Local Rule Attorney Rule 6: COMMITTEE ON ATTORNEY ADMISSIONS, PEER REVIEW, AND ATTORNEY GRIEVANCE

RULE 6. COMMITTEE ON ATTORNEY ADMISSIONS, PEER REVIEW, AND ATTORNEY GRIEVANCE

(a) Establishment and Membership. There shall be an Ad Hoc Committee on Attorney Admissions, Peer Review, and Attorney Grievance (the "Committee"). The Committee shall consist of attorneys admitted to practice within this District. The Chief Judge shall appoint the members of the Committee. In addition to other considerations given by the Court in the establishment of the Committee, the diversity of the Bar of the Court and the geographic location of the members should also be weighed in the Court's selection of members of the Committee. The members shall serve renewable terms of three (3) years and shall be staggered so that approximately one-third of the members' terms expire each year. The Chief Judge shall select the Committee Chair. Selections shall be made by Administrative Order entered by the Chief Judge. Committee members shall serve at the pleasure of the Court, and the Chief Judge may extend or shorten any member's terms as the Court may determine is necessary for the effective operation of the Committee. The Committee shall not exceed twenty-five (25) members.

(b) Purpose. Subject to the direction of the Court, the Committee shall have the authority to perform the functions assigned by these Rules and shall otherwise assist the Court in the implementation and evaluation of these Rules. The Committee may not, under any circumstances, initiate any investigation of any matters without prior Court referral. Notwithstanding the foregoing, the Committee may investigate any related matters that arise during the Committee's investigation prompted by the initial referral and may consider filings in other District cases that demonstrate or reflect conduct similar to the conduct underlying the Court's referral. If the Committee has a question regarding the scope of its investigation, it may seek direction or an order from the Court.

(1) Peer Review. Because the Court and the Bar have a joint obligation to improve the level of professional performance in the courtroom, a primary objective of the Committee is to determine whether individual attorneys are failing to perform to an adequate level of competence necessary to protect the interests of their clients. In furtherance of that objective, the Committee shall have the authority to establish and administer a remedial program designed to improve the competence of an underperforming attorney; to refer an attorney to appropriate institutions and professional personnel for assistance; to determine, through evaluation, testing, or other appropriate means, whether an attorney who has been referred for assistance has attained an adequate level of competency; and to report to the Court an attorney who refuses to cooperate by participating in a remedial program, or fails to achieve an adequate level of competence within a reasonable time.

(2) Attorney Discipline. The other primary function of the Committee shall be to conduct investigations of alleged misconduct of any attorney-whether a member of the Bar of this Court or not; to conduct and preside over disciplinary hearings when appropriate and as hereinafter provided; and to submit written findings and recommendations for appropriate action by the Court, except as otherwise described herein.

(A) Standards for Professional Conduct. Acts and omissions by an attorney admitted to practice before this Court, individually or in concert with any other person or persons, which violate the Rules of Professional Conduct, Chapter 4 of the Rules Regulating The Florida Bar ("Rules of Professional Conduct"), shall constitute "misconduct" and shall be grounds for discipline, regardless of whether the act or omission occurred in the course of an attorney/client relationship. Attorneys practicing before this Court shall be governed by this Court's Local Rules, including this Court's Rules Governing the Admission, Practice, Peer Review, and Discipline of Attorneys, and by the Rules of Professional Conduct, except as otherwise provided by specific Rule of this Court. (All of the foregoing shall sometimes collectively be referred to as the "Standards of Professional Conduct.")

(B) Discipline. Discipline for misconduct defined in these Rules may consist of (1) disbarment; (2) suspension; (3) reprimand; (4) monetary sanctions; (5) removal from this Court's roster of attorneys eligible for practice before this Court; or (6) referral to the Florida Bar or other bar if the attorney is admitted pro hac vice, or (7) any other sanction the Court may deem appropriate.

(C) Court's Retention of Inherent Power. Nothing contained in these Rules shall be construed to deny the Court its inherent power to maintain control over the proceedings conducted before it or to deny the Court those powers derived from statute, rule, or procedure. When alleged attorney misconduct is brought to the attention of the Court, whether by a Judge of the Court, any lawyer admitted to practice before the Court, any officer or employee of the Court, the Supreme Court of Florida, or otherwise, the Court may, in its discretion, dispose of the matter through the use of its inherent, statutory, or other powers; refer the matter to an appropriate state bar agency for investigation and disposition; refer the matter to the Committee; or take any other action the Court deems appropriate. These procedures are not mutually exclusive.

(c) Procedures.

(1) Internal Referral. Any District Judge, Magistrate Judge, or Bankruptcy Judge may, in the Judge's discretion, refer in writing to the Committee the name of any attorney whose alleged misconduct either: (a) raises a significant question as to the adequacy of such attorney's ability to represent clients in a competent manner (see Rule 6(b)(1) Peer Review); and/or (b) whose alleged misconduct may violate the Standards for Professional Conduct (see Rule 6(b)(2)(A)). Each referral shall document the facts giving rise to the referral. Unless the referral so directs, the Committee shall have the discretion to in its Final Report and Recommendation to the Court whether the Committee considers the matter to be categorized as Peer Review or Attorney Discipline, or both.

