1974 Revised Code of Washington Volume 0 part 2: Rules of Court Part I - III
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RULES OF COURT
ADOPTED BY THE SUPREME COURT OF THE
STATE OF WASHINGTON
PREFACE
1.
IN THE SUPREME COURT OF THE STATE OF
WASHINGTON
Table of Contents
IN THE MATIER OF THE ADOPTION
OF RULES BY THE SUPREME COURT
41 OF THE STATE OF WASHINGTON.
PREFACE
PART
I.
PART II.
PART III.
RULES OF GENERAL APPLICATION
General Rules (GR)
Code of Judicial Conduct (CJC)
Code of Professional Responsibility (CPR)
Admission to Practice Rules (APR)
Discipline Rules for Attorneys (DRA)
RULES FOR SUPERIOR COURT
Supreme Court Administrative Rules
(SAR)
Supreme Court Rules on Appeal (ROA)
RULES FOR COURT OF APPEALS
Court of Appeals Administrative Rules
(CAR)
Court of Appeals Rules on Appeal
(CAROA)
PART
IV. RULES FOR SUPERIOR COURT
Superior Court Administrative Rules (AR)
Superior Court Civil Rules (CR)
Superior Court Special Proceedings Rules
(SPR)
Superior Court Criminal Rules (CrR)
Superior Court Mental Proceedings Rules
(MPR)
Juvenile Court Rules (JuCR)
V. RULES FOR COURTS OF LIMITED
JURISDICTION
Justice Court Administrative Rules (JAR)
Justice Court Civil Rules (JCR)
Justice Court Criminal Rules (JCrR)
Justice Court Traffic Rules (JTR)
Appendix to Part V
INDEX TO PART V
}
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The Supreme Court of the state of Washington, in
conformity with its rule-making power, hereby adopts,
prescribes and promulgates the following:
Rules peculiar to the business of the supreme court;
Rules on appeal;
Rules of pleading, procedure and practice;
General rules of the superior courts;
A code of ethics;
Rules for admission to practice; and
Rules for the discipline of attorneys.
These rules are prescribed and promulgated by this
court by virtue of and under the authority conferred on
it by the constitution of the state of Washington.
This court reserves the power granted to it by the
constitution to prescribe from time to time the forms of
writs and all other process; the mode and manner of
framing and filing of proceedings and pleadings; of giving notice and serving writs and process of all kinds; of
taking and obtaining evidence; of drawing up, entering
and enrolling orders and judgments; and generally to
regulate and prescribe by rule the forms for and the
kind and character of the entire pleading, practice and
procedure to be used in all suits, actions, appeals and
proceedings of whatever nature by itself, the superior
courts and justices of the peace of the state of
Washington.
These rules will take effect on the 2nd day of January, 1951, and thereafter all laws and rules in conflict
therewith shall be of no further force or effect.
2.
Order Adopting Rules for Admission to Practice-January 29, 1965. (See footnote following
Admission to Practice Rules, Rule l.)
3.
Order Adopting Rules for Discipline of Attorneys--June 16, 1965. (See footnote following
Discipline Rules for Attorneys, Rule I.)
4.
Order Adopting Revision of Rules on Appeal Rule
42--June 28, 1965. (See footnote following
Rules on Appeal, Rule 42.)
5.
Order Superseding the Existing Rules on Appeal,
Rules 46, 47 and 55(g)--May 4, 1966. (See footnote following Rules on Appeal, Rule 46.)
INDEX TO PARTS I-IV
PART
Order adopting rules, November 22, 1950.
(Prerace-;t 1)
Preface
6.
Order Establishing Special Account for Indigent
Appeals--May 24, 1966. (See footnote following
Rules on Appeal, Rule 55.)
"When and as the rules of court herein authorized shall be
promulgated all laws in conflict therewith shall be and become of
no further force and effect."
1.
Order Adopting Rules of Court--May 5, 1967.
(See Appendix to Part IV.)
8.
Order Correcting and Amending the Order Adopting Rules-June 28, 1967. (See Appendix to
Part IV.)
Note also similar language contained in the adoptive
order published herein, and the language contained in
the Foreword appearing in Vol. 34 (2d) of the Washington Reports which states
9.
Orders Relating to Courts of Limited Jurisdiction.
(See Appendix to Part V.)
10.
History Notes, Cross Reference Notes, and Index
Entries.
(1) The history notes, which are set forth in brackets
following each rule, refer to adoptive and effective dates
commencing with November 22, 1950 and January 2,
1951, which are, respectively, the adoptive and effective
dates of the recompilation of court rules published in 34
Wn. (2d). Rules of court in effect prior to January 2,
1951, are published in the Washington Reports as
follows:
25 Wash.
51 Wash.
63 Wash.
71 Wash.
81 Wash.
82 Wash.
124 Wash.
140 Wash.
143 Wash.
150 Wash.
157 Wash.
159 Wash.
169 Wash.
(1901)
(1909)
(1911)
(1913)
(1914)
(1915)
(1923)
(l 926)
(1927)
(l 929)
(1930)
(1931)
(1933)
178 Wash. (1935)
186 Wash. (1937)
193 Wash. (1938)
6 Wn. (2d) (1941)
11 Wn. (2d) (1942)
15 Wn. (2d) (1943)
16 Wn. (2d) (1943)
17 Wn. (2d) (1943)
18 Wn. (2d) (1944)
23 Wn. (2d) (1945)
32 Wn. (2d) (1949)
34 Wn. (2d) (1951)
(2) A major change in the rules of court was adopted
May 5, 1967, further amended June 28, 1967, and became effective July l, 1967. The changes are incorporated herein and also appear in 71 Wn. (2d) (1967).
Rules of court adopted or amended prior to July I,
1967 and subsequent to the January 2, 1951, recompilation are published in the Washington Reports as
follows:
44 Wn.
45 Wn.
46 Wn.
47 Wn.
48 Wn.
49 Wn.
51 Wn.
52 Wn.
54 Wn.
55 Wn.
(2d) (1954)
(2d) (1955)
(2d) (I 955)
(2d) (1955)
(2d) (1956)
(2d) (1957)
(2d) (1958)
(2d) (1959)
(2d) (1960)
(2d) (1960)
57 Wn.
59 Wn.
61 Wn.
63 Wn.
65 Wn.
66 Wn.
67 Wn.
68 Wn.
69 Wn.
70 Wn.
(2d)
(2d)
(2d)
(2d)
(2d)
(2d)
(2d)
(2d)
(2d)
(2d)
(1961)
(1962)
(1963)
(1964)
(1965)
(1965)
(1966)
(1966)
(1966)
(1967)
(3) Cross reference notes, referring to the statutes,
have been inserted following some of the rules. Note
however the provisions of chapter l 18, Laws of 1925,
ex. sess. (RCW 2.04.180-2.04.200) and particularly section 2 thereof (RCW 2.04.200) to the effect that
!Preface--;> 2)
" ... In this volume the members of the bench and bar will find
all of the rules and regulations which have to do with appeals to
this court, so that, in taking the necessary steps to perfect an appeal, attorneys will not have to refer to other than this volume."
(4) Index entries: The rules of court are indexed separately from the main RCW Subject Index. The index
for parts I, II, Ill and IV of Rules of Court may be
found following part IV, while the index to part V
(Rules for Courts of Limited Jurisdiction) may be found
following part V.
Part I
RULES OF GENERAL APPLICATION
Title of Rules
Formerly
Abbreviation
General Rules ................... (GR)
Code of Judicial Conduct ......... (CJC)
(CJE)
Code of Professional Responsibility (CPR)
(CPE)
Admission to Practice Rules ....... (APR)
(RAP)
Discipline Rules for Attorneys ..... (DRA)
(RDA)
Abbreviation
Title of Rules
PART V. RULES FOR COURTS OF LIMITED
JURISDICTION
Justice
Justice
Justice
Justice
Court Administrative Rules ............. JAR
Court Civil Rules ...................... JCR
Court Criminal Rules .................. JCrR
Court Traffic Rules .................... JTR
[Adopted June 28, 1967, effective July l, 1967; amended, adopted Jan. 31, 1974, effective July 1, 1974.]
GENERAL RULES (GR)
Table of Con ten ts
RULE 1
CODE OF JUDICIAL CONDUCT (CJq
Classification System for Court Rules
Table of Contents
Rule 1 Classification system for court rules
PART I. RULES OF GENERAL APPLICATION
Title of Rules
Abbreviation
General Rules ................................ GR
Code of Judicial Conduct ..................... CJC
Code of Professional Responsibility ............ CPR
Admission to Practice Rules . . . . . . . . . . . . . . . . . . . APR
Discipline Rules for Attorneys ................ DRA
PART II. RULES FOR SUPREME COURT
PREAMBLE
1.
2.
Compliance with the Code of Judicial Conduct
Effective Date of Compliance
CANON 1.
A JUDGE SHOULD UPHOLD THE
INTEGRITY AND INDEPENDENCE
OF THE JUDICIARY
CANON 2.
A JUDGE SHOULD AVOID IMPROPRIETY AND THE APPEARANCE OF
IMPROPRIETY
IN
ALL
HIS
ACTIVITIES
CANON 3.
A JUDGE SHOULD PERFORM THE
DUTIES OF HIS OFFICE IMPARTIALLY AND DILIGENTLY
Supreme Court Administrative Rules . . . . . . . . . . . SAR
Supreme Court Rules on Appeal . . . . . . . . . . . . . . ROA
PART III. RULES FOR COURT OF APPEALS
Court of Appeals Administrative Rules ......... CAR
Court of Appeals Rules on Appeal .......... CAROA
A
B.
C.
D.
CANON 4.
A JUDGE MAY ENGAGE IN ACTIVITIES TO IMPROVE THE LAW, THE
LEGAL SYSTEM, AND THE ADMINISTRATION OF JUSTICE
CANON 5.
A JUDGE SHOULD REGULATE HIS
EXTRA-JUDICIAL ACTIVITIES TO
MINIMIZE THE RISK OF CONFLICT
WITH HIS JUDICIAL DUTIES
Adjudicative Responsibilities
Administrative Responsibilities
Disqualification
Remittal of Disqualification
PART IV. RULES FOR SUPERIOR COURT
Superior Court Administrative Rules ............ AR
Superior Court Civil Rules . . . . . . . . . . . . . . . . . . . . . CR
Superior Court Special Proceedings Rules ....... SPR
Superior Court Criminal Rules ................. CrR
Superior Court Mental Proceedings Rules . . . . . . MPR
Juvenile Court Rules . . . . . . . . . . . . . . . . . . . . . . . . JuCR
A
B.
C.
Avocational Activities
Civic and Charitable Activities
Financial Activities
(Rules of General App1ication--p 1)
Digest
Rules of General Application
D. Fiduciary Activities
E. Arbitration
F. Practice of Law
G. Extra-judicial Appointments
CANON 6.
A.
B.
C.
Compensation
Expense Reimbursement
Public Reports
CANON 7.
A.
B.
A JUDGE SHOULD REGULARLY
FILE REPORTS OF COMPENSATION
RECEIVED FOR QUASI-JUDICIAL
AND EXTRA-JUDICIAL ACTIVITIES
A JUDGE SHOULD REFRAIN FROM
POLITICAL ACTIVITY INAPPROPRIATE TO HIS JUDICIAL OFFICE
Political Conduct in General
Campaign Conduct
PREAMBLE
1. Compliance with the Code of Judicial Conduct.
Anyone, whether or not a lawyer, who is an officer of a
judicial system performing judicial functions, including
an officer such as a referee in bankruptcy, special
master, court commissioner, or magistrate, is a judge for
the purpose of this Code. All judges should comply with
this Code except as provided below.
A. Part-time Judge. A part-time judge is a judge who
serves on a continuing or periodic basis, but is permitted by law to devote time to some other profession or
occupation and whose compensation for that reason is
less than that of a full-time judge. A part-time judge:
(1) is not required to comply with Canon 5C(2), D, E,
F, and G, and Canon 6C;
(2) should not act as a lawyer in a proceeding in
which he has served as a judge or in any other proceeding related thereto.
B. Judge Pro Tempore. A judge pro tempore is a
person who is appointed to act temporarily as a judge.
(1) While acting as such, a judge pro tempore is not
required to comply with Canon 5C(2), (3), D, E, F, and
G, and Canon 6C.
(2) A person who has been a judge pro tempore
should not act as a lawyer in a proceeding in which he
has served as a judge or in any other proceeding related
thereto.
C. Retired Judge. If a retired appellate court judge
engages in the practice of law, he shall be ineligible to
serve as a judge pro tempore of an appellate court.
2. Effective Date of Compliance. A person to whom
this Code becomes applicable should arrange his affairs
as soon as reasonably possible to comply with it. If,
however, the demands on his time and the possibility of
conflicts of interest are not substantial, a person who
holds judicial office on the date this Code becomes effective may:
(a) continue to act as an officer, director, or non-legal
advisor of a family business;
[Rules of General Application--p 2)
(b) continue to act as an executor, administrator,
trustee, or other fiduciary for the estate or person of one
who is not a member of his family. [Adopted Oct. 31,
1973, effective Jan. I, 1974; l(C), amended, adopted
June 19, 1974, effective July 1, 1974; PRIOR Canons of
Judicial Ethics, adopted Nov. 22, 1950, effective Jan. 2,
1951.]
CANON 1
A
JUDGE SHOULD UPHOW THE
INTEGRITY
AND
INDEPENDENCE OF THE JUDIOAllY
An independent and honorable judiciary is indispensable to justice in our society. A judge should participate in establishing, maintaining, and enforcing, and
should himself observe, high standards of conduct so
that the integrity and independence of the judiciary
may be preserved. The provisions of this Code should
be construed and applied to further that objective.
[Adopted Oct. 31, 1973, effective Jan. 1, 1974; PRIOR
Canons of Judicial Ethics, adopted Nov. 22, 1950, effective Jan. 2, 1951.]
CANON 2
A JUDGE
SHOULD AVOID IMPROPRIETY AND THE
APPEAllANCE OF IMPROPRIETY IN ALL ms ACTIVITIES
A. A judge should respect and comply with the law
and should conduct himself at all times in a manner
that promotes public confidence in the integrity and
impartiality of the judiciary.
B. A judge should not allow his family, social, or
other relationships to influence his judicial conduct or
judgment. He should not lend the prestige of his office
to advance the private interests of others; nor should he
convey or permit others to convey the impression that
they are in a special position to influence him. He
should not testify voluntarily as a character witness.
Commentary: Public confidence in the judiciary is eroded by irresponsible or improper conduct by judges. A judge must avoid
all i.Jllpropriety and appearance of impropriety. He must expect
to be the subject of constant public scrutiny. He must therefore
accept restrictions on his conduct that might be viewed as burdensome by the ordinary citizen and should do so freely and
willingly.
The testimony of a judge as a character witness injects the prestige of his office into the proceeding in which he testifies and may
be misunderstood to be an official testimonial. This Canon, however, does .not afford him a privilege against testifying in response
to an official summons.
[Adopted Oct. 31, 1973, effective Jan. 1, 1974; PRIOR
Canons of Judicial Ethics adopted Oct. 31, 1950, effective Jan. 2, 195 l.]
CANON3
A JUDGE
SHouw PERFORM THE DUTIES OF ms OmCE
IMPAllTIALLy AND DillGENILy
The judicial duties of a judge take precedence over
all his other activities. His judicial duties include all the
duties of his office prescribed by law. In the performance of these duties, the following standards apply:
A. Adjudicative Responsibilities.
Canon 3
Code of Judicial Conduct (CJC)
(I) A judge should be faithful to the law and maintain professional competence in it. He should be unswayed by partisan interests, public clamor, or fear of
criticism.
(2) A judge should maintain order and decorum in
proceedings before him.
(3) A judge should be patient, dignified, and courteous to litigants, jurors, witnesses, lawyers, and others
with whom he deals in his official capacity, and should
require similar conduct of lawyers, and of his staff,
court officials, and others subject to his direction and
control.
Commentary: The duty to hear all proceedings fairly and with
patience is not inconsistent with the duty to dispose promptly of
the business of the court. Courts can be efficient and businesslike while being patient and deliberate.
(4) A judge should accord to every person who is legally interested in a proceeding, or his lawyer, full right
to be heard according to law, and, except as authorized
by law, neither initiate nor consider ex parte or other
communications concerning a pending or impending
proceeding. A judge, however, may obtain the advice of
a disinterested expert on the law applicable to a proceeding before him, by amicus curiae only, if he affords
the parties reasonable opportunity to respond.
Commentary: The proscription against communications concerning a proceeding includes communications from lawyers, law
teachers, and other persons who are not participants in the proceeding, except to the limited extent permitted. It does not preclude a judge from consulting with other judges, or with court
personnel whose function is to aid the judge in carrying out his
adjudicative responsibilities.
An appropria.te and often desirable procedure for a court to obtain the advice of a disinterested expert on legal issues is to invite
him to file a brief amicus curiae.
(5) A judge should dispose promptly of the business
of the court.
Commentary: Prompt disposition of the court's business requires
a judg~ to devote adequate time to his duties, to be punctual in
atten~g court and expeditious in determining matters under
subm1ss1on, and to insist that court officials, litigants and their
lawyers cooperate with him to that end.
(6) A judge should abstain from public comment
about a pending or impending proceeding in any court,
and should require similar abstention on the part of
court personnel subject to his direction and control.
This. subsection d?es not prohibit judges from making
publlc statements m the course of their official duties or
from explaining for public information the procedures
of the court.
Commentary: "Court personnel" does not include the lawyers in
a proceeding before a judge. The conduct of lawyers is governed
by DR 7-107 of the Code of Professional Responsibility.
(7) ~ judge should prohibit broadcasting, televising,
recordm!?, or taking photographs in the courtroom and
areas adjacent thereto during sessions of court or recesses. between sessions, except that a judge may
authonze:
(a) the use of electronic or photographic means for
the presentation of evidence, for the perpetuation of a
record, or for other purposes of judicial administration;
(b) the broadcasting, televising, recording, or photographing of investitive, ceremonial, or naturalization
proceedings;
(c) the photographic or electronic recording and reproduction of appropriate court proceedings under the
following conditions:
(i) the means of recording will not distract participants or impair the dignity of the proceedings;
(ii) the parties have consented, and the consent to
being depicted or recorded has been obtained from
each witness appearing m the recording and
reproduction;
(iii) the reproduction will not be exhibited until aft.er
the proceeding has been concluded and all direct appeals have been exhausted; and
(iv) the reproduction will be exhibited only for instructional purposes in educational institutions.
Commentary: Temperate conduct of judicial proceedings is essential to the fair administration of justice. The recording and
reproduction of a proceeding should not distort or dramatize the
proceeding.
B. Administrative Responsibilities.
(I) A judge should diligently discharge his administrative responsibilities, maintain professional competence in judicial administration, and facilitate the
performance of the administrative responsibilities of
other judges and court officials.
(2) A judge should require his staff and court officials
subject to his direction and control to observe the
standards of fidelity and diligence that apply to him.
(3) A judge should take or initiate appropriate disciplinary measures against a lawyer for unprofessional
conduct of which the judge may become aware.
Commentary: Disciplinary measures may include reporting a
lawyer's misconduct to an appropriate disciplinary body.
(4) A judge should not make unnecessary appointments. He should exercise his power of appointment
only on the basis of merit, avoiding nepotism and favoritism. He should not approve compensation of appointees beyond the fair value of services rendered.
Commentary: Appointees of the judge include officials such as
!'eferees, commissioners, special masters, receivers, guardians and
personnel such as clerks, secretaries, and bailiffs. Consent by the
parties to an appointment or an award of compensation does not
relieve the judge of the obligation prescribed by this subsection.
C. Disqualification.
(I) A judge should disqualify himself in a proceeding
in which his impartiality might reasonably be questioned, including but not limited to instances where:
(a) he has a personal bias or prejudice concerning a
party, or personal knowledge of disputed evidentiary
facts concerning the proceeding;
(b) he served as lawyer in the matter in controversy,
or a lawyer with whom he previously practiced law
served during such association as a lawyer concerning
the matter, or the judge or such lawyer has been a material witness concerning it;
Commentary: A lawyer in a governmental agency does not necessarily have an association with other lawyers employed by that
agency within the meaning of this subsection; a judge formerly
employed by a governmental agency, however, should disqualify
!Rules of General
Appliaation--p 3)
Canon 3
Rules of General Application
himself in a proceeding if his impartiality might reasonably be
questioned because of such association.
(c) he knows that he, individually or as a fiduciary, or
his spouse or minor child residing in his household, has
a financial interest in the subject matter in controversy
or in a party to the proceeding, or any other interest
that could be substantially affected by the outcome of
the proceeding;
(d) he or his spouse, or a person within the third degree of relationship to either of them, or the spouse of
such a person:
(i) is a party to the proceeding, or an officer, director,
or trustee of a party;
(ii) is acting as a lawyer in the proceeding;
Commentary: The fact that a lawyer in a proceeding is affiliated
with a law firm with which a lawyer-relative of the judge is affiliated does not of itself disqualify the judge. Under appropriate
circumstances, the fact that "his impartiality might reasonably be
questioned" under Canon 3C(l), or that the lawyer-relative is
known by the judge to have an interest in the law firm that could
be "substantially affected by the outcome of the proceeding" under Canon 3C(l)(d)(iii) may require his disqualification.
(iii) is known by the judge to have an interest that
could be substantially affected by the outcome of the
proceeding;
(iv) is to the judge's knowledge likely to be a material
witness in the proceeding;
(2) A judge should inform himself about his personal
and fiduciary financial interests, and make a reasonable
effort to inform himself about the personal financial interests of his spouse and minor children residing in his
household.
(3) For the purposes of this section:
(a) the degree of relationship is calculated according
to the civil law system;
Commentary: According to the civil law system, the third degree
of relationship test would, for example, disqualify the judge if his
or his spouse's father, grandfather, uncle, brother, or niece's husband were a party or lawyer in the proceeding, but would not
disqualify him if a cousin were a party or lawyer in the
proceeding.
(b) "fiduciary" includes such relationships as executor, administrator, trustee, and guardian;
(c) "financial interest" means ownership of a legal or
equitable interest, however small, or a relationship as
director, advisor, or other active participant in the affairs of a party, except that:
(i) ownership in a mutual or common investment
fund that holds securities is not a "financial interest" in
such securities unless the judge participates in th.e management of the fund;
(ii) an office in an educational, religious, charitable,
fraternal, or civic organization is not a "financial interest" in securities held by the organization;
(iii) the proprietary interest of a policy holder in a
mutual insurance company, of a depositor in a mutual
savings association, or a similar proprietary interest, is a
"financial interest" in the organization only if the outcome of the proceeding could substantially affect the
value of the interest;
(Rules
or General Applicatlon---it 4)
(iv) ownership of government securities is a "financial
interest" in the issuer only if the outcome of the proceeding could substantially affect the value of the
securities.
D. Remittal of Disqualification. A judge disqualified
by the terms of Canon 3C(l)(c) or Canon 3C(l)(d) may,
instead of withdrawing from the proceeding, disclose on
the record the basis of his disqualification. If, based on
such disclosure, the parties and lawyers, independently
of the judge's participation, all agree in writing that the
judge's relationship is immaterial or that his financial
interest is insubstantial, the judge is no longer disqualified, and may participate in the proceeding. The agreement, signed by all parties and lawyers, shall be
incorporated in the record of the proceeding.
Commentary: This procedure is designed to minimiv: the chance
that a party or lawyer will feel coerced into an agreement. When
a party is not immediately available, the judge without violating
this section may proceed on the written assurance of the lawyer
that his party's consent will be subsequently filed.
[Adopted Oct. 31, 1973, effective Jan. 1, 1974; PRIOR
Canons of Judicial Ethics adopted Nov. 22, 1950, effective Jan. 2, 1974.]
CANON 4
A JUDGE MAY ENGAGE IN ACTIVITIES TO IMPROVE THE
LA w, THE LEGAL SYSTEM, AND THE ADMINISI'RATION OF
JUSTICE
A judge, subject to the proper performance of his judicial duties, may engage in the following quasi-judicial
activities, if in doing so he does not cast doubt on his
capacity to decide impartially any issue that may come
before him:
A. He may speak, write, lecture, teach, and participate in other activities concerning the law, the legal
system, and the administration of justice.
B. He may appear at a public hearing before an executive or legislative body or official on matters concerning the law, the legal system, and the
administration of justice, and he may otherwise consult
with an executive or legislative body or official, but only
on matters concerning the administration of justice.
C. He may serve as a member, officer, or director of
an organization or governmental agency devoted to the
improvement of the law, the legal system, or the administration of justice. He may assist such an organization in raising funds and may participate in their
management and investment, but should not personally
participate in public fund raising activities. He may
make recommendations to public and private fundgranting agencies on projects and programs concerning
the law, the legal system, and the administration of
justice.
Commentary: As a judicial officer and person specially learned in
the law, a judge is in a unique position to contribute to the improvement of the law, the legal system, and the administration of
justice, including revision of substantive and procedural law and
improvement of criminal and juvenile justice. To the extent that
his time permits, he is encouraged to do so, either independently
or through a bar association, judicial conference, or other organization dedicated to the improvement of the law.
Extra-judicial activities are governed by Canon 5.
Code of Judicial Conduct (CJC)
[Adopted Oct. 31, 1973, effective Jan. l, 1974; PRIOR
Canons of Judicial Ethics adopted Nov. 22, 1950, effective Jan. 2, 1951.]
CANON 5
A JUDGE SHOULD REGULATE HIS EXTRA-JUDICIAL
ACTIVITIES TO MINIMizE THE RISK OF CONFLICT WITH
HIS JUDICIAL DUTIES
A. Avocational Activities. A judge may write, lecture,
teach, and speak on non-legal subjects, an~ engage. i!l
the arts, sports, and other social and recreat10nal activities if such avocational activities do not detract from
the' dignity of his office or interfere with the performance of his judicial duties.
Commentary: Complete separation of a judge from extra-judicial
activities is neither possible nor wise; he should not become isolated from the society in which he lives.
B. Civic and Charitable Activities. A judge may participate in civic and charitable activities that do not reflect adversely upon his impartiality or interfere with
the performance of his judicial duties. A judge may
serve as an officer, director, trustee, or non-legal advisor of an educational, religious, charitable, fraternal, or
civic organization not conducted for the economic or
political advantage of its members, subject to the following limitations:
(1) A judge should not serve if it is likely that the organization will be engaged in proceedings that would
ordinarily come before him or will be regularly engaged
in adversary proceedings in any court.
Commentary: The changing nature of some organizations and of
their relationship to the law makes it necessary for a judge regularly to reexamine the activities of each organization with which
he is affiliated to determine if it is proper for him to continue his
relationship with it. For example, in many jurisdictions charitable
hospitals are now more frequently in court than in the past. Similarly, the boards of some legal aid organiz.ations now make policy decisions that may have political significance or imply
commitment to causes that may come before the courts for
adjudication.
(2) A judge should not solicit funds for any educational, religious, charitable, fraternal, or civic organization, or use or permit the use of the prestige of his office
for that purpose, but he may be listed as an officer, director, or trustee of such an organization. He should
not be a speaker or the guest of honor at any organization's fund raising events, but he may attend such
events.
(3) A judge should not give investment advice to such
an organization, but he may serve on its board of directors or trustees even though it has the responsibility
for approving investment decisions.
Commentary: A judge's participation in an organization devoted
to quasi-judicial activities is governed by Canon 4.
C. Financial Activities.
(1) A judge should refrain from financial and business dealings that tend to reflect adversely on his impartiality, interfere with the proper performance of his
judicial duties, exploit his judicial position, or involve
him in frequent transactions with lawyers or persons
likely to come before the court on which he serves.
Canon 5
(2) Subject to the requirements of sub~ectioi;i (1), a
judge may hold and manage investmen~s, mcl~d~ng real
estate, and engage in other remunerative act1v1ty, b.ut
should not serve as an officer, director, manager, advisor, or employee of any business.
Commentary: The Preamble, section 2, of this Cod~ qua~es this
subsection with regard to a judge engaged in a family busmess at
the time this Code becomes effective.
(3) A judge should manage his investments and oth~r
financial interests to minimize the number of cases m
which he is disqualified. As soon as he can_ do so_ without serious financial detriment, he should divest himself
of investments and other financial interests that might
require frequent disqualification.
(4) Neither a judge nor a member of his family residing in his household should accept a gift, bequest, favor,
or loan from anyone except as follows:
(a) a judge may accept a gift incident to~ public testimonial to him; books supplied by publishers on a
complimentary basis for official use; or an invitation to
the judge and his spouse to attend a bar-related function or activity devoted to the improvement of the law,
the legal system, or the administration of justice;
(b) a judge or a member of his family residing in ?is
household may accept ordinary social hospitality; a gift,
bequest, favor, or loan from a rel~tive? a. we~di~g ?r
engagement gift; a loan from a lendmg mstitution m its
regular course of business on the same terms generally
available to persons who are not judges; or a schol~r­
ship or fellowship awarded on the same terms apphed
to other applicants;
(c) a judge or a member of his family residing in his
household may accept any other gift, bequest, favor, or
loan only if the donor is not a party or other person
whose interests have come or are likely to come before
him, and, if its value exceeds $100, the judge reports it
in the same manner as he reports compensation in
Canon 6C.
Commentary: This subsection does not apply to contributions to
a judge's campaign for judicial office, a matter governed by Canon 7.
(5) For the purposes of this section "member of his
family residing in his household" means any relative of
a judge by blood or marriage, or a person treated by a
judge as a member of his family, who resides in his
household.
(6) A judge is not required by this Code to disclose
his income, debts, or investments, except as provided in
this Canon and Canons 3 and 6.
Commentary: Canon 3 requires a judge to disqualify himself in
any proceeding in which he has a financial interest, however
small; Canon 5 requires a judge to refrain from engaging in
business and from financial activities that might interfere with
the impartial performance of his judicial duties; Canon 6 requires
him to report all compensation he receives for activities outside
his judicial office. A judge has the rights of an ordinary citizen,
including the right to privacy of his financial affairs, except to the
extent that limitations thereon are required to safeguard the
proper performance of his duties. Owning and receiving income
from investments do not as such affect the performance of a
judge's duties.
(Rules of General App1ication--p 5]
Canon 5
Rules of General Application
(7) Information acquired by a judge in his judicial
capacity should not be used or disclosed by him in financial dealings or for any other purpose not related to
his judicial duties.
D. Fiduciary Activities. A judge should not serve as
the executor, administrator, trustee, guardian, or other
fiduciary, except for the estate, trust, or person of a
member of his family, and then only if such service will
not interfere with the proper performance of his judicial
duties. "Member of his family" includes a spouse, child,
grandchild, parent, grandparent, or other relative or
person with whom the judge maintains a close familial
relationship. As a family fiduciary a judge is subject to
the following restrictions:
(I) He should not serve if it is likely that as a fiduciary he will be engaged in proceedings that would ordinarily come before him, or if the estate, trust, or ward
becomes involved in adversary proceedings in the court
on which he serves or one under its appellate
jurisdiction.
Commentary: The Preamble, section 2, of this Code qualifies this
subsection with regard to a judge who is an executor, administrator, trustee, or other fiduciary at the time this Code becomes
effective.
(2) While acting as a fiduciary a judge is subject to
the same restrictions on financial activities that apply to
him in his personal capacity.
Commentary: A judge's obligation under this Canon and his obligation as a fiduciary may come into conflict. For example, a
judge should resign as trustee if it would result in detriment to
the trust to divest it of holdings whose retention would place the
judge in violation of Canon 5C(3).
E. Arbitration. A judge should not act as an arbitrator
or mediator.
F. Practice of Law. A judge should not practice law.
G. Extra-judicial Appointments. A judge should not
accept appointment to a governmental committee,
commission, or other position that is concerned with issues of fact or policy on matters other than the improvement of the law, the legal system, or the
administration of justice. A judge, however, may represent his country, state, or locality on ceremonial occasions or in connection with historical, educational, and
cultural activities.
Commentary: Valuable services have been rendered in the past to
the states and the nation by judges appointed by the executive to
undertake important extra-judicial assignments. The appropriateness of conferring these assignments on judges must be reassessed, however, in light of the demands on judicial manpower
created by today's crowded dockets and the need to protect the
courts from involvement in extra-judicial matters that may prove
to be controversial. Judges should not be expected or permitted
to accept gove~ental appointments that could interfere with
the effectiveness and independence of the judiciary.
[Adopted Oct. 31, 1973, effective Jan. 1, 1974; PRIOR
Canons of Judicial Ethics adopted Nov. 22, 1950, effective Jan. 2, 1951.]
CANON6
A JUDGE SIIOULD REGULAllLY FILE .REPORTS OF
COMPENSATION REcElvED FOR QUASI-JUDICIAL AND
EXTRA-JUDICIAL ACl1VITIES
!Rules of General Applkation--p 61
A judge may receive compensation and reimbursement of expenses for the quasi-judicial and extra-judicial activities permitted by this Code, if the source of
such payments does not give the appearance of influencing the judge in his judicial duties or otherwise give
the appearance of impropriety, subject to the following
restrictions:
A. Compensation. Compensation should not exceed a
reasonable amount nor should it exceed what a person
who is not a judge would receive for the same activity.
B. Expense Reimbursement. Expense reimbursement
should be limited to the actual cost of travel, food, and
lodging reasonably incurred by the judge and, where
appropriate to the occasion, by his spouse. Any payment in excess of such an amount is compensation.
C. Public Reports. A judge should report the date,
place, and nature of any activity for which he received
compensation, and the name of the payor and the
amount of compensation so received. Compensation or
income of a spouse attributed to the judge by operation
of a community property law is not extra-judicial compensation to the judge. His report should be made at
least annually and should be filed as a public document
in the office of the clerk of the court on which he serves
or other office designated by rule of court. [Adopted
Oct. 31, 1973, effective Jan. l, 1974; PRIOR Canons of
Judicial Ethics adopted Nov. 22, 1950, effective Jan. 2,
1951.]
CANON 7
A JuooE SHOULD REFltAIN FR.OM PouncAL AcnvrrY
INAPPROPRIATE TO HIS JUDICIAL OFFICE
A. Political Conduct in General.
(1) A judge or a candidate for election to judicial
office should not:
(a) act as a leader or hold any office in a political
organization;
(b) make speeches for a political organization or candidate or publicly endorse a nonjudicial candidate for
public office;
(c) solicit funds for or pay an assessment or make a
contribution to a political organization or nonjudicial
candidate, attend political gatherings, or purchase tickets for political party dinners, or other functions, except
as authorized in subsection A(2);
(2) A judge holding an office filled by public election
between competing candidates or candidates for such
office, may, attend political gatherings and speak to
such gatherings on his own behalf. The judge or candidate shall not identify himself as a member of a political party, and he shall not contribute to a political party
or organization.
(3) A judge shall resign his office when he becomes a
candidate either in a party primary or in a general election for a non-judicial office, except that he may continue to hold his judicial office while being a candidate
for election to or serving as a delegate in a ~tate constitutional convention, if he is otherwise pernutted by law
to do so.
Digest
Code of Professional Responsibility (CPR)
(4) A judge should not engage in any other political
activity except on behalf of measures to improve the
law, the legal system, or the administration of justice.
CODE OF PROFESSIONAL RESPONSIBILilY
(CPR)
Table of Contents
B. Campaign Conduct.
(I) A candidate, including an incumbent judge, for a
judicial office that is filled either by public election be-
tween competing candidates or on the basis of a merit
system election:
(a) should maintain the dignity appropriate to judicial
office, and should encourage members of his family to
adhere to the same standards of political conduct that
apply to him;
(b) should prohibit public officials or employees subject to his direction or control from doing for him what
he is prohibited from doing under this Canon; and except to the extent authorized under subsection B(2) or
B(3), he should not allow any other person to do for
him what he is prohibited from doing under this
Canon;
(c) should not make pledges or promises of conduct
in office other than the faithful and impartial performance of the duties of the office; announce his views on
disputed legal or political issues; or misrepresent his
identity, qualifications, present position, or other fact.
(2) A candidate, including an incumbent judge, for a
judicial office that is filled by public election between
competing candidates should not himself solicit or accept campaign funds, but he may establish committees
of responsible persons to secure and manage the expenditure of funds for his campaign and to obtain public
statements of support for his candidacy. Such committees are not prohibited from soliciting campaign contributions and public support from lawyers or others. A
candidate's committees may solicit funds for his campaign no earlier than 120 days from the date when filing
for that office is first permitted and no later than 30
days after the last election in which be participates during the election year. A candidate should not use or
permit the use of campaign contributions for the private
benefit of himself or members of his family.
Commentary: Unless the candidate is required by law to file a list
of his campaign contributors, their names should not be revealed
to the candidate.
(3) An incumbent judge who is a candidate for retention in or re-election to office without a competing
candidate, and whose candidacy has drawn active opposition, may campaign in response thereto and may
obtain publicly stated support and campaign funds in
the manner provided in subsection B(2). [Adopted Oct.
31, 1973, effective Jan. 1, 1974; PRIOR Canons of Judicial Ethics adopted Nov. 22, 1950, effective Jan. 2,
1951.]
CANON 1.
A LA WYER SHOULD ASSIST IN
MAINTAINING THE INTEGRITY
AND COMPETENCE OF THE LEGAL
PROFESSION
DR 1-101 Maintaining Integrity and Competence of the Legal Profession.
DR 1-102 Misconduct.
DR 1-103 Disclosure
of
Information
to
Authorities.
Ethical Considerations
EC 1-1 through EC 1-6
CANON 2.
A LA WYER SHOULD ASSIST THE
LEGAL PROFESSION IN FULFILLING ITS DUTIES TO MAKE COUNSEL AVAILABLE
DR 2-101 Publicity in General.
DR 2-102 Professional Notices, Letterheads, Offices, and Law Lists.
DR 2-103 Recommendation of Professional
Employment.
DR 2-104 Suggestion of Need of Legal Services.
DR 2-105 Limitation of Practice.
DR 2-106 Fees for Legal Services.
DR 2-107 Division of Fees Among Lawyers.
DR 2-108 Agreements Restricting the Practice of
a Lawyer.
DR 2-109 Acceptance of Employment.
DR 2-110 Withdrawal From Employment.
Ethical Considerations
EC 2-1 through EC 2-32
CANON 3. A LA WYER SHOULD ASSIST IN
PREVENTING THE UNAUTHORIZED PRACTICE OF LAW
DR 3-101 Aiding Unauthorized Practice of Law.
DR 3-102 Dividing Legal fees With a NonLawyer.
DR 3-103 Forming a Partnership With a NonLawyer.
Ethical Considerations
EC 3-1 through EC 3-9
CANON 4.
A LAWYER SHOULD PRESERVE
THE CONFIDENCES AND SECRETS
OF A CLIENT
DR 4-101 Preservation of Confidences and Secrets of a Client.
Ethical Considerations
EC 4-1 through EC 4-6
CANON 5.
A LAWYER SHOULD EXERCISE INDEPENDENT
PROFESSIONAL
JUDGMENT ON BEHALF OF A
CLIENT
DR 5-101 Refusing Employment When the Interests of the Lawyer May Impair
His Independent Professional
Judgment.
(Rules of General Application--p 7)
Digest
Rules of General Application
DR 5-102
Withdrawal as Counsel When the
Lawyer Becomes a Witness.
DR 5-103 Avoiding Acquisition of Interest in
Litigation.
DR 5-104 Limiting Business Relations With a
Client.
DR 5-105 Refusing to Accept or Continue Employment if the Interests of Another
Client May Impair the Independent
Professional Judgment of the
Lawyer.
DR 5-106 Settling Similar Claims of Clients.
DR 5-107 Avoiding· Influence by Others Than
the Client.
Ethical Considerations
EC 5-1 through EC 5-24
CANON 6.
A LA WYER SHOULD REPRESENT A
CLIENT COMPETENTLY
DR 6-101 Failing to Act Competently.
DR 6-102 Limiting Liability to Client.
Ethical Considerations
EC 6-1 through EC 6-6
CANON 7.
A LAWYER SHOULD REPRESENT A
CLIENT ZEALOUSLY WITHIN THE
BOUNDS OF THE LAW
DR 7-101 Representing a Client Zealously.
DR 7-102 Representing a Client Within the
Bounds of the Law.
DR 7-103 Performing the Duty of Public Prosecutor or Other Government Lawyer.
DR 7-104 Communicating With One of Adverse
Interest.
DR 7-105 Threatening Criminal Prosecution.
DR 7-106 Trial Conduct.
DR 7-107 Trial Publicity.
DR 7-108 Communication With or Investigation
of Jurors.
DR 7-109 Contact With Witnesses.
DR 7-110 Contact With Officials.
Ethical Considerations
EC 7-1 through EC 7-39
CANON 8.
A LA WYER SHOULD ASSIST IN IMPROVING THE LEGAL SYSTEM
DR 8- I01 Action as a Public Official.
DR 8-102 Statements Concerning Judges and
Other Adjudicatory Officers.
Ethical Considerations
EC 8-1 through EC 8-9
CANON 9.
A LAWYER SHOULD AVOID EVEN
THE APPEARANCE OF PROFESSIONAL IMPROPRIETY
DR 9-101 Avoiding Even the Appearance of
Impropriety.
DR 9-102 Preserving Identity of Funds and
Property of a Client.
[Rules of General Applicatioo---p 8)
Ethical Considerations
EC 9-1 through EC 9-6
CODE OF PROFESSIONAL REsPONSIBllITY PREAMBLE AND
PllELIMINAR.Y STATEMENT
PREAMBLE
The continued existence of a free and democratic society depends upon recognition of the concep~ that justice is based upon the rule of law grounded m respect
for the dignity of the individual and his capacity
through reason for enlightened self-government. Law so
grounded makes justice possible, for only. through such
law does the dignity of the individual attam respect ~nd
protection. Without it, individual right~ become subject
to unrestrained power, respect for law ts destroyed, and
rational self-government is impossible.
Lawyers, as guardians of the law, play a vital role in
the preservation of society. The fulfillment ~f this ~le
requires an understanding by lawyers of therr relationship with and function in our legal system. A consequent obligation of lawyers is to maintain the highest
standards of ethical conduct.
In fulfilling his professional responsibilities, a lawyer
necessarily assumes various roles that require ~e ~er­
formance of many difficult tasks. Not every situation
which he may encounter can be foreseen, but fundamental ethical principles are always present to guide
him. Within the framework of these principles, a lawyer
must with courage and foresight be able and ready to
shape the body of the law to the ever-changing relationships of society.
The Code of Professional Responsibility points the
way to the aspiring and provides standards by which to
judge the transgressor. Each lawyer must find within his
own conscience the touchstone against which to test the
extent to which his actions should rise above minimum
standards. But in the last analysis it is the desire for the
respect and confidence of the members of his profession
and the society which he serves that should provide to a
lawyer the incentive for the highest possible degree of
ethical conduct. The possible loss of that respect and
confidence is the ultimate sanction. So long as its practitioners are guided by these principles, the law will
continue to be a noble profession. This is its greatness
and its strength, which permit of no compromise.
PRELIMINARY STATEMENT
In furtherance of the principles stated in the Preamble this Code of Professional Responsibility has been
promulgated consisting of three separate but interrelated parts: Canons, Ethical Considerations, and Disciplinary Rules. The Code is designed to be adopted by
appropriate agencies both as an inspirational guide to
the members of the profession and as a basis for disciplinary action when the conduct of a lawyer falls below
the required minimum standards stated in the Disciplinary Rules.
Obviously the Canons, Ethical Considerations, and
Disciplinary Rules cannot apply to non-lawyers; however, they do define the type of ethical conduct that the
public has a right to expect not only of lawyers but also
Canon 2
Code of Professional Responsibility (CPR)
of their non-professional employees and associates in
all matters pertaining to professional employment. A
lawyer should ultimately be responsible for the conduct
of his employees and associates in the course of the
professional representation of the client.
The Canons are statements of axiomatic norms, expressing in general terms the standards of professional
conduct expected of lawyers in their relationships with
the public, with the legal system, and with the legal
profession. They embody the general concepts from
which the Ethical Consideration and the Disciplinary
Rules are derived.
The Ethical Considerations are aspirational in character and represent the objectives toward which every
member of the profession should strive. They constitute
a body of principles upon which the lawyer can rely for
guidance in many specific situations.
The Disciplinary Rules, unlike the Ethical Considerations, are mandatory in character. The Disciplinary
Rules state the minimum level of conduct below which
no lawyer can fall without being subject to disciplinary
action. Within the framework of fair trial, the Disciplinary Rules should be uniformly applied to all lawyers,
regardless of the nature of their professional activities.
The Code makes no attempt to prescribe either disciplinary procedures or penalties for violation of a Disciplinary Rule, nor does it undertake to define standards for
civil liability of lawyers for professional conduct. The
severity of judgment against one found guilty of violating a Disciplinary Rule should be determined by the
character of the offense and the attendant circumstances. An enforcing agency, in applying the Disciplinary
Rules, rnay find interpretive guidance in the basic principles embodied in the Canons and in the objectives reflected in the Ethical Considerations.
CANON 1
A LAWYER SHOULD ASSIST IN MAINTAINING THE
.INTEGRITY AND COMPETENCE OF THE LEGAL
PROFESSION
DR 1-101 Maintaining Integrity and Competence of the
Legal Profession.
(A) A lawyer is subject to discipline if he has made a
materially false statement in, or if he has deliberately
failed to disclose a material fact requested in connection with, his application for admission to the bar.
(B) A lawyer shall not further the application for admission to the bar of another person known by him to
be unqualified in respect to character, education, or
other relevant attribute.
DR 1-102 Misconduct.
(A) A lawyer shall not:
(l) Violate a Disciplinary Rule.
(2) Circumvent a Disciplinary Rule through actions
of another.
(3) Engage in illegal conduct involving moral
turpitude.
(4~ Enga&e in condu~t involving dishonesty, fraud,
deceit, or misrepresentation.
(5) Engage in conduct that is prejudicial to the administration of justice.
(6) Engage in any other conduct that adversely reflects on his fitness to practice law.
DR 1-103 Disclosure of Information to Authorities.
(A) A lawyer possessing unprivileged knowledge or
evidence of a violation of DR 1-102 concerning another
lawyer or a judge shall reveal fully such knowledge or
evidence upon proper request of a tribunal or other authority empowered to investigate or act upon the conduct of lawyers or judges.
EnncAL CoNsIDERAnoNs
EC 1-1 A basic tenet of the professional responsibility of lawyers
is that every person in our society should have ready access to the independent professional services of a lawyer of integrity and competence. Maintaining the integrity and improving the competence of the
bar to meet the highest standards is the ethical responsibility of every
lawyer.
EC 1-2 The public should be protected from those who are not
qualified to be lawyers by reason of a deficiency in education or moral standards or of other relevant factors but who nevertheless seek to
practice law. To assure the maintenance of high moral and educational standards of the legal profession, lawyers should affirmatively
assist courts and other appropriate bodies in promulgating, enforcing,
and improving requirements for admission to the bar. In like manner,
the bar has a positive obligation to aid in the continued improvement
of all phases of pre-admission and post-admjssion legal education.
EC 1-3 Before recommending an applicant for admission, a lawyer should satisfy himself that the applicant is of good moral character. Although a lawyer should not become a self-appointed
investigator or judge of applicants for admission, he should report to
proper officials all unfavorable information he possesses relating to
the character or other qualifications of an applicant.
EC 1-4 The integrity of the profession can be maintained only if
conduct of lawyers in violation of the Disciplinary Rules is brought to
the attention of the proper officials. A lawyer should reveal voluntarily to those officials all unprivileged knowledge of conduct of lawyers
which he believes clearly to be in violation of the Disciplinary Rules.
A lawyer should upon request serve on and assist committees and
boards having responsibility for the administration of the Disciplinary
Rules .
EC 1-5 A lawyer should maintain high standards of professional
conduct and should encourage fellow lawyers to do likewise. He
should be temperate and dignified, and he should refrain from all illegal and morally reprehensible conduct. Because of his position in
society, even minor violations of law by a lawyer may tend to lessen
public confidence in the legal profession. Obedience to law exemplifies respect for law. To lawyers especially, respect for the law should
be more than a platitude.
EC 1-6 An applicant for admission to the bar or a lawyer may be
unqualified, temporarily or permanently, for other than moral and
educational reasons, such as mental or emotional instability. Lawyers
should be diligent in taking steps to see that during a period of disqualification such person is not granted a license or, if licensed, is not
permitted to practice. In like manner, when the disqualification has
terminated, members of the bar should assist such person in being licensed, or, if licensed, in being restored to his full right to practice.
[Adopted Dec. 7, 1971, effective Jan. I, 1972; PRIOR Canons of Professional Ethics, adopted Nov. 22, 1950, effective Jan. 2, 1951.)
CANON 2
A LA WYER SHOULD AssIST THE LEGAL PROFESSION IN
FULFII..LING ITS DUTY TO MAKE LEGAL COUNSEL
AVAD..ABLE
DR 2-101 Publicity in General.
