Colorado

Civil Procedure

Rule 251.18 – Hearings Before the Hearing Board

(a) Notice. Not less than 56 days (8 weeks) before the date set for the hearing of a complaint, the Regulation Counsel shall give notice of such hearing as provided in C.R.C.P. 251.32(b) to the respondent, or the respondent’s counsel, and to the complaining witness. The notice shall designate the date, place, and time of the hearing. The notice shall also advise the respondent that the respondent is entitled to be represented by counsel at the hearing, to cross-examine witnesses, and to present evidence in the respondent’s own behalf.

The notice shall also advise the complaining witness that the complaining witness has a right to be present at the hearing and if there is a finding of misconduct to make a statement, orally or in writing, regarding the form of discipline.

(b) Designation of a Hearing Board.

(1) All hearings on complaints seeking disciplinary action against a respondent shall be conducted by a Hearing Board except as provided in subsection (b)(3). A Hearing Board shall consist of the Presiding Disciplinary Judge and two other members, one of whom shall be an attorney, who are to be selected at random from the pool of Hearing Board Members by the clerk for the Presiding Disciplinary Judge. If the Presiding Disciplinary Judge has been disqualified, then a presiding officer shall be selected at random from among the attorneys on the list of Hearing Board members. The presiding officer shall, in all respects, act in accordance with these Rules.
(2) The Presiding Disciplinary Judge or the presiding officer shall rule on all motions, objections, and other matters presented after a complaint is filed and in the course of a hearing.
(3) Once a default has been entered against a respondent, the respondent or Regulation Counsel has 28 days after notice of the default order to request a sanctions hearing before a three-person Hearing Board. The party requesting this hearing shall send notice of such request, in writing, to the Presiding Disciplinary Judge and the opposing party. If neither party requests a sanctions hearing before a three-person Hearing Board, the sanction shall be decided by the Presiding Disciplinary Judge.
(c) Prehearing Conference. At the discretion of the Presiding Disciplinary Judge, a prehearing conference may be ordered.
(d) Procedure and Proof. Except as otherwise provided in these Rules, hearings and all matters commencing with filing the complaint as provided in C.R.C.P. 251.14 shall be conducted in conformity with the Colorado Rules of Civil Procedure, the Colorado Rules of Evidence, and the practice in this state in the trial of civil cases; provided, however, that proof shall be by clear and convincing evidence, and provided further that the respondent may not be required to testify or to produce records over the respondent’s objection if to do so would be in violation of the respondent’s constitutional privilege against self-incrimination.

In the course of proceedings conducted pursuant to this Rule, the Presiding Disciplinary Judge or the Presiding Officer, acting pursuant to and in conformity with these Rules, shall have the power to administer oaths and affirmations.

A complete record shall be made of all depositions and of all testimony taken at hearings before a Hearing Board.

(e) Order for Examination. When the mental or physical condition of the attorney in question has become an issue in the proceeding, the Presiding Disciplinary Judge, on motion of the Regulation Counsel, may order the attorney to submit to a physical or mental examination by a suitable licensed or certified examiner. The order may be made only upon a determination that reasonable cause exists and after notice to the attorney. The attorney will be provided the opportunity to respond to the motion of the Regulation Counsel, and the attorney may request a hearing before the Presiding Disciplinary Judge. If requested, the hearing shall be held within 28 days of the date of the attorney’s request, and shall be limited to the issue of whether reasonable cause exists for such an order.
(f) Procurement of Evidence During Hearing.

(1) Subpoena. In the course of a hearing conducted pursuant to these Rules, and upon the petition of any party to the hearing, the clerk of the Presiding Disciplinary Judge may, for the use of a party, issue subpoenas to compel the attendance of witnesses and the production of pertinent books, papers, documents, or other evidence.

Witnesses shall be entitled to receive fees for mileage as provided by law for witnesses in civil actions.

(2) Quashing a Subpoena. Any challenge to the power to subpoena as exercised pursuant to this Rule shall be directed to the Presiding Disciplinary Judge or the Presiding Officer of the Hearing Board.
(3) Contempt. Any person who fails or refuses to comply with a subpoena issued pursuant to these Rules may be cited for contempt of the Supreme Court.

