RULESOFTHEUNAUTHORIZEDPRACTICEOFLAWSUBCOMMITTEE

OFTHEBOARDONPROFESSIONALRESPONSIBILITY

Revised,effectiveSept.12,2017.

I. StructureandScope

Rule

1. The Unauthorized Practice of Law Subcommittee of the Board onProfessionalResponsibility.

2. AbstentionofSubcommitteemembers.

3. Meetings,administrationandreports.

II. Procedure

4. Intakeofcomplaints.

5. Investigations.

6. Formalproceedings.

7. Serviceofpetitionandotherpapers;filing.

8. Subpoenasanddiscovery.

9. Hearings.

10. Witnessesandevidence.

11. Burdenofproof.

12. Relatedlitigation.

13. Rulings,orders,andreports.

14. Voluntarycompliance.

15. Noticetocomplainant.

16. Costs.

III.EnforcementProceedings

17.RulingsoftheHearingPanel.

18.Objections.

19.Enforcementproceedings.

IV.MiscellaneousProvisions

20.Immunity.

21.Confidentiality.

22.Natureofproceedings.

23.Time.

24.Limitationsonactions.

25.Complaintsagainstnon-lawyermembersorassociatemembers.

26.Permanentfileofopinions.

27.DisciplinaryCounsel.

28.Effectivedate.

IndexfollowsRules.

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ORDEROFADOPTION

This21stdayofMay,1991, itappearing to theCourt that theBoardon theUnauthorizedPracticeofLawhasneedforinterimrules;

NOW,THEREFORE,ITISORDEREDthat:

(2)TheattachedInterimRulesoftheBoardontheUnauthorizedPracticeofLawshallbe,andherebyare,adoptedeffectivethisdate.

Scope.—Pursuant totheDelawareSupremeCourt’s inherentandexclusiveauthorityandjurisdictionovermattersdealingwith theprofessionandpracticeof law in the State of Delaware, the Court has created the Board on theUnauthorizedPractice ofLawpursuant to SupremeCourtRule 86 in order to

consider such matters and to recommend appropriate action to the Court.Pursuant to SupremeCourt Rule 64, the Court has also created theOffice ofDisciplinaryCounsel,which is the intakeagencyforallmatters relating to theunauthorizedpracticeof law,andwhichevaluates, investigates,andprosecutessuch cases. The following Rules delineate the structure and procedures for acomprehensive regulatory system intended to protect the public fromoccurrencesoftheunauthorizedpracticeoflawintheStateofDelaware.

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• I. »Del.UPLRulesI

I.STRUCTUREANDSCOPE

• I. »,• Rule1. »Del.UPLRule1

Rule1.TheUnauthorizedPracticeofLawSubcommitteeof theBoardonProfessionalResponsibility.

(a)Composition, powers and duties. The composition of the UnauthorizedPracticeofLawSubcommitteeoftheBoardonProfessionalResponsibilityshallbesetforthinSupremeCourtRule62.SubjecttotheapprovaloftheCourt,theSubcommitteeshall

(1)havethepowertotaketestimonyunderoath,andtocompeltheattendanceofwitnessesand theproductionofdocumentsby the filingofapraecipe forasubpoenawiththeClerkoftheSupremeCourt,serviceofsuchsubpoenatobemadebytheSheriffofKentCounty;

(2)conductsuchinvestigationsandhearingsasmaybenecessaryrespectinganyquestionsoftheunauthorizedpracticeoflaw,tomakefindingsoffactandconclusionsof lawregardingthesame, tomakerecommendations to theCourtastothedispositionofindividualmatters,andtofileitsreportofsuchfindingswiththeCourtinatimelymanner;and

(3) assess and require the payment of the Subcommittee’s reasonable costsandexpensesbyanypersonororganizationfoundbytheCourttobeengaginginthe unauthorized practice of law, or attendant to any investigation or hearingwhichresults inacessationof theunauthorizedpracticeof laworanOrderofthisCourtdirectingthesame.

(b)Advisoryopinions.TheSubcommitteeshallnot renderadvisoryopinionsontheunauthorizedpracticeoflaw.

• I. »,« Rule2. »Del.UPLRule2

Rule2.AbstentionofSubcommitteemembers.

Members shall refrain from takingpart inanyproceeding inwhicha judge,similarlysituated,wouldberequiredtoabstainandshallforthepurposesofsuchproceedingonly,beconsidered“disqualified.”

• I. »,« Rule3. •Del.UPLRule3

Rule3.Meetings,administrationandreports.

(a)Meetings.FromtimetotimetheSubcommitteemaymeetuponcallofitsChair, or upon call of the Supreme Court, at such place and time as may bespecifiedinthecall.Exceptinrespectofahearinginanyformalproceeding,theSubcommittee,oranyofthemembersthereof,mayparticipateinanymeetingoftheSubcommittee,bytelephoneorelectronicmeans,participationinameetingpursuanttothissubsectionshallconstitutepresenceinpersonatthemeeting.

(b)Administrationofsystem.TheSubcommitteeAdministratorshallassisttheSubcommitteewith assignment ofHearing Panels, the scheduling of hearings,and the filing, docketing, and maintenance of pleadings and other papersconstituting the official record in individual unauthorized practice cases. TheSupremeCourtmay designate a person on its staff to serve as SubcommitteeAdministrator.

