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The 2017 Lawyer’s Handbook Administrative Rules . . . . . . . . . . . . . . .2-1 Continuing Legal Education (CLE) . . . . . . .5-22 Discipline and Disability . . . . . . . . . . . . . . .3-1 Fee Dispute Resolution . . . . . . . . . . . . . . .5-9 IOLTA . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 Legal Specialization . . . . . . . . . . . . . . . . .5-31 Membership . . . . . . . . . . . . . . . . . . . . . . .2-1 Paralegal Certification . . . . . . . . . . . . . . . .7-1 Professional Organizations . . . . . . . . . . . . . . .6-1 Ethics Opinions . . . . . . . . . . . . . . . . . .10-1 Index to Ethics Opinions . . . . . . . . . . .10-280 Gen. Stat. Chapter 84 . . . . . . . . . . . . . .1-1 IOLTA Q&A . . . . . . . . . . . . . . . . . . . . .11-1 Rules of Professional Conduct . . . . . . .9-1 Rules Index . . . . . . . . . . . . . . . . . . . . . .9-80 The North Carolina State Bar Lawyer’s Handbook 2017 (Abridged) An official publication of the North Carolina State Bar containing the most frequently referenced rules of the North Carolina State Bar, annotated Rules of Professional Conduct, all ethics opinions adopted under the Rules and Superseded (1985) Rules, and trust account guidelines. NORTH CAROLINA STATE BAR page 3 State Bar Officers Mark W. Merritt - President 101 N. Tryon St., Suite 1900 Charlotte, NC 28246 (704) 377-2536 John M. Silverstein - President-Elect Satisky & Silverstein 415 Hillsborough Street, Suite 201 Raleigh, NC 27603 (919) 790-9102 G. Gray Wilson - Vice-President 110 Oakwood Drive, Suite 400 Winston-Salem, NC 27103 (336) 631-8866 L. Thomas Lunsford II – Secretary/Treasurer PO Box 25908 Raleigh, NC 27611-5908 (919) 828-4620 Margaret McDermott Hunt - Past-President 52 W. Main St. PO Box 1175 Brevard, NC 28712 (828) 884-2780 North Carolina State Bar PO Box 25908 Raleigh, NC 27611-5908 (919) 828-4620 Address Changes Kelly Beck kbeck@ncbar.gov Beth McLamb bmclamb@ncbar.gov Adam Maner amaner@ncbar.gov Administration Tom Lunsford tlunsford@ncbar.gov Joe Cerone jcerone@ncbar.gov Attorney-Client Assistance Program (receives complaints from clients) Judy Treadwell jtreadwell@ncbar.gov Sandra L. Saxton ssaxton@ncbar.gov Krista Bennett kbennett@ncbar.gov Lee Ramos lramos@ncbar.gov Certificates of Good Standing Kelly Beck kbeck@ncbar.gov Beth McLamb bmclamb@ncbar.gov Adam Maner amaner@ncbar.gov Client Security Fund (reimbursement for client-victims of lawyer theft) Root Edmonson redmonson@ncbar.gov Randy Ross rross@ncbar.gov Continuing Legal Education Debra Holland dholland@ncbar.gov Emily Oakes eoakes@ncbar.gov PhillipMcWilliams pmcwilliams@ncbar.gov Lori Nicolicchia lnicolicchia@ncbar.gov Disciplinary Hearing Commission (DHC and final disciplinary orders) Dottie Miani (clerk) dmiani@ncbar.gov District Bar Liaison Nichole McLaughlin nmclaughlin@ncbar.gov Ethics/Professional Responsibility (answers inquiries about lawyer’s own conduct) Nichole McLaughlin nmclaughlin@ncbar.gov Suzanne Lever slever@ncbar.gov Alice Neece Mine amine@ncbar.gov Fee Dispute Resolution Lee Ramos lramos@ncbar.gov Krista Bennett kbennett@ncbar.gov Grievance Heather Pattle hpattle@ncbar.gov Investigations Joseph J. Commisso jcommisso@ncbar.gov IOLTA (Interest on Lawyer’s Trust Accounts) (919) 828-0477 (919) 821-9168 (Fax) PO Box 25996 Raleigh, NC 27611-5996 General email: iolta@ncbar.gov Claire Mills cmills@ncbar.gov Mary Irvine mirvine@ncbar.gov Shannon Azzi sazzi@ncbar.gov Lawyer Assistance Program (a confidential program) Robynn Moraites Robynn@nclap.org Nicole Ellington Nicole@nclap.org Cathy Killian Cathy@nclap.org Raleigh/Piedmont Office: (919) 719-9269 Charlotte Office: (704) 892-5699 www.nclap.org Membership Records Kelly Beck kbeck@ncbar.gov Beth McLamb bmclamb@ncbar.gov Adam Maner amaner@ncbar.gov Tammy Jackson tjackson@ncbar.gov Office of Counsel (legal department) Katherine Jean kjean@ncbar.gov Heather Pattle hpattle@ncbar.gov Paralegal Certification Joy Belk jbelk@ncbar.gov Aaliyah Pierce apierce@ncbar.gov Alice Neece Mine amine@ncbar.gov Professional Organization Registrations Adam Maner amaner@ncbar.gov Pro Hac Vice Registration Martha Fletcher mfletcher@ncbar.gov Publications - Media Kits and Orders Jennifer Duncan ncbar@bellsouth.net Diane Melching dmelching@ncbar.gov Specialization Denise Mullen dmullen@ncbar.gov Lanice Heidbrink lheidbrink@ncbar.gov Alice Neece Mine amine@ncbar.gov Student Practice Certificates (for 3rd year law students) Dottie Miani dmiani@ncbar.gov Alice Neece Mine amine@ncbar.gov Trust Account Random Audits Anne Parkin aparkin@ncbar.gov Trust Account Support/Compliance Peter Bolac pbolac@ncbar.gov Unauthorized Practice of Law David Johnson djohnson@ncbar.gov Joshua Walthall jwalthall@ncbar.gov State Bar Contacts Visit the State Bar online at: www.ncbar.gov page 4 North Carolina General Statutes, Chapter 84: Attorneys-at-Law: Selected Statutes . . . . . . . . . . . . . . . . . . . G.S. Chap. 84 § 84-2.1. "Practice law" defined . . . . . . . . . . . . . . . . . . . . . . . . . . .1-1 § 84-4. Persons other than members of State Bar prohibited from practicing law . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-1 § 84-4.1. Limited practice of out-of-state attorneys . . . . . . . . . . . .1-1 § 84-4.2. Summary revocation of permission granted out-of-state attorneys to practice . . . . . . . . . . . . . . . . . . .1-1 § 84-5. Prohibition as to practice of law by corporation . . . . .1-1 § 84-5.1 Rendering of legal services by certain nonprofit corporations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-8. Punishment for violations . . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-15. Creation of North Carolina State Bar as an agency of the State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-16. Membership and privileges . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-17. Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-3 § 84-18. Terms, election and appointment of councilors . . . . . . .1-3 § 84-18.1. Membership and fees of district bars . . . . . . . . . . . . . . .1-3 § 84-19. Judicial districts definition . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-21. Organization of Council; publication of rules, regulations and bylaws . . . . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-22. Officers and committees of the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-23. Powers of Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-28. Discipline and disbarment . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-28.1. Disciplinary hearing commission . . . . . . . . . . . . . . . . . .1-5 § 84-28.2. Persons immune from suit . . . . . . . . . . . . . . . . . . . . . . .1-5 § 84-29. Evidence and witnesses . . . . . . . . . . . . . . . . . . . . . . . . .1-5 § 84-30. Rights of accused person . . . . . . . . . . . . . . . . . . . . . . . .1-6 § 84-32.1. Confidentiality of records . . . . . . . . . . . . . . . . . . . . . . .1-6 § 84-34. Membership fees and list of members . . . . . . . . . . . . .1-6 § 84-34.2. Specific statutory authority for certain fees . . . . . . . . . . .1-6 § 84-36. Inherent powers of courts unaffected . . . . . . . . . . . . . . .1-6 § 84-37. State Bar may investigate and enjoin unauthorized activities . . . . . . . . . . . . . . . . . . . . . . . . . .1-6 27 NCAC Chapter 1 Subchapter A: Organization of the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subchap. 1A Section .0200 Membership - Annual Membeonferredrship Fees . . . . .2-2 .0201 Classes of Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0202 Register of Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0203 Annual Membership Fees; When Due . . . . . . . . . . . . . . . . .2-2 .0204 Good Standing Definition and Certificates . . . . . . . . . . . . . .2-2 Section .0300 Permanent Relinquishment of Membership in the . . . . . . . State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0301 Effect of Relinquishment . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0302 Conditions for Relinquishment . . . . . . . . . . . . . . . . . . . . . .2-3 .0303 Allegations of Misconduct Received by the State Bar On or . . . After the Date of Relinquishment . . . . . . . . . . . . . . . . . . . .2-3 Section .0500 Meetings of the North Carolina State Bar . . . . . . . . . . .2-3 .0501 Annual Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0502 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0503 Notice of Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0504 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0505 Parlimentary Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 Section .0600 Meetings of the Council . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0601 Regular Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0602 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0603 Notice of Called Special Meetings . . . . . . . . . . . . . . . . . .2-4 .0604 Quorum at Meeting of Council . . . . . . . . . . . . . . . . . . . .2-4 Section .0700 Standing Committees of the Council . . . . . . . . . . . . . . .2-4 .0701 Standing Committees and Boards . . . . . . . . . . . . . . . . . .2-4 Section .0800 Election and Appointment of State Bar Councilors . . . . .2-5 .0801 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-5 .0802 Election - When Held; Notice; Nominations . . . . . . . . .2-5 .0803 Election - Voting Procedures . . . . . . . . . . . . . . . . . . . . . .2-5 .0804 Procedures Governing Elections by Mail . . . . . . . . . . . . .2-5 .0805 Election and Appointment of State Bar Councilors . . . . .2-6 .0806 Procedures Governing Early Voting . . . . . . . . . . . . . . . . .2-6 .0807 Vacancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0808 Bylaws Providing for Geographical Rotation or Division of Representation . . . . . . . . . . . . . . . . . . . . . . .2-6 Section .0900 Organization of the Judicial District Bars . . . . . . . . . . . .2-6 .0901 Bylaws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0902 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0903 Fiscal Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 Section .1000 Model Bylaws For Use by Judicial District Bars . . . . . . .2-7 .1001 Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1002 Authority and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1003 Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1004 Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1005 Councilor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1006 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1007 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1008 District Bar Finances . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1009 Prohibited Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1010 Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1011 Board of Directors or Executive Committee . . . . . . . . . .2-9 .1012 Amendment of the Bylaws . . . . . . . . . . . . . . . . . . . . . . . .2-9 .1013 Selection of Nominees for District Court Judge . . . . . . .2-9 Section .1200 Filing Papers with and Serving the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1201 When Papers Are Filed Under These Rules and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 Section .1400 Rulemaking Procedures . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1401 Publication for Comment . . . . . . . . . . . . . . . . . . . . . . .2-10 .1402 Review by the Executive Committee . . . . . . . . . . . . . . .2-10 .1403 Action by the Council and Review by the . . . . . . . . . . . . . . . North Carolina Supreme Court . . . . . . . . . . . . . . . . . . .2-10 Selected Provisions from the Rules of the North Carolina State Bar Table of Contents For a complete listing of all Rules of the State Bar, see page 11-10 page 5 Section .0100 Discipline and Disability of Attorneys . . . . . . . . . . . . .3-1 .0101 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-1 .0102 Procedure for Discipline . . . . . . . . . . . . . . . . . . . . . . . . . . .3-1 .0103 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-2 .0104 State Bar Council: Powers and Duties in . Discipline and Disability Matters . . . . . . . . . . . . . . . . . . . .3-3 .0105 Chairperson of the Grievance Committee: Powers . and Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-3 .0106 Grievance Committee: Powers and Duties . . . . . . . . . . . . .3-3 .0107 Counsel: Powers and Duties . . . . . . . . . . . . . . . . . . . . . . . .3-4 .0108 Chairperson of the Hearing Commission: Powers and Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-4 .0109 Hearing Panel: Powers and Duties . . . . . . . . . . . . . . . . . . .3-4 .0110 Secretary: Powers and Duties in Discipline and Disability Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-5 .0111 Grievances: Form and Filing . . . . . . . . . . . . . . . . . . . . . . . .3-5 .0112 Investigations: Initial Determination; Notice and Response; Committee Referrals . . . . . . . . . . . . . . . . . . . . . .3-5 .0113 Proceedings Before the Grievance Committee . . . . . . . . . .3-6 .0114 Proceedings Before the Disciplinary Hearing Commission: General Rules Applicable to All Proceedings . . . . . . . . . . . .3-8 .0115 Proceedings Before the Disciplinary Hearing Commission: Pleadings and Prehearing Procedure . . . . . . . . . . . . . . . . . .3-8 .0116 Proceedings Before the Disciplinary Hearing Commission: Formal Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-10 .0117 Proceedings Before the Disciplinary Hearing Commission: Posttrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-11 .0118 Proceedings Before the Disciplinary Hearing Commission: Stayed Suspension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-11 .0119 Effect of a Finding of Guilt in Any Criminal Case . . . . . .3-12 .0120 Reciprocal Discipline & Disability Proceedings . . . . . . . . .3-12 .0121 Surrender of License While Under Investigation . . . . . . .3-13 .0122 Disability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-13 .0123 Enforcement of Powers . . . . . . . . . . . . . . . . . . . . . . . . . . .3-14 .0124 Notice to Member of Action and Dismissal . . . . . . . . . . . .3-14 .0125 Notice to Complainant . . . . . . . . . . . . . . . . . . . . . . . . . . .3-14 .0126 Appointment of Counsel to Protect Client’s Interests . . . When Attorney Disappears, Dies, or is Transferred to Disability Inactive Status . . . . . . . . . . . . . . . . . . . . . . . . . .3-15 .0127 Imposition of Discipline; Findings of Incapacity or Disability; Notice to Courts . . . . . . . . . . . . . . . . . . . . . . .3-15 .0128 Obligations of Disbarred or Suspended Attorneys . . . . . .3-15 .0129 Reinstatement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-16 .0130 Address of Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-18 .0131 Disqualification Due to Interest . . . . . . . . . . . . . . . . . . . .3-18 .0132 Trust Accounts; Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-18 .0133 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-18 .0134 Disciplinary Amnesty in Illicit Drug Use Cases . . . . . . . .3-19 Section .0200 Rules Governing Judicial District Grievance Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-19 .0201 Organization of Judicial District Grievance Committees . . .3-19 .0202 Jurisdiction and Authority of District Grievance Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-20 .0203 Meetings of the District Grievance Committees . . . . . . . .3-21 .0204 Procedure Upon Institution of a Grievance . . . . . . . . . . .3-21 .0205 Record Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0206 Miscellaneous . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0207 Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0208 Letter to Complainant Where Local Grievance Alleges Fee Dispute Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0209 Letter to Complainant Where Local Grievance Alleges Fee Dispute and Other Violations . . . . . . . . . . . . . . . . . . .3-22 .0210 Letter to Complainant/Respondent Where District Committee Recommends Finding of No Probable Cause . .3-22 .0211 Letter to Respondent Where District Committee Recommends Finding of Probable Cause . . . . . . . . . . . . .3-23 .0212 Letter to Complainant Where District Committee Recommends Finding of Probable Cause . . . . . . . . . . . . .3-23 .0213 Letter to Complainant Acknowledging Grievance . . . . . .3-23 .0214 Letter to Investigating Attorney Assigning Grievance . . . .3-23 .0215 Letter to Complainant from Investigating Attorney . . . . .3-24 .0216 Letter of Notice to Respondent Attorney . . . . . . . . . . . . .3-24 .0217 Letter Transmitting Completed File to North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-24 Subchapter C: Rules Governing the Board of Law Examiners and the Training of Law Students . . . . . . . . . . . . . . . . . . . . . . . Subchap. 1C Section .0100 Rules Governing the Board of Law Examiners and the Training of Law Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0101 Election . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0102 Examination of Applicants for License . . . . . . . . . . . . . .4-1 .0103 Admission to Practice . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0104 Approval of Rules and Regulations of Board of Law Examiners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0105 Approval of Law Schools . . . . . . . . . . . . . . . . . . . . . . . . .4-1 Section .0200 Rules Governing Practical Training of Law Students . . . .4-1 .0201 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0202 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0203 Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-2 .0204 Certification as Legal Intern . . . . . . . . . . . . . . . . . . . . . .4-2 .0205 Supervision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-2 .0206 Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-2 .0207 Use of Student's Name . . . . . . . . . . . . . . . . . . . . . . . . . .4-3 Subchapter D: Rules of the Standing Committees of the North Carolina State Bar . . . . . . . . . . . . . . . .Subchap. 1D Section .0100 Procedures for Ruling on Questions of Legal Ethics . . .5-4 .0101 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-4 .0102 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-4 .0103 Informal Ethics Advisories and Ethics Advisories . . . . . . . . .5-4 .0104 Formal Ethics Opinions and Ethics Decisions . . . . . . . . . . .5-5 .0105 Procedures for Meetings of the Ethics Committee . . . . . . . .5-5 Section .0200 Procedures for the Authorized Practice Committee . . . . .5-5 .0201 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-5 .0202 Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-5 .0203 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-5 .0204 State Bar Council - Powers and Duties . . . . . . . . . . . . . .5-6 .0205 Chairperson of the Authorized Practice Committee - Powers and Duties . . . . . . . . . . . . . . . . . . .5-6 .0206 Authorized Practice Committee - Powers and Duties . . . .5-6 .0207 Counsel - Powers and Duties . . . . . . . . . . . . . . . . . . . . . .5-6 .0208 Suing for Injunctive Relief . . . . . . . . . . . . . . . . . . . . . . . .5-7 Section .0600 Rules Governing the Lawyer Assistance Program . . . . . .5-7 .0601 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0602 Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0603 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0604 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0605 Appointment of Members; When; Removal . . . . . . . . . .5-7 page 6 .0606 Term of Office and Succession . . . . . . . . . . . . . . . . . . . . .5-7 .0607 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-7 .0608 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-7 .0609 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0610 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0611 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0612 Powers and Duties of the Board . . . . . . . . . . . . . . . . . . . .5-8 .0613 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0614 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0615 Regional Chapters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0616 Suspension for Impairment, Reinstatement . . . . . . . . . . .5-8 .0617 Consensual Inactive Status . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0618 Agents of the State Bar . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0619 Judicial Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0620 Rehabilitation Contracts for Lawyers Impaired by Substance Abuse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0621 Evaluations for Substance Abuse, Alcoholism, and/or other Chemical Addictions . . . . . . . . . . . . . . . . . .5-9 .0622 Grounds for Compelling an Evaluation . . . . . . . . . . . . . .5-9 .0623 Failure to Comply with an Order Compelling an Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 Section .0700 Procedures for Fee Dispute Resolution . . . . . . . . . . . . .5-9 .0701 Purpose and Implementation . . . . . . . . . . . . . . . . . . . . . . .5-9 .0702 Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 .0703 Coordinator of Fee Dispute Resolution . . . . . . . . . . . . . .5-10 .0704 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 .0705 Selection of Facilitators . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 .0706 Powers and Duties of the Vice-Chairperson . . . . . . . . . . . .5-10 .0707 Processing Requests for Fee Dispute Resolution . . . . . . . .5-10 .0708 Settlement Conference Proceedings . . . . . . . . . . . . . . . . . .5-10 .0709 Record Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-11 .0710 District Bar Fee Dispute Resolution . . . . . . . . . . . . . . . . . .5-11 .0711 District Bar Settlement Conference Proceedings . . . . . . . .5-11 Section .0900 Procedures for Administrative Committee . . . . . . . . .5-11 .0901 Transfer to Inactive Status . . . . . . . . . . . . . . . . . . . . . . . . .5-11 .0902 Reinstatement from Inactive Status . . . . . . . . . . . . . . . . . .5-12 .0903 Suspension for Failure to Fulfill Obligations of . . . . . . . . . . . . . Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-13 .0904 Reinstatement from Suspension . . . . . . . . . . . . . . . . . . . .5-14 .0905 Pro Bono Practice by Out of State Lawyers . . . . . . . . . . . .5-15 Section .1000 Rules Governing Reinstatement Hearings Before the Administrative Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-15 .1001 Reinstatement Hearings . . . . . . . . . . . . . . . . . . . . . . . . .5-15 .1002 Review and Order of Council . . . . . . . . . . . . . . . . . . . .5-16 Section .1300 Rules Governing the Administration of the Plan for Interest on Lawyers' Trust Accounts (IOLTA) . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 .1301 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 .1302 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1303 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1304 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1305 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1306 Appointment of Members; When; Removal . . . . . . . . . . .5-17 .1307 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1308 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1309 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1310 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . . .5-17 .1311 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . . .5-17 .1312 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.17 .1313 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1314 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 .1315 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 .1316 IOLTA Accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 .1317 Comparability Requirements for IOLTA Accounts . . . . . .5-18 .1318 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1319 Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1320 Noncompliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1321 Severability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 Section .1400 Rules Governing the Administration of the Client Security Fund of the North Carolina State Bar . . . . . . . . . . . . .5-19 .1401 Purpose; Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1402 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1403 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1404 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1405 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1406 Appointment of Members; When; Removal . . . . . . . . . . .5-20 .1407 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1408 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1409 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1410 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-20 .1411 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-21 .1412 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1413 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1414 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1415 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1416 Appropriate Uses of the Client Security Fund . . . . . . . . .5-21 .1417 Applications for Reimbursement . . . . . . . . . . . . . . . . . . . .5-21 .1418 Processing Applications . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1419 Subrogation for Reimbursement . . . . . . . . . . . . . . . . . . . .5-22 .1420 Authority Reserved by the Supreme Court . . . . . . . . . . . .5-22 Section .1500 Rules Governing the Administration of the Continuing Legal Education Program . . . . . . . . . . . . . . . . . . . . . . . .5-22 .1501 Scope, Purpose, and Definitions . . . . . . . . . . . . . . . . . . . .5-22 .1502 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1503 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1504 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1505 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1506 Appointment of Members; When; Removal . . . . . . . . . . .5-23 .1507 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1508 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1509 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1510 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-23 .1511 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-24 .1512 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1513 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1514 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1515 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1516 Powers, Duties, and Organization of the Board . . . . . . . .5-24 .1517 Exemptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-25 .1518 Continuing Legal Education Program . . . . . . . . . . . . . . .5-25 .1519 Accreditation Standards . . . . . . . . . . . . . . . . . . . . . . . . . . .5-26 .1520 Accreditation of Sponsors and Programs . . . . . . . . . . . . . .5-26 .1521 Credit Hours . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-27 .1522 Annual Report and Compliance Period . . . . . . . . . . . . . . .5-27 .1523 Noncompliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-27 .1524 Reinstatement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1525 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1526 Effective Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1527 Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 page 7 Section .1600 Regulations Governing the Administration of the Continuing Legal Education Program . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1601 General Requirements for Course Approval . . . . . . . . . . .5-28 .1602 Course Content Requirements . . . . . . . . . . . . . . . . . . . . .5-29 .1603 Accredited Sponsors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-30 .1604 Accreditation of Prerecorded, Simultaneous Broadcast, and Computer-Based Programs . . . . . . . . . . . . . . . . . . . . .5-30 .1605 Computation of Credit . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1606 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1607 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1608 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1609 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1610 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1611 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 Section .1700 The Plan of Legal Specialization . . . . . . . . . . . . . . . .5-31 .1701 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1702 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1703 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1704 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1705 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1706 Appointment of Members; When; Removal . . . . . . . . . . .5-32 .1707 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1708 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1709 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1710 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-32 .1711 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-32 .1712 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1713 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1714 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1715 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-33 .1716 Powers and Duties of the Board . . . . . . . . . . . . . . . . . . . .5-33 .1717 Retained Jurisdiction of the Council . . . . . . . . . . . . . . . . .5-33 .1718 Privileges Conferred and Limitations imposed . . . . . . . . .5-33 .1719 Specialty Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-33 .1720 Minimum Standards for Certification of Specialists . . . . .5-34 .1721 Minimum Standards for Continued Certification of Specialists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-35 .1722 Establishment of Additional Standards . . . . . . . . . . . . . . .5-35 .1723 Revocation or Suspension of Certification as a Specialist . .5-35 .1724 Right to Hearing and Appeal to Council . . . . . . . . . . . . .5-35 .1725 Areas of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-35 .1726 Certification Standards of the Specialties of Bankruptcy Law, Estate Planning and Probate Law, Real Property Law, Family Law, and Criminal Law . . . . . . . . . . . . . . . . .5-36 .1727 Inactive Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-36 Section .1800 Hearing and Appeal Rules of the Board of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-36 .1801 Incomplete Applications; Reconsideration of . . . . . . . . . . . . . Applications Rejected by Specialty Committee; and . . . . . . . Reconsideration Procedure . . . . . . . . . . . . . . . . . . . . . . .5-36 .1802 Denial, Revocation, or Suspension of Continued Certification as a Specialist . . . . . . . . . . . . . . . . . . . . . .5-37 .1803 Reconsideration of Failed Examination . . . . . . . . . . . . .5-37 .1804 Appeal to the Council . . . . . . . . . . . . . . . . . . . . . . . . . .5-37 .1805 Judicial Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .1806 Additional Rules Pertaining to Hearing and Appeals . . .5-38 Section .2100 Certification Standards for the Real Property Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2101 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-38 .2102 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2103 Recognition as a Specialist in Real Property Law . . . . . . .5-38 .2104 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2105 Standards for Certification as a Specialist in Real Property Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2106 Standards for Continued Certification as a Specialist . . . .5-39 .2107 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-39 Section .2200 Certification Standards for the Bankruptcy Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2201 Establishment of the Specialty Field . . . . . . . . . . . . . . . . .5-39 .2202 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2203 Recognition as a Specialist in Bankruptcy Law . . . . . . . . .5-39 .2204 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2205 Standards for Certification as a Specialist in Bankruptcy Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2206 Standards for Continued Certification as a Specialist . . . .5-40 .2207 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-40 Section .2300 Certification Standards for the Estate Planning and Probate Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2301 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-40 .2302 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2303 Recognition as a Specialist in Estate Planning and Probate Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2304 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2305 Standards for Certification as a Specialist in Estate Planning and Probate Law . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2306 Standards for Continued Certification as a Specialist . . . .5-41 .2307 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-41 Section .2400 Certification Standards for the Family Law Specialty . . .5-42 .2401 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-42 .2402 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-42 .2403 Recognition as a Specialist in Family Law . . . . . . . . . . . . .5-42 .2404 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-42 .2405 Standards for Certification as a Specialist in Family Law . . . .5-42 .2406 Standards for Continued Certification as a Specialist . . . .5-42 .2407 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-43 Section .2500 Certification Standards for the Criminal Law Specialty . .5-43 .2501 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-43 .2502 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-43 .2503 Recognition as a Specialist in Criminal Law . . . . . . . . . . .5-43 .2504 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-43 .2505 Standards for Certification as a Specialist . . . . . . . . . . . . .5-43 .2506 Standards for Continued Certification as a Specialist . . . .5-44 .2507 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-44 .2508 Standards for Certification as a Specialist in Juvenile . . . . . . . . . Delinquency Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-44 .2509 Standards for Continued Certification as a Specialist in . . . . . . . Juvenile Delinquency Law . . . . . . . . . . . . . . . . . . . . . . . . .5-45 Section .2600 Certification Standards for the Immigration Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-45 .2601 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-45 .2602 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-45 .2603 Recognition as a Specialist in Immigration Law . . . . . . . . .5-45 .2604 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-46 page 8 .2605 Standards for Certification as a Specialist in Immigration Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-46 .2606 Standards for Continued Certification as a Specialist . . . . .5-46 .2607 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-47 Section .2700 Certification Standards for the Workers’ Compensation Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-47 .2701 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-47 .2702 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-47 .2703 Recognition as a Specialist in Workers’ Compensation Law .5-47 .2704 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-47 .2705 Standards for Certification as a Specialist in Workers’ Compensation Law . . . . . . . . . . . . . . . . . . . . . . .5-47 .2706 Standards for Continued Certification as a Specialist . . . . .5-47 .2707 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-48 Section .2800 Certification Standards for the Social Security Disability Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-48 .2801 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-48 .2802 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-48 .2803 Recognition as a Specialist in Social Security Disability Law 5-48 .2804 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-48 .2805 Standards for Certification as a Specialist in Social Security Disability Law . . . . . . . . . . . . . . . . . . . . . . .5-48 .2806 Standards for Continued Certification as a Specialist . . . . .5-49 .2807 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-49 Section .2900 Certification Standards for the Elder Law Specialty Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-49 .2901 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-49 .2902 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-49 .2903 Recognition as a Specialist in Elder Law . . . . . . . . . . . . . .5-49 .2904 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-49 .2905 Standards for Certification as a Specialist in Elder Law . . .5-49 .2906 Standards for Continued Certification as a Specialist . . . . .5-50 .2907 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-51 Section .3000 Certification Standards for the Appellate . . . . . . . . . . . . . . . . Practice Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3001 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-51 .3002 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3003 Recognition as a Specialist in Appellate Practice . . . . . . . .5-51 .3004 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3005 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Appellate Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3006 Standards for Continued Certification as a Specialist . . . . .5-52 .3007 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-52 .3008 Advisory Members of the Appellate Practice . . . . . . . . . . . . . . . Specialty Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-52 Section .3100 Certification Standards for the Utilities Law Specialty . . . .5-52 .3101 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-52 .3102 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-52 .3103 Recognition as a Specialist in Trademark Law . . . . . . . . . .5-53 .3104 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-53 .3105 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Trademark Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-53 .3106 Standards for Continued Certification as a Specialist . . . . .5-53 .3107 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-53 Section .3200 Certification Standards for the Utilities Law Specialty . . . .5-54 .3201 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-54 .3202 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-54 .3203 Recognition as a Specialist in Utilities Law . . . . . . . . . . . .5-54 .3204 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-54 .3205 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Utilities Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-54 .3206 Standards for Continued Certification as a Specialist . . . . .5-54 .3207 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-55 Section .3300 Certification Standards for the Privacy and Information Security Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3301 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-55 .3302 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3303 Recognition as a Specialist in Information Security Law . . . . . . . Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3304 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3305 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Information Security Law . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3306 Standards for Continued Certification as a Specialist . . . . .5-56 .3307 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-56 Subchapter E: Regulations for Organizations . . . . . . . . . . . . . . . Practicing Law . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subchap. 1E Section .0100 Regulations for Professional Corporations and Professional Limited Liability Companies Practicing Law . . . . . . . . . . . . . . . . . . . .6-1 .0101 Authority, Scope, and Definitions . . . . . . . . . . . . . . . . . . . .6-1 .0102 Name of Professional Corporation or Professional Limited Liability Company . . . . . . . . . . . . . . . . . . . . . . . . .6-1 .0103 Registration with the North Carolina State Bar . . . . . . . . .6-2 .0104 Management and Financial Matters . . . . . . . . . . . . . . . . . .6-3 .0105 General and Administrative Provisions . . . . . . . . . . . . . . . .6-4 Section .0200 Registration of Interstate and International Law Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-4 .0201 Registration Requirement . . . . . . . . . . . . . . . . . . . . . . . . . .6-4 .0202 Conditions of Registration . . . . . . . . . . . . . . . . . . . . . . . . .6-4 .0203 Registration Fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0204 Certificate of Registration . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0205 Effect of Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0206 Non-renewal of Registration . . . . . . . . . . . . . . . . . . . . . . . . .6-5 Section .0300 Rules Concerning Prepaid Legal Services Plans . . . . . . .6-5 .0301 State Bar May Not Approve or Disapprove Plans . . . . . . . .6-5 .0302 Registration Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0303 Definition of Prepaid Plan . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0304 Registration Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0305 Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0306 Requirement to File Amendments . . . . . . . . . . . . . . . . . . .6-6 .0307 Annual Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0308 Registration Fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0309 Index of Registered Plans . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0310 Advertising of State Bar Approval Prohibited . . . . . . . . . . . .6-6 .0311 State Bar Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0312 Revocation of Registration . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0313 Hearing before the Authorized Practice Committee . . . . . .6-6 .0314 Action by the Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 page 9 Subchapter G: Certification of Paralegals . . . . .Subchap. 1G Section .0100 The Plan for Certification of Paralegals . . . . . . . . . . . . .7-1 .0101 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-1 .0102 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . .7-1 .0103 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . .7-1 .0104 Size and Composition of Board . . . . . . . . . . . . . . . . . . . .7-1 .0105 Appointment of Members; When; Removal . . . . . . . . . .7-1 .0106 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0107 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0108 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0109 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .7-2 .0110 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .7-2 .0111 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0112 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0113 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0114 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0115 Powers and Duties of the Board . . . . . . . . . . . . . . . . . . . .7-2 .0116 Retained Jurisdiction of the Council . . . . . . . . . . . . . . . .7-3 .0117 Conferred and Limitations Imposed . . . . . . . . . . . . . . . .7-3 .0118 Certification Committee . . . . . . . . . . . . . . . . . . . . . . . . .7-3 .0119 Standards for Certification of Paralegals . . . . . . . . . . . . .7-3 .0120 Standards for Continued Certification of Paralegals . . . . .7-4 .0121 Lapse, Suspension or Revocation of Certification . . . . . .7-4 .0122 Right to Review and Appeal to Council . . . . . . . . . . . . .7-4 .0123 Inactive Status Upon Demonstration of Hardship . . . . . .7-5 .0124 Retired Certified Paralegal Status . . . . . . . . . . . . . . . . . . .7-5 Section .0200 Rules Governing Continuing Paralegal Education . . . .7-6 .0201 Continuing Paralegal Education (CPE) . . . . . . . . . . . . . . .7-6 .0202 Accreditation Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-6 .0203 General Course Approval . . . . . . . . . . . . . . . . . . . . . . . . . .7-6 .0204 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-7 .0205 Computation of Hours of Instruction . . . . . . . . . . . . . . . . .7-7 Subchapter H: Registration of Attorneys Appearing . . . . . . . . . Pro Hac Vice . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subchap. 1H Section .0100 Registration Procedure . . . . . . . . . . . . . . . . . . . . . . . . .8-1 .0101 Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8-1 Title 27 of the North Carolina Administrative Code: The North Carolina State Bar Chapter 2: Rules of Professional Conduct . . . . . . . . . . . . . . . . . . .9-1 Preamble and Scope 0.1 Preamble: A Lawyer’s Professional Responsibilities . . . . . . . . . . . .9-2 0.2 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-3 Terminology Rule 1.0: Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-4 Client-Lawyer Relationship Rule 1.1: Competence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-5 Rule 1.2: Scope of Representation and Allocation of Authority Between Client and Lawyer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-6 Rule 1.3: Diligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-8 Rule 1.4: Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-9 Rule 1.5: Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-10 Rule 1.6: Confidentiality of Information . . . . . . . . . . . . . . . . . . . . .9-13 Rule 1.7: Conflict of Interest: Current Clients . . . . . . . . . . . . . . . . .9-17 Rule 1.8: Conflict of Interest: Current Clients: Specific Rules . . . . .9-23 Rule 1.9: Duties to Former Clients . . . . . . . . . . . . . . . . . . . . . . . . .9-26 Rule 1.10: Imputation of Conflicts of Interest: General Rule . . . . .9-28 Rule 1.11: Special Conflicts of Interest for Former and Current Government Officers and Employees . . . . . . . . . . . . .9-29 Rule 1.12: Former Judge, Arbitrator, Mediator, or Other Third-Party Neutral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-30 Rule 1.13: Organization as Client . . . . . . . . . . . . . . . . . . . . . . . . . .9-31 Rule 1.14: Client with Diminished Capacity . . . . . . . . . . . . . . . . . .9-32 Rule 1.15: Safekeeping Property . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-33 Rule 1.15-1: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-33 Rule 1.15-2: General Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-34 Rule 1.15-3: Records and Accountings . . . . . . . . . . . . . . . . . . . .9-35 Rule 1.15-4: Trust Account Management in a Multi-Member Firm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-36 Rule 1.16: Declining or Terminating Representation . . . . . . . . . . . .9-40 Rule 1.17: Sale of Law Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-42 Rule 1.18: Duties to Prospective Client . . . . . . . . . . . . . . . . . . . . . .9-43 Rule 1.19: Sexual Relations with Clients Prohibited . . . . . . . . . . . .9-44 Counselor Rule 2.1: Advisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-45 Rule 2.2: Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-45 Rule 2.3: Evaluation for Use by Third Persons . . . . . . . . . . . . . . . . .9-45 Rule 2.4: Lawyer Serving as Third-Party Neutral . . . . . . . . . . . . . . .9-46 Advocate Rule 3.1: Meritorious Claims and Contentions . . . . . . . . . . . . . . . .9-46 Rule 3.2: Expediting Litigation . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-47 Rule 3.3: Candor Toward the Tribunal . . . . . . . . . . . . . . . . . . . . . . .9-47 Rule 3.4: Fairness to Opposing Party and Counsel . . . . . . . . . . . . .9-49 Rule 3.5: Impartiality and Decorum of the Tribunal . . . . . . . . . . . .9-50 Rule 3.6: Trial Publicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-51 Rule 3.7: Lawyer as Witness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-52 Rule 3.8: Special Responsibilities of a Prosecutor . . . . . . . . . . . . . . .9-53 Transactions with Persons Other Than Clients Rule 4.1: Truthfulness in Statements to Others . . . . . . . . . . . . . . . .9-54 Rule 4.2: Communication with Person Represented by Counsel . . .9-55 Rule 4.3: Dealing with Unrepresented Person . . . . . . . . . . . . . . . . .9-57 Rule 4.4: Respect for Rights of Third Persons . . . . . . . . . . . . . . . . .9-57 Law Firms and Associations Rule 5.1: Responsibilities of Principals, Managers, and Supervisory Lawyers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-58 Rule 5.2: Responsibilities of a Subordinate Lawyer . . . . . . . . . . . . .9-59 Rule 5.3: Responsibilities Regarding Nonlawyer Assistance . . . . . . .9-59 Rule 5.4: Professional Independence of a Lawyer . . . . . . . . . . . . . . .9-61 Rule 5.5: Unauthorized Practice of Law; Multijurisdictional Practice of Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-61 Rule 5.6: Restrictions on Right to Practice . . . . . . . . . . . . . . . . . . .9-64 Rule 5.7: Responsibilities Regarding Law-Related Services . . . . . . .9-65 Public Service Rule 6.1: Voluntary Pro Bono Publico Service . . . . . . . . . . . . . . . . .9-66 Rule 6.2: Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-66 Rule 6.3: Membership in Legal Services Organization . . . . . . . . . . .9-66 Rule 6.4: Law Reform Activities Affecting Client Interests . . . . . . .9-67 Rule 6.5: Limited Legal Services Programs . . . . . . . . . . . . . . . . . . . .9-67 Rule 6.6: Action as a Public Official . . . . . . . . . . . . . . . . . . . . . . . . .9-67 page 10 Information About Legal Services Rule 7.1: Communications Concerning a Lawyer’s Services . . . . . .9-68 Rule 7.2: Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-69 Rule 7.3: Direct Contact with Potential Clients . . . . . . . . . . . . . . . .9-71 Rule 7.4: Solicitation of Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-73 Rule 7.5: Firm Names and Letterheads . . . . . . . . . . . . . . . . . . . . . .9-74 Rule 7.6: Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-75 Maintaining the Integrity of the Profession Rule 8.1: Bar Admission and Disciplinary Matters . . . . . . . . . . . . .9-75 Rule 8.2: Judicial and Legal Officials . . . . . . . . . . . . . . . . . . . . . . . .9-75 Rule 8.3: Reporting Professional Misconduct . . . . . . . . . . . . . . . . .9-75 Rule 8.4: Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-76 Rule 8.5: Disciplinary Authority; Choice of Law . . . . . . . . . . . . . . .9-78 Rule 8.6: Information about a Possible Wrongful Conviction . . . . .9-79 Rules Index . . . . . . . . . . . . . . . . . . . . . . . .9-80 Ethics Opinions . . . . . . . . . . . . . . . . . . . . .10-1 Authorized Practice Advisory Opinions . . .10-279 Ethics Opinion Index . . . . . . . . . . . . . . . .10-282 Additional Resources . . . . . . . . . . . . . . . . . .11-1 IOLTA Questions and Answers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-1 Correlation Tables Correlation Table 1: 1997 Revised Rules of Professional Conduct and 2003 Amended Revised Rules of Professional Conduct . . . . . . . . . . . . . . . . .11-4 Correlation Table 2: 1997 Revised Rules of Professional Conduct and 1985 Rules of Professional Conduct (Superceded) . . . . .11-5 Correlation Table 3: 1985 Rules of Professional Conduct (Superceded), 1997 Revised Rules of Professional Conduct, and 1973 Code of Professional Responsibility (Superceded) . . . . . . . .11-7 Headings for the Complete Rules of the North Carolina State Bar . . . .11-9 Cover artwork: North Carolina Mountains to Sea, by Robert Johnson, part of the North Carolina State Bar art collection. G.S. Chap. 84: 1-1 § 84-2.1. "Practice law" defined. The phrase "practice law" as used in this Chapter is defined to be performing any legal service for any other person, firm or corporation, with or without com-pensation, specifically including the preparation or aiding in the preparation of deeds, mortgages, wills, trust instruments, inventories, accounts or reports of guardians, trustees, administrators or executors, or preparing or aiding in the prepa-ration of any petitions or orders in any probate or court proceeding; abstracting or passing upon titles, the preparation and filing of petitions for use in any court, including administrative tribunals and other judicial or quasi judicial bodies, or assisting by advice, counsel, or otherwise in any legal work; and to advise or give opinion upon the legal rights of any person, firm or corporation: Provided, that the above reference to particular acts which are specifically included within the defini-tion of the phrase "practice law" shall not be construed to limit the foregoing gen-eral definition of the term, but shall be construed to include the foregoing partic-ular acts, as well as all other acts within the general definition. The phrase "practice law" does not encompass the writing of memoranda of understanding or other mediation summaries by mediators at community mediation centers authorized by G.S. 7A 38.5 or by mediators of personnel matters for The University of North Carolina or a constituent institution. § 84-4. Persons other than members of State Bar prohibited from practicing law. Except as otherwise permitted by law, it shall be unlawful for any person or association of persons, except active members of the Bar of the State of North Carolina admitted and licensed to practice as attorneys at law, to appear as attor-ney or counselor at law in any action or proceeding before any judicial body, including the North Carolina Industrial Commission, or the Utilities Commission; to maintain, conduct, or defend the same, except in his own behalf as a party thereto; or, by word, sign, letter, or advertisement, to hold out himself, or themselves, as competent or qualified to give legal advice or counsel, or to pre-pare legal documents, or as being engaged in advising or counseling in law or act-ing as attorney or counselor at law, or in furnishing the services of a lawyer or lawyers; and it shall be unlawful for any person or association of persons except active members of the Bar, for or without a fee or consideration, to give legal advice or counsel, perform for or furnish to another legal services, or to prepare directly or through another for another person, firm or corporation, any will or testamen-tary disposition, or instrument of trust, or to organize corporations or prepare for another person, firm or corporation, any other legal document. Provided, that nothing herein shall prohibit any person from drawing a will for another in an emergency wherein the imminence of death leaves insufficient time to have the same drawn and its execution supervised by a licensed attorney at law. The provi-sions of this section shall be in addition to and not in lieu of any other provisions of this Chapter. Provided, however, this section shall not apply to corporations authorized to practice law under the provisions of Chapter 55B of the General Statutes of North Carolina. § 84-4.1. Limited practice of out of state attorneys. Any attorney domiciled in another state, and regularly admitted to practice in the courts of record of and in good standing in that state, having been retained as attorney for a party to any civil or criminal legal proceeding pending in the General Court of Justice of North Carolina, the North Carolina Utilities Commission, the North Carolina Industrial Commission, the Office of Administrative Hearings of North Carolina, or any administrative agency, may, on motion, be admitted to practice in that forum for the sole purpose of appearing for a client in the pro-ceeding. The motion required under this section shall be signed by the attorney and shall contain or be accompanied by: (1) The attorney's full name, post office address, bar membership number, and status as a practicing attorney in another state. (2) A statement, signed by the client, setting forth the client's address and declaring that the client has retained the attorney to represent the client in the pro-ceeding. (3) A statement that unless permitted to withdraw sooner by order of the court, the attorney will continue to represent the client in the proceeding until its final determination, and that with reference to all matters incident to the proceeding, the attorney agrees to be subject to the orders and amenable to the disciplinary action and the civil jurisdiction of the General Court of Justice and the North Carolina State Bar in all respects as if the attorney were a regularly admitted and licensed member of the Bar of North Carolina in good standing. (4) A statement that the state in which the attorney is regularly admitted to practice grants like privileges to members of the Bar of North Carolina in good standing. (5) A statement to the effect that the attorney has associated and is personally appearing in the proceeding, with an attorney who is a resident of this State, has agreed to be responsible for filing a registration statement with the North Carolina State Bar, and is duly and legally admitted to practice in the General Court of Justice of North Carolina, upon whom service may be had in all matters connect-ed with the legal proceedings, or any disciplinary matter, with the same effect as if personally made on the foreign attorney within this State. (6) A statement accurately disclosing a record of all that attorney's disciplinary history. Discipline shall include (i) public discipline by any court or lawyer regula-tory organization, and (ii) revocation of any pro hac vice admission. (7) A fee in the amount of two hundred twenty five dollars ($225.00), of which two hundred dollars ($200.00) shall be remitted to the State Treasurer for support of the General Court of Justice and twenty five dollars ($25.00) shall be transmit-ted to the North Carolina State Bar to regulate the practice of out of state attorneys as provided in this section. Compliance with the foregoing requirements does not deprive the court of the discretionary power to allow or reject the application. § 84-4.2. Summary revocation of permission granted out of state attorneys to practice. Permission granted under G.S. 84-4.1 may be summarily revoked by the General Court of Justice or any agency, including the North Carolina Utilities Commission, on its own motion and in its discretion. § 84-5. Prohibition as to practice of law by corporation. (a) It shall be unlawful for any corporation to practice law or appear as an attorney for any person in any court in this State, or before any judicial body or the North Carolina Industrial Commission, Utilities Commission, or the Department of Commerce, Division of Employment Security, or hold itself out to the public or advertise as being entitled to practice law; and no corpo-ration shall organize corporations, or draw agreements, or other legal docu-ments, or draw wills, or practice law, or give legal advice, or hold itself out in any manner as being entitled to do any of the foregoing acts, by or through any person orally or by advertisement, letter or circular. The provisions of this sec-tion shall be in addition to and not in lieu of any other provisions of Chapter 84. Provided, that nothing in this section shall be construed to prohibit a bank-ing corporation authorized and licensed to act in a fiduciary capacity from per-forming any clerical, accounting, financial or business acts required of it in the performance of its duties as a fiduciary or from performing ministerial and cler-ical acts in the preparation and filing of such tax returns as are so required, or from discussing the business and financial aspects of fiduciary relationships. Provided, however, this section shall not apply to corporations authorized to North Carolina General Statutes, Chapter 84 Attorneys-at-Law: Selected Statutes G.S. Chap. 84: 1-2 practice law under the provisions of Chapter 55B of the General Statutes of North Carolina. To further clarify the foregoing provisions of this section as they apply to cor-porations which are authorized and licensed to act in a fiduciary capacity: (1) A corporation authorized and licensed to act in a fiduciary capacity shall not: a. Draw wills or trust instruments; provided that this shall not be construed to prohibit an employee of such corporation from conferring and cooperat-ing with an attorney who is not a salaried employee of the corporation, at the request of such attorney, in connection with the attorney's performance of services for a client who desires to appoint the corporation executor or trustee or otherwise to utilize the fiduciary services of the corporation. b. Give legal advice or legal counsel, orally or written, to any customer or prospective customer or to any person who is considering renunciation of the right to qualify as executor or administrator or who proposes to resign as guardian or trustee, or to any other person, firm or corporation. c. Advertise to perform any of the acts prohibited herein; solicit to perform any of the acts prohibited herein; or offer to perform any of the acts prohib-ited herein. (2) Except as provided in subsection (b) of this section, when any of the fol-lowing acts are to be performed in connection with the fiduciary activities of such a corporation, said acts shall be performed for the corporation by a duly licensed attorney, not a salaried employee of the corporation, retained to per-form legal services required in connection with the particular estate, trust or other fiduciary matter: a. Offering wills for probate. b. Preparing and publishing notice of administration to creditors. c. Handling formal court proceedings. d. Drafting legal papers or giving legal advice to spouses concerning rights to an elective share under Article 1A of Chapter 30 of the General Statutes. e. Resolving questions of domicile and residence of a decedent. f. Handling proceedings involving year's allowances of widows and children. g. Drafting deeds, notes, deeds of trust, leases, options and other contracts. h. Drafting instruments releasing deeds of trust. i. Drafting assignments of rent. j. Drafting any formal legal document to be used in the discharge of the cor-porate fiduciary's duty. k. In matters involving estate and inheritance taxes, gift taxes, and federal and State income taxes: 1. Preparing and filing protests or claims for refund, except requests for a refund based on mathematical or clerical errors in tax returns filed by it as a fiduciary. 