(2) Investigation and Proceedings. Promptly after receipt of such a referral, the Chair of the Committee shall select an Investigative Committee consisting of at least three members. The Investigative Committee may request that the referred attorney meet with it informally to explain the circumstances that gave rise to the referral. It may also conduct such investigations as it deems appropriate. Following its investigation, the Investigative Committee shall report its findings and recommendations to the Committee and the Committee may, at its discretion, further investigate, including but not limited to having the attorney appear before the Committee. If the Committee determines that additional investigation is not warranted the Committee shall document its findings in a Final Report and Recommendation to the Court and close its investigation unless the Court directs the Committee otherwise. No further action shall be taken unless the Court takes exception to the findings. Upon closing a referred matter, the Chair shall notify the referring Judge, Chief Judge, Clerk of Court, and the attorney. If the Committee does not recommend closing the referred matter at this point, the Clerk of Court shall assign a case number to the matter, and it shall proceed to additional proceedings as described below.

(A) Peer Review –

i. If the Committee determines that the attorney's conduct raises a significant question as to the adequacy of such attorney's ability to represent clients competently, it shall report its findings to the Chief Judge, Clerk of Court, and the attorney and describe the recommended remedial program designed to raise the competence of the attorney. The remedial program can include, but is not limited to, ordering mandatory participation in continuing legal education programs and participation in group and individual study programs, referring the attorney to appropriate institutions and professional personnel for assistance in raising his or her level of competency, requiring the attorney obtain co-counsel in matters before the Court, and, if the attorney's lack of competency relates to drug or alcohol abuse, requiring the attorney to seek treatment for that condition and requiring the attorney to submit periodic reports from the individuals responsible for such treatment.

ii. If the attorney objects to the Committee's findings or recommendations, the attorney shall have the right to, within fourteen (14) days of receipt of the Committee's Proposed Report and Recommendation, serve a written response seeking revision or revocation of, or suggesting alternatives to, the findings or proposed recommendations. The Committee shall consider the attorney's response and thereafter, the Committee shall issue its Final Report and Recommendation to the Court.

iii. The Committee is authorized to monitor the attorney's progress to ensure that it is consistent with the Court's Order adopting the Committee's Final Report and Recommendation, in whole or in part. It may make such interim reports or periodic reports relative to its activities as requested by the Court. Upon completion of the Committee's activities with respect to each attorney referred by the Court, the Committee shall serve upon the attorney and file with the Court its Supplemental Report and Recommendation, which shall document the Committee's evaluation, testing, or other appropriate means used to determine whether the attorney attained an adequate level of competency or failed to do so. If the Committee finds that the attorney has not complied with the Court's order and there is a substantial likelihood that the attorney's continued practice of law may result in serious harm to the attorney's clients, the Committee may undertake further proceedings or recommendations pursuant to section (B), infra.

(B) Discipline –

i. If the Committee determines that probable cause exists to support a finding that the attorney has violated the Standards for Professional Conduct it shall provide the attorney with a written Proposed Report and Recommendation specifying: (1) its findings of fact supporting a finding of misconduct; and (2) its proposed recommendations for the disciplinary measures to be applied by the Court. The Proposed Report and Recommendation shall notify the attorney of the attorney's rights and obligations under these Rules.

ii. An attorney who objects to the Committee's Proposed Report and Recommendation shall have the right, within fourteen (14) days of receipt of the Committee's Proposed Report and Recommendation, to serve a written response seeking revision or revocation of, or suggesting alternatives to, the recommendation, and/or requesting a hearing before the Committee, if a hearing was previously not held.

iii. If the attorney does not serve a written response within fourteen (14) days, the Committee shall serve the attorney and file with the Court its Final Report and Recommendation, noting that the attorney failed to respond, and shall apply to the Court for the issuance of an order requiring the attorney to show cause within fourteen (14) days after service of that order why the Court should not accept the Committee's Final Report and Recommendation.

iv. If the attorney serves a written response and simultaneously requests a hearing on the issues raised in the written response, the Committee may or may not, in its discretion, hold a hearing on the response. If no such hearing is requested, the Committee shall review the response and submit its Final Report and Recommendation to the Court. If the attorney fails to appear at a scheduled hearing, then the Committee shall take the steps outlined in subsection (B)(iii), supra.

v. If the referred attorney appears for any hearing before the Committee, the attorney shall be entitled to be represented by counsel, to present witnesses and other evidence on his or her behalf, and to confront and cross examine witnesses against the attorney. The attorney does not have the right to confront or cross examine members of the Court or members of the Committee.