(c)Reports.Onorbefore January31st, theSubcommittee shall file a reportwiththeSupremeCourtadvisingtheCourtofthefollowing:

(1)ThenumberofpetitionsfiledwiththeSubcommitteeduringthepreviousyear.

(2)Thenumberofhearingsconductedbypanelsduringthepreviousyear.

(3)ThenumberofrecommendationsfiledwiththeCourtduringthepreviousyear.

(4) The number of matters resolved through the Rule 14 Affidavit ofVoluntaryComplianceprocedureduringthepreviousyear.

(5) The number and status of matters pending as of the date of theSubcommitteeChair’sreport.

« II. »Del.UPLRulesII

II.PROCEDURE

« II. »,• Rule4. »Del.UPLRule4

Rule4.Intakeofcomplaints.

(a)Complaints.Allinformation,whetherreceivedbycomplaintorotherwise,regardingapossibleoccurrenceoftheunauthorizedpracticeoflawintheStateofDelawareshall initiallybeprocessedby theOfficeofDisciplinaryCounsel,which shall act as the intake agency for the receipt of all such information.Complaints should be in writing. Upon receipt of any such information,Disciplinary Counsel shall open an appropriate file and assign the matter adocketnumber.Neitherunwillingnessnorneglectofthecomplainanttopressacomplaintoncemade,norsettlement,norcompromisebetweenthecomplainantand any respondent, nor restitution by the respondent shall, in itself, justifyabatementoftheprocessingofanycomplaint.

(b)Evaluationandsummarydismissal.Upon the receipt anddocketingof acomplaint or other information regarding a possible occurrence of theunauthorizedpracticeoflawintheStateofDelaware,DisciplinaryCounselshallconductanevaluationofthematter.If thecomplaintorinformationonitsfacedoesnotindicateanoccurrenceoftheunauthorizedpracticeoflawintheStateofDelaware,DisciplinaryCounsel shall summarilydismiss thematterwithoutprejudiceandclosethefilewithwrittennoticetothecomplainant.

(c) Criteria for evaluation. In evaluating any information involving thepossible unauthorized practice of law in the State of Delaware, DisciplinaryCounselshallinitiallydeterminewhetherthepersonwhichisthesubjectofsuchinformationisotherwiseauthorizedtopracticelawintheStateofDelaware.Ifnot,DisciplinaryCounselshallthendeterminewhethersuchpersonhaspossiblyengaged in any of the following types of conduct: (i) giving legal advice onmattersrelatingtoDelawarelaw,(ii)draftinglegaldocumentsorpleadingsforapersonorentity(otherthanone’sself)reflectinguponDelawarelaw,foruseinaDelaware legal tribunal or governmental agency, unless the drafting of suchdocumentsorpleadingshasbeensupervisedbyapersonauthorizedtopracticelaw in theStateofDelaware, (iii) appearingas legal counsel for,orotherwiserepresenting, a person or entity (other than one’s self) in a Delaware legal

tribunalorgovernmentalagency,(iv)holdingone’sselfoutasbeingauthorizedtopractice lawin theStateofDelaware, (v)engaging inanactivitywhichhastraditionallybeenperformedexclusivelybypersonsauthorized topractice law,and (vi) engaging in any other act which may indicate an occurrence of theunauthorizedpracticeoflawintheStateofDelawareasestablishedbycaselaw,statute,ruling,orotherauthority.TheforegoingdescriptionoftypesofconductaretobeusedasgeneralguidelinesforevaluationbyDisciplinaryCounsel,andnotasdefinitionsoftheunauthorizedpracticeoflaw.

COMMENT

ForpurposesofRule4(b), a “complaintor informationon its facedoesnotindicateanoccurrenceoftheunauthorizedpracticeoflaw”wheneither:

(1) The factual allegations, even if true, do not constitute the unauthorizedpracticeoflaw,or

(2)Thefactualallegationsinthecomplaintorinformationrisetotheleveloftheirrationalorwhollyincredible.

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NOTESTODECISIONS

Administrativehearings.

TheDelawareSupremeCourt’sjurisdictiontoissuewritstoinferiorcourtsoftheStatedidnot, in theabsenceofanychanges torulesof thatcourtor to theRules of the Board on Unauthorized Practice of Law, extend to permit it toprohibit the Office of Disciplinary Counsel, on a one-time basis, fromproceedingagainstpetitionerwhosought representationbyanon-lawyerat aneducational administrative hearing, based on petitioner’s claimed inability tofindanattorneyinthatspecialty.InreMachette,852A.2d908(Del.2004).

Parentalrepresentation.

Parent’s representation of respondent in juvenile criminal proceedingwouldhave constituted the unauthorized practice of law because the parent’s actionswouldhaveconstitutedlegaladviceandrepresentation;therewasnoexceptionto the rule requiring attorney representation under Sup. Ct. R. 12 allowing aparenttoactontheirchild’sbehalf.Statev.J.R.M.,—A.3d—,2016Del.Fam.Ct.LEXIS31(Del.Fam.Ct.July12,2016).

