OH · rules

Ohio Gov.Bar R. VII

Unauthorized Practice of Law

activein force · 2024-10-15 – presentact-effective-date

Section 1. Board on the Unauthorized Practice of Law of the Supreme Court.

(A) Creation

There is hereby created by the Supreme Court the Board on the Unauthorized Practice of

Law.

(B) Appointments

The Board consists of the following thirteen commissioners appointed by the Chief Justice

and Justices of the Court:

(1) Nine attorneys admitted to the practice of law in Ohio and registered for

active status;

(2) Four persons not admitted to the practice of law in any state.

Board membership should be broad-based and multi-disciplinary to represent a cross -

section of interests related to governmental advisory bodies and reflect the diverse

population of the state with respect to race, ethnicity, gender, and geography.

(D) Terms and reappointment

The term of office of each commissioner shall be three years. A commissioner whose term

has expired and who has an uncompleted assignment as a commissioner shall continue to

serve for the purpose of that assignment until the assignment is concluded before the Board,

and the successor commissioner shall take no part in the proceedings of the Board

concerning the assignment. No commissioner shall be appointed for more than three

consecutive three-year terms. A commissioner is eligible for reappointment, but shall not

serve more than three consecutive full terms. A commissioner is eligible for reappointment

after serving three consecutive full terms, but only upon at least a one-year break in service.

(E) Filling of vacancies

Vacancies shall be filed in the same manner as original appointments. A commissioner

appointed to fill a vacancy occurring prior to the expiration of the term for which the

member’s predecessor was appointed holds office for the remainder of that term. A

commissioner appointed to a term of fewer than three years may be reappointed to not

more than three full terms.

(F) Change of position, employment, affiliation, or status

Each commissioner member appointed because of the member’s attorney status ceases to

be a commissioner at such time the member no longer holds that status.

(G) Chairperson and vice-chairperson

(1) At the first meeting each year of the Board, the members of the Board shall elect

one attorney commissioner as chairperson and one attorney commissioner as vice -

chairperson. The term of a chairperson and vice-chairperson is one year. A chairperson

and vice-chairperson shall not serve more than two consecutive full terms.

(2) The chairperson, vice-chairperson, or the secretary may execute entries and

administrative documents on behalf of the Board and panels of the Board. The secretary

may execute any other documents at the direction of the chairperson or vice-chairperson.

In the absence of the chairperson, the vice-chairperson shall perform the duties of the

chairperson.

(H) Secretary

(1) The Administrative Director of the Court shall assign a Court employee to serve as

the secretary of the Board. The secretary assists the Board as necessary in the

implementation of its work, but at all times is considered an employee of the Supreme

Court. The secretary shall be an attorney admitted to the practice of law in Ohio.

(2) The secretary shall have the following responsibilities:

(a) Oversee administration and fiscal operations of the Board;

(b) Schedule all meetings of the Board and its committees and all hearings of

Board panels;

formal complaint, which shall be retained permanently as a part of the records of

the Board;

(d) Prepare and execute entries on behalf of the Board and its hearing panels

and execute entries for extensions of time where appropriate;

(e) Issue subpoenas pursuant to Section 2(C) of this rule;

(f) Maintain the records for the receipt and expenditure of money, and prepare

financial reports and budgets as required by the Supreme Court Rules for the

Government of the Bar of Ohio;

(g) Assist the Board in preparing advisory opinions pursuant to Section 2(F) of

this rule;

(h) Take any other action consistent with the secretary’s position.

(I) Execution of documents

The chairperson, vice-chairperson, or the secretary may execute administrative documents

on behalf of the Board. The secretary may execute any other documents at the direction

of the chairperson or vice-chairperson.

(J) Meetings

(1) The Board may meet in person or by telephone or other electronic means available

to the Court.

(2) The Board shall meet as often as required to complete its work, provided the Board

shall meet a minimum of three times per year. The Board may meet at the call of the

chairperson or at the request of a majority of the Board members.

(3) All Board meetings shall be scheduled for a time and place so as to minimize costs

to the Court and to be accessible to commissioners and Court staff.

(K) Commissioner attendance

(1) For a fully effective commission, a commissioner shall make a good faith effort to

attend, in person, each Board meeting.

(2) A commissioner who is unable to attend a meeting due to an unavoidable conflict

may request the chairperson allow the member to participate by telephone or other

electronic means available to the Court. A commissioner participating in this manner is

considered present for meeting attendance, quorum, and voting purposes.

(3) A commissioner may not designate a replacement for participation in or voting at

meetings.

(4) The secretary for the Board shall notify the Chief Justice and the Administrative

Director of the Court if a commissioner misses three meetings of the Board within a twelve-month period. Upon such notice, the Administrative Director shall inform the Justic es of

the Court in order that the Justices may consider the replacement of the commissioner.

(L) Minutes

Minutes shall be kept at every Board meeting and distributed to the commissioners for

review prior to and approval at the next meeting.

(M) Quorum

A quorum exists when a majority of commissioners is present for the meeting, including

those members participating by telephone or other electronic means.

(N) Actions

At any commission meeting at which a quorum is present, the Board members may take

action by affirmative vote of a majority of the members in attendance.

(O) Subcommittees

(1) The Board may form such subcommittees it believes necessary to complete the

work of the Board. A subcommittee should consist of select commissioners and other

persons who the chairperson believes will assist in a full exploration of the issue under the

review of the subcommittee.

(2) A subcommittee should remain relatively small in size and have a ratio of

commission members to non-commission members not exceeding one to three.

(3) Divisions (H); (J)(1) and (3); (K)(2) and (3); (M); (N); (P); (Q); (R); and (U) of this

section apply to the work and non-commissioners of a subcommittee.

(P) Code of ethics

A commissioner shall comply with the requirements of the Court’s “Code of Ethics for

Court Appointees.” The secretary for the Board shall provide each commissioner with a

copy of the code following the commissioner’s appointment to the Board and thereafter at

the first meeting each year of the Board.

(Q) Confidentiality

No commissioner shall disclose to any person any non-public proceedings, documents, or

deliberations of the Board, a panel of the Board, or a Board committee. This rule shall not

apply to an individual commissioner’s personal opinion relating to matters o f staffing or

operational issues, which, at the commissioner’s option, may be discussed with a justice

upon the justice’s request. Prior to taking office, each commissioner shall confirm in

writing that he or she will abide by these rules.

(R) Work product

The work product of the Board is the property of the Court.

(S) Budget

The budget of the Board is set by the Court through its internal budget process and as

implemented by the Office of Attorney Services. The Board has no authority to set its own

budget.

(T) Compensation

A commissioner serves without compensation.

(U) Reimbursement of expenses

Commissioners shall be reimbursed for reasonable and ordinary expenses incurred in

service to the board as permitted by the Court’s Guidelines for Travel by Court Appointees.

A commissioner shall not be entitled to compensation beyond reasonable and ordinary

expenses. Reimbursement shall be paid from the Attorney Services Fund.

Section 2. Jurisdiction and Powers of the Board.

(A) Exclusive jurisdiction

Except as otherwise expressly provided in rules adopted by the Supreme Court, all

allegations of the unauthorized practice of law shall be brought, conducted, and disposed

of in accordance with the provisions of this rule. The Board shall have the authori ty to

certify, recertify, and decertify an unauthorized practice of law committee in accordance

with Section 3 of this rule.

(B) Hearing authority

The Board shall receive evidence, preserve the record, make findings, and submit

recommendations concerning complaints of the unauthorized practice of law, except for

complaints against persons listed in Section 31(J)(1)(c) of this rule, which shall be filed in

accordance with the disciplinary procedure set forth in Gov. Bar R. V.

(1) Whenever provision is made for the service of any complaint, notice, order, or other

document upon a respondent or relator in connection with any proceeding under this rule,

service may be made upon counsel of record for the party personally or by certified mail.

(2) If service of any document by certified mail is refused or unclaimed, the secretary

may make service by ordinary mail evidenced by a certificate of mailing. Service shall be

considered complete when the fact of mailing is entered in the record, provided t hat the

ordinary mail envelope is not returned by the postal authorities with an endorsement

showing failure of delivery.