(A) A lawyer shall not prepare, cause to be prepared,
use, or participate in the use of, any form of public
(Rules of General Application----
91
Canon 2
Rules of General Application
communication that contains professionally self-laudatory statements calculated to attract lay clients; as used
herein, "public communication" includes, but is not
limited to, communication by means of television, radio, motion picture, newspaper, magazine, or book.
(B) A lawyer shall not publicize himself, his partner,
or associate as a lawyer through newspaper or magazine
advertisements, radio or television announcements, display advertisements in city or telephone directories, or
other means of commercial publicity, nor shall he authorize or permit others to do so in his behalf except as
permitted under DR 2-103. This does not prohibit limited and dignified identification of a lawyer as a lawyer
as well as by name:
(I) In political advertisements when his professional
status in germane to the political campaign or to a political issue.
(2) In public notices when the name and profession
of a lawyer are required or authorized by law or are
reasonably pertinent for a purpose other than the attraction of potential clients.
(3) In routine reports and announcements of a bona
fide business, civic, professional, or political organization in which he serves as a director or officer.
(4) In and on legal documents prepared by him.
(5) In and on legal textbooks, treatises, and other legal publications, and in dignified advertisements
thereof.
(C) A lawyer shall not compensate or give any thing
of value to representatives of the press, radio, television,
or other communication medium in anticipation of or
in return for professional publicity in a news item.
DR 2-102 Professional Notices, Letterheads, Offices,
and Law Lists.
(A) A lawyer or law firm shall not use professional
cards, professional announcement cards, office signs,
letterheads, telephone directory listings, law lists, legal
directory listings, or similar professional notices or devices, except that the following may be used if they are
in dignified form:
(I) A professional card of a lawyer identifying him by
name and as a lawyer, and giving his addresses, telephone numbers, the name of his \aw firm, and any information permitted under DR 2-105. A professional
card of a law firm may also give the names of members
and associates. Such cards may be used for identification but may not be published in periodicals, magazines, newspapers, or other media.
(2) A brief professional announcement card stating
new or changed associations or addresses, change of
firm name, or similar matters pertaining to the professional office of· a lawyer or law firm, which may be
mailed to lawyers, clients, former clients, personal
friends, and relatives. It shall not state biographical
data except to the extent reasonably necessary to identify the lawyer or to explain the change in his association, but it may state the immediate past position of the
lawyer. It may give the names and dates of predecessor
firms in a. continuing line of succession. It shall not
state the nature of the practice except as permitted under DR 2-105.
(Rules o( General Applk:ation---p 101
(3) A sign on or near the door of the office and in the
building directory identifying the law office. The sign
shall not state the nature of the practice, except as permitted under DR 2-105.
(4) A letterhead of a lawyer identifying him by name
and as a lawyer, and giving his addresses, telephone
numbers, the name of his law firm, associates and any
information permitted under DR 2-105. A letterhead of
a law firm may also give the names of members and
associates, and names and dates relating to deceased
and retired members. A lawyer may be designated "Of
Counsel" on a letterhead if he has a continuing relationship with a lawyer or law firm, other than as a
partner or associate. A lawyer or law firm may be designated as "General Counsel" or by similar professional
reference on stationery of a client if he or the firm devotes a substantial amount of professional time in the
representation of that client. The letterhead of a law
firm may give the names and dates of predecessor firms
in a continuing line of succession.
(5) A listing of the office of a lawyer or law firm in
the alphabetical and classified sections of the telephone
directory or directories for the geographical area or areas in which the lawyer resides or maintains offices or
in which a significant part of his clientele resides and in
the city directory of the city in which his or the firm's
office is located; but the listing may give only the name
of the lawyer or law firm, the fact he is a lawyer, addresses, and telephone numbers. The listing shall not be
in distinctive form or type. A law firm may have a listing in the firm name separate from that of its members
and associates. The listing in the classified section shall
not be under a heading or classification other than
"Attorneys" or "Lawyers," except that additional headings or classifications descriptive of the types of practice
referred to in DR 2-105 are permitted.
(6) A listing in a reputable law list or legal directory
giving brief biographical and other informative data. A
law list or directory is not reputable if its management
or contents are likely to be misleading or injurious to
the public or to the profession. A law list is conclusively
established to be reputable if it is certified by the
American Bar Association as being in compliance with
its rules and standards. The published data may include
only the following: name, including name of law firm
and names of professional associates; addresses and
telephone numbers; one or more fields of law in which
the lawyer or law firm concentrates; a statement that
practice is limited to one or more fields of law; a statement that the lawyer or law firm spedalizes in a particular field of law or law practice but only if authorized
under DR 2-105(A)(4); date and place of birth; date
and place of admission to the bar of state and federal
courts; schools attended, with dates of graduation, degrees, and other scholastic distinctions; public of quasipublic offices; military service; posts of honor; legal
authorships; legal teaching positions; memberships, offices, committee assignments, and section memberships
in bar associations; memberships and offices in legal
fraternities and legal societies; technical and professional licenses; memberships in scientific, technical and
professional associations and societies; foreign language
Code of Professional Responsibility (CPR)
ability; names and addresses of references, and, with
their consent, names of clients regularly represented.
(B) A lawyer in private practice shall not practice
under a trade name, a name that is misleading as to the
identity of the lawyer or lawyers practicing under such
name, or a firm name containing names other than
those of one or more of the lawyers in the firm, except
that the name of a professional corporation or professional association may contain "P.C. 11 or "P.A." or
similar symbols indicating the nature of the organization, and if otherwise lawful a firm may use as, or continue to include in, its name the name or names of one
or more deceased or retired members of the firm or of a
predecessor firm in a continuing line of succession. A
lawyer who assumes a judicial, legislative, or public executive or administrative post or office shall not permit
his name to remain in the name of a law firm or to be
used in professional notices of the firm during any significant period in which he is not actively and regularly
practicing law as a member of the firm, and during such
period other members of the firm shall not use his name
in the firm name or in professional notices of the firm.
(C) A lawyer shall not hold himself out as having a
partnership with one or more other lawyers unless they
are in fact partners.
(D) A partnership shall not be formed or continued
between or among lawyers licensed in different jurisdictions unless all enumerations of the members and associates of the firm on its letterhead and in other
permissible listings make clear the jurisdictional limitations on those members and associates of the firm not
licensed to practice in all listed jurisdictions; however,
the same fii:m name may be used in each jurisdiction.
(E) A lawyer who is engaged both in the practice of
law and another profession or business shall not so indicate on his letterhead, office sign, or professional card,
nor shall he identify himself as a lawyer in any publication in connection with his other profession or business.
(F) N.othing contained herein shall prohibit a lawyer
from usmg or permitting the use, in connection with his
name, an earned degree or title derived therefrom indicating his training in the law.
DR 2-103 Recommendation
Employment.
of
Professional
(A) A lawyer shall not recommend employment, as a
private practitioner, of himself, his partner, or associate
to a non-lawyer who has not sought his advice regarding employment of a lawyer.
(B) Except as permitted under DR 2-I03(C), a lawyer
shall not compensate or give anything of value to a
person or organization to recommend or secure his employment by~ client, or as a reward for having made a
re_commendat10n resulting in his employment by a
chent.
. (C) A lawyer shall not request a person or organizat~on to rec?mmend. employment, as a private practitioner, of himself, his partner, or associate, except that
he may request referrals from a lawyer referral service
operated, sponsored, or approved by a bar association
representative of the general bar of the geographical
Canon 2
area in which the association exists and may pay its fees
incident thereto.
(D) A lawyer shall not knowingly assist a person or
organization that recommends, furnishes, or pays for
legal services to promote the use of his services or those
of his partners or associates. However, he may cooperate in a dignified manner with the legal service activities
of any of the following, provided that his independent
professional judgment is exercised in behalf of his client
without interference or control by any organization or
other person:
(l) A legal aid office or public defender office:
(a) Operated or sponsored by a duly accredited law
school.
(b) Operated or sponsored by a bona fide nonprofit
community organization.
(c) Operated or sponsored by a governmental agency.
(d) Operated, sponsored, or approved by a bar association representative of the general bar of the geographical area in which the association exists.
(2) A military legal assistance office.
(3) A lawyer referral service operated, sponsored, or
approved by a bar association representative of the
general bar of the geographical area in which the association exists.
(4) A bar association representative of the general bar
of the geographical area in which the association exists.
(5) Any other organization that recommends, furnishes or pays for legal services to its members or beneficiaries, but only when and if the following conditions
are met:
(a) The lawyer shall not have solicited the use of his
services by the organization or its members in violation
of any Disciplinary Rule in this Code of Professional
Responsibility.
(b) The organization shall not derive a profit or commercial benefit from the rendition of legal services by
the lawyer.
(c) A written agreement between the lawyer and the
organization is in force containing provisions insuring
that:
(i) Any member of the organization may obtain legal
services independently of the arrangement from any attorney of his choice;
(ii) No unlicensed person will provide legal services
under the arrangement;
(iii) Neither the organization nor any member thereof
shall interfere or attempt to interfere with the lawyer's
independent exercise of his professional judgment;
(iv) The member to whom the legal ser\lices are
rendered, and not the organization, is the client of the
lawyer;
(v) All parties agree that in providing legal services
the lawyer must comply with all the Disciplinary Rules
contained in this Code;
(vi) The nature and extent of the legal services to be
rendered to the members of the group are fully
disclosed;
(vii) Any. publicity ~iven by the organization to its
members will not descnbe the lawyer beyond giving his
name, address and telephone number and such other
information as may be required to facilitate the access
(Rules of General Application---p 11)
Canon 2
Rules of General Application
of a member to the services of the lawyer; and any
publicity disseminated by the organization to nonmembers will not identify the lawyer; and
(viii) The agreement will be terminated in the event
of any substantial violation of the foregoing provisions.
(d) Such written agreement has been filed with the
regulatory agency having authority to discipline the
lawyer.
(e) The lawyer shall advise the State Bar, on forms
provided by it, of the following matters: The name of
the group, its address, whether it is incorporated, its
primary purposes and activities, the number of its
me~bers and a general description of the types of legal
services offered pursuant to the written agreement. Annually on January 31, he shall report to the State Bar,
on forms provided by it, any changes in such matters,
and _the number of members of the group to whom legal
services were rendered during the calendar year. Each
report filed pursuant hereto and the information contained therein, except the name and address of the
group, the fact that it has a written agreement for the
provision of legal services and the names of members of
the State Bar providing such services shall be
confidential.
(f) In the case of such an organization created or operated solely or primarily for the purpose of providing
lega~ servic~s, the lawyer shall not render any legal
services until there has been obtained from the regulatory agency having authority to discipline the lawyer a
certificate stating that the operation of the legal services
program complies with all applicable laws and court
rules and with these Disciplinary Rules. The certificate
shall provide that it will be revoked and the lawyer will
terminate his services in the event of any substantial
breach of these rules or of the agreement provided for
herein.
(E) A lawyer shall not accept employment when he
knows or it is obvious that the person who seeks his
services does so as a result of conduct prohibited under
this Disciplinary Rule.
DR 2-104 Suggestion of Need of Legal Services.
(A) A lawyer who has given unsolicited advice to a
layman that he should obtain counsel or take legal action shall not accept employment resulting from that
advice, except that:
(I) A lawyer may accept employment by a close
friend, relative, former client (if the advice is germane
to the former employment), or one whom the lawyer
reasonably believes to be a client.
(2) A lawyer may accept employment that results
from his participation in activities designed to educate
laymen to recognize legal problems, to make intelligent
selection of counsel, or to utilize available legal services,
if such activities are conducted or sponsored by any of
the offices or organizations enumerated in DR
2-103(0)(1) through (5), to the extent and under the
conditions prescribed therein.
(3) A lawyer who is furnished or paid by any of the
offices or organizations enumerated in DR 2-l03(D)(I),
(2), or (5) may represent a member or beneficiary
(Rules of General Application---p 12)
thereof, to the extent and under the conditions prescribed therein.
(4) Without affecting his right to accept employment,
a lawyer _may speak publicly or write for publication on
legal topics so long as he does not emphasize his own
professional experience or reputation and does not understand to give individual advice.
(5) If success in asserting rights or defenses of his client in litigation in the nature of a class action is dependent upon the joinder of others, a lawyer may accept,
but shall not seek, employment from those contacted
for the purpose of obtaining their joinder.
DR 2-105 Limitation of Practice.
(A) A lawyer shall not hold himself out publicly as a
specialist or as limiting his practice, except as permitted
under DR 2-l02(A)(6) or as follows:
(I) A lawyer admitted to practice before the United
States Patent Office may use the designation Patent Attorney, Patent Lawyer, Trademark Attorney, or Trademark Lawyer, or any combination of those terms, on
his letterhead and office sign, and a lawyer actively engaged in the admiralty practice may use the designation
Admiralty or Admiralty Lawyer on his letterhead and
office sign.
(2) A lawyer may permit his name to be listed in
lawyer referral service offices according to the fields of
law in which he will accept referrals.
(3) A lawyer available to act as a consultant to or as
an associate of other lawyers in a particular branch of
law or legal service may distribute to other lawyers and
publish in local legal journals a dignified announcement
of such availability, but the announcement shall not
contain a representation of special competence or experience. The announcement shall not be distributed to
lawy~rs more frequently than once in a calendar year,
but 1t may be published periodically in local legal
journals.
. (4) A lawyer who is certified as a specialist in a particular field of law or law practice by the authority having Ju~isd~ction under state law over the subject of
speciahzatlon by lawyers may hold himself out as such
specialist but only in accordance with the rules prescribed by that authority.
DR 2-106 Fees for Legal Services.
(A) A lawyer shall not enter into an agreement for,
charge, or collect an illegal or clearly excessive fee.
(B) A fee is clearly excessive when, after a review of
th_e facts, a _lawyer of ordinary prudence would be left
with a defimte and firm conviction that the fee is in excess of a reasonable fee. Factors to be considered as
guides in determining the reasonableness of a fee include the following:
(I) The time and labor required, the novelty and difficulty of the questions involved, and the skill requisite
to perform the legal service properly.
(2) The likelihood, if apparent to the client, that the
acceptance of the particular employment will preclude
other employment by the lawyer.
(3) The fee customarily charged in the locality for
similar legal services.
Code of Professional Responsibility (CPR)
(4) The amount involved and the results obtained.
(5) The time limitations imposed by the client or by
the circumstances.
(6) The nature and length of the professional relationship with the client.
(7) The experience, reputation, and ability of the
lawyer or lawyers performing the services.
(8) Whether the fee is fixed or contingent.
(C) A lawyer shall not enter into an arrangement for,
charge, or collect a contingent fee for representing a
defendant is a criminal case.
DR 2-107 Division of Fees Among Lawyers.
(A) A lawyer shall not divide a fee for legal services
with another lawyer who is not a partner in or associate
of his law firm or law office, unless:
(1) The client consents to employment of the other
lawyer after a full disclosure that a division of fees will
be made.
(2) The division is made in proportion to the services
performed and responsibility assumed by each.
(3) The total fee of the lawyers does not clearly exceed reasonable compensation for all legal services they
rendered the client.
(B) This Disciplinary Rule does not prohibit payment
to a former partner or associate pursuant to a separation or retirement agreement.
DR 2-108 Agreements Restricting the Practice of a
Lawyer.
(A) A lawyer shall not be a party to or participate in
a partnership or employment agreement with another
lawyer that restricts the right of a lawyer to practice law
after the termination of a relationship created by the
agreement, except as a condition to payment of retirement benefits.
(B) In connection with the settlement of a controversy or suit, a lawyer shall not enter into an agreement
that restricts his right to practice law.
DR 2-109 Acceptance of Employment.
(A) A lawyer shall not accept employment on behalf
of a person if he knows or it is obvious that such person
wishes to:
( 1) Bring a legal action, conduct a defense, or assert a
position in litigation, or otherwise have steps taken for
him, merely for the purpose of harassing or maliciously
injuring any person.
(2) Present a claim or defense in litigation that is not
warranted under existing law, unless it can be supported by good faith argument for an extension, modification, or reversal of existing law.
DR 2-110 Withdrawal From Employment.
(A) In general.
(1) If permission for withdrawal from employment is
required by the rules of a tribunal, a lawyer shall not
withdraw from employment in a proceeding before that
tribunal without its permission.
(2) In any event, a lawyer shall not withdraw from
employment until he has taken reasonable steps to
avoid foreseeable prejudice to the rights of his client,
Canon 2
including giving due notice to his cli~nt, .allowing tim_e
for employment of other counsel, dehvenng to the client all papers and property to which the client is entitled, and complying with applicable laws and rules.
(3) A lawyer who withdraws from employment shall
refund promptly any part of a fee paid in advance that
has not been earned.
(B) Mandatory withdrawal.
A lawyer representing a client before a tribunal, with
its permission if required by its rules, shall withdraw
from employment, and a lawyer representing a client in
other matters shall withdraw from employment, if:
(1) He knows or it is obvious that his client is bringing the legal action, conducting the defense, or asserting
a position in the litigation, or is otherwise having steps
taken for him, merely for the purpose of harassing or
maliciously injuring any person.
(2) He knows or it is obvious that his continued employment will result in violation of a Disciplinary Rule.
(3) His mental or physical condition renders it unreasonably difficult for him to carry out the employment
effectively.
(4) He is discharged by his client.
(C) Permissive withdrawal.
If DR 2-1 lO(B) is not applicable, a lawyer may not
request permission to withdraw in matters pending before a tribunal, and may not withdraw in other matters,
unless such request or such withdrawal is because:
(I) His client:
(a) Insists upon presenting a claim or defense that is
not warranted under existing law and cannot be supported by good faith argument for an extension, modification, or reversal of existing law.
(b) Personally seeks to pursue an illegal course of
conduct.
(c) Insists that the lawyer pursue a course of conduct
that is illegal or that is prohibited under the Disciplinary Rules.
(d) By other conduct renders it unreasonably difficult
for the lawyer to carry out his employment effectively.
(e) Insists, in a matter not pending before a tribunal,
that the lawyer engage in conduct that is contrary to
the judgment and advice of the lawyer but not prohibited under the Disciplinary Rules.
(f) Deliberately disregards an agreement or obligation
to the lawyer as to expenses or fees.
(2) His continued employment is likely to result in a
violation of a Disciplinary Rule.
(3) His inability to work with co-counsel indicates
that the best interests of the client likely will be served
by withdrawal.
(4) His mental or physical condition renders it difficult for him to carry out the employment effectively.
(5) His client knowingly and freely assents to termination of his employment.
(6) He believes in good faith, in a proceeding pending
before a tribunal, that the tribunal will find the existence of other good cause for withdrawal.
(Rules of General Applicatioo--p 131
Canon 2
Rules of General Application
ETHICAL CONSIDERATIONS
EC 2-1 The need of members of the public for legal services is
met only if they recognize their legal problems, appreciate the importance of seeking assistance, and are able to obtain the services of acceptable legal counsel. Hence, important functions of the legal
profession are to educate laymen to recognize their problems, to facilitate the process of intelligent selection of lawyers, and to assist in
making legal services fully available.
Recognition of Legal Problems
EC 2-2 The legal profession should assist laymen to recognize legal problems because such problems may not be self-revealing and
often are not timely noticed. Therefore, lawyers acting under proper
auspices should encourage and participate in educational and public
relations programs concerning our legal system with particular reference to legal problems that frequently arise. Such educational programs should be motivated by a desire to benefit the public rather
than to obtain publicity or employment for particular lawyers. Examples of permissible activities include preparation of institutional advertisements and professional articles for lay publications and
participation in seminars, lectures, and civic programs. But a lawyer
who participates in such activities should shun personal publicity.
EC 2-3 Whether a lawyer acts properly in volunteering advice to
a layman to seek legal services depends upon the circumstances. The
giving of advice that one should take legal action could well be in
fulfillment of the duty of the legal profession to assist laymen in recognizing legal problems. The advice is proper only if motivated by a
desire to protect one who does not recognize that he may have legal
problems or who is ignorant of his legal rights or obligations. Hence,
the advice is improper if motivated by a desire to obtain personal
benefit, secure personal publicity, or cause litigation to be brought
merely to harass or injure another. Obviously, a lawyer should not
contact a non-dient, directly or indirectly, for the purpose of being
retained to represent him for compensation.
EC 2-4 Since motivation is subjective and often difficult to judge,
the motives of a lawyer who volunteers advice likely to produce legal
controversy may well be suspect if he receives professional employment or other benefits as a result. A lawyer who volunteers advice
that one should obtain the services of a lawyer generally should not
himself accept employment, compensation, or other benefit in connection with that matter. However, it is not improper for a lawyer to
volunteer such advice and render resulting legal services to close
friends, relatives, former clients (in regard to matters germane to
former employment), and regular clients.
EC 2-S A lawyer who writes or speaks for the purpose of educating members of the public to recognize their legal problems should
carefully refrain from giving or appearing to give a general solution
applicable to all apparently similar individual problems, since slight
changes in fact situations may require a material variance in the applicable advice; otherwise, the public may be misled and misadvised.
Talks and writings by lawyers for laymen should caution them not to
attempt to solve individual problems upon the basis of the information contained therein.
Selection of a Lawyer: Generally
EC 2-6 Formerly a potential client usually knew the reputations
of local lawyers for competency and integrity and therefore could select a practitioner in whom he had confidence. This traditional selection process worked well because it was initiated by the client and the
choice was an informed one.
EC 2-7 Changed conditions, however, have seriously restricted
the effectiveness of the traditional selection process. Often the reputations of lawyers are not sufficiently known to enable laymen to make
intelligent choices. The law has become increasingly complex and
specialized. Few lawyers are willing and competent to deal with every
kind of legal matter, and many laymen have difficulty in determining
the competence of lawyers to render different types of legal services.
The selection of legal counsel is particularly difficult for transients,
persons moving into new areas, persons of limited education or
means, and others who have little or no contact with lawyers.
EC 2-8 Selection of a lawyer by a layman often is the result of the
advice and recommendation of third parties--relatives, friends, acquaintances, business associates, or other lawyers. A layman is best
served if the recommendation is disinterested and informed. In order
[RuJes of General Appliai:tion--p 14)
that the recommendation be disinterested, a lawyer should not seek to
influence another to recommend his employment. A lawye: should
not compensate another person for recommending bun, for influencing a prospective client to employ him, or to encourage future
recomrnenda tions.
Selection of a Lawyer: Professional Notices and Listings
EC 2-9 The traditional ban against advertising by lawyers, which
is subject to certain limited exceptions, is rooted in the public interest.
Competitive advertising would encourage extravagant, artful, self-laudatory brashness in seeking business and thus could mislead the
layman. Furthermore, it would inevitably produce unrealistic expectations in particular cases and bring about distrust of the law and
lawyers. Thus, public confidence in our legal system would be impaired by such advertisements of professional services. The attomeyclient relationship is personal and unique and should not be established as the result of pressures and deceptions. History has demonstrated that public confidence in the legal system is best preserved by
strict, self-imposed controls over, rather than by unlimited,
advertising.
EC 2-10 Methods of advertising that are subject to the objections
stated above should be and are prohibited. However, the Disciplinary
Rules recognize the value of giving assistance in the selection process
through forms of advertising that furnish identification of a lawyer
while avoiding such objections. For example, a lawyer may be identified in the classified section of the telephone directory, in the office
building directory, and on his letterhead and professional card. But at
all times the permitted notices should be dignified and accurate.
EC Z-11 The name under which a lawyer conducts his practice
may be a factor in the selection process. The use of a trade name or
an assumed name could mislead laymen concerning the identity, responsibility, and status of those practicing thereunder. Accordingly, a
lawyer in private practice should practice only under his own name,
the name of a lawyer employing him, a partnership name composed
of the name of one or more of the lawyers practicing in a partnership,
or, if permitted by law, in the name of a professional legal corporation, which should be clearly designated as such. For many years
some law firms have used a firm name retaining one or more names
of deceased or retired partners and such practice is not improper if
the firm is a bona fide successor of a firm in which the deceased or
retired person was a member, if the use of the name is authoriz.ed by
law or by contract, and if the public is not misled thereby. However,
the name of a partner who withdraws from a firm but continues to
practice law should be omitted from the firm name in order to avoid
misleading the public.
EC 2-12 A lawyer occupying a judicial, legislative, or public executive or administrative position who has the right to practice law
concurrently may allow his name to remain in the name of the firm if
he actively continues to practice law as a member thereof. Otherwise,
his name should be removed from the firm name, and he should not
be identified as a past or present member of the firm; and he should
not hold himself out as being a practicing lawyer:
EC 2-13 In order to avoid the possibility of misleading persons
with whom be deals, a lawyer should be scrupulous in the representation of his pmfessional status. He should not hold himself out as being a partner or associate of a law firm if he is not one in fact, and
thus should not hold himself out as a partner or associate if be only
shares offices with another lawyer.
EC Z-14 In some instances a lawyer confines his practice to a
particular field of law. In the absence of state controls to insure the
existence of special competence, a lawyer should not be permitted to
hold himself out as a specialist or as having special training or ability,
other than in the historically excepted fields of admiralty, trademark,
and patent law.
EC 2-15 The legal profession has developed lawyer referral systems designed to aid individuals who are able to pay fees but need
assistance in locating lawyers competent to handle their particular
problems. Use of a lawyer referral system enables a layman to avoid
an uninformed selection of a lawyer because such a system makes
possible the employment of competent lawyers who have indicated an
interest in the subject matter involved. Lawyers should support the
principle of lawyer referral systems and should enco~rage the ev_olution of other ethical plans which aid in the selection of qualified
counsel.
Canon 2
Code of Professional Responsibility (CPR)
EC 2-16 The legal profession cannot remain a viable force in fulfilling its role in our society unless its members receive adequate
compensation for services rendered, and reasonable fees should be
charged in appropriate cases to clients able to pay them. Nevertheless,
persons unable to pay all or a portion of a reasonable fee should be
able to obtain necessary legal services, and lawyers should support
and participate in ethical activities designed to achieve that objective.
Financial Ability to Employ Counsel:
Persons Able to Pay Reasonable Fees
EC 2-17 The determination of a proper fee requires consideration
of the interests of both client and lawyer. A lawyer should not charge
more than a reasonable fee, for excessive cost of legal service would
deter laymen from utilizing the legal system in protection of their
rights. Furthermore, an excessive charge abuses the professional relationship between lawyer and client. On the other hand, adequate
compensation is necessary in order to enable the lawyer to serve his
client effectively and to preserve the integrity and independence of the
profession.
EC 2-18 The determination of the reasonableness of a fee requires consideration of all relevant circumstances, including those
stated in the Disciplinary Rules. The fees of a lawyer will vary according to many factors, including the time required, his experience,
ability, and reputation, the nature of the employment, the responsibility involved, and the results obtained. Suggested fee schedules and
economic reports of state and local bar associations provide some
guidance on the subject of reasonable fees. It is a commendable and
long-standing tradition of the bar that special consideration is given
in the fixing of any fee for services rendered a brother lawyer or a
member of his immediate family.
. EC _2-19 As soon as feasible after a lawyer has been employed, it
desrrable that he reach a clear agreement with his client as to the
basis of the ~ee charges t~ be made. Such a course will not only prevent later mISunderstanding but will also work for good relations between the lawyer and the client. It is usually beneficial to reduce to
writin~ 1:he un~erstanding of the parties regarding the fee, particularly
when it is contmgent. A lawyer should be mindful that many persons
who desire to employ him may have had little or no experience with
fee charges of lawyers, and for this reason he should explain fully to
such persons the reasons for the particular fee arrangement he
proposes.
IS
EC 2-20 Contingent fee arrangements in civil cases have long
been commonly accepted in the United States in proceedings to enforce claim~. The ~torical ~ases of their acceptance are that (1) they
often, and lil a vanety of crrcumstances, provide the only practical
means by which one having a claim against another can economically
afford, fina1:1ce, ~nd obtain the services of a competent lawyer to
prosecute his claim, and (2) a successful prosecution of the claim
produces a res out of which the fee can be paid. Although a lawyer
generally should decline to accept employment on a contingent fee
basis by one who is able to pay a reasonable fixed fee, it is not necessarily improper for a lawyer, where justified by the particular circumstances of a case, to enter into a contingent fee contract in a civil case
wi~ any client who, after being fully informed of all relevant factors,
desrres that arr'.llgement. Because of the human relationships involved and the umque character of the proceedings, contingent fee arrangements in domestic relation cases are rarely justified. In
administrative agency proceedings contingent fee contracts should be
governed by the same consideration as in other civil cases. Public
policy properly condemns contingent fee arrangements in criminal
cases, largely on the ground that legal services in criminal cases do
not produce a res with which to pay the fee.
EC 2-~1 . A lawye~ should not accept compensation or any thing
of value mcrdent to his employment or services from one other than
his client without the knowledge and consent of his client after full
disclosure.
EC_ 2-2_2 With?ut the consent of his client, a lawyer sho\l{d not
associate m a parti~~ matter another lawyer outside his firm. A fee
~Y _prope~ly be divi~ed between lawyers properly associated if the
~".1s1on 1s m proportion to the services performed and the responsibility assumed by each lawyer and if the total fee is reasonable.
EC :Z-23 A lawyer should be zealous in his efforts to avoid controversies over fees with clients and should attempt to resolve amicably any differences on the subject. He should not sue a client for a fee
unless necessary to prevent fraud or gross imposition by the client.
Financial Ability to Employ Counsel:
Persons Unable to Pay Reasonable Fees
EC 2-24 A layman whose financial ability is not sufficient to permit payment of any fee cannot obtain legal services, other than in
cases where a contingent fee is appropriate, unless the services are
provided for him. Even a person of moderate means may be unable to
pay a reasonable fee which is large because of the complexity, novelty, or difficulty of the problem or similar factors.
EC 2-25 Historically, the need for legal services of those unable
to pay reasonable fees has been met in part by lawyers who donated
their services or accepted court appointments on behalf of such individuals. The basic responsibility for providing legal services for those
unable to pay ultimately rests upon the individual lawyer, and personal involvement in the problems of the disadvantaged can be one of
the most rewarding experiences in the life of a lawyer. Every lawyer,
regardless of professional prominence or professional workload,
should find time to participate in serving the disadvantaged. The rendition of free legal services to those unable to pay reasonable fees
continues to be an obligation of each lawyer, but the efforts of individual lawyers are often not enough to meet the need. Thus it has
been necessary for the profession to institute additional programs to
provide legal services. Accordingly, legal aid offices, lawyer referral
services, and other related programs have been developed, and others
will be developed, by the profession. Every lawyer should support all
proper efforts to meet this need for legal services.
Acceptance and Retention of Employment
EC 2-26 A lawyer is under no obligation to act as adviser or advocate for every person who may wish to become his client; but in
furtherance of the objective of the bar to make legal services fully
available, a lawyer should not lightly decline proffered employment.
The fulfillment of this objective requires acceptance by a lawyer of his
share of tendered employment which may be unattractive both to him
and the bar generally.
EC 2-27 History is replete with instances of distinguished and
sacrificial services by lawyers who have represented unpopular clients
and causes. Regardless of his personal feelings, a lawyer should not
decline representation because a client or a cause is unpopular or
community reaction is adverse.
_EC 2-28 1!1e ~rsonal preference of a lawyer to avoid adversary
alignment agamst judges, other lawyers, public officials, or influential
members of the community does not justify his rejection of tendered
employment.
EC 2-29 When a lawyer is appointed by a court or requested by a
bar association to undertake representation of a person unable to obtain counsel, whether for financial or other reasons, he should not
seek to be excused from undertaking the representation except for
compelling reasons. Compelling reasons do not include such factors
as the !~pugnance of the. subject n;iatter of the proceeding, the identity
or pos1t1on of a person mvolved m the case, the belief of the lawyer
that the defendant in a criminal proceeding is guilty, or the belief of
the lawyer regarding the merits of the civil case.
EC 2-30 Employment should not be accepted by a lawyer when
he is unable to render competent service or when he knows or it is
ob~io~ that th~ person seeking to employ him desires to institute or
~:UU.tam an action. mer~ly for the purpose of harassing or maliciously
~J~g ano~er. LikeWISe, a ~awyer s~o~d ~line employment if the
mt~ns1ty of hi~ per~n~ feelin_g, as distmguished from a community
attitude, may imparr his effective representation of a prospective client. If a lawyer knows a client has previously obtained counsel, he
should not accept employment in the matter unless the other counsel
approves or withdraw~, o~ ~e client terminates the prior employment.
EC 2-31 Full availability of legal counsel requires both that persons ~ able to obtain counsel and that lawyers who undertake representation complete the work involved. Trial counsel for a convicted
defendant should con~ue to repres~nt his client by advising whether
to take an appeal and, if the appeal 1s prosecuted, by representing him
through the appeal unless new counsel is substituted or withdrawn is
permitted by the appmpriate court.
(Rules of General Application--.p 15)
Canon 2
Rules of General Application
EC 2-32 A decision by a lawyer to withdraw should be made only
on the basis of compelling circumstances, and in a matter pending
before a tribunal he must comply with the rules of the tribunal regarding withdrawal. A lawyer should not withdraw without considering carefully and endeavoring to minimize the possible adverse effect
on the rights of his client and the possibility of prejudice to his client
as a result of his withdrawal. Even when he justifiably withdraws, a
lawyer should protect the welfare of his client by giving due notice of
his withdrawal, suggesting employment of other counsel, delivering to
the client all papers and property to which the client is entitled, cooperating with counsel subsequently employed, and otherwise endeavoring to minimize the possibility of harm. Further, he should
refund to the client any compensation not earned during the employment. [Adopted Dec. 7, 1971, effective Jan. l, 1972; PRIOR Canons
of Professional Ethics, adopted Nov. 22, 1950, effective Jan. 2, 1951.]
conduct. The public interest is best served in legal matters by a regulated profession committed to such standards. The Disciplinary Rules
protect the public in that they prohibit a lawyer from seeking employment by improper overtures, from acting in cases of divided
loyalties, and from submitting to the control of others in the exercise
of his judgment. Moreover, a person who entrusts legal matters to a
lawyer is protected by the attorney-client privilege and by the duty of
the lawyer to hold inviolate the confidences and secrets of his client.
EC 3-4 A layman who seeks legal services often is not in a position to judge whether he will receive proper professional attention.
The entrustment of a legal matter may well involve the confidences,
the reputation, the property, the freedom, or even the life of the client.
Proper protection of members of the public demands that no person
be permitted to act in the confidential and demanding capacity of a
lawyer unless he is subject to the regulations of the legal profession.
CANON 3
A LA WYER. SHOULD ASSISI' IN PllEVENTING THE
UNAUTIIOIUZED PRAcnCE OF LAW
DR 3-101 Aiding Unauthorized Practice of Law.
(A) A lawyer shall not aid a non-lawyer in the unauthorized practice of law.
(B) A lawyer shall not practice law in a jurisdiction
where to do so would be in violation of regulations of
the profession in that jurisdiction.
DR 3-102 Dividing Legal Fees With a Non-Lawyer.
(A) A lawyer or law firm shall not share legal fees
with a non-lawyer, except that:
(1) An agreement by a lawyer with his firm, partner,
or associate may provide for the payment of money,
over a reasonable period of time after his death, to his
estate or to one or more specified persons.
(2) A lawyer who undertakes to complete unfinished
legal business of a deceased lawyer may pay to the estate of the deceased lawyer that proportion of the total
compensation which fairly represents the services rendered by the deceased lawyer.
(3) A lawyer or law firm may include non-lawyer
employees in a retirement plan, even though the plan is
based in whole or in part on a profit-sharing
arrangement.
DR 3-103 Forming a Partnership With a Non-Lawyer.
(A) A lawyer shall not form a partnership with a
non-lawyer if any of the activities of the partnership
consist of the practice of law.
ETHICAL CONSIDERATIONS
EC 3-1 The prohibition against the practice of law by a layman is
grounded in the need of the public for integrity and competence of
those who undertake to render legal services. Because of the fiduciary
and personal character of the lawyer-client relationship and the inherently complex nature of our legal system, the public can better be
assured of the requisite responsibility and competence if the practice
of law is confined to those who are subject to the requirements and
regulations imposed upon members of the legal profession.
EC 3-2 The sensitive variations in the considerations that bear on
legal determinations often make it difficult even for a lawyer to exercise appropriate professional judgment, and it is therefore essential
that the personal nature of the relationship of client and lawyer be
preserved. Competent professional judgment is the product of a
trained familiarity with law and legal processes, a disciplined, analytical approach to legal problems, and a firm ethical commitment.
EC 3-J A non-lawyer who undertakes to handle legal matters is
not governed as to integrity or legal competence by the same rules
that govern the conduct of a lawyer. A lawyer is not only subject to
that regulation but also is committed to high standards of ethical
(Rules of General Appliation--p 16)
EC 3-5 It is neither necessary nor desirable to attempt the formulation of a single, specific definition of what constitutes the practice of law. Functionally, the practice of law relates to the rendition of
services for others that call for the professional judgment of a lawyer.
The essence of the professional judgment of the lawyer is his educated
ability to relate the general body and philosophy of law to a specific
legal problem of a client; and thus, the public interest will be better
served if only lawyers are permitted to act in matters involving professional judgment. Where this professional judgment is not involved,
non-lawyers, such as court clerks, police officers, abstracters, and
many governmental employees, may engage in occupations that require a special knowledge of law in certain areas. But the services of a
lawyer are essential in the public interest whenever the exercise of
professional legal judgment is required.
EC 3-6 A lawyer often delegates tasks to clerks, secretaries, and
other lay persons. Such delegation is proper if the lawyer maintains a
direct relationship with his client, supervises the delegated work, and
has complete professional responsibility for the work product. This
delegation enables a lawyer to render legal service more economically
and efficiently.
EC 3-7 The prohibition against a non-lawyer practicing law does
not prevent a layman from representing himself, for then he is ordinarily exposing only himself to possible injury. The purpose of the legal profession is to make educated legal representation available to
the public; but anyone who does not wish to avail himself of such
representation is not required to do so. Even so, the legal profession
should help members of the public to recognize legal problems and to
understand why it may be unwise for them to act for themselves in
matters having legal consequences.
EC J-8 Since a lawyer should not aid or encourage. a layman to
practice law, he should not practice law in association with a layman
or otherwise share legal fees with a layman. This does not mean,
however, that the pecuniary value of the interest of a deceased lawyer
in his firm or practice may not be paid to his estate or specified persons such as his widow or heirs. In like manner, profit-sharing retirement plans of a lawyer or law firm which include non-lawyer office
employees are not improper. These limited exceptions to the rule
against sharing legal fees with laymen are permissible since they do
not aid or encourage laymen to practice law.
EC 3-9 Regulation of the practice of law is accomplished principally by the respective states. Authority to engage in the practice of
law conferred in any jurisdiction is not per se a grant of the right to
practice elsewhere, and it is improper for a lawyer to engage in practice where he is not permitted by law or by court order to do so.
However, the demands of business and the mobility of our society
pose distinct problems in the regulation of the practice of law by the
states. ln furtherance of the public interest, the legal profession should
discourage regulation that unreasonably imposes territorial limitations
upon the right of a lawyer to handle the legal affairs of his client or
upon the opportunity of a client to obtain the services of a lawyer of
his choice in all matters including the presentation of a contested
matter in a tribunal before which the lawyer is not permanently admitted to practice. [Adopted Dec. 7, 1971, effective Jan. l, 1972;
PRIOR Canons of Professional Ethics, adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Canon 5
Code of Professional Responsibility (CPR)
CANON 4
A LAW\'EK
SHOULD PKESEKVE THE CONFIDENCES AND
SECKETS OF A CLIENT
DR 4-101 Preservation of Confidences and Secrets of a
Client.
(A) "Confidence" refers to information protected by
the attorney-client privilege under applicable law, and
"secret" refers to other information gained in the professional relationship that the client has requested be
held inviolate or the disclosure of which would be embarrassing or would be likely to be detrimental to the
client.
(B) Except when permitted under DR 4-IOI(C) and
(D), a lawyer shall not knowingly during or after termination of the professional relationship to his client:
(I) Reveal a confidence or secret of his client.
(2) Use a confidence or secret of his client to the disadvantage of the client.
(3) Use a confidence or secret of his client for the
advantage of himself or of a third person, unless the
client consents after full disclosure.
(C) A lawyer may reveal:
(1) Confidences or secrets with the consent of the client or clients affected, but only after a full disclosure to
them.
(2) Confidences or secrets when permitted under Disciplinary Rules or required by law or court order.
(3) The intention of his client to commit a crime and
the information necessary to prevent the crime.
(4) Confidences or secrets necessary to establish or
collect his fee or to defend himself or his employees or
associates against an accusation of wrongful conduct.
(D) A lawyer shall exercise reasonable care to prevent his employees, associates, and others whose services are utilized by him from disclosing or using
confidences or secrets of a client, except that a lawyer
may reveal the information allowed by DR 4-IOl(C)
through an employee.
EnncAL CONSIDERATIONS
EC 4-1 Both the fiduciary relationship existing between lawyer
and client and the proper functioning of the legal system require the
preservation by the lawyer of confidences and secrets of one who has
employed or sought to employ him. A client must feel free to discuss
whatever he wishes with his lawyer and a lawyer must be equally free
to obtain information beyond that volunteered by his client. A lawyer
should be fully informed of all the facts of the matter he is handling
in order for his client to obtain the full advantage of our legal system.
It is for the lawyer in the exercise of his independent professional
judgment to separate the relevant and important from the irrelevant
and unimportant. The observance of the ethical obligation of a lawyer
to hold inviolate the confidences and secrets of his client not only facilitates the full development of facts essential to proper representation of the client but also encourages laymen to seek early legal
assistance.
EC 4-l The obligation to protect confidences and secrets obviously does not preclude a lawyer from revealing information when his
client consents after full disclosure, when necessary to perform his
professional employment, when permitted by a Disciplinary Rule, or
when required by law. Unless the client otherwise directs, a lawyer
may disclose the affairs of his client to partners or associates of his
firm. It is a matter of common knowledge that the normal operation
of a law office exposes confidential professional information to nonlawyer employees of the office, particularly secretaries and those having access to the files; and this obligates a lawyer to exercise care in
selecting and training his employees so that the sanctity of all_ co~­
dences and secrets of his clients may be preserved. If the obligat.ton
extends to two or more clients as to the same information, a lawyer
should obtain the permission of all before revealing ~e inf~tio~.
A lawyer must always be sensitive to the rights ~d wish~s of his ~li­
ent and act scrupulously in the making of decxSions which may mvolve the disclosure of information obtained in d!is professional
relationship. Thus, in the absence of consent of his client after full
disclosure, a lawyer should not associate another lawyer in the handling of a matter; nor should he, in the absence of consent, seek
counsel from another lawyer if there is a reasonable possibility that
the identity of the client or his confidences or secrets would be revealed to such lawyer. Both social amenities and professional duty
should cause a lawyer to shun indiscreet conversations concerning his
clients.
EC 4-3 Unless the client otherwise directs, it is not improper for a
lawyer to give limited information from his files to an outside agency
necessary for statistical, bookkeeping, accounting, data processing,
banking, printing, or other legitimate purposes, provided he exercises
due care in the selection of the agency and warns the agency that the
information must be kept confidential.
EC 4-4 The attorney-client privilege is more limited than the ethical obligation of a lawyer to guard the confidences and secrets of his
client. This ethical precept, unlike the evidentiary privilege, exists
without regard to the nature or source of information or the fact that
others share the knowledge. A lawyer should endeavor to act in a
manner which preserves the evidentiary privilege; for example, he
should avoid professional discussions in the presence of persons to
whom the privilege does not extend. A lawyer owes an obligation to
advise the client of the attorney-client privilege and timely to assert
the privilege unless it is waived by the client.
EC 4-5 A lawyer should not use information acquired in the
course of the representation of a client to the disadvantage of the client and a lawyer should not use, except with the consent of his client
after full disclosure, such information for his own purposes. Likewise,
a lawyer should be diligent in his efforts to prevent the misuse of such
information by his employees and associates. Care should be exercised by a lawyer to prevent the disclosure of the confidences and secrets of one client to another, and no employment should be accepted
that might require such disclosure.
EC 4-6 The obligation of a lawyer to preserve the confidences
and secrets of his client continues after the termination of his employment. Thus an attorney, as successor to another practice, must
preserve inviolate the secrets and confidences reflected in the files in
the same respect as required by his predecessor. A lawyer should take
all reasonable steps, providing safeguards from disclosing the confidences and secrets reflected in the files of his client, following the termination of his practice of the law whether termination is due from
disability or retirement. [Adopted Dec. 7, 1971, effective Jan. l, 1972;
PRIOR Canons of Professional Ethics, adopted Nov. 22, 1950, effective Jan. 2, 1951.]
CANON 5
A LAWYER
SHOULD EXERCISE INDEPENDENT
PROFESSIONAL JUDGMENT ON BEHALF OF A CLIENT
DR 5-101 Refusing Employment When the Interests of
the Lawyer May Impair His Independent
Professional Judgment.
(A) Except with the consent of his client after full
disclosure, a lawyer shall not accept employment if the
exercise of his professional judgment on behalf of his
client will be or reasonably may be affected by his own
financial, business, property, or personal interests.
(B) A lawyer shall not accept employment in contemplated or pending litigation if he knows or it is obvious that he or a lawyer in his finn ought to be called
as a witness, except that he may undertake the employment and he or a lawyer in his firm may testify:
(1) If the testimony will relate solely to an uncontested matter.
(Rules of Geoeral Applicatioo---p 17)
Lanon
~
Kules of General Application
(2) If the testimony will relate solely to a matter of
formality and there is no reason to believe that substantial evidence will be offered in opposition to the
testimony.
(3) If the testimony will relate solely to the nature
and value of legal services rendered in the case by the
lawyer or his firm to the client.
(4) As to any matter, if refusal would work a substantial hardship on the client because of the distinctive
value of the lawyer or his firm as counsel in the particular case.
DR 5-102 Withdrawal as Counsel When the Lawyer
Becomes a Witness.
(A) If, after undertaking employment in contemplated or pending litigation, a lawyer learns or it is obvious
that he or a lawyer in his firm ought to be called as a
witness on behalf of his client, he shall withdraw from
the conduct of the trial and his firm, if any, shall not
continue representation in the trial, except that he may
continue the representation and he or a lawyer in his
firm may testify in the circumstances enumerated in DR
5-lOl(B) (1) through (4).
(B) If, after undertaking employment in contemplated
or pending litigation, a lawyer learns or it is obvious
that he or a lawyer in his firm may be called as a witness other than on behalf of his client, he may continue
the representation until it is apparent that his testimony
is or may be prejudicial to his client.
DR 5-103 Avoiding Acquisition of Interest in Litigation.
(A) A lawyer shall not acquire a proprietary interest
in the cause of action or subject matter of litigation he
is conducting for a client, except that he may:
(1) Acquire a lien granted by law to secure his fee or
expenses.
(2) Contract with a client for a reasonable contingent
fee in a civil case.
(B) While representing a client in connection with
contemplated or pending litigation, a lawyer shall not
advance or guarantee financial assistance to his client,
except that a lawyer may advance or guarantee the expenses of litigation, including court costs, expenses of
investigation, expenses of medical examination, and
costs of obtaining and presenting evidence, provided
the client remains ultimately liable for such expenses.
DR 5-104 Limiting Business Relations With a Client.
(A) A lawyer shall not enter into a business transaction with a client if they have differing interests therein
and if the client expects the lawyer to exercise his professional judgment therein for the protection of the client, unless the client has consented after full disclosure.
(B) Prior to conclusion of all aspects of the matter
giving rise to his employment, a lawyer shall not enter
into any arrangement or understanding with a client or
a prospective client by which he acquires an interest in
publication rights with respect to the subject matter of
his employment or proposed employment.
DR 5-105 Refusing to Accept or Continue Employment
if the Interests of Another Client May Impair
(Rules of Genera! Application--p 18)
the Independent Professional Judgment of
the Lawyer.
(A) A lawyer shall decline proffered employment if
the exercise of his independent professional judgment in
behalf of a client will be or is lik,ely to be adversely affected by the acceptance of the proffered employment,
except to the extent permitted under DR 5-I05(C).
(B) A lawyer shall not continue multiple employment
if the exercise of his independent professional judgment
in behalf of a client will be or is likely to be adversely
affected by his representation of another client, except
to the extent permitted under DR 5-105(C).
(C) In the situations covered by DR 5-105(.A.) and
(B), a lawyer may represent multiple clients if it is obvious that he can adequately represent the interests of
each and if each consents to the representation after full
disclosure of the possible effect of such representation
on the exercise of his independent professional judgment on behalf of each.
(D) If a lawyer is required to decline employment or
to withdraw from employment under DR 5-105, no
partner or associate of his or his firm may accept or
continue such employment.
DR 5-106 Settling Similar Claims of Clients.
(A) A lawyer who represents two or more clients shall
not make or participate in the making of an aggregate
settlement of the claims of or against his clients, unless
each client has consented to the settlement after being
advised of the existence and nature of all the claims involved in the proposed settlement, of the total amount
of the settlement, and of the participation of each person in the settlement.