« II. »,« Rule5. »Del.UPLRule5

Rule5.Investigations.

(a) Investigation by Disciplinary Counsel. If the evaluation of a matter byDisciplinary Counsel does not result in summary dismissal under Rule 4(b),DisciplinaryCounselshallproceedtoinitiateaninvestigationofthematter,withwrittennoticetotheSubcommitteeandthecomplainant.

(b)Subpoenas.FollowingthedesignationofamatterasaninvestigationunderRule5(a),DisciplinaryCounselmayadministeroathsandaffirmationsandmaycompelbysubpoenatheattendanceofwitnessesandtheproductionofrelevantbooks,papers,anddocuments.SubpoenasshallbeissuedunderthesignatureofDisciplinaryCounselandservedbyanymeansdeemedappropriate.

(c) Dismissal after investigation. Following an investigation, DisciplinaryCounselmaydismissthematterwithoutprejudiceandclosethefilewithwrittennotice to the complainant. When an investigation has revealed that there isinsufficient evidence of conduct involving an occurrence of the unauthorizedpractice of law in the State of Delaware to prosecute the matter further, themattershallbedismissed.

« II. »,« Rule6. »Del.UPLRule6

Rule6.Formalproceedings.

(a)ApprovalofpetitionbySubcommitteeChairorViceChair.Followinganinvestigation, ifDisciplinaryCounseldeterminesthereissufficientevidenceofconductinvolvinganoccurrenceoftheunauthorizedpracticeoflawintheStateofDelaware towarrant further prosecution,DisciplinaryCounsel shall draft apetition seeking appropriate relief directed to the Subcommittee. The petitionshall be sufficiently clear and specific to inform the respondent of the allegedunauthorized practice of law, and shall contain a notice that the respondent’sfailuretofilearesponsewiththeSubcommitteeinatimelymannerwillresultinthe allegations and charges contained therein being deemed as conclusivelyestablished. Disciplinary Counsel shall submit the draft petition to theSubcommitteeChairorViceChair for review,andnopetitionmaybefiledbyDisciplinaryCounselwithoutpriorapprovaloftheSubcommitteeChairorViceChair.TheSubcommitteeChairorViceChairshallnotthereafterparticipateonapanelthatdecidesthematteronthemerits.

(b)Commencement of formal proceedings. Following approval of a petitionby theSubcommitteeChairorViceChair,DisciplinaryCounsel shall signandfile the petition with the Subcommittee Administrator, and shall serve thepetitionupon therespondentpursuant to theseRules.Therespondentshall fileananswerwiththeSubcommitteeAdministratorwithin20daysofserviceofthepetition, with service of same upon Disciplinary Counsel. In the event therespondent fails toanswer ina timelymanner,all factualallegationscontainedthereinshallbedeemedasconclusivelyestablished.

(c) Hearing Panels. Following the commencement of formal proceedingspursuanttoRule6(b),theSubcommitteeAdministratorshallappointaHearingPanel,whichshallconsistofthreemembers,twoshallbelawyersandoneshallbe a non-lawyer. The chair of the Hearing Panel shall be a lawyer. TheSubcommitteeChairshallnotserveasamemberofaHearingPanelunlessnoothermember of theSubcommittee is available. Prior to the appointment of aHearing Panel in a formal proceeding, the SubcommitteeChair shall considerand determine all procedural, evidentiary, and administrative issues relating tothe proceeding; after such appointment but prior to a hearing, the chair of theHearingPanelshallconsideranddetermineallsuchissues,exceptasotherwisestated in these Rules. Upon the commencement of a hearing in a formalproceeding, the making of any subsequent ruling, disposition, order, or final

reportbytheHearingPanelshallrequireamajorityvoteofitspanelists.

« II. »,« Rule7. »Del.UPLRule7

Rule7.Serviceofpetitionandotherpapers;filing.

(a)Service.Serviceofthepetitionupontherespondentshallbemadeeitherinthemanner provided for service of a civil complaint under theRules ofCivilProcedure for theSuperiorCourt or bemadeby anyperson authorizedby theSubcommitteetomakesuchservice.

Allpaperssubsequent to thepetitionwhichare filedwith theSubcommitteeshall be served upon each party to the proceeding. Service upon a partyrepresentedbyanattorneyshallbemadebyservingtheattorneyunlessserviceupon the party personally is ordered by the Subcommittee. Service upon theattorneyoruponapartyshallbemadebydeliveringacopy to theattorneyorparty or bymailing it to the attorney or party at the attorney’s or party’s lastknownaddressor,ifnoaddressisknown,byleavingitwiththeSubcommitteeAdministrator.

DeliveryofacopywithinthisRulemeans:Handingittotheattorneyortotheparty;orleavingitattheattorney’sorparty’sofficewithaclerkorotherpersonin charge thereof; or, if there is no one in charge, leaving it in a conspicuousplacetherein;oriftheofficeisclosedorthepersontobeservedhasnooffice,leaving it at the person’s dwelling house or usual place of abode with someperson of suitable age and discretion then residing therein. Service bymail iscompleteuponmailing.