(D) Subpoenas

(1) The Board may issue subpoenas and cause testimony to be taken under oath before

disciplinary counsel, a certified unauthorized practice of law committee, the Attorney

General, a Board hearing panel, or the Board. Each subpoena shall be issued in the name

and under the seal of the Supreme Court and shall be signed by the secretary, the Board

chairperson or vice-chairperson, or the hearing panel chairperson and served as provided

by the Rules of Civil Procedure. Fees and costs of all subpoenas shall be pro vided from

the Attorney Services Fund and taxed as costs.

(2) The refusal or neglect of a person subpoenaed or called as a witness to obey a

subpoena, to attend, to be sworn or to affirm, or to answer any proper question shall be

deemed to be contempt of the Court and may be punished accordingly.

(E) Depositions

The secretary, the Board chairperson or vice-chairperson, or the chairperson of the hearing

panel assigned to a relevant case may order testimony of any person to be taken by

deposition within or without this state in the manner prescribed for the taking of depositions

in civil actions, and such depositions may be used to the same extent as permitted in civil

actions.

(F) Advisory opinions

The Board may issue nonbinding advisory opinions to any regularly organized bar

association in this state, disciplinary counsel, or the Attorney General in response to

prospective or hypothetical questions of public or great general interest regarding the

application of this rule and the unauthorized practice of law.

(G) Regulations

The Board shall have authority to adopt regulations consistent with this rule. Proposed

regulations and amendments to existing regulations shall be published for comment prior

to adoption in a manner consistent with rule amendments proposed by the Court, and

adopted regulations shall be published in the same manner as rules adopted by the Court.

The regulations shall include the following provisions:

(1) Procedures for identifying certified unauthorized practice of law

committees that are not in compliance with the standards set forth in this rule, and

for decertifying a certified unauthorized practice of law committee that fails to

bring itself into compliance after being notified of noncompliance;

(2) Guidelines for the processing of unauthorized practice of law cases pending

before the Board and panels of the Board;

(3) Procedures for the issuance of advisory opinions;

(4) Guidelines for the imposition of civil penalties in unauthorized practice of

law cases pending before the Board and panels of the Board.

Section 3. Certified Unauthorized Practice of Law Committees.

(A) Certified unauthorized practice of law committees

A certified unauthorized practice of law committee shall be an organized committee of the

Ohio State Bar Association or of one or more local bar associations in Ohio that permits

the membership of any attorney practicing within the geographic area served by that

association without reference to t he attorney’s area of practice, special interest, or other

criteria. There shall be only one certified unauthorized practice of law committee in each

county. Two or more bar associations may establish a joint certified unauthorized practice

of law committee in accordance with the procedure outlined in division (C) of this section.

(B) Board certification

(1) Upon application by a bar association or bar associations and satisfaction of the

standards set forth in division (D) of this section, the Board may certify an unauthorized

practice of law committee to investigate allegations of the unauthorized practice of law and

initiate and prosecute formal complaints as a result of investigations under the provisions

of this rule.

(2) A certified unauthorized practice of law committee shall have authority to

investigate allegations of the unauthorized practice of law filed against a person who

resides or maintains a business in the geographic area served by the committee or where

the misconduct alleged in the allegation occurred within the geographic area served by the

committee.

(3) A certified unauthorized practice of law committee shall not have the authority to

investigate allegations of the unauthorized practice of law against persons listed in Section

31(J)(1)(c) of this rule, which shall be filed in accordance with the disciplinary procedure

set forth in Gov. Bar R. V.

(1) A bar association seeking to establish an unauthorized practice of law committee,

or the bar associations seeking to establish a joint unauthorized practice of law committee,

shall file a petition with the Board seeking approval to establish an unauthorized practice

of law committee or joint unauthorized practice of law committee. The petition shall

include all of the following:

(a) The name of the bar association or bar associations seeking to form an

unauthorized practice of law committee or joint unauthorized practice of law

committee;

(b) The names of the chairperson and other members of the unauthorized

practice of law committee, provided the membership of a joint unauthorized

practice of law committee shall be in proportion to the number of attorneys

employed in the geographic area served by each bar association establishing the

joint committee;

practice of law committee or joint unauthorized practice of law committee;

(d) In the case of a petition to form a joint unauthorized practice of law

committee, a copy of the written agreement between or among the sponsoring bar

associations that establishes and governs the operation of the joint unauthorized

practice of law committee;

(e) Any other information the Board considers necessary to evaluate the

petition.

(2) Upon receipt of a completed petition, the Board promptly shall determine whether

the proposed unauthorized practice of law committee satisfies the requirements for

establishment of a certified unauthorized practice of law committee and the standards set

forth in division (D) of this section. Upon determination that the unauthorized practice of

law committee satisfies these requirements and standards and upon certification of bar

counsel as required by Section 4 of this rule, the Board shall certify the unauthorized

practice of law committee as eligible to accept and investigate allegations of the

unauthorized practice of law and file and prosecute formal complaints as set forth in this

rule.

(D) Standards for certified unauthorized practice of law committees

(1) To obtain and retain certification, each unauthorized practice of law committee

shall satisfy all of the following standards:

(a) Membership and term limits

(i) Consist of no fewer than five natural persons. A majority of the

members of the certified unauthorized practice of law committee shall

consist of attorneys admitted to the practice of law in Ohio, but at least one

member shall be a natural person who is not admitted to the practice of law

in Ohio or any other state. Not more than twenty percent of the committee

or two members, whichever is less, shall consist of attorneys who practice

in the same firm, as defined in Prof. Cond. R. 1.0, or governmental office.

(ii) Each bar association responsible for appointing members to its

certified unauthorized practice of law committee shall adopt and implement

procedures that provide for the appointment of certified unauthorized

practice of law committee members to specific terms of office, with the

length of such terms to be determined by the appointing authority. The

expiration dates of the initial terms of office shall be established to ensure

that the terms of members expire in different years.

(b) Meetings

Meet at least twice annually.

Maintain a fulltime, permanent office that is open during regular business

hours, has a listed telephone number, and is staffed by a minimum of one

fulltime employee to process allegations received by the certified

unauthorized practice of law committee and assist with other work of the

certified unauthorized practice of law committee. A joint certified

unauthorized practice of law committee shall designate a single office

within the geographical region served by the joint committee, and the

fulltime employee designated to assist the committee may be employed

jointly by the bar associations that have established the joint committee.

(d) Bar counsel

Nominate bar counsel, who shall be certified by disciplinary counsel

pursuant to and perform the duties set forth in Section 4 of this rule. Bar

counsel may be a volunteer or be paid for services related to unauthorized

practice of law activities by or th rough the certified unauthorized practice

of law committee.

(e) Files and records

Maintain files and records of proceedings, in paper or electronic format and

in accordance with the following schedule:

(i) Records of the proceedings of the certified unauthorized

practice of law committee and files related to any matter in which

the committee filed a formal complaint shall be retained

permanently;

(ii) Files related to any matter in which the committee initiated

an investigation shall be retained for ten years;

(iii) Files related to any matter that the committee dismissed

without investigation shall be retained for two years.

(f) Funding

Be sufficiently funded by the sponsoring bar association or associations to

perform the duties imposed by these rules.

(g) Written procedures

Establish and file with the Board written procedures for the processing of

allegations concerning the unauthorized practice of law. The written

procedures shall provide a method for notifying potential complainants that

they have the option to file allegations of the unauthorized practice of law

with disciplinary counsel, or the Ohio State Bar Association, rather than

with the certified unauthorized practice of law committee.

(h) Quarterly reports

File quarterly reports with the Board on the form and by the same dates

specified for the reimbursement of indirect expenses in Section 5(C)(3) of

this rule.

(2) A certified unauthorized practice of law committee should encourage each

committee member, in the member’s first full calendar year of service and each calendar

year thereafter, to complete a minimum of one continuing education program or activity

offered or approved by disciplinary counsel or t he Board in one or more of the following

subject-matter areas:

(a) Unauthorized practice of law;

(b) Execution of the responsibilities outlined in this rule for the review and

investigation of allegations and the preparation and prosecution of formal

complaints concerning the unauthorized practice of law.