DR 5-107 Avoiding Influence by Others Than the
Client.
(A) Except with the consent of his client after full
disclosure, a lawyer shall not:
(I) Accept compensation for his legal services from
one other than his client.
(2) Accept from one other than his client any thing of
value related to his representation of or his employment
by his client.
(B) A lawyer shall not permit a person who recommends, employs, or pays him to render legal services for
another to direct or regulate his professional judgment
in rendering such legal services.
(C) A lawyer shall not practice with or in the form of
a professional corporation or association authorized to
practice law for a profit, if:
(I) A non-lawyer owns any interest therein, except
that a fiduciary representative of the estate of a lawyer
may hold the stock or interest of the lawyer for a reasonable time during administration;
(2) A non-lawyer is a corporate director or officer
thereof; or
(3) A non-lawyer has the right to direct or control
the professional judgment of a lawyer.
Canon 5
Code of Professional Responsibility (CPR)
ETIDCAL CoNSIDERATIONS
EC S-1 The professional judgment of a lawyer should ~e e~er­
cised within the bounds of the law, solely for the benefit of his client
and free of compromising influences and loyalties. Neither his persona! interests, the interests of other clients, nor the desires of third
persons should be permitted to dilute his loyalty to his client.
Interests of a Lawyer That May Affect His Judgment
EC S-2 A lawyer should not accept proffered employment if his
personal interests or desires will, or there is a reasonable probability
that they will, affect adversely the advice to be given or services to be
rendered the prospective client. After accepting employment, a lawyer
carefully should refrain from acquiring a property right or assuming a
position that would tend to make his judgment less protective of the
interests of his client.
EC S-3 The self-interest of a lawyer resulting from his ownership
of property in which his client also has an interest or which may affect property of his client may interfere with the exercise of free judgment on behalf of his client. If such interference would occur with
respect to a prospective client, a lawyer should decline employment
proffered by him. After accepting employment, a lawyer should not
acquire property rights that would adversely affect his professional
judgment in the representation of his client. Even if the property interests of a lawyer do not presently interfere with the exercise of his
independent judgment, but the likelihood of interference can reasonably be foreseen by him, a lawyer should explain the situation to his
client and should decline employment or withdraw unless the client
consents to the continuance of the relationship after full disclosure. A
lawyer should not seek to persuade his client to permit him to invest
in an undertaking of his client nor make improper use of his professional relationship to influence his client to invest in an enterprise in
which the lawyer is interested.
EC 5-4 If, in the course of his representation of a client, a lawyer
is permitted to receive from his client a beneficial ownership in publi-
cation rights relating to the subject matter of the employment, he may
be tempted to subordinate the interests of his client to his own anticipated pecuniary gain. For example, a lawyer in a criminal case who
obtains from his client television, radio, motion picture, newspaper,
magazine, book, or other publication rights with respect to the case
may be influenced, consciously or unconsciously, to a course of conduct that will enhance the value of his publication rights to the prejudice of his client. To prevent these potentially differing interests, such
arrangements should be scrupulously avoided prior to the termination
of all aspects of the matter giving rise to the employment, even
though his employment bas previously ended.
EC S-5 A lawyer should not suggest to his client that a gift be
made to himself or for his benefit. If a lawyer accepts a gift from his
client, he is peculiarly susceptible to the charge that be unduly influenced or over-reached the client. If a client voluntarily offers to make
a gift to his lawyer, the lawyer may accept the gift, but before doing
so, he should urge that his client secure disinterested advice from an
independent, competent person who is cognizant of all the circumstances. Other than in exceptional circumstances, a lawyer should insist that an instrument in which his client desires to name him
beneficially be prepared by another lawyer selected by the client.
EC 5--6 A lawyer should not consciously influence a client to
name him as executor, trustee, or lawyer in an instrument. In those
cases where a client wishes to name his lawyer as such, care should be
taken by the lawyer to avoid even the appearance of impropriety.
EC S-7 The possibility of an adverse effect upon the exercise of
free judgment by a lawyer on behalf of his client during litigation
generally makes it undesirable for the lawyer to acquire a proprietary
interest in the cause of his client or otherwise to become financially
interested in the outcome of the litigation. However, it is not improper
for a lawyer to protect his right to collect a fee for his services by the
assertion of legally permissible liens, even though by doing so he may
acquire an interest in the outcome of the litigation. Although a contingent fee arrangement gives a lawyer a financial interest in the outcome of litigation, a reasonable contingent fee is permissible in civil
cases because it may be the only means by which a layman can obtain the services of a lawyer of his choice. But a lawyer, because he is
in a better position to evaluate a cause of action, should enter into a
contingent fee arrangement only in those instances where the arrangement will be beneficial to the client.
EC 5-8 A financial interest in the outcome of litigation also results if monetary advances are made by a lawyer to his c~ent. Although this assistance is generally not encouraged, there are mstan~
when it is not improper to advance or guar'.lntee _the_ expenses of litigation, including court costs, expenses of 111~estigation, ex?'.nses ~f
medical examination, and the cost of obta!Il1Dg and presentmg evidence, provided that the client remains ultimately. liable for such
expenses.
EC S-9 Occasionally a lawyer is called upon to decide in a p~­
ticular case whether be will be a witness or an advocate. If a lawyer IS
both counsel and witness, he becomes more easily impeachable for
interest and thus may be a less effective witness .. Conversely~ ~e opposing counsel may be handicapped in challengmg the c~edibility of
the lawyer when the lawyer also appears as an advocate m ~e case.
An advocate who becomes a witness is in the unseemly and meffective position of arguing his own credibility. ~e roles of an adv~te
and of a witness are inconsistent; the function of an advocate is to
advance or argue the cause of another, while that of a witness is to
state facts objectively.
EC 5-10 Problems incident to the lawyer-witness relationship
arise at different stages; they relate either to whether a lawyer should
accept employment or should withdraw from employment. Regardless
of when the problem arises, his decision is to be governed by ~e same
basic considerations. It is not objectionable for a lawyer who IS a potential witness to be an advocate if it is unlikely that he will be called
as a witness because his testimony would be merely cumulative or if
his testimony will relate only to an uncontest~ issue. In. the exceptional situation where it will be manifestly unfalf to the client for the
lawyer to refuse employment or to withdraw when he will likely be a
witness on a contested issue, he may serve as advocate even though
he may be a witness. In making such decision, he should determine
the personal or financial sacrifice of the client that may res':1lt_ from ~
refusal of employment or withdrawal therefrom, the materiality of his
testimony, and the effectiveness of his representation in view of his
personal involvement. In weighing these factors, it should be clear
that refusal or withdrawal will impose an unreasonable hardship upon
the client before the lawyer accepts or continues the employment.
Where the question arises, doubts should be resolved in favor of the
lawyer testifying and against his becoming or continuing as an
advocate.
EC S-11 A lawyer should not permit his personal interests to influence his advice relative to a suggestion by his client that additional
counsel be employed. In like manner, his personal interests should not
deter him from suggesting that additional counsel be employed; on
the contrary, he should be alert to the desirability of recommending
additional counsel when, in his judgment, the proper representation of
his client requires it. However, a lawyer should advise his client not to
employ additional counsel suggested by the client if the lawyer believes that such employment would be a disservice to the client, and
he should disclose the reasons for his belief.
EC S-12 Inability of co-counsel to agree on a matter vital to the
representation of their client requires that their disagreement be submitted by them jointly to their client for his resolution, and the decision of the client shall control the action to be taken.
EC S-13 A lawyer should not maintain membership in or be influenced by any organization of employees that. undertakes to prescribe, direct, or suggest when or how he should fulfill his professional
obligations to a person or organization that employs him as a lawyer.
Although it is not necessarily improper for a lawyer employed by a
corporation or similar entity to be a member of an organization of
employees, be should be vigilant to safeguard his fidelity as a lawyer
to his employer, free from outside influences.
Interests of Multiple Clients
EC S-14 Maintaining the independence of professional judgment
required of a lawyer precludes bis acceptance or continuation of employment that will adversely affect his judgment on behalf of or dilute
his loyalty to a client. This problem arises whenever a lawyer is asked
to represent two or more clients who may have differing interests,
whether such interests be conflicting, inconsistent, diverse, or otherwise discordant.
EC S-15 If a lawyer is requested to undertake or to continue representation of multiple clients having potentially differing interests, he
(Rules of Geoeral Application---- 19)
Lanon 5
Rules of General Application
must weigh. carefully t~e possibility that bis judgment may be impaired or bis loyalty divided if be accepts or continues the employment. He .should resolve all doubts against the propriety of the
representation. A .laW?'er should never represent in litigation multiple
clients with diffenng mterests; and there are few situations in which
he would be justified in representing in litigation multiple clients with
potentially differing. interests. If a lawyer accepted such employment
~d the mterests did become actually differing, be would have to
witbd~aw from employment wi~ ~elihood of resulting hardship on
the clients: ~d for this reason 1t 1s preferable that be refuse the employment IIlltially. On the other hand, there are many instances in
w.hic~ a lawyer m~y properly serve multiple clients having potentially
diffenng mt~rests ~ ~atters not involving litigation. If the interests
varr only slightly, It IS .generally likely that the lawyer will not be
subje~ted to an adverse influence and that he can retain his independent judgment on behalf of each client; and if the interests become
differing, withdrawal is less likely to have a disruptive effect upon the
causes of his clients.
E~ S-16 In those ~stances in which a lawyer is justified in representmg two or more clients having differing interests, it is nevertheless
essential that e~ch client be given the opportunity to evaluate his need
for representation free of any potential conflict and to obtain other
~unsel if he so desires .. Thus before a lawyer may represent multiple
clients, be should explam fully to each client the implications of the
com~on repr~sentation and should accept or continue employment
only if the clients consent. If there are present other circumstances
that might cause any of the multiple clients to question the undivided
loyalty of the lawyer, he should also advise all of the clients of those
circumstances.
~C ~17 Typically re~urrin_g situations involving potentially difmter~sts are_ ~ose m which a lawyer is asked to represent codef~ndants m a c~al case, co-plaintiffs in a personal injury case,
fenng
an msured and his msurer, and beneficiaries of the estate of a decedent. Whether. a lawyer can fairly and adequately protect the interests
of mu!tiple clients in these a~d s~ar situations depends upon an
analysts of ea~h case. In certam ctrcumstances, there may exist little
c~ance of !11~ )udgment of. the lawyer being adversely affected by the
slight ~ss1bility that the mterests will become actually differing; in
other crrcumstances, the chance of adverse effect upon bis judgment is
not unlikely.
EC S-18 A lawyer employed or retained by a corporation or simentity owes bis allegiance to the ~tity and not to a stockholder,
director, officer, employee, representative, or other person connected
with th~ e.ntity. In ad~ing the ~ntity, a lawyer should keep paramount its mterests and his professional judgment should not be influenced_ by the personal desires of any person or organization.
Occasionally a lawyer for an entity is requested by a stockholder, director, officer, employee, representative, or other person connected
with the entity to represent him in an individual capacity; in such
case the lawyer may serve the individual only if the lawyer is convinced that differing interests are not present.
il~r
EC S-19 A lawyer may represent several clients whose interests
are not actually or potentially differing. Nevertheless, he should explain any circumstances that might cause a client to question his undivided loyalty. Regardless of the belief of a lawyer that he may
properly represent multiple clients, he must defer to a client who
holds the contrary belief and withdraw from representation of that
client.
EC S--20 A lawyer is often asked to serve as an impartial arbitrator or mediator in matters which involve present or former clients. He
may serve in either capacity if he first discloses such present or former
rela_tionsbips. Aft~r a lawyer has undertaken to act as an impartial
arbitrator or mediator, he should not thereafter represent in the dispute any of the parties involved.
Desires of Third Persons
EC S--21 The obligation of a lawyer to exercise professional judgment solely on behalf of bis client requires that he disregard the desires of others that might impair his free judgment. The desires of a
~d pers~~ will seldom adversely affect a lawyer unless that person
IS m a pos1t10n to exert strong economic, political, or social pressures
upon the lawye~. Th~se influences are often subtle, and a lawyer must
be alert to therr eXJstence. A lawyer subjected to outside pressures
!Rules of General Applicltion---p 20)
should .make full disclosure of them to bis client; and if he or his clie~t beli.eves. that the effectiveness of bis representation has been or
will be tmparred thereby, the lawyer should take proper steps to withdraw from representation of his client.
EC 5-~2 Eco~o~c, political, or social pressures by third persons
less likely to ~pmge. upon the independent judgment of a lawyer
ID a matter ID which he 1s compensated directly by his client and his
professional work is exclusively with his client. On the other hand. if a
lawyer is compensated from a source other than his client, he may
feel a sense of responsibility to someone other than bis client
~re
EC 5-23 A person or organization that pays or furnishes lawyers
to represent others possesses a potential power to exert strong pressures against the independent judgment of those lawyers. Some employers may be interested in furthering their own economic, political,
or social goals without regard to the professional responsibility of the
lawyer to his individual client. Others may be far more concerned
with establishment or extension of legal principles than in the immediate protection of the rights of the lawyer's individual client. On
some occasions, decisions on priority of work may be made by the
employer rather than the lawyer with the result that prosecution of
work already undertaken for clients is postponed to their detriment.
Similarly, an employer may seek, consciously or unconsciously, to
further its o~ ~nomic interests through the actions of the lawyers
employed by 1t. Smee a lawyer must always be free to exercise his
professional judgment without regard to the interests or motives of a
third person, the lawyer who is employed by one to represent another
must constantly guard against erosion of bis professional freedom.
EC 5-24 To assist a lawyer in preserving his professional independence, a number of courses are available to him. For example, a
lawyer s~ould not practice with or in the form of a professional legal
corporation, even though the corporate form is permitted by law, if
any director, officer, or stockholder of it is a non-lawyer. Although a
lawyer may be employed by a business corporation with non-lawyers
serving as_ ~irectors or ?fficers, ~nd they necessarily have the right to
make dec1s1ons of busmess policy, a lawyer must decline to accept
direction of his professional judgment from any layman. Various
types of legal aid offices are administered by boards of directors
composed of lawyers and laymen. A lawyer should not accept employment from such an organization unless the board sets only broad
policies ~n~ ~ere is _no interference in the relationship of the lawyer
and ~e ":1d1Vldual ~lient he serves. Where a lawyer is employed by an
orgaruzatlon, a wntten agreement that defines the relationship betwe~n him _and !-he organization and provides for his independence is
desrrab~e smce tt may serve to prevent misunderstanding as to their
~espect1ve roles. Although other innovations in the means of supply1Dg_ leg.al ':ounsel ~y d~velop, the responsibility of the lawyer to
mamtam bis professional mdependence remains constant, and the legal profession must insure that changing circumstances do not result
in loss of the professional independence of the lawyer. [Adopted Dec.
7, 1971, effective Jan. 1, 1972; PRIOR Canons of Professional Ethics,
adopted Nov. 22, 1950, effective Jan. 2, 1951.]
CANON 6
A
LA WYER SHOULD REPRESENT A
CLIENT
COMPETENTLY
DR 6--101 Failing to Act Competently.
(A) A lawyer shall not:
( 1) Handle a legal matter which he knows or should
know that he is not competent to handle, without asso~iating with him a lawyer who is competent to handle
1t.
(2) Handle a legal matter without preparation adequate in the circumstances.
(3) Neglect a legal matter entrusted to him.
DR 6--102 Limiting Liability to Client.
(A) A lawyer shall not attempt to exonerate himself
from or limit his liability to his client for his personal
malpractice.
Code of Professional Responsibility (CPR)
EnncAL CONSIDERATIONS
EC 6-1 Because of his vital role in the legal process, a lawyer
should act with competence and proper care in representing clients.
He should strive to become and remain proficient in his practice and
should accept employment only in matters which he is or intends to
become competent to handle.
EC 6-2 A lawyer is aided in attaining and maintaining his competence by keeping abreast of current legal literature and developments, participating in continuing legal education programs,
concentrating in particular areas of the law, and by utiliz.ing other
available means. He has the additional ethical obligation to assist in
improving the legal profession, and he may do so by participating in
bar activities intended to advance the quality and standards of members of the profession. Of particular importance is the cal'eful training
of his younger associates and the giving of sound guidance to all lawyers who consult him. In short, a lawyer should strive at all levels to
aid the legal profession in advancing the hi~est possible standards of
integrity and competence and to meet those standards himself.
EC 6-3 While the licensing of a lawyer is evidence that he has
met the standards then prevailing for admission to the bar, a lawyer
generally should not accept employment in any area of the law in
which he is not qualified. However, he may accept such employment
if in good faith he expects to become qualified throu~ study and investigation, as long as such preparation would not result m unreasonable delay or expense to his client. Proper preparation and
representation may require the association by the lawyer of professionals in other disciplines. A lawyer offered employment in a matter
in which he is not and does not expect to become so qualified should
either decline the employment or, with the consent of his client, accept the employment and associate a lawyer who is competent in the
matter.
EC 6-4 Having undertaken representation, a lawyer should use
proper care to safeguard the interests of his client. If a lawyer has accepted employment in a matter beyond his competence but in which
he expected to become competent, he should diligently undertake the
work and study necessary to qualify himself. In addition to being
qualified to handle a particular matter, his obligation to his client requires him to prepare adequately for and give appropriate attention to
his legal work.
EC 6-5 A lawyer should have pride in his professional endeavors.
His obligation to act competently calls for hi~er motivation than
that arising from fear of civil liability or disciplinary penalty.
EC 6-6 A lawyer should not seek, by contract or other means, to
limit his individual liability to his client for his malpractice. A lawyer
who handles the affairs of his client properly has no need to attempt
to limit his liability for his professional activities and one who does
not handle the affairs of his client properly should not be permitted to
do so. A lawyer who is a stockholder in or is associated with a professional legal corporation may, however, limit his liability for malpractice of his associates in the corporation, but only to the extent
permitted by law. [Adopted Dec. 7, 1971, effective Jan. 1, 1972; prior
Canons of Professional Ethics, adopted Nov. 22, 1950, effective Jan.
2, 1951.]
CANON7
A
LAWYER SHOULD REPRESENT A CLIENT ZEALOUSLY
WITIIlN THE BOUNDS OF TIIE LAW
DR 7-101 Representing a Client Zealously.
(A) A lawyer shall not intentionally:
(1) Fail to seek the lawful objectives of his client
through reasonably available means permitted by law
and the Disciplinary Rules, except as provided by DR
7-lOl(B). A lawyer does not violate this Disciplinary
Rule, however, by acceding to reasonable requests of
opposing counsel which do not prejudice the rights of
his client, by being punctual in fulfilling all professional
commitments, by avoiding offensive tactics, or by treating with courtesy and consideration all persons involved
in the legal process.
Canon 7
(2) Fail to carry out a contract of employment entered into with a client for professional services, but he
may withdraw as permitted under DR 2-110, DR 5102, and DR 5-105.
(3) Prejudice or damage his client during the course
of the professional relationship, except a_s required under DR 7-102(B).
(B) In his representation of a client, a lawyer may:
(1) Where permissible, exercise his professional judgment to waive or fail to assert a right or position of his
client.
(2) Refuse to aid or participate in conduct that he
believes to be unlawful, even though there is some support for an argument that the conduct is legal.
DR 7-102 Representing a Client Within the Bounds of
the Law.
(A) In his representation of a client, a lawyer shall
not:
(1) File a suit, assert a position, conduct a defense,
delay a trial, or take other action on behalf of his client
when he knows or when it is obvious that such action
would serve merely to harass or maliciously injure
another.
(2) Knowingly advance a claim or defense that is unwarranted under existing law, except that he may advance such claim or defense if it can be supported by
good faith argument for an extension, modification, or
reversal of existing law.
(3) Conceal or knowingly fail to disclose that which
he is required by law to reveal.
(4) Knowingly use perjured testimony or false
evidence.
(5) Knowingly make a false statement of law or fact.
(6) Participate in the creation or preservation of evidence when he knows or it is obvious that the evidence
is false.
(7) Counsel or assist his client in conduct that the
lawyer knows to be illegal or fraudulent.
(8) Knowingly engage in other illegal conduct or
conduct contrary to a Disciplinary Rule.
(B) A lawyer who receives infonnation clearly establishing that:
(1) His client has, in the course of the representation,
perpetrated a fraud upon a person or tribunal, shall
promptly call upon his client to-rectify the same, and if
his client refuses or is unable to do so, he shall reveal
the fraud to the affected tribunal and may reveal the
fraud to the affected person.
(2) A person other than his client has perpetrated a
fraud upon a tribunal shall promptly reveal the fraud to
the tribunal.
DR 7-103 Performing the Duty of Public Prosecutor or
Other Government Lawyer.
(A) A public prosecutor or other government lawyer
shall not institute or cause to be instituted criminal
charges when: he knows or it is obvious that the charges
are not supported by probable cause.
(B) A public prosecutor or other government lawyer
in criminal litigation shall make timely disclosure to
counsel for the defendant, or to the defendant if he has
!Rules of General Applicatioo------p 211
Lanon /
KUies
01
l:ieneraJ Application
no counsel, of the existence of evidence, known to the
prosecutor or other government lawyer, that tends to
negate the guilt of the accused, mitigate the degree of
the offense, or reduce the punishment.
DR 7-104 Communicating
Interest.
With
One
of Adverse
(A) During the course of his representation of a client
a lawyer shall not:
(I) Communicate or cause another to communicate
on the subject of the representation with a party he
knows to be represented by a lawyer in that matter unless he has the prior consent of the lawyer representing
such other party or is authorized by law to do so.
(2) Give advice to a person who is not represented by
a lawyer, other than the advice to secure counsel, if the
interests of such person are or have a reasonable possibility of being in conflict with the interests of his client.
DR 7-105 Threatening Criminal Prosecution.
(A) A lawyer shall not present, participate in presenting, or threaten to present criminal charges solely to
obtain an advantage in a civil matter.
DR 7-106 Trial Conduct.
(A) A lawyer shall not disregard or advise his client
to disregard a standing rule of a tribunal or a ruling of
a tribunal made in the course of a proceeding, but he
may take appropriate steps in good faith to test the validity of such rule or ruling.
(B) In presenting a matter to a tribunal, a lawyer
shall disclose:
(I) Legal authority in the controlling jurisdiction
known to him to be directly adverse to the position of
his client and which is not disclosed by opposing
counsel.
(2) Unless privileged or irrelevant, the identities of
the clients he represents and of the persons who employed him.
(C) In appearing in his professional capacity before a
tribunal, a lawyer shall not:
(l) State or allude to any matter that he has no reasonable basis to believe is relevant to the case or that
will not be supported by admissible evidence.
(2) Ask any question that he has no reasonable basis
to believe is relevant to the case and that is intended to
degrade a witness or other person.
(3) Assert his personal knowledge of the facts in issue, except when testifying as a witness.
(4) Assert his personal opinion as to the justness of a
cause, as to the credibility of a witness, as to the culpability of a civil litigant, or as to the guilt or innocence of
an accused; but he may argue, on his analysis of the
evidence, for any position or conclusion with respect to
the matters stated herein.
(5) Fail to comply with known local customs of courtesy or practice of the bar or a particular tribunal without giving to opposing counsel timely notice of his
intent not to comply.
(6) Engage in undignified or discourteous conduct
which is degrading to a tribunal.
!Rules
or GeoeraJ
Applkation---p 22)
(7) Intentionally or habitually violate any established
rule of procedure or of evidence.
DR 7-107 Trial Publicity.
(A) A lawyer participating in or associated with the
investigation of a criminal matter shall not make or
participate in making an extrajudicial statement that a
reasonable person would expect to be disseminated by
means of public communication and that does more
than state without elaboration:
(1) Information contained in a public record.
(2) That the investigation is in progress.
(3) The general scope of the investigation including a
description of the offense and, if permitted by law, the
identity of the victim.
(4) A request for assistance in apprehending a suspect
or assistance in other matters and the information necessary thereto.
(5) A warning to the public of any dangers.
(B) A lawyer or law firm associated with the prosecution or defense of a criminal matter shall not, from the
time of the filing of a complaint, information, or indictment, the issuance of an arrest warrant, or arrest until
the commencement of the trial or disposition without
trial, make or participate in making an extrajudicial
statement that a reasonable person would expect to be
disseminated by means of public communication and
that relates to:
(1) The character, reputation, or prior criminal record
(including arrests, indictments, or other charges of
crime) of the accused.
(2) The possibility of a plea of guilty to the offense
charged or to a lesser offense.
(3) The existence or contents of any confession, admission, or statement given by the accused or his refusal or failure to make a statement.
(4) The performance or results of any examinations
or tests or the refusal or failure of the accused to submit
to examinations or tests.
(5) The identity, testimony, or credibility of a prospective witness.
(6) Any opinion as to the guilt or innocence of the
accused, the evidence, or the merits of the case.
(C) DR 7-107(B) does not preclude a lawyer during
such period from announcing:
(I) The name, age, residence, occupation, and family
status of the accused.
(2) If the accused has not been apprehended, any information necessary to aid in his apprehension or to
warn the public of any dangers he may present.
(3) A request for assistance in obtaining evidence.
(4) The identity of the victim of the crime.
(5) The fact, time, and place of arrest, resistance,
pursuit, and use of weapons.
(6) The identity of investigating and arresting officers
or agencies and the length of the investigation.
(7) At the time of seizure, a description of the physical evidence seized, other than a confession, admission,
or statement.
(8) The nature, substance, or text of the charge.
(9) Quotations from or references to public records of
the court in the case.
Canon 7
Code of Professional Responsibility (CPR)
(10) The scheduling or result of any step in the judicial proceedings.
(11) That the accused denies the charges made
against him.
(D) During the selection of a jury or the trial of a
criminal matter, a lawyer or law firm associated with
the prosecution or defense of a criminal matter shall not
make or participate in making an extrajudicial statement that a reasonable person would expect to be disseminated by means of public communication and that
relates to the trial, parties, or issues in the trial or other
matters that are reasonably likely to interfere with a fair
trial, except that he may quote from or refer without
comment to public records of the court in the case.
(E) After the completion of a trial or disposition
without trial of a criminal matter and prior to the imposition of sentence, a lawyer or law firm associated
with the prosecution or defense shall not make or participate in making an extrajudicial statement that a reasonable person would expect to be disseminated by
public communication and that is reasonably likely to
affect the imposition of sentence.
(F) The foregoing provisions of DR 7-107 also apply
to professional disciplinary proceedings and juvenile
disciplinary proceeding when pertinent and consistent
with other law applicable to such proceedings.
(G) A lawyer or law firm associated with a civil action shall not during its investigation or litigation make
or participate in making an extrajudicial statement,
other than a quotation from or reference to public records, that a reasonable person would expect to be disseminated by means of public communication and that
relates to:
(I) Evidence regarding the occurrence or transaction
involved.
(2) The character, credibility, or criminal record of a
party, witness, or prospective witness.
(3) The performance or results of any examinations
or tests or the refusal or failure of a party to submit to
such.
(4) His opinion as to the merits of the claims or defenses of a party, except as required by law or administrative rule.
(5) Any other matter reasonably likely to interfere
with a fair trial of the action.
(H) During the pendency of an administrative proceeding, a lawyer or law firm associated therewith shall
not make or participate in making a statement, other
than a quotation from or reference to public records,
that a reasonable person would expect to be disseminated by means of public communication if it is made
outside the official course of the proceeding and relates
to:
{I) Evidence regarding the occurrence or transaction
involved.
(2) The character, credibility, or criminal record of a
party, witness, or prospective witness.
(3) Physical evidence or the performance or results of
any examinations or tests or the refusal or failure of a
party to submit to such.
(4) His opinion as to the merits of the claims, defenses, or positions of an interested person.
(5) Any other matter reasonably likely to interfere
with a fair hearing.
(I) The foregoing provisions of DR 7-107 do not
preclude a lawyer from replying to charges .o~ ~sco~­
duct publicly made against him or from part1c1patmg m
the proceedings of legislative, administrative, or other
investigative bodies.
(J) A lawyer shall exercise reasonable care to prevent
his employees, associates and clients from makir;ig. an
extrajudicial statement that he would be proh1b1ted
from making under DR 7-107.
DR 7-108 Communication With or Investigation of
Jurors.
(A) Before the trial of a case a lawyer connected
therewith shall not communicate with or cause another
to communicate with anyone he knows to be a member
of the venire from which the jury will be selected for the
trial of the case.
(B) During the trial of a case:
( 1) A lawyer connected therewith shall not communicate with or cause another to communicate with any
member of the jury.
(2) A lawyer who is not connected therewith shall not
communicate with or cause another to communicate
with a juror concerning the case.
(C) Dr 7-108(A) and (B) do not prohibit a lawyer
from necessary communication with veniremen or jurors solely in the course of official proceedings.
(D) After discharge of the jury from further consideration of a case with which the lawyer was connected,
the lawyer shall not ask questions of or make comments
to a member of that jury that are calculated merely to
harass or embarrass the juror or to influence his actions
in future jury service.
(E) A lawyer shall not conduct or cause, by financial
support or otherwise, another to conduct a vexatious or
harassing investigation of either a venireman or a juror.
(F) All restrictions imposed by DR 7-108 upon a
lawyer also apply to communications with or investigations of members of a family of a venireman or a juror.
(G) A lawyer shall reveal promptly to the court improper conduct by a venireman or a juror, or by another toward a venireman or a juror or a member of his
family, of which the lawyer has knowledge.
DR 7-109 Contact With Witnesses.
(A) A lawyer shall not suppress any evidence that he
or his client has a legal obligation to reveal or produce.
(B) A lawyer shall not advise or cause a person to
secrete himself or to leave the jurisdiction of a tribunal
for the purpose of making him unavailable as a witness
therein.
(C) A lawyer shall not pay, offer to pay, or acquiesce
in the payment of compensation to a witness contingent
upon the content of his testimony or the outcome of the
case. But a lawyer may advance, guarantee, or acquiesce in the payment of:
(1) Expenses reasonably incurred by a witness in attending or testifying.
(2) Reasonable compensation to a witness for his loss
of time in attending or testifying.
(Rules of General Application--p
231
Kwes m \Jenerru Appncauon
"--4111Ull I
(3) A reasonable fee for the professional services of
an expert witness.
DR 7-110 Contact With Officials.
(A) A lawyer shall not give or lend any thing of value
to a judge, official, or employee of a tribunal which
might be reasonably construed as being for the purpose
of influencing his official acts.
(B) In an adversary proceeding, a lawyer shall not
communicate, or cause another to communicate, as to
the merits of the cause with a judge or an official before
whom the proceeding is pending, except:
(I) As required in the course of official proceedings in
the cause.
(2) In writing if he promptly delivers a copy of the
writing to opposing counsel or to the adverse party if he
is not represented by a lawyer.
(3) Orally upon adequate notice to opposing counsel
or to the adverse party if he is not represented by a
lawyer.
(4) As otherwise authorized by law.
ETHICAL CONSIDERATIONS
EC 7-1 The duty of a lawyer, both to his client and to the legal
system, is to represent his client zealously within the bounds of the
law, which includes Disciplinary Rules and enforceable professional
regulations. The professional responsibility of a lawyer derives from
his membership in a profession which has the duty of assisting members of the public to secure and protect available legal rights and
benefits. In our government of laws and not of men, each member of
our society is entitled to have his conduct judged and regulated in
accordance with the law; to seek any lawful objective through legally
permissible means; and to present for adjudication any lawful claim,
issue, or defense.
EC 7-l The bounds of the law in a given case are often difficult
to ascertain. The language of legislative enactments and judicial
opinions may be uncertain as applied to varying factual situations.
The limits and specific meaning of apparently relevant law may be
made doubtful by changing or developing constitutional interpretations, inadequat,ely expressed statutes or judicial opinions, and
changing public and judicial attitudes. Certainty of Jaw ranges from
well-settled rules through areas of conflicting authority to areas without precedent.
EC 7-3 Where the bounds of law are uncertain, the action of a
lawyer may depend on whether he is serving as advocate or adviser. A
lawyer may serve simultaneously as both advocate and adviser, but
the two roles are essentially different. In asserting a position on behalf
of his client, an advocate for the most part deals with past conduct
and must take the facts as he finds them. By contrast, a lawyer serving as adviser primarily assists his client in determining the course of
future conduct and relationships. While serving as advocate, a lawyer
should resolve in favor of his client doubts as to the bounds of the
law. In serving a client as adviser, a lawyer in appropriate circumstances should give his professional opinion as to what the ultimate
decisions of the courts would likely be as to the applicable Jaw.
Duty of the Lawyer to a Client
EC 7-4 The advocate may urge any permissible construction of
the law favorable ·to his client, without regard to bis professional
opinion as to the likelihood that the construction will ultimately prevail. His conduct is within the bounds of the law, and therefore permissible, if the position taken is supported by the law or is
supportable by a good faith argument for an extension. modification,
or reversal of the law. However, a lawyer is not justified in asserting a
position in litigation that is frivolous.
EC 7-5 A lawyer as adviser furthers the interest of his client by
giving his professional opinion as to what he believes would likely be
the ultimate decision of the courts on the matter at hand and by informing bis client of the practical effect of such decision. He may
continue in the representation of bis client even though his client has
[Rules of General Application--p 24)
elected to pursue a course of conduct contrary to the advice of the
lawyer ~o !ong as he does not thereby knowingly assist -~e client to
engage m illegal conduct or to take a frivolous legal pos1uon. A lawyer should never encourage or aid his client to commit criminal acts
or counsel his client on how to violate the law and avoid punishment
therefor.
EC 7~ Whether the proposed action of a lawyer is within the
bounds of the law may be a perplexing question when bis client is
contemplating a course of conduct having legal consequences that
vary according to the client's intent, motive, or desires at the time of
the acti.on. Often a lawyer is asked to assist bis client in developing
evidence relevant to the state of mind of the client at a particular
time. He may properly assist his client in the development and preservation of evidence of existing motive, intent, or desire; obviously, he
may not do anything furthering the creation or preservation of false
evidence. In many cases a lawyer may not be certain as to the state of
mind of his client, and in those situations he should resolve reasonable doubts in favor of bis client.
EC 7-7 In certain areas of legal representation not affecting the
merits of the cause or substantially prejudicing the rights of a client, a
lawyer is entitled to make decisions on his own. But otherwise the
authority to make decisions is exclusively that of the client and, if
made within the framework of the law, such decisions are binding on
his lawyer. As typical examples in civil cases, it is for the client to decide whether he will accept a settlement offer or whether he will waive
his right to plead an affirmative defense. A defense lawyer in a criminal case has the duty to advise his client fully on whether a particular
plea to a charge appears to be desirable and as to the prospects of
success on appeal, but it is for the client to decide what plea should
be entered and whether an appeal should be taken.
EC 7-8 A lawyer should exert his best efforts to insure that decisions of his client are made only after the client has been informed of
relevant considerations. A lawyer ought to initiate this decisionmaking process if the client does not do so. Advice of a lawyer to bis
client need not be confined to purely legal considerations. A lawyer
should advise his client of the possible effect of each legal alternative.
A lawyer should bring to bear upon this decision-making process the
fullness of his experience as well as his objective viewpoint. In assisting his client to reach a proper decision, it is often desirable for a
lawyer to point out those factors which may lead to a decision that is
morally just as well as legally permissible. He may emphasiu the
possibility of harsh consequences that might result from assertion of
legally permissible positions. In the final analysis, however, the lawyer
should always remember that the decision whether to forego legally
available objectives or methods because of non-legal factors is ultimately for the client and not for himself. In the event that the client
in a non-adjudicatory matter insists upon a course of conduct that is
contrary to the judgment and advice of the lawyer but not prohibited
by Disciplinary Rules, the lawyer may withdraw from the
employment.
EC 7-9 In the exercise of his professional judgment on those decisions which are for his determination in the handling of a legal
matter, a lawyer should always act in a manner consistent with the
best interests of his client. However, when an action in the best interest of his client seems to him to be unjust, he may ask bis client for
permission to forego such action.
EC 7-10 The duty of a lawyer to represent bis client with zeal
does not militate against bis concurrent obligation to treat with consideration all persons involved in the legal process and to avoid the
infliction of needless harm.
EC 7-11 The responsibilities of a lawyer may vary according to the
intelligence, experience, mental condition or age of a client, the obligation of a public officer, or the nature of a particular proceeding.
Examples include the representation of an illiterate or an incompetent, service as a public prosecutor or other government lawyer, and
appearance% before administrative and \egislative bodies.
EC 7-12 Any mental or physical condition of a client that renders
him incapable of making a considered judgment on bis own behalf
casts additional responsibilities upon bis lawyer. Where an incompetent is acting through a guardian or other legal representative, a lawyer must look to such representative for those decisions which are
normally the prerogative of the client to make. If a client under disability has no legal representatives, bis lawyer may be compelled in
Code of Professional Responsibility (CPR)
court proceedings to make decisions on behalf of the client. If the client is capable of understanding the matter in question or of contributing to the advancement of his interests, regardless of whether he is
legally disqualified from performing certain acts, the lawyer should
obtain from him all possible aid. If the disability of a client and the
lack of a legal representative compel the lawyer to make decisions for
his client, the lawyer should consider all circumstances then prevailing
and act with care to safeguard and advance the interests of his client.
But obviously a lawyer cannot perform any act or make any decision
which the law requires his client to perform or make, either acting for
himself if competent, or by a duly constituted representative if legally
incompetent.
EC 7-13 The responsibility of a public prosecutor differs from
that of the usual advocate; his duty is to seek justice, not merely to
convict. This special duty exists because: (1) the prosecutor represents
the sovereign and therefore should use restraint in the discretionary
exercise of governmental powers, such as in the selection of cases to
prosecute; (2) during trial the prosecutor is not only an advocate but
he also may make decisions normally made by an individual client,
and those affecting the public interest should be fair to all; and (3) in
our system of criminal justice the accused is to be given the benefit of
all reasonable doubts. With respect to evidence and witnesses, the
prosecutor has responsibilities different from those of a lawyer in private practice; the prosecutor should make timely disclosure to the defense of available evidence, known to him, that tends to negate the
guilt of the accused, mitigate the degree of the offense, or reduce the
punishment. Further, a prosecutor should not intentionally avoid
pursuit of evidence merely because he believes it will damage the
prosecutor's case or aid the accused.
EC 7-14 A government lawyer who has discretionary power relative to litigation should refrain from instituting or continuing litigation that is obviously unfair. A government lawyer not having such
discretionary power who believes there is lack of merit in a controversy submitted to him should so advise his superiors and recommend
the avoidance of unfair litigation. A government lawyer in a civil action or administrative proceeding has the responsibility to seek justice
and to develop a full and fair record, and he should not use his position or the economic power of the government to harass parties or to
bring about unjust settlements or results.
EC 7-15 The nature and purpose of proceedings before administrative agencies vary widely. The proceedings may be legislative or
quasi-judicial, or a combination of both. They may be ex parte in
character, in which event they may originate either at the instance of
the agency or upon motion of an interested party. The scope of an
inquiry may be purely investigative or it may be truly adversary
looking toward the adjudication of specific rights of a party or of
classes of parties. The foregoing are but examples of some of the
types of proceedings conducted by administrative agencies. A lawyer
appearing before an administrative agency, regardless of the nature of
the proceeding it is conducting, has the continuing duty to advance
the cause of his client within the bounds of the law. Where the applicable rules of the agency impose specific obligations upon a lawyer, it
is his duty to comply therewith, unless the lawyer has a legitimate
basis for challenging the validity thereof. In all appearances before
administrative agencies, a lawyer should identify himself, his client if
identity of his client is not privileged, and the representative nature of
his appearance. It is not improper, however, for a lawyer to seek from
an agency information available to the public without identifying his
client.
EC 7-16 The primary business of a legislative body is to enact
laws rather than to adjudicate controversies, although on occasion the
activities of a legislative body may take on the characteristics of an
adversary proceeding, particularly in investigative and impeachment
matters. The role of a lawyer supporting or opposing proposed legislation normally is quite different from his role in representing a person under investigation or on trial by a legislative body. When a
lawyer appears in connection with proposed legislation, he seeks to
affect the lawmaking process, but when he appears on behalf of a client in investigatory or impeachment proceedings, he is concerned
with the protection of the rights of his client. In either event, he
should identify himself and his client, if identity of his client is not
privileged, and should comply with applicable laws and legislative
rules.
Canon 7
EC 7-17 The obligation of loyalty to his client applies only to !1
lawyer in the discharge of his professional duties and ~plies no obligation to adopt a personal viewpoint favorable to the mterests or ~e­
sires of his client. While a lawyer must act always with
circumspection in order that his conduct will ~ot adversely affect ~e
rights of a client in a matter he is then handlmg, he may ~e positions on public issues and espouse legal reforms he favors without regard to the individual views of any client.
EC 7-18 The legal system in its broadest sense functions best
when persons in need of legal advice or assistance are represente? by
their own counse\. For this reason a lawyer should not commumcate
on the subject matter of the representation of his client with a person
he knows to be represented in the matter by a lawyer, unless pursuant
to law or rule of court or unless he has the consent of the lawyer for
that person. If one is not represented by counsel, a lawyer representing another may have to deal directly with the unrepresented person;
in such an instance, a lawyer should not undertake to give advice to
the person who is attempting to represent hirnself, except that he may
advise him to obtain a lawyer.
Duty of the Lawyer to the Adversary System of Justice
EC 7-19 Our legal system provides for the adjudication of disputes governed by the rules of substantive, evidentiary, and procedural law. An adversary presentation counters the natural human
tendency to judge too swiftly in terms of the familiar that which is not
yet fully known; the advocate, by his zealous preparation and presentation of facts and law, enables the tribunal to come to the hearing
with an open and neutral mind and to render impartial judgments.
The duty of a lawyer to his client and his duty to the legal system are
the same: to represent his client zealously within the bounds of the
law.
EC 7-20 In order to function properly, our adjudicative process
requires an informed, impartial tribunal capable of administering justice promptly and efficiently according to procedures that command
public confidence and respect. Not only must there be competent,
adverse presentation of evidence and issues, but a tribunal must be
aided by rules appropriate to an effective and dignified process. The
procedures under which tribunals operate in our adversary system
have been prescribed largely by legislative enactments, court rules
and decisions, and administrative rules. Through the years certain
concepts of proper professional conduct ha¥e become rules of law
applicable to the adversary adjudicative process. Many of these concepts are the basis for standards of professional conduct set forth in
the Disciplinary Rules.
EC 7-21 The civil adjudicative process is primarily designed for
the settlement of disputes between parties, while the criminal process
is designed for the protection of society as a whole. Threatening to
use, or using, the criminal process to coerce adjustment of private
civil claims or controversies is a subversion of that process; further,
the person against whom the criminal process is so misused may be
deterred from asserting his legal rights and thus the usefulness of the
civil process in settling private disputes is impaired. As in all cases of
abuse of judicial process, the improper use of criminal process tends
to diminish public confidence in our legal system.
EC 7-22 Respect for judicial rulings is essential to the proper administration of justice; however, a litigant or his lawyer may, in good
faith and within the framework of the law, take steps to test the correctness of a ruling of a tribunal.
EC 7-23 The complexity of law often makes it difficult for a tribunal to be fully informed unless the pertinent law is presented by the
lawyers in the cause. A tribunal that is fully informed on the applicable law is better able to make a fair and accurate determination of the
matter before it. The adversary system contemplates that each lawyer
will present and argue the existing law in the light most favorable to
his client. Where a lawyer knows of legal authority in the controlling
jurisdiction directly adverse to the position of his client, he should inform the tribunal of its existence unless his adversary has done so;
but, having made such disclosure, he may challenge its soundness in
whole or in part.
EC 7-24 In order to bring about just and informed decisions, evidentiary and procedural rules have been established by tribunals to
permit the inclusion of relevant evidence and argument and the exclusion of ~ _other consid~rations. The expression by a lawyer of his
personal oplillon as to the JUStness of a cause, as to the credibility of a
(Rules of General App1icatioo--p
251
L-auuu t
Kmes 01 lJCnerru Appncauon
witness, as the culpability of a civil litigant, or as to the guilt or innocence of an accused is not a proper subject for argument to the trier
of fact. It is improper as to factual matters because admissible evidence possessed by a lawyer should be presented only as sworn testimony. It is improper as to all other matters because, were the rule
otherwise, the silence of a lawyer on a given occasion could be construed unfavorably to his client. However, a lawyer may argue, on his
analysis of the evidence, for any position or conclusion with respect
to any of the foregoing matters.
EC 7-25 Rules of evidence and procedure are designed to lead to
just decisions and are part of the framework of the law. Thus while a
lawyer may take steps in good faith and within the framework of the
law to test the validity of rules, he is not justified in consciously violating such rules and he should be diligent in his efforts to guard
against his unintentional violation of them. As examples, a lawyer
should subscribe to or verify only those pleadings that he believes are
in compliance with applicable law and rules; a lawyer should not
make any prefatory statement before a tribunal in regard to the purported facts of the case on trial unless he believes that his statement
will be supported by admissible evidence; a lawyer should not ask a
witness a question solely for the purpose of harassing or embarrassing
him; and a lawyer should not by subterfuge put before a jury matters
which it cannot properly consider.
EC 7-'26 The law and Disciplinary Rules prohibit the use of
fraudulent false, or perjured testimony or evidence. A lawyer who
knowingly participates in introduction of such testimony or evidence
is subject to discipline. A lawyer should, however, present any admissible evidence his client desires to have presented unless he knows, or
from facts within his knowledge should know, that such testimony or
evidence is false, fraudulent, or perjured.
EC 7-27 Because it interferes with the proper administration of
justice, a lawyer should not suppress evidence that he or his client has
a legal obligation to reveal or produce. In like manner, a lawyer
should not advise or cause a person to secrete himself or to leave the
jurisdiction of a tribunal for the purpose of making him unavailable
as a witness therein.
EC 7-ZJJ Witnesses should always testify truthfully and should be
free from any financial inducements that might tempt them to do
otherwise. A lawyer should not pay or agree to pay a non-expert witness an amount in excess of reimbursement for expenses and financial
loss incident to his being a witness; however, a lawyer may pay or
agree to pay an expert witness a reasonable fee for his services as an
expert. But in no event should a lawyer pay or agree to pay a contingent fee to any witness. A lawyer should exercise reasonable diligence
to see that his client and lay associates conform to these standards.
EC 7-29 To safeguard the impartiality that is essential to the judicial process, veniremen and jurors should be protected against extraneous influences. When impartiality is present, public confidence in
the judicial system is enhanced. There should be no extrajudicial
communication with veniremen prior to trial or with jurors during
trial by or on behalf of a lawyer connected with the case. Furthermore, a lawyer who is not connected with the case should not communicate with or cause another to communicate with a venireman or
a juror about the case. After the trial, communication by a lawyer
with jurors is permitted so long as he refrains from asking questions
or making comments that tend to harass or embarrass the juror or to
influence actions of the juror in future cases. Were a lawyer to be
prohibited from communicating after trial with a juror, he could not
ascertain if the verdict might be subject to legal challenge, in which
event the invalidity of a verdict might go undetected. When an extrajudicial communication by a lawyer with a juror is permitted by law,
it should be made considerately and with deference to the personal
feelings of the juror.
EC 7-30 Vexatious or harassing investigations of veniremen or
jurors seriously impair the effectiveness of our jury system. For this
reason, a lawyer or an)lone on his behalf who conducts an investigation of veniremen or jurors should act with circumspection and
restraint.
EC 7-31 Communications with or investigations of members of
families of veniremen or jurors by a lawyer or by anyone on his behalf are subject to the restrictions imposed upon the lawyer with respect to his communications with or investigations of veniremen and
jurors.
£Rules of General Appl.icatioo---p 26)
E~ 7-32 Because of his duty to aid in preserving the integrity of
the Jury system, a lawyer who learns of improper conduct by or towards a venireman, a juror, or a member of the family of either
should make a prompt report to the court regarding such conduct.
EC 7-33 A goal of our legal system is that each party shall have his
case, criminal or civil, adjudicated by an impartial tribunal. The attainment of this goal may be defeated by dissemination of news or
comments which tend to influence judge or jury. Such news or comments may prevent prospective jurors from being impartial at the
outset of the trial and may also interfere with the obligation of jurors
to base their verdict solely upon the evidence admitted in the trial.
The release by a lawyer of out--0f-court statements regarding an anticipated or pending trial may improperly affect the impartiality of the
tribunal. For these reasons, standards for permissible and prohibited
conduct of a lawyer with respect to trial publicity have been
established.
EC 7-34 The impartiality of a public servant in our legal system
may be impaired by the receipt of gifts or loans. A lawyer, therefore,
is never justified in making a gift or a loan to a judge, a hearing officer, or an official or an employee of a tribunal which might reasonably be construed as being for the purpose of influencing his official
actions.