(b)Filingrequirementandmanneroffiling.ApetitionandallotherpleadingsrelatingtoamatterbeforetheSubcommitteeshallbefiledwithandmaintainedby the Subcommittee Administrator. The filing of any such paper with theSubcommitteeshallbemadebydeliveringoneoriginalandthreecopiesofsuchdocument to the Subcommittee Administrator. All such documents shallthereuponbedate-stampedby theSubcommitteeAdministrator as “filed”withtheSubcommittee.TheoriginalcopyofallsuchfilingsshallberetainedbytheSubcommitteeAdministrator as the official record of theSubcommittee in thematter.

« II. »,« Rule8. »Del.UPLRule8

Rule8.Subpoenasanddiscovery.

(a)Oathsandaffirmations.AnyHearingPanelmemberwhoisauthorizedbylawtodosomayadministeroathsandaffirmationsinmattersbeforetheHearingPanel.

(b) Subpoenas. (1) For the hearing, Disciplinary Counsel may compel bysubpoena the attendance of suchwitnesses (including the respondent) and theproductionofsuchbooks,papersanddocumentsasarerelevanttotheissuesthatarethesubjectmatterofthehearing.

(2)After formal proceedings are instituted and at thewritten request of therespondent,theSubcommitteeChairorViceChairshallcompelbysubpoenatheattendance of such witnesses and the production of such books, papers anddocumentsatthehearingasarerelevanttotheissuesthatarethesubjectmatterofthehearing.

(c)Challenges to subpoenas. Any attack on the validity of a subpoena soissuedshallbeheardanddeterminedbytheHearingPanel,orbyacourtinthejurisdictionwhereinenforcementofthesubpoenaisbeingsought.

(d) Enforcement of subpoenas. The Supreme Court may, upon properapplication, enforce the attendance and testimony of any witnesses and theproductionofanydocumentssubpoenaed.

(e)Depositions.With the approval of theHearing Panel, testimonymay betakenbydepositionorbycommissionifthewitnessisnotsubjecttoserviceofsubpoenaorisunabletoattendortestifyatthehearingbecauseofage,illness,absence from the State or other compelling reason. A complete record of thetestimonysotakenshallbemadeandpreserved.

(f)Witnessfees.SubpoenaandwitnessfeesandmileageshallbethesameasthoseprovidedforproceedingsintheDelawareSuperiorCourt.

(g)Discovery disputes. Prior to the appointment of a Hearing Panel in aformal proceeding, the Subcommittee Chair shall consider and determinedisputes concerning the scope and other aspects of discovery; after suchappointmentbutpriortoahearing,thechairoftheHearingPanelshallconsiderand determine all such issues, except as otherwise stated in these Rules. Alldiscoveryordersareinterlocutoryandmaynotbeappealed.

« II. »,« Rule9. »Del.UPLRule9

Rule9.Hearings.

(a)Noticeofhearing.IfaHearingPaneldeterminestherearematerialissuesof fact raised by the pleadings or if any party requests the opportunity to beheard, the Subcommittee Administrator shall serve notice of a hearing uponDisciplinary Counsel and the respondent, stating the date and place of thehearingat least20days inadvance thereof.Thenoticeofhearing shall advisethe respondent that the respondent isentitled tobe representedbya lawyer, tocross-examinewitnessesandtopresentevidenceintherespondent’sownbehalf.Briefs,argumentorothersubmissionsmaybepermittedinthediscretionoftheHearingPanel.

(b)Pre-hearingconference.Upon theapplicationofanypartyoron itsownmotion the Hearing Panel chair may order a conference to be held for thepurposeofobtainingadmissionsorotherwisenarrowingtheissuespresentedbythepleadings.Theconferenceshallbeheldbeforethechairofthehearingpanelassignedtothematter,orbeforethechair’sdesignee.

(c)Stenographicrecord.Astenographicrecordshallbemadeofthehearing.The record of the hearing shall be made available to the respondent at therespondent’sexpenseupontherespondent’srequest.

(d)Findings.Followingahearing,theHearingPanelshallexpressitsfindingsoffact,conclusionsoflaw,andrecommendeddispositioninafinalreportwhichissufficientlyspecificforthepurposesofreviewbytheSupremeCourt.Acopyofthereportshallbeservedupontheparties.

(e)SupremeCourtreview.TheHearingPanel’sfinalreportshallbefiledwiththe Supreme Court together with the record of its proceedings, includingtranscripts,briefs, andotherpleadings,within90daysof thedateuponwhichthematterwasfinallysubmittedtotheHearingPanel.TheHearingPanelshallpromptlyservenoticeofsuchfilingtotheparties.Within20daysofthereceiptofsuchnotice,anypartymayfileobjectionstotheHearingPanel’sreportwiththeSupremeCourt.Suchobjectionsmaynotexceedfive(5)pagesinlength.Ifobjections are filed, the Court may then treat the matter pursuant to its rulesgoverningcivilappeals,designating theappropriatepartyas theappellant,andscheduling the matter for briefing and argument. If no objections are timelyfiled,thereportoftheHearingPanelshallbeapprovedbyorderoftheCourtasthe final dispositionof thematter unless theCourt orders otherwisewithin30

daysofthelastdateforfilingobjections.ThefinaldispositionofamatterbytheCourtshallbeenforceableintheCourtthroughcontemptproceedings.