2. Conferring with tax authorities regarding protests or claims for refund, except those based on mathematical or clerical errors in tax returns filed by it as a fiduciary. 3. Handling petitions to the tax court. l. Performing legal services in insolvency proceedings or before a referee in bankruptcy or in court. m. In connection with the administration of an estate or trust: 1. Making application for letters testamentary or letters of administration. 2. Abstracting or passing upon title to property. 3. Handling litigation relating to claims by or against the estate or trust. 4. Handling foreclosure proceedings of deeds of trust or other security instruments which are in default. (3) When any of the following acts are to be performed in connection with the fiduciary activities of such a corporation, the corporation shall comply with the following: a. The initial opening and inventorying of safe deposit boxes in connection with the administration of an estate for which the corporation is executor or administrator shall be handled by, or with the advice of, an attorney, not a salaried employee of the corporation, retained by the corporation to perform legal services required in connection with that particular estate. b. The furnishing of a beneficiary with applicable portions of a testator's will relating to such beneficiary shall, if accompanied by any legal advice or opin-ion, be handled by, or with the advice of, an attorney, not a salaried employ-ee of the corporation, retained by the corporation to perform legal services required in connection with that particular estate or matter. c. In matters involving estate and inheritance taxes and federal and State income taxes, the corporation shall not execute waivers of statutes of limita-tions without the advice of an attorney, not a salaried employee of the cor-poration, retained by the corporation to perform legal services in connection with that particular estate or matter. d. An attorney, not a salaried employee of the corporation, retained by the corporation to perform legal services required in connection with an estate or trust shall be furnished copies of inventories and accounts proposed for filing with any court and proposed federal estate and North Carolina inheritance tax returns and, on request, copies of proposed income and intangibles tax returns, and shall be afforded an opportunity to advise and counsel the cor-porate fiduciary concerning them prior to filing. (b) Nothing in this section shall prohibit an attorney retained by a corporation, whether or not the attorney is also a salaried employee of the corporation, from rep-resenting the corporation or an affiliate, or from representing an officer, director, or employee of the corporation or an affiliate in any matter arising in connection with the course and scope of the employment of the officer, director, or employee. Notwithstanding the provisions of this subsection, the attorney providing such rep-resentation shall be governed by and subject to all of the Rules of Professional Conduct of the North Carolina State Bar to the same extent as all other attorneys licensed by this State. § 84-5.1. Rendering of legal services by certain non-profit corporations. (a) Subject to the rules and regulations of the North Carolina State Bar, as approved by the Supreme Court of North Carolina, a nonprofit corporation, tax exempt under 26 U.S.C. § 501(c)(3), organized or authorized under Chapter 55A of the General Statutes of North Carolina and operating as a public interest law firm as defined by the applicable Internal Revenue Service guidelines or for the pri-mary purpose of rendering indigent legal services, may render such services pro-vided by attorneys duly licensed to practice law in North Carolina, for the purposes for which the nonprofit corporation was organized. The nonprofit corporation must have a governing structure that does not permit an individual or group of individuals other than an attorney duly licensed to practice law in North Carolina to control the manner or course of the legal services rendered and must continual-ly satisfy the criteria established by the Internal Revenue Service for 26 U.S.C. § 501(c)(3) status, whether or not any action has been taken to revoke that status. (b) In no instance may legal services rendered by a nonprofit corporation under subsection (a) of this section be conditioned upon the purchase or payment for any product, good, or service other than the legal service rendered. § 84-8. Punishment for violations. (a) Any person, corporation, or association of persons violating any of the pro-visions of G.S. 84 4 through G.S. 84 6 or G.S. 84 9 shall be guilty of a Class 1 mis-demeanor. (b) No person shall be entitled to collect any fee for services performed in vio-lation of G.S. 84 4 through G.S. 84 6, G.S. 84 9, or G.S. 84 10.1. § 84-15. Creation of North Carolina State Bar as an agency of the State. There is hereby created as an agency of the State of North Carolina, for the pur-poses and with the powers hereinafter set forth, the North Carolina State Bar. § 84-16. Membership and privileges. The membership of the North Carolina State Bar shall consist of two classes, active and inactive. The active members shall be all persons who have obtained a license or certifi-cate, entitling them to practice law in the State of North Carolina, who have paid the membership dues specified, and who have satisfied all other obligations of membership. No person other than a member of the North Carolina State Bar shall practice in any court of the State except foreign attorneys as provided by statute and natural persons representing themselves. G.S. Chap. 84: 1-3 Inactive members shall be: (1) All persons who have obtained a license to practice law in the State but who have been found by the Council to be not engaged in the practice of law and not holding themselves out as practicing attorneys and not occupying any public or private positions in which they may be called upon to give legal advice or counsel or to examine the law or to pass upon, adjudicate, or offer an opinion concerning the legal effect of any act, document, or law. (2) Persons allowed by the Council solely to represent indigent clients on a pro bono basis under the supervision of an active member employed by a nonprofit corporation qualified to render legal services pursuant to G.S. 84-5.1. All active members shall be required to pay annual membership fees, and shall have the right to vote in elections held by the district bar in the judicial district in which the member resides. If a member desires to vote with the bar of some dis-trict in which the member practices, other than that in which the member resides, the member may do so by filing with the Secretary of the North Carolina State Bar a statement in writing that the member desires to vote in the other district; pro-vided, however, that in no case shall the member be entitled to vote in more than one district. § 84-17. Government. The government of the North Carolina State Bar is vested in a council of the North Carolina State Bar referred to in this Chapter as the "Council." The Council shall be composed of a variable number of councilors equal to the number of judi-cial districts plus 16, the officers of the North Carolina State Bar, who shall be councilors during their respective terms of office, and each retiring president of the North Carolina State Bar who shall be a councilor for one year from the date of expiration of his term as president. Notwithstanding any other provisions of the law, the North Carolina State Bar may borrow money and may acquire, hold, rent, encumber, alienate, lease, and otherwise deal with real or personal property in the same manner as any private person or corporation, subject only to the approval of the Governor and the Council of State as to the borrowing of money and the acquisition, rental, encumbering, leasing and sale of real property. The Council shall be competent to exercise the entire powers of the North Carolina State Bar in respect of the interpretation and administration of this Article, the borrowing of money, the acquisition, lease, sale, or mortgage of property, real or personal, the seeking of amendments to this Chapter, and all other matters. There shall be one councilor from each judicial district and 16 additional councilors. The additional councilors shall be allocated and reallocated by the North Carolina State Bar every six years based on the number of active members of each judicial district bar according to the records of the North Carolina State Bar and in accordance with a formula to be adopted by the North Carolina State Bar, to insure an allocation based on lawyer population of each judicial district bar as it relates to the total num-ber of active members of the State Bar. A councilor whose seat has been eliminated due to a reallocation shall contin-ue to serve on the Council until expiration of the remainder of the current term. A councilor whose judicial district is altered by the General Assembly during the councilor's term shall continue to serve on the Council until the expiration of the term and shall represent the district wherein the councilor resides or with which the councilor has elected to be affiliated. If before the alteration of the judicial dis-trict of the councilor the judicial district included both the place of residence and the place of practice of the councilor, and if after the alteration of the judicial dis-trict the councilor's place of residence and place of practice are located in different districts, the councilor must, not later than 10 days from the effective date of the alteration of the district, notify the Secretary of the North Carolina State Bar of an election to affiliate with and represent either the councilor's district of residence or district of practice. In addition to the councilors, there shall be three public members not licensed to practice law in this or any other state who shall be appointed by the Governor. The public members may vote and participate in all matters before the Council to the same extent as councilors elected or appointed from the var-ious judicial districts. § 84-18. Terms, election and appointment of councilors. (a) Except as set out in this section, the terms of councilors are fixed at three years commencing on the first day of January in the year following their election. A year shall be the calendar year. No councilor may serve more than three succes-sive three year terms but a councilor may serve an unlimited number of three suc-cessive three year terms provided a three year period of nonservice intervenes in each instance. Any councilor serving a partial term of 18 months or more is con-sidered to have served a full term and shall be eligible to be elected to only two suc-cessive three year terms in addition to the partial term. Any councilor serving a par-tial term of less than 18 months is eligible to be elected to three successive three year terms in addition to the partial term. This paragraph shall not apply to offi-cers of the State Bar. The secretary of a judicial district bar shall notify the secretary treasurer of the State Bar in writing of any additions to or deletions from the delegation of coun-cilors representing the district within 90 days of the effective date of the change. No new councilor shall assume a seat until official notice of the election has been given to the secretary treasurer of the State Bar. Any active member of the North Carolina State Bar is eligible to serve as a councilor from the judicial district in which the member is eligible to vote. (b) The Council may promulgate rules to govern the election and appointment of councilors. The election and appointment of councilors shall be as follows: Each judicial district bar shall elect one eligible North Carolina State Bar mem-ber for each Council vacancy in the district. Any vacancy occurring after the elec-tion, whether caused by resignation, death, reconfiguration of the district by the General Assembly, or otherwise shall be filled by the judicial district bar in which the vacancy occurs. The appointment shall be for the unexpired portion of the term and shall be certified to the Council by the judicial district bar. Any appoint-ed councilor shall be subject to the terms set forth in subsection (a) of G.S. 84-18. (c) Public members shall serve three year terms. No public member shall serve more than two complete consecutive terms. The Secretary of the North Carolina State Bar shall promptly inform the Governor when any seat occupied by a public member becomes vacant. The successor shall serve the remainder of the term. Any public member serving a partial term of 18 months or more is considered to have served a full term and is eligible to be elected to only one additional three year term in addition to the partial term. Any public member serving a partial term of less than 18 months is eligible to be elected to two successive three year terms in addi-tion to the partial term. § 84-18.1. Membership and fees of district bars. (a) The district bar shall be a subdivision of the North Carolina State Bar sub-ject to the general supervisory authority of the Council and may adopt rules, reg-ulations and bylaws that are not inconsistent with this Article. A copy of any rules, regulations and bylaws that are adopted, along with any subsequent amendments, shall be transmitted to the Secretary Treasurer of the North Carolina State Bar. (b) Any district bar may from time to time by a majority vote of the members present at a duly called meeting prescribe an annual membership fee to be paid by its active members as a service charge to promote and maintain its administration, activities and programs. The fee shall be in addition to, but shall not exceed, the amount of the membership fee prescribed by G.S. 84-34 for active members of the North Carolina State Bar. The district bar may also charge a late fee, which shall not exceed fifteen dollars ($15.00), for the failure to pay judicial district bar dues on time. The district bar shall mail a written notice to every active member of the district bar at least 30 days before any meeting at which an election is held to impose or increase mandatory district bar dues. Every active member of a district bar which has prescribed an annual membership fee shall keep its secretary treas-urer notified of his correct mailing address and shall pay the prescribed fee at the time and place set forth in the demand for payment mailed to him by its secretary treasurer. The name of each active member of a district bar who is more than 12 full calendar months in arrears in the payment of any fee shall be furnished by the secretary treasurer of the district bar to the Council. In the exercise of its powers as set forth in G.S. 84-23, the Council shall thereupon take disciplinary or other action with reference to the delinquent as it considers necessary and proper. G.S. Chap. 84: 1-4 § 84-19. Judicial districts definition. For purposes of this Article, the term "judicial district" refers to prosecutorial districts established by the General Assembly and includes the High Point Superior Court District as described under G.S. 7A 41(b)(13). The term "district bar" means the bar of a judicial district as defined by this section. § 84-21. Organization of Council; publication of rules, regulations and bylaws. (a) The Council shall adopt the rules pursuant to G.S. 45A 9. (b) The rules and regulations adopted by the Council under this Article may be amended by the Council from time to time in any manner not inconsistent with this Article. Copies of all rules and regulations and of all amendments adopt-ed by the Council shall be certified to the Chief Justice of the Supreme Court of North Carolina, entered by the North Carolina Supreme Court upon its minutes, and published in the next ensuing number of the North Carolina Reports and in the North Carolina Administrative Code: Provided, that the court may decline to have so entered upon its minutes any rules, regulations and amendments which in the opinion of the Chief Justice are inconsistent with this Article. § 84-22. Officers and committees of the North Carolina State Bar. The officers of the North Carolina State Bar and the Council shall consist of a president, president elect, vice president and an immediate past president, who shall be deemed members of the Council in all respects. The president, president elect and vice president need not be members of the Council at the time of their election. There shall be a secretary treasurer who shall also have the title of execu-tive director, but who shall not be a member of the Council. All officers shall be elected annually by the Council at an election to take place at the annual meeting of the North Carolina State Bar. The regular term of all officers is one year. The Council is the judge of the election and qualifications of its members. In addition to the committees and commissions as may be specifically estab-lished or authorized by law, the North Carolina State Bar may have committees, standing or special, as from time to time the Council deems appropriate for the proper discharge of the duties and functions of the North Carolina State Bar. The Council shall determine the number of members, composition, method of appointment or election, functions, powers and duties, structure, authority to act, and other matters relating to each committee. Any committee may, at the discre-tion of the appointing or electing authority, be composed of Council members or members of the North Carolina State Bar who are not members of the Council, or of lay persons, or of any combination. § 84-23. Powers of Council. (a) The Council is vested, as an agency of the State, with the authority to reg-ulate the professional conduct of licensed lawyers and State Bar certified paralegals. Among other powers, the Council shall administer this Article; take actions that are necessary to ensure the competence of lawyers and State Bar certified paralegals; formulate and adopt rules of professional ethics and conduct; investigate and pros-ecute matters of professional misconduct; grant or deny petitions for reinstatement; resolve questions pertaining to membership status; arbitrate disputes concerning legal fees; certify legal specialists and paralegals and charge fees to applicants and participants necessary to administer these certification programs; determine whether a member is disabled; maintain an annual registry of interstate and inter-national law firms doing business in this State; and formulate and adopt procedures for accomplishing these purposes. The Council may do all things necessary in the furtherance of the purposes of this Article that are not otherwise prohibited by law. (b) The Council or any committee of the Council, including the Client Security Fund and the Disciplinary Hearing Commission or any committee of the Commission, may subpoena financial records of any licensed lawyers, lawyers whose licenses have been suspended, or disbarred lawyers, relating to any account into which client or fiduciary funds have been deposited. (c) The Council may publish an official journal concerning matters of interest to the legal profession. (d) The Council may acquire, hold, rent, encumber, alienate, lease, and other-wise deal with real or personal property in the same manner as any private person or corporation, subject only to the approval of the Governor and the Council of State as to the acquisition, rental, encumbering, leasing and sale of real property. The Council may borrow money upon its bonds, notes, debentures, or other evi-dences of indebtedness sold through public or private sale pursuant to a loan agree-ment or a trust agreement or indenture with a trustee, with such borrowing either unsecured or secured by a mortgage on the Council's interest in real or personal property, and engage and contract with attorneys, underwriters, financial advisors, and other parties as necessary for such borrowing, with such borrowing and secu-rity subject to the approval of the Governor and the Council of State. The Council may utilize the services of the Purchase and Contract Division of the Department of Administration to procure personal property, in accordance with the provisions of Article 3 of Chapter 143 of the General Statutes. However, the Council shall: (i) submit all proposed contracts for supplies, materials, printing, equipment, and contractual services that exceed one million dollars ($1,000,000) authorized by this subsection to the Attorney General or the Attorney General's designee for review as provided in G.S. 114 8.3; and (ii) include in all contracts to be awarded by the Council under this subsection a standard clause which provides that the State Auditor and internal auditors of the Council may audit the records of the con-tractor during and after the term of the contract to verify accounts and data affect-ing fees and performance. The Council shall not award a cost plus percentage of cost agreement or contract for any purpose. § 84-28. Discipline and disbarment. (a) Any attorney admitted to practice law in this State is subject to the discipli-nary jurisdiction of the Council under such rules and procedures as the Council shall adopt as provided in G.S. 84-23. (b) The following acts or omissions by a member of the North Carolina State Bar or any attorney admitted for limited practice under G.S. 84-4.1, individually or in concert with any other person or persons, shall constitute misconduct and shall be grounds for discipline whether the act or omission occurred in the course of an attorney client relationship or otherwise: (1) Conviction of, or a tender and acceptance of a plea of guilty or no contest to, a criminal offense showing professional unfitness; (2) The violation of the Rules of Professional Conduct adopted and promul-gated by the Council in effect at the time of the act; (3) Knowing misrepresentation of any facts or circumstances surrounding any complaint, allegation or charge of misconduct; failure to answer any formal inquiry or complaint issued by or in the name of the North Carolina State Bar in any disciplinary matter; or contempt of the Council or any committee of the North Carolina State Bar. (c) Misconduct by any attorney shall be grounds for: (1) Disbarment; (2) Suspension for a period up to but not exceeding five years, any portion of which may be stayed upon reasonable conditions to which the offending attor-ney consents; (3) Censure - A censure is a written form of discipline more serious than a rep-rimand issued in cases in which an attorney has violated one or more provisions of the Rules of Professional Conduct and has caused significant harm or poten-tial significant harm to a client, the administration of justice, the profession or members of the public, but the protection of the public does not require sus-pension of the attorney's license; (4) Reprimand - A reprimand is a written form of discipline more serious than an admonition issued in cases in which an attorney has violated one or more provisions of the Rules of Professional Conduct, but the protection of the pub-lic does not require a censure. A reprimand is generally reserved for cases in which the attorney's conduct has caused harm or potential harm to a client, the administration of justice, the profession, or members of the public; or (5) Admonition - An admonition is a written form of discipline imposed in cases in which an attorney has committed a minor violation of the Rules of Professional Conduct. Any order disbarring or suspending an attorney may impose reasonable condi-tions precedent to reinstatement. No attorney who has been disbarred by the Disciplinary Hearing Commission, the Council, or by order of any court of this State may seek reinstatement to the practice of law prior to five years from the effec- G.S. Chap. 84: 1-5 tive date of the order of disbarment. Any order of the Disciplinary Hearing Commission or the Grievance Committee imposing an admonition, reprimand, censure, or stayed suspension may also require the attorney to complete a reason-able amount of continuing legal education in addition to the minimum amount required by the North Carolina Supreme Court. (d) Any attorney admitted to practice law in this State, who is convicted of or has tendered and has had accepted, a plea of guilty or no contest to, a criminal offense showing professional unfitness, may be disciplined based upon the convic-tion, without awaiting the outcome of any appeals of the conviction. An order of discipline based solely upon a conviction of a criminal offense showing profession-al unfitness shall be vacated immediately upon receipt by the Secretary of the North Carolina State Bar of a certified copy of a judgment or order reversing the conviction. The fact that the attorney's criminal conviction has been