9 Rule 6 Inquiries and Referrals

Bar Counsel will respond to all inquiries and referrals.

A. Legal Ethics Inquiries. In response to an inquiry related to the Rules of Professional Conduct, law practice management, or a lawyer or judge’s professionalism or professional responsibilities, Bar Counsel will provide the inquirer with:

(1) the appropriate referral, educational materials, or guidance; or

(2) the preventive advice and information necessary to assist lawyers and judges to achieve, maintain, and enhance professional competence and professional responsibility.

B. Informal Referrals and Compliance Agreements.

(1) Informal Referral. Upon receiving an informal referral, Bar Counsel may take any action authorized by Rule 5. Bar Counsel’s response to an informal referral may include, but is not limited to:

(a) contacting the subject of the referral and providing guidance, advice, referrals, education material, or information as to the lawyer or judge’s professional competence and professional responsibility;

(b) with the consent of the lawyer or judge who is the subject of the referral, referring the matter to an Assistance Panel to review pursuant to Rule 7;

(c) investigating, planning, and assisting in appropriately timed interventions with lawyers and judges in need of assistance;

(d) assisting lawyers and judges in need of assistance to secure the counseling, treatment, aftercare, and monitoring services referenced in Rule 5.G, 5.H, and 5.I; and

(e) entering into compliance agreements.

(2) Compliance Agreements.

(a) The lawyer or judge who is the subject of the referral may enter a compliance agreement with Bar Counsel.

(b) The failure to comply with a compliance agreement authorized by this rule will not be grounds for a referral to Disciplinary Counsel, the Judicial Conduct Board, or any other disciplinary person or organization.

(c) Demonstrated compliance with a compliance agreement authorized by this rule may be used to mitigate against any charge that the lawyer or judge violated the Rules of Professional Conduct or the Vermont Code of Judicial Conduct.

C. Formal Referrals for Behavioral Health Issues. Any matter or complaint referred to the Bar Assistance Program by Bar Counsel, Disciplinary Counsel, a hearing panel, the Character and Fitness Committee, or the Judicial Conduct Board in which the purpose of the referral is to address issues related to a lawyer or judge’s behavioral health must be reviewed by an Assistance Panel pursuant to Rule 7.

D. Nonbehavioral Health Referrals. A complaint that does not involve a behavioral health issue may be referred to the Bar Assistance Program by Bar Counsel pursuant to Rule 12.B(2) or by Disciplinary Counsel pursuant to Rule 13.B. Upon receiving such a referral, Bar Counsel may resolve the complaint in a manner authorized by Rule 6.A or refer the matter to an Assistance Panel for nondisciplinary resolution pursuant to Rule 7.