NOTESTODECISIONS

Unauthorizedpracticefound.

Court approved a report and recommendations by the Board on theUnauthorized Practice of Law pursuant to Bd.Unauthorized Prac. L. R. 9(d),finding that a nonattorney was engaged in the unauthorized practice of lawwhere that attorney: (1) represented an individual against a university; (2)requested documents therein; and (3) represented the nonattorney’s owncompanyinajudicialaction.InreAlston,991A.2d17(Del.2010),cert.denied,—U.S.—,131S.Ct.462,178L.Ed.2d288(2010).

« II. »,« Rule10. »Del.UPLRule10

Rule10.Witnessesandevidence.

All witnesses shall be sworn or shall give proper affirmation in allproceedings hereunder. The Delaware Uniform Rules of Evidence shall befollowed as far as practicable, provided that evidence may be admitted andconsideredwhichpossessesprobativevaluecommonlyacceptedby reasonablyprudentpersons in theconductof theiraffairs.Where the respondent isorhasbeen a party to a proceeding, whether criminal, civil, administrative orotherwise, the relevant portions of the transcript of the proceedings, exhibits,findingsoffact,conclusionsoflaw,opinions,decisionsandjudgments,shallbeadmitted in evidence and shall be accorded suchweight as theHearing Panelshall deem appropriate; provided, however, that proof of a conviction of therespondentforanycrimeshallbeconclusiveevidenceofthecommissionofthatcrime.

« II. »,« Rule11. »Del.UPLRule11

Rule11.Burdenofproof.

The burden of proving action constituting the unauthorized practice of lawshall be upon Disciplinary Counsel and shall be by clear and convincingevidence.

« II. »,« Rule12. »Del.UPLRule12

Rule12.Relatedlitigation.

Whenever in the course of an investigation or formal proceeding theSubcommitteeorHearingPanel,ifonehasbeenappointed,ascertainsthatthereis in process civil litigation to which the person under investigation or therespondentisaparty,oracriminalactioninwhichsuchpersonorrespondentis,or becomes, a defendant, either of which involves the subject matter of theinvestigation or formal proceeding, the Subcommittee or Hearing Panel mayupon application or on its ownmotion direct that the investigation or formalproceedingbestayedforaperiodnottoexceed90days,anduponsuchtermsastheSubcommitteeorHearingPanelmaydeemdesirablebecauseofthependinglitigation.Upon application or on theSubcommittee’s orHearingPanel’s ownmotion, any stay so granted which has expired or is about to expire may berenewedfromtimetotimeforperiodsnottoexceed90days.TheSubcommitteeor Hearing Panel may, upon application or on its own motion, at any time,revokeormodifysuchstay.Indeterminingwhetheranduponwhattermsastayshould be granted, denied, revoked or extended the Subcommittee orHearingPanelshallconsiderallrelevantfactors,includingthefollowing:(1)theneedfordisposingofthematterattheearliestpracticabletime,(2)theextenttowhichtheissues in thepending litigationare thesameor substantially thesameas thosebeforeit,(3)theextenttowhichthematterunderinvestigationorsubjecttotheformalproceedingswouldprobablybedelayedbyawaitingthedispositionofthepending civil litigation or criminal action, (4) the extent to which the matterunder investigation or subject to the formal proceedings would probably beexpeditedbyawaitingthepleaorjudgmentinthecriminalaction,(5)theextentto which the matter under investigation or subject to the formal proceedingswouldbeaided,astothedeterminationofamaterialissue,byawaitingevidencetobeadducedinthependinglitigation,(6)theextenttowhichevidencemaybeunavailable to the investigation or formal proceeding because of any delayoccasionedbywithholding further action, (7) the extent towhichwitnessesordocuments may be unavailable to the investigation or formal proceedingsbecause of concurrent discovery or trial proceedings in the pending litigation,and(8)theextent towhichthepersonunderinvestigationortherespondentoranypartytothependinglitigationmaybeprejudicedinthependinglitigationbywithholding or failing to withhold further action. The acquittal of the personunder investigation or the respondent on criminal charges or a verdict orjudgment in favor of the person under investigation or the respondent in civil

litigationinvolvingsubstantiallysimilarmaterialallegationsshallnot,inandofitself,abatetheinvestigationorformalproceedingseventhoughpredicateduponthesamematerialallegations.

« II. »,« Rule13. »Del.UPLRule13

Rule13.Rulings,orders,andreports.

The Subcommittee shall have power to make such rulings, dispositions,orders,recommendations,andreportsasmaybepermittedunderSupremeCourtRule62andtheseRules.AnysuchactionwhichisreducedtowritingshallbesignedbyanappropriatememberoftheSubcommittee.

« II. »,« Rule14. »Del.UPLRule14

Rule14.Voluntarycompliance.