overturned on appeal shall not prevent the North Carolina State Bar from conducting a discipli-nary proceeding against the attorney based upon the same underlying facts or events that were the subject of the criminal proceeding. (d1) An attorney who is disciplined as provided in subsection (d) of this section may petition the court in the trial division in the judicial district where the con-viction occurred for an order staying the disciplinary action pending the outcome of any appeals of the conviction. The court may grant or deny the stay in its dis-cretion upon such terms as it deems proper. A stay of the disciplinary action by the court shall not prevent the North Carolina State Bar from going forward with a disciplinary proceeding against the attorney based upon the same underlying facts or events that were the subject of the criminal proceeding. (e) Any attorney admitted to practice law in this State who is disciplined in another jurisdiction shall be subject to the same discipline in this State: Provided, that the discipline imposed in the other jurisdiction does not exceed that provided for in subsection (c) above and that the attorney was not deprived of due process in the other jurisdiction. (f) Upon application by the North Carolina State Bar, misconduct by an attor-ney admitted to practice in this State may be restrained or enjoined where the necessity for prompt action exists regardless of whether a disciplinary proceeding in the matter of the conduct is pending. The application shall be filed in the Superior Court of Wake County and shall be governed by the procedure set forth in G.S. 1A 1, Rule 65. (g) Any member of the North Carolina State Bar may be transferred to dis-ability inactive status for mental incompetence, physical disability, or substance abuse interfering with the attorney's ability to competently engage in the practice of law under the rules and procedures the Council adopts pursuant to G.S. 84-23. (h) There shall be an appeal of right by either party from any final order of the Disciplinary Hearing Commission to the North Carolina Court of Appeals. Review by the appellate division shall be upon matters of law or legal inference. The procedures governing any appeal shall be as provided by statute or court rule for appeals in civil cases. A final order which imposes disbarment or suspension for 18 months or more shall not be stayed except upon application, under the rules of the Court of Appeals, for a writ of supersedeas. A final order imposing suspension for less than 18 months or any other discipline except disbarment shall be stayed pending determination of any appeal of right. (i) The North Carolina State Bar may invoke the process of the General Court of Justice to enforce the powers of the Council or any committee to which the Council delegates its authority. (j) The North Carolina State Bar may apply to appropriate courts for orders necessary to protect the interests of clients of missing, suspended, disbarred, dis-abled, or deceased attorneys. The senior regular resident judge of the superior court of any district wherein a member of the North Carolina State Bar resides or maintains an office shall have the authority and power to enter orders necessary to protect the interests of the clients, including the authority to order the payment of compensation by the member or the estate of a deceased or disabled member to any attorney appointed to administer or conserve the law practice of the member. Compensation awarded to a member serving under this section awarded from the estate of a deceased member shall be considered an administrative expense of the estate for purposes of determining priority of payment. § 84-28.1. Disciplinary hearing commission. (a) There shall be a disciplinary hearing commission of the North Carolina State Bar which shall consist of 20 members. Twelve of these members shall be members of the North Carolina State Bar, and shall be appointed by the Council. The other eight shall be citizens of North Carolina not licensed to practice law in this or any other state, four of whom shall be appointed by the Governor, two by the General Assembly upon the recommendation of the President Pro Tempore of the Senate in accordance with G.S. 120 121, and two by the General Assembly upon the recommendation of the Speaker of the House of Representatives in accordance with G.S. 120 121. The Council shall designate one of its appointees as chair and another as vice chair. The chair shall have active-ly practiced law in the courts of the State for at least 10 years. Except as set out herein, the terms of members of the commission are set at three years com-mencing on the first day of July of the year of their appointment. The Council, the Governor, and the General Assembly respectively, shall appoint members to fill unexpired terms when vacancies are created by resignation, disqualification, disability or death, except that vacancies in appointments made by the General Assembly may also be filled as provided by G.S. 120 122. No member may serve more than a total of seven years or a one year term and two consecutive three year terms: Provided, that any member or former member who is designated chair may serve one additional three year term in that capacity. No member of the Council may be appointed to the commission. (b) The disciplinary hearing commission of the North Carolina State Bar, or any committee of the disciplinary hearing commission, may hold hearings in dis-cipline, incapacity and disability matters, make findings of fact and conclusions of law after these hearings, enter orders necessary to carry out the duties delegated to it by the Council, and tax the costs to an attorney who is disciplined or is found to be incapacitated or disabled. (b1) The disciplinary hearing commission of the North Carolina State Bar, or any committee thereof, acting through its chairman, shall have the power to hold persons, firms or corporations in contempt as provided in Chapter 5A. (c) Members of the disciplinary hearing commission shall receive the same per diem and travel expenses as are authorized for members of State commissions under G.S. 138 5. § 84-28.2. Persons immune from suit. Persons shall be immune from suit for all statements made without malice, and intended for transmittal to the North Carolina State Bar or any board, committee, officer, agent or employee thereof, or given in any investigation or proceedings, per-taining to alleged misconduct or disability or to reinstatement of an attorney. The protection of this immunity does not exist, however, as to statements made to oth-ers not intended for this use. § 84-29. Evidence and witnesses. In any investigation of charges of professional misconduct or disability or in petitions for reinstatement, the Council and any committee thereof, and the disci-plinary hearing commission, and any committee thereof, may administer oaths and affirmations and shall have the power to subpoena and examine witnesses under oath, and to compel their attendance, and the production of books, papers and other documents or writings deemed by it necessary or material to the inquiry. Each subpoena shall be issued under the hand of the secretary treasurer or the pres-ident of the Council or the chair of the committee appointed to hear the charges, and shall have the force and effect of a summons or subpoena issued by a court of record, and any witness or other person who shall refuse or neglect to appear in obedience thereto, or to testify or produce the books, papers, or other documents or writings required, shall be liable to punishment for contempt either by the Council or its committee or a hearing committee of the disciplinary hearing com-mission through its chair pursuant to the procedures set out in Chapter 5A of the General Statutes, but with the right to appeal therefrom. Depositions may be taken in any investigations of professional misconduct as in civil proceedings, but the Council or the committee hearing the case may, in its discretion, whenever it believes that the ends of substantial justice so require, direct that any witness with-in the State be brought before it. Witnesses giving testimony under a subpoena before the Council or any committee thereof, or the disciplinary hearing commis-sion or any committee thereof, or by deposition, shall be entitled to the same fees as in civil actions. In cases heard before the Council or any committee thereof or the disciplinary G.S. Chap. 84: 1-6 hearing commission or any committee thereof, if the party shall be convicted of the charges, the party shall be taxed with the cost of the hearings: Provided, however, that the bill of costs shall not include any compensation to the members of the Council or committee before whom the hearings are conducted. § 84-30. Rights of accused person. Any person who shall stand charged with an offense cognizable by the council or any committee thereof or the disciplinary hearing commission or any commit-tee thereof shall have the right to invoke and have exercised in his favor the pow-ers of the council or any committee, in respect of compulsory process for witness-es and for the production of books, papers, and other writings and documents, and shall also have the right to be represented by counsel. § 84‑32.1. Confidentiality of records. (a) All documents, papers, letters, recordings, electronic records, or other doc-umentary materials, regardless of physical form or characteristic, in the possession of the State Bar or its staff, employees, legal counsel, councilors, and Grievance Committee advisory members concerning any investigation, inquiry, complaint, disability, or disciplinary matter in connection with the State Bar Grievance Committee, the State Bar's Trust Accounting Supervisory Program, or any audit of an attorney trust account shall not be considered public records within the mean-ing of Chapter 132 of the General Statutes. (b) All documents, papers, letters, recordings, electronic records, or other doc-umentary materials containing or reflecting the deliberations of the Disciplinary Hearing Commission in disciplinary or disability matters shall not be considered public records within the meaning of Chapter 132 of the General Statutes. (c) Notwithstanding any other provision of this section, any record, paper, or other document containing information collected and compiled by or on behalf of the State Bar that is admitted as evidence in any hearing before the Disciplinary Hearing Commission, or any court or tribunal, shall be a public record within the meaning of Chapter 132 of the General Statutes unless it is admitted into evidence under seal by order of the Disciplinary Hearing Commission, or the court or tri-bunal in which the proceeding is held. (d) All documents, papers, letters, recordings, electronic records, or other doc-umentary materials in the possession of the State Bar or its staff, employees, legal counsel, and Lawyer Assistance Program volunteers, relating in any way to a mem-ber's participation or prospective participation in the Lawyer Assistance Program, including, but not limited to, any medical, counseling, substance abuse, or mental health records, shall not be considered public records within the meaning of Chapter 132 of the General Statutes. Neither the State Bar nor any person acting under the authority of the State Bar or of the Lawyer Assistance Program shall be required to produce or testify regarding the contents or existence of such documents. (2011‑267, s. 5.) § 84-34. Membership fees and list of members. Every active member of the North Carolina State Bar shall, prior to the first day of July of each year, pay to the secretary-treasurer an annual membership fee in an amount determined by the Council but not to exceed three hundred dol-lars ($300.00), and every member shall notify the secretary-treasurer of the mem-ber's correct mailing address. Any member who fails to pay the required dues by the last day of June of each year shall be subject to a late fee in an amount deter-mined by the Council but not to exceed thirty dollars ($30.00). All dues for prior years shall be as were set forth in the General Statutes then in effect. The mem-bership fee shall be regarded as a service charge for the maintenance of the sever-al services authorized by this Article, and shall be in addition to all fees required in connection with admissions to practice, and in addition to all license taxes required by law. The fee shall not be prorated: Provided, that no fee shall be required of an attorney licensed after this Article shall have gone into effect until the first day of January of the calendar year following that in which the attorney was licensed; but this proviso shall not apply to attorneys from other states admit-ted on certificate. The fees shall be disbursed by the secretary-treasurer on the order of the Council. The secretary-treasurer shall annually, at a time and in a law magazine or daily newspaper to be prescribed by the Council, publish an account of the financial transactions of the Council in a form to be prescribed by it. The secretary-treasurer shall compile and keep currently correct from the names and mailing addresses forwarded to the secretary-treasurer and from any other avail-able sources of information a list of members of the North Carolina State Bar and furnish to the clerk of the superior court in each county, not later than the first day of October in each year, a list showing the name and address of each attor-ney for that county who has not complied with the provisions of this Article. The name of each of the active members who are in arrears in the payment of mem-bership fees shall be furnished to the presiding judge at the next term of the supe-rior court after the first day of October of each year, by the clerk of the superior court of each county wherein the member or members reside, and the court shall thereupon take action that is necessary and proper. The names and addresses of attorneys so certified shall be kept available to the public. The Secretary of Revenue is hereby directed to supply the secretary-treasurer, from records of license tax payments, with any information for which the secretary-treasurer may call in order to enable the secretary-treasurer to comply with this requirement. § 84-34.2. Specific statutory authority for certain fees. In addition to fees the Council is elsewhere authorized to charge and collect, the Council may charge and collect the following fees in amounts determined by the Council: (1) A reinstatement fee for any attorney seeking reinstatement from inactive status, administrative suspension, or suspension for failure to comply with the annual continuing legal education requirements. (2) A registration fee and annual renewal fee for an interstate or internation-al law firm. (3) An attendance fee for continuing legal education programs that may include a fee to support the Chief Justice's Commission on Professionalism. (4) A late fee for failing to file timely the continuing legal education annual report form, for failure to pay attendance fees, or failure to complete the annual continuing legal education requirements. (5) An administrative fee for any attorney against whom discipline has been imposed. § 84-36. Inherent powers of courts unaffected. Nothing contained in this Article shall be construed as disabling or abridging the inherent powers of the court to deal with its attorneys. § 84-37. State Bar may investigate and enjoin unau-thorized activities. (a) The Council or any committee appointed by it for that purpose may inquire into and investigate any charges or complaints of (i) unauthorized or unlawful practice of law or (ii) the use of the designations, "North Carolina Certified Paralegal," "North Carolina State Bar Certified Paralegal," or "Paralegal Certified by the North Carolina State Bar Board of Paralegal Certification," by individuals who have not been certified in accordance with the rules adopted by the North Carolina State Bar. The Council may bring or cause to be brought and maintained in the name of the North Carolina State Bar an action or actions, upon information or upon the complaint of any person or entity against any per-son or entity that engages in rendering any legal service, holds himself or herself out as a North Carolina certified paralegal by use of the designations set forth in this subsection, or makes it a practice or business to render legal services that are unauthorized or prohibited by law. No bond for cost shall be required in the pro-ceeding. (b) In an action brought under this section, the final judgment if in favor of the plaintiff shall perpetually restrain the defendant or defendants from the com-mission or continuance of the unauthorized or unlawful act or acts. A temporary injunction to restrain the commission or continuance of the act or acts may be granted upon proof or by affidavit, that the defendant or defendants have violat-ed any of the laws applicable to unauthorized or unlawful practice of law or the unauthorized use of the designations set forth in subsection (a) of this section or any other designation implying certification by the State Bar. The provisions of law relating generally to injunctions as provisional remedies in actions shall apply G.S. Chap. 84: 1-7 to a temporary injunction and the proceedings for temporary injunctions. (c) The venue for actions brought under this section shall be the superior court of any county in which the relevant acts are alleged to have been commit-ted or in which there appear reasonable grounds that they will be committed in the county where the defendants in the action reside, or in Wake County. (d) The plaintiff in the action shall be entitled to examine the adverse party and witnesses before filing complaint and before trial in the same manner as pro-vided by law for examining parties. (e) This section shall not repeal or limit any remedy now provided in cases of unauthorized or unlawful practice of law. Nothing contained in this section shall be construed as disabling or abridging the inherent powers of the court in these matters. (f) The Council or its duly appointed committee may issue advisory opinions in response to inquiries from members or the public regarding whether contem-plated conduct would constitute the unauthorized practice of law. Subchap. 1A: 2-1 Title 27 of the North Carolina Administrative Code The North Carolina State Bar Chapter 1 Rules and Regulations of the North Carolina State Bar SUBCHAPTER A Organization of the North Carolina State Bar Section .0200 Membership - Annual Membeonferredrship Fees . . . . .2-2 .0201 Classes of Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0202 Register of Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0203 Annual Membership Fees; When Due . . . . . . . . . . . . . . . . .2-2 .0204 Good Standing Definition and Certificates . . . . . . . . . . . . . .2-2 Section .0300 Permanent Relinquishment of Membership in the . . . . . . . State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0301 Effect of Relinquishment . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0302 Conditions for Relinquishment . . . . . . . . . . . . . . . . . . . . . .2-3 .0303 Allegations of Misconduct Received by the State Bar On or . . . After the Date of Relinquishment . . . . . . . . . . . . . . . . . . . .2-3 Section .0500 Meetings of the North Carolina State Bar . . . . . . . . . . .2-3 .0501 Annual Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0502 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0503 Notice of Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0504 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0505 Parlimentary Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 Section .0600 Meetings of the Council . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0601 Regular Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0602 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0603 Notice of Called Special Meetings . . . . . . . . . . . . . . . . . .2-4 .0604 Quorum at Meeting of Council . . . . . . . . . . . . . . . . . . . .2-4 Section .0700 Standing Committees of the Council . . . . . . . . . . . . . . .2-4 .0701 Standing Committees and Boards . . . . . . . . . . . . . . . . . .2-4 Section .0800 Election and Appointment of State Bar Councilors . . . . .2-5 .0801 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-5 .0802 Election - When Held; Notice; Nominations . . . . . . . . .2-5 .0803 Election - Voting Procedures . . . . . . . . . . . . . . . . . . . . . .2-5 .0804 Procedures Governing Elections by Mail . . . . . . . . . . . . .2-5 .0805 Election and Appointment of State Bar Councilors . . . . .2-6 .0806 Procedures Governing Early Voting . . . . . . . . . . . . . . . . .2-6 .0807 Vacancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0808 Bylaws Providing for Geographical Rotation or Division of Representation . . . . . . . . . . . . . . . . . . . . . . .2-6 Section .0900 Organization of the Judicial District Bars . . . . . . . . . . . .2-6 .0901 Bylaws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0902 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0903 Fiscal Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 Section .1000 Model Bylaws For Use by Judicial District Bars . . . . . . .2-7 .1001 Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1002 Authority and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1003 Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1004 Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1005 Councilor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1006 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1007 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1008 District Bar Finances . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1009 Prohibited Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1010 Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1011 Board of Directors or Executive Committee . . . . . . . . . .2-9 .1012 Amendment of the Bylaws . . . . . . . . . . . . . . . . . . . . . . . .2-9 .1013 Selection of Nominees for District Court Judge . . . . . . .2-9 Section .1200 Filing Papers with and Serving the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1201 When Papers Are Filed Under These Rules and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 Section .1400 Rulemaking Procedures . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1401 Publication for Comment . . . . . . . . . . . . . . . . . . . . . . .2-10 .1402 Review by the Executive Committee . . . . . . . . . . . . . . .2-10 .1403 Action by the Council and Review by the . . . . . . . . . . . . . . . North Carolina Supreme Court . . . . . . . . . . . . . . . . . . .2-10 Editor’s Note: The rules of the North Carolina State Bar are published official-ly in the North Carolina Reports and in Title 27 of the North Carolina Administrative Code. These rules were adopted by the North Carolina State Bar Council and approved by the North Carolina Supreme Court pursuant to N.C.G.S. §84-21. The rules that follow are codified in Chapter 1 of Title 27 of the NC Administrative Code; they govern the administration of the State Bar, including such things as the organization of the State Bar Council, mem-bership and dues requirements, procedures for the discipline of lawyers, and the regulation of organizations practicing law. They also contain the procedures for the various programs of the North Carolina State Bar, including the client secu-rity fund, continuing legal education, specialization, IOLTA (interest on lawyers’ trust accounts), and the Lawyer Assistance Program. The Rules of Professional Conduct, which are codified in Chapter 2 of Title 27 of the NC Administrative Code, follow the governing rules. A “History Note” after each rule sets forth the statutory authority for the rule. The date of original approval of the rule by the North Carolina Supreme Court is identified as the “Adopted” date. In 1994 all State Bar rules in exis-tence were reorganized and renumbered for accurate placement in the North Carolina Administrative Code. To accomplish this task, the Supreme Court approved the readoption of the rules on December 8, 1994. Therefore, “Readopted Effective December 8, 1994” appears after many of the rules. The date upon which an amendment to a rule was approved by the Supreme Court is identified by an “Amended” date. There may be multiple dates upon which a particular rule was amended. Subchap. 1A: 2-2 Section .0200 Membership - Annual Membership Fees .0201 Classes of Membership (a) Two Classes of Membership Members of the North Carolina State Bar shall be divided into two classes: active members and inactive members. (b) Active Members The active members shall be all persons who have obtained licenses entitling them to practice law in North Carolina, including persons serving as justices or judges of any state or federal court in this state, unless classified as inactive mem-bers by the council. All active members must pay the annual membership fee. (c) Inactive Members (1) The inactive members shall include: (A) all persons who have been admitted to the practice of law in North Carolina but who the council has found are not engaged in the practice of law or holding themselves out as practicing attorneys and who do not occu-py any public or private position in which they may be called upon to give legal advice or counsel or to examine the law or to pass upon the legal effect of any act, document, or law, and (B) those persons granted emeritus pro bono status by the council and allowed to represent indigent clients on a pro bono basis under the super-vision of active members working for nonprofit corporations organized pursuant to Chapter 55A of the General Statutes of North Carolina for the sole purpose of rendering legal services to indigents. (2) Inactive members of the North Carolina State Bar may not practice law, except as provided in this rule for persons granted emeritus pro bono status, and are exempt from payment of membership dues during the period in which they are inactive members. For purposes of the State Bar's member-ship records, the category of inactive members shall be further divided into the following subcategories: (A) Nonpracticing This subcategory includes those members who are not engaged in the practice of law or holding themselves out as practicing attorneys and who hold positions unrelated to the practice of law, or practice law in other jurisdictions. (B) Retired This subcategory includes those members who are retired from the practice of law and who no longer hold themselves out as practicing attorneys. A retired member must hold himself or herself out as a “Retired Member of the North Carolina State Bar” or by some similar designation, provided such designation clearly indicates that the attorney is “retired.” (C) Disability inactive status This subcategory includes members who suffer from a mental or physical condition which significantly impairs the professional judgment, perform-ance, or competence of an attorney, as determined by the courts, the coun-cil, or the Disciplinary Hearing Commission. (D) Disciplinary suspensions/disbarments This subcategory includes those members who have been suspended from the practice of law or who have been disbarred by the courts, the council, or the Disciplinary Hearing Commission for one or more violations of the Rules of Professional Conduct. (E) Administrative suspensions This subcategory includes those members who have been suspended from the practice of law, pursuant to the procedure set forth in Rule .0903 of subchapter 1D, for failure to fulfill the obligations of membership. (F) Emeritus pro bono status This subcategory includes those members who are permitted by the coun-cil to represent indigent persons under the supervision of active members who are employed by nonprofit corporations duly authorized to provide legal services to such persons. This status may be withdrawn by the coun-cil for good cause shown pursuant to the procedure set forth in Rule .0903 of subchapter 1D. History Note: Statutory Authority G.S. 84-16; G.S. 84-23 Readopted Effective December 8, 1994 Amendments Approved by the Supreme Court: March 6, 2008; March 6, 2014 .0202 Register of Members (a) Initial Registration with State Bar Every member shall register by completing and returning to the North Carolina State Bar a signed registration card containing the following informa-tion: (1) name and address; (2) date; (3) date passed examination to practice in North Carolina; (4) date and
Object Description
Description
Title | North Carolina State Bar lawyer's handbook |
Other Title | State Bar lawyer's handbook; Lawyer's handbook |
Date | 2017-10 |
Description | 2017 |
Digital Characteristics-A | 2.82 MB; 523 p. |
Digital Format | application/pdf |
Pres File Name-M | pubs_serial_34763727_lawyers201710 |