EC 7-35 All litigants and lawyers should have access to tribunals
on an equal basis. Generally, in adversary proceedings a lawyer
should not communicate with a judge relative to a matter pending
before, or which is to be brought before, a tribunal over which he
presides in circumstances which might have the effect or give the appearance of granting undue advantage to one party. For example, a
lawyer should not communicate with a tribunal by a writing unless a
copy thereof is promptly delivered to opposing counsel or to the adverse party if he is not represented by a lawyer. Ordinarily an oral
communication by a lawyer with a judge or hearing officer should be
made only upon adequate notice to opposing counsel, or, if there is
none, to the opposing party. A lawyer should not condone or lend
himself to private importunities by another with a judge or hearing
officer on behalf of himself or his client.
EC 7-36 Judicial hearings ought to be conducted through dignified and orderly procedures designed to protect the rights of all parties. Although a lawyer has the duty to represent his client ua.lously,
he should not engage in any conduct that offends the dignity and decorum of proceedings. While maintaining his independence, a lawyer
should be respectful, courteous, and aboveboard in his relations with
a judge or hearing officer before whom he appears. He should avoid
undue solicitude for the comfort or convenience of judge or jury and
should avoid any other conduct calculated to gain special
consideration.
EC 7-37 In adversary proceedings, clients are litigants and though
ill feeling may exist between clients, such ill feeling should not influence a lawyer in his conduct, attitude, and demeanor towards opposing lawyers. A lawyer should not make unfair or derogatory personal
reference to opposing counsel. Haranguing and offensive tactics by
lawyers interfere with the orderly administration of justice and have
no proper place in our legal system.
EC 7-38 A lawyer should be courteous to opposing counsel and
should accede to reasonable requests regarding court proceedings,
settings, continuances, waiver of procedural formalities, and similar
matters which do not prejudice the rights of his client. He should follow local customs of courtesy or practice, unless he gives timely notice to opposing counsel of his intention not to do so. A lawyer should
be punctual in fulfilling all professional commitments.
EC 7-39 In the final analysis, proper functioning of the adversary
system depends upon cooperation between lawyers and tribunals in
utilizing procedures which will preserve the impartiality of tribunals
and make their decisional processes prompt and just, without
impinging upon the obligation of lawyers to represent their clients
zealously within the framework of the law. {Adopted Dec. 7, 1971, effective Jan. 1, 1972; PRIOR Canons of Professional EtJ:tics, adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
Canon 9
Code of Professional Responsibility (CPR)
CANON 8
A LA WYER SHOULD ASSIST IN IMPROVING THE LEGAL
SYSTEM
DR 8-101 Action as a Public Official.
(A) A lawyer who holds public office shall not:
(I) Use his public position to obtain, or attempt to
obtain, a special advantage in legislative matters for
himself or for a client under circumstances where he
knows or it is obvious that such action is not in the
public interest.
(2) Use his public position to influence, or attempt to
influence, a tribunal to act in favor of himself or of a
client.
(3) Accept any thing of value from any person when
the lawyer knows or it is obvious that the offer is for the
purpose of influencing his action as a public official.
DR 8-102 Statements Concerning Judges and Other
Adjudicatory Officers.
(A) A lawyer shall not knowingly make false statements of fact concerning the qualifications of a candidate for election or appointment to a judicial office.
(B) A lawyer shall not knowingly rnake false accusations against a judge or other adjudicatory officer.
ETHICAL CONSIDERATIONS
EC S-1 Changes in human affairs and imperfections in human
institutions make necessary constant efforts to maintain and improve
our legal system. This system should function in a manner that commands public respect and fosters the use of legal remedies to achieve
redress of grievances. By reason of education and experience, lawyers
are especially qualified to recognize deficiencies in the legal system
and to initiate corrective measures therein. Thus they should participate in proposing and supporting legislation and programs to improve
the system, without regard to the general interests or desires of clients
or former clients.
EC S-2 Rules of law are deficient if they are not just, understandable, and responsive to the needs of society. If a lawyer believes
that the existence or absence of a rule of law, substantive or procedural, causes or contributes to an unjust result, he should endeavor by
lawful means to obtain appropriate changes in the law. He should
encourage the simplification of laws and the repeal or amendment of
laws that are outmoded. Likewise, legal procedures should be improved whenever experience indicates a change is needed.
EC S-3 The fair administration of justice requires the availability
of competent lawyers. Members of the public should be educated to
recognize the existence of legal problems and the resultant need for
legal services, and should be provided methods for intelligent selection of counsel. Those persons unable to pay for legal services should
be provided needed services. Clients and lawyers should not be penalized by undue geographical restraints upon representation in legal
matters, and the bar should address itself to improvements in licensing, reciprocity, and admission procedures consistent with the needs
of modern commerce.
EC 8-4 Whenever a lawyer seeks legislative or administrative
changes, he should identify the capacity in which he appears, whether
on behalf of himself, a client, or the public. A lawyer may advocate
such changes on behalf of a client even though he does not agree with
them. But when a lawyer purports to act on behalf of the public, he
should espouse only those changes which he eonscientiously believes
to be in the public interest.
EC S-5 Fraudulent, deceptive, or otherwise illegal conduct by a
participant in a proceeding before a tribunal or legislative body is inconsistent with fair administration of justice, and it should never be
participated in or condoned by lawyers. Unless constrained by his
obligation to preserve the confidences and secrets of his client, a lawyer should reveal to appropriate authorities any knowledge he may
have of such improper conduct.
EC 8-6 Judges and administrative officials having adjudic:atory
powers ought to be persons of integrity, eompetence, and swtable
temperament. Generally, lawyers are qualifi~. by personal o~~a­
tion or investigation, to evaluate the qualifications of ~rsons seeking
or being considered for such public offices, and for this reason they
have a special responsibility to aid in the selection of only those. ~ho
are qualified. It is the duty of lawyers to endeavor .to prevent P'?lit1cal
considerations from outweighing judicial fitness m the select10n of
judges. Lawyers should protest earnestly against the appointm<:11t or
election of those who are unsuited for the bench and should stnve to
have elected or appointed thereto only those who are willing to forego
pursuits, whether of a business, political, or other na~ure, that may
interfere with the free and fair consideration of questions presented
for adjudication. Adjudicatory officials, not being wholly free to .defend themselves, are entitled to receive the support of the bar agamst
unjust criticism. While a lawyer as a citizen has a right to criticire
such officials publicly, he should be certain of the merit of his complaint, use appropriate language, and avoid petty criticis~s, for unrestrained and intemperate statements tend to lessen public confidence
in our legal system. Criticisms motivated by reasons other than a desire to improve the legal system are not justified.
EC S-7 Since lawyers are a vital part of the legal system, they
should be persons of integrity, of professional skill, and of dedication
to the improvement of the system. Thus a lawyer should aid in establishing, as well as enforcing, standards of conduct adequate to protect
the public by insuring that those who practice law are qualified to do
so.
EC 8-8 Lawyers often serve as legislators or as holders of other
public offices. This is highly desirable, as lawyers are uniquely qualified to make significant contributions to the improvement of the legal
system. A lawyer who is a public officer, whether full or part-time,
should not engage in activities in which his personal or professional
interests are or foreseeably may be in conflict with his official duties.
EC S-9 The advancement of our legal system is of vital importance in maintaining the rule of law and in facilitating orderly
changes; therefore, lawyers should encourage, and should aid in
making, needed changes and improvements. [Adopted Dec. 7, 1971,
effective Jan. I, 1972; PRIOR Canons of Professional Ethics, adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
CANON9
A LA WYER
SHOULD
A VOID
EVEN TIIE APPEARANCE OF
PROFESSIONAL lMPKOPIUETY
DR 9-101 Avoiding Even
Impropriety.
the
Appearance
of
(A) A lawyer shall not accept private employment in
a matter upon the merits of which he has acted in a judicial capacity.
(B) A lawyer shall not accept private employment in
a matter in which he had substantial responsibility
while he was a public employee.
(C) A lawyer shall not state or irnply that he is able
to influence improperly or upon irrelevant grounds any
tribunal, legislative body, or public official.
DR 9-102 Preserving Identity of Funds and Property of
a Client.
(A) All funds of clients paid to a lawyer or law firm,
other than advances for costs and expenses, shall be
deposited in one or more identifiable bank accounts
maintained in the state in which the law office is situated and no funds belonging to the lawyer or law firm
shall be deposited therein except as follows:
(1) Funds reasonably sufficient to pay bank charges
may be deposited therein.
(2) Funds belonging in part to a client and in part
presently or potentially to the lawyer or law firm must
be deposited therein, but the portion belonging to the
[Rules of General Applicatioo--;t 27)
LillJUIJ
Kmes m uenera1 Appncauon
~
lawyer or law firm may be withdrawn when due unless
the right of the lawyer or law firm to receive it is disputed by the client, in which event the disputed portion
shall not be withdrawn until the dispute is finally
resolved.
(B) A lawyer shall:
(I) Promptly notify a client of the receipt of his
funds, securities, or other properties.
(2) Identify and label securities and properties of a
client promptly upon receipt and place them in a safe
deposit box or other place of safekeeping as soon as
practicable.
(3) Maintain complete records of all funds, securities,
and other properties of a client coming into the possession of the lawyer and render appropriate accounts to
his client regarding them.
(4) Promptly pay or deliver to the client as requested
by a client the funds, securities, or other properties in
the possession of the lawyer which the client is entitled
to receive.
DEFINmONS*
EnucAL CoNSIDERATIONS
As used in the Disciplinary Rules of the Code of
Professional Responsibility:
(l) "Differing interests" include every interest that
will adversely affect either the judgment or the loyalty
of a lawyer to a client, whether it be a conflicting, inconsistent, diverse, or other interest.
(2) "Law firm" includes a professional legal
corporation.
(3) "Person" includes a corporation, an association, a
trust, a partnership, and any other organization or legal
entity.
(4) "Professional legal corporation'' means a corporation, or an association treated as a corporation, authorized by law to practice law for profit.
(5) "State" includes the District of Columbia, Puerto
Rico, and other federal territories and possessions.
(6) "Tribunal" includes all courts and all other adjudicatory bodies. [Adopted Aug. 26, 1971, effective Nov.
9, 1971; PRIOR Canons of Professional Ethics, adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
EC 9-1 Continuation of the American concept that we are to be
governed by rules of law requires that the people have faith that justice can be obtained through our legal system. A lawyer should promote public confidence in our system and in the legal profession.
ADMISSION TO PRACTICE RULES (APR)
EC 9-2 Public confidence in law and lawyers may be eroded by
irresponsible or improper conduct of a lawyer. On occasion, ethical
conduct of a lawyer may appear to laymen to be unethical. In order
to avoid misunderstandings and hence to maintain confidence, a lawyer should fully and promptly inform his client of material developments in the matters being handled for the client. While a lawyer
should guard against otherwise proper conduct that has a tendency to
diminish public confidence in the legal system or in the legal profession, his duty to clients or to the public should never be subordinate
merely because the full discharge of his obligation may be misunderstood or may tend to subject him or the legal profession to criticism.
When explicit ethical guidance does not exist, a lawyer should determine his conduct by acting in a manner that promotes public confidence in the integrity and efficiency of the legal system and the legal
profession.
EC 9-3 After a lawyer leaves judicial office or other public employment, he should not accept employment in connection with any
matter in which he had substantial responsibility prior to his leaving,
since to accept employment would give the appearance of impropriety
even if none exists.
EC 9-4 Because the very essence of the legal system is to provide
procedures by which matters can be presented in an impartial manner
so that they may be decided solely upon the merits, any statement or
suggestion by a lawyer that he can or would attempt to circumvent
those procedures is detrimental to the legal system and tends to undermine public confidence in it.
EC 9-5 Separation of the funds of a client from those of his lawyer not only serves to protect the client but also avoids even the appearance of impropriety, and therefore commingling of such funds
should be avoided.
EC ~ Every lawyer owes a solemn duty to uphold the integrity
and honor of his profession; to encourage respect for the law and for
the courts and judges thereof; to observe the Code of Professional
Responsibility; to act as a member of a learned profession, one dedicated to public service; to cooperate with his brother lawyers in supporting the organized bar through the devoting of his time, efforts,
and financial support as his professional standing and ability reasonably permit; to conduct himself so as to reflect credit on the legal
profession and to inspire the confidence, respect, and trust of his clients and of the public; and to strive to avoid not only professional
impropriety but also the appearance of impropriety. [Adopted Dec. 7,
1971, effective Jan. 1, 1972; PRIOR Canons of Professional Ethics,
adopted Nov. 22, 1950, effective Jan. 2, 1951.]
(Rules of General Appliclldon--p 28)
•"Confidence" and "secret" are defined in DR 4-JOJ(A).
(Formerly: Rules for Admission to Practice)
RULE
l Classification of applicants
RULE 2 General applicants
A. Definitions
B. Qualifications
c. Time for filing applications and fees payable
D. Law clerks
RULE 3 Attorney applicants
A. Definition
B. Qualifications
RULE 4 Examinations
A. General applicant's examination--How
conducted
B. Attorney applicant's examination
C. Examination--Failure
RULE
5 Certificate
of
results--Admission
oath--Payment of membership fee
RULE 6 Special investigations
RULE 7 Practice by members of bar from other jurisdictions prohibited--Exception
A. In general
B. Indigent representation
RULE
8 Admission for educational purposes
RULE 9 Legal interns
A. Admission to limited practice as a legal intern
B. Application for limited license as a legal intern-Qualifications--Procedure
c. Scope of practice by legal intern under the
limited license
D. Supervising attomeys--Requirements
E. Term of limited license
F. Termination of this Rule
Rule 2
Admission to Practice Rules (APR)
RULE IO Revocation of order admitting to practice
Rules of General Application
TABLE OF DISTRIBUTION OF RULES FOR ADMISSION TO
PRACOCE IN EFFECT PRIOR TO FEBRUARY 12, 1965 INTO
THE NEW ADMISSION TO PRACOCE RULES IN EFFECT ON
AND AFfER FEBRUARY 12, 1965
(For order of adoption, see note following APR Rule 1)
Old RAP
Number
Rule l
Rule 2 A
Rule 2 B I
Rule 2 B 2
Rule 2 B 3
Rule 2 B 4
Rule 2 B 5
Rule 2 B 6
Rule 2 B 7
Rule 2 C
Rule 2 D
Rule 2 D
Rule 2 D
Rule 2 D
Rule 2 D
Rule 2 D
Rule 2 D
l
2
3
4
5
6
7
Rule 3 A
Rule 3 Bl
Rule 3 B 2
Rule 3 B 3
Rule3B4
Rule 3 B 5
Rule 3 B 6
Rule 3 B 7
Rule 3 B 8
Rule 3 B 9
Rule 3 BIO
Rule 3 B 11
Rule 4
Rule 5 A
Rule 5 B
Rule 5 C
Rule 5 D
Rule 5 E
Rule 6
Rule 7
Rule 8
New APR
Number
Rule l
Rule 2 A
Rule 2 Bl
Rule 2 B 2
None
Cf.Rule 5 B
Rule 2 B 3
Rule 2 B 4
Rule 2 B 5
Cf.Rule 2 C l and
Rule 2 C 2
Rule 2 C
Rule 2 D l
Rule 2 D 2
Rule 2 D 3
Rule 2 D 4
None
Rule 2 D 5
Cf.Rule 2 C I Rule 2 C 3
Rule 3 A
Rule 3 B l
None
Rule 3 B 2
Rule 3 B 3
Rule 3 B 4
Rule 3 B 5
Rule 3 B 6
Rule 3 B 7
Rule 3 B 8
Rule 3 B 9
Rule 3 B 10
Rule 4
Rule 5 A
Cf.Rule 5 B and
Rule 5 C
None
Cf.Rule 5 D and
Rule 5 E (l)
Rule 5 E (2)
Rule 6
Rule 7
Rule 8 and
Rule 2 D 6
AppendixList of Approved
Law Schools
Cf.Rule 2 A
[By order of the Supreme Court dated May 5, 1967, and effective
July l, 1967, the Rules for Admission to Practice (RAP) were redesignated "Admission to Practice Rules (APR)".]
Rule 1 Classification of applicants. Every person desiring to be admitted to the bar of the State of Washington must pass a bar examination and satisfy all of
the requirements of these Rules applicable to the classification of applicant to which he belongs.
For the p~rp~se of these Rules, applicants for admission to practice m the State of Washington are classified
either as "general applicants" or as "attorney applicants." [Adopted Jan. 29, 1965, effective Feb. 12, 1965.
Prior: Adopted Dec. 2, 1955, effective Dec. 15, 1955.]
Order of Supreme Court adopting rules for admission to practice and
abrogating former rules:
"The Supreme Court of the State of Washington,. ~ conformity
with its rule-making power, herewith abrogates t~e e~stmg Rules for
Admission to Practice Law in the State of Washington, as the same
appear in RCW Vol. 0, as of the effective date of th~ new Rules for
Admission to Practice Law in the State of Washington adopted
herewith.
.
The attached Rules for Admission to Practice Law in the State of
Washington (proposed by the Board of Governors of the Wa:ihington
State Bar Association and modified in minor respects by this court)
are herewith adopted effective as of the date of their publication in
the Washington Decisions.
Dated at Olympia, Washington, this 29th day of January, 1965."
Reviser's note: "Rules for Admission to Practice" were fedesignated
as "Admission to Practice Rules," by order of the Supreme Court
adopted May 5, 1967, effective July l, 1967.
Rule 2
General applicants.
A. Definitions
A "general applicant" means either (1) a graduate of
an approved law school who does not qualify as an attorney applicant under Rule 3, or (2) a registered law
clerk who has satisfactorily completed the course of
study prescribed by these Rules.
An "approved law school" means a law school approved by the board of governors. The board of governors shall keep a list of approved law schools on file
with the State Bar Association and the Clerk of the Supreme Court.
B. Qualifications
A general applicant, in order to be permitted to take
the bar examination, must
(I) present satisfactory proof of either (a) graduation
from an approved law school, or (b) satisfactory completion of the course of study prescribed for a registered
law clerk by these Rules;
(2) Be either: (a) a citizen of the United States, or (b)
an alien permanently residing in the United States in
accordance with Federal Immigration and Naturalization Law who has legally declared his intent to become
a citizen and is proceeding with due diligence toward
naturalization;
(3) be of good moral character;
(4) execute under oath and file with the State Bar
Association within the time specified in Section C of
this Rule 2, two copies of his application, one of which
shall be in his own handwriting, in such form as may be
required by the board of governors. Additional proof of
any fact stated in the application may be required by
the board. In the event of the failure or refusal of an
applicant to furnish any information or proof, or to answer any interrogatories of the board pertinent to the
pending application, the board may deny the application. The form of application shall be provided by the
board, and the contents thereof shall be such as the
board may direct from time to time;
(5) pay, upon the filing of the application, an examination and admission fee in the amount prescribed in
Section C of this Rule 2 and also an investigation fee in
the amount prescribed in Section C of this Rule 2. The
(Rules of General Application---p 29)
Kule 2
Rules of General Application
investigation shall cover all phases of the applicant's
qualifications for admission, as the board may deem
necessary. No refund of any examination and admission fee shall be made unless the request to withdraw
the application is made at least ten (10) days in advance
of the examination date. The investigation fee is not
subject to refund.
C. Time for Filing Applications and Fees Payable
( l) A general applicant who has not been admitted to
the bar in another state or territory prior to the filing of
his application shall pay an examination and admission
fee of twenty-five dollars ($25), and all other general
applicants shall pay an examination and admission fee
of fifty dollars ($50).
(2) A general applicant who has not been admitted to
the bar anywhere in the world prior to the filing of his
application, must file his application to take each bar
examination not less than 30 days prior to the examination date, and pay an investigation fee of one hundred dollars ($100). In the case oflate filing the Board
of Governors may, for good cause, reduce the time requirement for filing the application to take the bar
examination.
(3) A general applicant who has been admitted to the
bar anywhere in the world prior to the filing of his application, must file his application to take each bar
examination:
(a) ninety days prior to the examination date if he is
applying to take the Washington state bar examination
for the first time, or
(b) thirty days in advance of the examination date in
the case of a repeater.
In the case of late filing the Board of Governors may,
for good cause, reduce the time requirement for filing
the application to take the bar examination. Said general applicant shall pay at the time of filing his application an investigation fee of one hundred seventy-five
dollars ($175).
D. Law Clerks
(1) Requisites
Every person who desires subsequently to qualify as a
general applicant for admission to practice in the State
of Washington, without having been graduated from an
approved law school, shall register as a law clerk as
hereinafter provided. He must be a bona fide resident
of the State of Washington and shall present satisfactory proof that he has been granted a bachelor's degree
(other than bachelor of laws) by a college or university
offering such degree on the basis of a four-year course
of study.
(2) Registrations--Employment in Law Oftice--
Application--Statement of Employer
Such applicant shall obtain regular and full-time employment as a law clerk in the office of a judge of a
court of record or an attorney or firm of attorneys licensed to practice law in the State of Washington and
engaged in the general practice of law. The person by
whom he is employed, or if he be employed by a firm,
the person under whose direction he is to study, must
have been admitted to practice law in this state for at
(Rules of General Application---p 301
least ten (10) years at the time the application for registration is filed, and be otherwise eligible to act as tutor.
Prior to the commencement of the study of law under
this Rule 2 D the applicant shall file with the State Bar
Association an application to register as a law clerk.
Such application shall be made on a form to be provided by the State Bar Association and shall require answers to such interrogatories as the board may
determine from time to time to be relevant to a consideration of the application. Proof of any fact stated in
the application may be required by the board. If the
applicant fails or refuses to furnish any information or
proof or answer any interrogatory required by the application, or independently thereof by the Board, in a
manner satisfactory to the board, the application may
be denied.
Accompanying the application there must be submitted a statement under oath of the person by whom such
applicant is employed as a law clerk, or, if he is employed by a firm, of the person under whose direction
he is to study, certifying to the fact of such employment, and that such person will act as tutor for the applicant and will faithfully instruct the applicant in the
branches of the law prescribed by the course of study
adopted by the board of governors. No person shall be
eligible to act as tutor while disciplinary proceedings
(following the service of a formal complaint) are pending against him, or if he has ever been censured, reprimanded, suspended or disbarred. If a registered law
clerk finds it necessary to change his tutor during his
period of study, a new application for registration as a
law clerk shall be required and such credit given for
study under his prior tutor as the board may determine.
(3) Course of Study--How Pursued
A law clerk whose registration has been approved by
the board must pursue a course of study for four (4)
calendar years of at least forty-eight (48) weeks each
year, with a minimum each week of thirty (30) hours of
study (it being understood that the time actually spent
in the performance of the duties of law clerk is to be
considered as time spent in the study of law). The tutor
must give personal direction regularly and frequently to
the clerk, must examine him at least once a month on
the work done in the previous month, and must certify
monthly as to compliance with the requirements of
subsections 3 and 4 of this Rule D.
The examinations shall be written and not oral, and
shall be answered by the clerk without research or assistance during the examination. The monthly certificate of compliance submitted by the tutor shall be
accompanied by the originals of all written examinations and answers thereto given during the period
reported.
If the certificates, together with the required attachments be not filed timely in the office of the State Bar
Association, no credit shall be given for any period of
such default.
If a registered law clerk does not furnish evidence of
completion of his law studies hereunder within a period
of six years after registration, the board may cancel
such registration.
(4) Course of Study--Subjects~Books
Rule 3
Admission to Practice Rules (APR)
The course of study to be pursued by a registered law
clerk shall cover subjects, and such text books, case
books, and other material, as the board of governors
may from time to time require.
(5) Advanced Standing--Special Students
A registered law clerk who has attended either an
approved or a nonapproved law school, may, in the
discretion of the board, receive credit for work done
and obtain advanced standing. In no event will credit
be given for fractional parts of semesters or terms, or
for correspondence school work.
(6) Change of Rules-Effect
This latest (l 964) revision of these Rules shall not be
retroactive as to a law clerk whose registration has been
approved by the board of governors prior to the effective date of this revision. Each such person may complete his course of study in accordance with the rules in
force at the time of his registration or enrollment and
with the same effect as if said rules were still in force.
[Adopted Jan. 29, 1965, effective Feb. 12, 1965. Former
para. B(3) repealed and succeeding three paragraphs
redesignated, adopted June 25, 1965, effective July 9,
1965: Rule 2, subsection D(I) amended by order dated
May 9, 1967. Subsections C(2) and (3) amended by order dated June 26, 1968, effective August I, 1968;
amended, adopted Dec. 29, 1970, effective Mar. 10,
1971. Subsections C(2) and (3) amended, adopted Sept.
18, 1968, effective Sept. 27, 1968; amended, adopted
Dec. 29, 1970, effective Mar. 10, I 971; Subsection C
amended, adopted Nov. 16, 1973, effective Jan. I, 1974.
Prior: Adopted Dec. 2, 1955, effective Dec. 15, 1955.]
Rule 3
Attorney applicants.
A. Definition
An "attorney applicant" means an attorney who (I)
has been in the active general private practice of law in
a state or territory of the United States or a foreign
country for a period of five (5) years or more, or (2) has
held a judicial position at least equal to a judge of the
superior court of the State of Washington for a period
of five (5) years or more in a state or territory of the
United States or a foreign country, or (3) has held a
full-time teaching position in an approved law school
for a period of five (5) years or more.
B. Qualifications
To qualify as an attorney applicant for admission to
practice law in the State of Washington, a person must
(1) satisfy the requirements of Rule 2B(2);
(2) have been a bona fide resident of the State of
Washington for a period beginning at least one hundred
and eighty (180) days prior to the date of the
examination;
(3) be of good moral character;
(4) execute under oath and file with the executive director of the State Bar Association
(a) not less than ninety (90) days prior to the examination date, if he is applying to take the Washington
State Bar examination for the first time, or
(b) thirty (30) days in advance of each examination
date, in the case of a repeater
two copies of his application, one of which shall b~ in
his own handwriting, in such form as may be requrred
by the board of governors. Additiona~ proof of any fact
stated in the application may be requITed by th~ board.
In the event of the failure or refusal of an applicant to
furnish any information or ~roof, or to answ~r any i~­
terrogatory of the board pertment to. the.· pendmg application, the board may deny the apphcatlon. In the case
of late filing, the board may, for good cause, reduce the
time requirement for filing the application to take the
bar examination;
(5) pay, upon the filing of each application, an examination and admission fee of fifty ($50) dollars plus an
investigation fee of one hundred seventy-five ($175)
dollars. The investigation shall cover all phases of the
applicant's qualifications for admission. No refund of
any examination and admission fee shall be made unless the request to withdraw the application is made at
least ten (10) days in advance of the examination date.
The investigation fee is not subject to refund;
(6) have been admitted to practice in another state,
territory of the United States or foreign country, where
the common law of England exists as a basis of its jurisprudence, and where the requirements for admission
are substantially equivalent to those of this state. The
applicant shall submit with his application a certificate
from the clerk or other officer of the highest court of
record of such state, territory of the United States or
foreign country, in which he has previously been admitted, or from the clerk of the court of such state, territory of the United States or foreign country, by which
attorneys are admitted, under the seal of the court,
showing that the applicant has been admitted to, and is
entitled to, practice in such state, territory of the United
States or foreign country, and the date of his admission;
(7) submit with his application satisfactory evidence
that he has been actively and continuously engaged in
the general private practice in such state, territory of the
United States or foreign country, or has held a judicial
position or full-time law-teaching position therein for a
total period of at least five (5) years. Admission to
practice and such continuous practice or the holding of
a judicial position or full-time law-teaching position in
two (2) or more states, territories of the United States or
foreign countries for a total period of at least five (5)
years, shall be equivalent to such admission and practice in one (l) state. The application of such applicant
shall not be approved by the board of governors unless
it shall be presented within a period of three (3) years
from the termination of the period during which the
applicant was actually engaged in such practice or was
holding such judicial position or full-time law-teaching
position: Provided, however, the board may in its discretion approve such application if a longer period has
elapsed, upon a showing to the board that the occupation of the applicant during such intervening period was
of such character as to keep the applicant in close relationship to the practice of the law; and provided further
that the aforesaid three-year period shall not be
deemed to include the time necessarily taken in diligent
effort to secure citizenship;
(Rules
or General Applicatioo--p Jtl
Rule 3
Rules of General Application
(8) submit with his application a certificate from the
chief justice or other member of the court of the state in
which he has previously been admitted to practice, under the seal of the court, certifying that the applicant is
in good standing at the bar of the court and is an honorable and worthy member of the profession, and if the
applicant comes from a place where there is a local bar
association, he shall also submit a recommendation
from the president and secretary of such association. If
either of these certificates cannot be procured on account of lack of acquaintance or lack of existence of a
local bar association, then the applicant may present in
lieu thereof a certificate of the judge of the highest court
of record in the county or counties within which such
applicant was so engaged in practice or was holding
such judicial or teaching position, and recommendations from at least three (3) members of the local bar of
the county where he last practiced. If for sufficient reason the applicant cannot obtain any of the recommendations required, the board of governors may accept
other satisfactory proof of his character and reputation.
The certificates required by this subsection 8 of this
Rule 3 B shall not be conclusive upon the board on the
question of the moral or ethical fitness of the applicant,
but the board shall in all cases have the right to make
such further independent investigation as it may desire
upon said questions. If, upon consideration of all the
evidence in respect thereto, the board is of the opinion
that the applicant does not possess such moral and ethical qualifications, or such character and reputation as
is consistent with the standards of the profession, the
application shall be rejected;
(9) present himself before the board of governors at
such time and place as may be required, for oral examination as to his moral character and as to any other
qualifications;
( l 0) after having satisfied the foregoing requirements,
have passed the attorney's examination as prescribed in
these Rules, and complied with the provisions concerning enrollment and fees prescribed herein. [Adopted
Jan. 29, 1965, effective Feb. 12, 1965. Subsections B (4)
and (5) as amended by order dated June 26, 1968, effective August 1, 1968. Subsection B(4) amended,
adopted Sept. 18, 1968, effective Sept. 27, 1968; amended, adopted Dec. 29, 1970, effective Mar. 10, 1971;
amended, adopted Mar. 5, 1971, effective Mar. 10,
1971. Prior: Adopted Dec. 2, 1955, effective Dec. 15,
1955.]
Rule 4
Examinations.
A. General Applicant's Examination--How Conducted
The general applicant's examination shall be conducted by and under the direction of the board of governors, who shall, for the purpose of conducting such
examination, appoint a committee of three (3) or more
active members of the state bar, and this committee
shall be known as the committee of law examiners. The
examination shall consist of such questions as the committee may select on such subjects as may be listed by
the committee and approved by the board of governors.
The board shall furnish to this committee such clerical
(Rules of General Application---- 32)
or other assistance as in the discretion of the board
shall be deemed necessary. The State Bar Association
shall certify to this committee, on or prior to the morning of the first day of each examination, the names of
those whose applications for examinations have been
approved by the board of governors. The committee of
law examiners shall have charge of the conduct of such
examination and shall, as soon as practicable, after the
completion thereof, certify to the board of governors
the grades of those who have taken the examination.
Examinations for admission to the bar will be held on
the third Monday, Tuesday and Wednesday of January
and July of each year, commencing at 9 a.m. or on such
other dates and at such times as the board of governors
may designate, at such location as the board of governors may designate.
B. Attorney Applicant's Examination
Before being certified for admission, each attorney
applicant must pass a written examination, which shall
be conducted by the committee of law examiners and
which shall be held on the third Monday of January
and July of each year, commencing at 9 a.m. or on such
other dates and at such times as the board of governors
may designate, at such location as the board of governors may designate.
The examination shall consist of such questions as
the committee may select on general law and on Washington procedure and Washington substantive, constitutional, and statutory law. The State Bar Association
shall certify to the committee, on or prior to the morning of the examination, the names of those whose applications for examination have been approved by the
board of governors. As soon as practicable after the
completion of the examination, the committee of law
examiners shall certify to the board of governors the
grades of those who have taken the attorney's
examination.
C. Examination--Failure
Any applicant failing to pass an examination which
he or she takes may apply to take another examination,
but after the third failure, no such applicant shall take
any subsequent examination unless 11 months have
elapsed since the date upon which the last preceding
examination was taken. [Adopted Jan. 29, 1965, effective Feb. 12, 1965; adopted, amended June 19, 1974,
effective July 1, 1974. Prior: Adopted Dec. 2, 1955, effective Dec. 15, 1955.]
Rule 5 Certificate of results--Admission oathPayment of membership fee. A. Upon completion of the
examination and the receipt of the certificate from the
committee of law examiners, the board of governors
shall cause each applicant to be notified of the result of
the examination and shall recommend to the supreme
court of the State of Washington the admission or rejection of each applicant who has passed the
examination.
B. No applicant shall be recommended to the Supreme Court for admission nor shall any applicant be
permitted to take the oath of attorney unless he is then
a resident of and domiciled in the State of Wa&.hington.
Admission to Practice Rules (APR)
Applications for permission to take ~he bar exami~ation
must state the residence of the applicant at the time of
application. Applicants who are not residents of the
State of Washington at the time of taking the examination, shall submit to the Board as a prerequisite to the
taking of the oath of attorney and being recommende?
for admission by the Board of Governors, an affidavit
that he is a resident of and domiciled in the State of
Washington.
C. In all cases the oath of attorney must be taken
within one year from the date of the examination, except for good cause shown.
D. The recommendation of the board of governors to
the court shall be accompanied by the successful candidates' applications for examination and any other documents deemed pertinent by the board. Such
recommendation and all other documents and papers
forwarded shall be kept by the clerk of the supreme
court in a separate file and such file shall not be a public record. The supreme court may thereupon examine
the recommendation and accompanying papers and
make such order in each case as it deems advisable.
Upon the request of the court, the board shall forward
to the court the examination papers of, and all documents presented in connection with, any registration,
whether for "clerkship" or "examination", and all papers in connection with the examination of such
applicant.
E. The supreme court shall enter an order admitting
to practice those applicants it deems qualified, conditioned upon such applicants
(l) taking, and filing with the clerk of the supreme
court, the Oath of Attorney as provided herein, and
(2) paying to the Washington State Bar Association
its membership fee for the current year.
Upon the entry of such order, the taking and filing of
the oath, and payment of said annual membership fee,
an applicant shall be enrolled as a member of the bar
and shall be entitled to practice law in the State of
Washington.
F. The Oath of Attorney must be taken before a
court of record in the State of Washington sitting in
open court, provided that in the event a successful applicant is outside the State of Washington and the chief
justice is satisfied that it is impossible or impractical for
him to take the oath below prescribed before a court of
record of this state, the chief justice may, upon proper
application setting forth all the circumstances designate
the person authorized by law to administer oaths, before whom the applicant may appear and take said
oath.
G. The oath which all applicants shall take is as
follows:
"OATH OF ATTORNEY
State of Washington, County of __________ , ss.
I, ____________________ , do solemnly swear:
l. I am fully subject to the laws of the State of
Washington and the laws of the United States and will
abide by the same;
2. I will support the constitution of the State of
Washington and the constitution of the United States;
Rule 6
3. I will abide by the Code of Professional Responsibility approved by the Supreme Court of the State of
Washington;
4. I will maintain the respect due to the courts of justice and judicial officers;
5. I will not counsel, or maintain any suit, or proceeding, which shall appear to me to be unjust, or any
defense except such as I believe to be honestly debatable under the law of the land, unless it be in defense of
a person charged with a public offense; I will employ
for the purpose of maintaining the causes confided to
me such means only as are consistent wi_th truth _and
honor, and will never seek to mislead the Judge or JUry
by any artifice or false statement of fact or law;
6. I will maintain the confidence and preserve inviolate the secrets of my client, and will accept no compensation in connection with his business except from
him or with his knowledge and approval;
7. I will abstain from all offensive personalities, and
advance no fact prejudicial to the honor or reputation
of a party or witness unless required by the justice of
the cause with which I am charged;
8. I will never reject, from any consideration personal
to myself, the cause of the defenseless or oppressed, or
delay any man's cause for lucre or malice.
So help me God.
Subscribed and sworn to before me this _____ day of
----------· 19 __ .
Judge."
[Adopted Jan. 29, 1965, effective Feb. 12, 1965. Para. B
and C added and succeeding paragraphs redesignated,
adopted June 25, 1965, effective July 9, 1965; amended,
adopted Dec. 29, 1970, effective Mar. 10, 1971; amended, adopted Apr. 26, 1974, effective Apr. 26, 1974. Prior: Adopted Dec. 2, 1955, effective Dec. 15, 1955; Rule
5 B amended Feb. 6, 1964.]
Rule 6 Special investigation. The board of governors
may refer any application for admission, examination,
or registration as a law clerk to any existing committee
of the state bar association or to a special committee
thereof for the purpose of investigating and making
recommendations on any matter connected with said
application. Any applicant for admission, examination,
or registration as a law clerk may be required to appear
before the board or any committee of the state bar association upon reasonable notice and submit to an examination touching any matter deemed by the board of
governors relevant to a proper consideration of the
pending application. Failure to appear befor·e the board
or any committee as directed shall be sufficient reason
for rejection of the application. The board of governors
shall have the power to issue subpoenas to compel the
attendance of witnesses or the production of books or
documents in connection with any such investigation.
[Adopted Jan. 29, 1965, effective Feb. 12, 1965. Prior:
Adopted Dec. 2, 1955, effective Dec. 15, 1955.]
(Rules of General App1ication--p 331
Rule 7
Rules of General Application
Rule 7 Practice by members of bar from other jurisdictions prohibited--Exception.
A. In General.
(l) No person shall appear as attorney or counsel in
any of the courts of this state, unless he is an active
member of the state bar: Provided, that a member in
good standing of the bar of any other state who is a
resident of and who maintains a practice in such other
state may, with permission of the court, appear as
counsel in the trial of an action or proceeding m association only with an active member of the state bar,
who shall be the attorney of record therein and responsible for the conduct thereof and shall be present at all
court proceedings.
(2) Application to appear as such counsel shall be
made to the court before whom the action or proceeding in which it is desired to appear as counsel is pending. The application shall be heard by the court aft~r
such notice to the adverse parties as the court shall direct; and an order granting or rejecting the application
made, and if rejected, the court shall state the reasons
therefor.
(3) No member of the state bar shall lend his name
for the purpose of, or in any way assist in, avoiding the
effect of this rule.
B. Indigent Representation.
(I) A member in good standing of the bar of another
state, while rendering service in a Bar Association or
governmental or sponsored Legal Services, P~blic Defender or similar program providing legal assistance to
indigents, and solely in one's capacity as a member of
that office, may for a period not t~ exceed one year,
upon application and approval, practice law and appear
as counsel before the courts of this state in any action
or proceeding in association with an active member of
the state bar, who shall be the attorney of record therein and be responsible for the conduct thereof.
(2) Application to appear under the rules shall be
made to the Supreme Court of the State of Washington
and said applicant shall be subject to the Rule~ for
Discipline of Attorneys and the Code .of ~rofessional
Responsibility. The granting of an application shall be
effective for the period of one's service, not to exceed
one year or until such time as the indiv~du~l shall tak~
and fail the Washington State Bar exammatlon, or until
such time as the Supreme Court deems it necessary to
terminate such privilege. [Adopted Jan. 29, 1965, effective Feb. 12, 1965; amended, adopted Nov. 5, 1973, effective Jan. I, I 974. Prior: Adopted Dec. 2, 1955,
effective Dec. 15, 1955.]
Rule 8 Admission for educational purposes. Notwithstanding any provision of any other rule to the contrary, an attorney who has been re~ul~rly admitted ~o
practice in another state '!r the Distnct. of Columbia
and who is enrolled and m good standmg as a post
graduate student or faculty member in a program of an
approved law sch.ool of this s!ate involving ~linical work
in the courts or m the practice of law which has been
approved by the Board of ~ov~rnors for the pury'oses
of this rule, may, upon apphcatlon to the Washmgton
[RuJes of General Applicatio__, 34)
State Bar Association and without payment of fee, be
admitted to the limited practice of law in this state for
the period such applicant actively participates in. said
program and complies with the Canons of P~ofe~sional
Ethics. An applicant hereunder shall establish m the
manner specified by the Board of Governors that he:
(I) Satisfy the requirements of Rule 2B(2);
(2) Is of good moral character;
(3) ls admitted to practice in another .state or the
District of Columbia, and is in good standing as an attorney of such bar;
(4) Is enrolled and in good standing in such an approved program.
Upon approval of such application by the Board, the
applicant shall take the oath of attorney and the Board
shall recommend to the Supreme Court the admission
of such applicant for the purposes herein stated; such
oath, together with any other documents the Board
deems pertinent, shall be sent to the Supreme .°?urt
which shall enter an appropriate order upon the limited
. .
admission of such applicant.
Practice of an applicant so admitted shall be lifillted
to the clinical work of the particular approved course of
study in which he is enrolled; no charge shall be ~ade
for any services so rendered. When such apphcant
ceases to actively participate in such program the dean
of the law school shall immediately notify the Washington State Bar Association and the clerk ?f the court
so that the right of the applicant to practice may .be
terminated of record. [Adopted May 20, 1966, effective
May 20, 1966; amended, adopted Dec. 29, 1970, effective Mar. 10, 1971.}
Reviser's note: Former Rule 8 captioned "Change of rules----Effect" adopted December 2, 1955, effective December 15, 1955, was
abrogated January 29, 1965, effective Febtuary 12, 1965. For later
rule on this subject, see APR 2 (D) (6).
Rule 9
Legal interns.
A. Admission to Limited Practice as a Legal Intern.
Notwithstanding any provision of any other rule to
the contrary, qualified law students, registered law
clerks and graduates of approved law schools, upon ~p­
plication and approval in accordance with _the reqmrements set forth in Rule 9B, may be adfilltted to the
status of "legal intern" and may be granted a limited
license to engage in the practice of law in any t~al
court of this state under the direction and supervision
of an active member of the Washington State Bar Association who has been actively engaged in the practice
of law in the State of Washington or elsewhere a.s a
full-time occupation for at least three years at ~e t~e
the application is filed. Such supervising _and direction
of the practice of a legal intern shall be m acc?rdance
with the requirements and limitations set forth m Rule
9D.
B. Application for Limited License as a Legal lntem--Qualifications--Procedure.
(1) Qualifications--The applicant must:
(a) Be a student duly enrolled and in. good acaden:llc
standing at an approved law school with leg~l studies
completed amounting to not less than two-t~rds of a
prescribed three-year course of study or five-eighths of
Rule 9
Admission to Practice Rules (APR)
a prescribed four-year course of study, and have the
written approval of his law school dean or a person
designated by such dean; or
(b) Be a registered law clerk in compliance with the
provision APR 2(d) with not less than three-fourths of
the prescribed four-year course of study completed and
have the written approval of his tutor; or
(c) Be a graduate of an approved law school and
submit satisfactory evidence thereof to the Washington
State Bar Association.
(2) Procedure
(a) The applicant shall make his application on a
form provided by the Washington State Bar Association, which shall conform to the requirements set forth
in Rule 9B l. There shall be no fee for filing such
application.
(b) The application shall give the name of the active
member of the Washington State Bar Association who
is to be the applicant's supervising attorney, as provided
in Rule 9C. The application shall be signed by such active member who, in doing so, shall assume the responsibilities of supervising attorney set forth in Rule 9D if
the applicant is granted a limited license as a legal intern. Such active member shall be relieved of such responsibilities upon the termination of such limited
license or at such earlier time as he or the applicant
shall give written notice to the Washington State Bar
Association and the Supreme Court of the State of
Washington requesting that such active member be so
relieved. In the latter event another active member of
the Bar may be substituted as such supervising attorney
by giving written notice of such substitution, signed by
the applicant and by such other active member, to the
Washington State Bar Association and the Supreme
Court of the State of Washington.
(c) Upon receipt of the application, the Washington
State Bar Association shall endorse thereon its approval
or disapproval and forward the same to the Supreme
Court of the State of Washington.
(d) The Supreme Court of the State of Washington
shall issue or refuse the issuance of a limited license as
a legal intern. The Court's decision shall be forwarded
to the Washington State Bar Association, and the applicant shall be informed of the Court's decision.
C. Scope of Practice by Legal Intern Under the Limited License.
A legal intern shall be authorized to engage in the
practice of law, including appearance in the trial courts
of this state in civil and criminal matters, as limited by
the provisions of this Rule 9.
D. Supervising Attomeys--Requirements.
(I) The supervising attorney shall maintain direction
and supervision over the work of the legal intern and
shall assume personal professional responsibility for any
work undertaken by the legal intern while under his supervision. All pleadings, motions, briefs, and other documents prepared by the legal intern shall be reviewed
by the supervising attorney or an attorney from the
same office as the supervising attorney. When a legal
intern signs any legal document, his signature shall be
followed by the title "legal intern" and, if the document
is prepared for presentation to a court or for filing with
the clerk thereof, the document shall also be signed by
the supervising attorney or an attorney from the same
office as the supervising attorney.
(2) Supervision shall not require that the supervising
attorney be present in the room while the legal intern is
advising or negotiating on behalf of a person referred to
him by the supervising attorney, or whi~e the Ieg~l intern is preparing the necessary pleadings, motions,
briefs, or other documents.
(3) The supervising attorney need not be present ~n
the courtroom during the legal intern's appearance m
matters before and cases tried in a trial court from the
judgment of which there is a right of trial de novo on
appeal, except in the representation of a defendant in
preliminary criminal hearings. However, if the supervising attorney or an attorney from the same office as the
supervising attorney is present, the legal intern may appear in the representation of a defendant in preliminary
criminal hearings.
(4) A legal intern may not appear in any superior
court proceeding without the presence of the supervising attorney or an attorney from the same office as the
supervising attorney except in ex parte matters and
other non-contested cases.
(5) A judge may exclude a legal intern from active
participation in proceedings before the court in the interest of orderly administration of justice or for the
protection of a client or witness, and shall thereupon
grant a continuance to secure the attendance of the supervising attorney.
(6) No supervising attorney shall have supervision
over more than one ( 1) legal intern at any one time;
however, in the case of recognized legal aid, legal assistance, public defender and similar programs furnishing legal assistance to indigents, or of state, county or
municipal legal departments, the supervising attorney
may have supervision over two (2) legal interns at one
time.
(7) No legal intern may receive payment from a client
for his services; however, nothing contained herein shall
prevent a legal intern from being paid for his services
by his employer or to prevent his employer from making such charges for the service of the legal intern as
may otherwise be proper.
(8) Without prior approval of the Board of Governors
of the Washington State Bar Association, no person
shall be eligible to act as a supervising attorney while
disciplinary proceedings (following the service of a formal complaint) are pending against him, or if he has
ever been censured, reprimanded, suspended or
disbarred.
(9) For purposes of the provisions of this Rule 9D
which permit an attorney from the same office as the
supervising attorney to sign documents or be present
with a legal intern during court appearances, the attorney so acting must be one who meets all of the qualifications for becoming a supervising attorney under this
Rule 9.
E. Term of Limited License.
(Rules of General Application--;> 35)
KUle 'J
KUies
ot venerat Application
(I) A limited license as a legal intern shall not be
granted for a period in excess of twelve (12) months,
and may be renewed only once.
(2) In no event shall any law school student or graduate be licensed as a legal intern if application is made
more than nine (9) months after graduation from law
school. ln no event shall any registered law clerk be licensed as a legal intern if application is made more
than nine (9) months after completion of his law studies
under APR 2(d). No legal intern shall be permitted to
practice beyond a date twelve (12) months after graduation from law school or completion of law studies under APR 2( d) or beyond a date when the results are
announced of the second Washington State Bar exam
taken by the legal intern, whichever date first occurs.
The time period set forth in this paragraph shall not include periods of active military service following graduation from law school or the completion of law studies
under APR 2(d).
(3) The approval given to a law student by his law
school dean or his designee may be withdrawn at any
time by mailing notice to that effect to the Clerk of the
Supreme Court and to the Washington State Bar Association, and shall be withdrawn if the student ceases to
be duly enrolled as a student prior to his graduation or
ceases to be in good academic standing. The approval
given to a registered law clerk by a tutor shall be withdrawn if the law clerk ceases to comply with APR 2(d).
(4) A limited license is granted at the sufferance of
the Supreme Court of the State of Washington and may
be revoked at any time upon the Court's own motion,
or upon the motion of the Board of Governors of the
Washington State Bar Association, in either case with
or without stated cause.
(I) Investigate Complaints
(2) Surveillance
(3) Reports
(4) General
(5) Perpetuation of Testimony
(d) Authority
( l) Trivial Matters
(2) Settlement, Compromise or Restitution
(e) Special Circumstances
RULE 2.2
Trial Committee
(a) Appointment
(b) Term of Office
Hearing Panel
RULE 2.3
(a) Hearing Panel
(b) Duties
(c) Disagreement
(d) Members of the Disciplinary Board on
Panels
(e) Continuity
F. Termination of this Rule. This rule shall expire on
December 31, 1976, unless continued by order of the
Supreme Court. [Adopted June 4, 1970, effective June 4,
1970; amended, adopted May 21, 1971, effective May
21, 1971; amended, adopted Feb. 29, 1972, effective
Feb. 29, 1972; amended, adopted Sept. 26, 1973, effective Dec. 31, 1973.]
