity considering the stipulation to form an opinion regarding
34 the propriety of the proposed resolution and, if approved, to ensure the stipulation is
35 useful in any subsequent disciplinary proceeding against the lawyer;
36 (2) set forth the lawyer's prior disciplinary record or its absence; and
37 (3) fix the amount of costs and expenses to be paid by the lawyer.
C. Order of Discipline D. Approval of Stipulation.
39 (1) Approval by inquiry committee. If the
discipline by consent complaint is
40 under consideration by the inquiry committee, and the proposed sanction is
reprimand an admonition or consent probation, or a combination of both, the hearing
panel shall enter the order. In all other instances in which proposed discipline has
been consented to and approved, the court shall enter the order disciplining the
on consent. The stipulation may be sealed only by order of the court stipulation may
45 be approved or rejected by the committee as a whole or the chair may expedite
46 consideration of the stipulation by appointing a three-member panel of not more than
47 two lawyer members and at least one public member to approve or reject the
49 (2) Approval by disciplinary board. If the proposed sanction is a reprimand,
50 suspension, or disbarment, the chair of the board shall appoint a three-member panel
51 of not more than two lawyer members and at least on public member to approve or
52 reject the stipulation. Approval may be granted at any point before entry of an order
53 or recommendation by the hearing panel under Rule 3.1F. If the proposed sanction is
54 a reprimand by the court, suspension, or disbarment, the approval must be in the form
55 of a recommendation to the court in the manner specified in Rule 3.1F(2).
56 (3) Approval by the court. All stipulations agreeing to a reprimand by the
57 court, suspension, or disbarment must be submitted to the court. Following review in
58 the manner specified in Rule 3.1F(2), the court shall enter the order regarding the
59 stipulation. The stipulation may be sealed only by order of the court.
60 E. Stipulation rejected. An order rejecting a stipulation must state the reasons
61 for the rejection. A rejected stipulation has no force or effect and neither it nor the fact
62 of its rejection is admissible in evidence in any disciplinary, civil, or criminal
64 F. Failure to comply. A lawyer's failure to comply with the terms of an
65 approved stipulation may be grounds for discipline.
67 Rule 4.2 was adopted effective January 1, 1995; amended effective July 1,
68 1999; March 1, 2017.
69 Section A was amended effective March 1, 2017 to relate to submission of a
70 conditional admission to a hearing panel.
71 Section B was amended effective March 1, 2017 to provide for resolution of
72 a disciplinary matter by stipulation at any time after investigation and an opportunity
73 for any complainant to have been heard and to describe the elements of the stipulation,
74 including an acknowledgment by the lawyer of the waiver of certain, described
75 procedural rights.
76 New Section C was created effective March 1, 2017 to set out the contents of
77 the stipulation.
78 Section C was amended effective March 1, 2017 to become new Section D and
79 describe approval of a stipulation by the inquiry committee, disciplinary board, or
81 New Section E was created effective March 1, 2017 to require that an order
82 rejecting a stipulation must state the reasons for the rejection, to provide that a rejected
83 stipulation has no force or effect, and to provide that the rejected stipulation is not
84 admissible in any disciplinary, civil, or criminal proceeding.
85 New Section F was created effective March 1, 2017 to provide that failure to
86 comply with an approved stipulation may be grounds for discipline.