(E) Annual report and biennial recertification

(1) On or before the first day of March, each certified unauthorized practice of law

committee shall file with the Board a report of its activity in the preceding calendar year.

The annual report shall be submitted on behalf of the certified unauthorized practice of law

committee by the committee chairperson and bar counsel, and shall include all of the

following:

(a) A current roster of all members of the certified unauthorized practice of law

committee that identifies the committee chairperson, the non-attorney members of

the committee, the tenure of each member’s service on the committee, and the

expiration date of each committee member’s term;

(b) Information indicating compliance by bar counsel with the education

requirements set forth in Section 4(C)(4) of this rule.

certified unauthorized practice of law committee’s compliance with the standards

set forth in division (D) of this section.

(2) Based on the content of the annual reports for the two preceding years and other

relevant information that may be available to the Board, the Board, on or before May 1,

2019, and every two years thereafter, shall do one of the following:

(a) Recertify the unauthorized practice of law committee;

(b) Defer recertification and notify the certified unauthorized practice of law

committee of its noncompliance with specific minimum standards applicable to the

operation of a certified unauthorized practice of law committee, the steps the

certified unauthorized practice of law committee is required to take to remedy

noncompliance, and the time in which the certified unauthorized practice of law

committee must remedy noncompliance;

(F) Decertification

(1) The Board may decertify a certified unauthorized practice of law committee at the

request of one or more of its sponsoring local bar associations or sua sponte. If the

committee fails to adhere to the standards set forth in division (D) and (E) of this section

and regulations adopted by the Board, if bar counsel fails to comply with the requirements

set forth in Section 4 of this rule, or if the committee subst antially fails to perform the

obligations set forth in these rules, the secretary may issue to the chairperson of the certified

unauthorized practice of law committee and president of the sponsoring bar association an

order to show cause why the unauthorized practice of law committee should not be

decertified by the Board for the reasons set forth in the order. The Board shall hold a

hearing before three commissioners, chosen by lot, who do not reside in the same appellate

district where the certified unauthorized practice of law committee is located. If the panel

of commissioners recommends decertification, it shall issue findings setting forth all of the

following:

(a) The reasons for decertification;

(b) All of the certified unauthorized practice of law committee’s pending

matters;

required to discharge its remaining responsibilities in any or all pending matters.

(2) The Board shall review the report and findings of the panel recommending

decertification and, by majority vote, may decertify the committee. In the absence of

special circumstances, the Board shall not decertify a certified unauthorized practice of law

committee, either at the request of a sponsoring bar association or sua sponte, before the

committee has discharged to the Board’s satisfaction the committee’s remaining

responsibilities in its then-pending matters.

(G) Confidentiality; oath of office

No employee, bar counsel or member of a certified unauthorized practice of law committee

shall disclose to any person any non-public proceedings, documents, or deliberations of the

committee. Prior to taking office, bar counsel and each employee or member of the

committee shall confirm in writing that he or she will abide by these rules.

Section 4. Bar Counsel

(A) Certification of bar counsel

(1) Disciplinary counsel shall certify bar counsel and assistant bar counsel who are

nominated on or after January 1, 2022. Any bar counsel or assistant bar counsel certified

or employed prior to January 1, 2022, shall not be subject to recertification but otherwise

shall comply with the requirements set forth in this section. Disciplinary counsel shall

promulgate and make available to the certified unauthorized practice of law committees

the criteria that will be used in certifying bar counsel and assistant bar counsel and a form

for submitting bar counsel nominations for certification. The criteria for certification shall

include, but not be limited to, the following:

(a) Legal experience, including substantive areas of practice and trial

experience;

(b) Any experience as a member of a certified unauthorized practice of law

committee;

allegations or prosecuting formal complaints, or both, including but not limited to

the approximate number of allegations reviewed and investigated, the number of

cases presented to hearing panels of the Board, and the number of unauthorized

practice of law cases argued before the Supreme Court;

(d) References from at least three natural persons in the legal community who

attest to the applicant’s high ethical standards, professionalism, and integrity.

(2) Upon receipt of the nomination and application materials, disciplinary counsel shall

promptly make a decision to grant or deny certification and provide notice to the certified

unauthorized practice of law committee, nominated bar counsel or assistant bar counsel,

and the Board. To facilitate the review of a nomination and application, disciplinary

counsel may conduct an interview of the nominated bar counsel or assistant bar counsel.

(3) Persons certified as bar counsel or assistant bar counsel under Gov. Bar R. V shall

be automatically certified under this rule.

(B) Decertification

Disciplinary counsel may decertify bar counsel or assistant bar counsel for failing to

competently and diligently perform the duties set forth in Gov. Bar R. VII, or for other

good cause shown. Before decertifying bar counsel or assistant bar counsel, disciplinary

counsel shall provide to bar counsel or assistant bar counsel and the chairperson of the

certified unauthorized practice of law committee that employs or retains bar counsel or

assistant bar counsel written notice proposing the decertification of bar counsel or assistant

bar counsel and shall afford bar counsel or assistant bar counsel a reasonable opportunity

to respond to the proposed decertification.

Bar counsel shall devote the time necessary to performing the duties set forth in this rule,

including but not limited to the following:

(1) Supervising the intake and investigation of allegations concerning the

unauthorized practice of law:

(2) Serving as the point of contact between the certified unauthorized practice

of law committee and respondents and respondents’ counsel, provided bar counsel

may delegate this task to staff or volunteer members of the certified unauthorized

practice of law committee;

(3) Advising and training certified unauthorized practice of law committee

members on matters of the unauthorized practice of law;

(4) Participating in educational activities related to the unauthorized practice of

law, including the completion, in each biennium, of a minimum of three hours of

training offered or approved by disciplinary counsel or the Board in the area of

unauthorized practice of law and the execution of the responsibilities for the review

and investigation of allegations and the preparation and prosecution of formal

complaints concerning the unauthorized practice of law;

(5) Serving as counsel of record in each formal complaint filed with the Board

by the bar counsel’s certified unauthorized practice of law committee. For purposes

of this rule, if bar counsel designates another unauthorized practice of law

committee member, o r assistant bar counsel, as lead counsel, that attorney shall

participate personally and substantially in the post-complaint adjudication process,

including, but not limited to, participating in prehearing telephone conferences;

attending discovery depositions; drafting pleadings, stipulations, consent decree

agreements, and pre-and post-hearing briefs; and attending and litigating the case

before the hearing panel. Bar counsel may delegate any aspect of an unauthorized

practice of law case to assistant bar counsel or volunteer certified unauthorized

practice of law committee members, provided all of the following requirements are

met:

(a) The attorney to whom responsibilities are delegated is identified as

counsel in the case;

(b) Bar counsel directly supervises that attorney;

case to the hearing panel.

(D) Noncompliance

Failure of bar counsel to comply with the requirements of this section may be grounds for

decertifying the bar counsel’s nominating certified unauthorized practice of law committee

pursuant to Section 3 of this rule.

Section 5. Funding; Reimbursements to Certified Unauthorized Practice of Law

Committees.

(A) Funding and budgets

The Supreme Court shall allocate funds for the operation of the Board and disciplinary

counsel and development and distribution of materials describing the unauthorized practice

of law process from the Attorney Services Fund.

(B) Budget

On or before the first day of May each year, the Board shall prepare and submit to the

administrative director a proposed budget for the fiscal year that begins on the ensuing first

day of July. The budget shall be in the form prescribed by the administrative director.

The Board may reimburse certified unauthorized practice of law committees for expenses

incurred by the committees in performing the obligations imposed on them by these rules.

Any reimbursements authorized by the Board shall be paid from moneys allocated by the

Court for that purpose from the Attorney Services Fund. Reimbursement is not permitted

for costs associated with compliance with the standards contained in in Section 5(D) of this

rule, except for the costs listed in division (C)(2) of this section.