Any person who by misbehavior obstructs the Hearing Board or any part thereof in the performance of its duties may be cited for contempt of the Supreme Court.

Any person having been duly sworn to testify who refuses to answer any proper question may be cited for contempt of the Supreme Court.

A contempt citation may be issued by the Presiding Disciplinary Judge or the presiding officer. A copy of the contempt citation, together with the findings of fact made by the Presiding Disciplinary Judge or the presiding officer surrounding the contempt, shall be filed with the Supreme Court. The Supreme Court shall then determine whether to impose contempt.

(4) Discovery.

(A) Purpose and Scope.Rules 16 and 26 of the Colorado Rules of Civil Procedure shall not apply to proceedings conducted pursuant to these Rules. This Rule shall govern discovery in attorney discipline and disability proceedings.
(B) Meeting. A meeting of the parties must be held no later than 14 days after the case is at issue to confer with each other about the nature and basis of the claims and defenses and discuss the matters to be disclosed.
(C) Disclosures. No later than 28 days after the case is at issue, the parties shall disclose:

(i) The name and, if known, the address, and telephone number of each individual likely to have discoverable information relevant to disputed facts alleged in the pleadings, identifying who the person is and the subjects of the information;
(ii) A listing, together with a copy of, or a description of, all documents, data compilations, and tangible things in the possession, custody, or control of the parties that are relevant to the disputed facts in the pleadings; and
(iii) A statement of whether the parties anticipate use of expert witnesses, identifying the subject areas of the proposed experts.
(D) Trial Management Order. Upon the request of one of the parties or upon order of the Presiding Disciplinary Judge or the presiding officer of the Hearing Board, no later than 42 days prior to the trial date, the parties shall disclose to the other party and file a trial management order containing the following matters under the following captions and in the following order:

(i) Statement of Claims and Defenses to be Pursued or Withdrawn. The parties shall set forth a listing of the claims and defenses remaining for trial. Any claims or defenses set forth in the pleadings which will not be at issue at trial shall be designated as “withdrawn.”
(ii) Stipulated Facts. The parties shall set forth a plain, concise statement of all facts which the Hearing Board shall accept as undisputed.
(iii) Pretrial Motions. The parties shall list motions, if any, which are anticipated to be filed before trial as well as motions, if any, which are pending before the Hearing Board. The parties shall indicate a deadline for the filing of such motions which shall be no later than 14 days prior to the date set for trial.
(iv) Legal Issues. The parties shall set forth a list of legal issues that are controverted, including appropriate citation of statutory, case or other authority. In addition, the parties shall indicate whether trial briefs will be filed, including a schedule for their filing. Trial briefs shall be filed no later than 7 days before the commencement of the trial.
(v) Identification of Witnesses and Exhibits. Each party shall provide the following information:

(a) Lay Witnesses. Each party shall include a list containing the name, address, and telephone number of any person whom the party will call and of any person whom the party may call as a witness at trial.
(b) Exhibits. Each party shall attach a list describing any physical or documentary evidence which the party intends to introduce at trial. Complainant shall assign a number and respondent shall assign a letter designation for each exhibit. If any party wishes to object to the authenticity or admissibility of any exhibit, such objection shall be noted, together with the grounds therefor.
(c) Expert Witnesses. Each party shall attach to the trial management order a list of the name, address, and telephone number of each person whom the party will call and any person whom the party may call as an expert witness at trial, indicating the anticipated length of testimony, including cross-examination. The list shall indicate whether the opposing party accepts or challenges the qualifications of a witness to testify as an expert as to the opinions expressed. If there is a challenge, the list shall be accompanied by a resume setting forth the basis for the expertise of the challenged witness. Copies of any expert reports shall be provided to the other party at this time.
(vi) Presentation of Testimony. If the testimony of any witness is to be presented by deposition or through any other acceptable means in lieu of live testimony, a copy shall be submitted to the Hearing Board or the Presiding Disciplinary Judge if there is no Hearing Board and include the proponent’s and opponent’s anticipated designations of the pertinent portions of such testimony or a statement why designation is not feasible prior to trial. If any party wishes to object to the admissibility of the testimony or to any tendered question or answer therein, it shall be noted, setting forth the grounds therefor.
(vii) Trial Efficiencies. If the anticipated length of the trial has changed, the parties shall so indicate.
(E) Limitations. Except upon order by the Presiding Disciplinary Judge or the presiding officer of the Hearing Board for good cause shown, discovery shall be limited as follows:

(i) The Regulation Counsel may take one deposition of the respondent and two other persons in addition to the depositions of experts as provided in C.R.C.P. 26. The respondent may take one deposition of the complaining witness and two other persons in addition to the depositions of experts as provided in C.R.C.P. 26. The scope and manner of proceeding by way of deposition and the use thereof shall otherwise be governed by C.R.C.P. 26, 28, 29, 30, 31, 32, and 45.
(ii) A party may serve on the adverse party 30 written interrogatories, each of which shall consist of a single question. The scope and manner of proceeding by means of written interrogatories and the use thereof shall otherwise be governed by C.R.C.P. Rules 26 and 33.
(iii) The Regulation Counsel may obtain a physical or mental examination of the respondent pursuant to C.R.C.P. 251.18(e).
(iv) A party may serve the adverse party requests for production of documents pursuant to C.R.C.P. 34, except such requests for production shall be limited to 20 in number, each of which shall consist of a single request.
(v) A party may serve on the adverse party 20 requests for admission, each of which shall consist of a single request. The scope and manner of proceeding by means of requests for admission and the use thereof shall otherwise be governed by C.R.C.P. 36.
(F) In determining good cause pursuant to C.R.C.P. 251.18(f)(4)(E), the Presiding Disciplinary Judge or the presiding officer of the Hearing Board shall consider the following:

(i) Whether the discovery sought is unreasonably cumulative or duplicative, or is obtainable from some other source that is more convenient, less burdensome, or less expensive;
(ii) Whether the party seeking discovery has had ample opportunity by disclosure or discovery in the action to obtain the information sought;
(iii) Whether the burden or expense of the proposed discovery outweighs its likely benefit, taking into account the needs of the case, the parties’ resources, the importance of the issues in the litigation, and the importance of the proposed discovery in resolving the issues; and
(iv) Whether, because of the number of parties and their alignment with respect to the underlying claims and defenses, the proposed discovery is reasonable.
(G) Supplementation of Disclosures and Discovery Responses. A party is under a duty to supplement its disclosures under section (f)(4)(C) of this Rule when the party learns that in some material respect the information disclosed is incomplete or incorrect and if the additional or corrective information has not otherwise been made known to the other parties during the disclosure or discovery process. A party is under a duty to amend a prior response to an interrogatory, request for production or request for admission when the party learns that the prior response is in some material respect incomplete or incorrect and if the additional or corrective information has not otherwise been made known to the other parties during the discovery process. With respect to experts, the duty to supplement or correct extends both to information contained in the expert’s report or summary disclosed pursuant to section (f)(4)(D)(v)(c) of this Rule and to information provided through any deposition of or interrogatory responses by the expert. Supplementation shall be performed in a timely manner.

C.R.C.P. 251.18

Source: Amended and adopted June 25, 1998, effective January 1, 1999; b and f4Dvi amended and adopted September 30, 2004, effective January 1, 2005; a 1supst/sup paragraph, b3, e, f4B, IPf4C, IPf4D, f4Diii, and f4Div amended and adopted December 14, 2011, effective January 1, 2012, for all cases pending on or filed on or after January 1, 2012, pursuant to C.R.C.P. 1 b.

This rule was previously numbered as 241.14.