Atanytimeafteramatter is initiallydocketedby theOfficeofDisciplinaryCounsel, therespondentmayvoluntarilyofferanassurancethattherespondentshall not engage in the unauthorizedpractice of law in theState ofDelaware.Anysuchvoluntaryassurancemustbeinwritinganddulysworn,andmustbeapprovedinwritingbytheDisciplinaryCounselandeither(a)theSubcommitteeChair,ifnopanelhasyetbeenassignedtothematter,or(b)theHearingPanel,ifa panel thereof has been assigned to the matter. Upon such approval, thevoluntaryassuranceshallbefiledbyDisciplinaryCounselintheSupremeCourtwithapetitionfortheCourt’sapprovalbrieflydescribingthefactsofthematterand a form of order. The Supreme Court’s entry of an order approving thevoluntary assurance shall be enforceable in the Court through contemptproceedings.

NOTESTODECISIONS

Sanctions.

State Supreme Court accepted the findings of fact of the Board on theUnauthorizedPracticeofLaw(Board)andrecommendationsregardingsanctionsforthenonlawyer’scontemptuousconductinviolatingaceaseanddesistorderafter the nonlawyer gave voluntary assurances that the nonlawyer woulddiscontinuetheunauthorizedpracticeoflaw,whichlargelyconsistedofdraftingestate-relateddocumentsforclients;theBoardhadtheauthorityandjurisdictionto investigate such matters and sanctioning the nonlawyer under suchcircumstanceswasnecessarytoprotectthepublicfromtheunauthorizedpracticeoflaw.InreEstep,933A.2d763(Del.2007).

« II. »,« Rule15. »Del.UPLRule15

Rule15.Noticetocomplainant.

DisciplinaryCounselshallpromptlynotify thecomplainant, ifany,as to thefinaldispositionofeachcomplaintafterthematterisconcluded.

« II. »,« Rule16. •Del.UPLRule16

Rule16.Costs.

UnlessotherwiseorderedbytheSupremeCourtortheHearingPanel,costsofallproceedings,includingthecostsofinvestigation,serviceofprocess,witnessfeesandcourtreportingservices,shallbeassessedagainsttherespondentinanycase where the Court makes a final determination that the respondent hasengagedintheunauthorizedpracticeoflaw.

« III. »Del.UPLRulesIII

III.ENFORCEMENTPROCEEDINGS

« III. »,• Rule17. »Del.UPLRule17

Rule17.RulingsoftheHearingPanel.

ExceptforthefindingsandotherdispositionscontainedintheHearingPanel’sfinal report pursuant to rule 9(d), all rulings of the Hearing Panel shall beconsideredinterlocutoryandshallnotbesubjecttointerlocutoryreviewbytheSupremeCourt.

« III. »,« Rule18. »Del.UPLRule18

Rule18.Objections.

Objections to the findingsof theHearingPanel followingahearingmaybefiled with the Supreme Court in the manner described in Rule 9(e). Thependency of the Supreme Court’s review of the Hearing Panel’s findingspursuant to Rule 9(e) shall operate as a stay of such findings until finaldispositionbytheCourt.

« III. »,« Rule19. •Del.UPLRule19

Rule19.Enforcementproceedings.

Whenever it shall come to the attention of the Disciplinary Counsel that arespondent is or may be in violation of an order of the Court, DisciplinaryCounsel shall initiate an investigation of the matter. If after investigationDisciplinary Counsel determines that the respondent is not in violation,DisciplinaryCounsel shall dismiss thematterwithout prejudice subject to theapprovaloftheSubcommitteeChair,andclosethefilewithwrittennoticetotheappropriateparties.IfafterinvestigationDisciplinaryCounselconcludesthatthemattershouldnotbedismissed,DisciplinaryCounselshalldraftapetitiontotheCourt for a rule to show cause why the respondent should not be found incontempt. Disciplinary Counsel shall submit the draft petition to theSubcommittee Chair for review, and no such petition may be filed byDisciplinaryCounselwithoutthepriorapprovaloftheSubcommitteeChair.

FollowingapprovalofsuchpetitionbytheSubcommitteeChair,DisciplinaryCounselshallfile thepetitionwith theCourt,andshallservethepetitionupontherespondentinthesamemannerasapetitionwhichisinitiallyfiledwiththeSubcommittee. The respondent shall file an answer with the Court within 20daysofserviceofthepetition,withserviceofsameuponDisciplinaryCounsel.Intheeventthattherespondentfailstoanswerthepetitioninatimelymanner,orotherwise does not dispute the petition, all allegations and charges containedtherein shall be deemed as conclusively established, and the Court maythereuponenteranappropriateorderofenforcement.Iftherespondentanswersthe petition in a timely manner and disputes the allegations and chargescontained therein, the Court may thereupon treat the matter as it would anycontemptproceeding.TheCourtmaydirect that theSubcommitteeconduct anevidentiary hearing with respect to the petition and submit a report with itsfindingsandrecommendationstotheCourtontheissueofcontempt.

NOTESTODECISIONS

Constructionwithotherprovisions.

Whileanattorney’sviolationofaceaseanddesistorderwouldhavesupporteda finding of contempt under Bd. Unauthorized Prac. L. R. 19, the DelawareOfficeofDisciplinaryCounseldidnotabuseitsdiscretioninproceedingunderthe attorney disciplinary rules as the same conduct also constituted knowing

disobedienceofacourtorderinviolationofLaw.R.Prof.Conduct3.4(c).InreTonwe,929A.2d774(Del.2007).