(1) Reimbursement of direct expenses. A certified unauthorized practice of law

committee and the Attorney General may be reimbursed for direct expenses

incurred in performing the obligations imposed by this rule. Reimbursement shall

be limited to costs for depositions, transcripts, copies of documents, necessary

travel expenses for witnesses and volunteer attorneys, witness fees, subpoenas, the

service of subpoenas, postal and delivery charges, long distance telephone charges,

and compensation of investigators and expert witnesses authorized in advance by

the Board. There shall be n o reimbursement for the costs of the time of other bar

association or Attorney General personnel or attorneys in discharging these

obligations. Reimbursement shall be made upon submission to the secretary of

proof of the expenditures. Upon approval by the chairperson, reimbursement shall

be made from the Attorney Services Fund.

(2) Annual reimbursement of indirect expenses. A certified unauthorized

practice of law committee may apply to the Board prior to the first day of February

each year for partial reimbursement of other expenses necessarily and reasonably

incurred during the preceding calendar year in performing their obligations under

this rule. The Board, by regulation, shall establish criteria for determining whether

expenses under this section are necessary and reasonable. The Board shall deny

reimbursement for any expense for which a certified unauthorized practice of law

committee seeks reimbursement on or after the first day of May of the year

immediately following the calendar year in which the expense was incurred.

Expenses eligible for reimbursement are those specifically related to unauthorized

practice of law matters and include the following:

(a) The personnel costs for the portion of an employee's work that is

dedicated to this area;

(b) The costs of bar counsel retained pursuant to a written agreement

with the certified unauthorized practice of law committee;

(d) Long distance telephone charges;

(e) Local telephone charges and other appropriate line charges

included, but not limited to, per call charges;

(f) The costs of dedicated telephone lines;

(g) Subscription to professional journals, law books, and other legal

research services and materials related to the unauthorized practice of law;

(h) Organizational dues and educational expenses related to the

unauthorized practice of law;

(i) All costs of defending a lawsuit relating to the unauthorized practice

of law and that portion of professional liability insurance premiums directly

attributable to the operation of the committees in performing their

obligations under this rule;

(j) The percentage of rent, insurance premiums not reimbursed

pursuant to division (C)(2)(i) of this section, supplies and equipment,

occupancy, utilities, office expenses, repair and maintenance, and other

overhead expenses directly attributable to the operat ion of the committees

in performing their obligations under this rule, as determined by the Board

and provided that no certified unauthorized practice of law committee shall

be reimbursed in excess of three thousand five hundred dollars per calendar

year for such expenses. Reimbursement shall not be made for the costs of

the time of other bar association personnel, volunteer attorneys,

depreciation, amortization, or the cost of compiling and submitting requests

for reimbursement of indirect expenses under this division. No certified

unauthorized practice of law committee shall apply for reimbursement or

be entitled to reimbursement for expenses that are reimbursed pursuant to

Gov. Bar R. V, Section 7.

(3) Quarterly reimbursement of certain indirect expenses. In addition to

applying annually for reimbursement pursuant to division (C)(2) of this section, a

certified unauthorized practice of law committee may apply quarterly to the Board

for reimbursement of the expenses set forth in divisions (C)(2)(a) and (b) of this

section that were necessarily and reasonably incurred during the preceding calendar

quarter. Quarterly reimbursement shall be subm itted in accordance with the

following schedule:

Reimbursement for the months of: Due by:

January, February, and March May 1

April, May, and June August 1

July, August, and September November 1

October, November, and December February 1 (with annual

reimbursement request)

Any expense that is eligible for quarterly reimbursement, but that is not submitted

on a quarterly reimbursement application, shall be submitted no later than the

appropriate annual reimbursement application pursuant to division (C)(2) of this

section and shall be denied by the Board if not timely submitted. The application

for quarterly reimbursement shall include an affidavit with documentation

demonstrating that the certified unauthorized practice of law committee incurred

the expenses set forth in divisions (C)(2)(a) and (b) of this section.

(D) Audit

Expenses incurred by certified unauthorized practice of law committees and reimbursed

under division (C) of this section may be audited at the discretion of the Board or the Court

and paid out of the Attorney Services Fund.

(E) Availability of funds

Reimbursement under division (C) of this section is subject to the availability of moneys

in the Attorney Services Fund.

(F) Deferral or denial of reimbursements

The Board may defer or deny an indirect reimbursement requested by a certified

unauthorized practice of law committee based on the committee’s failure to satisfy the

standards of Section 3(D) and (E) of this rule or bar counsel’s noncompliance with Section

4(C) of this rule.

Section 6. Public Access to Unauthorized Practice of Law Documents and Proceedings.

(A) Proceedings prior to filing of formal complaint

(1) Prior to the filing of a formal complaint with the Board, all proceedings, documents,

and deliberations relating to review, investigation, and consideration of allegations of the

unauthorized practice of law by a certified unauthorized practice of law comm ittee,

disciplinary counsel, or the Attorney General shall be confidential except as follows:

(a) Where the respondent expressly and voluntarily waives confidentiality of

the proceedings. A waiver of confidentiality does not entitle the respondent or any

other person access to documents or deliberations expressly designated as

confidential under this section.

(b) Where, in the course of an investigation by a certified unauthorized practice

of law committee, disciplinary counsel, or the Attorney General, it is found that a

person involved in the investigation may have violated federal or state criminal

statutes, the entity conducting the investigation shall notify the appropriate law

enforcement agency, prosecutorial authority, or regulatory agency of the alleged

criminal violation and may provide the agency or authority with information

concerning the criminal violation.

(2) A certified unauthorized practice of law committee, disciplinary counsel, or the

Attorney General may share information with each other or with the unauthorized practice

of law authority of another state or federal jurisdiction regarding the review, investigation

and consideration of unauthorized practice of law allegations.

(B) Proceedings before the Board

From the time a formal complaint has been filed with the Board, the complaint and all

subsequent proceedings conducted and documents filed in connection with the complaint

shall be public except as follows:

(1) Deliberations by a hearing panel of the Board and the Board shall be

confidential.

(2) The report and recommendations of a hearing panel of the Board shall be

confidential until the report of the full Board is filed with the Court. If the case is

dismissed either by the hearing panel or the Board pursuant to Section 12(D) or (H)

of this rul e, any report of the hearing panel shall be public upon the filing of an

order of dismissal. The report and recommendation of the Board shall be

confidential until the report is filed with the Court.

A party to a matter pending before the Board may file a motion requesting that the Board

restrict public access to all or a portion of a document filed with the Board. Additionally,

the chairperson of a hearing panel may request that the Board restrict pu blic access to all

or a portion of a document filed with the Board. In considering the motion or request, the

Board chairperson shall apply the standards set forth in Sup. R. 45(E). If the Board

chairperson finds that public access to a document should b e restricted, the order shall

direct the use of the least restrictive means available, including but not limited to redaction

of the information rather than limiting access to the entire document.

(D) Personal identifiers

A party to a matter pending before the Board shall be responsible for omitting personal

identifiers from a case document filed with the Board, consistent with Sup. R. 45(D). As

used in this rule, “personal identifiers” and “case document” shall have the same meaning

as in Sup. R. 44.

(E) Response to allegations

Notwithstanding the other provisions of this rule, the respondent’s reply to allegations of

the unauthorized practice of law, made during the course of an investigation by a certified

unauthorized practice of law committee, disciplinary counsel or the Attorney General, shall

be furnished to the complainant without waiving any other right to confidentiality provided

by this rule. If the respondent specifically requests, in writing, to the certified unauthorized

practice of law committee, disciplinary counsel or the Attorney General that the reply not

be furnished to the complainant, the certified unauthorized practice of law committee,

disciplinary counsel or the Attorney General shall not furnish the reply to the complainant.

Release to the complainant of the respondent’s reply is, nevertheless, encouraged and

consistent with the liberal construction of this rule for the protection of the public.

(F) Administrative and financial records

Except as otherwise provided in this section or in rules adopted by the Court, documents

and records pertaining to the administration and finances of the Board, including budgets,

reports, and records of income and expenditures, shall be made available, up on request,

as provided in Sup. R. 45.