Full Text | The 2017 Lawyer’s Handbook Administrative Rules . . . . . . . . . . . . . . .2-1 Continuing Legal Education (CLE) . . . . . . .5-22 Discipline and Disability . . . . . . . . . . . . . . .3-1 Fee Dispute Resolution . . . . . . . . . . . . . . .5-9 IOLTA . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 Legal Specialization . . . . . . . . . . . . . . . . .5-31 Membership . . . . . . . . . . . . . . . . . . . . . . .2-1 Paralegal Certification . . . . . . . . . . . . . . . .7-1 Professional Organizations . . . . . . . . . . . . . . .6-1 Ethics Opinions . . . . . . . . . . . . . . . . . .10-1 Index to Ethics Opinions . . . . . . . . . . .10-280 Gen. Stat. Chapter 84 . . . . . . . . . . . . . .1-1 IOLTA Q&A . . . . . . . . . . . . . . . . . . . . .11-1 Rules of Professional Conduct . . . . . . .9-1 Rules Index . . . . . . . . . . . . . . . . . . . . . .9-80 The North Carolina State Bar Lawyer’s Handbook 2017 (Abridged) An official publication of the North Carolina State Bar containing the most frequently referenced rules of the North Carolina State Bar, annotated Rules of Professional Conduct, all ethics opinions adopted under the Rules and Superseded (1985) Rules, and trust account guidelines. NORTH CAROLINA STATE BAR page 3 State Bar Officers Mark W. Merritt - President 101 N. Tryon St., Suite 1900 Charlotte, NC 28246 (704) 377-2536 John M. Silverstein - President-Elect Satisky & Silverstein 415 Hillsborough Street, Suite 201 Raleigh, NC 27603 (919) 790-9102 G. Gray Wilson - Vice-President 110 Oakwood Drive, Suite 400 Winston-Salem, NC 27103 (336) 631-8866 L. Thomas Lunsford II – Secretary/Treasurer PO Box 25908 Raleigh, NC 27611-5908 (919) 828-4620 Margaret McDermott Hunt - Past-President 52 W. Main St. PO Box 1175 Brevard, NC 28712 (828) 884-2780 North Carolina State Bar PO Box 25908 Raleigh, NC 27611-5908 (919) 828-4620 Address Changes Kelly Beck kbeck@ncbar.gov Beth McLamb bmclamb@ncbar.gov Adam Maner amaner@ncbar.gov Administration Tom Lunsford tlunsford@ncbar.gov Joe Cerone jcerone@ncbar.gov Attorney-Client Assistance Program (receives complaints from clients) Judy Treadwell jtreadwell@ncbar.gov Sandra L. Saxton ssaxton@ncbar.gov Krista Bennett kbennett@ncbar.gov Lee Ramos lramos@ncbar.gov Certificates of Good Standing Kelly Beck kbeck@ncbar.gov Beth McLamb bmclamb@ncbar.gov Adam Maner amaner@ncbar.gov Client Security Fund (reimbursement for client-victims of lawyer theft) Root Edmonson redmonson@ncbar.gov Randy Ross rross@ncbar.gov Continuing Legal Education Debra Holland dholland@ncbar.gov Emily Oakes eoakes@ncbar.gov PhillipMcWilliams pmcwilliams@ncbar.gov Lori Nicolicchia lnicolicchia@ncbar.gov Disciplinary Hearing Commission (DHC and final disciplinary orders) Dottie Miani (clerk) dmiani@ncbar.gov District Bar Liaison Nichole McLaughlin nmclaughlin@ncbar.gov Ethics/Professional Responsibility (answers inquiries about lawyer’s own conduct) Nichole McLaughlin nmclaughlin@ncbar.gov Suzanne Lever slever@ncbar.gov Alice Neece Mine amine@ncbar.gov Fee Dispute Resolution Lee Ramos lramos@ncbar.gov Krista Bennett kbennett@ncbar.gov Grievance Heather Pattle hpattle@ncbar.gov Investigations Joseph J. Commisso jcommisso@ncbar.gov IOLTA (Interest on Lawyer’s Trust Accounts) (919) 828-0477 (919) 821-9168 (Fax) PO Box 25996 Raleigh, NC 27611-5996 General email: iolta@ncbar.gov Claire Mills cmills@ncbar.gov Mary Irvine mirvine@ncbar.gov Shannon Azzi sazzi@ncbar.gov Lawyer Assistance Program (a confidential program) Robynn Moraites Robynn@nclap.org Nicole Ellington Nicole@nclap.org Cathy Killian Cathy@nclap.org Raleigh/Piedmont Office: (919) 719-9269 Charlotte Office: (704) 892-5699 www.nclap.org Membership Records Kelly Beck kbeck@ncbar.gov Beth McLamb bmclamb@ncbar.gov Adam Maner amaner@ncbar.gov Tammy Jackson tjackson@ncbar.gov Office of Counsel (legal department) Katherine Jean kjean@ncbar.gov Heather Pattle hpattle@ncbar.gov Paralegal Certification Joy Belk jbelk@ncbar.gov Aaliyah Pierce apierce@ncbar.gov Alice Neece Mine amine@ncbar.gov Professional Organization Registrations Adam Maner amaner@ncbar.gov Pro Hac Vice Registration Martha Fletcher mfletcher@ncbar.gov Publications - Media Kits and Orders Jennifer Duncan ncbar@bellsouth.net Diane Melching dmelching@ncbar.gov Specialization Denise Mullen dmullen@ncbar.gov Lanice Heidbrink lheidbrink@ncbar.gov Alice Neece Mine amine@ncbar.gov Student Practice Certificates (for 3rd year law students) Dottie Miani dmiani@ncbar.gov Alice Neece Mine amine@ncbar.gov Trust Account Random Audits Anne Parkin aparkin@ncbar.gov Trust Account Support/Compliance Peter Bolac pbolac@ncbar.gov Unauthorized Practice of Law David Johnson djohnson@ncbar.gov Joshua Walthall jwalthall@ncbar.gov State Bar Contacts Visit the State Bar online at: www.ncbar.gov page 4 North Carolina General Statutes, Chapter 84: Attorneys-at-Law: Selected Statutes . . . . . . . . . . . . . . . . . . . G.S. Chap. 84 § 84-2.1. "Practice law" defined . . . . . . . . . . . . . . . . . . . . . . . . . . .1-1 § 84-4. Persons other than members of State Bar prohibited from practicing law . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-1 § 84-4.1. Limited practice of out-of-state attorneys . . . . . . . . . . . .1-1 § 84-4.2. Summary revocation of permission granted out-of-state attorneys to practice . . . . . . . . . . . . . . . . . . .1-1 § 84-5. Prohibition as to practice of law by corporation . . . . .1-1 § 84-5.1 Rendering of legal services by certain nonprofit corporations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-8. Punishment for violations . . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-15. Creation of North Carolina State Bar as an agency of the State . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-16. Membership and privileges . . . . . . . . . . . . . . . . . . . . . . .1-2 § 84-17. Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-3 § 84-18. Terms, election and appointment of councilors . . . . . . .1-3 § 84-18.1. Membership and fees of district bars . . . . . . . . . . . . . . .1-3 § 84-19. Judicial districts definition . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-21. Organization of Council; publication of rules, regulations and bylaws . . . . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-22. Officers and committees of the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-23. Powers of Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-28. Discipline and disbarment . . . . . . . . . . . . . . . . . . . . . . .1-4 § 84-28.1. Disciplinary hearing commission . . . . . . . . . . . . . . . . . .1-5 § 84-28.2. Persons immune from suit . . . . . . . . . . . . . . . . . . . . . . .1-5 § 84-29. Evidence and witnesses . . . . . . . . . . . . . . . . . . . . . . . . .1-5 § 84-30. Rights of accused person . . . . . . . . . . . . . . . . . . . . . . . .1-6 § 84-32.1. Confidentiality of records . . . . . . . . . . . . . . . . . . . . . . .1-6 § 84-34. Membership fees and list of members . . . . . . . . . . . . .1-6 § 84-34.2. Specific statutory authority for certain fees . . . . . . . . . . .1-6 § 84-36. Inherent powers of courts unaffected . . . . . . . . . . . . . . .1-6 § 84-37. State Bar may investigate and enjoin unauthorized activities . . . . . . . . . . . . . . . . . . . . . . . . . .1-6 27 NCAC Chapter 1 Subchapter A: Organization of the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subchap. 1A Section .0200 Membership - Annual Membeonferredrship Fees . . . . .2-2 .0201 Classes of Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0202 Register of Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0203 Annual Membership Fees; When Due . . . . . . . . . . . . . . . . .2-2 .0204 Good Standing Definition and Certificates . . . . . . . . . . . . . .2-2 Section .0300 Permanent Relinquishment of Membership in the . . . . . . . State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0301 Effect of Relinquishment . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0302 Conditions for Relinquishment . . . . . . . . . . . . . . . . . . . . . .2-3 .0303 Allegations of Misconduct Received by the State Bar On or . . . After the Date of Relinquishment . . . . . . . . . . . . . . . . . . . .2-3 Section .0500 Meetings of the North Carolina State Bar . . . . . . . . . . .2-3 .0501 Annual Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0502 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0503 Notice of Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0504 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0505 Parlimentary Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 Section .0600 Meetings of the Council . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0601 Regular Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0602 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0603 Notice of Called Special Meetings . . . . . . . . . . . . . . . . . .2-4 .0604 Quorum at Meeting of Council . . . . . . . . . . . . . . . . . . . .2-4 Section .0700 Standing Committees of the Council . . . . . . . . . . . . . . .2-4 .0701 Standing Committees and Boards . . . . . . . . . . . . . . . . . .2-4 Section .0800 Election and Appointment of State Bar Councilors . . . . .2-5 .0801 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-5 .0802 Election - When Held; Notice; Nominations . . . . . . . . .2-5 .0803 Election - Voting Procedures . . . . . . . . . . . . . . . . . . . . . .2-5 .0804 Procedures Governing Elections by Mail . . . . . . . . . . . . .2-5 .0805 Election and Appointment of State Bar Councilors . . . . .2-6 .0806 Procedures Governing Early Voting . . . . . . . . . . . . . . . . .2-6 .0807 Vacancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0808 Bylaws Providing for Geographical Rotation or Division of Representation . . . . . . . . . . . . . . . . . . . . . . .2-6 Section .0900 Organization of the Judicial District Bars . . . . . . . . . . . .2-6 .0901 Bylaws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0902 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0903 Fiscal Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 Section .1000 Model Bylaws For Use by Judicial District Bars . . . . . . .2-7 .1001 Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1002 Authority and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1003 Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1004 Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1005 Councilor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1006 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1007 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1008 District Bar Finances . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1009 Prohibited Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1010 Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1011 Board of Directors or Executive Committee . . . . . . . . . .2-9 .1012 Amendment of the Bylaws . . . . . . . . . . . . . . . . . . . . . . . .2-9 .1013 Selection of Nominees for District Court Judge . . . . . . .2-9 Section .1200 Filing Papers with and Serving the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1201 When Papers Are Filed Under These Rules and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 Section .1400 Rulemaking Procedures . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1401 Publication for Comment . . . . . . . . . . . . . . . . . . . . . . .2-10 .1402 Review by the Executive Committee . . . . . . . . . . . . . . .2-10 .1403 Action by the Council and Review by the . . . . . . . . . . . . . . . North Carolina Supreme Court . . . . . . . . . . . . . . . . . . .2-10 Selected Provisions from the Rules of the North Carolina State Bar Table of Contents For a complete listing of all Rules of the State Bar, see page 11-10 page 5 Section .0100 Discipline and Disability of Attorneys . . . . . . . . . . . . .3-1 .0101 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-1 .0102 Procedure for Discipline . . . . . . . . . . . . . . . . . . . . . . . . . . .3-1 .0103 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-2 .0104 State Bar Council: Powers and Duties in . Discipline and Disability Matters . . . . . . . . . . . . . . . . . . . .3-3 .0105 Chairperson of the Grievance Committee: Powers . and Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-3 .0106 Grievance Committee: Powers and Duties . . . . . . . . . . . . .3-3 .0107 Counsel: Powers and Duties . . . . . . . . . . . . . . . . . . . . . . . .3-4 .0108 Chairperson of the Hearing Commission: Powers and Duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-4 .0109 Hearing Panel: Powers and Duties . . . . . . . . . . . . . . . . . . .3-4 .0110 Secretary: Powers and Duties in Discipline and Disability Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-5 .0111 Grievances: Form and Filing . . . . . . . . . . . . . . . . . . . . . . . .3-5 .0112 Investigations: Initial Determination; Notice and Response; Committee Referrals . . . . . . . . . . . . . . . . . . . . . .3-5 .0113 Proceedings Before the Grievance Committee . . . . . . . . . .3-6 .0114 Proceedings Before the Disciplinary Hearing Commission: General Rules Applicable to All Proceedings . . . . . . . . . . . .3-8 .0115 Proceedings Before the Disciplinary Hearing Commission: Pleadings and Prehearing Procedure . . . . . . . . . . . . . . . . . .3-8 .0116 Proceedings Before the Disciplinary Hearing Commission: Formal Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-10 .0117 Proceedings Before the Disciplinary Hearing Commission: Posttrial Motions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-11 .0118 Proceedings Before the Disciplinary Hearing Commission: Stayed Suspension . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-11 .0119 Effect of a Finding of Guilt in Any Criminal Case . . . . . .3-12 .0120 Reciprocal Discipline & Disability Proceedings . . . . . . . . .3-12 .0121 Surrender of License While Under Investigation . . . . . . .3-13 .0122 Disability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-13 .0123 Enforcement of Powers . . . . . . . . . . . . . . . . . . . . . . . . . . .3-14 .0124 Notice to Member of Action and Dismissal . . . . . . . . . . . .3-14 .0125 Notice to Complainant . . . . . . . . . . . . . . . . . . . . . . . . . . .3-14 .0126 Appointment of Counsel to Protect Client’s Interests . . . When Attorney Disappears, Dies, or is Transferred to Disability Inactive Status . . . . . . . . . . . . . . . . . . . . . . . . . .3-15 .0127 Imposition of Discipline; Findings of Incapacity or Disability; Notice to Courts . . . . . . . . . . . . . . . . . . . . . . .3-15 .0128 Obligations of Disbarred or Suspended Attorneys . . . . . .3-15 .0129 Reinstatement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-16 .0130 Address of Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-18 .0131 Disqualification Due to Interest . . . . . . . . . . . . . . . . . . . .3-18 .0132 Trust Accounts; Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-18 .0133 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-18 .0134 Disciplinary Amnesty in Illicit Drug Use Cases . . . . . . . .3-19 Section .0200 Rules Governing Judicial District Grievance Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-19 .0201 Organization of Judicial District Grievance Committees . . .3-19 .0202 Jurisdiction and Authority of District Grievance Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-20 .0203 Meetings of the District Grievance Committees . . . . . . . .3-21 .0204 Procedure Upon Institution of a Grievance . . . . . . . . . . .3-21 .0205 Record Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0206 Miscellaneous . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0207 Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0208 Letter to Complainant Where Local Grievance Alleges Fee Dispute Only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-22 .0209 Letter to Complainant Where Local Grievance Alleges Fee Dispute and Other Violations . . . . . . . . . . . . . . . . . . .3-22 .0210 Letter to Complainant/Respondent Where District Committee Recommends Finding of No Probable Cause . .3-22 .0211 Letter to Respondent Where District Committee Recommends Finding of Probable Cause . . . . . . . . . . . . .3-23 .0212 Letter to Complainant Where District Committee Recommends Finding of Probable Cause . . . . . . . . . . . . .3-23 .0213 Letter to Complainant Acknowledging Grievance . . . . . .3-23 .0214 Letter to Investigating Attorney Assigning Grievance . . . .3-23 .0215 Letter to Complainant from Investigating Attorney . . . . .3-24 .0216 Letter of Notice to Respondent Attorney . . . . . . . . . . . . .3-24 .0217 Letter Transmitting Completed File to North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3-24 Subchapter C: Rules Governing the Board of Law Examiners and the Training of Law Students . . . . . . . . . . . . . . . . . . . . . . . Subchap. 1C Section .0100 Rules Governing the Board of Law Examiners and the Training of Law Students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0101 Election . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0102 Examination of Applicants for License . . . . . . . . . . . . . .4-1 .0103 Admission to Practice . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0104 Approval of Rules and Regulations of Board of Law Examiners . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0105 Approval of Law Schools . . . . . . . . . . . . . . . . . . . . . . . . .4-1 Section .0200 Rules Governing Practical Training of Law Students . . . .4-1 .0201 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0202 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-1 .0203 Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-2 .0204 Certification as Legal Intern . . . . . . . . . . . . . . . . . . . . . .4-2 .0205 Supervision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-2 .0206 Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4-2 .0207 Use of Student's Name . . . . . . . . . . . . . . . . . . . . . . . . . .4-3 Subchapter D: Rules of the Standing Committees of the North Carolina State Bar . . . . . . . . . . . . . . . .Subchap. 1D Section .0100 Procedures for Ruling on Questions of Legal Ethics . . .5-4 .0101 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-4 .0102 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-4 .0103 Informal Ethics Advisories and Ethics Advisories . . . . . . . . .5-4 .0104 Formal Ethics Opinions and Ethics Decisions . . . . . . . . . . .5-5 .0105 Procedures for Meetings of the Ethics Committee . . . . . . . .5-5 Section .0200 Procedures for the Authorized Practice Committee . . . . .5-5 .0201 General Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-5 .0202 Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-5 .0203 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-5 .0204 State Bar Council - Powers and Duties . . . . . . . . . . . . . .5-6 .0205 Chairperson of the Authorized Practice Committee - Powers and Duties . . . . . . . . . . . . . . . . . . .5-6 .0206 Authorized Practice Committee - Powers and Duties . . . .5-6 .0207 Counsel - Powers and Duties . . . . . . . . . . . . . . . . . . . . . .5-6 .0208 Suing for Injunctive Relief . . . . . . . . . . . . . . . . . . . . . . . .5-7 Section .0600 Rules Governing the Lawyer Assistance Program . . . . . .5-7 .0601 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0602 Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0603 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0604 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0605 Appointment of Members; When; Removal . . . . . . . . . .5-7 page 6 .0606 Term of Office and Succession . . . . . . . . . . . . . . . . . . . . .5-7 .0607 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-7 .0608 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-7 .0609 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-7 .0610 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0611 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0612 Powers and Duties of the Board . . . . . . . . . . . . . . . . . . . .5-8 .0613 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0614 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0615 Regional Chapters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-8 .0616 Suspension for Impairment, Reinstatement . . . . . . . . . . .5-8 .0617 Consensual Inactive Status . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0618 Agents of the State Bar . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0619 Judicial Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0620 Rehabilitation Contracts for Lawyers Impaired by Substance Abuse . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 .0621 Evaluations for Substance Abuse, Alcoholism, and/or other Chemical Addictions . . . . . . . . . . . . . . . . . .5-9 .0622 Grounds for Compelling an Evaluation . . . . . . . . . . . . . .5-9 .0623 Failure to Comply with an Order Compelling an Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-9 Section .0700 Procedures for Fee Dispute Resolution . . . . . . . . . . . . .5-9 .0701 Purpose and Implementation . . . . . . . . . . . . . . . . . . . . . . .5-9 .0702 Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 .0703 Coordinator of Fee Dispute Resolution . . . . . . . . . . . . . .5-10 .0704 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 .0705 Selection of Facilitators . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-10 .0706 Powers and Duties of the Vice-Chairperson . . . . . . . . . . . .5-10 .0707 Processing Requests for Fee Dispute Resolution . . . . . . . .5-10 .0708 Settlement Conference Proceedings . . . . . . . . . . . . . . . . . .5-10 .0709 Record Keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-11 .0710 District Bar Fee Dispute Resolution . . . . . . . . . . . . . . . . . .5-11 .0711 District Bar Settlement Conference Proceedings . . . . . . . .5-11 Section .0900 Procedures for Administrative Committee . . . . . . . . .5-11 .0901 Transfer to Inactive Status . . . . . . . . . . . . . . . . . . . . . . . . .5-11 .0902 Reinstatement from Inactive Status . . . . . . . . . . . . . . . . . .5-12 .0903 Suspension for Failure to Fulfill Obligations of . . . . . . . . . . . . . Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-13 .0904 Reinstatement from Suspension . . . . . . . . . . . . . . . . . . . .5-14 .0905 Pro Bono Practice by Out of State Lawyers . . . . . . . . . . . .5-15 Section .1000 Rules Governing Reinstatement Hearings Before the Administrative Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-15 .1001 Reinstatement Hearings . . . . . . . . . . . . . . . . . . . . . . . . .5-15 .1002 Review and Order of Council . . . . . . . . . . . . . . . . . . . .5-16 Section .1300 Rules Governing the Administration of the Plan for Interest on Lawyers' Trust Accounts (IOLTA) . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 .1301 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-16 .1302 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1303 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1304 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1305 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1306 Appointment of Members; When; Removal . . . . . . . . . . .5-17 .1307 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1308 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1309 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1310 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . . .5-17 .1311 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . . .5-17 .1312 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.17 .1313 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-17 .1314 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 .1315 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 .1316 IOLTA Accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-18 .1317 Comparability Requirements for IOLTA Accounts . . . . . .5-18 .1318 Confidentiality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1319 Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1320 Noncompliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1321 Severability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 Section .1400 Rules Governing the Administration of the Client Security Fund of the North Carolina State Bar . . . . . . . . . . . . .5-19 .1401 Purpose; Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-19 .1402 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1403 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1404 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1405 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1406 Appointment of Members; When; Removal . . . . . . . . . . .5-20 .1407 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1408 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1409 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-20 .1410 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-20 .1411 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-21 .1412 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1413 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1414 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1415 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1416 Appropriate Uses of the Client Security Fund . . . . . . . . .5-21 .1417 Applications for Reimbursement . . . . . . . . . . . . . . . . . . . .5-21 .1418 Processing Applications . . . . . . . . . . . . . . . . . . . . . . . . . . .5-21 .1419 Subrogation for Reimbursement . . . . . . . . . . . . . . . . . . . .5-22 .1420 Authority Reserved by the Supreme Court . . . . . . . . . . . .5-22 Section .1500 Rules Governing the Administration of the Continuing Legal Education Program . . . . . . . . . . . . . . . . . . . . . . . .5-22 .1501 Scope, Purpose, and Definitions . . . . . . . . . . . . . . . . . . . .5-22 .1502 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1503 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1504 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1505 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1506 Appointment of Members; When; Removal . . . . . . . . . . .5-23 .1507 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1508 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1509 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-23 .1510 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-23 .1511 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-24 .1512 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1513 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1514 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1515 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-24 .1516 Powers, Duties, and Organization of the Board . . . . . . . .5-24 .1517 Exemptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-25 .1518 Continuing Legal Education Program . . . . . . . . . . . . . . .5-25 .1519 Accreditation Standards . . . . . . . . . . . . . . . . . . . . . . . . . . .5-26 .1520 Accreditation of Sponsors and Programs . . . . . . . . . . . . . .5-26 .1521 Credit Hours . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-27 .1522 Annual Report and Compliance Period . . . . . . . . . . . . . . .5-27 .1523 Noncompliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-27 .1524 Reinstatement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1525 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1526 Effective Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1527 Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-28 page 7 Section .1600 Regulations Governing the Administration of the Continuing Legal Education Program . . . . . . . . . . . . . . . . . . . . . . . .5-28 .1601 General Requirements for Course Approval . . . . . . . . . . .5-28 .1602 Course Content Requirements . . . . . . . . . . . . . . . . . . . . .5-29 .1603 Accredited Sponsors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-30 .1604 Accreditation of Prerecorded, Simultaneous Broadcast, and Computer-Based Programs . . . . . . . . . . . . . . . . . . . . .5-30 .1605 Computation of Credit . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1606 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1607 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1608 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1609 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1610 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1611 Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 Section .1700 The Plan of Legal Specialization . . . . . . . . . . . . . . . .5-31 .1701 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-31 .1702 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1703 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1704 Size of Board . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1705 Lay Participation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1706 Appointment of Members; When; Removal . . . . . . . . . . .5-32 .1707 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1708 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1709 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1710 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .5-32 .1711 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .5-32 .1712 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1713 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1714 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-32 .1715 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-33 .1716 Powers and Duties of the Board . . . . . . . . . . . . . . . . . . . .5-33 .1717 Retained Jurisdiction of the Council . . . . . . . . . . . . . . . . .5-33 .1718 Privileges Conferred and Limitations imposed . . . . . . . . .5-33 .1719 Specialty Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-33 .1720 Minimum Standards for Certification of Specialists . . . . .5-34 .1721 Minimum Standards for Continued Certification of Specialists . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-35 .1722 Establishment of Additional Standards . . . . . . . . . . . . . . .5-35 .1723 Revocation or Suspension of Certification as a Specialist . .5-35 .1724 Right to Hearing and Appeal to Council . . . . . . . . . . . . .5-35 .1725 Areas of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-35 .1726 Certification Standards of the Specialties of Bankruptcy Law, Estate Planning and Probate Law, Real Property Law, Family Law, and Criminal Law . . . . . . . . . . . . . . . . .5-36 .1727 Inactive Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-36 Section .1800 Hearing and Appeal Rules of the Board of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-36 .1801 Incomplete Applications; Reconsideration of . . . . . . . . . . . . . Applications Rejected by Specialty Committee; and . . . . . . . Reconsideration Procedure . . . . . . . . . . . . . . . . . . . . . . .5-36 .1802 Denial, Revocation, or Suspension of Continued Certification as a Specialist . . . . . . . . . . . . . . . . . . . . . .5-37 .1803 Reconsideration of Failed Examination . . . . . . . . . . . . .5-37 .1804 Appeal to the Council . . . . . . . . . . . . . . . . . . . . . . . . . .5-37 .1805 Judicial Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .1806 Additional Rules Pertaining to Hearing and Appeals . . .5-38 Section .2100 Certification Standards for the Real Property Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2101 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-38 .2102 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2103 Recognition as a Specialist in Real Property Law . . . . . . .5-38 .2104 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2105 Standards for Certification as a Specialist in Real Property Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-38 .2106 Standards for Continued Certification as a Specialist . . . .5-39 .2107 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-39 Section .2200 Certification Standards for the Bankruptcy Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2201 Establishment of the Specialty Field . . . . . . . . . . . . . . . . .5-39 .2202 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2203 Recognition as a Specialist in Bankruptcy Law . . . . . . . . .5-39 .2204 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2205 Standards for Certification as a Specialist in Bankruptcy Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-39 .2206 Standards for Continued Certification as a Specialist . . . .5-40 .2207 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-40 Section .2300 Certification Standards for the Estate Planning and Probate Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2301 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-40 .2302 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2303 Recognition as a Specialist in Estate Planning and Probate Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2304 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2305 Standards for Certification as a Specialist in Estate Planning and Probate Law . . . . . . . . . . . . . . . . . . . . . . . .5-40 .2306 Standards for Continued Certification as a Specialist . . . .5-41 .2307 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-41 Section .2400 Certification Standards for the Family Law Specialty . . .5-42 .2401 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-42 .2402 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-42 .2403 Recognition as a Specialist in Family Law . . . . . . . . . . . . .5-42 .2404 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-42 .2405 Standards for Certification as a Specialist in Family Law . . . .5-42 .2406 Standards for Continued Certification as a Specialist . . . .5-42 .2407 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-43 Section .2500 Certification Standards for the Criminal Law Specialty . .5-43 .2501 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . .5-43 .2502 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-43 .2503 Recognition as a Specialist in Criminal Law . . . . . . . . . . .5-43 .2504 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . .5-43 .2505 Standards for Certification as a Specialist . . . . . . . . . . . . .5-43 .2506 Standards for Continued Certification as a Specialist . . . .5-44 .2507 Applicability of Other Requirements . . . . . . . . . . . . . . . .5-44 .2508 Standards for Certification as a Specialist in Juvenile . . . . . . . . . Delinquency Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-44 .2509 Standards for Continued Certification as a Specialist in . . . . . . . Juvenile Delinquency Law . . . . . . . . . . . . . . . . . . . . . . . . .5-45 Section .2600 Certification Standards for the Immigration Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-45 .2601 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-45 .2602 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-45 .2603 Recognition as a Specialist in Immigration Law . . . . . . . . .5-45 .2604 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-46 page 8 .2605 Standards for Certification as a Specialist in Immigration Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-46 .2606 Standards for Continued Certification as a Specialist . . . . .5-46 .2607 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-47 Section .2700 Certification Standards for the Workers’ Compensation Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-47 .2701 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-47 .2702 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-47 .2703 Recognition as a Specialist in Workers’ Compensation Law .5-47 .2704 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-47 .2705 Standards for Certification as a Specialist in Workers’ Compensation Law . . . . . . . . . . . . . . . . . . . . . . .5-47 .2706 Standards for Continued Certification as a Specialist . . . . .5-47 .2707 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-48 Section .2800 Certification Standards for the Social Security Disability Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-48 .2801 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-48 .2802 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-48 .2803 Recognition as a Specialist in Social Security Disability Law 5-48 .2804 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-48 .2805 Standards for Certification as a Specialist in Social Security Disability Law . . . . . . . . . . . . . . . . . . . . . . .5-48 .2806 Standards for Continued Certification as a Specialist . . . . .5-49 .2807 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-49 Section .2900 Certification Standards for the Elder Law Specialty Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-49 .2901 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-49 .2902 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-49 .2903 Recognition as a Specialist in Elder Law . . . . . . . . . . . . . .5-49 .2904 Applicability of Provisions of the North Carolina Plan of Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-49 .2905 Standards for Certification as a Specialist in Elder Law . . .5-49 .2906 Standards for Continued Certification as a Specialist . . . . .5-50 .2907 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-51 Section .3000 Certification Standards for the Appellate . . . . . . . . . . . . . . . . Practice Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3001 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-51 .3002 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3003 Recognition as a Specialist in Appellate Practice . . . . . . . .5-51 .3004 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3005 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Appellate Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-51 .3006 Standards for Continued Certification as a Specialist . . . . .5-52 .3007 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-52 .3008 Advisory Members of the Appellate Practice . . . . . . . . . . . . . . . Specialty Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-52 Section .3100 Certification Standards for the Utilities Law Specialty . . . .5-52 .3101 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-52 .3102 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-52 .3103 Recognition as a Specialist in Trademark Law . . . . . . . . . .5-53 .3104 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-53 .3105 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Trademark Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-53 .3106 Standards for Continued Certification as a Specialist . . . . .5-53 .3107 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-53 Section .3200 Certification Standards for the Utilities Law Specialty . . . .5-54 .3201 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-54 .3202 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-54 .3203 Recognition as a Specialist in Utilities Law . . . . . . . . . . . .5-54 .3204 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-54 .3205 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Utilities Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-54 .3206 Standards for Continued Certification as a Specialist . . . . .5-54 .3207 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-55 Section .3300 Certification Standards for the Privacy and Information Security Law Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3301 Establishment of Specialty Field . . . . . . . . . . . . . . . . . . . . .5-55 .3302 Definition of Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3303 Recognition as a Specialist in Information Security Law . . . . . . . Specialty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3304 Applicability of Provisions of the North Carolina Plan of . . . . . Legal Specialization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3305 Standards for Certification as a Specialist in . . . . . . . . . . . . . . . . Information Security Law . . . . . . . . . . . . . . . . . . . . . . . . . .5-55 .3306 Standards for Continued Certification as a Specialist . . . . .5-56 .3307 Applicability of Other Requirements . . . . . . . . . . . . . . . . .5-56 Subchapter E: Regulations for Organizations . . . . . . . . . . . . . . . Practicing Law . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subchap. 1E Section .0100 Regulations for Professional Corporations and Professional Limited Liability Companies Practicing Law . . . . . . . . . . . . . . . . . . . .6-1 .0101 Authority, Scope, and Definitions . . . . . . . . . . . . . . . . . . . .6-1 .0102 Name of Professional Corporation or Professional Limited Liability Company . . . . . . . . . . . . . . . . . . . . . . . . .6-1 .0103 Registration with the North Carolina State Bar . . . . . . . . .6-2 .0104 Management and Financial Matters . . . . . . . . . . . . . . . . . .6-3 .0105 General and Administrative Provisions . . . . . . . . . . . . . . . .6-4 Section .0200 Registration of Interstate and International Law Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-4 .0201 Registration Requirement . . . . . . . . . . . . . . . . . . . . . . . . . .6-4 .0202 Conditions of Registration . . . . . . . . . . . . . . . . . . . . . . . . .6-4 .0203 Registration Fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0204 Certificate of Registration . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0205 Effect of Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0206 Non-renewal of Registration . . . . . . . . . . . . . . . . . . . . . . . . .6-5 Section .0300 Rules Concerning Prepaid Legal Services Plans . . . . . . .6-5 .0301 State Bar May Not Approve or Disapprove Plans . . . . . . . .6-5 .0302 Registration Requirement . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0303 Definition of Prepaid Plan . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0304 Registration Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0305 Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-5 .0306 Requirement to File Amendments . . . . . . . . . . . . . . . . . . .6-6 .0307 Annual Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0308 Registration Fee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0309 Index of Registered Plans . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0310 Advertising of State Bar Approval Prohibited . . . . . . . . . . . .6-6 .0311 State Bar Jurisdiction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0312 Revocation of Registration . . . . . . . . . . . . . . . . . . . . . . . . .6-6 .0313 Hearing before the Authorized Practice Committee . . . . . .6-6 .0314 Action by the Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6-6 page 9 Subchapter G: Certification of Paralegals . . . . .Subchap. 1G Section .0100 The Plan for Certification of Paralegals . . . . . . . . . . . . .7-1 .0101 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-1 .0102 Jurisdiction: Authority . . . . . . . . . . . . . . . . . . . . . . . . . . .7-1 .0103 Operational Responsibility . . . . . . . . . . . . . . . . . . . . . . .7-1 .0104 Size and Composition of Board . . . . . . . . . . . . . . . . . . . .7-1 .0105 Appointment of Members; When; Removal . . . . . . . . . .7-1 .0106 Term of Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0107 Staggered Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0108 Succession . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0109 Appointment of Chairperson . . . . . . . . . . . . . . . . . . . . . .7-2 .0110 Appointment of Vice-Chairperson . . . . . . . . . . . . . . . . . .7-2 .0111 Source of Funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0112 Fiscal Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0113 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0114 Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-2 .0115 Powers and Duties of the Board . . . . . . . . . . . . . . . . . . . .7-2 .0116 Retained Jurisdiction of the Council . . . . . . . . . . . . . . . .7-3 .0117 Conferred and Limitations Imposed . . . . . . . . . . . . . . . .7-3 .0118 Certification Committee . . . . . . . . . . . . . . . . . . . . . . . . .7-3 .0119 Standards for Certification of Paralegals . . . . . . . . . . . . .7-3 .0120 Standards for Continued Certification of Paralegals . . . . .7-4 .0121 Lapse, Suspension or Revocation of Certification . . . . . .7-4 .0122 Right to Review and Appeal to Council . . . . . . . . . . . . .7-4 .0123 Inactive Status Upon Demonstration of Hardship . . . . . .7-5 .0124 Retired Certified Paralegal Status . . . . . . . . . . . . . . . . . . .7-5 Section .0200 Rules Governing Continuing Paralegal Education . . . .7-6 .0201 Continuing Paralegal Education (CPE) . . . . . . . . . . . . . . .7-6 .0202 Accreditation Standards . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-6 .0203 General Course Approval . . . . . . . . . . . . . . . . . . . . . . . . . .7-6 .0204 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7-7 .0205 Computation of Hours of Instruction . . . . . . . . . . . . . . . . .7-7 Subchapter H: Registration of Attorneys Appearing . . . . . . . . . Pro Hac Vice . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subchap. 1H Section .0100 Registration Procedure . . . . . . . . . . . . . . . . . . . . . . . . .8-1 .0101 Registration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8-1 Title 27 of the North Carolina Administrative Code: The North Carolina State Bar Chapter 2: Rules of Professional Conduct . . . . . . . . . . . . . . . . . . .9-1 Preamble and Scope 0.1 Preamble: A Lawyer’s Professional Responsibilities . . . . . . . . . . . .9-2 0.2 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-3 Terminology Rule 1.0: Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-4 Client-Lawyer Relationship Rule 1.1: Competence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-5 Rule 1.2: Scope of Representation and Allocation of Authority Between Client and Lawyer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-6 Rule 1.3: Diligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-8 Rule 1.4: Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-9 Rule 1.5: Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-10 Rule 1.6: Confidentiality of Information . . . . . . . . . . . . . . . . . . . . .9-13 Rule 1.7: Conflict of Interest: Current Clients . . . . . . . . . . . . . . . . .9-17 Rule 1.8: Conflict of Interest: Current Clients: Specific Rules . . . . .9-23 Rule 1.9: Duties to Former Clients . . . . . . . . . . . . . . . . . . . . . . . . .9-26 Rule 1.10: Imputation of Conflicts of Interest: General Rule . . . . .9-28 Rule 1.11: Special Conflicts of Interest for Former and Current Government Officers and Employees . . . . . . . . . . . . .9-29 Rule 1.12: Former Judge, Arbitrator, Mediator, or Other Third-Party Neutral . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-30 Rule 1.13: Organization as Client . . . . . . . . . . . . . . . . . . . . . . . . . .9-31 Rule 1.14: Client with Diminished Capacity . . . . . . . . . . . . . . . . . .9-32 Rule 1.15: Safekeeping Property . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-33 Rule 1.15-1: Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-33 Rule 1.15-2: General Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-34 Rule 1.15-3: Records and Accountings . . . . . . . . . . . . . . . . . . . .9-35 Rule 1.15-4: Trust Account Management in a Multi-Member Firm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-36 Rule 1.16: Declining or Terminating Representation . . . . . . . . . . . .9-40 Rule 1.17: Sale of Law Practice . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-42 Rule 1.18: Duties to Prospective Client . . . . . . . . . . . . . . . . . . . . . .9-43 Rule 1.19: Sexual Relations with Clients Prohibited . . . . . . . . . . . .9-44 Counselor Rule 2.1: Advisor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-45 Rule 2.2: Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-45 Rule 2.3: Evaluation for Use by Third Persons . . . . . . . . . . . . . . . . .9-45 Rule 2.4: Lawyer Serving as Third-Party Neutral . . . . . . . . . . . . . . .9-46 Advocate Rule 3.1: Meritorious Claims and Contentions . . . . . . . . . . . . . . . .9-46 Rule 3.2: Expediting Litigation . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-47 Rule 3.3: Candor Toward the Tribunal . . . . . . . . . . . . . . . . . . . . . . .9-47 Rule 3.4: Fairness to Opposing Party and Counsel . . . . . . . . . . . . .9-49 Rule 3.5: Impartiality and Decorum of the Tribunal . . . . . . . . . . . .9-50 Rule 3.6: Trial Publicity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-51 Rule 3.7: Lawyer as Witness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-52 Rule 3.8: Special Responsibilities of a Prosecutor . . . . . . . . . . . . . . .9-53 Transactions with Persons Other Than Clients Rule 4.1: Truthfulness in Statements to Others . . . . . . . . . . . . . . . .9-54 Rule 4.2: Communication with Person Represented by Counsel . . .9-55 Rule 4.3: Dealing with Unrepresented Person . . . . . . . . . . . . . . . . .9-57 Rule 4.4: Respect for Rights of Third Persons . . . . . . . . . . . . . . . . .9-57 Law Firms and Associations Rule 5.1: Responsibilities of Principals, Managers, and Supervisory Lawyers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-58 Rule 5.2: Responsibilities of a Subordinate Lawyer . . . . . . . . . . . . .9-59 Rule 5.3: Responsibilities Regarding Nonlawyer Assistance . . . . . . .9-59 Rule 5.4: Professional Independence of a Lawyer . . . . . . . . . . . . . . .9-61 Rule 5.5: Unauthorized Practice of Law; Multijurisdictional Practice of Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-61 Rule 5.6: Restrictions on Right to Practice . . . . . . . . . . . . . . . . . . .9-64 Rule 5.7: Responsibilities Regarding Law-Related Services . . . . . . .9-65 Public Service Rule 6.1: Voluntary Pro Bono Publico Service . . . . . . . . . . . . . . . . .9-66 Rule 6.2: Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-66 Rule 6.3: Membership in Legal Services Organization . . . . . . . . . . .9-66 Rule 6.4: Law Reform Activities Affecting Client Interests . . . . . . .9-67 Rule 6.5: Limited Legal Services Programs . . . . . . . . . . . . . . . . . . . .9-67 Rule 6.6: Action as a Public Official . . . . . . . . . . . . . . . . . . . . . . . . .9-67 page 10 Information About Legal Services Rule 7.1: Communications Concerning a Lawyer’s Services . . . . . .9-68 Rule 7.2: Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-69 Rule 7.3: Direct Contact with Potential Clients . . . . . . . . . . . . . . . .9-71 Rule 7.4: Solicitation of Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-73 Rule 7.5: Firm Names and Letterheads . . . . . . . . . . . . . . . . . . . . . .9-74 Rule 7.6: Reserved . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-75 Maintaining the Integrity of the Profession Rule 8.1: Bar Admission and Disciplinary Matters . . . . . . . . . . . . .9-75 Rule 8.2: Judicial and Legal Officials . . . . . . . . . . . . . . . . . . . . . . . .9-75 Rule 8.3: Reporting Professional Misconduct . . . . . . . . . . . . . . . . .9-75 Rule 8.4: Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9-76 Rule 8.5: Disciplinary Authority; Choice of Law . . . . . . . . . . . . . . .9-78 Rule 8.6: Information about a Possible Wrongful Conviction . . . . .9-79 Rules Index . . . . . . . . . . . . . . . . . . . . . . . .9-80 Ethics Opinions . . . . . . . . . . . . . . . . . . . . .10-1 Authorized Practice Advisory Opinions . . .10-279 Ethics Opinion Index . . . . . . . . . . . . . . . .10-282 Additional Resources . . . . . . . . . . . . . . . . . .11-1 IOLTA Questions and Answers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-1 Correlation Tables Correlation Table 1: 1997 Revised Rules of Professional Conduct and 2003 Amended Revised Rules of Professional Conduct . . . . . . . . . . . . . . . . .11-4 Correlation Table 2: 1997 Revised Rules of Professional Conduct and 1985 Rules of Professional Conduct (Superceded) . . . . .11-5 Correlation Table 3: 1985 Rules of Professional Conduct (Superceded), 1997 Revised Rules of Professional Conduct, and 1973 Code of Professional Responsibility (Superceded) . . . . . . . .11-7 Headings for the Complete Rules of the North Carolina State Bar . . . .11-9 Cover artwork: North Carolina Mountains to Sea, by Robert Johnson, part of the North Carolina State Bar art collection. G.S. Chap. 84: 1-1 § 84-2.1. "Practice law" defined. The phrase "practice law" as used in this Chapter is defined to be performing any legal service for any other person, firm or corporation, with or without com-pensation, specifically including the preparation or aiding in the preparation of deeds, mortgages, wills, trust instruments, inventories, accounts or reports of guardians, trustees, administrators or executors, or preparing or aiding in the prepa-ration of any petitions or orders in any probate or court proceeding; abstracting or passing upon titles, the preparation and filing of petitions for use in any court, including administrative tribunals and other judicial or quasi judicial bodies, or assisting by advice, counsel, or otherwise in any legal work; and to advise or give opinion upon the legal rights of any person, firm or corporation: Provided, that the above reference to particular acts which are specifically included within the defini-tion of the phrase "practice law" shall not be construed to limit the foregoing gen-eral definition of the term, but shall be construed to include the foregoing partic-ular acts, as well as all other acts within the general definition. The phrase "practice law" does not encompass the writing of memoranda of understanding or other mediation summaries by mediators at community mediation centers authorized by G.S. 7A 38.5 or by mediators of personnel matters for The University of North Carolina or a constituent institution. § 84-4. Persons other than members of State Bar prohibited from practicing law. Except as otherwise permitted by law, it shall be unlawful for any person or association of persons, except active members of the Bar of the State of North Carolina admitted and licensed to practice as attorneys at law, to appear as attor-ney or counselor at law in any action or proceeding before any judicial body, including the North Carolina Industrial Commission, or the Utilities Commission; to maintain, conduct, or defend the same, except in his own behalf as a party thereto; or, by word, sign, letter, or advertisement, to hold out himself, or themselves, as competent or qualified to give legal advice or counsel, or to pre-pare legal documents, or as being engaged in advising or counseling in law or act-ing as attorney or counselor at law, or in furnishing the services of a lawyer or lawyers; and it shall be unlawful for any person or association of persons except active members of the Bar, for or without a fee or consideration, to give legal advice or counsel, perform for or furnish to another legal services, or to prepare directly or through another for another person, firm or corporation, any will or testamen-tary disposition, or instrument of trust, or to organize corporations or prepare for another person, firm or corporation, any other legal document. Provided, that nothing herein shall prohibit any person from drawing a will for another in an emergency wherein the imminence of death leaves insufficient time to have the same drawn and its execution supervised by a licensed attorney at law. The provi-sions of this section shall be in addition to and not in lieu of any other provisions of this Chapter. Provided, however, this section shall not apply to corporations authorized to practice law under the provisions of Chapter 55B of the General Statutes of North Carolina. § 84-4.1. Limited practice of out of state attorneys. Any attorney domiciled in another state, and regularly admitted to practice in the courts of record of and in good standing in that state, having been retained as attorney for a party to any civil or criminal legal proceeding pending in the General Court of Justice of North Carolina, the North Carolina Utilities Commission, the North Carolina Industrial Commission, the Office of Administrative Hearings of North Carolina, or any administrative agency, may, on motion, be admitted to practice in that forum for the sole purpose of appearing for a client in the pro-ceeding. The motion required under this section shall be signed by the attorney and shall contain or be accompanied by: (1) The attorney's full name, post office address, bar membership number, and status as a practicing attorney in another state. (2) A statement, signed by the client, setting forth the client's address and declaring that the client has retained the attorney to represent the client in the pro-ceeding. (3) A statement that unless permitted to withdraw sooner by order of the court, the attorney will continue to represent the client in the proceeding until its final determination, and that with reference to all matters incident to the proceeding, the attorney agrees to be subject to the orders and amenable to the disciplinary action and the civil jurisdiction of the General Court of Justice and the North Carolina State Bar in all respects as if the attorney were a regularly admitted and licensed member of the Bar of North Carolina in good standing. (4) A statement that the state in which the attorney is regularly admitted to practice grants like privileges to members of the Bar of North Carolina in good standing. (5) A statement to the effect that the attorney has associated and is personally appearing in the proceeding, with an attorney who is a resident of this State, has agreed to be responsible for filing a registration statement with the North Carolina State Bar, and is duly and legally admitted to practice in the General Court of Justice of North Carolina, upon whom service may be had in all matters connect-ed with the legal proceedings, or any disciplinary matter, with the same effect as if personally made on the foreign attorney within this State. (6) A statement accurately disclosing a record of all that attorney's disciplinary history. Discipline shall include (i) public discipline by any court or lawyer regula-tory organization, and (ii) revocation of any pro hac vice admission. (7) A fee in the amount of two hundred twenty five dollars ($225.00), of which two hundred dollars ($200.00) shall be remitted to the State Treasurer for support of the General Court of Justice and twenty five dollars ($25.00) shall be transmit-ted