vi. The disciplinary proceedings before the Committee shall be guided by the Federal Rules of Evidence. The Committee may consider and may take judicial notice of any filings in the case in which the referred attorney appeared and which case gave rise to the referral, and the discipline record of the referred attorney with The Florida Bar or any other bar to which the referred attorney is a member. The Committee may call the referred attorney as a witness to make specific and complete disclosure of all information material to the charge of misconduct, although the attorney may assert any privilege or right properly available to the attorney under applicable federal or state law. Upon the conclusion of a first hearing, the Committee shall serve the attorney and file with the Court is Proposed Report and Recommendation, and at the conclusion of a second hearing, if any, the Committee shall serve the attorney and file with the Court its Final Report and Recommendation.

vii. Upon receipt of the Committee's Final Report and Recommendation, the Chief Judge shall issue an order requiring the attorney to show cause within fourteen (14) days why the Committee's Final Report and Recommendation should not be adopted by the Court. The Chief Judge may, after considering the attorney's response, by majority vote of the active District Judges thereof, adopt, modify, or reject the Committee's findings that misconduct occurred, and may either impose those sanctions recommended by the Committee or fashion whatever penalties provided by the rules which the Court deems appropriate.

(3) Relationship Between Peer Review and Attorney Discipline Functions and Procedures. Unless otherwise ordered by the Chief Judge, the Committee has discretion treat the referral as one focusing on peer review, focusing on disciplinary action or both. This discretion continues throughout the proceedings to allow the Committee the flexibility to fashion its Report and Recommendation as it may determine, depending on the facts discovered during the investigation. In the event a State or Federal Bar is investigating the same or similar action of the attorney under review by the Committee the Committee may consider those facts and may recommend to the Court to stay the proceedings pending the resolution of the other body's investigation. If the Court approves of the stay, the attorney must immediately notify the Court by written notice when the investigation is concluded. Any deadlines imposed under these rules will resume upon receipt of the notice.

(4) Timing; Transmittals, Hearings. Within one hundred and eighty (180) days of receipt of the referral, unless additional time is requested for good cause, the Committee shall submit its Final Report and Recommendation to the Court, setting forth, inter alia, the procedures undertaken and under which rule(s); what standard(s) of professional conduct have been violated, if any, or competency questioned; recommendations as to remedial or disciplinary measures to be applied; and a recommendation regarding the next steps that the Court should take. The Committee shall include its findings of fact as to the charges of misconduct, recommendations regarding whether the accused attorney should be found guilty of misconduct justifying disciplinary actions by the Court, and recommendations as to the disciplinary measures to be applied by the Court. The Final Report and Recommendation shall be accompanied by a transcript of the proceedings before the Committee, all pleadings, and all evidentiary exhibits. Unless otherwise set by Court Order, any hearing to be conducted by the Committee shall be held in person or by video conference, as determined at the discretion of the Chair.

(5) Interim Restrictions on Practice. If the Committee finds that there is a substantial likelihood that the attorney's continued practice of law may result in serious harm to the attorney's clients pending completion of an investigation, it may recommend that the Court limit or otherwise impose appropriate restrictions on the attorney's continued practice in the District.

(d) Immunity. Any Committee determination that a referred attorney is adequately competent does not render the Committee potentially liable as a guarantor of the validity of that determination. The Committee is not liable for the misconduct or non-conduct of any referred attorney. Unauthorized disclosure of confidential information is outside the Committee's responsibilities. While serving in their official capacities, the Committee members shall be considered representatives of and acting under the powers and immunities of the Court, and shall enjoy all such immunities while acting in good faith and in their official capacities.

(e) Obligation to Cooperate with Committee. Any member of the bar of this Court, who is referred to the Committee for any reason shall regard it to be an obligation as an officer of this Court to cooperate fully with the Committee, which exists as an official arm of the Court. Any failure to cooperate and/or to meet any deadline imposed by the rules, the Committee, or the Court, without good cause shown, shall be reported to the Chief Judge and recorded in the records of the Committee and may constitute separate grounds for disciplinary action, including suspension or disbarment.

(f) Confidentiality. All matters referred to the Committee, all information in the possession of the Committee and all recommendations or other actions taken by the Committee are matters relating to the administration of the Court and shall be confidential, and shall be disclosed only by order of the Court. Correspondence, records and all written material coming to the Committee shall be retained in an office designated by the Court and are documents of the Court and shall be kept confidential unless the Court directs otherwise. No statement made by the attorney to the Committee shall be admissible in any action for malpractice against the attorney, nor shall any part of the Committee's investigative files be admissible in such proceedings. No statement made by the attorney to the Committee shall be admissible in any 28 U.S.C. § 2255 collateral attack for incompetency of counsel in a criminal case, nor shall any part of the Committee's investigative files be admissible in proceedings under 28 U.S.C. § 2255. Likewise, any information given by a client of the attorney to the Committee shall be privileged to the same extent as if the statements were made by the client to the attorney.

(g) Notice. All referrals, orders, and recommendations shall be provided to the Chief Judge, referring judge, attorney, and the Clerk of Court, unless otherwise specified. Any resulting orders shall be served in accordance with Rule 16.

Effective December 1, 1994. Amended effective April 15, 1996; April 15, 2002; April 15, 2007; April 15, 2010; December 1, 2015; December 1, 2017; December 2, 2019; December 1, 2025.