Annotation Annotator’s note. The following annotations include cases decided under former provisions similar to this rule. Procedural due process does not include criminal defendant’s rights. In every disciplinary proceeding a lawyer is entitled to procedural due process, but those rights do not extend so far as to guarantee the full panoply of rights afforded to an accused in a criminal case. People v. Harfmann, 638 P.2d 745 (Colo. 1981); People v. Morley, 725 P.2d 510 (Colo. 1986); People v. Varallo, 913 P.2d 1 (Colo. 1996); People v. Smith, 937 P.2d 724 (Colo. 1997). Sixth amendment rights to jury trial and speedy trial do not attach in discipline cases, since by its terms the sixth amendment only applies in criminal cases. People v. Smith, 937 P.2d 724 (Colo. 1997). Fifth amendment privilege against self-incrimination did not operate to preclude respondent from being compelled to attend his own deposition. People v. Smith, 937 P.2d 724 (Colo. 1997). No due-process violation where presiding officer of the board also served on the hearing panel that reviews the board’s action. People v. Fitzgibbons, 909 P.2d 1098 (Colo. 1996); People v. Smith, 937 P.2d 724 (Colo. 1997). Consideration of charges not made in formal complaint against an attorney constitutes a violation of the respondent’s rights to procedural due process of law. People v. Emeson, 638 P.2d 293 (Colo. 1981). Right to call witnesses is a basic tenet of due process and applies to an attorney facing disciplinary charges. People v. Morley, 725 P.2d 510 (Colo. 1986). This right, however, is not absolute. Due process does not vest a respondent in a disciplinary proceeding with a right to call any and all witnesses or elicit any testimony whatever; so long as the respondent is accorded a full and fair opportunity to present a defense to a charge, the tribunal hearing the case is entitled to exercise a sound discretion in limiting the type of evidence and the number of witnesses offered at a hearing. People v. Morley, 725 P.2d 510 (Colo. 1986). Standard of proof in disciplinary proceeding. The disciplinary prosecutor has to prove allegations of misconduct by clear, convincing and substantial evidence. People v. Bugg, 635 P.2d 881 (Colo. 1981) (decided under former Rule 249, C.R.C.P.). Clear and convincing evidence is proof which persuades the trier of fact that the truth contention is highly probable. It is evidence stronger than a preponderance by less than beyond reasonable doubt. People v. Distel, 759 P.2d 654 (Colo. 1988). Evidence which clearly and unequivocally establishes unlawful conduct of a lawyer should be admissible in a disciplinary proceeding if the official misconduct does not shock the conscience of the court or is not in bad faith. People v. Harfmann, 638 P.2d 745 (Colo. 1981). Unlike the rule applicable to a criminal proceeding, evidence of professional misconduct obtained by law enforcement officers should be admissible at a disciplinary proceeding unless the officers themselves engaged in outrageous misconduct or acted in bad faith in obtaining the challenged evidence. People v. Morley, 725 P.2d 510 (Colo. 1986). If governmental officials act outrageously or in bad faith in obtaining challenged evidence, due process of law requires the exclusion of such evidence or perhaps the even more drastic remedy of dismissal. There is no “bright line” or “per se” rule in this area of the law and each case must be decided on the basis of its own peculiar facts. People v. Morley, 725 P.2d 510 (Colo. 1986). Evidence of attorney’s disciplinary record may be properly admitted to the extent allowed under the Colorado rules of evidence in order to refute claim that he regularly attended to client matters. People v. Yaklich, 744 P.2d 504 (Colo. 1987). Such evidence may be introduced to impeach respondent’s credibility. People v. Distel, 759 P.2d 654 (Colo. 1988). When acting as fact finder in attorney disciplinary proceedings, grievance committee has duty to assess credibility of all evidence before it, both controverted and uncontroverted. People v. Distel, 759 P.2d 654 (Colo. 1988). Presiding disciplinary judge (PDJ) has exclusive authority under section (b) of this rule to hear respondent’s motion for sanctions under C.R.C.P. 11(a). The plain language of the rules, their context, and the design of the attorney regulation system support conclusion that PDJ has exclusive authority to consider and rule on a C.R.C.P. 11(a) motion for sanctions. People v. Trupp, 51 P.3d 985 (Colo. 2002). Abuse of discretion for presiding disciplinary judge to hold that assistant attorney regulation counsel violated rule when she advanced claim that attorney had violated C.R.P.C. 8.4(c). No evidence that assistant attorney regulation counsel failed to investigate either the facts or the law and she did not misrepresent them in the complaint. People v. Trupp, 92 P.3d 923 (Colo. 2004). Applied in People ex rel. Goldberg v. Gordon, 199 Colo. 296, 607 P.2d 995 (1980).