RULE 2.4
Disciplinary Board
(a) Membership
(1) Composition
(2) Qualification
(3) Quorum
(b) Term of Office
(c) Continuity
(d) Chairman
(e) Vacancies
(f) Responsibilities
(1) General
(2) Review of Local Administrative Committee Reports
(3) Letter of Admonition
(4) Division of Authority
(5) Meetings
(g) Lay Members
(I) General
(2) Term of Office
(3) Duties
(4) Expiration
Rule 10 Revocation of order admitting to practice.
The order admitting to practice an applicant under
Rule 2B(2) (b) may be revoked by the Supreme Court,
upon the recommendation of the Board of Governors,
for failure of the applicant to proceed with due diligence in completing his naturalization process. [Adopted Dec. 29, 1970, effective Mar. 10, 1971.]
RULE 2.5
State Bar Counsel
(a) Appointment and Duties
(b) Not a Prosecutor
(c) Discovery Prior to Formal Complaint
(1) Procedure
(2) Notice
(3) Subpoenas
DISCIPLINE RULES FOR ATIORNEYS (DRA)
I.
GROUNDS FOR DISCIPLINARY ACTION
RULE 1.1
II.
Grounds
PROCEDURE
RULE 2. l
Local Administrative Committees
(a) Appointment
(b) Term of Office
(c) Duties
f'Rules or General Application--;l 361
RULE 2.6
Respondent Attorney
(a) Responsibility
(b) Dereliction
RULE 2.7
III.
Complaint
DISCIPLINARY PROCEEDINGS
RULE 3.1
Pleadings
(a) Pleadings
(1) Formal Complaint
(2) Form of Notice to Answer
(3) Form of Answer and Verification
(4) Filing of Answer
Digest
Discipline Rules for Attorneys (DRA)
(5) Amendments
(6) Time Within Which to Answer
(7) Extension of Time to Answer
(b) Service
(I) Formal Complaint and Notice to
Answer
(2) Other Pleadings, Notices or Other
Documents
(3) Service Upon the Association
(4) Mailing
(5) Proof of Service
RULE 3.2
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
fj)
(k)
0)
Hearings
Where Held
Date of Hearing
Postponements
Representation
Disqualification
Default
Public Excluded from Hearing
Procedure
Depositions
(1) Authority for Taking
(2) Filing
Discovery, Admission, Inspection of
Documents
Cooperation
Findings,
Conclusions
and
Recommendations
RULE 3.3 Stipulation
(a) Form
(b) Stipulation Approved
(c) Stipulation not Approved
IV.
MENTAL ILl.NESS AS A DEFENSE
V.
REVIEW BY TIIE DISCIPLINARY BOARD
RULE 5.1
Notices
RULE 5.2
Statement in Support or Opposition
RULE 5.3
Additional Hearing
RULE 5.4
Disciplinary Board Review
RULE 5.5
Transcript of the Record
Disciplinary Board of Action
Decision of Disciplinary Board
Transcript Required for Suspension or
Disbarment
Dissent
Disposition not Requiring Supreme Court
Action
Giving of Censure or Reprimand
Acceptance of Censure or Reprimand
Record to Supreme Court
Chairmen not Disqualified
Information to Local Administrative
Committee
Information to Complainant
Information to Members of Panel
RULE 5.6
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
VI.
REVIEW BY TIIE SUPREME COURT
RULE 6.1
Notification of Filing
RULE 6.2 Objections by Respondent Attorney
(a) Form
(b) Time for Filing
RULE 6.3 Answer of the Bar Association
(a) If Objections Filed
(b) If Objections not Filed
RULE 6.4
Reply of Respondent Attorney
RULE 6.5
Hearing
(a) Setting
(b) Readiness
(c) Argument
RULE 4.1
Notice
(a) Where Guardian Appointed
(b) Where No Guardian Appointed
RULE 6.6 Rehearing
(a) Finality
(b) Petition for Rehearing
RULE 4.2
Hearing
(a) Where no Judicial Determination of
Incompetency
(b) Procedures after Determination by Panel
(c) Hearing Held in Abeyance
(d) Submission of Mental Illness Record to Supreme Court
(e) Consideration of Record by Disciplinary
Board
(f) Action by Supreme Court
VII.
COSTS
RULE 7.1
(a)
(b)
(c)
(d)
Costs and Expenses
Costs and Expenses Defined
Statement of Costs and Expenses
Assessment by Supreme Court
Assessment Upon Suspension or Disbarment
RULE 7.2
Supreme Court Expenses
(a) Cost Bill
(b) Exceptions
(c) Determination of Costs
(Rules of General Application--p 37]
Digest
Rules of General Application
RULE 7.3
Termination of Suspension
(a) Condition Precedent
VIII. REINSTATEMENT AFTER DISBARMENT
RULE 8.1
Restrictions Against Petitioning
(a) Time of Petition
(b) Costs
RULE 8.2
Form of Petition
RULE 8.3
Fees
RULE 8.4
Investigation
RULE 10.3 Transfer by Court
(a) Court May Place on Inactive Status
(b) Petition and Notice to Answer
(c) Service
(d) Answer to Petition
(e) Service of Answer
(f) Hearing
(g) Costs
XI.
RULE I I. I
RULE 8.
.5
Hearing before· the Board of Governors
(a) Notice
(b) Statement in Support or Opposition
RULE 8.6
Action by the Board of Governors
(a) Requirement for Favorable Recommendation
(b) Disposition of Recommendation
RULE 8.7
Action
on
Determination
(a) Petition Approved
(b) Petition Denied
IX.
Supreme
Court's
SUSPENSION FOR CONVICTION OF FELONY
RULE 9.1
Suspension
(a) Suspension Automatic
(b) Duration of Suspension
(c) Petition for Reinstatement
(d) Investigation
(e) Notice of Hearing
(f) Requirements and Procedures
(g) Granting or Denial of the Petition by the Supreme Court
RULE 9.2
(a)
(b)
(c)
(d)
(e)
(f)
(g)
X.
SUSPENSION FOR CUMULATIVE DISCIPLINE
Reinstatement after Suspension for Conviction of Felony
Court May Suspend
Petition and Notice to Answer
Service
Answer to Petition
Service of Answer
Hearing
Costs
Criteria
RULE I l.2
Procedure
XII.
GENERAL PROVISIONS
RULE I2. I Definitions
(a) Residence
(b) District
(c) Association
(d) Board
(e) Panel
RULE I2.2
Papers
RULE I2.3
Filing
RULE I2.4 Expenses
(a) Local Administrative Committee, Trial Committee, Disciplinary Board and Panels
(b) Guardian Ad Litem and Counsel
RULE I2.5
RULE I2.6 Disclosure
(a) Disciplinary Files and Records Confidential
(b) Advice to Media
(c) Notice of Disciplinary Action Taken
(d) Disciplinary Record
(e) Contempt
RULE I2. 7 Service at Pleasure of Board of Governors
TABLE OF DISTRIBUTION OF DISCIPLINE RULES
FOR ATTORNEYS IN EFFECT
FROM JULY 16, 1965 THROUGH JUNE 30, 1969,
INTO THE REVISED DISCIPLINE RULES
FOR ATTORNEYS IN EFFECT
ON AND AFTER JULY 1, 1969
(For orders of adoption and savings clause,
see note following DRA Rule I. I)
INCOMPETENCY TO PRACTICE LAW
RULE 10.1 Transfer to Inactive Status
(a) Automatic Transfer
(b) Discretionary Action
(c) Applicable Rules
(d) Transfer to Inactive Status
RULE 10.2 Reinstatement
(a) Reinstatement after Court Adjudication
(b) Reinstatement Where no Court Adjudication
(I) Petition
(2) Investigation
(3) Hearing Date
(4) Reinstatement
(5) Review by the Supreme Court
[Rules of General Application---p 38)
Representation of Respondent
Original DRA
Number
Rule I
Rule II
Rule III
Rule IV
A-F,G
H
Rule V
Rule VI
Rule VII
A, B
C,D&E
Rule VIII
Rule IX
A-E
F
G-M
Revised DRA
Number
Rule 9.1
Rule 9.2
Rule l.l
Rule
Rule
Rule
Rule
2.1
2.6
2.5
2.1
Rule 2.2
Rule 2.3
Rule 3.1
Rule 3.2
Rule 3.1
Rule 3.2
Discipline Rules for Attorneys (DRA)
Original DRA
Number
N
Rule X
A
B
c
D
Rule XI
Rule XII
Rule XIII
A
B
C,D
E
F
G
Rule XIV
A-D
E,F
Rule XV
A-E
F
G
H
I
J
K
L
N
Revised DRA
Number
Rule 4.1
Rule 4.2
Rule 5.1
Rule 5.2
Rule 5.3
Rule 5.4
Rule 5.5
Rule 5.6
Rules 6.1
through 6.6
Rules 7.1
through 7.3
Rule
Rule
Rule
Rule
Rule
Rule
8.2
8.4
8.5
8.6
8.7
8.1
Rule 10.1
Rule 10.2
Rule 12.l
Rule 12.2
Rule 12.3
Rule 12.4
Rule 3.2
Rule 12.4
Rule 12.5
Rule 12.6
Rule 6.6
TABLE OF DISTRIBUTION OF RULES
FOR DISCIPLINE OF ATIORNEYS IN EFFECT
PRIOR TO JULY 16,
1965, INTO THE NEW DISCIPUNE RULES
FOR ATIORNEYS IN EFFECT
ON AND AFTER JULY 16, 1965
(For order of adoption, see note
following DRA Rule l.l)
Old RDA
Number
NewDRA
Number
Rule 1
Rule 2
Rule3
Rule 4
Rule 5
Rule 6
Rule 7
Rule 8
Rule 9
Rule 10
Rule 11
Rule III
Rule IV
Rule V
Rule VI
Rule VII
Rule VIII
Rule IX
Rule X
Rule XII
Rule XIII
Rule XV
[By order of the Supreme Court dated May 5, 1967, and effective
July l, 1967, the Rules for Discipline of Attorneys (RDA) have been
redesignated as "Discipline Rules for Attorneys (ORA)."]
I. GROUNDS FOR DISCIPLINARY ACTION
Rule 1.1 Grounds. An attorney at law may be censured, reprimanded, suspended, or disbarred for any of
the following causes, hereinafter sometimes referred to
as violations of the rules of professional conduct:
(a) T~e commission of any act involving moral turpitude, dishonesty, or corruption, whether the same be
committed in the course of his relations as an attorney,
or otherwise, and whether the same constitutes a felony
Rule 1.1
or misdemeanor, conviction thereof in a criminal proceeding shall not be a condition precedent to disciplinary action. Upon such conviction, however, the
judgment and sentence shall be conclusive evidence, at
the ensuing disciplinary hearing of the guilt of the respondent attorney of the crime described in the indictment or information, and of his violation of the statute
upon which it is based. A disciplinary hearing as provided in Rule 3.2 of these rules shall be had to determine, (1) whether moral turpitude was in fact an
element of the crime committed by the respondent attorney and, (2) the disciplinary action recommended to
result therefrom.
(b) Wilful disobedience or violation of a court order
directing him to do or cease doing an act connected
with his practice of law, which he ought in good faith to
do or forbear.
(c) Violation of his oath or duties as an attorney.
(d) Corruptly or, without authority, wilfully appearing as an attorney for a party to an action or
proceeding.
(e) Lending his name to be used as attorney by another person who is not an attorney authorized to practice law in the State of Washington.
(t) Misrepresentation or concealment of a material
fact made in his application for admission or reinstatement or in support thereof.
(g) Suspension or disbarment by competent authority
in any state, federal or foreign jurisdiction.
(h) Practicing law with or in cooperation with a disbarred or suspended attorney, or maintaining an office
for the practice of law in a room or office occupied or
used in whole or in part by a disbarred or suspended
attorney, or permitting a disbarred or suspended attorney to use his name for the practice of law, or practicing law for or on behalf of a disbarred or suspended
attorney, or practicing law under any arrangement or
understanding for division of fees or compensation of
any kind with a disbarred or suspended attorney, or
with any person not authorized to practice law.
(i) Gross incompetency in the practice of law.
Q) Violation of the Code of Professional Responsibility of the profession adopted by the Supreme Court of
the State of Washington.
(k) Membership in any party or organization knowing that it has for its purpose and object the overthrow
of the United States Government by force or violence.
(l) Wilful violation of Rule 2.6 or wilful disregard of
the subpoena or notice of a local administrative committee, panel, Disciplinary Board, or Board of Governors of the Washington State Bar Association.
(m) A course of conduct demonstrating unfitness to
practice law. [Adopted May 12, 1969, effective July 1,
1969; amended Mar. 27, 1972, effective Mar. 27, 1972;
amended Dec. 15, 1972, effective Jan 2, 1973.]
Order of Supreme Court adopting rules for discipline of attorneys
and superseding prior rules:
"W!f~REAS, the Board of Governors of the Washington State Bar
Assoc1atton_ h~ ~ecommended to the Supreme Court for adoption the
attached D1sc1pline Rules for Attorneys, and the Court having considered the proposed Rules; it is hereby
ORDERED that the existing Discipline Rules for Attorneys are
superseded by the Discipline Rules for Attorneys attached hereto and
by reference made a part hereof; and
(Rules of General Applicatioo--p 391
Rule 1.1
Rules of General Application
his further ORDERED that the attached rules be published expeditiously in the Washington Decisions with notification that criticism,
comment or objection be received in the office of the Clerk of the Supreme Court by June 18, 1969 for the purpose of consideration and
evaluation by the Supreme Court; and
It is further ORDERED that the attached rules will become effective on July l, 1969, subject to such revision or modification as is
made by the Supreme Court prior thereto, and
It is further ORDERED that disciplinary proceedings wherein the
formal complaint has been served on the resp<>ndent prior to July I,
1969 shall continue to be governed by and disposed of under the
presently existing rules.
Dated at Olympia, Washington this 12th May, 1969."
Order of Supreme Court adopting rules for discipline of attorneys
and abrogating former rules: "The Supreme Court of the State of
Washington in conformity with its rule-making power herewith abrogates the existing Rules for Discipline of Attorneys in the State of
Washington as the same appear in RCW Vol. 0 as of the effective
date of the new Rules for Discipline of Attorneys in the State of
Washington adopted herewith, except as to proceedings then pending
before the Board of Governors of the Washington State Bar Association, or before the Supreme Court of the State of Washington.
The attached Rules for Discipline of Attorneys (proposed by the
Board of Governors of the Washington State Bar Association and
modified in minor respects by this court) are herewith adopted, effective as of the date of their publication in the Washington Decisions.
Dated at Olympia, Washington this 25th day of June, 1965."
Reviser's note: By order of the Supreme Court dated May 5, 1967,
and effective July I, 1967, the Rules for Discipline of Attorneys
(RDA) have been redesignated as "Discipline Rules for Attorneys
(DRA)."
II. PROCEDURE
Rule 2.1
Local administrative committees.
(a) Appointment. The board of Governors shall appoint a Local Administrative Committee consisting of
three or more members in each county or district as
herein defined. The Board of Governors may create
districts consisting of two or more counties, a portion of
one or more counties, or one or more counties and a
portion of one or more counties. These Committees
shall be known as "Local Administrative Committee of
__________ County (or __________ District)." All
members of the Local Administrative Committees shall
be chosen by the Board of Governors from the active
members of the Association whose residences are in the
county or district for which they are appointed.
(b) Term of Office. The members of the Local Administrative Committees shall be appointed for terms of
three years or until their successors are appointed, and
their terms shall be so staggered that one or more shall
be appointed each year. The Board of Governors shall
designate each year one member of each Local Administrative Committee to serve as chairman thereof for
one year or until his successor is appointed. Members
heretofore appointed by the Board of Governors shall
serve out their regular terms. Members may be removed
from office at any time and their successors appointed
to serve during the remainder of the unexpired term.
(c) Duties. It shall be the duty of a Local Administrative Committee to:
(I) Investigate Complaints. Investigate promptly all
complaints referred to it by the association or received
(ltules of General Application---- 40]
directly by the committee in writing concerning any attorney who has his residence within the county or district of such committee.
(2) Surveillance. Take cognizance of any alleged violation of the rules of professional conduct brought to its
attention whether or not a complaint be received.
(3) Reports.
(i) Case. Make prompt reports to the Disciplinary
Board containing complete findings of fact and its
opinion as to whether or not reasonable cause exists for
further proceedings as hereinafter provided.
(ii) Quarterly. Each Local Administrative Committee
shall, not later than the 10th day of January, April, July
and October of each year, prepare and file with the
Disciplinary Board, upon forms prepared by the Disciplinary Board, a list of all matters and proceedings before the Committee, and note thereon the progress, if
any, of each of the matters and proceedings since the
last report of the Committee.
(iii) Confidential. Except as provided in these rules,
reports made by the Local Administrative Committees
with regard to all matters investigated by them are confidential; provided, if requested in writing by the attorney investigated, that he shall be advised whether or not
the Local Administrative Committee found that reasonaMe cause exists for further proceedings. Such reports
shall form a part of the permanent records of the Association and may be used as a basis for disciplinary
proceedings.
(4) General. Perform such other duties and transact
such other business of a local nature for and on behalf
of the Association as shall be referred to it from time to
time by the Disciplinary Board or the Board of
Governors.
(5) Perpetuation of Testimony. Where, in the discretion of a Local Administrative Colll1Ilittee, there is reasonable cause to believe that testimony should be
perpetuated, the Committee may, upon reasonable notice to the attorney investigated, cause the deposition of
any witness to be taken under oath before a notary
public or before any other officer authorized by the law
of the jurisdiction where the deposition is taken to administer an oath, and have the same transcribed for use
in any further proceedings under these rules to which
the said attorney may be a party. Save as in this paragraph specifically provided, proceedings before a Local
Administrative Committee shall be informal and witnesses shall not be sworn.
( d) Authority.
(1) Trivial Matters. The committee shall have power
to settle and dispose of complaints of a trivial nature;
provided, that a complete report of the disposition of
each such complaint shall be made to the Disciplinary
Board.
(2) Settlement, Compromise or Restitution. Settlement of, compromise of, or restitution in a matter shall
not justify the Committee in failing to undertake or
complete its investigation and report thereon to the
Disciplinary Board.
Rule 2.4
Discipline Rules for Attorneys (ORA)
(e) Special Circumstances. The Board of Go~e~nors. in
lieu of referring a matter to a Local ~dmmistrative
Committee for investigation, in its discretion, may:
( l) Appoint a special committee composed of Local
Administrative Committee members from more than
one county or district to conduct an investigation, or
(2) Refer a complaint to bar counsel for investigation,
or
(3) Direct the filing of a formal complaint without
investigation if in its opinion investigation would be of
no value. [Adopted May 12, 1969, effective July 1, 1969;
amended Dec. 15, 1972, effective Jan. 2, 1973.]
Rule 2.2 Trial committee.
(a) Appointment. The Board of Governors shall appoint a Trial Committee consisting of three or more
members in each county or special district as herein
defined. The Board of Governors may create special
district consisting of two or more counties, a portion of
one or more counties, or one or more counties and a
portion of one or more counties. Those committees
shall be known as "Local Trial Committee of
__________ County (or __________ Special District
_____ ). " All members of Local Trial Committees shall
be chosen by the Board of Governors from the active
members of the Association whose residences are in the
county or special district for which they are appointed.
(b) Term of Office. The members of Local Trial
Committees shall be appointed for terms of three years
or until their successors are appointed, and their terms
shall be so staggered that one or more shall be appointed each year. Members heretofore appointed by the
Board of Governors shall serve out their regular terms.
Members may be removed from office at any time and
their successors appointed to serve during the remainder of the unexpired term. Any member designated to
serve on a hearing panel, in accordance with these
rules, shall continue as a member of the Local Trial
Committee until the completion of his duties as a member of the panel to which he was assigned notwithstanding his appointed term as a member of the Local
Trial Committee expires after his assignment to the
panel. [Adopted May 12, 1969, effective July 1, 1969;
amended Dec. 15, 1972, effective Jan. 2, 1973.]
Rule 2.3 Hearing panel.
(a) Hearing Panel. Each disciplinary matter referred
for hearing shall be heard by a three-member Hearing
Panel appointed by the Chairman of the Disciplinary
Board. The Panel shall be composed of one member
from the Disciplinary Board and two members from the
Local Trial Committee of the county or special district
where the respondent attorney had his residence at the
time of the alleged violation of the rules of professional
conduct. The Disciplinary Board may direct a hearing
which has been assigned to a Panel in one county or
special district to be transferred to another county or
special district or to a special Panel appointed by the
Chairman, the Local Trial Committee members of
which two last mentioned Panels need not have their
residences in the same county or special district as that
in which the respondent attorney had his residence at
the time of the alleged violation.
(b) Duties. It shall be the duty of the Panel to whom
a cause has been referred for hearing to conduct the
hearing in the manner hereinafter provided. The ~a!1-el
shall pass on all questions of procedure and a~m~ss10n
of evidence, and in case of disagreement a maJonty of
the members of the Panel shall decide each point or
objection as the same shall arise. The Pane~ shall ma~e
its findings, conclusions and recommendation, s\lbmitting them to the Disciplinary Board together with all
pleadings, documents and exhibits promptly after the
taking of evidence is concluded.
(c) Disagreement. In the event of disagreement the
members shall file independent findings, conclusions
and recommendation within the time aforesaid.
(d) Members of the Disciplinary Board on Panels.
Each Panel shall have as its chairman a member of the
Disciplinary Board, but such member shall not be a
resident of the congressional district in which the respondent attorney had his residence at the time of the
occurrence of the alleged violation of the rules of professional conduct. Notwithstanding the foregoing provisions and those of Rule 2.3(a), the Panel chairman may
be a lawyer not a member of the Disciplinary Bo:ird ~f
the Disciplinary Board determines that such action ts
necessary or desirable to prevent an undue burden
upon its members. The Chairman shall settle the necessary pleadings, preside at the hearing, conduct the
hearing with the assistance of the other members of the
Panel, see that the findings, conclusions and recommendation are submitted to the Disciplinary Board and
perform such other duties as shall be required of him by
the Disciplinary Board.
(e) Continuity. Notwithstanding the expiration of the
term of office of any member or members of a Panel,
the Panel as constituted at the time a matter is referred
to it shall have jurisdiction to proceed and render its
decision and recommendation in such matter. [Adopted
May 12, 1969, effective July 1, 1969; amended Dec. 15,
1972, effective Jan. 2, 1973.]
Rule 2.4
Disciplinary board.
(a) Membership.
(1) Composition. The Board of Governors shall ap-
point a Disciplinary Board composed of at least seven
members, with one, or more, having his residence in
each Congressional District.
(2) Qualification. No person shall be appointed to the
Disciplinary Board who has not been an active member
of the State Bar Association for at least fifteen years,
and no one shall be eligible to serve two consecutive
three-year terms.
(3) Quorum. Five members shall constitute a quorum,
and concurrence of a majority of the members present
shall constitute the action of the Disciplinary Board.
(b) Term of Office. Members of the Disciplinary
Board shall serve for terms of three years, or until their
successors are appointed. Terms shall be so staggered
(Rules of General Applicatioo---p 41)
KUle .l.4
Kules ot lfeneral Application
that two o_r more are appointed each year. Two of those
first appomted shall serve for one year, two for two
years.
(c) Continuity. Notwithstanding the expiration of the
term of office of a member of the Disciplinary Board,
he s~all h~ve the authority to act in any matter assigned
to him pnor to the expiration of his term.
(d) Chairman. The Board of Governors shall designa t~ one member of the Disciplinary Board to act as its
chairman and another as its vice chairman for terms of
one year. The chairman shall have such duties and
powers as are specified in the Rules for Discipline of
Atto~neys, and. shall preside at Disciplinary Board
meetmgs. The vice chairman shall serve in the absence
or at the request of the chairman.
. (~) Vacancies. Vacancies in membership on the Disciplinary Board and in the office of chairman and vice
chairman shall be filled by the Board of Governors for
the unexpired terms.
(f) Responsibilities.
(I) General. The Disciplinary Board shall have the
p~w~rs. and duties expressly provided in these rules for
Discipbne of Attorneys, together with those delegated
to it by the Board of Governors. It shall make such reports of its work in statistical or other form to the
Board of Governors as may be required by the Board
of Governors.
(2) Review of Local Administrative Committee Reports. The ~isciplinary Board shall review each report
of alleged ffilsconduct submitted to it, and in its discretion may refer such complaint for trial, request further
invest.igation,. dismiss the complaint, or take other appropnate action.
(3) Letter of Admonition. Where it appears to the
Disciplinary Board that, if the findings of the Local
Admini~trative c;ommittee are true, the attorney has
been guilty of misconduct, but not of sufficient magnitude to warrant a trial, the Disciplinary Board, in its
discretion may dismiss the complaint and send the attorney a. letter of admonition warning against such
conduct m the future. Such a letter shall not constitute
a finding of misconduct.
(4) Division of Authority. The Board of Governors
shall have no right or responsibility to review decisions
or recommendations of the Disciplinary Board. It shall,
however, have responsibility for the proper functioning
of the Local Administrative Committees and bar counsel. Any. publicity with reference to pending disciplinary
proceedmgs shall be released only through the Board of
Governors.
(5) Meetings. The Disciplinary Board shall hold at
least s~ meetings a year at such times and places as it
may determine.
(g) Lay Members
(I) General. Two (2) lay members shall be appointed
to the Disciplinary Board by the Supreme Court.
(2) Term of Oflice. The lay members of the Disciplinary Board shall serve for terms of one year, or until
their successors are appointed.
(Rules of General Application--p 42)
(3) Duties. The lay members shall serve as advisory
non-voting members of the Disciplinary Board. A lay
member shall not serve on a hearing panel.
(4) This paragraph of DRA 2.4 shall expire on
December 31, 1974, unless continued by order of the
Supreme Court. [Adopted May 12, 1969, effective July
1, 1969; amended, adopted Dec. 15, 1972, effective Jan.
2, 1973; amended, adopted Nov. 14, 1973, effective Jan.
1, 1974.]
Rule 2.5
State bar counsel.
(a) Appointment and Duties. The Board of Governors
shall employ a suitable person or persons from among
the members of the Association to act as counsel for the
Association with respect to matters of discipline and
reinstatement of members, including the investigations,
hearings and appeals incident thereto, and to perform
such duties as shall be required by such Board.
(b) Not a Prosecutor. The general function of the
State Bar Counsel in all investigations and hearings
shall be to present all the material facts to the appropriate Panel, Board or Court. His function is not that of
a prosecutor.
(c) Discovery Prior to Formal Complaint. Where Bar
<;ounsel deems it essential to take the discovery deposit10n of the attorney being investigated or of a witness
prior to the filing of a formal complaint, the Disciplinary Board, i?. its discretion, may authorize the taking
of such deposition upon such terms and with such limitations as it deems proper.
(1) Procedure. Such depositions may be taken within
~>r without ~he state and either orally or upon written
mterrogatones, before any officer authorized to admini~t~r a~ oath by law in the jurisdiction where the deposition ts taken. The manner of taking such depositions
shall conform as nearly as practical to that prescribed
for the taking of depositions in the Superior Court of
the State of Washington except as otherwise provided in
these rules.
(2) -!"_otice. If it is a witness who is to be deposed, the
deposition may be taken with or without notice to the
a~torney being investigated, but if such attorney is not
given reasona~le prior notice thereof the deposition
shall not be mtroduced in evidence at any hearing
without his consent.
(3) Subpoenas. Each member of the Disciplinary
Board shall have the power to issue subpoenas to compel the. attendance of the attorney being investigated or
of a witness, or the production of books or documents
at the ~aking of such depositions. Subpoenas shall be
s~rved m the same manner as in civil cases in the Supenor Court of the State of Washington. [Adopted May
12, 1969, effective July 1, 1969; amended Dec. 15, 1972,
effective Jan. 2, 1973.]
Rule 2.6 Respondent Attorney.
(a) Responsibility. It shall be the duty and the obligation of an attorney against whom a complaint has been
Rule 3.1
Discipline Rules for Attorneys (DRA)
made and who is being investigated by the Local Administrative Committee to cooperate with Committee as
requested by it by:
(I) furnishing any papers or documents,
(2) furnishing in writing a full and complete explanation covering the matter contained in such complaint,
(3) appearing before the Committee at the time and
place designated.
(b) Dereliction. Should such attorney fail so to cooperate with the Committee in the manner herein provided, the Committee shall report the same to the
Disciplinary Board, and such failure may constitute a
violation of the rules of professional conduct. [Adopted
May 12, 1969, effective July 1, 1969.]
Rule 2.7 Complainant.
Duties of Complainant. Upon request, the person
complaining shall furnish to the Local Administrative
Committee or State Bar Counsel documentary and other evidence in his possession and the names and addresses of witnesses, and assist in securing evidence in
relation to the facts charged. [Adopted May 12, 1969,
effective July 1, 1969; amended Dec. 15, 1972, effective
Jan. 2, 1973.]
III. DISCIPLINARY PROCEEDINGS
Rule 3.1
Pleadings.
(a) Pleadings. The only pleadings permissable upon
proceedings before a Panel are a formal complaint, a
notice to answer, answer to complaint, and motions to
make more definite and certain or in the alternative for
a bill of particulars, and, if directed, a bill of particulars. Informality in the complaint or answer shall be
disregarded.
( l) Formal Complaint. If the Disciplinary Board finds
a hearing should be had to determine whether a violation of the rules of professional conduct has occurred, a
formal complaint shall be prepared and filed in the
office of the Association and proceedings shall be had
thereon as hereinafter provided. The formal complaint,
which need not be verified, shall set forth the particular
acts or omissions of the respondent attorney in such
detail as to enable him to know the charge against him
and shall be signed by the President and State Bar
Counsel.
(i) Prior record a separate count. Prior disciplinary
proceedings and complaints against the respondent attorney, excluding dismissals after a hearing before a
hearing panel, shall be made a separate count of the
complaint if they indicate a course of conduct demonstrating unfitness to practice law or gross incompetency
in the practice of law.
(ii) Prior record as professionaJ history. If a prior
record ,of the respondent attorney is not made a separate count of the complaint, any prior record of censure, reprimand, suspension or disbarment, or any
absence of such record, shall be included in the complaint as an allegation of the professional history of
respondent.
(iii) Joinder of charges. The Discipl~nary Board in its
discretion may consolidate for heanng two or more
charges as to the same attorney, or may join the c~arges
as to two or more attorneys in one formal complamt.
(iv) Commencement of proceeding. A disciplinary
proceeding shall be deemed commenced when the formal complaint has been filed in the office of the Association as provided by these rules.
(v) Procedural irregularity. No procedural irregula~ty
which occurs prior to the filing of a formal complamt
shall affect the validity of such complaint or of any
proceeding subsequent thereto.
(2) Form of Notice to Answer. The notice to answer
shall be substantially in the following form:
STATE OF WASHINGTON BEFORE THE
DISCIPLINARY BOARD OF THE WASHINGTON
STATE BAR ASSOCIATION
In re _______________ , An Attorney at Law: Notice to
Answer To the above named attorney at law:
You are notified that a formal complaint has been
filed against you, a copy of which is hereto attached
and herewith served upon you.
You are notified that you may answer said complaint
by filing the original and four copies of your answer in
the office of the Washington State Bar Association, at
the address below stated. If the complaint was served
upon you personally in the State of Washington you
may have twenty days, exclusive of the date of service,
in which to file such answer. If the complaint was
served upon you in any other manner, or outside the
State of Washington, or mailed to you, then you may
have thirty days from the date of service, or the date of
the mailing of the complaint to you, in which to answer.
Upon the filing of your answer a hearing will be had
upon the allegations of the complaint, and such further
proceedings will be had as the facts and the law shall
warrant.
In case of your failure to answer, further proceedings
will be had in accordance with the rules of discipline.
Washington State Bar Association
By ----------------------------State Bar Counsel
Address:
_____________________ _
____________________ , Washington
Date of Mailing: The _____ day of __________ 19 __ .
(3) Form of Answer and Verification. The answer
must contain:
(i) Denials. A general or specific denial of each material allegation of the complaint that is controverted by
the respondent attorney, or of any knwoledge or information thereof sufficient to form a belief.
(ii) Aflirmative defenses. A statement of any matter
constituting a defense or justification, in ordinary and
concise language without repetition.
(iii) Address. An address at which all further pleadings, notices and other documents in relation to the
proceeding may be served upon the respondent
attorney.
(iv) Verification. A verification before some officer
authorized to administer oaths.
(Rules of General
Applicatioo--p 43)
Kule J.I
Kules ot t;eneral Application
(4) Filing of Answer. The original and four copies of
the answer shall be filed in the office of the Association.
(5) Amendments. A complaint may be amended at
any time to set forth additional facts, whether occurring
before or after commencement of the hearing, either in
amplification of the original charge or to add new
charges. In case of such amendment, the respondent attorney shall be given a reasonable time, to be fixed by
the chairman of the Panel, to answer the amendment,
to procure evidence, and to defend against the charges
set forth therein. The chairman of the Panel may at any
time allow or require other amendments to the complaint or to the answer.
(6) Time Within Which to Answer. If personal service
is made upon the respondent attorney in the State of
Washington, he shall be allowed twenty (20) days from
the date of service, exclusive of the date of service, in
which 10 answer; if service is made in any other manner
or place, the respondent attorney shall be allowed thirty
(30) days from the date of service, or the date of mailing, exclusive of the date of service or mailing, in which
to answer.
(7) Extension of Time to Answer. For good cause
shown the chairman of the Panel may extend time for
answer.
(b) Service.
(I) Formal Complaint and Notice to Answer. A copy
of the formal complaint with notice to answer shall be
served on the respondent attorney in the following
manner:
(i) Personal service in Washington. If the respondent
attorney is found in the State of Washington, by personal service upon him in the manner as is required for
personal service of summons in civil actions in the Superior Court in the State of Washington on the effective
date of these rules.
(ii) Service if not found in Washington. If the respondent attorney cannot be found, either by leaving a
copy at his place of usual abode, if in the State of
Washington, with some person of suitable age and discretion then resident therein, or by mailing by registered or certified mail, postage prepaid, a copy
addressed to him at his last known (a) place of abode,
(b) office address maintained by him for the practice of
law, or (c) post office address.
(iii) Service outside Washington. If the respondent
attorney is found outside of the State of Washington,
then by personal service.
(iv) Service on guardian. If the respondent attorney
has been judici~Uy declared to be of unsound mind, or
incapable of conducting his own affairs, service shall
also be bad on his guardian or guardian ad litem.
(2) Other Pleadings, Notices or Other Documents.
Service upon the respondent attorney of any pleadings,
notices or other documents required by these rules to be
served, other than the formal complaint and notice to
answer, may be made by mailing the same, postage
prepaid, to or leaving the same at the address set forth
in his answer, or in the absence of an answer, by mailing the same, postage prepaid, to or leaving the same at
[Rules of General Application--p 44)
the address of the respondent attorney on file in the
office of the Association.
(3) Service Upon the Association. Service upon the
Association of any pleadings, notices, or documents
may be made by filing the same in the office of the
Association.
(4) Mailing. When such other pleadings, notices, or
documents are to be served by mail they shall be sent
by registered or certified mail with postage prepaid.
(5) Proof of Service. An affidavit of service, sheriff's
return of service, or a signed acknowledgement of service, upon being filed in the office of the Association,
shall be proof of such service. [Adopted May 12, 1969,
effective July 1, 1969; amended Dec. 15, 1972, effective
Jan. 2, 1973.]
Rule 3.2
Hearings.
(a) Where Held. All disciplinary hearings shall be
held in the county where the attorney complained
against had his residence at the time of the alleged violation of the rules of professional conduct, unless otherwise directed by the Disciplinary Board or the Panel.
(b) Date of Hearing. The chairman of the Panel shall
fix the time and place for hearing and shall cause notice
thereof to be given to respondent attorney at least
twenty (20) days prior thereto. The hearing shall occur
not earlier than thirty (30) days or later than sixty (60)
days after service of the complaint, unless delayed for
good cause.
(c) Postponements. At the time and place appointed
for the hearing the Panel shall proceed with the hearing,
unless for good cause the Panel shall grant a postponement, but no postponement shall be longer than thirty
(30) days and the total period of time of all postponements shall not exceed sixty (60) days unless approved
by the Disciplinary Board.
(d) Representation. The Association shall be represented at hearings before the Panels by State Bar
Counsel. The respondent attorney may be represented
by counsel if he so desires.
(e) Disqualification. The names and office addresses
of the Panel who will conduct the hearing shall be
served upon respondent attorney at the same time that
the formal complaint is served or within a reasonable
time thereafter. If the respondent attorney desires to
challenge for cause any such member or members he
shall do so in writing stating his reasons for such challenge or challenges at least ten (10) days prior to the
hearing. The unchallenged members or member of the
Panel shall rule upon the challenge or challenges. If a
challenge is sustained, the chairman of the Disciplinary
Board shall forthwith appoint some person or persons
of the stated qualifications to fill the vacancy or vacancies on the Panel. In the event challenges are directed
against all the members of the Panel, the chairman of
the Disciplinary Board shall rule upon the challenges.
The respondent attorney shall have the right to challenge any appointee to fill the vacancy on the Panel in
the same manner and within such period as shall be
provided in the order sustaining the prior challenge.
Rule 33
Discipline Rules for Attorneys (DRA)
(f) Default. In no event shall a default be entered
against the respondent attorney. If he fails to answer
the complaint within the time allowed by these rules the
Panel shall proceed to a determination of the matter in
the same manner as though the respondent attorney
were present and had answered by a general denial. No
notice of the date of hearing or the names of the Panel
members or of the taking of depositions of witnesses to
be used at the hearing shall be required to be given to
such respondent attorney failing to answer. If the respondent attorney has answered but fails to attend the
hearing at the time set, the Panel shall proceed to a determination of the matter in the same manner as though
the respondent attorney were present.
(g) Public Excluded from Hearing. Unless a public
hearing is requested in writing by the respondent attorney, the hearing of a disciplinary matter before a Panel
shall not be public.
(h) Procedure. Each member of the Disciplinary
Board shall have the power to issue subpoenas to compel the attendance of witnesses or the production of
books or documents at such hearings. The respondent
attorney shall have the opportunity to make his defense
and may have issued such subpoenas as he may desire
and as any member of the Disciplinary Board deems
necessary. Subpoenas shall be served in the same manner as in civil cases in the Superior Court of the State of
Washington. Witnesses shall testify under oath administered by the chairman of the Panel. Testimony shall
be taken in writing and may be taken by deposition in
accordance with these rules.
(i) Depositions. Depositions for use at the hearing
may be taken either within or without the state, upon
either written or oral interrogatories before any member
of the Panel or before any other officer authorized to
administer an oath by the law of the jurisdiction where
the deposition is taken. The manner of taking such depositions shall conform as nearly as practicable to that
prescribed for the taking of depositions in the Superior
Court of the State of Washington except as otherwise
provided in these rules.
(I) Authority for Taking.
(i) Within State. The chairman of the Disciplinary
Board or chairman of the Panel shall have the power to
order the taking of depositions and to make such further orders relative thereto, including provision for the
expense thereof, as will insure a fair and impartial
hearing to the respondent attorney.
(ii) Outside State. Where depositions are taken without the State a commission need not issue, but a copy
of the order so made certified to be such by the chairman of the Disciplinary Board or the chairman of the
Panel shall be sufficient authority to authorize the taking of such depositions.
(2) Filing. All depositions when taken shall be filed in
the office of the Association.
G) Discov~ry, Admissions, Inspection of Documents.
After the filing of a complaint against an attorney by
direction of the Disciplinary Board, the respondent attorney and the Bar Association shall have the rights afforded to Superior Court litigants under Rules 33, 34
and 36 of the Civil Rules for the Superior Court, limited
and prescribed as follows: Such rights shall be available
only upon such terms, and with such limitations, as the
Panel chairman deems just. The Panel chairman shall
have discretion to decide whether to permit such limited
discovery and the terms or limitations thereon. In exercising such discretion the chairman shall consider
whether undue delay or expense in bringing the matter
to hearing will result, and whether the interests of justice will be promoted. Any determinations or orders required under said Rules to be made by a Superior
Court judge shall be made by the chairman.
(k) Cooperation. It shall be the duty of an attorney
who has been served with a formal complaint to respond to all lawfol orders made by the chairman of the
Panel as provided in the preceding paragraph. Should
such attorney fail so to do, the chairman of the Panel
shall report the same to the Disciplinary Board, and
such failure may constitute a violation of the rules of
professional conduct.
(I) Findings, Conclusions and Recommendations.
Promptly after the hearing, the chairman of the Panel
shall cause findings, conclusions and recommendations
to be filed with the Disciplinary Board. [Adopted May
12, 1969, effective July l, 1969; amended Dec. 15, 1972,
effective Jan. 2, 1973.]
Rule 3.3 Stipulation. Any disciplinary matter or
proceeding may be disposed of by a stipulation for discipline entered into at any time, the stipulation to be
signed by the respondent attorney and by the State Bar
Counsel. No such stipulation shall be effective unless
approved by the Supreme Court. The stipulation may
be presented to the Disciplinary Board and the Supreme Court for approval without notice.
(a) Form. A stipulation for discipline shall
(1) set forth the material facts relating to the particu-
lar acts or omissions of the respondent attorney in such
detail as to enable the Disciplinary Board and the Supreme Court to form an opinion as to the propriety of
the discipline being agreed upon, and to make the stipulation useful in any subsequent disciplinary proceedings against the respondent attorney;
(2) set forth the respondent attorney's prior record of
censure, reprimand, suspension or disbarment, or any
absence of such records;
(3) state that the stipulation is not binding on the
Association as a statement of all existing facts relating
to the professional conduct of the respondent attorney,
but that any additional existing facts may be proven in
any subsequent disciplinary proceedings; and
(4) fix the amount of the costs and expenses to be
paid by the respondent attorney.
(b) Stipulation Approved. If the stipulation is approved. by the Disciplinary Board and the Supreme
Court It shall be followed by the disciplinary action
agreed to in the stipulation. If it is stipulated that the
(Rules of General~ 45]
Rule 3.3
Rules of General Application
respondent attorney be censured or reprimanded, the
stipulation shall be retained in the office of the Association, with notice thereof sent to the Supreme Court,
which notice shall remain confidential.
(c) Stipulation Not Approved. If the stipulation is not
approved by the Disciplinary Board or the Supreme
Court, as the case may be, then the stipulation shall be
of no force and effect and neither it nor the fact of its
execution shall be admissable in evidence in the pending disciplinary proceeding, in any subsequent disciplinary proceeding, or in any civil or criminal action.
[Adopted May 12, 1969, effective July 1, 1969.)
IV.
Rule 4.1
MENTAL ILLNESS AS A DEFENSE
Notice.
(a) Where Guardian Appointed. If the respondent attorney has been judicially declared to be of unsound
mind, or incapable of conducting his own affairs, and a
guardian of his person has been appointed in this state,
all pleadings, notices or other documents herein required to be served upon the respondent attorney shall
likewise be served upon such guardian.
(b) Where No Guardian Appointed. If a guardian of
his person has not been appointed in this state, the
Chief Justice of the Supreme Court shall, on application
of the Association, appoint a member of the Washington State Bar Association as guardian ad litem for the
respondent attorney. The file in such proceedings shall
be kept sealed. All pleadings, notices or other documents herein required to be served upon the respondent
attorney shall likewise be served upon such guardian ad
litem and the guardian of the person of the respondent
attorney, if any, appointed in another state, and all
proceedings on the complaint as to the respondent attorney shall be determined as hereinafter provided.
[Adopted May 12, 1969, effective July I, 1969.]
Rule 4.2 Hearing.
(a) Where No Judicial Determination of Incompetency. If the respondent attorney has not been judicially
declared to be of unsound mind, or incapable of conducting his own affairs, but it shall appear to the chairman of the Panel that there is reasonable cause to
believe that the respondent attorney is of unsound mind
to the extent that he is incapable of conducting a proper defense to the formal complaint against him, the
chairman of the Panel shall fix a time and place for a
hearing before the Panel on the sole issue of the respondent attorney's mental capacity to defend the formal complaint against him. It shall be the duty of the
chairman of the Panel to appoint counsel to act for and
on behalf of the respondent attorney in the proceeding
in this subsection provided, should the respondent attorney not have counsel of his own choosing.
(b) Procedure after Determination by Panel. If it shall
be determined by the Panel that said respondent attorney is mentally capable of conducting a proper defense,
the proceeding shall continue. If, however, it shall be
(Rules o( General Application--p 46)
determined by the Panel that the respondent attorney is
not mentally capable of conducting a proper defense,
the Chief Justice of the Supreme Court, on application
of the Association, shall appoint a member of the
Washington State Bar Association as guardian ad litem
for the respondent attorney. The file in such proceeding
shall be kept sealed. All pleadings, notices and other
documents herein required to be served upon the respondent attorney shall likewise be served upon such
guardian ad litem and all proceedings on the complaint
made as to the respondent attorney shall be determined
as hereinafter provided.
(c) Hearing Held in Abeyance. Should the respondent
attorney have been judicially declared to be of unsound
mind, or incapable of conducting his own affairs, or,
upon the hearing as provided in this rule, have been
found to be of unsound mind to the extent that he is
incapable of conducting a proper defense to the formal
complaint against him, all proceedings based upon the
formal complaint for alleged violation of the rules of
professional conduct shall be held in abeyance until
such time as it shall appear that the respondent attorney is mentally capable of conducting a proper defense
thereto.
(d) Submission of Mental Illness Record to Supreme
Court. If the respondent attorney has been judicially
declared to be of unsound mind or incapable of conducting his own affairs a certified copy of the judgment
or order of the court so declaring shall be forthwith
filed with the Disciplinary Board which shall transmit
such record to the Supreme Court with its
recommendation.
(e) Consideration of Record by Disciplinary Board. If
the decision of the Panel after the hearing provided
herein, is that the respondent attorney is of unsound
mind to the extent that he is incapable of conducting a
proper defense to the formal complaint against him the
evidence relating thereto shall be filed with the Disciplinary Board. If such Board concurs in the decision of
the Panel, the Disciplinary Board shall transmit the
record to the Supreme Court with its recommendation;
if the Disciplinary Board does not concur, the Panel
shall continue in accordance with the Rules.
(f) Action by Supreme Court. After the receipt of the
record relating to the judicial proceedings or to the decision of the Panel the Supreme Court, in its discretion,
after a hearing following twenty (20) days' notice to the
respondent attorney, and to his guardian or counsel if
such there be, may strike the name of the respondent
attorney from the roll of active members of the Association and place his name upon the roll of inactive
members. If the attorney's name is so stricken the court
shall direct all further proceedings on the formal complaint be held in abeyance until such time as it shall
appear to the Disciplinary Board, upon application
made by or on behalf of the respondent attorney, that
he is mentally capable of conducting a proper defense
to the formal complaint in question. Thereafter a hearing on the formal complaint and proceedings thereunder shall be had as is provided by these rules in other
Rule 5.6
Discipline Rules for Attorneys (DRA)
cases. If the Disciplinary Board concludes the charge or
charges in the formal complaint have not been sustained or, having been sustained, do not warrant suspension or disbarment, the respondent attorney shall
thereupon be restored to the roll of active members of
the Association. [Adopted May 12, 1969, effective July
1, 1969.]
V. REVIEW BY THE DISCIPLINARY BOARD
Rule 5.1 Notices. When the findings, conclusions
and recommendation of a Panel are filed in the offic·e of
the Association, a copy thereof and a notice of filing
with a copy of DRA 5 shall be served upon the respondent attorney or his counsel. [Adopted May 12, 1969,
effective July 1, 1969; amended Dec. 15, 1972, effective
Jan. 2, 1973.]
Rule 5.2 Statement in support or opposition. At any
time within twenty days after the service of the abovementioned notice the State Bar Counsel and the respondent attorney shall have the right to file with the
Disciplinary Board a typewritten statement in support
of or in opposition to the findings, conclusions and recommendations of the Panel, setting forth facts, alleged
errors of law or any other matter in support of such
statement. A copy of such statement, when filed, shall
be served on the respondent attorney or his counsel, or
State Bar Counsel, as the case may be. [Adopted May
12, 1969, effective July 1, 1969.]
Rule 5.3 Additional hearing. In making the above
statement in support of or in opposition to the findings,
conclusions and recommendation of the Panel, State
Bar Counsel or the respondent attorney may request an
additional hearing before the Panel based on the
ground of additional evidence; provided, however, that
such statement shall contain a complete outline of such
additional evidence and shall set forth the reasons why
the same was not presented at the hearing, all supported by affidavit or affidavits. Such request may be
granted or denied in the discretion of the Disciplinary
Board. [Adopted May 12, 1969, effective July 1, 1969.)
Rule 5.4 Disciplinary board of review. Each proceeding in which a hearing has occurred shall be reviewed by the Disciplinary Board upon the record
made and filed in the office of the Association, together
with the statements in support of or in opposition to
such findings, conclusions and recommendation as provided by these rules. Neither State Bar Counsel nor the
respondent attorney shall be entitled to be heard orally
in such review, unless otherwise ordered by the Disciplinary Board. [Adopted May 12, 1969, effective July 1,
1969.]