Section 7. Filing and Investigation of Unauthorized Practice of Law Allegations

(A) Referral by secretary

The secretary may refer to the appropriate certified unauthorized practice of law

committee, disciplinary counsel, or the Attorney General any matters coming to the

attention of the Board or secretary for investigation as provided in this rule.

(B) Referral by certified unauthorized practice of law committee

If a certified unauthorized practice of law committee determines in the course of its

investigation that the allegations of the unauthorized practice of law under investigation

are sufficiently serious and complex as to require the assistance of disciplinary counsel or

the Attorney General, the chairperson of the certified unauthorized practice of law

committee may direct a written request for assistance to Disciplinary Counsel or the

Attorney General. Disciplinary counsel or the Attorney General shall rev iew and may

investigate all matters contained in the request and report the results of the investigation to

the committee that requested it.

(1) A certified unauthorized practice of law committee, disciplinary counsel or the

Attorney General shall review and may investigate any matter referred to it or that comes

to its attention and may file a formal complaint pursuant to this rule. The certified

unauthorized practice of law committee, disciplinary counsel or the Attorney General shall

provide the person alleged to have engaged in the unauthorized practice of law with a

minimum of fourteen days to respond to the allegations.

(2) Allegations of the unauthorized practice of law may be dismissed without

investigation if the allegations and supporting material do not allege facts that, if

substantiated, would constitute the unauthorized practice of law. A certified unauthorized

practice of law committee shall not dismiss allegations of the unauthorized practice of law

without investigation unless bar counsel has first reviewed the allegations.

(D) Time for investigation

(1) Upon written request of disciplinary counsel or a certified unauthorized practice of

law committee, the secretary may extend the time to complete an investigation beyond one

year in the event of pending litigation, appeals, unusually complex investigations,

including the investigation of multiple allegations, time delays in obtaining evidence or

testimony of witnesses, or for other good cause shown. If an investigation is not completed

within one year from the date of filing of the allegations or a good cause extension of that

time, the secretary may refer the matter either to a geographically appropriate certified

unauthorized practice of law committee or disciplinary counsel.

(2) Time limits set forth in this rule are not jurisdictional. No investigation or

complaint shall be dismissed unless it appears that there has been an unreasonable delay

and that the rights of the respondent to have a fair hearing have been violated.

Investigations that extend beyond one year from the date of filing are prima facie evidence

of unreasonable delay.

(E) Retaining outside experts

If a particular investigation may benefit from the services of an independent investigator,

auditor, examiner, assessor, or other expert, a certified unauthorized practice of law

committee may submit a written request to the secretary for permission to ret ain the

services of the outside expert. The written request shall include a general statement of the

purpose for which the request is being made and an estimate of the fees and costs expected

to be incurred. The outside expert may be retained upon receipt of written approval of the

secretary.

(F) Duty to cooperate

(1) The Board, disciplinary counsel, the Attorney General, and the president, secretary,

or chairperson of a certified unauthorized practice of law committee may call upon an

attorney or judicial officer in Ohio to assist in any investigation or to testify in any hearing

before the Board as to any matter as to which he or she would not be bound to claim

privilege as an attorney. No attorney or judicial officer shall neglect or refuse to assist in

any investigation or to testify.

(2) The failure or refusal of the subject of the allegations of the unauthorized practice

of law to cooperate with an investigation initiated under Section 7(C)(1) of this rule shall

create a rebuttable presumption of the unauthorized practice of law and constitute probable

cause for the filing of a complaint thereunder. No complaint shall be filed with the Board

unless the investigating authority has first attempted to notify the subject of the allegations

of the consequences of failure or refusal to cooperat e and given the subject of the

allegations the time specified in Section 7(C)(1) to cooperate.

(G) Referral of procedural questions to Board

In the course of an investigation, the chairperson of a certified unauthorized practice of law

committee, the Attorney General, bar counsel, or disciplinary counsel may direct a written

inquiry regarding a procedural question to the secretary. Upon receipt of a written inquiry,

the secretary shall consult with the chairperson of the Board and respond to the inquiry.

Section 8. Probable Cause Determinations; Appeals.

(A) Probable cause determination

The certified unauthorized practice of law committee, disciplinary counsel or the Attorney

General shall, upon the receipt of allegations of the unauthorized practice of law and

completion of any necessary investigation of those allegations, make a determi nation of

whether probable cause exists for the filing of a complaint. The certified unauthorized

practice of law committee, disciplinary counsel or the Attorney General may, upon

completion of its determination, file a complaint with the Board.

(B) Waiver of probable cause

If the subject of allegations of the unauthorized practice of law has expressly waived, in

writing, his, her or its right to a determination of probable cause by the certified

unauthorized practice of law committee, disciplinary counsel or the Attorney Gen eral

receiving the allegations of the unauthorized practice of law, said certified unauthorized

practice of law committee, disciplinary counsel or the Attorney General shall immediately

file a complaint with the Board and send a copy of the complaint by ce rtified mail to the

respondent.

The certified unauthorized practice of law committee, disciplinary counsel or the Attorney

General receiving the allegations of the unauthorized practice of law shall retain the

allegations and all documents and investigatory materials in accordance with the retention

standards found in Section 3(D)(1)(f) of this rule.

(D) Majority vote required

No complaint shall be filed by a certified unauthorized practice of law committee with the

Board unless a majority of a quorum of that committee determines, after the probable cause

review has been completed, that the complaint is warranted.

(E) Notice of intent not to file

If, after the probable cause review has been completed, the certified unauthorized practice

of law committee, disciplinary counsel or the Attorney General determines that the filing

of a complaint with the Board is not warranted, the complainant and the su bject of

allegations of the unauthorized practice of law shall be notified in writing of that

determination, with a statement of the reasons that a complaint was not filed with the

Board. This written notice shall advise the complainant of their right to have the

determination reviewed pursuant to division (F) of this section and the steps to obtain such

review. Upon request, the certified unauthorized practice of law committee, disciplinary

counsel or the Attorney General shall provide the subject of allegations of the unauthorized

practice of law with a copy of the allegations.

(F) Appeal

A complainant who is dissatisfied with a determination by a certified unauthorized practice

of law committee to not file a complaint may secure a review of the determination by filing

a written request with the secretary within fourteen days after the complainant is notified

of the determination. The secretary shall refer the request for review to disciplinary

counsel. The review shall be considered promptly by disciplinary counsel, a decision made

within thirty days, and the complainant notified. The standard of review for an appeal shall

be abuse of discretion or error of law. Extensions of time for completi on of the review

may be granted by the secretary, upon written request and for good cause shown. No

further review or appeal by a complainant is authorized. If the original determination is

not affirmed, any further proceedings shall be handled by disciplinary counsel.

Section 9. Requirements for Filing a Complaint.

(A) Notice of intent to file

No complaint shall be filed with the Board without first giving the subject of the allegations

or investigation written notice by certified mail of the intent of disciplinary counsel,

certified unauthorized practice of law committee or the Attorney General to file the

complaint and fourteen days to respond to the notice. The notice of intent shall include a

copy of the proposed complaint setting forth each allegation of the unauthorized practice

of law.

(B) Content of the complaint

(1) A complaint filed with the Board shall be a formal written complaint alleging the

unauthorized practice of law by one who shall be designated as the respondent. The

original complaint shall be filed in the office of the secretary. It shall be filed in the name

of either the bar association that sponsors the certified unauthorized practice of law

committee, disciplinary counsel or the Attorney General, as relator. The complaint shall

include all of the following:

(a) Allegations of specific instances of the unauthorized practice of law;

(b) A list of any penalties previously imposed against the respondent for the

unauthorized practice of law and the nature of the prior matter;

(d) The signatures of one or more attorneys admitted to the practice of law in

Ohio, who shall be counsel for the relator and, where applicable, by bar counsel;

(e) Whether or not the relator is aware that an underlying complainant or

individual is seeking a private remedy pursuant to R.C. 4705.07(C)(2).

