9 Rule 16 Access to Disciplinary Information [Effective until July 1, 2026]

A. Confidentiality Prior to the Commencement of Formal Proceedings. Prior to the filing of formal disciplinary proceedings, all proceedings and communications in connection with a complaint shall be confidential within the program, unless confidentiality is waived by both the complainant and the respondent attorney, or is otherwise dispensed with for good cause by order of the Board chair. Good cause may include, but is not limited to, the need to protect the public by providing information to the Vermont Bar Association Client Security Fund.

B. Availability of Information after Filing of Formal Charges. All Professional Responsibility proceedings and all records pertaining thereto formally submitted to a hearing panel after the filing of formal charges or stipulation shall be public unless the complainant, disciplinary counsel, or respondent obtains from a hearing panel or the Board a protective order for specific testimony, documents, or records. Notwithstanding the above, the work product of the Board, hearing panel, and their counsel, as well as the deliberations of the hearing panel, Board, and Court shall remain confidential.

C. Proceedings Alleging Disability. Proceedings for transfer to or from disability inactive status are confidential. All orders transferring a lawyer to or from disability inactive status are public.

D. Proceedings for Interim Suspension. Proceedings seeking the interim suspension of a lawyer’s license are public. All orders suspending a lawyer’s license on an interim basis are public.

E. Protective Orders. In order to protect the interests of a complainant, witness, third party or respondent, the hearing panel to which a matter is assigned or the Board may, upon application and for good cause shown, issue a protective order prohibiting the disclosure of specific information and direct that the proceedings be conducted so as to implement the order, including requiring that the hearing and prehearing matters be conducted in such a way as to preserve the confidentiality of the information that is the subject of the application and may order that a transcript be sealed.

F. Request for Nonpublic Information.

(1) Requesting Agency. A request for nonpublic information shall be denied unless the request is from one of the following agencies:

(a) A lawyer or judicial admission or disciplinary agency of this or another jurisdiction; or

(b) Any agency or person to which the attorney has submitted a waiver of confidentiality.

(2) Notice to Lawyer. If the Board or hearing panel decides to provide nonpublic information requested, and if the lawyer has not signed a waiver permitting the requesting agency to obtain nonpublic information, the lawyer shall be notified in writing at the lawyer’s last known address of that information which has been requested and by whom. The notice shall advise the lawyer that the information shall be released at the end of twenty-one (21) days following mailing of the notice unless the lawyer obtains a Court order to prevent such disclosure.

(3) Release Without Notice. If an agency described above has not obtained a waiver from the lawyer to obtain nonpublic information, and requests that the information be released without giving notice to the lawyer, the requesting agency shall certify that:

(a) The request is made in furtherance of an ongoing investigation into misconduct by the lawyer;

(b) The information is essential to that investigation; and

(c) Disclosure of the existence of the investigation to the lawyer would seriously prejudice that investigation.

G. Duty of Staff. All officials and employees of the Professional Responsibility Program shall conduct themselves so as to maintain the confidentiality mandated by this rule.

H. Disclosure to Judicial Conduct Board. Nothing in these rules shall be construed to prohibit release to the Judicial Conduct Board of any information in the possession of the Professional Responsibility Board which it believes should be brought to the attention of the Judicial Conduct Board.