Rule 5.5 Transcript of the record. The Disciplinary
Board or the chairman of the Panel may have all of the
testimony transcribed. If a transcript of the testimony is
made, a copy thereof shall be served upon the respondent attorney or his counsel and State Bar Counsel,
each of whom shall have ten days from the date of
service of the transcript to file objections to the c_ont~nts
thereof with the chairman of the Panel. The objections
shall clearly state the errors alleged to exi~t in the transcript and shall be deemed filed at th~ t_1me the same
are delivered to the office of the Association or are deposited in the United States mail, properly addressed _to
the said chairman, in care of the office of the Association, at its address, with postage prepaid. The Panel
shall thereupon settle the transcript either upon the
written objections of the respondent attorney or his
counsel and State Bar Counsel or afler argument, if argument is deemed necessary by the chairman of the
Panel. [Adopted May 12, 1969, effective July 1, 1969.]
Rule 5.6
Disciplinary board action.
(a) Decision of Disciplinary Board. Prompt decision of
the Disciplinary Board upon such review shall be made.
The Disciplinary Board shall adopt, modify or reverse
the findings, conclusions and recommendation of the
Panel by written order, a copy of which shall be served
upon the respondent attorney or his counsel.
(b) Transcript Required for Suspension or Disbarment.
No suspension or disbarment shall be recommended by
the Disciplinary Board unless and until a transcript of
the testimony before the Panel shall have been reduced
to writing and settled as in this rule provided.
(c) Dissent. If any member or members of the Disciplinary Board shall dissent from the findings, conclusions or recommendation of the majority of the
Disciplinary Board in a matter in which the majority
recommends suspension or disbarment, he or they shall
state briefly his or their reasons therefor, and a copy
shall be served upon the respondent attorney or his
counsel. Such dissent or dissents shall be a part of the
record.
(d) Disposition not Requiring Supreme Court Action.
If the formal complaint is dismissed or if there is no
recommendation of discipline by the Disciplinary
Board or if the recommendation is that the respondent
attorney be censured or reprimanded and the censure
or reprimand is accepted by the respondent attorney,
the record of the proceeding shall be retained in the
office of the Association.
(e) Acceptance or Refusal of Censure or Reprimand. If
the Disciplinary Board determines that the respondent
attorney should be censured or reprimanded, a formal
order signed by the Chairman of the Disciplinary Board
shall be entered, which shall provide that if the respondent attorney or his counsel does not file in the office of
the Association a written refusal to accept such censure
or reprimand within fifteen (15) days of the date such
order is served, the censure or reprimand shall be
deemed accepted. Within twenty (20) days after the respondent attorney has filed his written refusal to accept
a censure or reprimand, he shall order a transcript of
the testimony taken before the hearing panel and make
arrangements with the court reporter for the payment of
the cost thereof. When the proposed transcript is received by the respondent attorney, he shall file the
original with the office of the Association. Thereafter,
(Rules of General Application--p 47)
Rule 5.6
Rules of General Application
the transcript shall be settled as provided for in Rule
5.5 herein. Should the respondent attorney prevail on
appeal, the cost of the transcript shall be paid for by the
Association. If a determination is made that the respondent attorney is insolvent, the Association shall
pay for the cost of the transcript on appeal.
(t) Letter of Censure. A censure shall be administered
to the respondent attorney by letter, signed by the
President of the Association. Notice of the censure shall
be sent to the Supreme Court where such information
shall remain confidential unless the Court determines
that further action shall be taken.
(g) Giving of Reprimand. If the respondent attorney
has accepted the reprimand or, on appeal, the Supreme
Court has ordered the same, the respondent attorney
shall appear in person before the Board of Governors at
a time and place directed by the Board and receive the
reprimand. The reprimand shall be given privately by
the Board of Governors and no other proceedings shall
be had at the administration thereof, nor shall any
statements in support of or in opposition thereto or in
mitigation thereof be made. A copy of the reprimand
shall be sent to the Supreme Court where the same shall
remain confidential unless the Court determines that
further action shall be taken.
(h) Record to Supreme Court. If a censure or reprimand is not accepted, or if the recommendation of the
Disciplinary Board is that respondent attorney be suspended or disbarred, the record shall be transmitted to
the Supreme Court.
(i) Chairmen not Disqualified. Neither the chairman
of the Disciplinary Board nor the chairman of the Panel
shall be disqualified from participating in the discussion
of, or voting upon, any matter.
G) Information to Local Administrative Committee.
Upon referral to a Panel, final disposition of a complaint by the Disciplinary Board, or upon recommendation to the Supreme Court by the Disciplinary Board
of disbarment or suspension, notice of the action taken
shall be given by the Disciplinary Board to the chairman of the Local Administrative Committee which investigated the complaint.
(k) Information to Complainant. The complainant in
all cases shall be advised by the Disciplinary Board of
the final disposition of the complaint.
(I) Information to Members of Panel. Notice of the
action taken by the Disciplinary Board on matters considered by a Panel shall be given to the members of the
Panel, other than the Disciplinary Board member who
acted as a Panel member. [Adopted May 12, 1969, effective July 1, 1969; amended Dec. 15, 1972, effective
Jan. 2, 1973; amended, adopted Nov. I, 1973, effective
Jan. 1, 1974.]
(Rules of General Applicatioo---p 48)
VI. REVIEW BY THE SUPREME COURT
Rule 6.1 Notification of filing. Upon the filing of the
record with the Supreme Court, the clerk of the court
shall mail written notice of such filing to State Bar
Counsel and the respondent attorney or his counsel.
[Adopted May 12, 1969, effective July l, 1969.]
Rule 6.2 Objections by respondent attorney. The respondent attorney may file objections to the findings,
conclusions and recommendations of the Disciplinary
Board.
(a) Form. Objections shall be in the form of a brief
containing arguments and citations of authority in support thereof.
(b) Time for Filing. The respondent attorney shall be
allowed thirty (30) days after the filing of the record in
which to file with the Disciplinary Board three copies
and to file with the Supreme Court 25 copies of his objections. [Adopted May 12, 1969, effective July 1, 1969.]
Rule 6.3
Answer of the bar association.
(a) If Objections Filed. The Association shall have
thirty (30) days from the day of the service of the objections on the Association in which to serve upon the
respondent attorney or his counsel and file with the Supreme Court a corresponding number of answering
briefs.
(b) If Objections Not Filed. If the respondent attorney
fails to file objections within the thirty-day period
above provided, the Association shall have thirty (30)
days from the expiration of such period in which to
mail respondent attorney one copy and file with the
Clerk of the Supreme Court fifteen (15) copies of the
Association's brief. (Adopted May 12, 1969, effective
July I, 1969; amended Dec. 15, 1972, effective Jan. 2,
1973.]
Rule 6.4 Reply of respondent attorney. The respondent attorney shall have twenty (20) days from the day
of service of the answering brief in which to file with
the Disciplinary Board and the Supreme Court a like
number of reply briefs. [Adopted May 12, 1969, effective July 1, 1969.]
Rule 6.5
Hearing.
(a) Setting. Disciplinary proceedings shall have priority and be set when they are ready.
(b) Readiness. A disciplinary proceeding becomes
ready for hearing:
(1) If objections have been filed, ten (10) days after
respondent attorney's reply was filed or was due to be
filed.
(2) If no objections are filed, upon the filing of the
Association's brief.
(c) Argument. The Association must file a brief and
present oral argument. Respondent attorney may submit the cause on the record, but he may not present
oral argument unless a brief has been filed in his behalf.
Rule 8.2
Discipline Rules for Attorneys (ORA)
[Adopted May 12, 1969, effective July 1, 1969; amended
Dec. 15, 1972, effective Jan. 2, 1973.)
Rule 6.6 Rehearing.
(a) Finality. An opinion in a disciplinary proceeding
is final when filed unless the court specifically provides
otherwise.
(b) Petition for rehearing. A petition for rehearing
may be filed as provided in ROA I-50, but the petition
will not stay the judgment unless a stay is entered by
the court. [Adopted May 12, 1969, effective July 1,
1969; amended Dec. 15, 1972, effective Jan. 2, 1973.)
VII. COSTS
Rule 7.1 Costs and expenses. In all cases resulting in
the administration of censure, reprimand, suspension or
disbarment, counsel for the Association shall serve
upon the respondent attorney and file in the office of
the Association his verified statement of costs and expenses for the disciplinary proceedings to the time the
Disciplinary Board makes its recommendation.
(a) Costs and Expenses Defined. The term "costs" is
defined to be all sums so taxable in a civil proceeding.
The term "expenses" is defined as all other obligations
in money necessarily incurred by the Association in the
complete performance of its duties under these rules.
Expenses' shall include, by way of illustration and not of
limitation, necessary expenses of Panel members, bar
counsel, charges of expert witnesses, charges of court
reporters, as well as all other direct provable expenses
of the office of the Association.
(b) Statement of Costs and Expenses. In all cases in
which the Disciplinary Board determines that a censure
or reprimand should be administered, the said statement of costs and expenses shall be served on the respondent attorney at the time he is notified of the
proposed censure or reprimand, and if he accepts the
censure or reprimand, the amount thereof shall be paid
at the time the censure or reprimand is delivered. If the
respondent attorney refuses to accept the censure or
reprimand, the statement of costs and expenses shall be
made a part of the record sent to the Supreme Court,
together with any exceptions thereto by the respondent
attorney, which exceptions shall be filed within ten (10)
days after the service of the statement of costs and expenses upon the respondent attorney. A verified statement of any additional costs and expenses to the
Association occasioned by the proceedings in the Supreme Court shall be served upon the respondent attorney and filed with the Clerk of the Supreme Court
within ten (10) days after the hearing in that court, and
the respondent attorney shall have ten (10) days after
such service within which to file exceptions thereto.
(c) Assessment by Supreme Court. If the Supreme
Court directs such censure or reprimand, it shall, in its
judgment, fix the amount of the costs and expenses to
be paid by the respondent attorney as it shall deem just,
together with the terms and conditions of the payment
thereof.
(d) Assessment Upon Suspension or Disbarment. In.all
cases in which the Disciplinary Board recommends suspension or disbarment, the said statement of costs and
expenses shall be served on the respondent attorney at
the time he is notified of the recommendatipn of the
Disciplinary Board, and it shall be made a part of the
record sent to the Clerk of the Supreme Court, together
with any exceptions thereto by the respondent attorney,
which exceptions shall be filed within ten (10) days aft.er
the service of the statement of costs and expenses upon
the respondent attorney. [Adopted May 12, 1969, effective July l, 1969.)
Rule 7.2
Supreme court expenses.
(a) Cost Bill. A verified statement of any additional
expenses to the Association occasioned by the proceedings in the Supreme Court, shall be served upon the respondent attorney and filed with the Clerk of the
Supreme Court within ten (10) days after the hearing in
that court.
(b) Exceptions. The respondent attorney shall have
ten (10) days after such service within which to file exceptions thereto.
(c) Determination of Costs. The judgment of the Supreme Court, in any such disciplinary proceeding, shall
fix the amount of the costs and expenses to be paid by
the respondent attorney as it shall deem just. [Adopted
May 12, 1969, effective July 1, 1969.]
Rule 7.3
Termination of suspension.
(a) Condition Precedent. No suspended attorney shall
resume practice until the amount of the costs and expenses fixed pursuant to these rules has been fully paid.
[Adopted May 12, 1969, effective July 1, 1969.]
VIII. REINSTATEMENT AFTER DISBARMENT
Rule 8.1
Restrictions against petitioning.
(a) Time of Petition. No petition for reinstatement
shall be filed within a period of one year next after disbarment or within a period of one year next after an
adverse decision of the Supreme Court upon a former
petition filed by or on behalf of the same person.
(b) Costs. No disbarred attorney may file a petition
for reinstatement until the amount of the costs and expenses fixed pursuant to these rules has been fully paid.
[Adopted May 12, 1969, effective July 1, 1969.]
Rule 8.2 Form of petition. A petition for reinstatement as a member of the Association after disbarment
therefrom shall be in writing and verified by the petitioner and filed with the Board of Governors. The petition shaU set forth the age, residence and address of the
petitioner, the date of disbarment, and a concise statement of facts claimed to justify reinstatement. [Adopted
May 12, 1969, effective July 1, 1969.]
(Rules of General Application--;> 491
Rule 8.3
Rules of General Application
Rule 8.3 Fees. The petition shall be accompanied by
the application and the total fees required of an attorney applicant under the Rules for Admission to Practice. [Adopted May 12, 1969, effective July 1, 1969.]
Rule 8.4 Investigation. In its discretion the Board of
Governors may refer the petition for reinstatement for
investigation and report to the Proper Local Administrative Committee, Disciplinary Board, State Bar Counsel, or to such other person or persons as may be
determined by the Board of Governors. [Adopted May
12, 1969, effective July 1, 1969.J
Rule 8.5 Hearing before the board of governors.
(a) Notice. The board of Governors shall fix a time
and place for hearing of the petition and serve notice
thereof ten (10) days prior to the hearing upon the petitioner and upon such persons as may be ordered by the
Board of Governors. Notice of the hearing shall also be
published at least once in the Washington State Bar
News or such other periodical as the Board of Governors may direct. Such published notice shall contain a
statement that a petition for reinstatement has been
filed and the time fixed for the hearing of the petition
for reinstatement.
(b) Statement in Support or Opposition. On or prior
to the date of hearing, anyone wishing to do so may file
with the Board of Governors written statements for or
against reinstatement, such statements to set forth factual matters showing that the petitioner does or does
not meet the requirements of Rule 8.6. Except by its
leave no person other than the petitioner shall be heard
orally by the Board. [Adopted May 12, 1969, effective
July 1, 1969.J
Rule 8.6 Action by the board of governors.
(a) Requirement for favorable recoromendations. Reinstatement may be recommended by the Board of Governors only upon affirmative showing that the petitioner
possesses the qualifications and meets the requirements
as set forth in the Rules for Admission to Practice for
attorney applicants, and that his reinstatement will not
be detrimental to the integrity and standing of the Bar
and the administration of justice, or be contrary to the
public interest.
(b) Disposition of Recommendation. The recommendation of the Board of Governors shall be served upon
the petitioner, and, together with the record in connection therewith, shall be transmitted to the Supreme
Court for disposition. [Adopted May 12, 1969, effective
July 1, 1969.]
Rule 8.7 Action on Supreme Court's Determination.
(a) Petition Approved. If the petition for reinstatement is granted by the Supreme Court, the action shall
be subject to the petitioner's taking and passing the attorney applicant's examination as prescribed by the
Rules for Admission to Practice.
(b) Petition Denied. If the petition for reinstatement
is denied, the examination and admission fee shall be
refunded to the petitioner. [Adopted May 12, 1969, effective July l, 1969.]
IX. SUSPENSION FOR CONVICTION OF
FELONY
Rule 9.1
Suspension.
(a) Suspension Automatic. An attorney shall be automatically suspended from the practice of law upon his
conviction of a felony under either state or federal law,
whether such conviction be after a plea of guilty, nolo
contendere, not guilty, or otherwise, and regardless of
the pendency of an appeal; provided, however, that the
Disciplinary Board may recommend to the Supreme
Court for final disposition the prevention or termination
of the suspension if such Board affirmatively finds that
moral turpitude was not in fact an element of the crime
of which the attorney was convicted, or if the Disciplinary Board affirmatively finds that there is other good
cause for preventing or terminating such suspension.
Suspension in this manner shall not be a substitute or
alternative for disciplinary proceedings against said attorney, but such proceedings shall be commenced by
the Disciplinary Board upon said conviction, or prior
thereto if reasonable cause therefor exists, and shall
proceed without regard to said suspension.
(b) Duration of Suspension. When an attorney is suspended upon conviction of a felony as provided in this
rule the duration of such suspension shall not exceed
final disposition of the disciplinary proceedings commenced against said attorney. When the disciplinary
proceedings are fully completed, after appeal or otherwise, the suspension occuring in this manner shall end
and such disciplinary action as then occurs shall
commence.
(c) Petition for Reinstatement. A petition for reinstatement after automatic suspension for conviction of
a felony pending completion of disciplinary proceedings
shall be in writing and verified by the petitioner and
filed with the Disciplinary Board. The petition shall set
forth the age, residence and address of the petitioner,
the date of the conviction, and a concise statement of
facts claimed to justify reinstatement pending completion of the disciplinary proceedings. The petition shall
be accompanied by the application for admission and
the total fees required of an attorney applicant under
the Rules for Admission to Practice.
(d) Investigation. In its discretion the Disciplinary
Board may refer the petition for reinstatement for investigation and report to the proper Local Administrative Committee, State Bar Counsel, or to such other
person or persons as may be determined by the Disciplinary Board.
(e) Notice of Hearing. The Disciplinary Board shall
fix a time and place for hearing of the petition by the
Disciplinary Board and shall service notice thereof ten
(10) days prior to the hearing upon the petitioner and
upon such persons as may be ordered by such Board.
Ruile 10.1
Discipline Rules for Attorneys (DRA)
(f) Requirements and Procedures. Such petition for
reinstatement shall be recommended to the Supreme
Court only upon affirmative showing to the satisfaction
of the Disciplinary Board that the petitioner possesses
the qualifications and meets the requirements as set
forth in Rule 3B of the Rules for Admission to Practice,
excepting subsections 6, 7, 8 and 9 thereof, and that his
reinstatement will not be detrimental to the integrity
and standing of the bar and the administration of justice, or be contrary to the public interest.
(g) Granting or Denial of the Petition by the Supreme
Court. The Disciplinary Board shall keep a record of
the hearing upon the petition for reinstatement and
shall make and file its findings, conclusions and recommendation thereon with the Supreme Court for final
disposition. [Adopted May 12, 1969, effective July 1,
1969; amended Dec. 15, 1972, effective Jan. 2, 1973.J
Rule 9.2 Reinstatement after suspension for conviction of felony.
(a) Court May Suspend. At any time after institution
of a disciplinary proceeding under Rule 3.1, where it
appears that a continuation of the practice of law by
the attorney during the pendency of the disciplinary
proceedings will result in substantial risk of serious injury to the public, the Association, on recommendation
of the Disciplinary Board (with no more than one
member dissenting), may petition the Supreme Court
for an order suspending the respondent attorney during
the pendency of the disciplinary proceedings. If the
court, after an en bane hearing, finds a continuation of
practice by the attorney will result in substantial risk of
serious injury to the public, it may enter an order suspending such attorney from the practice of law. Such
suspension shall not continue beyond the conclusion of
the disciplinary proceedings.
(b) Petition and Notice to Answer. The petition to the
Supreme Court under this rule shall set forth the facts
or omissions of the respondent attorney contained in
the pending complaint, together with such other facts as
may constitute grounds for suspension pending disciplinary proceedings. The petition may be supported by
documents or affidavits. The petition shall be accompanied by a notice to answer in substantially similar form
as provided in Rule 3. l(a)(2), but shall refer to a petition for suspension pending disciplinary proceedings in
lieu of formal complaint and shall require the answer to
be filed with the Clerk of the Supreme Court.
(c) Service. Service of the petition and notice to answer shall be by copy thereof served in the manner
provided in Rule 3.l(b)(l).
(d) Answer to Petition. The answer may contain additional facts relating only to the issue of substantial
risk of serious injury to the public, shall be verified by
respondent or his counsel, and may be supported by
documents or affidavits. The answer shall be filed within the time specified in Rule 3.l(a)(6). For good cause
shown, the Chief Justice may extend the time for
answer.
(e) Service of Answer. Two copies of the answer shall
be served on the Washington State Bar Association
within the time specified in subsection (d) hereof by filing in the office of the Association.
(f) Hearing. Upon the filing of an answer or expiration of the time for filing an answer, a hearing will be
held in accordance with the provision of Rule 6.5.
(g) Costs. No costs shall be taxed. [Adopted May 12,
1969, effective July 1, 1969; amended Dec. 15, 1972, effective Jan. 2, 1973.J
X. INCOMPETENCY TO PRACTICE LAW
Rule 10.1
Transfer to inactive status.
(a) Automatic Transfer. In the event that an active
member is determined by a court of competent jurisdiction to be mentally incompetent or mentally ill, such
member shall automatically be transferred from active
to inactive membership status upon the entry of such
judgment, regardless of the pendency of an appeal.
(b) Discretionary Action. If it appears to the Board of
Governors that there is reasonable cause to believe that
an active member who has not been judicially determined to be mentally incompetent or mentally ill is unable to adequately conduct his practice because of
mental or physical disability, a complaint in the name
of the Association shall be served upon such attorney
and shall be referred to a Panel for a hearing on the
sole issue of the capacity of the member to adequately
conduct his practice. The Panel, at the conclusion of its
hearing, shall prepare findings, conclusions, and a recommendation as to whether or not the respondent attorney should be placed on the inactive roll. The record
of such proceeding shall thereafter be reviewed by the
Board of Governors, which shall make findings and
conclusions based thereon and shall enter an appropriate order.
(c) Applicable Rules. The rules of procedure pertaining to disciplinary proceedings shall apply to a proceeding instituted pursuant to the preceding section, but
such a proceeding shall not constitute a disciplinary
proceeding, nor shall it in any manner reflect discredit
upon the respondent member as an attorney. In the
event that the respondent attorney does not appear by
an attorney within the time prescribed by such rules for
the filing of an answer, the Board of Governors shall
appoint a member of the Bar to represent the member
in such proceeding.
(d) Transfer to Inactive Status. An order of the Board
of Governors transferring a member to inactive status
shall become effective fifteen (15) days after the service
of a copy of such order upon the respondent member or
his attorney unless within said fifteen-day period a request for review by the Supreme Court is filed with the
Association. Upon service of such a request, the Association shall file the record of the proceeding with the
Supreme Court and the rules of procedure applicable to
disciplinary proceedings before the Supreme Court shall
apply. The order of the Board of Governors shall be
!Rules of General
Application--p 51)
Rule 10.l
Rules of General Application
ineft:ective pending the review. [Adopted May 12, 1969,
effective July l, 1969; amended Dec. 15, 1972, effective
Jan. 2, 1973.]
Rule 10.2
Reinstatement.
(a) Reinstatement After Court Adjudication. Any
member who has been placed on the inactive roll as
herein provided by reason of having been judicially determined to be mentally incompetent or mentally ill,
shall be reinstated to active membership by the Board
of Governors ( l) upon being determined by a court of
competent jurisdiction to be restored to competency,
and (2) upon compliance with any applicable requirement for transfer from inactive to active status.
(b) Reinstatement Where No Court Adjudication. Any
member who has been placed on the inactive roll as
herein provided without having been judicially determined to be mentally incompetent or mentally ill, may
petition for reinstatement to active membership as
hereinafter provided.
(I) Petition. The petition for reinstatement shall be in
writing, verified by the petitioner, and shall be filed with
the Board of Governors.
(2) Investigation. The Board of Governors in its discretion may refer the petition to the proper Local Administrative Committee, State Bar Counsel, or to such
other person or persons as it may determine, for investigation and report.
(3) Hearing Date. The Board of Governors shall fix a
time and place for a hearing upon the petition by the
Board, and shall cause notice thereof to he served upon
petitioner and upon such other persons as it may designate at least ten (IO) days prior thereto. Such hearing
shall be held within thirty (30) days of the date the petition is filed, unless continued for good cause.
(4) Reinstatement. The petition shall be approved by
the Board of Governors upon an affirmative showing by
the petitioner that he is again able to adequately engage
in the practice of law; upon approval of the petition,
the petitioner shall be reinstated to active membership
upon compliance with any applicable requirement for
transfer from inactive to active status.
(5) Review by the Supreme Court. If the petition is
not granted, petitioner shall be entitled to request a review by the Supreme Court. Such request shall be filed
with the Association within thirty (30) days after service
upon the petitioner of a copy of the order of the Board
of Governors denying the petition. Upon receipt of
such request, the Association shall file the record of the
proceedings with the Supreme Court and the rules of
procedure applicable to disciplinary proceedings before
the Supreme Court shall apply. [Adopted May 12, 1969,
effective July 1, 1969.)
Rule 10.3 Transfer by court.
(a) Court May Place on Inactive Status. At any time
after the filing of a complaint pursuant to the provisions
of Rule 10.l(b), where it appears that a continuation of
the practice of law by the attorney during the pendency
(Rmes of General Applioltioo---p 52)
of such proceedings will result in substantial risk of serious injury to the public, the Association, on recommendation of the Board of Governors (with no more
than one member dissenting) may petition the Supreme
Court for an order transferring the respondent attorney
to inactive membership status during the pendency of
the proceedings. If the court, after an en bane hearing,
finds that a continuation of the practice of law by the
attorney will result in substantial risk of serious injury
to the public, it may enter an order transferring such
attorney to inactive status during, but not beyond the
conclusion of, the proceedings commenced under Rule
10.l(b) and any review thereof.
(b) Petition and Notice to Answer. The petition to the
Supreme Court under the provisions of this rule shall
set forth the pertinent allegations contained in the
pending complaint, together with such other facts as
may constitute grounds for transfer to inactive status.
The petition may be supported by documents or affidavits. The petition shall be accompanied by a notice to
answer in substantially similar form as provided in Rule
3. l(a)(2), but shall refer to a petition for transfer to inactive status, in lieu of formal complaint, and shall require the answer to be filed with the Clerk of the
Supreme Court.
(c) Service. Service of the petition and notice to answer shall be by copy thereof served in the manner
provided in Rule 3.l(b)(l).
(d) Answer to Petition. The answer may contain additional facts relating only to the issue of substantial
risk of serious injury to the public, shall be verified by
respondent or his counsel, and may be supported by
documents or affidavits. The answer shall be filed within the time specified in Rule 3.l(a)(6). For good cause
shown, the Chief Justice may extend the time for
answer.
(e) Service of Answer. Two copies of the answer shall
be served on the Association within the time specified
in subsection (c) hereof by filing in the office of the
Association.
(0 Hearing. Upon the filing of an answer or expiration of the time for filing an answer, a hearing will be
held in accordance with the provisions of Rule 6.5.
(g) Costs. No costs shall be taxed. [Adopted Dec. 15,
1972, effective Jan. 2, 1973.]
XI. SUSPENSION FOR CUMULATIVE
DISCIPLINE
RULE 11.l Criteria. (a) An attorney disciplined after the effective date of this rule who has a prior record
of:
(I) Three or more censures or reprimands; or
(2) Any combination of a suspension or disbarment
plus one or more censures or reprimands, shall be subject to suspension from the practice of law.
Discipline Rules for Attorneys (ORA)
RULE 11.2 Procedure. (a) Upon an attorney's accumulation of discipline as provided in Rule 11.1, the
Disciplinary Board may recommend to the Supreme
Court suspension of said attorney.
(b) The Association shall file with the Supreme Court
the respondent attorney's prior record of discipline and
its recommendation for suspension. The respondent attorney shall be served with a copy of the record filed
with the Supreme Court.
(c) The Supreme Court shall allow the Association
and the respondent attorney the opportunity to submit
written briefs or oral argument under such conditions
and within such time as the court directs. [Adopted
June 19, 1974, effective July 1, 1974.]
Rule 12.6
the limitations established by resolution of the Board of
Governors and except as otherwise provided in these
rules, shall be paid from the funds of the Association;
provided, that the Board of Governors shall have discretionary authority to provide compensation to members of Panels in cases which become unusually time
consuming or where some other especially burdensome
circumstance is involved.
(b) Guardian Ad Litem and Counsel. Except as otherwise provided by these rules, the fees for services rendered and costs expended and incurred by a guardian ad
litem or counsel appointed under authority of these
rules shall be paid by the Association. [Adopted May
12, 1969, effective July 1, 1969; amended, adopted and
effective Jan. 27, 1971.]
XII. GENERAL PROVISIONS
Rule 12.1
Definitions.
(a) Residence. For the purpose of these rules, a member of the Association is a resident of that county, district and congressional district in which he maintains,
or last maintained, his principal office for the practice
of law whether that county, district or congressional
district is his place of abode or not; provided, notwithstanding and foregoing, that the term "residence" as
used in Rules 2.3(d) and 2.4(a)(l) shall instead mean
place of abode.
Rule 12.5 Representation of Respondent. A former
president of the Association, a former member of the
Board of Governors or Disciplinary Board, shall not
represent a respondent attorney in proceedings under
these rules until after the lapse of two years following
expiration of his term of office. [Adopted May 12, 1969,
effective July 1, 1969.]
Rule 12.6 Disclosure.
(e) Panel. The word "Panel" when used alone in
these rules refers to a Hearing Panel. [Adopted May 12,
1969, effective July I, 1969; amended Dec. 15, 1972, effective Jan. 2, 1973.]
(a) Disciplinary Files and Records Confidential. Except as otherwise provided in these rules, the file in a
disciplinary proceeding and a disciplinary record shall
be open only to the Board of Governors, Disciplinary
Board, State Bar Counsel, and the Supreme Court if
filed for review or requested by a member of the Supreme Court, provided, however:
(1) The respondent attorney or his counsel may have
access to the file consisting of the formal complaint,
and all other pleadings, documents and instruments
filed in the proceeding subsequent thereto.
(2) When requested by the official disciplinary body
of another state in connection with a pending disciplinary action in that state, the Clerk of the Supreme
Court will certify and transmit to the official disciplinary body of that state the record of the attorney
involved.
Rule 12.2 Papers. All pleadings, briefs, documents
or notices in these rules provided for must be typewritten or printed. [Adopted May 12, 1969, effective July 1,
1969.]
(b) Advice to Media. Nothing in these rules shall
make it improper for the Board of Governors to advise
the news media of the pendency of disciplinary proceedings against an attorney when in such Board's
judgment it is in the public interest to do so.
(b) District. When used alone in these rules, the term
"district" shall refer to those districts only that are created under Rule 2.1 of these rules.
(c) Association. The word "Association" wherever it
appears in these rules refers to the Washington State
Bar Association.
(d) Board. The word "Board" when used alone in
these rules refers to the Board of Governors of the Association, unless a contrary intention is indicated.
Rule 12.3 Filing. Whenever in these rules it is required that any document shall be filed with the Disciplinary Board or the Board of Governors, such
document shall be served on the Association at its office. [Adopted May 12, 1969, effective July 1, 1969.)
Rule 12.4 Expenses.
(a) Local Administrative Committee, Trial Committee,
Disciplinary Board and Panels. The members of the Local Administrative Committees, Local Trial Committees, Panels, and the Disciplinary Board shall receive no
com~ensation. for their ~ervic~s, but their expenses, if
any, mcurred m connection with their duties, subject to
(c) Notice of Disciplinary Action Taken. (1) If an attorney is permitted to resign during the pendency of
disciplinary hearings, or upon suspension or disbarment, the fact of such resignation, suspension or disbarment with the attorney's name shall be published in
the Washington State Bar News.
(2) If a censure or reprimand is given and accepted
by an attorney who has been previously disbarred, suspended or reprimanded, notice of such censure or reprimand, including the attorney's name, shall be
published in the Washington State Bar News.
(d) Disciplinary Record. The disciplinary record of
any attorney shall consist of a brief summary of any
(Rules of General App1icatioo---p 53)
n.w~
m
~nenu
complaint made against him and the disposition thereof. Information with reference thereto may be released
by the Association:
(1) When specifically authorized by these rules; or
(2) When requested in writing by the attorney; or
(3) When requested by the chairman of a Local Administrative Committee who is investigating a complaint against the attorney; or
(4) When directed by the Board of Governors in the
public interest; or
(5) When directed by the Supreme Court.
(e) Contempt. Disclosure, except as herein provided,
of any matter made confidential by these rules by any
person whomsoever, shall subject such person to a proceeding as for contempt. [Adopted May 12, 1969, effective July 1, 1969; amended July 21, 1972, effective July
21, 1972; amended Dec. 15, 1972, effective Jan. 2, 1973.)
Rule 12.7
Service at Pleasure of Board of Governors.
Notwithstanding anything to the contrary in these rules
provided, members of Local Administrative Committees, Trial Committees and the Disciplinary Board shall
serve at the pleasure of the Board of Governors.
[Adopted Dec. 15, 1972, effective Jan. 2, 1973.)
(Rules .of General Application---p
541
J\.ppncauon
Part II
RULES FOR SUPREME COURT
Abbreviation
Table of Rules
Formerly
Supreme Court Administrative Rules SAR
(RPBSC)
Supreme Court Rules on Appeal ... ROA
(ROA)
SUPREME COURT ADMINISTRATIVE RULES
(SAR)
RULE
RULE
RULE
RULE
RULE
RULE
2
3
4
5
6
I Seal.
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
7
8
9
10
11
12
13
14
15
RULE 16
RULE
RULE
RULE
RULE
RULE
RULE
17
18
19
20
21
22
Style of Process.
Judgments.
Sessions of the Supreme Court.
Adjournments.
Two
Departments--Assignment
of
Justices.
Reserved.
Chief Justice, Choice of--Duty.
Acting Chief Justice.
Right of Senior Justices to Act.
Seniority of Justices.
Acts in Contempt of Court.
Minutes-Court Business Meetings.
Opinions--When Filed.
Hearings, Quorum, Finality of Opinion,
Costs.
Clerk of the Supreme Court--Appointment--Powers--Duties.
Reporter--Appointment--Duties.
Law Librarian--Selection and Duties.
Bailiff.--Appointment--Duties.
Memorial Exercises.
Justices Pro Tempore.
Reporting of Criminal Cases.
Rule 1 Seal. The seal of the supreme court shall be
the vignette of General George Washington, with the
words, "SEAL OF the supreme court--STATE OF
WASHINGTON," surrounding the vignette. [Adopted
July 2, 1969, effective July 18, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
Seal of court: RCW 2.04.060.
Rule 2 Style of Process. Process of the supreme
court shall run in the name of the "state of Washington," bear attest in the name of the chief justice, be
signed by the clerk of the court, dated when issued,
sealed with the seal of the court, and made returnable
according to such rules or orders as are prescribed by
the court. [Adopted July 2, 1969, effective July 18, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Style of process: RCW 2.04.050.
Rule 3 Judgments. The judgments and decrees of
the supreme court shall be final and conclusive upon all
the parties properly before the court. [Adopted July 2,
1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951.]
Effect of supreme court judgments: RCW 2.04.220.
Rule 4 Sessions of the supreme court. The regular
sessions of the supreme court shall be held in the supreme court, the Temple of Justice, at the capital, beginning on the second Monday of January, the second
Monday of May, and the second Monday of September
each year. The court will not sit for the regular hearing
of cases in July and August.
Sessions of the court shall commence at 9:00 a.m. or
at such other time as the court may order.
Hearings en bane, rehearings, and special hearings
may be set by the court in its discretion at such other
times as the court rriay order. [Adopted July 2, 1969,
effective July 18, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951; last sentence of first paragraph
added, adopted Aug. 2, 1955, effective Aug. 1, 1955.]
Sessions of court: RCW 2.04.030.
Rule 5 Adjournments. Adjournments from day to
day, or from time to time, are to be construed as recesses in the sessions, and shall not prevent the court
sitting at any time. [Adopted July 2, 1969, effective July
18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
195 l.]
Adjournments, effect of: RCW 2.04.040.
Rule 6 Two departments---Assignment of justices.
The court may be divided into two departments for the
hearing of motions and such other matters as the· chief
justice may designate. The chief justice shall assign four
of the associate justices to each department, and such
assignment may be changed by him from time to time,
provided that the associate justices shall be competent
to sit in either department and may interchange with
one another by agreement among themselves, or, if no
such agreement is made, as ordered by the chief justice.
The chief justice shall sit in both departments and
shall preside when so sitting. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Departments of court: State Constitution Art. 4 § 2.
Two departments, quorum: RCW 2.04.120.
(Rules for Supreme Coort---p 1)
Kute 7
Kules for Supreme Court
Rule 7 Reserved.
Rule 8 Chief justice, choice of-Duty. The justice
having the shortest term to serve, not holding his office
by appointment or election to fill a vacancy, shall be
the chief justice, and shall preside at all sessions of the
supreme court, and in case there shall be two justices
having in like manner the same short term, the other
justices of the supreme court shall determine which of
them shall be chief justice.
The chief justice shall be the executive officer of the
court and shall do and perform those duties required of
him by the constitution and laws of the state of Washington and the rules of this court, and shall serve as coordinator between the two departments. [Adopted July
2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951.]
Acting chiefjustice: RCW 2.04.140.
Chiefjustice, selection: RCW 2.04.130.
Rule 9 Acting chief justice. The court shall elect
from time to time an acting chief justice. The acting
chief justice may be any member of the court not holding his office by appointment or election to fill a vacancy. The acting chief justice shall perform the duties, and
exercise the powers of the chief justice during the absence or inability of the chief justice to act. [Adopted
July 2, 1969, effective July 18, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
Acting chiefjustice: RCW 2.04.140.
Chief justice, selection, absence: RCW 2.04.JJO.
Rule 10 Right of senior justice to act. In the absence
or inability of both the chief justice and the acting chief
justice, the senior justice present at the capital shall act
as chief justice. [Adopted July 2, 1969, effective July 18,
1969. Prior: Adopted Nov. 22, 1950, effective Jan. 3,
1951.]
Rule 11 Seniority of justices. Seniority among the
justices of the supreme court shall be determined by
length of continuous service. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 12 Acts in contempt of court. It shall be contempt of this court for anyone to divulge to others than
the justices and employees of this court working upon
an opinion, the results of any appeal prior to the time
the opinion is filed by the clerk of the supreme court.
[Adopted July 2,. 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951; rule
amended, adopted Mar. 6, 1962.]
Rule 13 Minutes
Court business meetings. The
court will cause to be recorded in a book kept for that
purpose minutes of all business meetings. The justice
junior in length of service shall act as secretary.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
(Rules for Supreme Court--;t 2)
Rule 14 Opinions--Wben filed. All opinions filed
with the clerk of this court shall be signed except per
curiams. All opinions in any case shall be filed at the
same time, and the time of filing shall be determined by
the chief justice. Original opinions shall not be taken
from the clerk's office. [Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951; rule amended, adopted Apr. 9, 1953, effective Apr. 9, 1953.]
Rule 15 Hearings, quorum, finality of opinion, costs.
(a) Hearings.
( l) On the Merits. Argument on the merits of a cause
shall be set for hearing by the en bane court.
(2) Motions. Argument on motions may be set for
hearing by a department of the court.
(b) Quorum. A majority of the justices hearing argument in a cause shall be necessary for a pronouncement
of decision.
(c) Finality.
( 1) Orders. An order shall be final when entered.
(2) Decisions. A decision shall be final:
(i) Upon stipulation that no petition for rehearing will
be filed and the cause may be remitted, or
(ii) When a majority of the justices so direct, or
(iii) Thirty days after the opinion is filed unless a petition for rehearing is filed.
(iv) If a timely petition for rehearing is filed, upon a
denial of the petition. If a petition for rehearing is
granted, the decision of the court filed after the rehearing shall become final in accordance with the above
rules.
(d) Costs. If a cause is remitted prior to the taxing of
costs and a cost bill is timely filed, jurisdiction solely for
the taxing of costs on appeal is retained by the supreme
court. Costs as finally taxed will be determined by a
supplemental judgment. [Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951; proviso added, adopted Dec. 14, 1953, effective Mar. 1, 1954.]
Apportionment of business, en bane hearings: RCW 2.04.150.
En bane hearings, quorum, finality of decision: RCW 2.04.170.
Finality of departmental decisions, rehearings: RCW 2.04.J(J().
Rule 16 Clerk of the supreme court--Appointment--Powers--Duties. ( 1) The justices of the supreme court shall appoint a clerk of that court, who
may be removed at their pleasure. The clerk shall receive such compensation by salary only as shall be fixed
by the court.
(2) The clerk of the supreme court may have one or
more deputies, to be appointed by him in writing, to
serve during his pleasure. The deputies shall have the
power to perform any act or duty relating to the clerk's
office that their principal has, and their principal is responsible for their conduct.
(3) The clerk and his deputies are prohibited, during
their continuance in office, from acting or having a
partner who acts as an attorney.
(4) Before entering upon the duties of his office, the
clerk and each deputy clerk shall take an oath of office,
Supreme Court Administrative Rules (SAR)
and give bond in such a sum, with surety and condition, as the court shall require, which oath and bond
shall be deposited with the secretary of state.
(5) The clerk shall keep his office at the seat of government open at such hours as the court shall require,
and shall keep such records and books as are prescribed
by the court.
(6) The clerk of the supreme court is given the power
to take and certify the proof and acknowledgment of a
conveyance of real property or any other written instrument authorized or required to be proved or acknowledged, and to administer oaths in every case
when authorized by law. It is the duty of the clerk-(a) To keep the seal of the court and affix it in all
cases where he is required by law;
(b) To record the proceedings of the court;
(c) To keep the records, files and other books and
papers appertaining to the court;
(d) To file all papers delivered to him for that purpose, in any action or proceeding in that court, except
when by the rules of court he is directed to refuse to file
papers under the conditions set out by the rules.
(7) The clerk of the supreme court shall keep the following books and records:
( 1) Journal in which he shall record
(a) all judgments,
(b) orders of the court except those of a
temporary nature which do not affect the
final result of the case,
(c) original bonds,
(d) citations to supreme court of United
States,
(e) mandates from the supreme court of the
United States and certified copies of its
orders;
(2) Appearance docket in which he shall
show
(a) the substantial title of the case, the number in the superior court, the trial judge,
the county whence comes the appeal,
and names of attorneys;
(b) appearance fees and money paid into the
clerk's trust fund;
(c) the date of filing each paper and part of
the record;
(d) all minute entries directed by the court
or chief justice;
(e) the date for hearing on the calendar and
any continuance;
(f) the disposition of motions and petitions;
(g) the entry of judgment and where
recorded;
(h) date remitted;
(i) citation of opinion in Washington
Reports.
(3) General Index of Cases
(4) Motion docket, which shall show the
number and title of the case, the attorneys, the nature of the motion and sufficient space for the chief justice to show
the disposition;
Rule 17
(5) Cash Book, in which shall be shown all
monies received and disbursed by the
clerk;
(6) Trust Fund Journal, in which shall be
shown all receipts and disbursements in
clerk's trust fund;
(7) Appropriation Expenditure Ledger,
showing all expenditures from appropriations for salaries and operations.
(8) Withholding Tax Ledger, showing withholdings from salaries of each employee
and officer of the court for Federal income taxes and disbursement of the
same.
(9) Court Room Docket, which shall show
the title and number of each case argued, the department, names of the
judges sitting, the attorneys arguing each
side of the case, and the time used by
each, together with the nature of the
matter heard. The bailiff, at the direction
of the clerk, will prepare and make
entries.
(10) Clerk's Docket of Admission and Discipline of Attorneys, which shall show all
papers covering the admission and discipline of attorneys.
(8) The clerk shall do and perform any and all other
duties as may be prescribed by the supreme court.
(9) In all cases that are remanded for a new trial or
for further proceedings, at the time the remittitur goes
down, the clerk, at the expense of appellant, shall return
the statement of facts and the exhibits to the clerk of
the superior court. [Adopted July 2, 1969, effective July
18, 1969. Prior: Adopted Nov. 2, 1950, effective Jan. 2,
1951 ; subdivision (9) added, adopted Dec. 2, 1954, effective Jan. 3, 1955.]
Supreme court clerk: Chapter 2.32 RCW; state Constitution Art. 4 §
22.
Rule 17 Reporter--Appointment--Duties. ( 1)
The justices of the supreme court shall appoint a reporter for the decisions of the court, who shall be removable at their pleasure. He shall receive such annual
salary as shall be fixed and determined by the supreme
court.
(2) The reporter shall prepare the decisions of the supreme court for publication in the weekly advance
sheets and in the permanent volumes of the Washington
Reports. The decisions shall be published chronologically, unless otherwise directed by the court.
(3) When in any case, a petition for rehearing has
been made and denied, he shall make a notation thereof
at the conclusion of the decision as reported in the permanent volume.
(4) He shall prepare the decisions for publication in
the weekly advance sheets by giving the title of each
case, the classification of the points decided, and the
names of counsel, and shall prepare a subject index to
each book and prefix a table of cases reported. When
the decisions published in a volume of advance sheets
(Rules for Supreme Court---p 3)
Rule 17
Rules for Supreme Court
approximately equal those to be published in the corresponding permanent volume, the volume of advance
sheets shall be closed, and the reporter shall prepare a
cumulative subject index covering such volume, to be
published in the last book thereof.
(5) He shall prepare the decisions for publication in
the permanent volumes by giving the title of each case,
a syllabus of the points decided, and the names of
counsel, and shall prepare a full and comprehensive index of each volume, and prefix a table of cases
reported.
(6) He shall furnish to each of the justices proof
sheets of the decisions written by such justice, as the
same are to appear in the bound volume, and, after examination, the justice will return them to the reporter.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951; subd. (3)
amended, adopted Nov. 2, 1960, effective Jan. 2, 1961;
rule form approved, adopted Dec. 6, 1960, effective Jan.
2, 1961.)
Supreme court reporter: Chapter 2.32 RCW; state Constitution Art. 4
§ 18.
Rule 18 Law librarian--Selection and duties. The
court will appoint a law librarian who may be removed
at its pleasure. The law librarian shall-(a) maintain as complete and up-to-date law library
as possible;
(b) keep the entire library orderly and clean, and the
material therein well arranged;
(c) do legal research for any supreme court justice
when he requests it;
(d) maintain in the main reading room of the library
a chronological listing of legal text books under appropriate classifications;
(e) maintain in the main reading room of the library
a system whereby Shepard's Washington Citator will be
kept up to date so far as affected by this court's printed
opinions;
(f) maintain in the main reading room of the library a
system whereby the current Washington Digest is kept
up to date. [Adopted July 2, 1969, effective July 18,
1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
1951.}
Duties of state Jaw librarian relative to session laws, legislative journals and supreme court reports: Chapter 40.04 RCW.
State law librarian member of commission to supervise publication of
decisions of supreme court: RCW 2.32.160.
State Jaw library: Chapter 27.20 RCW.
Rule 19 Bailiff--Appointment--Duties. The
court will appoint a bailiff whose duties shall be to attend the sessions of the court, circulate opinions and
petitions, act as derk to the chief justice, and do and
perform such other duties as may be required by the
court. [Adopted July 2, 1969, effective July 18, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.)
Supreme court bailiffs, compensation: RCW 2.32.340, 2.32.350.
Rule 20 Memorial exercises. During the week before
the beginning of the May term of each year, the court
will conduct suitable memorial exercises for members
or former members of the supreme court who have died
(Rules ror Supreme Court-;» 41
within the preceding year. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951. l
Rule 21 Justices pro tempore. (I) Selection and Use.
When a member of the court is disqualified or unable to
function on a case for good cause, a majority of the
regular remaining members of the court may, by written
order, designate a justice pro tempore to sit with the
court en bane to hear and determine the cause. The
designating order shall set forth the period of service. In
no event shall more than two justices pro tempore sit
with the court en bane.
(2) Qualification. A justice pro tempore shall take the
oath of office required by Article 4, § 28 of the state
Constitution. The oath of office, together with the original order of appointment, shall be filed forthwith in the
office of the secretary of state. A copy of the oath and
order of appointment shall be filed in the office of the
clerk of the supreme court.
(3) Duties of the Justice Pro Tempore.
(a) A justice, while serving pro tempore, shall have
the same power and authority as a justice of the supreme court, and he shall perform such duties as the
court may direct.
(b) A justice pro tempore will function promptly on
opinions and petitions for rehearing on which he is
qualified to function. When such opinions are received
by him after the period of his appointment has expired,
his original period of office as a justice pro tempore
shall be deemed to exist in order for him to function
and to accomplish the ministerial act of filing the
opinion.
(4) Publication of Opinions.
(a) Dissents and Concurrences. Dissents or
concurrences written by a justice pro tempore shall be
published in regular form, except that a reference symbol shall be placed after his name, directing attention to
a footnote which shall read:
"Justice --------------- is serving as a justice pro
tempore of the supreme court pursuant to Const. Art. 4
§ 2(a) (amendment 38).' 1
(b) Opinions signed by a justice pro tempore shall be
published in the regular form, except that the name of
the justice pro tempore shall follow the names of the
justices of the supreme court signing such opinion, with
the designation "Pro Tem.' 1 after his signature.
(c) There shall appear, in each bound volume of the
Washington Reports, on the page following the page
listing the justices of the supreme court, the names and
terms of office of the justices pro tempore who served
during the period covered by the published volume.
[Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969. Prior:
Adopted March 13, 1963, effective March 13, 1963;
amendment adopted April 29, 1963, effective April 29,
1963; Subsec. (2) amended, effective Mar. 19, 1964.]
Judges pro tempore of the supreme court, compensation and expenses: RCW 2.04.240, 2.04.250.