to the North Carolina State Bar to regulate the practice of out of state attorneys as provided in this section. Compliance with the foregoing requirements does not deprive the court of the discretionary power to allow or reject the application. § 84-4.2. Summary revocation of permission granted out of state attorneys to practice. Permission granted under G.S. 84-4.1 may be summarily revoked by the General Court of Justice or any agency, including the North Carolina Utilities Commission, on its own motion and in its discretion. § 84-5. Prohibition as to practice of law by corporation. (a) It shall be unlawful for any corporation to practice law or appear as an attorney for any person in any court in this State, or before any judicial body or the North Carolina Industrial Commission, Utilities Commission, or the Department of Commerce, Division of Employment Security, or hold itself out to the public or advertise as being entitled to practice law; and no corpo-ration shall organize corporations, or draw agreements, or other legal docu-ments, or draw wills, or practice law, or give legal advice, or hold itself out in any manner as being entitled to do any of the foregoing acts, by or through any person orally or by advertisement, letter or circular. The provisions of this sec-tion shall be in addition to and not in lieu of any other provisions of Chapter 84. Provided, that nothing in this section shall be construed to prohibit a bank-ing corporation authorized and licensed to act in a fiduciary capacity from per-forming any clerical, accounting, financial or business acts required of it in the performance of its duties as a fiduciary or from performing ministerial and cler-ical acts in the preparation and filing of such tax returns as are so required, or from discussing the business and financial aspects of fiduciary relationships. Provided, however, this section shall not apply to corporations authorized to North Carolina General Statutes, Chapter 84 Attorneys-at-Law: Selected Statutes G.S. Chap. 84: 1-2 practice law under the provisions of Chapter 55B of the General Statutes of North Carolina. To further clarify the foregoing provisions of this section as they apply to cor-porations which are authorized and licensed to act in a fiduciary capacity: (1) A corporation authorized and licensed to act in a fiduciary capacity shall not: a. Draw wills or trust instruments; provided that this shall not be construed to prohibit an employee of such corporation from conferring and cooperat-ing with an attorney who is not a salaried employee of the corporation, at the request of such attorney, in connection with the attorney's performance of services for a client who desires to appoint the corporation executor or trustee or otherwise to utilize the fiduciary services of the corporation. b. Give legal advice or legal counsel, orally or written, to any customer or prospective customer or to any person who is considering renunciation of the right to qualify as executor or administrator or who proposes to resign as guardian or trustee, or to any other person, firm or corporation. c. Advertise to perform any of the acts prohibited herein; solicit to perform any of the acts prohibited herein; or offer to perform any of the acts prohib-ited herein. (2) Except as provided in subsection (b) of this section, when any of the fol-lowing acts are to be performed in connection with the fiduciary activities of such a corporation, said acts shall be performed for the corporation by a duly licensed attorney, not a salaried employee of the corporation, retained to per-form legal services required in connection with the particular estate, trust or other fiduciary matter: a. Offering wills for probate. b. Preparing and publishing notice of administration to creditors. c. Handling formal court proceedings. d. Drafting legal papers or giving legal advice to spouses concerning rights to an elective share under Article 1A of Chapter 30 of the General Statutes. e. Resolving questions of domicile and residence of a decedent. f. Handling proceedings involving year's allowances of widows and children. g. Drafting deeds, notes, deeds of trust, leases, options and other contracts. h. Drafting instruments releasing deeds of trust. i. Drafting assignments of rent. j. Drafting any formal legal document to be used in the discharge of the cor-porate fiduciary's duty. k. In matters involving estate and inheritance taxes, gift taxes, and federal and State income taxes: 1. Preparing and filing protests or claims for refund, except requests for a refund based on mathematical or clerical errors in tax returns filed by it as a fiduciary. 2. Conferring with tax authorities regarding protests or claims for refund, except those based on mathematical or clerical errors in tax returns filed by it as a fiduciary. 3. Handling petitions to the tax court. l. Performing legal services in insolvency proceedings or before a referee in bankruptcy or in court. m. In connection with the administration of an estate or trust: 1. Making application for letters testamentary or letters of administration. 2. Abstracting or passing upon title to property. 3. Handling litigation relating to claims by or against the estate or trust. 4. Handling foreclosure proceedings of deeds of trust or other security instruments which are in default. (3) When any of the following acts are to be performed in connection with the fiduciary activities of such a corporation, the corporation shall comply with the following: a. The initial opening and inventorying of safe deposit boxes in connection with the administration of an estate for which the corporation is executor or administrator shall be handled by, or with the advice of, an attorney, not a salaried employee of the corporation, retained by the corporation to perform legal services required in connection with that particular estate. b. The furnishing of a beneficiary with applicable portions of a testator's will relating to such beneficiary shall, if accompanied by any legal advice or opin-ion, be handled by, or with the advice of, an attorney, not a salaried employ-ee of the corporation, retained by the corporation to perform legal services required in connection with that particular estate or matter. c. In matters involving estate and inheritance taxes and federal and State income taxes, the corporation shall not execute waivers of statutes of limita-tions without the advice of an attorney, not a salaried employee of the cor-poration, retained by the corporation to perform legal services in connection with that particular estate or matter. d. An attorney, not a salaried employee of the corporation, retained by the corporation to perform legal services required in connection with an estate or trust shall be furnished copies of inventories and accounts proposed for filing with any court and proposed federal estate and North Carolina inheritance tax returns and, on request, copies of proposed income and intangibles tax returns, and shall be afforded an opportunity to advise and counsel the cor-porate fiduciary concerning them prior to filing. (b) Nothing in this section shall prohibit an attorney retained by a corporation, whether or not the attorney is also a salaried employee of the corporation, from rep-resenting the corporation or an affiliate, or from representing an officer, director, or employee of the corporation or an affiliate in any matter arising in connection with the course and scope of the employment of the officer, director, or employee. Notwithstanding the provisions of this subsection, the attorney providing such rep-resentation shall be governed by and subject to all of the Rules of Professional Conduct of the North Carolina State Bar to the same extent as all other attorneys licensed by this State. § 84-5.1. Rendering of legal services by certain non-profit corporations. (a) Subject to the rules and regulations of the North Carolina State Bar, as approved by the Supreme Court of North Carolina, a nonprofit corporation, tax exempt under 26 U.S.C. § 501(c)(3), organized or authorized under Chapter 55A of the General Statutes of North Carolina and operating as a public interest law firm as defined by the applicable Internal Revenue Service guidelines or for the pri-mary purpose of rendering indigent legal services, may render such services pro-vided by attorneys duly licensed to practice law in North Carolina, for the purposes for which the nonprofit corporation was organized. The nonprofit corporation must have a governing structure that does not permit an individual or group of individuals other than an attorney duly licensed to practice law in North Carolina to control the manner or course of the legal services rendered and must continual-ly satisfy the criteria established by the Internal Revenue Service for 26 U.S.C. § 501(c)(3) status, whether or not any action has been taken to revoke that status. (b) In no instance may legal services rendered by a nonprofit corporation under subsection (a) of this section be conditioned upon the purchase or payment for any product, good, or service other than the legal service rendered. § 84-8. Punishment for violations. (a) Any person, corporation, or association of persons violating any of the pro-visions of G.S. 84 4 through G.S. 84 6 or G.S. 84 9 shall be guilty of a Class 1 mis-demeanor. (b) No person shall be entitled to collect any fee for services performed in vio-lation of G.S. 84 4 through G.S. 84 6, G.S. 84 9, or G.S. 84 10.1. § 84-15. Creation of North Carolina State Bar as an agency of the State. There is hereby created as an agency of the State of North Carolina, for the pur-poses and with the powers hereinafter set forth, the North Carolina State Bar. § 84-16. Membership and privileges. The membership of the North Carolina State Bar shall consist of two classes, active and inactive. The active members shall be all persons who have obtained a license or certifi-cate, entitling them to practice law in the State of North Carolina, who have paid the membership dues specified, and who have satisfied all other obligations of membership. No person other than a member of the North Carolina State Bar shall practice in any court of the State except foreign attorneys as provided by statute and natural persons representing themselves. G.S. Chap. 84: 1-3 Inactive members shall be: (1) All persons who have obtained a license to practice law in the State but who have been found by the Council to be not engaged in the practice of law and not holding themselves out as practicing attorneys and not occupying any public or private positions in which they may be called upon to give legal advice or counsel or to examine the law or to pass upon, adjudicate, or offer an opinion concerning the legal effect of any act, document, or law. (2) Persons allowed by the Council solely to represent indigent clients on a pro bono basis under the supervision of an active member employed by a nonprofit corporation qualified to render legal services pursuant to G.S. 84-5.1. All active members shall be required to pay annual membership fees, and shall have the right to vote in elections held by the district bar in the judicial district in which the member resides. If a member desires to vote with the bar of some dis-trict in which the member practices, other than that in which the member resides, the member may do so by filing with the Secretary of the North Carolina State Bar a statement in writing that the member desires to vote in the other district; pro-vided, however, that in no case shall the member be entitled to vote in more than one district. § 84-17. Government. The government of the North Carolina State Bar is vested in a council of the North Carolina State Bar referred to in this Chapter as the "Council." The Council shall be composed of a variable number of councilors equal to the number of judi-cial districts plus 16, the officers of the North Carolina State Bar, who shall be councilors during their respective terms of office, and each retiring president of the North Carolina State Bar who shall be a councilor for one year from the date of expiration of his term as president. Notwithstanding any other provisions of the law, the North Carolina State Bar may borrow money and may acquire, hold, rent, encumber, alienate, lease, and otherwise deal with real or personal property in the same manner as any private person or corporation, subject only to the approval of the Governor and the Council of State as to the borrowing of money and the acquisition, rental, encumbering, leasing and sale of real property. The Council shall be competent to exercise the entire powers of the North Carolina State Bar in respect of the interpretation and administration of this Article, the borrowing of money, the acquisition, lease, sale, or mortgage of property, real or personal, the seeking of amendments to this Chapter, and all other matters. There shall be one councilor from each judicial district and 16 additional councilors. The additional councilors shall be allocated and reallocated by the North Carolina State Bar every six years based on the number of active members of each judicial district bar according to the records of the North Carolina State Bar and in accordance with a formula to be adopted by the North Carolina State Bar, to insure an allocation based on lawyer population of each judicial district bar as it relates to the total num-ber of active members of the State Bar. A councilor whose seat has been eliminated due to a reallocation shall contin-ue to serve on the Council until expiration of the remainder of the current term. A councilor whose judicial district is altered by the General Assembly during the councilor's term shall continue to serve on the Council until the expiration of the term and shall represent the district wherein the councilor resides or with which the councilor has elected to be affiliated. If before the alteration of the judicial dis-trict of the councilor the judicial district included both the place of residence and the place of practice of the councilor, and if after the alteration of the judicial dis-trict the councilor's place of residence and place of practice are located in different districts, the councilor must, not later than 10 days from the effective date of the alteration of the district, notify the Secretary of the North Carolina State Bar of an election to affiliate with and represent either the councilor's district of residence or district of practice. In addition to the councilors, there shall be three public members not licensed to practice law in this or any other state who shall be appointed by the Governor. The public members may vote and participate in all matters before the Council to the same extent as councilors elected or appointed from the var-ious judicial districts. § 84-18. Terms, election and appointment of councilors. (a) Except as set out in this section, the terms of councilors are fixed at three years commencing on the first day of January in the year following their election. A year shall be the calendar year. No councilor may serve more than three succes-sive three year terms but a councilor may serve an unlimited number of three suc-cessive three year terms provided a three year period of nonservice intervenes in each instance. Any councilor serving a partial term of 18 months or more is con-sidered to have served a full term and shall be eligible to be elected to only two suc-cessive three year terms in addition to the partial term. Any councilor serving a par-tial term of less than 18 months is eligible to be elected to three successive three year terms in addition to the partial term. This paragraph shall not apply to offi-cers of the State Bar. The secretary of a judicial district bar shall notify the secretary treasurer of the State Bar in writing of any additions to or deletions from the delegation of coun-cilors representing the district within 90 days of the effective date of the change. No new councilor shall assume a seat until official notice of the election has been given to the secretary treasurer of the State Bar. Any active member of the North Carolina State Bar is eligible to serve as a councilor from the judicial district in which the member is eligible to vote. (b) The Council may promulgate rules to govern the election and appointment of councilors. The election and appointment of councilors shall be as follows: Each judicial district bar shall elect one eligible North Carolina State Bar mem-ber for each Council vacancy in the district. Any vacancy occurring after the elec-tion, whether caused by resignation, death, reconfiguration of the district by the General Assembly, or otherwise shall be filled by the judicial district bar in which the vacancy occurs. The appointment shall be for the unexpired portion of the term and shall be certified to the Council by the judicial district bar. Any appoint-ed councilor shall be subject to the terms set forth in subsection (a) of G.S. 84-18. (c) Public members shall serve three year terms. No public member shall serve more than two complete consecutive terms. The Secretary of the North Carolina State Bar shall promptly inform the Governor when any seat occupied by a public member becomes vacant. The successor shall serve the remainder of the term. Any public member serving a partial term of 18 months or more is considered to have served a full term and is eligible to be elected to only one additional three year term in addition to the partial term. Any public member serving a partial term of less than 18 months is eligible to be elected to two successive three year terms in addi-tion to the partial term. § 84-18.1. Membership and fees of district bars. (a) The district bar shall be a subdivision of the North Carolina State Bar sub-ject to the general supervisory authority of the Council and may adopt rules, reg-ulations and bylaws that are not inconsistent with this Article. A copy of any rules, regulations and bylaws that are adopted, along with any subsequent amendments, shall be transmitted to the Secretary Treasurer of the North Carolina State Bar. (b) Any district bar may from time to time by a majority vote of the members present at a duly called meeting prescribe an annual membership fee to be paid by its active members as a service charge to promote and maintain its administration, activities and programs. The fee shall be in addition to, but shall not exceed, the amount of the membership fee prescribed by G.S. 84-34 for active members of the North Carolina State Bar. The district bar may also charge a late fee, which shall not exceed fifteen dollars ($15.00), for the failure to pay judicial district bar dues on time. The district bar shall mail a written notice to every active member of the district bar at least 30 days before any meeting at which an election is held to impose or increase mandatory district bar dues. Every active member of a district bar which has prescribed an annual membership fee shall keep its secretary treas-urer notified of his correct mailing address and shall pay the prescribed fee at the time and place set forth in the demand for payment mailed to him by its secretary treasurer. The name of each active member of a district bar who is more than 12 full calendar months in arrears in the payment of any fee shall be furnished by the secretary treasurer of the district bar to the Council. In the exercise of its powers as set forth in G.S. 84-23, the Council shall thereupon take disciplinary or other action with reference to the delinquent as it considers necessary and proper. G.S. Chap. 84: 1-4 § 84-19. Judicial districts definition. For purposes of this Article, the term "judicial district" refers to prosecutorial districts established by the General Assembly and includes the High Point Superior Court District as described under G.S. 7A 41(b)(13). The term "district bar" means the bar of a judicial district as defined by this section. § 84-21. Organization of Council; publication of rules, regulations and bylaws. (a) The Council shall adopt the rules pursuant to G.S. 45A 9. (b) The rules and regulations adopted by the Council under this Article may be amended by the Council from time to time in any manner not inconsistent with this Article. Copies of all rules and regulations and of all amendments adopt-ed by the Council shall be certified to the Chief Justice of the Supreme Court of North Carolina, entered by the North Carolina Supreme Court upon its minutes, and published in the next ensuing number of the North Carolina Reports and in the North Carolina Administrative Code: Provided, that the court may decline to have so entered upon its minutes any rules, regulations and amendments which in the opinion of the Chief Justice are inconsistent with this Article. § 84-22. Officers and committees of the North Carolina State Bar. The officers of the North Carolina State Bar and the Council shall consist of a president, president elect, vice president and an immediate past president, who shall be deemed members of the Council in all respects. The president, president elect and vice president need not be members of the Council at the time of their election. There shall be a secretary treasurer who shall also have the title of execu-tive director, but who shall not be a member of the Council. All officers shall be elected annually by the Council at an election to take place at the annual meeting of the North Carolina State Bar. The regular term of all officers is one year. The Council is the judge of the election and qualifications of its members. In addition to the committees and commissions as may be specifically estab-lished or authorized by law, the North Carolina State Bar may have committees, standing or special, as from time to time the Council deems appropriate for the proper discharge of the duties and functions of the North Carolina State Bar. The Council shall determine the number of members, composition, method of appointment or election, functions, powers and duties, structure, authority to act, and other matters relating to each committee. Any committee may, at the discre-tion of the appointing or electing authority, be composed of Council members or members of the North Carolina State Bar who are not members of the Council, or of lay persons, or of any combination. § 84-23. Powers of Council. (a) The Council is vested, as an agency of the State, with the authority to reg-ulate the professional conduct of licensed lawyers and State Bar certified paralegals. Among other powers, the Council shall administer this Article; take actions that are necessary to ensure the competence of lawyers and State Bar certified paralegals; formulate and adopt rules of professional ethics and conduct; investigate and pros-ecute matters of professional misconduct; grant or deny petitions for reinstatement; resolve questions pertaining to membership status; arbitrate disputes concerning legal fees; certify legal specialists and paralegals and charge fees to applicants and participants necessary to administer these certification programs; determine whether a member is disabled; maintain an annual registry of interstate and inter-national law firms doing business in this State; and formulate and adopt procedures for accomplishing these purposes. The Council may do all things necessary in the furtherance of the purposes of this Article that are not otherwise prohibited by law. (b) The Council or any committee of the Council, including the Client Security Fund and the Disciplinary Hearing Commission or any committee of the Commission, may subpoena financial records of any licensed lawyers, lawyers whose licenses have been suspended, or disbarred lawyers, relating to any account into which client or fiduciary funds have been deposited. (c) The Council may publish an official journal concerning matters of interest to the legal profession. (d) The Council may acquire, hold, rent, encumber, alienate, lease, and other-wise deal with real or personal property in the same manner as any private person or corporation, subject only to the approval of the Governor and the Council of State as to the acquisition, rental, encumbering, leasing and sale of real property. The Council may borrow money upon its bonds, notes, debentures, or other evi-dences of indebtedness sold through public or private sale pursuant to a loan agree-ment or a trust agreement or indenture with a trustee, with such borrowing either unsecured or secured by a mortgage on the Council's interest in real or personal property, and engage and contract with attorneys, underwriters, financial advisors, and other parties as necessary for such borrowing, with such borrowing and secu-rity subject to the approval of the Governor and the Council of State. The Council may utilize the services of the Purchase and Contract Division of the Department of Administration to procure personal property, in accordance with the provisions of Article 3 of Chapter 143 of the General Statutes. However, the Council shall: (i) submit all proposed contracts for supplies, materials, printing, equipment, and contractual services that exceed one million dollars ($1,000,000) authorized by this subsection to the Attorney General or the Attorney General's designee for review as provided in G.S. 114 8.3; and (ii) include in all contracts to be awarded by the Council under this subsection a standard clause which provides that the State Auditor and internal auditors of the Council may audit the records of the con-tractor during and after the term of the contract to verify accounts and data affect-ing fees and performance. The Council shall not award a cost plus percentage of cost agreement or contract for any purpose. § 84-28. Discipline and disbarment. (a) Any attorney admitted to practice law in this State is subject to the discipli-nary jurisdiction of the Council under such rules and procedures as the Council shall adopt as provided in G.S. 84-23. (b) The following acts or omissions by a member of the North Carolina State Bar or any attorney admitted for limited practice under G.S. 84-4.1, individually or in concert with any other person or persons, shall constitute misconduct and shall be grounds for discipline whether the act or omission occurred in the course of an attorney client relationship or otherwise: (1) Conviction of, or a tender and acceptance of a plea of guilty or no contest to, a criminal offense showing professional unfitness; (2) The violation of the Rules of Professional Conduct adopted and promul-gated by the Council in effect at the time of the act; (3) Knowing misrepresentation of any facts or circumstances surrounding any complaint, allegation or charge of misconduct; failure to answer any formal inquiry or complaint issued by or in the name of the North Carolina State Bar in any disciplinary matter; or contempt of the Council or any committee of the North Carolina State Bar. (c) Misconduct by any attorney shall be grounds for: (1) Disbarment; (2) Suspension for a period up to but not exceeding five years, any portion of which may be stayed upon reasonable conditions to which the offending attor-ney consents; (3) Censure - A censure is a written form of discipline more serious than a rep-rimand issued in cases in which an attorney has violated one or more provisions of the Rules of Professional Conduct and has caused significant harm or poten-tial significant harm to a client, the administration of justice, the profession or members of the public, but the protection of the public does not require sus-pension of the attorney's license; (4) Reprimand - A reprimand is a written form of discipline more serious than an admonition issued in cases in which an attorney has violated one or more provisions of the Rules of Professional Conduct, but the protection of the pub-lic does not require a censure. A reprimand is generally reserved for cases in which the attorney's conduct has caused harm or potential harm to a client, the administration of justice, the profession, or members of the public; or (5) Admonition - An admonition is a written form of discipline imposed in cases in which an attorney has committed a minor violation of the Rules of Professional Conduct. Any order disbarring or suspending an attorney may impose reasonable condi-tions precedent to reinstatement. No attorney who has been disbarred by the Disciplinary Hearing Commission, the Council, or by order of any court of this State may seek reinstatement to the practice of law prior to five years from the effec- G.S. Chap. 84: 1-5 tive date of the order of disbarment. Any order of the Disciplinary Hearing Commission or the Grievance Committee imposing an admonition, reprimand, censure, or stayed suspension may also require the attorney to complete a reason-able amount of continuing legal education in addition to the minimum amount required by the North Carolina Supreme Court. (d) Any attorney admitted to practice law in this State, who is convicted of or has tendered and has had accepted, a plea of guilty or no contest to, a criminal offense showing professional unfitness, may be disciplined based upon the convic-tion, without