« IV. •Del.UPLRulesIV

IV.MISCELLANEOUSPROVISIONS

« IV. •,• Rule20. »Del.UPLRule20

Rule20.Immunity.

(a)Fromcivilsuit.Communications toanymemberof theSubcommitteeorDisciplinary Counsel relating to the alleged unauthorized practice of law andtestimonygiven in theproceedings shallbeabsolutelyprivileged, andnocivillawsuit may be instituted against any complainant or witness based on suchcommunicationsortestimony.AllpersonsperformingofficialdutiesundertheseRules, including but not limited tomembers of the Subcommittee, the agents,employees or other persons working on behalf of the Subcommittee,Disciplinary Counsel and staff, and the Subcommittee Administrator, shall beimmunefromcivilsuitforanyconductinthecourseoftheirofficialduties.

(b)Fromcriminalprosecution.UponapplicationbyDisciplinaryCounselortherespondentandnoticetotheAttorneyGeneral,theSupremeCourtmaygrantimmunityfromcriminalprosecutiontoawitnessinanyproceedingsundertheserules.

« IV. •,« Rule21. »Del.UPLRule21

Rule21.Confidentiality.

(a)Complaints, investigations,andhearings. Inconnectionwithaparticularmatter being considered by the Court, the Subcommittee, or DisciplinaryCounsel, all information and proceedings are confidential, except that thefollowingshallbeconsideredaspublic:

(1) the fact that amatter is being evaluated or investigated byDisciplinaryCounsel,

(2) the identity of a person being evaluated or investigated byDisciplinaryCounsel,

(3) the general subject matter, pendency, and status of a matter beingevaluatedorinvestigatedbyDisciplinaryCounsel,

(4)theofficialrecordinamatterasfiledwiththeSubcommitteepursuanttoRule7(b),

(5)hearingsinparticularmattersbeforetheHearingPanel,

(6) the rulings, orders, dispositions, and reports of the Hearing Panel inparticularmatters,and

(7)therecordandproceedingsinparticularmatterswhicharereviewedbytheSupremeCourt.

(b) Protective orders. In order to protect the interests of complainants,witnesses,thirdpartiesorrespondents,theHearingPanelmay,uponapplicationandforgoodcauseshown,issueaprotectiveorderprohibitingthedisclosureofspecific information and direct that the proceedings be conducted so as toimplementtheorder.

(c)Duty of participants. All participants in a proceeding under these rulesshallconductthemselvessoastomaintaintheconfidentialitymandatedbyanyprotectiveorder.

(d) Cooperation with criminal justice authorities. Any evidence orinformation obtained pursuant to these Rules indicating criminal conduct,including documents, transcripts, and work product, or any selected portionsthereof, may be disclosed or turned over to the appropriate criminal justiceauthoritiesfortheirindependentreviewandinvestigation.

« IV. •,« Rule22. »Del.UPLRule22

Rule22.Natureofproceedings.

Proceedingsconcerningtheunauthorizedpracticeoflawareneithercivilnorcriminalbutaresuigeneris.

« IV. •,« Rule23. »Del.UPLRule23

Rule23.Time.

(a) Computation of time. In computing any period of time prescribed orallowedbytheseRules,theprovisionsofSupremeCourtRule11(a),asamendedfromtimetotime,shallcontrol.

(b)Effectoftimelimitations.ExceptasisotherwiseprovidedintheseRules,timeprovisionsstatedintheseRulesaredirectoryandnotjurisdictional.Failuretoobserveprescribedtimeintervalsmayresultinsanctionsagainsttheviolatorbutdoesnotjustifyabatementofanyinvestigationorproceeding.

« IV. •,« Rule24. »Del.UPLRule24

Rule24.Limitationsonactions.

An occurrence or course of conduct involving the possible unauthorizedpracticeoflawwhichconcludedpriortothreeyearsofthereceiptofinformationof such activity by the Office of Disciplinary Counsel may be evaluated orinvestigatedbyDisciplinaryCounsel for thepurposesofverification,but shallnot otherwise become the subject of formal proceedings before theSubcommitteepursuanttoRule6(b).

« IV. •,« Rule25. »Del.UPLRule25

Rule25.Complaintsagainstnon-lawyermembersorassociatemembers.

Complaintsagainstnon-lawyermembersornon-lawyerassociatemembersoftheSubcommitteealleging theunauthorizedpracticeof lawshallbe submitteddirectlytotheSupremeCourt.

« IV. •,« Rule26. »Del.UPLRule26

Rule26.Permanentfileofopinions.

All written opinions issued by the Hearing Panel shall be public unlessotherwiseprovided inaccordancewithRule21andshallbemaintainedby theSubcommitteeAdministratorinapermanentfileofopinions.

« IV. •,« Rule27. »Del.UPLRule27

Rule27.DisciplinaryCounsel.

Asusedintheserules,“DisciplinaryCounsel”shallmeandisciplinarycounselas defined by Supreme Court Rule 64, or as the case may be, the Office ofDisciplinaryCounsel.