(2) The complaint shall not include any documents, exhibits, or other attachments

unless specifically required by Civ. R. 10.

(1) The complaint shall be accompanied by a written certification, signed by the

president, secretary or chairperson of the certified unauthorized practice of law committee,

disciplinary counsel, or the Attorney General, who shall be the relator, that, after

investigation, relator believes probable cause exists to warrant a hearing on the complaint

and that counsel have accepted the responsibility of prosecuting the complaint to

conclusion. The certification shall constitute the authorization of the counsel to represent

the relator in the action as fully and completely as if designated and appointed by order of

the Court with all the privileges and immunities of an officer of the Court. The Attorney

General may serve as co-relator with any regularly organized bar association or

Disciplinary Counsel.

(2) Concurrently with the filing of a complaint alleging the unauthorized practice of

law, relator shall also file an original certificate from the Court, Office of Attorney

Services, certifying that the respondent is not admitted to the practice of law in the State of

Ohio or otherwise authorized to practice law in Ohio, and serve a copy thereof upon all

respondents, counsel of record, and the secretary.

(D) Forwarding of complaint

Upon the filing of a complaint, the relator shall forward a copy of the complaint to

disciplinary counsel, the certified unauthorized practice of law committees of the Ohio

State Bar Association, and any local bar association serving the county or counties from

which the complaint emanated.

Section 10. Interim Cease and Desist Order.

(A) Standard of review

(1) Upon receipt of substantial, credible evidence demonstrating that an individual or

entity has engaged in the unauthorized practice of law and poses a substantial threat of

serious harm to the public, or upon the failure to cooperate with an investigation i nitiated

under Section 7(C)(1) of this rule, the relator shall do both of the following:

(a) Prior to filing a motion for an interim cease and desist order, make a

reasonable attempt to provide the respondent with notice, which may include notice

by telephone, that a motion requesting an interim order that the respondent cease

and desist engaging in the unauthorized practice of law will be filed with the

Supreme Court and the Board.

(b) File a motion with the Court requesting that the Court order respondent to

immediately cease and desist engaging in the unauthorized practice of law. The

relator shall include, in its motion, proposed findings of fact, proposed conclusions

of law, and other information in support of the requested order. Evidence relevant

to the requested order shall be attached to or filed with the motion. The motion

shall include a certificate detailing the attempts made by relator to provide advance

notice to the respondent of relator's intent to file the motion. The motion also shall

include a certificate of service on the respondent at the most recent address of the

respondent known to the relator.

(2) After the filing of a motion for an interim cease and desist order, the respondent

may file a memorandum opposing the motion in accordance with the Rules of Practice of

the Supreme Court of Ohio. The respondent shall attach or file with the memorandum any

rebuttal evidence and simultaneously file a copy with the Board. If a memorandum in

opposition to the motion is not filed, the Court shall rule on the motion pursuant to division

(B) of this section.

(B) Order of the Court

Upon consideration of the motion required by division (A) of this section and any

memorandum in opposition filed, the Court may enter an order that the respondent cease

and desist engaging in the unauthorized practice of law, pending final disposition of

proceedings before the Board, predicated on the conduct posing a substantial threat of

serious harm to the public, or may order other action as the Court considers appropriate.

(1) The respondent may request rescission or modification of the cease and desist order

by filing a motion with the Court. The motion shall be filed within thirty days of entry of

the cease and desist order, unless the respondent first obtains leave of the Co urt to file a

motion beyond that time. The motion shall include a statement and all available evidence

as to why the respondent no longer poses a substantial threat of serious harm to the public.

A copy of the motion shall be served by the respondent on the relator. The relator shall

have ten days from the date the motion is filed to file a response to the motion. The Court

shall promptly review the motion after a response has been filed or after the time for filing

a response has passed.

(2) In addition to the motion allowed by division (C)(1) of this section, the respondent

may file a motion requesting rescission of the interim cease and desist order, alleging that

one hundred eighty days have elapsed since the entry of the order and the relator has failed

to file with the Board a formal complaint predicated on the conduct that was the basis of

the order. A copy o f the motion shall be served by the respondent on the relator. The

relator shall have ten days from the date the motion is filed to file a response to the motion.

The Court shall promptly review the motion after a response has been filed or after the time

for filing a response has passed.

(D) Rules of Practice

The Rules of Practice of the Supreme Court of Ohio shall apply to interim cease and desist

proceedings filed pursuant to this section.

(E) Certified copies

Upon the entry of an interim cease and desist order or an entry of rescission or modification

of such order, the Clerk of the Court shall mail certified copies of the order as provided in

Section 18(D) of this rule.

Section 11. Duty of the Board Upon Filing of the Complaint; Notice to Respondent.

The secretary shall send a copy of the complaint by both ordinary mail with a certificate of mailing

and by certified mail to respondent at the address indicated on the complaint with a notice of the

right to file, within twenty days after the mailing of t he notice, an answer and to serve a copy of

the answer upon counsel of record named in the complaint. Extensions of time may be granted,

for good cause shown, by the secretary.

Section 12. Proceedings of the Board After Filing of the Complaint.

(A) Hearing Panel

(1) Appointment

(a) After respondent’s answer has been filed, or the time for filing an answer

has elapsed, the secretary shall appoint a hearing panel consisting of three

commissioners chosen by lot. At least two members of the hearing panel shall be

attorney commissioners. The secretary shall designate one of the attorney

commissioners as chairperson of the panel. The secretary shall serve a copy of the

entry appointing the panel on the respondent, relator, and all counsel of record.

(b) In the event that an insufficient number of commissioners are able, for any

reason, to serve on a hearing panel, the secretary shall have the authority, with the

approval of the Board chairperson, to appoint one or more former commissioners

of the Board to the hearing panel.

(2) Initial procedures

A majority of the panel shall constitute a quorum. The panel chairperson shall rule

on all motions and interlocutory matters. The panel chairperson shall have a

transcript of the testimony taken at the hearing, and the cost of the transcript shall

be paid from the Attorney Services Fund and taxed as costs.

(3) Hearing

Upon reasonable notice and at a time and location set by the panel chairperson, the

panel shall hold a formal hearing. Requests for continuances may be granted by

the panel chairperson for good cause. The panel may take and hear testimony in

person or by deposition, administer oaths, and compel by subpoena the attendance

of witnesses and the production of books, papers, documents, records, and

materials.

(B) Motion for default

If no answer has been filed within twenty days of the answer date set forth in the notice to

respondent of the filing of the complaint, or any extension of the answer date, relator shall

file a motion for default. Prior to filing, relator shall make reaso nable efforts to contact

respondent. A motion for default shall contain at least all of the following:

(1) A statement of the effort made to contact respondent and the result;

(2) Sworn or certified documentary prima facie evidence in support of the

allegations of the complaint;

(3) Citations of any authorities relied upon by relator;

(4) A statement of any mitigating factors or exculpatory evidence of which

relator is aware;

(5) A statement of the relief sought by relator;

(6) A certificate of service of the motion on respondent at the address stated on

the complaint and at the last known address, if different. The hearing panel

appointed pursuant to division (A) of this section shall rule on the motion for

default. If the motion for default is granted by the panel, the panel shall prepare a

report for review by the Board pursuant to division (H) of this section. If the motion

is denied, the hearing panel shall proceed with a formal hearing pursuant to division

(A) of this sec tion. The Board chairperson or vice-chairperson may set aside a

default entry, for good cause shown, and order a hearing before the hearing panel

at any time before the Board renders its decision pursuant to division (G) of this

section.

The hearing panel shall follow the Rules of Civil Procedure and Rules of Evidence

wherever practicable, unless a provision of this rule or Board hearing procedures and

guidelines provide otherwise. The panel chairperson shall rule on evidentiary matters. All

evidence shall be taken in the presence of the hearing panel and the parties except where a

party is absent, is in default, or has waived the right to be present. The hearing panel shall

receive evidence by sworn testimony and may receive additional evidence as it determines

proper. Any documentary evidence to be offered shall be served upon the adverse parties

or their counsel and the hearing panel at least thirty days before the hearing, unless the

parties or their counsel otherwise agree or the hearing panel otherwise orders. All evidence

received shall be given the weight the hearing panel determines it is entitled after

consideration of objections.