Digest
Supreme Court Rules on Appeal (ROA)
Rule 22 Reporting of criminal cases. On any criminal appeal taken to the Supreme <;o~rt .fr<?m a determination made by a court of lesser JUnsd1ct1on, the court
clerk shall, within five court days of the filing of a final
decision on the merits in the matter, forward to the
Washington State Patrol Section on Identification on a
form approved by the Administrator for the Courts its
disposition of the particular case. In the event that
original or collateral proceedings are brought in the Supreme Court and the result of those original or collateral proceedings changes, or otherwise makes
inaccurate, the information forwarded on the original
disposition report, the court clerk shall prepare and forward to the Section a supplemental disposition report
on a form approved by the Administrator for the
Courts indicating thereon the information necessary to
correct the current status of the disposition of charges
against the subject maintained in the records of the
Section. '[Adopted Jan. 17, 1974, effective March I,
1974.1
SUPREME COURT RULES ON APPEAL (ROA)
PART I RULES FOR ORIGINAL APPEALS TO
THE SUPREME COURT FROM THE SUPERIOR COURT
RULE I-I Method Herein Provided Exclusive.
RULE I-2 Definitions.
RULE I-3 Service of Papers.
RULE 1-4 Order of Filing and Serving Immaterial.
RULE 1-5 Personal Appearance Not Necessary.
RULE 1--6 Submission on Failure to Appear.
RULE 1-7 Violation of Rules.
RULE 1-8 Appeals--When Dismissed.
RULE 1-9 Computation of Time.
RULE I-10 Docket Fees.
RULE 1-11 Assignment of Causes.
RULE I-12 Calendar.
RULE 1-13 Taking Papers from Clerk's Office.
RULE 1-14 Appeal--When Allowed.
RULE 1-15 Jurisdiction.
RULE 1-16 Powers of Supreme Court.
RULE 1-17 What May Be Reviewed.
RULE 1-18 Designation of Parties.
RULE 1-19 Voluntary Withdrawal of Appeal.
RULE 1-20 Second Appeal.
RULE 1-21 Death of Party not to Affect Appeal.
RULE I-22 Bond for Costs.
RULE 1-23 Supersedeas Bond.
RULE 1-24 Temporary Injunction to Remain in
Force, When.
RULE 1-25 Obligees in Bonds.
RULE I-26 Justification of Sureties.
RULE 1-27 Objection to Surety--Certificate-New Bond.
RULE 1-28 Defects in Appeal Bond--New Bond.
RULE 1-29 Application for New Bond.
RULE 1-30 Execution Countermanded, When.
RULE 1-31 Judgment Against Appellant and Sureties.
RULE 1-32 Jurisdictional Requirement in Civil Cases.
RULE 1-33 Notice of Appeal and Cross-Appeal in
Civil Cases--Ordering Statement of
Facts and Transcript.
RULE 1-34 Statement of Facts--Time for Ordering,
Serving, and Filing--Certification.
RULE 1-35 Statement of Facts, What Constitutes.
RULE I-36 Statement of Facts--Amendments-N otice to Settle.
RULE 1-37 Certificate, What to Contain--How
Signed.
RULE 1-38 Statement of Facts--How Certified
Upon Change or Death of Judge.
RULE 1-39 How Certified When Cases Consolidated.
RULE 1-40 Statement of Facts.
RULE 1-41 Serving and Filing of Briefs on Appeal.
RULE 1-42 Production, Style and Contents of Briefs
for Cases Set for Hearing on the Appeal Docket.
RULE 1-43 Errors Considered.
RULE 1-44 Transcript on Appeal.
RULE 1-45 Omissions from the Record.
RULE 1-46 Appeals in Criminal Cases.
RULE 1-47 Reimbursement of Costs--lndigent
Criminal Appeals.
RULE I-48 Proceedings in Case of Reversal in Criminal Cases.
RULE 1-49 Arguments.
RULE 1-50 Petitions for Rehearing.
RULE 1-51 Motion to Dismiss.
RULE 1-52 Hearing and Disposition of Motion to
Dismiss.
RULE 1-53 Motions--How Made and Heard.
RULE 1-54 Notices of Motions.
RULE I-55 Costs on Appeal and Cost Bills.
RULE 1-56 Habeas Corpus.
RULE 1-57 Procedure for Petitions for Extraordinary
Writs, Certiorari, Mandamus and
Prohibition.
RULE 1-58 Original Writs Directed to State Officers.
RULE I-59 Transcript of Judgment, Effect of.
RULE 1--60 Effect of Judgment--Execution Under.
RULE 1-61 Effect of Reversal--Writ of Restitution.
RULE I--62 Damages May Be Awarded, When.
RULE 1-63 Appeals to Be Heard on Merits.
RULE 1-64 Reserved.
RULE 1-65 Reserved.
RULE 1--66 Disposition of Material Exhibits.
RULE 1-67 Certificate Procedure.
PART II RULES FOR THE REVIEW BY PETITION
OR APPEAL OF ORDERS OR JUDGMENTS OF THE COURT OF APPEALS
RULE
RULE
RULE
RULE
II-1
11-2
11-3
II-4
Review by Petition.
Review by Appeal.
Part I Rules Applicable to Part II.
Petition for Extraordinary Writs to Review Determination of Court of
Appeals.
(Rules for Supreme
Court--p SJ
Digest
Rules for Supreme Court
PART I
RULES FOR ORIGINAL APPEALS TO THE
SUPREME COURT FROM THE SUPERIOR
COURT
Rule I-1 Method herein provided exclusive. The
mode provided by these rules for appealing cases to the
supreme court, and for securing a review of the same
therein, shall be exclusive and shall supersede all other
methods heretofore provided. [Adopted July 2, 1969,
effective July 18, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951; rule amended, adopted Dec. 6,
1955, effective Jan. 3, 1956.)
Rule I-2 Definitions. In these rules, unless the context or subject matter otherwise requires:
(a) The past, present and future tenses shall each include the other; the masculine, feminine and neuter
gender shall each include the other; and the singular
and plural number shall each include the other.
(b) The words "superior court" mean the court from
which an appeal is taken pursuant to these rules.
(c) The party appealing is known as the "appellant,"
and the adverse party as the "respondent."
(d) The words "shall" and "must" are mandatory,
and the word "may" is permissive.
(e) The terms "party," "appellant," "respondent,"
"petitioner" or other designation of a party include
such party's attorney of record.
(f) "Judgment" means any judgment, order or decree
from which an appeal lies.
(g) The term "remittitur" means a certified copy of
the judgment of the supreme court which is authenticated to the court from whence the appeal is taken, or
over which or whom its controlling jurisdiction is exercised. In case the judgment or order appealed from is
reversed or modified, a certified copy of the opinion of
the supreme court shall be attached to the remittitur.
(h) The terms "written," "writing," "typewriting'' and
"typewritten'' include other methods of duplication
equivalent in legibility to typewriting.
(i) Rule and subdivision headings do not in any
manner affect the scope, meaning or intent of the provisions of these rules. lAdopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 2, 1950, effective
Jan. 2, 1951; rule amended, adopted Dec. 6, 1955, effective Jan. 3, 1956.]
Judgment, order, motion defined: RCW 4.56.010, 4.56.020, 7.16.020.
Rule I-3 Service of papers. (1) Service of papers
must, in all cases, be made upon the attorney of record
of a party, if he has one, unless the place of business or
residence of such attorney is unknown, when it may be
made upon the party.
(2) Service upon an attorney shall be made by delivering to him personally, or at his office by delivery to
his clerk or to the person having charge thereof; or, if
his office be not open, or there be no one in charge
thereof, at his residence by delivery to some person of
suitable age and discretion residing therein; or, if neither of the foregoing methods can be followed, by deposit in the post office to his address with postage
[Rules for Supreme Court--p 6)
prepaid. In capital causes, a motion to dismiss an appeal shall be served upon the defendant personally, as
well as upon the attorney of record.
(3) Service upon a party shall be made by delivery to
him personally, or at his residence, to some person of
suitable age and discretion residing therein, between the
hours of nine o'clock in the forenoon and nine o'clock
in the evening.
(4) Where the residence of a party and that of his attorney of record, if he have one, are not known, and
proof of such fact be shown by affidavit, the service
may be made upon the clerk of the superior court in
which the cause was tried, for the party or attorney.
(5) Service may be made by mail when the party
making the service and the person on whom such service is to be made reside in different places; postage
must in such cases be prepaid. Time shall begin to run
from the date of deposit in the post office. [Adopted
July 2, 1969, effective July 18, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951.)
Commencement of actions: Chapter 4.28 RCW
Certiorari, mandamus, prohibition: Chapter 7.16 RCW
Rule I-4 Order of filing and serving immaterial.
Whenever any rule or statute heretofore or hereafter
enacted requires a motion for a new trial, statement of
facts, notice of appeal or other documents concerning
appeals or constituting a part of the record of appeals
to the supreme court to be filed and served or served
and filed, the serving and filing shall be equally valid
and effective whether the document shall be filed or
served first and no appeal shall be dismissed because of
the order of the filing and serving. [Adopted July 2,
1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951.]
Rule 1-S Personal appearance not necessary. Personal appearance of any party in the supreme court shall
not be necessary. [Adopted July 2, 1969, effective July
18, 1969. Prior: Adopted Nov. 2, 1950, effective Jan. 2,
1951.]
Rule 1--6 Submission on failure to appear. Where a
party does not appear personally or by attorney when
the cause is called for hearing, the cause, as to such
party, shall be deemed submitted. This rule shall not
preclude oral argument by the opposite party. [Adopted
July 2, 1969, effective July 18, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
Rule I-7 Violation of rules. The court may impose
terms and penalties for the violation of or failure to observe rules other than those relating to jurisdiction.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.)
Rule I-8 Appeals--Wben dismissed. The supreme
court will dismiss any civil or criminal appeal in which
the jurisdictional requirement is not complied with. The
court may at any time upon the giving of thirty days'
notice dismiss any appeal for want of prosecution.
Supreme Court Rules on Appeal (ROA)
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951; rule
amended, adopted Dec. 12, 1956, effective Mar. 1,
1957.]
Rule 1-9 Computation of time. The time within
which acts are to be done, as provided in these rules,
shall be computed by excluding the first and including
the last day. If the last day is a Saturday or Sunday or a
holiday the act must be completed on the next business
day. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Computation of time: RCW 1.12.040, 4.28.005.
Rule 1-10 Docket fees. (a) Requirement. The clerk
shall not file any paper on the part of a party to a proceeding until the statutory docket fee, chargeable
against such party, has been paid or the party has been
authorized to proceed without the payment of fee.
(1) Waiver in Civil Cases.
(i) ~a?eas <;orpus. In habeas corpus proceedings
filed ongmally m the Supreme Court, the Chief Justice
may waive the requirement of payment of a filing fee
pursuant to ROA I-56.
(ii) Certi?rari. A determination pursuant to ROA
l-:46(c) (2)(i) that an appellant is authorized to appeal
without the payment of a docket fee is authority for the
appellant. to p~tition for review of an order which allege~ly derues him the means of perfecting his appeal
without payment of a docket fee.
(iii) Indigent Cases. Upon a petition to proceed without the payment of a docket fee supported by an affidavit showing to the satisfaction of the Chief Justice
that petitioner does not have the means to pay the
d<;>cket fee and that the appeal is in good faith and not
fnvolous, the Chief Justice may waive the requirement
of a docket fee.
(2) Waiver in Criminal Cases. Waiver of the requirement of docket fees in criminal cases is governed by
ROA I-46. [Adopted July 2, 1969, effective July 18,
1969; amended, adopted Dec. 30, 1969, effective Jan.
16, 1970. Prior: Adopted Nov. 22, 1950, .effective Jan. 2,
1951.]
Rule 1-11 Assignment of causes. ( 1) For the purpose
of hearings in this court, causes from the several counties will be set by the clerk at the direction of the chief
justice.
(2) Two weeks before the beginning of each term of
the court, the clerk shall set for hearing such causes on
t~e docket ready for hearing as the chief justice may
direct. Also, twenty days before the date of the hearing
on the last cause thus set, the clerk shall, in the same
manner, set for hearing at the foot of the calendar all
criminal causes ready for hearing. A cause on the
docket of the court shall be deemed ready for hearing
when it appears that the transcript is on file; and
(a) That the appellant's brief and respondent's brief
are on file; or
(b) That the appellant's brief is on file, and has been
served upon the respondent for a period of thirty days
or more; or
Rule 1-14
(c) That the appellant's brief is on file, and all parties
to the appeal have stipulated that the cause m<:iy be set
for hearing at such term. [Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951; rule amended, adopted Apr. 15,
1955, effective April 15, 1955.]
Rule 1-12 Calendar. As soon as the causes shall
have been set for a regular term of the court, the clerk
shall print a calendar thereof and shall mail a copy of
the calendar to each attorney or firm of attorneys having any cause thereon. Causes becoming ready for
hearing after the making up of the printed calendar
may be set at the foot of the calendar, or at such other
time as the court may fix; and counsel shall be notified
thereof in such manner as the court may order. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951; rule amended,
adopted Apr. 15, 1955, effective April 15, 1955.]
Rule 1-13 Taking papers from clerk's office. No paper filed with the clerk of this court shall be taken from
the court room or clerk's office except by permission of
the court or one of the judges, and when so taken a receipt in writing therefor must be left with the clerk. Before the cause is finally determined in this court,
permission to take papers will not be granted except to
a party or his attorney who shall have entered an appearance in this court in the cause in which such papers
are filed. [Adopted July 2, 1969, effective July 18, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule I-14 Appeal to the supreme court--When allowed. (I) Appeal to the Supreme Court--When Allowed. Any party aggrieved by a final order or
judgment or order for a new trial by the superior court
in a case set forth below may appeal to the supreme
court:
(a) Cases of quo warranto, prohibition, injunction or
mandamus directed to state officials;
(b) Criminal cases where the death penalty has been
decreed;
(c) Cases where the validity of all or any portion of a
statute, ordinance, tax, impost, assessment or toll is
drawn into question on the grounds of repugnancy to
the Constitution of the United States or of the state of
Washington, or to a statute or treaty of the United
States, and the superior court has ·held against its
validity;
(d) Cases involving substantive issues on which there
is a direct conflict among prevailing decisions of panels
of the court or between decision of the supreme court;
and
(e) Cases involving fundamental and urgent issues of
broad public import requiring prompt and ultimate determination. [Adopted July 12, 1969, effective July 18,
1969; amen~ed, adopted Sept. 3, 1969, effective Sept.
12, 1969. Pnor: Adopted Nov. 22, 1950, effective Jan. 2,
1951.]
Comment by the Court. Complete revision of ROA 14 setting
forth cases which can be appealed directly from the superior
court to the supreme court.
[Rules for Supreme Court---p 7)
Kules for Supreme Court
KUle 1-14
Exceptions: RCW 4.80.010-4.80.050.
Rule 1-15 Jurisdiction. The supreme court shall acquire jurisdiction of a cause or proceeding when a petition for review is granted, a writ is issued, or upon the
filing of a proper notice of appeal to the supreme court.
Upon acquiring jurisdiction of a cause, the supreme
court shall have control of the superior court and court
of appeals and of all inferior officers in all matters pertaining thereto and may enforce such control by a
mandate or otherwise and, if necessary, by fine and imprisonment, which imprisonment may be continued until obedience shall be rendered to the mandate of the
supreme court. The superior court shall retain jurisdiction for the purpose of all proceedings by these rules
provided to be had in such court, for the purpose of
settlement and certification of the statement of facts,
and for all other purposes as might be directed by order
of the supreme court. (Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951; rule amended, adopted Dec. 12, 1956, effective Mar. 1, 1957; rule amended, adopted June 28,
1967, effective July 1, 1967.]
Rule 1-16 Powers of supreme court. Upon an appeal
from a judgment or order, or from two or more orders
with or without the judgment, the supreme court will
affirm, reverse or modify any such judgment or order
appealed from, as to any or all of the parties, and will
direct the proper judgment or order to be entered, or
direct a new trial or further proceedings to be had; and,
if the appeal is from a part of a judgment or order, will
affirm, reverse or modify as to the part appealed from.
The decision of the court shall be given in writing, and
no cause shall be deemed decided until the decision in
writing is filed with the clerk. In giving its decision, if a
new trial is granted, the court may pass upon and determine all the questions of law involved in the cause
presented upon such appeal and necessary to the final
determination of the cause. Without the necessity of
taking a cross-appeal, the respondent may present and
urge in the supreme court any claimed errors by the
trial court in instructions given or refused and other
rulings which, if repeated upon a new trial, could constitute error prejudicial to the respondent. An appeal to
the supreme court from a judgment granted on a motion for judgment notwithstanding the verdict shall, of
itself, without the necessity of a cross-appeal, bring up
for review the ruling of the trial court on the motion for
a new trial; and the supreme court shall, if it reverses
the judgment entered notwithstanding the verdict, review and determine the validity of the ruling on the
motion for a new trial. (Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951; last sentence amended, adopted Dec. 2,
1954, effective Jan. 3, 1955; rule amended, adopted
June 28, 1967, effective July 1, 1967.]
Rule 1-17 What may be reviewed. In a case reviewed
by the supreme court, the court will review any intermediate order or determination of the superior court or
(Rules for Supreme
Court---p 8)
the court of appeals which involves the merits and materiaHy affects the judgment, appearing upon the record.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Exceptions: RCW 4.80.010-4.80.050.
Rule 1-18 Designation of parties. The party appealing shall be known as the appellant, and the adverse
party as the respondent, and they shall be so designated
in all papers in the cause after the notice of appeal shall
have been given or served; but the title of the cause
shall in other respects remain unchanged. [Adopted
July 2, 1969, effective July 18, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 1-19 Voluntary withdrawal of appeal. After a
notice of appeal has been filed but befor.e oral arguments on the merits, the superior court from which the
appeal was taken shall have jurisdiction to dismiss the
appeal, upon the filing of a stipulation by all the parties
to the cause asking that the appeal be dismissed. When
any such order dismissing the appeal is entered by the
superior court, the clerk thereof shall forthwith file in
the supreme court a certified copy of such order and
upon the filing thereof, the order shall be effective, the
appeal shall be considered as never having been taken,
the sureties discharged from all liability on the appeal
bond if one has been filed, and the supreme court shall
no longer have jurisdiction. Dismissals requested after
oral argument on the merits shall be granted only by
the supreme court in its discretion. (Adopted July 2,
1969, effective July 18, 1969; amended, adopted Dec.
17, 1970, effective April 16, 1971. Prior: Adopted Nov.
22, 1950, effective Jan. 2, 1951; rule amended, adopted
Dec. 12, 1956, effective Apr. 16, 1957.]
Rule 1-20 Second appeal. No withdrawal of an appeal, and no dismissal which does not go to the substance of or the right to the appeal, shall preclude any
party fr.om taking another appeal in the same cause,
within the time limited by these rules. [Adopted July 2,
1969, effective July 8, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951.}
Rule 1-21 Death of party not to affect appeal. The
death of a party in a civil action after the rendition of a
final judgment in the superior court shall not affect any
appeal taken, or the right to take an appeal; but the
proper representatives in personalty or realty of the deceased party, according to the nature of the case, may
voluntarily appear and be admitted parties to the cause,
or may be made parties at the instance of another party, as may be proper, as in the case of death of a party
pending in action in the superior court, and thereupon
the appeal may proceed or be taken as in other cases;
and the time necessary to enable such representatives to
be admitted or brought in as parties shall not be computed as part of the time in these rules ~ted for taking an appeal, or for taking any step m the progress
thereof. (Adopted July 2, 1969, eff~ctive JuJy 8, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.)
Supreme Court Rules on Appeal (ROA)
Rule 1-22 Bond for costs. ( 1) Bond for costs on appeal. A bond for costs on appeal shall be filed with the
clerk of the superior court when the notice of appeal is
given or within ten days thereafter, which bond shall be
executed in behalf of the appellant by one or more sufficient sureties and shall be in a penalty of not less than
three hundred dollars, conditioned to save the respondent harmless from costs and damages occasioned by
the appeal; or money in an amount not less than three
hundred dollars may be deposited with the clerk in lieu
thereof. At the time the bond for cost on appeal is filed
or a deposit in lieu thereof is made, a copy of the bond
for costs on appeal or written notice of the deposit shall
be served on the adverse party. No bond or deposit
shall be required:
(a) When the appeal is taken by the state, or by a
county, city, town or school district or by a defendant
in a criminal action;
(b) When the appeal is taken from an order of the
superior court denying an application for any writ applied for by or on behalf of any person confined and
restrained of his liberty by any judgment or order of
any court of the state of Washington, or by order of
any state, county, or city authority within this state, or
so restrained of his liberty by any state, county, or city
official;
(c) When the appeal is from an order of the superior
court denying the application of any person confined as
aforesaid to vacate the judgment by virtue of which he
is so confined, regardless of whether the application be
by way of motion or petition.
(2) Superior court discretion in fixing amount of
bond. The superior court may, upon application of the
respondent and for good cause shown, increase the
bond on appeal over the amount of three hundred dollars. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Nov. 20, 1950, effective Jan. 2, 1951; rule
amended, adopted Sept. 25, 1951; rule amended,
adopted Dec. 14, 1953, effective Mar. 1, 1954; rule
amended, adopted Dec. 12, 1956, effective Mar. I,
1957.]
Rule 1-23 Supersedeas bond. (1) Supersedeas bond.
Whenever an appellant entitled thereto desires a stay of
proceedings on appeal, he may present to the superior
court for its approval a supersedeas bond executed by
one or more sufficient sureties, which bond may, if desired, contain the terms and conditions contained in the
bond for costs on appeal referred to in Rule I-22. The
supersedeas bond, whether or not combined with the
bond for costs on appeal, shall be conditioned for the
satisfaction of the judgment in full, together with interest thereon, if for any reason the appeal is dismissed or
if the judgment is affirmed, and to satisfy in full such
modification of the judgment as the supreme court may
adjudge and award. When the judgment is for the recovery of money not otherwise secured, the amount of
the bond shall be fixed at such sum as will cover the
whole amount of the judgment remaining unsatisfied,
together with interest thereon, unless the court, after
notice and hearing and for good cause shown, fixes a
different amount or orders security other than the bond.
Rule 1-24
When the judgment determines the disposition of the
property in controversy, as in real actions, replevin, an~
actions to foreclose mortgages, or when such property ts
in the custody of the sheriff, or when the proceeds of
such property or a bond for its value is in the custody
or control of the court, the amount of the supersedeas
bond shall be fixed at such sum only as will secure the
amount recovered for the use and detention of the
property and the costs of the action, together with interest thereon.
If the supersedeas bond is intended to stay proceedings on only a part of the order, judgment, or decree
appealed from, it shall be varied as circumstances may
require to accomplish the purpose desired.
(2) Effect of supersedeas. When a supersedeas bond
conditioned as above required has been filed, it shall
operate, so long as it remains effectual, to stay proceedings upon the order, judgment or decree appealed from;
but in case of an appeal from an order other than an
order granting a new trial, no appeal or appeal bond
shall operate to stay proceedings in the cause except
proceedings upon the order appealed from; and no appeal or stay shall vacate or affect any part of a judgment or order not appealed from and where an appeal
is taken from an order vacating a temporary injunction,
the appellant cannot proceed further in the cause in the
superior court during the pendency of the appeal except
so far as may be rendered necessary by proceedings of
an adverse party.
(3) Superior court discretion in fixing bond. In approving a supersedeas bond, the superior court shall
exercise care to require adequate though not excessive
security in every instance. Money in the amount of the
penalty which would be designated in a bond may be
deposited with the clerk of the superior court in lieu of
bond. Money so deposited shall be subject to the conditions set out in these rules and subject particularly to
the conditions of Rule 1-25.
After a supersedeas bond has been approved and
filed, the superior court may upon application of the
respondent or on its own motion and for good cause
shown, increase the amount of the bond, require additional security, or require a new bond. [Adopted July 2,
1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951; rule amended, adopted
Dec. 12, 1956, effective Mar. 1, 1957.]
Rule 1-24 Temporary injunction to remain in force,
when. In all cases where a final judgment shall be rendered by any superior court of this state in a cause
wherein a temporary injunction has been granted, and
the party at whose instance such injunction was granted
shall appeal from such judgment, such injunction shall
remain in force during the pendency of such appeal, if,
within five days aner service on him of notice of the
entry of the final judgment, such appellant shall file
with the clerk of the superior court a bond, with one or
more sufficient sureties, in a penalty to be fixed by the
court, conditioned that the appellant shall pay to the
respondent all costs and damages that may be adjudged
against the appellant on the appeal, and all costs and
damages that may accrue to the respondent by reason
(Rules for Supreme Comt--p 91
Kute I-""'
Kules for Supreme Court
of the injunction remaining in force. [Adopted July 2,
1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951.]
Rule 1-25 Obligees in bonds. Instead of the respondent or other party, the state of Washington for the
benefit of whom it may concern, may be named as obligee in any bond for costs on appeal or supersedeas referred to in Rules I-22 and I-23 or required in any
proceeding in the supreme court. Anyone who would
have any right upon or concerning said bond had he
been named as obligee therein, shall have the same
right as if so named. Anyone having any interest in any
such bond may sue thereon separately or jointly with
anyone else also interested. It shall not be necessary to
sue in the name of, or to join, the State of Washington
in any suit upon such bond. The procedure provided by
this rule is not exclusive but is optional and in addition
to that otherwise provided. [Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969,
effective Sept. 12, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951 ; first sentence amended, adopted
Dec. 14, 1953, effective Mar. 1, 1954; rule amended,
adopted Dec. 12, 1956, effective Mar. 1, 1957.]
Rule 1-26 Justification of sureties. An appeal bond,
whether conditioned to effect a stay of proceedings or
not, signed as surety by any person, persons or corporation other than a surety company authorized to
transact such business in this state as provided by law,
shall be of no force unless accompanied by the affidavit
of the surety or sureties therein attached thereto, in
which each surety shall state that he is a resident of this
state and is worth a certain sum mentioned in such affidavit, over and above all debts and liabilities, in property within this state, exclusive of property exempt from
execution, and which sums so sworn to by the surety or
sureties, shall be at least equal to the penalty named in
the bond if there be but one surety, or shall amount in
all to at least twice such penalty if there be more than
one surety. [Adopted July 2, 1969, effective July 18,
1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
1951.]
Rule 1-27 Objection to surety--CertificateNew bond. Any respondent may object to the sufficiency of the surety or sureties in an appeal bond, other
than a surety company authorized to transact business
in this state as provided by law, within ten days after
the service on him of the notice of appeal, or within five
days after the service on him of the bond or written
notice of the filing thereof, by serving on the appellant a
notice stating that he so objects, and specifying a time,
not less than three nor more than ten days distant, at
which the surety or sureties are required to attend before the superior court in which the judgment or order
appealed from was rendered or made, or before a judge
thereof, and to justify their sufficiency as sureties. At
the time and place named in such notice, or to which
the proceeding may be thence adjourned by the court
or judge, the surety or sureties must attend before the
court or judge, and may be then and there examined in
{Rules for Supreme Coort---p 10)
detail, under oath, as to their property and other qualifications as sureties, by any respondent or by the judge,
or by both. If the judge upon such examination is satisfied that the surety or sureties are qualified as such, to
the extent to which they are required by Rule I-26 to
make affidavit, then he shall make a certificate to that
effect indorsed upon or attached to the bond, which
shall thereupon stand as a sufficient appeal bond to the
effect expressed in the condition thereof; but if he is not
so satisfied, or if the sureties fail to attend and justify,
then the judge shall in like manner certify to that effect,
and thereupon the bond shall become void: Provided,
that in such case the appellant may, within five days
after the making of such certificate, file a new appeal
bond in conformity with the requirements of Rules 1-22
and 1-23, and subject to the requirement of justification
of the sureties provided in Rule 26; but in case such
new appeal bond be found insufficient, no new bond
can thereafter be filed in lieu thereof. In case the original or new appeal bond be not conditioned to effect a
stay of proceedings, however, an additional appeal
bond may be filed at any time thereafter when the appellant desires to effect a stay as provided in Rule 1-23,
during the pendency of the appeal. The examination of
the sureties taken upon their justification shall be reduced to writing and subscribed by the sureties, if either
party so requires, and attached to the certificate made
thereon. [Adopted July 2, 1969, effective July 18, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951;
rule amended, adopted Dec. 12, 1956, effective Mar. 1,
1957; rule amended, adopted June 28, 1967, effective
July 1, 1967 .)
Rule 1-28 Defects in appeal bond--New bond. No
appeal shall be dismissed because of any defect in the
appeal bond, nor because an appeal bond which is given both as a cost bond and as a bond on supersedeas
shall be insufficient by reason of the amount, but the
appellant shall in all cases be allowed to give a new
bond within such time and upon such terms as the
court may order. [Adopted July 2, 1969, effective July
18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 1,
1951; rule amended, adopted Dec. 12, 1956, effective
Mar. 1, 1957.]
Rule 1-29 Application for new bond. If any respondent shall have cause to believe, after any appeal bond
shall have been filed and the sureties therein have justified or the time for requiring their justification has expired, that the sureties have since become disqualified
as such, so that the bond is no 1011ger an adequate security, he may apply by motion to the supreme court to
require a new or additional bond. Upon the hearing of
such motion the court may require the trial court to examine into the merits of the motion and the adequacy
of the bond and certify the facts and his conclusions to
this court. [Adopted July 2, 1969, effective July 18,
1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
1951.]
Supreme Court Rules on Appeal (ROA)
Rule 1-30 Execution countermanded, when. When
an appeal bond is conditioned so as to effect a stay of
proceedings if execution has issued the clerk shall on
demand of the appellant, issue to the sheriff a certificate
that proceedings have been stayed, which shall countermand the execution; and thereupon the sheriff shall release any property levied on and not already sold, and
return the execution into court. [Adopted July 2, 1969,
effective July 18, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, I951.]
Rule 1-31 Judgment against appellant and sureties.
(a) If the judgment of the trial court is superseded and
the judgment is affirmed on final review, the trial court
shall, when the cause is remitted, enter the judgment
also against the supersedeas bond, bondsman or sureties for the amount of the judgment and for damages
and costs awarded on final review according to the
conditions of the bond.
(b) If costs are taxed against an appellant, the trial
court shall, when the cause is remitted, enter judgment
for costs on appeal against the appellant and against
the cost bond, bondsman or sureties according to the
condition of the bond. [Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951.)
Comment by the Court. Complete revision of former ROA 31,
providing new procedures.
Rule 1-32 Jurisdictional requirement in civil cases.
In order that the supreme court may secure jurisdiction
of an appeal in a civil cause pursuant to ROA 1-14, the
appellant need only give timely notice of appeal (see
Rule I-15, I-33).
Failure of the appellant to take any further steps to
secure the review of the order, judgment, or decree appealed from does not affect the validity of the appeal,
but is ground for such remedies as are specified in these
rules or, when no remedy is specified, for such action as
the supreme court deems appropriate, which may include contempt, assessment of terms, costs or damages,
and dismissal of the appeal. [Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969,
effective Sept. 12, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951; rule amended; adopted Sept. 25,
1951; adopted Nov. 17, 1952, effective Jan. 2, 1953;
adopted Dec. 14, 1953, effective Mar. 1, 1954; adopted
Dec. 12, 1956, effective Mar. 1, 1957.)
Rule 1-33 Notice of appeal and cross-appeal in civil
cases-Ordering statement of facts and transcript. ( 1)
In civil actions appealable directly to the supreme
court, in order for the supreme court to obtain jurisdiction of the cause, a written notice of appeal, together
with a copy of the same, must be filed with, and filing
fees paid to, the clerk of the superior court within thirty
days after entry of the order, judgment, or decree from
which the appeal is taken or, in the event of a motion
timely made subsequent to judgment which, if granted,
would modify or delay the effect of the judgment, within thirty days af~er the entry of an order granting or
denying th~ motion. The clerk of the superior court
shall forthwith file the copy of the notice of appeal with
Rule 1-33
the clerk of the supreme court, and transmit therewith
the filing fee as above provided. Failure of the ·superior
court clerk to file the copy with, and forward the filing
fee to, the clerk of the supreme court, will not affect the
validity of the appeal.
(2) Any coparty who did not join in the notice of appeal but who desires to join as an appellant shall, within
twenty days after the giving of the <:>riginal notice. of
appeal, file with the clerk of the supe~or court a notice
that he joins in the appeal. The reqmrements as to the
giving of a bond for costs on appeal shall be as applicable to such coparty as to the original appellant. Any
such party who does not so join shall not derive any
benefit from the appeal, unless from the necessity of the
case. All parties who so join in an appeal after the notice is given or served shall be liable for the expense
thereof, and for costs and damages, to the same extent
and upon the same conditions as if they had originally
joined in the notice.
(3) Also to obtain jurisdiction, each respondent who
desires to prosecute a cross-appeal from all or any part
of the order, judgment, or decree appealed from shall,
within twenty days after the giving of the original notice
of appeal, file with the clerk of the superior court a notice of cross-appeal, together with a copy of the same.
The clerk of the superior court shall forthwith file the
copy of the notice of cross-appeal with the clerk of the
supreme court. The cross-appeal shall bring up for review only matters affecting appellant and such crossappellant. The requirements as to the giving of a bond
for costs on appeal shall be as applicable to cross-appellant as to the original appellant.
(4) No reference to the right of coparty to join in an
appeal, or to the right of a respondent to cross-appeal,
shall abridge or restrict the right of any party to take a
general appeal as to any matters or parties involved in
the litigation, provided notice of such appeal shall be
given in the manner and within the time required by
this rule.
(5) Unless the chief justice shall previously order otherwise, the appellant must, within forty-five days after
filing notice of appeal, make arrangements with the
court reporter to transcribe any statement of facts necessary for the appeal, and for the payment thereof, and
also make arrangements with the clerk of the superior
court for the transcript which is to be filed with the supreme court pursuant to ROA I--44. Evidence that these
arrangements have been made shall be in the form of a
statement signed by the attorney for appellant or by the
court reporter if there be no counsel of record. The
above statement shall be filed with the clerk of the supreme court within fifty-five days after the filing of the
notice of appeal. Failure to comply with provisions of
this paragraph may be grounds for imposition of terms
or dismissal upon the motion of the parties or the clerk.
(6) A notice of appeal shall be in substantially the
following form:
(Caption)
NOTICE IS HEREBY GIVEN TO (other parties of
record), represented by (names and addresses of counsel) that (name of appellant) appeals to the Supreme
(Rules for Supreme Court--p 11)
. . . ·-· --y·----...~
Court from the (order, judgment, or decree) entered by
the Superior Court in the State of Washington for
__________ County on (month, day, year) in
__________ County Cause No. _____ .
Date _________ _
(Address and telephone
number of counsel for appellant, or of appellant if
prose)
(7) A statement that the statement of facts and transcript have been ordered and arrangement for payment
made shall be in substantially the following form:
Appellant hereby states that the court reporter, (name
and address), has been ordered to transcribe the statement of facts necessary for the appeal, and that arrangements accepted by the court reporter have been
made for the payment of the cost. He further states that
arrangements have been made with the clerk of the superior court for what he wishes to be included in the
transcript.
Date----------
(Address and telephone
number of counsel for appellant or of court reporter
if appellant is pro se)
(8) A party filing a notice of appeal, cross-appeal, or
a coparty joining in an appeal shall notify all other
parties in the case. The notification shall be given by
mailing a copy of the notice of appeal, cross-appeal, or
joinder in appeal, to the party's attorney of record or, if
the party is not represented by an attorney, then to the
party at his last known address. Such notification shall
be mailed on the day notice of appeal, cross-appeal or
joinder in appeal is filed and shall be sufficient notwithstanding the death of the party, or of his attorney, prior
to the giving of the notification. Proof of service need
not be filed unless notification is challenged. [Adopted
July 2, 1969, effective July 18, 1969; amended, adopted
Nov. 29, 1971, effective Jan. 1, 1972. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951; portion of subd.
(4) amended, adopted Sept. 25, 1951; subd. (1) amended, adopted Dec. 6, 1955, effe.ctive Jan. 3, 1956; subd.
(3) amended, adopted Dec. 12, 1956, effective Mar. 1,
1957; rule amended, adopted June 28, 1967, effective
July 1, 1967.]
Comment by the Court. There is no provision in ROA 1-33 for
appeals for other than final orders since such appeals will be
taken to the court of appeals.
Exceptions: RCW 4.80.010-4.80.050.
Rule 1-34 Statement of facts--Time for ordering,
serving, and filing-Certification. (I) Within forty-five
days after filing notice of appeal, unless the chief justice
shall have previously ordered otherwise, for good cause
shown, the appellant shall order the statement of facts
and make arrangements with the court reporter for the
payment of the cost thereof.
(2) When the proposed statement of facts is received
by the appellant, he shall file the original with the clerk
[Rules for Supreme Court--p 12)
....._.vu.a._
of the superior court, serve the copy on one of the ~d­
verse parties, and file proof of such filing and sen:1ce
with the clerk of the supreme court. Notice of the filing
of the statement of facts shall also be served on all other adverse parties. Provided, that the chief justice in his
discretion may extend the time for the filing of the proposed statement of facts to a day certain if good cause
be shown and the application for extension of time be
made before the time for filing has expired. If proof of
filing and service of the statement of facts is not filed
within ninety days, plus any additional time allowed by
the chief justice, after the notice of appeal was filed
with the clerk of the superior court, the clerk of the supreme court shall order counsel for the appellant or
court reporter, or both, to appear on the next motion
day when the matter may be heard unless the proposed
statement of facts is filed by the Friday preceding the
motion hearing, to explain the cause of the delay.
(3) The certifying of a statement of facts and the filing and service of the proposed statement, the notice of
application for the settlement thereof, and all steps and
proceedings leading up to the making of the certificate,
shall be deemed steps and proceedings in the cause itself, resting upon the jurisdiction originally acquired by
the court in the cause.
(4) (Appeal on short record.) On any appeal or other
proceeding for review, in any criminal cause, or in any
civil cause whether cognizable at law or in equity, so
much of the evidence as bears upon the question or
questions sought to be reviewed may be brought before
this court by a statement of facts without bringing up
the evidence bearing on rulings on which no error is
assigned. If the appellant does not include in his statement of facts the complete record and all the proceedings and evidence in the cause, he shall serve and file
with such proposed statement of facts, a concise statement of the points on which he intends to rely on the
appeal.
(5) (Appeal on agreed statement of facts.) When the
question or questions presented by an appeal in any
cause can be determined without an examination of all
the pleadings, evidence, and proceedings in the superior
court, the parties may prepare and sign a statement of
the case showing how the question or questions arose
and were decided in the trial court and setting forth
only so many of the facts averred and proved or sought
to be proved as are essential to a decision of the question or questions by this court. The statement shall include a copy of the judgment from which the appeal is
taken, a copy of the notice of appeal and of the appeal
bond, together with their respective filing dates, and a
concise statement of the points to be relied on by the
appellant, and shall be filed with the clerk of the superior court within the time provided for the filing of a
statement of facts. If the statement conforms to the
truth, it, together with such additions as the trial court
may consider necessary fully to present the question ?r
questions raised by the appeal shall be approved m
writing by the trial judge and, when so aprpov~, shall
constitute the record on appeal, and be trans1Illtted to
this court in the same manner as a statement of facts.
Rule 1-37
Supreme Court Rules on Appeal (ROA)
(6) Every statement of facts shall comply in form
with the rule with reference to transcripts. The index
thereto shall specify the page on which the testimony of
each witness commences, the page on which exhibits
are offered or introduced, the page on which depositions or affidavits are offered or introduced, the page on
which motions made during the course of the trial are
recorded, and the page of the ruling of the court thereon. At the bottom of each page there shall appear the
name of the witness or witnesses testifying, and whether
the examination be direct, cross, redirect, or recross.
(7) All exhibits shall be lettered or numbered in consecutive order, and, where practicable, shall be attached
to the statement of facts. Each exhibit shall be identified by endorsing on the face thereof, in a conspicuous
place, its letter or number, an abbreviated title of the
cause, and the superior court number of the cause.
Where, from the nature of the exhibit, it is not practicable to make such an endorsement, the exhibit may be
identified by a tag, securely fastened thereto, on which
is written or printed its letter or number, the title of the
cause, and its superior court number.
(8) In all cases where the judge of the superior court
has filed a written memorandum giving his reasons for
his decision, the same shall be included as part of the
statement of facts.
(9) In all cases whenever any error is predicted upon
a ruling relative to an instruction given or proposed, it
will be necessary to include in the statement of facts all
of the instructions given by the court and those proposed instructions concerning which error is assigned.
[Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969;
amended, adopted Nov. 29, 1971, effective Jan. 1, 1972.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951;
subd. (5) amended, adopted Dec. 6, 1955, effective Jan.
3, 1956.]
him, file it in the cause and serve a copy thereof on the
adverse party, and shall also serve written notice of t~e
filing thereof on any other party who has appeared m
the cause. Within ten days after such service any party
may file and serve on the proposing party any amendments which he may propose to the statement: Provided, That the superior court may extend the time not to
exceed an additional twenty days for filing and serving
proposed amendments to the proposed statement of
facts, if good cause be shown and the application for
extension of time be made within the ten day period,
and after notice to opposing counsel. Either party may
then serve upon the other a written notice that he will
apply to the judge of the court before whom the cause
is pending or was tried, at a time and place specified,
the time to be not less than three nor more than ten
days after service of the notice, to settle and certify the
statement; and at such time and place, or at any other
time or place specified in an adjournment made by order or stipulation, the judge shall settle and certify the
statement. If the judge is absent at the time named in a
notice or fixed by adjournment, a new notice may be
served. If no amendment shall be served within the time
aforesaid, the proposed statement shall be deemed
agreed to and may be certified by the judge at the instance of either party, at any time, without notice to
any other party on proof being fil.ed of its service, and
that no amendments have been proposed; and if
amendments be proposed and accepted, the statement
as so amended shall likewise be certified on proof being
filed of its service and the service and acceptance of the
amendments. (Adopted July 2, 1969, effective July 18,
1969; amended, adopted Sept. 3, 1969, ·effective Sept.
12, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
1951; rule amended, adopted Dec. 12, 1956, effective
March l, 1957.]
Additional jury instructions: RCW 4.44.320.
Rule 1-35 Statement of facts, what constitutes. Any
party may after the entry of an appealable order or the
final judgment in the cause, have all rulings, decisions,
evidence, papers, proceedings and any objections or exceptions in the cause, or so much thereof as may be
material to an appeal from such appealable order or
from the final judgment, as the case may be, not already a part of the record, made a part of the record in
the cause by the certifying of a statement of facts, as in
these rules provided. The certifying of a statement of
facts shall not prevent the subsequent certifying of other statements of facts, comprising other matters in the
cause, at the instance of the same or another party; but
only one statement of facts can be settled or certified
after the rendition of the final judgment in the cause.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951; rule
amended June 28, 1967, effective July 1, 1967.]
Exceptions: RCW 4.80.010-4.80.050.
Rule 1-36 Statement of facts-AmendmentsNotice to settle. A party desiring to have a statement of
facts certified must prepare the same as proposed by
Rule 1-37 Certificate, what to contain--How
signed. The judge shall certify that the matters and proceedings embodied in the statement are matters and
proceedings occurring in the cause and that the same
are thereby made a part of the record therein; and,
when such is the fact, he shall further certify that the
same contains all the material facts, matters and proceedings heretofore occurring in the cause and not already a part of the record therein, or such thereof as the
parties have agreed, to be all that are material therein.
The certificate shall be signed by the judge, but need
not be sealed; and thereupon all the matters and proceedings embodied in the statement of facts shall become and thenceforth remain a part of the record in the
cause, for all the purposes thereof and of any appeal
therein. The judge may correct or supplement his certificate according to the fact, at any time before an appeal is beard. And if the judge refuses to settle or certify
the statement of facts, or to correct or supplement his
certificate thereto, in a proper case, he may be compelled so to do by a mandate issued out of the supreme
court, either pending an appeal or prior thereto.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
(Rules for Supreme
c.ourt--p 13)
Rules for Supreme Court
Rule 1-38 Statement of facts-How certified upon
change or death of judge. If the judge before whom the
cause was pending or tried shall from any cause have
ceased to be such judge or shall die, or shall be absent
from the state or shall, by reason of disability, be unable to perform the duties of his office, which death,
absence or disability may be shown by affidavit of any
attorney in the cause served upon the attorney for the
adverse party and filed in the cause, within the time
within which a statement of facts, in a cause that was
pending or tried before him, might be settled and certified under the provisions of Rule 1-37, and before having certified such statement, such statement may be
settled by stipulation of the parties with the same effect
as if duly settled and certified by such judge while still
in office. But if the parties cannot agree, the successor
in office of the judge before whom the cause was pending or tried, or in case there be no successor, any judge
of, or assigned to, the county where the cause was
pending or tried, if such death, absence or disability
shall appear to his satisfaction, shall settle and certify
such statement in the manner in Rule 1-37 provided,
and in so doing he shall be guided, so far as practicable,
by the minutes taken by the judge before whom the
cause was pending or tried, or by the reporter, if one
was in attendance on the court or judge, and may, in
order to determine any disputed matter not sufficiently
appearing upon such minutes, examine under oath the
attorneys in the cause who were present at the trial or
hearing, or any of them. [Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951.]
Rule 1-39 How certified when cases consolidated.
When two or more causes shall have been consolidated
it shall not be necessary, for any purposes of an appeal
which concerns only one or more, and not all of the
original causes, to embody in a statement of facts any
fact, matter or proceeding that relates solely to an original cause with which the appeal is not concerned; and
the statement shall be certified as in these rules prescribed, notwithstanding the omission therefrom of such
facts, matters and proceedings. [Adopted July 2, 1969,
effective July 18, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951.]
Rule 1-40 Statement of facts. (a) Notice of filing.
When the proposed statement of facts is received by the
clerk of the superior court, the clerk shall promptly notify the supreme court of the filing.
(b) Use by Counsel. The copy of a proposed statement of facts which is served as in these rules prescribed, shall be returned to the party serving the same
upon the statement being certified, for his use in preparing his brief on appeal; and when he serves his brief
he shall at that time return such copy to the party on
whom it was originally served, and his brief shall not be
deemed served until such copy is so returned by him.
[Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969;
amended, adopted Feb. 24, 1972, deleting subdivision
(c), effective July l, 1972. Prior: Adopted Nov. 22, 1950,
(Rules for Supreme Court--p 141
effective Jan. 2, 1951; rule amended adding subdivisions
(a) and (c) adopted June 28, 1967, effective July I,
1967.]
Comment by the Court. Subdivision (c) follows and supersedes
RPPP 77.16 W (4).
Rule 1-41 Serving and filing of briefs on appeal. ( l)
Within forty-five days after the proposed statement of
facts shall be filed, as provided in Rule 1-34, or in those
cases in which a statement of facts is not necessary in
order to review a cause, within thirty days after the giving or service of notice of appeal, the appellant shall
serve on the respondent three copies of a printed brief
on the appeal upon his part, and shall file with the clerk
of the supreme court twenty-five copies thereof, together with proof or written admission of service, as aforesaid. Appellant's brief shall clearly point out each error
relied upon by him for a reversal, and shall conform to
such regulations of its contents in other respects, and its
form and size, as prescribed by Rule 1-42. Within thirty
days after the service of the appellant's brief, the respondent shall likewise serve and file with the clerk of
the supreme court, with like proof of service, a like
number of copies of a printed brief on the appeal upon
his part, which shall likewise conform to the rules of the
supreme court. Not less than twelve days prior to the
hearing, the appellant may also serve and file with the
clerk of the supreme court a like number of copies of a
printed brief, strictly in reply to respondent's brief. The
time for service and filing of briefs, as in this rule prescribed, may be extended by order of the chief justice
of the supreme court for good cause shown, or by stipulation of the parties concerned. Either party may, after
the filing of his briefs, and not less than one day prior
to the hearing of the appeal, submit to the supreme
court and to the adverse party, in accordance with Rule
I-42, a written or printed statement of any additional
authorities, with suitable comment thereon strictly in
support of the position taken in his brief hereinabove
required to be filed. But the appellant shall not be permitted to urge in any such reply brief or statement of
additional authorities, or on the hearing, any grounds
for reversal not clearly pointed out in his original brief.
(2) The clerk of the supreme court, on the Wednesday of the week preceding the hearing, shall deliver to
each of the justices a copy of each brief that has been
filed in the cause. The respondent's brief must be on file
with the clerk of the supreme court not less than twelve
days prior to the Wednesday of the week preceding the
week of the hearing. Reply brief in any cause must be
filed with the clerk of the supreme court not later than
Wednesday of the week preceding the date on which
the cause is assigned for hearing. Costs for briefs filed
later than such dates will not be allowed by the clerk,
unless the failure of either party to file his brief within
such time has been occasioned by the other party's failure to comply with this rule.
(3) The serving and filing of briefs in criminal causes
shall be in accordance with Rule I-46.
(4) If the appellant fail to file a brief, an affirmance
will be directed. If the respondent files no brief, the
cause will be deemed submitted upon its merits as to
Supreme Court Rules on Appeal (ROA)
him. A respondent who has not filed a brief shall not be
permitted to argue the cause orally without permission
of the court given before the cause is called for
argument.