« IV. •,« Rule28. •Del.UPLRule28

Rule28.Effectivedate.

TheserulesshallbecomeeffectiveonMay1,1997,andanyinvestigationorother proceeding relative to the unauthorized practice of law pending on thatdate shall be processed pursuant to these rules from that point on unless theSupremeCourtshallotherwiseordertoavoidsubstantialinjustice.

INDEXTORULESOFTHEBOARDONTHEUNAUTHORIZEDPRACTICEOFLAW

__________

A

ABSTENTIONOFMEMBERS,UnauthPracLawRule2.

ADVISORYOPINIONS,UnauthPracLawRule1.

APPEALS.Hearingpanel’sfindings.Stayoffindings,UnauthPracLawRule18.

B

BURDENOFPROOF,UnauthPracLawRule11.

C

COMPLAINTS.Abatementofprocessingofcomplaint,UnauthPracLawRule4.Approvalofpetition,UnauthPracLawRule6.Confidentialityofinformation,UnauthPracLawRule21.Filing,UnauthPracLawRule4.Formalproceedings,UnauthPracLawRule6.Investigations,UnauthPracLawRule5.Subpoenas,UnauthPracLawRule5.

Non-lawyermembersorassociatemembers,UnauthPracLawRule25.Noticeoffinaldispensation,UnauthPracLawRule15.Summarydismissal,UnauthPracLawRule4.

CONFIDENTIALITYOFINFORMATION,UnauthPracLawRule21.

COSTSOFPROCEEDINGS,UnauthPracLawRule16.

CRIMINALJUSTICEAUTHORITIES.Cooperationwith,UnauthPracLawRule21.

D

DISCIPLINARYCOUNSEL.Approvalofpetition,UnauthPracLawRule6.Defined,UnauthPracLawRule27.Investigations,UnauthPracLawRule5.

DISCOVERY,UnauthPracLawRule8.

DISMISSAL,UnauthPracLawRule5.

DISQUALIFICATIONOFMEMBERS,UnauthPracLawRule2.

DUTIES,UnauthPracLawRule1.

E

EFFECTIVEDATEOFRULES,UnauthPracLawRule28.

ENFORCEMENTPROCEEDINGS,UnauthPracLawRule19.

EVIDENCE,UnauthPracLawRule10.

F

FILINGOFPLEADINGSANDDOCUMENTS,UnauthPracLawRule7.

FORMALPROCEEDINGS.Commencement,UnauthPracLawRule6.

H

HEARINGPANELS,UnauthPracLawRule3.Confidentialityofinformation,UnauthPracLawRule21.Costsofproceedings,UnauthPracLawRule16.Findings,UnauthPracLawRule9.Formalproceedings,UnauthPracLawRule6.Noticeofhearing,UnauthPracLawRule9.Objections,UnauthPracLawRule18.Pre-hearingconference,UnauthPracLawRule9.Recordofproceedings,UnauthPracLawRule9.

I

IMMUNITYOFMEMBERS,UnauthPracLawRule20.

INVESTIGATIONS.Confidentialityofinformation,UnauthPracLawRule21.

INVESTIGATIVESUBPOENA,UnauthPracLawRule5.

L

LIMITATIONOFACTIONS,UnauthPracLawRule24.

M

MEETINGS,UnauthPracLawRule3.Telephonicorelectronicparticipation,UnauthPracLawRule3.

N

NATUREOFPROCEEDINGS,UnauthPracLawRule22.

NOTICE.Complainant,noticeoffinaldispensation,UnauthPracLawRule15.Hearingpanels.Noticeofhearing,UnauthPracLawRule9.

O

OBJECTIONS,UnauthPracLawRule18.

OPINIONS.Advisoryopinions,UnauthPracLawRule1.Permanentfile,UnauthPracLawRule26.

ORDERS.Collateralattack,UnauthPracLawRule17.Enforcementproceedings,UnauthPracLawRule19.Finalorders,UnauthPracLawRule17.Issuance,UnauthPracLawRule13.Objections,UnauthPracLawRule18.

P

PETITIONS.Approvalofpetition,UnauthPracLawRule6.Service,UnauthPracLawRule7.

POWERSANDDUTIES,UnauthPracLawRule1.

PROTECTIVEORDERS.Issuance,UnauthPracLawRule21.

R

RELATEDLITIGATION,UnauthPracLawRule12.

REPORTS,UnauthPracLawRule3.Issuance,UnauthPracLawRule13.

S

SERVICEOFPROCESS,UnauthPracLawRule7.

STAYOFPROCEEDINGS.Appealofhearingpanel’sfindings,UnauthPracLawRule18.Relatedlitigation,UnauthPracLawRule12.

SUBCOMMITTEEADMINISTRATOR,UnauthPracLawRule3.

SUBPOENAS,UnauthPracLawRule8.Investigativesubpoenas,UnauthPracLawRule5.

T

TIME,UnauthPracLawRule23.

TRANSCRIPTS.Hearings.Recordofproceedings,UnauthPracLawRule9.

V

VOLUNTARYCOMPLIANCE,UnauthPracLawRule14.

W

WITNESSES,UnauthPracLawRule10.Fees,UnauthPracLawRule8.