(D) Authority of hearing panel; dismissal

If at the end of evidence presented by relator or of all evidence, the hearing panel

unanimously finds that the evidence is insufficient to support a charge or count of the

unauthorized practice of law, or the parties agree that the charge or count should be

dismissed, the panel chairperson may order that the complaint or count be dismissed. The

panel chairperson shall give written notice of the action taken to the Board, the respondent,

the relator, all counsel of record, disciplinary counsel, the Attorne y General, and all

certified unauthorized practice of law committees.

(E) Hearing on stipulated facts

(1) A stipulation of facts and waiver of notice and hearing, mutually agreed and

executed by relator and respondent, or counsel, may be filed with the Board prior to the

date set for formal hearing. If a stipulation and waiver are filed, the parties are not required

to appear before the hearing panel for a formal hearing, and the hearing panel shall render

its decision based upon the pleadings, stipulation, and other evidence admitted.

(2) The stipulation of facts must contain sufficient information to demonstrate the

specific activities in which the respondent is alleged to have engaged and to enable the

Board to determine whether respondent has engaged in the unauthorized practice of law.

(3) The waiver of notice and hearing shall specifically state that the parties waive the

right to notice of and appearance at the formal hearing before the hearing panel.

(F) Referral by the panel

If the hearing panel is not unanimous in its finding that the evidence is insufficient to

support a charge or count of the unauthorized practice of law, the panel may refer its

findings of fact and recommendations for dismissal to the Board for review and action by

the full Board. The panel shall submit to the Board its findings of fact and recommendation

of dismissal in the same manner as provided in this rule with respect to a finding of the

unauthorized practice of law pursuant to division (G) of this section.

(G) Finding of unauthorized practice of law; duty of hearing panel

If the hearing panel determines, by a preponderance of the evidence, that respondent has

engaged in the unauthorized practice of law, the hearing panel shall file its report of the

proceedings, findings of facts and recommendations with the secretary for r eview by the

Board. The report shall include the transcript of testimony taken and an itemized statement

of the actual and necessary expenses incurred in connection with the proceedings.

(H) Review by entire Board

The Board shall review all reports submitted by hearing panels. After review, the Board

may remand the matter to the hearing panel for further hearings, dismiss the complaint or

find that the respondent has engaged in the unauthorized practice of law. If the complaint

is dismissed, the dismissal shall be reported to t he secretary, who shall notify the same

persons and organizations that would have received notice if the complaint had been

dismissed by the hearing panel.

(I) Finding of unauthorized practice of law; duty of Board

If the Board determines, by a preponderance of the evidence, that the respondent has

engaged in the unauthorized practice of law, the Board shall file the original final report

with the Clerk of the Supreme Court. The final report shall include the Board' s findings,

recommendations, a transcript of testimony, if any, an itemized statement of costs,

recommendation for civil penalties, if any, and a certificate of service listing the names and

addresses of all parties and counsel of record. The secretary shall serve a copy of the final

report upon all parties and counsel of record, and a copy of the final report, less any

transcript and statement of costs, upon disciplinary counsel, the Attorney General, and all

certified unauthorized practice of law committees.

Section 13. Settlement of Complaints; Consent Decree Agreements.

(A) Resolution procedure

The proposed resolution of a complaint filed pursuant to Section 9 of this rule, prior to

adjudication by the Board, shall not be permitted without the prior review of the Board and

the Supreme Court. Parties contemplating the proposed resolution of a complaint shall file

a motion to approve a proposed consent decree agreement with the secretary which shall

be forwarded to the hearing panel. If the hearing panel, by majority vote, recommends

acceptance of the agreement and concurs in the agreed recommended civil penalty, if any,

the matter shall be submitted to the Board for consideration.

(1) The motion shall be accompanied by a proposed consent decree agreement

that is signed by the respondent, respondent's counsel, if the respondent is

represented by counsel, and the relator that shall contain the following:

(a) A stipulation of facts and waiver of notice and hearing;

(b) An explanation of how the proposed consent decree agreement

complies with the applicable factors set forth in division (B) of this section;

set forth in Section 15(B) of this rule and Regulation 400(F) of the

Regulations Governing Procedure on Complaints and Hearings Before the

Board on the Unauthorized Practice of Law; and

(d) An itemized statement of relator’s costs or a statement that no costs

have been incurred.

(2) The motion may be accompanied by a brief filed by either party, or jointly

filed by both parties, in support of the agreement.

(3) The panel chairperson may order the parties to supplement the agreement

with additional information or exhibits to facilitate the hearing panel’s

consideration of the agreement.

(B) Consent decree agreement requirements

A proposed consent decree agreement shall be considered and approved by the hearing

panel, the Board and the Court based on the following factors:

(1) The extent the proposed consent decree agreement:

(a) Protects the public from future harm and remedies any substantial

injury;

(b) Resolves material allegations of the unauthorized practice of law;

rise to the complaint;

(d) Contains an admission that the conduct constitutes the unauthorized

practice of law;

(e) Contains an agreement by the respondent to cease and desist the

alleged activities;

(f) Furthers the stated purposes of this rule;

(g) Designates whether civil penalties are to be imposed in accordance

with Section 16 of this rule;

(h) Assigns the party responsible for costs, if any.

(2) Any other relevant factors.

Upon receipt of a proposed consent decree agreement, the assigned hearing panel shall

prepare and file a written report to the Board setting forth its recommendation for the

acceptance or rejection of the proposed resolution. The Board shall vote to accept or reject

the proposed consent decree agreement. Upon a majority vote to accept a consent decree

agreement, the Board shall prepare and file a final report with the Supreme Court in

accordance with division (D)(l) of this section.

(D) Review by the Court

(1) After approving a proposed consent decree agreement, the Board shall file an

original final report and the proposed consent decree agreement with the Clerk of the

Supreme Court. A copy of the report shall be served upon all parties and counsel of record.

Neither party shall be permitted to file an objection to the final report.

(2) A consent decree agreement may be approved or rejected by the Supreme Court. If

a consent decree agreement is approved, the Court shall issue a consent decree.

(E) Rejection of a proposed consent decree agreement

(1) A complaint will proceed on the merits pursuant to this rule if a proposed consent

decree agreement is rejected by either the Board or the Supreme Court. Upon rejection by

the Board, an order shall be issued rejecting the proposed consent decree agreement and

remanding the matter to the hearing panel for further proceedings. Upon rejection by the

Supreme Court, an order shall be issued remanding the matter to the Board with

instructions.

(2) A rejected proposed consent decree agreement shall not be admissible or otherwise

used in a subsequent proceeding before the Board.

(3) No objections or other appeal may be filed with the Supreme Court upon a rejection

by the Board of a proposed consent decree agreement.

(F) Consultation on terms of proposed consent decree agreement

The parties may consult with secretary or with the chairperson of the hearing panel

concerning the terms of a proposed consent decree agreement.

(G) Recording of consent decree agreement

All consent decree agreements approved by the Supreme Court shall be recorded for

reference by the Board, certified unauthorized practice of law committees, disciplinary

counsel and the Attorney General.

(H) Application

This section shall not apply to the resolution of matters considered by a certified

unauthorized practice of law committee, disciplinary counsel, or the Attorney General

before a complaint is filed pursuant to Section 11 of this rule.

Section 14. Costs; Civil Penalties.

(A) Costs

(1) As used in Section 15 of this rule, “costs” includes all of the following:

(a) The expenses of relator, as described in Section 6 of this rule, that have been

reimbursed by the Board;

(b) The direct expenses incurred by the hearing panel and the Board, including,

but not limited to, the expense of a court reporter and transcript of any hearing

before the hearing panel.

(2) “Costs” shall not include attorney's fees incurred by the relator.