awaiting the outcome of any appeals of the conviction. An order of discipline based solely upon a conviction of a criminal offense showing profession-al unfitness shall be vacated immediately upon receipt by the Secretary of the North Carolina State Bar of a certified copy of a judgment or order reversing the conviction. The fact that the attorney's criminal conviction has been overturned on appeal shall not prevent the North Carolina State Bar from conducting a discipli-nary proceeding against the attorney based upon the same underlying facts or events that were the subject of the criminal proceeding. (d1) An attorney who is disciplined as provided in subsection (d) of this section may petition the court in the trial division in the judicial district where the con-viction occurred for an order staying the disciplinary action pending the outcome of any appeals of the conviction. The court may grant or deny the stay in its dis-cretion upon such terms as it deems proper. A stay of the disciplinary action by the court shall not prevent the North Carolina State Bar from going forward with a disciplinary proceeding against the attorney based upon the same underlying facts or events that were the subject of the criminal proceeding. (e) Any attorney admitted to practice law in this State who is disciplined in another jurisdiction shall be subject to the same discipline in this State: Provided, that the discipline imposed in the other jurisdiction does not exceed that provided for in subsection (c) above and that the attorney was not deprived of due process in the other jurisdiction. (f) Upon application by the North Carolina State Bar, misconduct by an attor-ney admitted to practice in this State may be restrained or enjoined where the necessity for prompt action exists regardless of whether a disciplinary proceeding in the matter of the conduct is pending. The application shall be filed in the Superior Court of Wake County and shall be governed by the procedure set forth in G.S. 1A 1, Rule 65. (g) Any member of the North Carolina State Bar may be transferred to dis-ability inactive status for mental incompetence, physical disability, or substance abuse interfering with the attorney's ability to competently engage in the practice of law under the rules and procedures the Council adopts pursuant to G.S. 84-23. (h) There shall be an appeal of right by either party from any final order of the Disciplinary Hearing Commission to the North Carolina Court of Appeals. Review by the appellate division shall be upon matters of law or legal inference. The procedures governing any appeal shall be as provided by statute or court rule for appeals in civil cases. A final order which imposes disbarment or suspension for 18 months or more shall not be stayed except upon application, under the rules of the Court of Appeals, for a writ of supersedeas. A final order imposing suspension for less than 18 months or any other discipline except disbarment shall be stayed pending determination of any appeal of right. (i) The North Carolina State Bar may invoke the process of the General Court of Justice to enforce the powers of the Council or any committee to which the Council delegates its authority. (j) The North Carolina State Bar may apply to appropriate courts for orders necessary to protect the interests of clients of missing, suspended, disbarred, dis-abled, or deceased attorneys. The senior regular resident judge of the superior court of any district wherein a member of the North Carolina State Bar resides or maintains an office shall have the authority and power to enter orders necessary to protect the interests of the clients, including the authority to order the payment of compensation by the member or the estate of a deceased or disabled member to any attorney appointed to administer or conserve the law practice of the member. Compensation awarded to a member serving under this section awarded from the estate of a deceased member shall be considered an administrative expense of the estate for purposes of determining priority of payment. § 84-28.1. Disciplinary hearing commission. (a) There shall be a disciplinary hearing commission of the North Carolina State Bar which shall consist of 20 members. Twelve of these members shall be members of the North Carolina State Bar, and shall be appointed by the Council. The other eight shall be citizens of North Carolina not licensed to practice law in this or any other state, four of whom shall be appointed by the Governor, two by the General Assembly upon the recommendation of the President Pro Tempore of the Senate in accordance with G.S. 120 121, and two by the General Assembly upon the recommendation of the Speaker of the House of Representatives in accordance with G.S. 120 121. The Council shall designate one of its appointees as chair and another as vice chair. The chair shall have active-ly practiced law in the courts of the State for at least 10 years. Except as set out herein, the terms of members of the commission are set at three years com-mencing on the first day of July of the year of their appointment. The Council, the Governor, and the General Assembly respectively, shall appoint members to fill unexpired terms when vacancies are created by resignation, disqualification, disability or death, except that vacancies in appointments made by the General Assembly may also be filled as provided by G.S. 120 122. No member may serve more than a total of seven years or a one year term and two consecutive three year terms: Provided, that any member or former member who is designated chair may serve one additional three year term in that capacity. No member of the Council may be appointed to the commission. (b) The disciplinary hearing commission of the North Carolina State Bar, or any committee of the disciplinary hearing commission, may hold hearings in dis-cipline, incapacity and disability matters, make findings of fact and conclusions of law after these hearings, enter orders necessary to carry out the duties delegated to it by the Council, and tax the costs to an attorney who is disciplined or is found to be incapacitated or disabled. (b1) The disciplinary hearing commission of the North Carolina State Bar, or any committee thereof, acting through its chairman, shall have the power to hold persons, firms or corporations in contempt as provided in Chapter 5A. (c) Members of the disciplinary hearing commission shall receive the same per diem and travel expenses as are authorized for members of State commissions under G.S. 138 5. § 84-28.2. Persons immune from suit. Persons shall be immune from suit for all statements made without malice, and intended for transmittal to the North Carolina State Bar or any board, committee, officer, agent or employee thereof, or given in any investigation or proceedings, per-taining to alleged misconduct or disability or to reinstatement of an attorney. The protection of this immunity does not exist, however, as to statements made to oth-ers not intended for this use. § 84-29. Evidence and witnesses. In any investigation of charges of professional misconduct or disability or in petitions for reinstatement, the Council and any committee thereof, and the disci-plinary hearing commission, and any committee thereof, may administer oaths and affirmations and shall have the power to subpoena and examine witnesses under oath, and to compel their attendance, and the production of books, papers and other documents or writings deemed by it necessary or material to the inquiry. Each subpoena shall be issued under the hand of the secretary treasurer or the pres-ident of the Council or the chair of the committee appointed to hear the charges, and shall have the force and effect of a summons or subpoena issued by a court of record, and any witness or other person who shall refuse or neglect to appear in obedience thereto, or to testify or produce the books, papers, or other documents or writings required, shall be liable to punishment for contempt either by the Council or its committee or a hearing committee of the disciplinary hearing com-mission through its chair pursuant to the procedures set out in Chapter 5A of the General Statutes, but with the right to appeal therefrom. Depositions may be taken in any investigations of professional misconduct as in civil proceedings, but the Council or the committee hearing the case may, in its discretion, whenever it believes that the ends of substantial justice so require, direct that any witness with-in the State be brought before it. Witnesses giving testimony under a subpoena before the Council or any committee thereof, or the disciplinary hearing commis-sion or any committee thereof, or by deposition, shall be entitled to the same fees as in civil actions. In cases heard before the Council or any committee thereof or the disciplinary G.S. Chap. 84: 1-6 hearing commission or any committee thereof, if the party shall be convicted of the charges, the party shall be taxed with the cost of the hearings: Provided, however, that the bill of costs shall not include any compensation to the members of the Council or committee before whom the hearings are conducted. § 84-30. Rights of accused person. Any person who shall stand charged with an offense cognizable by the council or any committee thereof or the disciplinary hearing commission or any commit-tee thereof shall have the right to invoke and have exercised in his favor the pow-ers of the council or any committee, in respect of compulsory process for witness-es and for the production of books, papers, and other writings and documents, and shall also have the right to be represented by counsel. § 84‑32.1. Confidentiality of records. (a) All documents, papers, letters, recordings, electronic records, or other doc-umentary materials, regardless of physical form or characteristic, in the possession of the State Bar or its staff, employees, legal counsel, councilors, and Grievance Committee advisory members concerning any investigation, inquiry, complaint, disability, or disciplinary matter in connection with the State Bar Grievance Committee, the State Bar's Trust Accounting Supervisory Program, or any audit of an attorney trust account shall not be considered public records within the mean-ing of Chapter 132 of the General Statutes. (b) All documents, papers, letters, recordings, electronic records, or other doc-umentary materials containing or reflecting the deliberations of the Disciplinary Hearing Commission in disciplinary or disability matters shall not be considered public records within the meaning of Chapter 132 of the General Statutes. (c) Notwithstanding any other provision of this section, any record, paper, or other document containing information collected and compiled by or on behalf of the State Bar that is admitted as evidence in any hearing before the Disciplinary Hearing Commission, or any court or tribunal, shall be a public record within the meaning of Chapter 132 of the General Statutes unless it is admitted into evidence under seal by order of the Disciplinary Hearing Commission, or the court or tri-bunal in which the proceeding is held. (d) All documents, papers, letters, recordings, electronic records, or other doc-umentary materials in the possession of the State Bar or its staff, employees, legal counsel, and Lawyer Assistance Program volunteers, relating in any way to a mem-ber's participation or prospective participation in the Lawyer Assistance Program, including, but not limited to, any medical, counseling, substance abuse, or mental health records, shall not be considered public records within the meaning of Chapter 132 of the General Statutes. Neither the State Bar nor any person acting under the authority of the State Bar or of the Lawyer Assistance Program shall be required to produce or testify regarding the contents or existence of such documents. (2011‑267, s. 5.) § 84-34. Membership fees and list of members. Every active member of the North Carolina State Bar shall, prior to the first day of July of each year, pay to the secretary-treasurer an annual membership fee in an amount determined by the Council but not to exceed three hundred dol-lars ($300.00), and every member shall notify the secretary-treasurer of the mem-ber's correct mailing address. Any member who fails to pay the required dues by the last day of June of each year shall be subject to a late fee in an amount deter-mined by the Council but not to exceed thirty dollars ($30.00). All dues for prior years shall be as were set forth in the General Statutes then in effect. The mem-bership fee shall be regarded as a service charge for the maintenance of the sever-al services authorized by this Article, and shall be in addition to all fees required in connection with admissions to practice, and in addition to all license taxes required by law. The fee shall not be prorated: Provided, that no fee shall be required of an attorney licensed after this Article shall have gone into effect until the first day of January of the calendar year following that in which the attorney was licensed; but this proviso shall not apply to attorneys from other states admit-ted on certificate. The fees shall be disbursed by the secretary-treasurer on the order of the Council. The secretary-treasurer shall annually, at a time and in a law magazine or daily newspaper to be prescribed by the Council, publish an account of the financial transactions of the Council in a form to be prescribed by it. The secretary-treasurer shall compile and keep currently correct from the names and mailing addresses forwarded to the secretary-treasurer and from any other avail-able sources of information a list of members of the North Carolina State Bar and furnish to the clerk of the superior court in each county, not later than the first day of October in each year, a list showing the name and address of each attor-ney for that county who has not complied with the provisions of this Article. The name of each of the active members who are in arrears in the payment of mem-bership fees shall be furnished to the presiding judge at the next term of the supe-rior court after the first day of October of each year, by the clerk of the superior court of each county wherein the member or members reside, and the court shall thereupon take action that is necessary and proper. The names and addresses of attorneys so certified shall be kept available to the public. The Secretary of Revenue is hereby directed to supply the secretary-treasurer, from records of license tax payments, with any information for which the secretary-treasurer may call in order to enable the secretary-treasurer to comply with this requirement. § 84-34.2. Specific statutory authority for certain fees. In addition to fees the Council is elsewhere authorized to charge and collect, the Council may charge and collect the following fees in amounts determined by the Council: (1) A reinstatement fee for any attorney seeking reinstatement from inactive status, administrative suspension, or suspension for failure to comply with the annual continuing legal education requirements. (2) A registration fee and annual renewal fee for an interstate or internation-al law firm. (3) An attendance fee for continuing legal education programs that may include a fee to support the Chief Justice's Commission on Professionalism. (4) A late fee for failing to file timely the continuing legal education annual report form, for failure to pay attendance fees, or failure to complete the annual continuing legal education requirements. (5) An administrative fee for any attorney against whom discipline has been imposed. § 84-36. Inherent powers of courts unaffected. Nothing contained in this Article shall be construed as disabling or abridging the inherent powers of the court to deal with its attorneys. § 84-37. State Bar may investigate and enjoin unau-thorized activities. (a) The Council or any committee appointed by it for that purpose may inquire into and investigate any charges or complaints of (i) unauthorized or unlawful practice of law or (ii) the use of the designations, "North Carolina Certified Paralegal," "North Carolina State Bar Certified Paralegal," or "Paralegal Certified by the North Carolina State Bar Board of Paralegal Certification," by individuals who have not been certified in accordance with the rules adopted by the North Carolina State Bar. The Council may bring or cause to be brought and maintained in the name of the North Carolina State Bar an action or actions, upon information or upon the complaint of any person or entity against any per-son or entity that engages in rendering any legal service, holds himself or herself out as a North Carolina certified paralegal by use of the designations set forth in this subsection, or makes it a practice or business to render legal services that are unauthorized or prohibited by law. No bond for cost shall be required in the pro-ceeding. (b) In an action brought under this section, the final judgment if in favor of the plaintiff shall perpetually restrain the defendant or defendants from the com-mission or continuance of the unauthorized or unlawful act or acts. A temporary injunction to restrain the commission or continuance of the act or acts may be granted upon proof or by affidavit, that the defendant or defendants have violat-ed any of the laws applicable to unauthorized or unlawful practice of law or the unauthorized use of the designations set forth in subsection (a) of this section or any other designation implying certification by the State Bar. The provisions of law relating generally to injunctions as provisional remedies in actions shall apply G.S. Chap. 84: 1-7 to a temporary injunction and the proceedings for temporary injunctions. (c) The venue for actions brought under this section shall be the superior court of any county in which the relevant acts are alleged to have been commit-ted or in which there appear reasonable grounds that they will be committed in the county where the defendants in the action reside, or in Wake County. (d) The plaintiff in the action shall be entitled to examine the adverse party and witnesses before filing complaint and before trial in the same manner as pro-vided by law for examining parties. (e) This section shall not repeal or limit any remedy now provided in cases of unauthorized or unlawful practice of law. Nothing contained in this section shall be construed as disabling or abridging the inherent powers of the court in these matters. (f) The Council or its duly appointed committee may issue advisory opinions in response to inquiries from members or the public regarding whether contem-plated conduct would constitute the unauthorized practice of law. Subchap. 1A: 2-1 Title 27 of the North Carolina Administrative Code The North Carolina State Bar Chapter 1 Rules and Regulations of the North Carolina State Bar SUBCHAPTER A Organization of the North Carolina State Bar Section .0200 Membership - Annual Membeonferredrship Fees . . . . .2-2 .0201 Classes of Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0202 Register of Members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-2 .0203 Annual Membership Fees; When Due . . . . . . . . . . . . . . . . .2-2 .0204 Good Standing Definition and Certificates . . . . . . . . . . . . . .2-2 Section .0300 Permanent Relinquishment of Membership in the . . . . . . . State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0301 Effect of Relinquishment . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0302 Conditions for Relinquishment . . . . . . . . . . . . . . . . . . . . . .2-3 .0303 Allegations of Misconduct Received by the State Bar On or . . . After the Date of Relinquishment . . . . . . . . . . . . . . . . . . . .2-3 Section .0500 Meetings of the North Carolina State Bar . . . . . . . . . . .2-3 .0501 Annual Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0502 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-3 .0503 Notice of Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0504 Quorum . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0505 Parlimentary Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 Section .0600 Meetings of the Council . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0601 Regular Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0602 Special Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-4 .0603 Notice of Called Special Meetings . . . . . . . . . . . . . . . . . .2-4 .0604 Quorum at Meeting of Council . . . . . . . . . . . . . . . . . . . .2-4 Section .0700 Standing Committees of the Council . . . . . . . . . . . . . . .2-4 .0701 Standing Committees and Boards . . . . . . . . . . . . . . . . . .2-4 Section .0800 Election and Appointment of State Bar Councilors . . . . .2-5 .0801 Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-5 .0802 Election - When Held; Notice; Nominations . . . . . . . . .2-5 .0803 Election - Voting Procedures . . . . . . . . . . . . . . . . . . . . . .2-5 .0804 Procedures Governing Elections by Mail . . . . . . . . . . . . .2-5 .0805 Election and Appointment of State Bar Councilors . . . . .2-6 .0806 Procedures Governing Early Voting . . . . . . . . . . . . . . . . .2-6 .0807 Vacancies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0808 Bylaws Providing for Geographical Rotation or Division of Representation . . . . . . . . . . . . . . . . . . . . . . .2-6 Section .0900 Organization of the Judicial District Bars . . . . . . . . . . . .2-6 .0901 Bylaws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0902 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-6 .0903 Fiscal Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 Section .1000 Model Bylaws For Use by Judicial District Bars . . . . . . .2-7 .1001 Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1002 Authority and Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1003 Membership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1004 Officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1005 Councilor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-7 .1006 Annual Membership Fee . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1007 Meetings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1008 District Bar Finances . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1009 Prohibited Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1010 Committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-8 .1011 Board of Directors or Executive Committee . . . . . . . . . .2-9 .1012 Amendment of the Bylaws . . . . . . . . . . . . . . . . . . . . . . . .2-9 .1013 Selection of Nominees for District Court Judge . . . . . . .2-9 Section .1200 Filing Papers with and Serving the North Carolina State Bar . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1201 When Papers Are Filed Under These Rules and Regulations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2-10 Section .1400 Rulemaking Procedures . . . . . . . . . . . . . . . . . . . . . . . . .2-10 .1401 Publication for Comment . . . . . . . . . . . . . . . . . . . . . . .2-10 .1402 Review by the Executive Committee . . . . . . . . . . . . . . .2-10 .1403 Action by the Council and Review by the . . . . . . . . . . . . . . . North Carolina Supreme Court . . . . . . . . . . . . . . . . . . .2-10 Editor’s Note: The rules of the North Carolina State Bar are published official-ly in the North Carolina Reports and in Title 27 of the North Carolina Administrative Code. These rules were adopted by the North Carolina State Bar Council and approved by the North Carolina Supreme Court pursuant to N.C.G.S. §84-21. The rules that follow are codified in Chapter 1 of Title 27 of the NC Administrative Code; they govern the administration of the State Bar, including such things as the organization of the State Bar Council, mem-bership and dues requirements, procedures for the discipline of lawyers, and the regulation of organizations practicing law. They also contain the procedures for the various programs of the North Carolina State Bar, including the client secu-rity fund, continuing legal education, specialization, IOLTA (interest on lawyers’ trust accounts), and the Lawyer Assistance Program. The Rules of Professional Conduct, which are codified in Chapter 2 of Title 27 of the NC Administrative Code, follow the governing rules. A “History Note” after each rule sets forth the statutory authority for the rule. The date of original approval of the rule by the North Carolina Supreme Court is identified as the “Adopted” date. In 1994 all State Bar rules in exis-tence were reorganized and renumbered for accurate placement in the North Carolina Administrative Code. To accomplish this task, the Supreme Court approved the readoption of the rules on December 8, 1994. Therefore, “Readopted Effective December 8, 1994” appears after many of the rules. The date upon which an amendment to a rule was approved by the Supreme Court is identified by an “Amended” date. There may be multiple dates upon which a particular rule was amended. Subchap. 1A: 2-2 Section .0200 Membership - Annual Membership Fees .0201 Classes of Membership (a) Two Classes of Membership Members of the North Carolina State Bar shall be divided into two classes: active members and inactive members. (b) Active Members The active members shall be all persons who have obtained licenses entitling them to practice law in North Carolina, including persons serving as justices or judges of any state or federal court in this state, unless classified as inactive mem-bers by the council. All active members must pay the annual membership fee. (c) Inactive Members (1) The inactive members shall include: (A) all persons who have been admitted to the practice of law in North Carolina but who the council has found are not engaged in the practice of law or holding themselves out as practicing attorneys and who do not occu-py any public or private position in which they may be called upon to give legal advice or counsel or to examine the law or to pass upon the legal effect of any act, document, or law, and (B) those persons granted emeritus pro bono status by the council and allowed to represent indigent clients on a pro bono basis under the super-vision of active members working for nonprofit corporations organized pursuant to Chapter 55A of the General Statutes of North Carolina for the sole purpose of rendering legal services to indigents. (2) Inactive members of the North Carolina State Bar may not practice law, except as provided in this rule for persons granted emeritus pro bono status, and are exempt from payment of membership dues during the period in which they are inactive members. For purposes of the State Bar's member-ship records, the category of inactive members shall be further divided into the following subcategories: (A) Nonpracticing This subcategory includes those members who are not engaged in the practice of law or holding themselves out as practicing attorneys and who hold positions unrelated to the practice of law, or practice law in other jurisdictions. (B) Retired This subcategory includes those members who are retired from the practice of law and who no longer hold themselves out as practicing attorneys. A retired member must hold himself or herself out as a “Retired Member of the North Carolina State Bar” or by some similar designation, provided such designation clearly indicates that the attorney is “retired.” (C) Disability inactive status This subcategory includes members who suffer from a mental or physical condition which significantly impairs the professional judgment, perform-ance, or competence of an attorney, as determined by the courts, the coun-cil, or the Disciplinary Hearing Commission. (D) Disciplinary suspensions/disbarments This subcategory includes those members who have been suspended from the practice of law or who have been disbarred by the courts, the council, or the Disciplinary Hearing Commission for one or more violations of the Rules of Professional Conduct. (E) Administrative suspensions This subcategory includes those members who have been suspended from the practice of law, pursuant to the procedure set forth in Rule .0903 of subchapter 1D, for failure to fulfill the obligations of membership. (F) Emeritus pro bono status This subcategory includes those members who are permitted by the coun-cil to represent indigent persons under the supervision of active members who are employed by nonprofit corporations duly authorized to provide legal services to such persons. This status may be withdrawn by the coun-cil for good cause shown pursuant to the procedure set forth in Rule .0903 of subchapter 1D. History Note: Statutory Authority G.S. 84-16; G.S. 84-23 Readopted Effective December 8, 1994 Amendments Approved by the Supreme Court: March 6, 2008; March 6, 2014 .0202 Register of Members (a) Initial Registration with State Bar Every member shall register by completing and returning to the North Carolina State Bar a signed registration card containing the following informa-tion: (1) name and address; (2) date; (3) date passed examination to practice in North Carolina; (4) date and |
OCLC number | 34763727 |