(B) Civil penalties

The Board may recommend, and the Supreme Court may impose, civil penalties in an

amount up to ten thousand dollars per offense. Any penalty shall be based on the following

factors:

(1) The degree of cooperation provided by the respondent in the investigation;

(2) The number of occasions that the unauthorized practice of law was

committed;

(3) The flagrancy of the violation;

(4) Harm to third parties arising from the offense;

(5) Any other relevant factors.

Section 15. Records.

The secretary shall maintain permanent public records of all matters processed by the Board and

the disposition of those matters.

Section 16. Rules to Be Liberally Construed.

A complaint may be amended by the relator at any time prior to the filing of an answer by the

respondent. A complaint may be amended by the relator after the respondent has filed an answer

only with the consent of the panel chair or by agreement of the parties. The respondent shall be

given reasonable opportunity to respond to any new matter presented by an amendment. This rule

and regulations relating to investigations and proceedings involving complaints the of

unauthorized practice of law shall be liberally construed for the protection of the public, the courts,

and the legal profession and shall apply to all pending investigations and complaints so far as may

be practicable, and to all future investigations and complaints whether the conduct involve d

occurred prior or subsequent to the enactment or amendment of this rule.

Section 17. Records and Proceedings Public.

All records, documents, proceedings, and hearings of the Board relating to investigations and

complaints pursuant to this rule shall be public, except that deliberations by a hearing panel and

the Board shall not be public.

Section 18. Review by Supreme Court of Ohio; Orders; Costs.

(A) Show cause order

After the filing of a final report of the Board, the Supreme Court shall issue to the parties

an order to show cause why the report of the Board shall not be confirmed and an

appropriate order granted. Notice of the order to show cause shall be served by the Clerk

of the Court on the respondent at the address provided in the Board’s report by certified

mail and ordinary mail with a certificate of mailing and on all counsel of record by certified

mail or electronic service address.

(B) Response to show cause order

Within twenty days after the issuance of an order to show cause, the respondent or relator

may file objections to the findings or recommendations of the Board and to the entry of an

order or to the confirmation of the report on which the order to show caus e was issued.

The objections shall be accompanied by a brief in support of the objections and proof of

service of copies of the objections and the brief on the secretary and all counsel of record.

Objections and briefs shall be filed in the number and form by the Rules of Practice of the

Supreme Court of Ohio.

Answer briefs and proof of service shall be filed within fifteen days after briefs in support

of objections have been filed. All briefs shall be filed in the number and form required for

original actions by the Rules of Practice of the Supreme Court of Oh io, to the extent such

rules are applicable.

(D) Supreme Court proceedings

(1) After a hearing on objections, or if objections are not filed within the prescribed

time, the Court shall enter an order as it finds proper. If the Court finds that respondent’s

conduct constituted the unauthorized practice of law, the Court shall issue a n order that

does one or more of the following:

(a) Prohibits the respondent from engaging in any such conduct in the future;

(b) Requires the respondent to reimburse the costs and expenses incurred by the

Board and the relator pursuant to this rule;

imposed regardless of whether the Board recommended imposition of the penalty

pursuant to Section 16(B) of this rule and may be imposed for an amount greater or

less than the amount reco mmended by the Board, but not to exceed ten thousand

dollars per offense.

(2) Payment for costs, expenses, and penalties imposed under this rule shall be

deposited in the Attorney Services Fund established under Gov. Bar R. VI, Section 8.

(E) Notice

Upon the entry of any order pursuant to this rule, the Clerk of the Court shall mail certified

copies of the entry to all parties and counsel of record, the Board, Disciplinary Counsel,

and the Ohio State Bar Association. Notice may be served on counsel of record, the Board,

Disciplinary Counsel, and the Ohio State Bar Association at their electronic service address

or published electronic address.

(F) Publication

The Supreme Court reporter shall publish any order entered by the Court under this rule in the

Ohio Official Reports, the Ohio State Bar Association Report.

Sections 19 to 30. RESERVED

Section 31. Definitions.

As used in this rule:

(A) “Complaint” means a formal written allegation of the unauthorized practice of law

by a person designated as the respondent filed with the Board by a person designated as

the relator.

(B) “Confidential” acknowledges the restrictions and requirements of Sections 1 and 4

of this rule, the necessity of confidentiality of all proceedings, documents, and deliberations

of a certified unauthorized practice of law committee, disciplinary counsel, the Attorney

General, and the Board and its hearing panels.

between the parties and submitted to the Board. If approved by the Board, it is submitted

to the Supreme Court. It becomes a consent decree if approved by the Court. The consent

decree is the final judgment of the Court and is enforceable through contempt proceedings

before the Court.

(D) “Electronic service address” means the email address designated by an attorney for

service of documents pursuant to Gov. Bar R. VI, Section 4(B)(2).

(E) “Judicial officer” means any natural person who is subject to the Code of Judicial

Conduct as set forth in the Application section of that code.

(F) “Misconduct” means the unauthorized practice of law.

(G) “Person” means a natural person or legal entity capable of suing or being sued.

(H) “Probable cause” means there is substantial, credible evidence that misconduct has

been committed.

(I) “Proposed resolution” means a proposed settlement agreement or a proposed

consent decree agreement.

(J)(1) “Unauthorized practice of law” means:

(a) The rendering of legal services for another by any person not admitted to

practice in Ohio under Rule I of the Supreme Court Rules for the Government of

the Bar unless the person is:

(i) Certified as a legal intern under Gov. Bar R. II and rendering legal

services in compliance with that rule;

(ii) Granted corporate status under Gov. Bar R. VI and rendering legal

services in compliance with that rule;

(iii) Certified to temporarily practice law in legal services, public

defender, and law school programs under Gov. Bar R. IX and rendering

legal services in compliance with that rule;

(iv) Registered as a foreign legal consultant under Gov. Bar R. XI and

rendering legal services in compliance with that rule;

(v) Granted permission to appear pro hac vice by a tribunal in a

proceeding in accordance with Gov. Bar R. XII and rendering legal services

in that proceeding;

(vi) Rendering legal services in accordance with Rule 5.5 of the Ohio

Rules of Professional Conduct (titled “Unauthorized Practice of Law;

Multijurisdictional Practice of Law”).

(b) The rendering of legal services for another by any person:

(i) Disbarred from the practice of law in Ohio under Gov. Bar R. V;

(ii) Designated as resigned or resigned with disciplinary action pending

under former Gov. Bar R. V (prior to September 1, 2007);

(iii) Designated as retired or resigned with disciplinary action pending

under Gov. Bar R. VI.

practice of law in Ohio under Gov. Bar R. I while the person is:

(i) Suspended from the practice of law under Gov. Bar R. V;

(ii) Registered as an inactive attorney under Gov. Bar R. VI;

(iii) Summarily suspended from the practice of law under Gov. Bar R.

VI for failure to register;

(iv) Suspended from the practice of law under Gov. Bar R. X for failure

to satisfy continuing legal education requirements;

(v) Registered as retired under former Gov. Bar R. VI (prior to

September 1, 2007).

(d) Holding out to the public or otherwise representing oneself as authorized to

practice law in Ohio by a person not authorized to practice law by the Supreme

Court Rules for the Government of the Bar or Prof. Cond. R. 5.5.

(2) For purposes of this section, “holding out” includes conduct prohibited by divisions

(A)(l) and (2) and (B)(l) of section 4705.07 of the Revised Code.

History

[Not analogous to former Rule VII, effective October 20, 1975; amended effective April 13, 1977; November 6, 1978; April 25, 1983; July 1, 1983; November 30, 1983; June 6, 1988; January 1, 1989; January 1, 1990; January 1, 1992; January 1, 1993; January 1, 1995; June 16, 2003; January 1, 2005; November 1, 2007; January 1, 2008; September 1, 2008; September 1, 2010; January 1, 2011; January 1, 2013; January 1, 2015; July 1, 2021; December 1, 2022; October 15, 2024.]

Provenance

Source: supremecourt.ohio.gov
Retrieved: 2026-09-22
Edition: 2026-09-14
Content hash: 76d47c90614487595bb141713a34656e9bcf7ca4f9b9635ea52f79a6531dc162

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