(5) Any attorney authorized to practice in this state
may file a brief amicus curiae in any case pending in
the supreme court, after obtaining permission from the
chief justice so to do. Such briefs shall conform in all
respects to the requirements of Rule 1-42, and shall be
served on all parties and filed with the clerk of the supreme court not less than ten days prior to the hearing.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 20, 1950, effective Jan. 2, 1951; subd. (1)
amended, adopted Dec. 14, 1953, effective Mar. 1,
1954.]
Rule I-42 Production, style and content of briefs for
cases set for hearing on the appeal docket. (a)
Production.
Briefs for cases set for hearing on the regular appeal
docket shall be printed by either the letter-press or
photo-offset method. If the photo-offset method is employed, the copy may be either linotyped or typed.
(I) Paper Stock.
If both sides of pages are to be used, the text shall be
on 61J-pound substance paper; if only one side is to be
used, the text shall be on 20-pound or heavier substance paper. The paper shall be white opaque unglazed
paper. The cover shall be book or cover stock of a
weight heavier than the text and sufficient to prevent
the brief from sagging when stood on end. The color of
the cover shall be light so that the print will clearly
show and shall be: Gray for appellant's or petitioner's
opening brief; green for respondent's answering brief;
blue for appellant's or petitioner's reply brief; and yellow for other types of briefs. When completed the pages
of the brief shall measure 11 inches from top to bottom
and 8 112 inches from side to side (letter size).
(2) Ink.
Black ink shall be used for both cover and text.
(3) Format.
Pages shall be numbered as follows: The index, table
of cases, and table of authorities with small Roman
numbers; the text and appendix, if any, with Arabic
figures. The pages of an appendix may be consecutively
numbered after the text or numbered independently. If
numbered independently, the page numbers of the appendix will be preceded by the letter A. Paragraphs
shall be indented. Margins shall be: Sides 1 112 inches,
and top 1 1I4 includes. The text shall not exceed 8
inches top to bottom excluding page numbers.
(4) Type Composition.
(i) Linotyped copy.
Type shall not be smaller than 12 point, double leade?, 30 picas wide. 9uotations shall be in 12 point type,
smgle leaded and mdented two picas. Footnotes shall
be in type not smaller than 9 point and unleaded.
Headings shall be in bold face type. Left and right
margins shall be justified.
(ii) Typed copy.
Typewritten text shall not be smaller than pica type
equivalent to 11 point type, double spaced and typed
Rule 1-42
on lines not exceeding 5 inches in length. Quotations
shall be single spaced. Heading shall be in capital letters, underlined. Left-hand margins shall be justified.
(5) Binding.
Briefs shall be bound along the folded edge or left
side. Three saddle staples, machine sewing, or any permanent flush binding may be used. Ring plastic
fasteners are not acceptable.
(b) Typed Briefs.
Briefs for cases set for hearing on the regular appeal
docket may be typed and filed on behalf of any party
authorized to proceed in forma pauperis or by the state
or any municipal corporation, or any public officer
prosecuting or defending on behalf of such state or
municipal corporation.
( 1) Paper Stock.
The text of the brief shall be on 20-pound substance
opaque white unglazed paper. The cover shall be of
heavier book or cover stock and of a light color which
will clearly show the typing.
(2) Ink.
Black typewriter ribbons shall be used for both cover
and text.
(3) Format.
Pages shall be numbered as follows: The index, table
of cases, and table of authorities with small Roman
numbers; the text and appendix, if any, with Arabic
figures. The pages of an appendix may be consecutively
numbered after the text, or numbered independently. If
numbered independently, the page numbers of the appendix will be preceded by the letter A. Paragraphs
shall be indented. Margins shall be: Sides 1 112 inches,
and top 1 112 inches. The text shall not exceed 8 inches
top to bottom excluding page numbers.
(4) Type Composition.
Typewritten text shall not be smaller than pica type
equivalent to 10 point type, double spaced and typed
on lines not exceeding 5 inches in length. Quotations
shall be single spaced and indented 5 spaces. Footnotes
shall be single spaced. Headings shall be in capital letters, underlined. Left-hand margins shall be justified.
(5) Binding.
Typed briefs shall be stapled with 3 staples along the
left side.
(6) Method of Production.
One side of the paper shall be used. Copies shall be
produced by some method more legible and permanent
than carbon except carbon copies may be filed by an
indigent appealing a criminal conviction or a denial of
a petition for writ of habeas corpus pro se, or by an indigent appellant filing a supplemental brief. Examples
of acceptable copy methods are permanent photocopy
or mimeograph.
(c) Cover and Title Sheets.
The cover and title sheets shall be as follows and appropriately spaced to fill the sheet of paper within the
margin requirements except the cause number shall be
printed as close as possible to the top, right-hand corner of the page:
(Rules for Supreme Court--p 15)
Kules tor Supreme Court
No.
(Supreme Court No.)
In the SUPREME COURT of the
State of Washington
(Superior court title except parties shall be designated "Appellant" or "Respondent," or, if not parties on appeal, "Plaintiff'' or "Defendant.")
APPEAL FROM THE
SUPERIOR COURT
FOR------------------------------ COUNTY
THE HONORABLE _________________ JUDGE,
BRIEF OF _______________________________ _
Firm Name,
Counsel Responsible,
Address and Phone Number
of counsel filing brief.
(d) Citations.
Citations shall be in conformity with the form used in
current volumes of Washington Reports. Decisions of
the Supreme Court and of the Court of Appeals shall be
cited to the official report thereof.
(e) Reference to the Record.
"St." shall be used for "Statement of Facts," 'Tr."
for "Transcript," and "Ex." for "Exhibits." A reference
to the record shall clearly identify the portion of the
record by one of the above abbreviations and in the
case of the statement of facts or transcript, the page
number. A reference to an exhibit shall include the
identifying letter or number assigned. A reference to
opposing counsel's brief shall set forth the page
number.
(f) Length of Brief.
Except when authorized by the chief justice, briefs in
excess of the number of pages indicated below, including the appendix, will not be accepted by the clerk for
filing:
Opening and answering briefs
Printed _____________________ - - - - - - - - - - - - - - 50
Multilithed or typed __________ - - - - - - - - - - - - - - 62
Reply briefs
Printed ____________ - ______ - - - - - - - - - - - - - - - - - 8
Multilithed or typed ________________________ 10
Costs shall not be recovered for pages in excess of those
set forth above even if authority for the filing of a brief
with more pages has been granted.
(g) Contents.
.
In addition to the title and/or cover pages, bnefs for
the regular appeal calendar shall consist of the following subdivisions, titled with distinctive type and in the
order indicated:
(I) Appellant's or Petitioner's Opening Brief.
(i) Tables of authority.
Authority cited shall be subdivided under: Table of
cases, constitutional provisions, statutes, texts, and other authority. Cases shall be listed alphabetically with
!Rides for Supreme Coort--p 16)
dates and citations. The dates and editions shall be indicated for texts. The page reference where ~ited in the
brief shall be indicated opposite each authonty.
(ii) Statement of the case.
.
Under this heading the following shall be mcluded: A
brief statement of the nature of the case; a short resume
of the pleadings and proceedings; the nature _of the
judgment or appropriate ruling or order from which the
appeal is taken; a clear and concise statement of the
facts appropriate to an understanding of the nature of
the controversy, with page references to the record.
(iii) Assignments of error.
.
Each error relied upon shall be clearly pomted out
and discussed under appropriately designe~ headings.
Where there are several errors relied on which present
the same general questions, they may be discussed together. Whenever there is involved ~n .any appe~ a ruling or decision on the inclusion, 0ID1.ss1on, s~ffic1ency or
insufficiency of an instruction or mstruct10ns, as the
case may be, the instruction or instructions shall be set
out in the brief in full and reference made thereto by
number in the "assignments of error." Whenever error
is assigned to any finding or findings of fac~, so ~uch of
the finding or findings made or refused as is claimed to
be erroneous, shall be set out verbatim in the brief and
reference made thereto by number the "assignments of
error." No assignment of error is require~ :whe~ aye_titioner is seeking a writ involving the ongmal JUnsd1ction of this court.
(iv) Argument of counsel.
.
.
(2) Respondent's Brief.
The brief of respondent, in answer to a bn~f provided
for in paragraph (1) above, shall consist of the
following:
(i) Tables of authority.
(See paragraph (g)(l)(i) above.)
(ii) Statement of the case.
If the respondent does not accept appellant's or petitioner's statement of the case, he shall point out under
the title "Counter-statement of the Case," such
insufficiencies or inaccuracies as he believes exist. He
may also set forth relevant facts he believes material to
the cause, with supporting references to the pages of t~e
record, but without unnecessary repetition of matters m
appellant's or petitioner's statement.
(iii) Argument of counsel.
Argument shall be arranged and captioned under the
following captions in the order listed:
Argument in support of judgment;
Argument in answer to appellant.
(h) Additional Authorities.
Additional authorities submitted in accordance with
Rule 41 shall be produced in accordance with paragraphs (a) or (b) above except the cover page shall be
white. Twelve copies shall be filed with the court and
not less than one copy served on the adverse party.
[Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969; subd.
(b) amended, adopted May I, 1970, effective July 1,
1970; subd. (b) amended, adopted Nov. 29, 1971, effective Jan. I, 1972; amended, adopted May 8, 1972, effective July l, 1972. Prior: Adopted Nov. 22, 1950,
Rule 1-45
Supreme Court Rules on Appeal (ROA)
effective Jan. 2, 1951; subd. (a)(7) amended, adopted
Nov. 17, 1952, effective Jan. 2, 1953; subd. (c) amended, adopted Dec. 2, 1958, effective Jan. 12, 1959; subd.
(g) added, adopted Nov. 12, 1959, effective May 1,
1960; subd. (a)(l), (a)(2), (a)(3), and (a)(4) amended,
adopted Nov. 2, 1960, effective June 2, 1961; rule form
approved, adopted Dec. 6, 1960, effective Jan. 2, 1961;
rule revised June 28, 1965; Item (g)(l)(iv) added Dec. 6,
1965, effective Jan. 2, 1966.1
Rule 1-43 Errors considered. No alleged error of the
superior court will be considered by this court unless
the same be definitely pointed out in the "assignments
of error" in appellant's brief. In appeals from all actions
at law or in equity tried to the court without a jury, the
findings of fact made by the court will be accepted as
the established facts in the case unless error is assigned
thereto. No error assigned to any finding or findings of
fact made or refused will be considered unless so much
of the finding or findings as is claimed to be erroneous
shall be set out verbatim in the brief. No error assigned
to the inclusi_on, omission, sufficiency, or insufficiency
of an instruction or instructions, given or not given, will
be considered unless such instruction or instructions, as
the case may be, shall be set out in the brief in full.
Provided, that the objection that the superior court had
no jurisdiction of the cause or that the complaint does
not state sufficient facts to constitute a cause of action,
or that the supreme court has no jurisdiction of the appeal, may be taken at any time. [Adopted July 2, 1969,
effective July 18, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951; rule amended, adopted Nov. 17,
1952, effective Jan. 2, 1953.]
Exceptions: RCW 4.80.010-4.80.050.
time prior to the hearing of the appeal. And in case the
respondent deems any part of the files or record not already sent up to be material to the review of the matters embraced within the appeal, he may cause the
clerk, in like manner, at his expense, to prepare, certify,
and send up a supplementary record on appeal embracing such omitted files or records, or copies thereof,
at any time prior to the hearing of the appeal. Any such
supplementary record or records, if filed in the supreme
court prior to the hearing of the appeal, shall be considered by the court as part of the record on appeal, so
far as the same may be material to a review of the matters embraced within the appeal. When the review of an
original paper in the cause may be important to a correct decision of the appeal, the superior court or a judge
thereof may order the clerk of the superior court to
transmit the same to the clerk of the supreme court and
the same shall be transmitted accordingly, and shall be
under the control of the supreme court.
(2) Transcripts may be printed or typewritten, or may
be prepared by photostatic copies of the original records in the office of the clerk of the superior court. If
typewritten, the paper shall be of good quality of the
size of legal cap, and only a black record ribbon shall
be used. If printed, there shall be a compliance with the
rule with reference to printed briefs as to size, spacing,
and print. The transcript shall be free from
interlineations and erasures, and shall be paged and
prefixed with an alphabetical index of its contents,
specifying the page of each separate paper, order, or
proceeding.
(3) Transcripts must be certified by the clerk of the
superior court in substantially the following form:
STATE
OF
WASHINGTON,
COUNTY
OF
- - ________ , SS.
Rule 1-44 Transcript on appeal. (l) Within fifty-five
days after an appeal shall have been taken by notice, as
provided in Rule 33, the clerk of the superior court shall
prepare, certify, and file in his office, at the expense of
the appellant (except in criminal appeals prosecuted in
forma pauperis, and in such cases at the expense of the
county), a transcript containing a copy of so much of
the record and files as the appellant shall deem material
to the review of the matters embraced within the appeal. This rule shall not apply to appeals on agreed
statements of facts as provided in Rule 34(4). Within
sixty days after the appeal shall have been taken by notice, as aforesaid, the clerk of the superior court shall, at
the expense of appellant, send the transcript to the supreme court. The papers and copies so sent up, together
with any thereafter delivered, as hereinafter provided,
shall constitute the record on appeal. Any statement of
facts on file when the record is so sent up shall be sent
as a part thereof, unless the superior court or a judge
thereof has not yet passed on an application for the
settlement and certifying of such statement. In the event
any statement of facts shall be filed or certified, or any
other addition to the records or files shall be made, after the record on appeal shall have been sent up, a supplementary record on appeal, embracing so much
thereof as the appellant deems material or a copy
thereof, may be prepared, certified, and sent up at any
I, _______________ , Clerk of the __________ Superior Court, do hereby certify that the foregoing is a full,
true, and correct transcript of so much of the record
and files in the above entitled cause as I have been directed by _______________ to transmit to the Supreme
Court.
In testimony whereof, I have hereunto set my hand
and the seal of said Superior Court this _____ day of
----------· 19 __ ,
(SEAL)
------------------ Clerk
By _____________ Deputy.
(4) At the time the transcript is completed and certified, the appellant shall mail to each of the prevailing
parties in the trial court, or his counsel, a copy of the
clerk's index to the transcript. [Adopted July 2, 1969,
effective July 18, 1969; amended, adopted Sept. 3, 1969,
effective Sept. 12, 1969; subd. (1) amended, adopted
Nov. 29, 1971, effective Jan. 1, 1972. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951, subd. (4) added,
adopted Dec. 2, 1954, effective Jan. 3, 1955.]
Exceptions: RCW 4.80.010-4.80.050.
Rule 1-45 Omissions from the record. If any paper,
exhibit, or other part of the record directed to be sent
up, has been omitted, such omission may be supplied
[Rules for Supreme Court--p 17)
ft.UIC) IUI
~U)llt:IUt:
by any party, without leave, at any time before the
cause is submitted to the court; notice of which shall be
given all other parties. After a cause has been submitted, such omission may be supplied only by leave of
court. [Adopted July 2, 1969, effective July 18, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 1-46 Appeals in criminal cases. (a) Superior
Court Procedure at Time of Sentencing. The superior
court shall, at the time of sentencing, unless the judgment and sentence are based on a plea of guilty, advise
the defendant
(1) of his right to appeal,
(2) that unless a written notice of appeal is filed in
accordance with subparagraph (b)(l) of this rule, the
right of appeal is irrevocably waived,
(3) that the superior court clerk will, if requested by
defendant appearing without counsel, file a notice of
appeal in his behalf, and
(4) of his right, if unable to pay the costs thereof, to
have counsel appointed and portions of the trial record
necessary for review of assigned errors transcribed at
public expense for an appeal.
These proceedings shall be made part of the record.
(b) Notice of Appeal.
( l) Filing. In order for the Supreme Court to obtain
jurisdiction of an appeal in a criminal cause the original
and a copy of a written notice of appeal must be filed
with and the filing fee paid to the clerk of the superior
court unless the appellant is authorized to proceed in
forma pauperis, within thirty (30) days. after entry of t~e
order, judgment, or decree from which the appeal 1s
taken or, in the event of a motion timely made subsequent to judgment which, if granted, would modify or
delay the effect of the judgment, within thirty (30) days
after the entry of an order granting or denying the motion. The clerk of the superior court shall forthwith file
the copy of the notice of appeal wi~h the Cl~rk of th.e
Supreme Court and transmit therewith the filmg fee, 1f
any. Failure of the superior court clerk to file the copy
with, and forward the filing fee, if any, to the Clerk of
the Supreme Court, will not affect the validity of the
appeal.
(2) Contents. A notice of appeal shall be in substantially the following form:
(Caption--same as in Superior Court)
NOTICE IS HEREBY GIVEN TO: (Other parties of
record) represented by (names and addresses of counsel) that (name of appellant) appeals to the Supreme
Court from the (order, judgment, or decree) entered by
the Superior Court of the State of Washington for
__________ County on (month, day, year) in
__________ County Cause No.-----·
The defendant is presently in confinement at
---------------·(or) The defendant has been released
on bail and his address is _______________ .
(Roles for Supreme Court--p 18)
'-'UWl
DATED this _____ day of __________ ,-----·
(Signature)
Address and telephone
number of counsel for appellant or appellant if pro
se, or clerk if notice prepared in accordance with
(a)(3) above.
(3) Service. A party filing a notice ~~appeal shall notify all other parties in the case by mailing a copy of th.e
notice of appeal to the party's attorney of record, or, 1f
the party is not represented by an attome~, th~n to the
party at his last known address. Such i:iotificatlon shall
be mailed on the day notice of appeal is filed and shall
be sufficient notwithstanding the oath of the party, or
his attorney, prior to the giving of the n?tific~tio~.
Proof of service need not be filed unless notification is
challenged.
(c) Notice of Co-Party or Cross-Appeal. A co--p~rty
who did not join in the notice of appeal but who ?eslfes
to join the appellant or a respondent who deslfes to
prosecute a cross-appeal shall give notice in accordance
with ROA I-33.
(d) Responsibility after Notice of Appeal.
(I) Superior Court Clerk. Immediately afte~ the giving of a notice of appeal, the clerk of the supenor court,
at the expense of the public prosecution, shall prepar.e
and transmit to the Clerk of the Supreme Court a certified copy of the judgment or order appealed from, together with a certified copy of the written notice of
appeal. The clerk of the superior court shall notify the
Clerk of the Supreme Court as soon as the proposed
statement of facts is filed. Either appellant or respondent may have transmitted to the Supreme Court such
additional portions of the record and files in the cause
as they may believe have a bearing upon the issues
involved.
(2) Superior Court.
(i) Determination of Resources and Costs. If the defendant files a timely notice of appeal or is a respondent
and petitions the superior court for the expenditure of
public funds for his costs on appeal, the superior court
shall make findings as to the defendant's ability to pay
and enter an order authorizing the expenditure of public funds for those costs allowable under ROA I-47
which the defendant cannot pay. If the defendant is
found unable to pay the filing fee, the order ~hall al~o
include authority to proceed in forma paupens. Public
funds for the payment of the statement of facts shall be
limited to portions of the record necessary for review of
assignments of error. Assignments of error so patently
frivolous that reasonable minds could not differ as to
their frivolity shall not be considered. If the defendant
desires, but is unable to pay counsel, the superior court
shall appoint counsel, preferably trial counse_I. If, in the
discretion of the trial court, other than tnal counsel
should be appointed, trial counsel shall be retained as
co-counsel. No counsel shall withdraw without written
authority of the trial court.
Supreme Court Rules on Appeal (ROA)
(ii) Denial of Costs. If a petition for the expenditure
of public funds is denied in whole or in part, the defendant shall be advised of his right to have the order of
denial reviewed by petitioning for a writ of certiorari
and shall be advised of the limitations of time for filing
such a petition.
(iii) Jurisdiction for Perfecting Appeal. The superior
court shall retain jurisdiction for the purposes of fixing
of bail, certification of the statement of facts, and appointment or withdrawal of counsel except a motion to
withdraw as counsel for appellant on the ground that
counsel can find no grounds on which he can in good
faith base an appeal.
(3) Reports by Counsel. Counsel for defendant on
appeal shall keep the Supreme Court currently advised
of his appearance or withdrawal and the address of the
appellant. Court appointed counsel shall serve the defendant with a copy of the brief prepared in his behalf
and file proof of service with the Supreme Court.
(4) Supplemental Appellant's Brief. The Chief Justice
may authorize the d.efendant to file a brief supplementing the brief of his counsel if good cause is shown and
the motion for authority to file the brief is received
within fifteen (15) days after the brief of his counsel is
filed.
(e) Procedure to Perfect Appeal.
(1) Statement of Action. Within fifty-five (55) days
after the filing of the notice of appeal, unless the Chief
Justice shall previously order otherwise, the appellant or
his counsel must file a statement that:
(i) Arrangements have been made with the court reporter to transcribe any statement of facts necessary for
the appeal, and for the payment thereof, and with the
derk of the superior court for the transcript which is to
be filed pursuant to ROA 1-44, or
(ii) A motion has been made in the superior court for
a determination pursuant to (d)(2)(i) above.
Failure to comply with provisions of this subsection
may be grounds for imposition of terms or dismissal
upon the motion of the parties or the Clerk of the Supreme Court.
(2) Statement of Facts.
(i) When Transcribed. When the proposed statement
of facts is received by the appellant, he shall file the
original with the clerk of the superior court, serve the
copy on one of the adverse parties, and file proof of
such filing and service with the Clerk of the Supreme
Court. Notice of the filing of the statement of facts shall
also be served on all other adverse parties. Provided,
that the Chief Justice in his discretion may extend the
time for the filing of the proposed statement of facts to
a day certain if good cause be shown and the application for extension of time be made before the time for
filing has expired. If proof of filing and service of the
statement of facts is not filed within ninety (90) days,
plus any additional time allowed by the Chief Justice,
after the notice of appeal was filed with the clerk of the
superior court, the Clerk of the Supreme Court shall
order counsel for the appellant or the court reporter, or
both, to appear on the next motion day when the matter may be heard, unless the proposed statement of
Rule 1-46
facts is filed by the Friday preceding the motion hearing, to explain the cause of the delay.
(ii) Time Requirements. The statement of facts must
be filed within ninety (90) days after the entry of the
judgment or order from which the appeal is taken unless the time is extended for good cause by the Chief
Justice. If the statement of facts is not timely filed, the
Clerk of the Supreme Court shall order counsel for the
appellant or the court reporter, or both, to appear on
the next motion day when the matter may be heard unless the proposed statement of facts is filed by the Friday preceding the motion hearing, to explain the cause
of the delay.
(3) Appellant's Opening Brief. Within thirty (30) days
after the date the proposed statement of facts is filed,
the appellant shall serve on the respondent two copies
and file with the Clerk of the Supreme Court 16 copies
of his opening brief on appeal.
(4) Supplemental Brief. If an indigent defendant is
authorized by the Chief Justice to supplement the brief
of his appointed counsel, his appointed counsel shall
have the copy of the statement of facts served on the
defendant within ten (10) days after service of the appellant's opening brief. Proof of service will be promptly filed with the Supreme Court. The defendant will
provide appointed counsel a copy of his supplemental
brief for reproduction within sixty (60) days after the
statement of facts was served upon him. The copy of
the statement of facts will be returned to his appointed
counsel with the supplement brief. If the copy of the
statement of facts is not returned the supplemental brief
will not be reproduced and the appeal will proceed as if
a supplemental brief had not been authorized.
(5) Respondent's Answering Brief. Respondent shall,
within thirty (30) days after service by appellant of his
opening brief or, if a supplemental brief is authorized,
within thirty (30) days after service by appellant of his
supplemental brief, serve on the appellant not less than
two copies and file with the Clerk of the Supreme Court
16 copies of his answering brief.
(6) Appellant's Reply Brief. Not less than five (5)
court days prior to the hearing, appellant may also
serve on the respondent two copies and file with the
Clerk of the Supreme Court 16 copies of a reply brief.
(7) Transcript and Statement of Facts. Not later than
one (0 week after service of respondent's brief, appellant will cause the transcript and statement of facts to
be filed with the Clerk of the Supreme Court.
(8) Extensions of Time. Time limitations as set forth
in this paragraph may be extended by order of the
Chief Justice, for good cause shown by affidavit, provided the motion for extension is made before the time
has expired. Stipulation of counsel does not constitute
good cause.
(f) Reproduction of Briefs in Indigent Cases. When
public funds have been authorized for the costs of briefs
filed on behalf of a defendant, the briefs shall be reproduced by the Supreme Court. Within the time allowed,
an original copy of such briefs ready and suitable for
photocopying shall be filed with the Clerk of the Supreme Court. The clerk shall reproduce the briefs and
make the following distribution:
(Rules for Supreme Court-p 19)
ft.Wes mr "upreme \.,Oun
RUIC.I~
To Whom Sent
Defendant
Counsel for Defendant
Opposing Counsel
State Law Library
Supreme Court
Number of Copies
l
2
2
5
As required
(g) Dismissal for Want of Prosecution. When time
requirements set forth in section (e) are not met by the
appellant, the Clerk of the Supreme Court shall note the
cause on the next motion docket for dismissal for want
of prosecution and give notice of the hearing date of the
motion.
(h) Applicability of Civil Rules. The practice and
procedure, except as in these rules otherw!se pr.ovided,
shall be, as nearly as possible, the same as m clVll cases.
[Adopted July 2, 1969, effective July 18, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969;
amended, adopted Mar. 7, 1973, effective July l, 1973.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951;
subd. (2) amended, adopted Nov. 17, 1952, effective
Jan. 2, 1953; subd. (11) amended, adopted Dec. 14,
1953, effective Mar. l, 1954; rule amended, adopted
Dec. 12, 1956, effective Mar. l, 1957; subd. (2) amended, adopted June 18, 1957, effective June 18, 1957;
adopted May 4, 1966, effective June l, 1966; subd. (a)
amended, adopted July 19, 1966; subd. (c)(l) amended,
adopted July 19, 1966; subd. (d)(l) and (2) amended,
effective Dec. 13, 1968.]
Rule 1-47 Reimbursement of costs--Indigent
criminal appeals. (a) Authorized Claims.
(1) Superior Court Clerk. The superior court clerk
may submit a bill for the statutory allowance for pr~p­
aration of a transcript and for the act_ual amount~ i_ncurred for transmittal of the record, bnefs and exh1b1ts
to the supreme court.
(2) Court Reporter. The reporter may submit a bill at
the rate of$ l.50 per page for the original and one copy
of that portion of the statement of facts ordered by the
superior court. The statement of facts shall be on
8 112" by 13" paper; margins shall be lined 1 3/8"
from the left and 5/8" from the right side of the page;
indentations from the left lined margin shall be not
more than one space for "Q" and "A", three spaces for
the body of the testimony, eight spaces for commencement of a paragraph, and ten spaces for quote~ authority; space between lined margins shall be used !n so_ far
as practicable; typing shall be double spaced thirty Imes
to a page except comments by the ~epor!er shall be si_ngle spaced. Type shall be ten-pomt pica type or its
equivalent. Additional copies when ordered shall be
produced by the most economical method.
(3) Counsel. Counsel for defendant may submit a bill
for:
(i) the actual expenses not including ordinary overhead incurred by counsel for perfecting the appeal including travel accompli~hed or to be accomplished not
to exceed amounts allowable to state employees for
travel by private vehicle, and
(ii) professional services.
(b) Conditions Precedent to Recovery.
{Rules for Supreme Court--p 20)
(I) Order of Indigency. No costs shall be recov~red
unless there is on file in the supreme court a. ~rtified
copy of an order of the superior court authonzmg !he
expenditure of public funds for the purpose for which
costs are claimed.
(2) Appointment of Counsel. No fe~s or co~ts of
counsel shall be recoverable unless there is on file m the
supreme court a certified copy of an ord~r of .th~ superior court appointing the counsel w~o is claimmg recovery of fees or costs incident to review.
(c) Form.
.
(1) Copies. Each cost bill shall be filed with the ~lerk
of the supreme court in an original and three duplicate
copies.
.
(2) Social Security Number. Each dauna~t, exce~t
the superior court clerk, shall set forth his social secunty number under his signature.
(3) Court Reporter and Clerk. A cost bill submitted
id~nt~e~ by the
by the court reporter or clerk shall
supreme court case caption and ~nt1t~ed Cnmmal Appeal Invoice Voucher." It shall itemize t~~ number of
pages, number of lines per page, and billing rate per
page. It shall be signed by the claimant. It shall be certified in the following form:
.
.
(i) Clerk's Cost Bill. The clerk shall certify his cost
bill as follows: "I hereby certify that the items and .totals listed herein are correct charges for the preparation
or actual costs of transmittal of portions of the record
and files ordered by counsel or the trial court in the
above-entitled appeal."
(ii) Reporter's Cost Bill. The superior court clerk shall
certify the reporter's cost bill as follows: "I hereby certify that the amount claimed in this bill is for t~at portion of the statement of facts ordered by the tnal court
and the typing of the statement of facts and computing
of the bill are in accordance with ROA I-47(a)(2)."
(4) Counsel. A cost bill submitted by counsel for the
defendant shall be in the following form:
(i) identified by the supreme court case caption,
(ii) entitled "Cost Bill of Counsel for Defendant,"
(iii) itemized as to actual hours expended by counsel
in preparation of the appeal and amount of coi;rip~nsa­
tion claimed therefor, expenses paid by counsel mcident
to appeal, actual travel expenses of counsel incurred or
to be incurred for argument in the supreme court, and
(iv) subscribed with the affidavit of counsel that the
items and totals listed therein are correct charges for
actual labor or costs necessarily incident to the proper
consideration of the appeal by the supreme court.
(d) Time of Filing Cost Bills.
( l) By Court Reporter and Clerk. The reporter and
clerk may file a cost bill as soon as the services for
which the claim is submitted have been performed, but
not later than ten days after the filing of the opinion.
(2) By Counsel. Counsel for defendant shall file his
cost bill not later than ten days after the opinion in the
case becomes final as provided in SAR 15. Only one
cost bill shall be filed by counsel.
(e) Disallowance of Costs.
(1) Waiver of Costs. When a cost _bill ~as not been
filed within the time allowed, such claim will be.deemed
to have been waived.
?e
Supreme Court Rules on Appeal (ROA)
(2) Improper Brief. When, in the opinion of the supreme court, a brief by counsel is improper in. su.bstance, or unnecessarily long, the court may, m its
discretion, disallow all or a portion of the costs thereof
claimed by counsel.
(3) Unnecessary Delay. When, in the opinion of the
supreme court, the court reporter or counsel has been
dilatory, the court may, in its discretion, disallow all or
a portion of the cost bi\\.
(f) A!lowance of Costs.
( 1) Court Reporter and Superior Court Clerk. Within
ten days after a cost bill of the court reporter or superior court clerk has been filed in the supreme court, the
clerk of the supreme court shall either approve it for
payment or notify the claimant of his objections to its
allowance by a Clerk's Ruling. Unless the Claimant
notes exceptions to the Clerk's Ruling within ten days
for hearing on a regular motion day, the amount will be
deemed approved in accordance with the Clerk's
Ruling.
(2) Counsel. The supreme court clerk shall present
counsel's cost bill to the supreme court on the day of
argument. The supreme court, in its discretion, will
make such allowance as it determines is fair and equitable, consistent with funds available and projected
budgetary requirements. Allowances shall be made by
order of the chief justice. If all or a portion of the
counsel's claim be disallowed by the order, notice of
such disallowance shall be transmitted to the claimant
by the supreme court clerk. Unless exceptions to the
order are noted by the claimant within ten days after
the date of the \etter of notification for hearing on a
regular motion day, exceptions will be deemed to have
been waived. [Adopted July 2, 1969, effective July 18,
1969; amended, adopted Sept. 3, 1969, effective Sept.
12, 1969; amended, adopted Aug. 5, 1970, effective July
I, 1969; amended Aug. 24, 1972, effective Sept. I, 1972;
amended, adopted Nov. I, 1973, effective Jan. I, 1974.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951,
2nd para. amended, adopted Dec. 6, 1960, effective Jan.
2, 1961; adopted May 4, 1966, effective June I, 1966;
subd. (a)(3) amended, adopted July 19, 1966; subd.
(b)(4)(iii) amended, adopted July 19, 1966.]
Defendant's fee, forma pauperis: RCW 2.32.080.
Habeas corpus, proceeding in forma pauperis: RCW 7.36.250.
Rule 1-48 Proceedings in case of reversal in criminal
cases. When in a criminal action the judgment against
the defendant is reversed and it appears that no offense
whatever has been committed, the supreme court will
direct that the defendant be discharged; but if it appear
that the defendant is guilty of an offense although defectively charged in the indictment or information, the
supreme court, if the defendant is in prison, will direct
the keeper of the p\ace of confinement to cause the
prisoner to be returned to the sheriff of the proper
county, there to abide the order of the superior court
thereof; and such keeper shall be entitled to the usual
fees therefor. [Adopted July 2, 1969, effective July 18,
1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
1951.]
Rule 1-50
Rule 1-49 Arguments. No more than two counsel on
a side will be heard upon the argument, unless the court
shall direct otherwise: Provided, That each party who
has appeared separately and by different counsel in the
superior court shall, if he so desire, be heard through
his own counsel. The counsel for the appellant shall be
entitled to open and close the argument upon the m~rits
in all cases. In argument of motions, except ~o.t1ons
heard with the merits of the cause and all prehmmary
or collateral matters, the counsel for the party having
the affirmative of the issue shall open and close. Unless
extended upon application, arguments _in. causes appearing on the regular calendar shal~ be hm1ted to onehalf hour on a side: Provided, That m causes where two
or more appellants or two or more responden.ts appear
separately in this court and file separate bnefs, each
may be heard as the court may permit, but in no case
will more than two hours be allowed for arguments.
Arguments upon motions shall be limited to one-q~ar­
ter of an hour on a side. Applications for an extens10n
of time for argument shall be made to the chief justice
in writing not less than ten days prior to the date of the
hearing.
The time allowed for argument in cases wherein the
death penalty has been imposed is not limited. [Adopted July 2, 1969, e1fectiv·e July IS, 1969; amended,
adopted Sept. 3, 1969, effective Sept. 12, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951; rule
amended, adopted Dec. 14, 1953, effective Mar. I,
1954.]
Rule 1-50 Petitions for rehearing. Any party to an
appealed case may, after an opinion has been filed,
present to the court, in the manner and time as hereinafter provided, a petition for rehearing.
Every petition for rehearing shall be filed within thirty days after the opinion in the cause has been filed. No
more than one petition shall be filed by the same party.
The filing of a petition for rehearing shall suspend the
decision of the court until the cause is finally
determined.
When a rehearing is granted, the clerk shall notify
counsel for the respective parties thereof.
When an answer to a petition for rehearing is called
for by the court, the clerk shall mail to the attorney of
the party from whom the answer is required a copy of
the original petition, with a request that he file an answer thereto within fifteen days and serve a copy thereof on opposing counsel.
Three copies each of the petition for rehearing and of
the answer thereto, if called for, shall be filed with the
clerk.
Petitions for rehearing and answers thereto may be
printed, mimeographed, or typewritten. If a petition for
rehearing be granted, the court may require additional
copies of the petition, answer and briefs to be supplied
in the manner indicated by the court. [Adopted July 2,
1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951; rule amended, adopted
Nov. 17, 1952, effective Jan. 2, 1953.]
!Rules for Supreme Court---;» 211
1'.Ult: I-:J I
KUies
rnr
~upreme
Rule 1-51 Motion to dismiss. Any respondent may
move the supreme court to dismiss an appeal either on
the ground that the court has no jurisdiction of an appeal from the judgment or order from which the appeal
was taken or that the notice of appeal was not served or
filed within the time limited by rule, or is insufficient, or
that the appeal bond was not filed within the time limited by rule, or is not in form or substance such as to
render the appeal effectual, or that the appellant's brief
has not been served or filed, or that the record on appeal has not been sent up, or that the appeal has not
been diligently prosecuted or on any ground going to
the merits of the further prosecution of the appeal or on
any two or more of the grounds hereinabove mentioned; and there may be combined with a motion to
dismiss, a motion to affirm the judgment or order appealed from, or a motion for damages on the ground
that the appeal was taken merely for delay, or was
manifestly unauthorized by rule, or both such motions.
A general appearance in the supreme court shall not be
a waiver of the right to make any motion herein authorized. [Adopted July 2, 1969, effective July 18, 1969.
Prior: Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 1-52 Hearing and disposition of motion to dismiss. If the supreme court on the hearing of any such
motion or motions shall find the grounds or any thereof
alleged, for the same, to be well taken and true in effect,
except lack of jurisdiction, the court may grant the
same in whole or in part, but when any such motion
does not go to the substance of the appeal, or to the
right of appeal, and the court shall be of the opinion
that the moving party can be compensated in costs, or
by the imposition of other terms for any delay of the
appellant which is made the ground of any such motion
(except a failure to take the appeal within the time limited by these rules) the court, in its discretion, may deny
the motion on such terms as may be just. The court
shall upon like terms allow all amendments in matters
of form, curative of defects in proceedings to the end
that substantial justice be secured to the parties, and no
appeal shall be dismissed for any informality or defect
in the notice of appeal, the appeal bond, or the service
or filing of either thereof, or for any defect of parties to
the appeal if the appellant shall forthwith, upon order
of the supreme court, perfect the appeal. [Adopted July
2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22,
1950, effective Jan. 2, 1951.]
Rule 1-53 Motions-How made and heard. (a)
Motion Days. The first and third Fridays of each
month the court sits for hearing of cases on the regular
appeal calendar during a session are designated as motion days.
(b) Alternative Presentation. Motions to strike any
portion of the transcript or the statement of facts, or to
dismiss or affirm upon the record, and all technical motions tending to prevent the hearing of the cause upon
its merits, may be made in writing and noticed for some
motion day, or the same may be made and plainly stated in the brief of the moving party and heard at the
time the cause is assigned upon the calendar.
(RuJes for Supreme Court--p 22)
Lonn
(c) Notice Motions. All other motions in appealed
causes must be made in writing and noticed for some
motion day. The motions referred to in this and the first
clause of the preceding paragraph will be known as
"noticed motions."
(d) Filings and Calendars. At least ten days before
the day fixed for the hearing of such a motion, the motion and notice, with proof of service, and briefs in
support thereof, must be filed with the clerk. The clerk
will prepare a calendar of noticed motions for each
motion day.
(e) Briefs. Briefs in support of any motion are required in all cases. One copy of the brief of the moving
party shall be served upon counsel for the opposing
party, and the original and five .c<?pies there~f in a ~e­
partmen tal hearing, and the ongmal and nme . copies
thereof in a hearing en bane, shall be filed with the
clerk at least ten days before the time the motion is to
be heard. The opposing party, if he appears, shall serve
a copy of his brief on the moving party, and file with
the clerk a like number of copies at least on or before
the Wednesday preceding the day of hearing. Briefs
may be printed or typewritten and shall comply with
Rule on Appeal 42, insofar as applicable. If typewritten,
the copies must be clearly legible. Failure to comply
with the provisions of this rule relating to briefs may
result in striking the motion, hearing it without oral argument by the opposing party, if he has failed to comply herewith, or continuing it until a later motion day.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951; subds.
(a), (d) and (e) amended, adopted Nov. 2, 1960, effective Jan. 2, 1961 ; rule form approved, adopted Dec. 6,
1960, effective Jan. 2, 1961.]
Rule 1-54 Notices of motions. All notices of motions
not given in the briefs must be in writing; and the necessary time of notice shall be not less than ten days,
unless a ·different time is fixed by special order of this
court. But where the service of a notice is made by mail
between different places, the time of notice above mentioned shall be thirteen days. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Nov. 22, 1950,
effective Jan. 2, 1951.l
Rule 1-55 Costs on appeal and cost bills. (a) Costs.
(I) Allowance. In cases disposed of by an opinion of
the supreme court, costs on appeal will be taxed by the
clerk in accordance with this rule. In cases disposed of
by order, the court has discretion to award costs.
(2) Items. The costs which may be recovered are: The
fee of the clerk of the supreme court; the fee of the
clerk of the superior court for preparing, certifying, and
transmitting to the supreme court the transcript on appeal, or any supplementary transcript, and the statement of facts, including all exhibits; statutory attorney's
fees; the actual amount incurred in the printing of forty
briefs; the actual amount incurred, by the appellant, as
stenographer's fees for preparing the statement of facts
and one copy; and the actual cost of the premium on
an appeal and/or supersedeas bond.
Supreme Court Rules on Appeal (ROA)
(3) Disallowance of Printing. When, in the opinion of
the supreme court, a brief is improper in substance or
when a statement of facts is improper in substance or
unnecessarily long, with regard to the issues raised on
the appeal, the court may, in its discretion, order the
disallowance as costs of any part or the whole of the
disbursements for printing or preparing the same. Reference is also made to Rule I-41 on disallowance of
costs on briefs filed late.
(b) Party Entitled.
(1) Prevailing Party--Discretion. When the judgment of the superior court is affirmed or reversed, the
prevailing party shall recover his costs. When the judgment of the superior court is reversed and remanded for
a new trial, the awarding of costs shall abide the final
determination of the cause. When the judgment is affirmed in part, reversed in part, modified, or remanded
for further proceedings, the supreme court shall, in its
discretion, award all or partial costs to either party or
may order that the awarding of costs shall abide the
final result of the further proceedings.
(2) Nominal Party. When a party on an appeal is a
nominal party only, costs shall not be recovered against
such party in any event.
(c) Cost Bill.
(1) Filing and Exceptions after Opinion. The prevailing party shall, within ten days after the filing of the
opinion in a cause, file with the clerk and serve upon
the adverse party a cost bill. If any adverse party excepts to any item therein, he shall, within ten days after
service of the cost bill upon him, file with the clerk and
serve upon the prevailing party his exceptions to such
cost bill together with affidavits in support of his exceptions. When the decision of this court becomes final, as
provided in Rule 15 of Supreme Court Administrative
Rules, the clerk shall tax the costs of which the prevailing party is entitled and, in the event that exceptions
have been filed, shall grant or deny said exceptions and
shall notify the parties of his rulings thereon.
(2) Filing and Exceptions after Judgment. When the
costs on appeal are to abide the final result of an action,
the ultimate prevailing party shall, within ten days after
the judgment becomes final, file with the clerk a certified copy of said judgment and his cost bill of the prior
appeal and shall serve a copy of said cost bill upon the
adverse party. If any adverse party excepts to any item
of said cost bill, said exceptions shall be handled in the
same manner as provided in subsection (c) (1) of this
rule. When the time for taking an appeal from the
j~dgment entered upon a remand of the cause has exp1red and no notice of appeal has been given, the prevailing party shall, within ten days, file with the clerk a
certificate of the clerk of the superior court certifying
that no notice of appeal has been given. Whereupon the
clerk shall include the costs of the prior appeal, as finally taxed, in a supplemental judgment and remit the
same to the clerk of the superior court.
(3) Supplemental. In the event that additional premium on an appeal and/ or supersedeas bond shall accrue
prior t~ t~e final taxing of costs, the prevailing party
may, w1thm ten days after such accrual, file with the
clerk and serve upon the adverse party a supplemental
Rule 1-56
cost bill limited to this item only; said supplemental
cost bill to be handled in the same manner as provided
in subsection (c) (I) of this rule.
(d) Filing and Hearing Exceptions. If any party excepts to the costs as taxed by the clerk, he shall, within
ten days of said taxing, file with the clerk and serve
upon the adverse party his exceptions and said exceptions shall be heard by this court in the same manner as
that provided by Rules 1-53 and 1-54 for the hearing of
motions.
(e) Waiver of Objections. When a cost bill has been
served and filed in time and no exceptions have been
filed, objection thereto will be deemed to have been
waived.
(t) Waiver of Costs. When a cost bill has not been
filed within the time allowed by this rule, any claim to
costs will be deemed to have been waived. [Adopted
July 2, 1969, effective July 18, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969. Prior: Adopted
Nov. 22, 1950, effective Jan. 2, 1951; rule amended;
adopted Nov. 17, 1952, effective Jan. 2, 1953; adopted
Dec. 14, 1953, effective Mar. 1, 1954; adopted May 8,
1956, effective June 15, 1956; adopted Nov. 12, 1959,
effective May 1, 1960; adopted Nov. 2, 1960, ·effective
Jan. 2, 1961, rule form approved, adopted Dec. 6, 1960,
effective Jan. 2, 1961; subdivision (g) implementing
1965 C 133 § 2 (RCW 10.01.112), added effective July l,
1965; subdivision (g) deleted May 4, 1966, effective
June 1, 1966.)
Costs, review, etc.: RCW 4.84.180, 4.84.190, 4.88.260.
Counsel-Right t<r---Fees: RCW 10.01.110.
Indigent defendants-State to pay costs and fees incident to supreme court review: RCW JO.OJ.112.
Schedule of attorneys' fees: RCW 4.84.080.
Transcript of testimony-Fee-Forma pauperis: RCW 2.32.240.
Rule 1-56 Habeas corpus. (a) Jurisdiction. The supreme court shall have original jurisdiction in habeas
corpus proceedings.
(b) Parties.
(1) Petitioner. A petition for writ of habeas corpus
shall be brought in the name of the person in custody
or by his guardian or parent as petitioners.
(2) Respondent. The person or agency exercising
physical custody, restraints or conditions upon the petitioner's liberty shall be named respondent. The proper
respondent of a person in the custody of an institution
under the control of the State Department of Institutions is the director of that department.
(3) Transfer of Custody. If petitioner after serving
and filing his petition is transferred from the custody of
one agency to another, petitioner will forthwith advise
the court and respondent's counsel. The court on its
own motion will substitute the proper respondent, and
the clerk of the court shall so notify substituted respondent or counsel for respondent.
(c) Petition. Under the titles indicated the petition
shall set forth:
(1) Place of Custody. The place where petitioner is
held in custody if confined.
(2) Basis of Custody. If held in custody pursuant to a
judgment or sentence or other decree, the basis of the
(Rules for Supreme Court----p 23)
Knie 1-56
Rules for Supreme Court
custody, including date, county and cause number, if
available.
(3) Statement of Facts. A statement of the facts upon
which the allegation of illegal custody is based (the
grounds for allegations that the imprisonment or custody is illegal).
(4) Legal Principles. The reason why the custody is
unlawful or violates a constitutional right. Legal argument, citations, and authorities are not required, but, if
submitted, shall be set forth in a brief separate from the
petition, which shall be served and filed with the
petition.
(5) Previous Petitions. Identify other applications or
petitions filed with regard to the same allegedly unlawful custody by setting forth the court in which filed,
date and disposition made by such court.
(6) Prayer. The relief being sought.
(7) Oath.
(i) If a notary is available. The petition shall be subscribed by the petitioner and verified as follows:
being first duly sworn, on
oath, deposes and says that he is the petitioner in
the above-entitled proceeding, that he has read the
foregoing petition, knows the contents thereof, and
believes the same to be true.
Subscribed and sworn to before me this ____ _
day of __________ , 19 __ .
Notary Public in and for
the State of Washington,
residing at----------·"
11
_ _ _ _ _ _ _ _ _ _ _ _ _ _ _
(ii) If a notary is not available. The petition shall be
verified by the petitioner as follows:
"Under penalties of perjury, I declare that I
have examined this petition and to the best of my
knowledge and belief it is true and correct.
II
(date)
(d) Proceeding in Fonna Pauperis.
(1) Motion. A petitioner, unable to pay the filing fee,
may move to proceed in forma pauperis. The motion
shall contain a statement of the petitioner's total assets.
(2) Clerk. When the petitioner is in the custody of an
agency of the State Department of Social and Health
Services, the clerk shall obtain a statement of petitioner's known assets from the superintendent of the institution exercising custody over the petitioner.
(3) Determination. If the chief justice finds the petitioner is unable to pay the filing fee, the petitioner will
be authorized by notation order to proceed in fonna
pauperis. If the application to proceed in fonna pauperis is denied, the petitioner shall be notified of the
reason.
(4) Provision of Counsel and/or Transcript. Upon a
finding that the petitioner is unable by reason of poverty to procure counsel or to pay for a transcript, and
that the petition raises significant issues which by their
nature and character indicate for proper review and determination the necessity of professional legal assistance
or the availability of a transcript, the Supreme Court
may enter an order:
(Rllles for Supreme Court---;i
241
(i) Appointing counsel or directing a superior court to
appoint counsel to represent the petitioner in the Supreme Court or on an order of reference,
(ii) Directing a superior court to have a prior superior
court proceeding or a reference proceeding transcribed,
(iii) Authorize payment of the costs of the above
from public funds.
The procedure for obtaining reimbursement for such
costs from public funds is governed by ROA l-47 (except paragraph (b) thereof)
(e) Filing Petition. A petition for writ of habeas corpus will not be filed by the clerk of the supreme court
until the filing fee has been paid or the petitioner has
been authorized to proceed in forma pauperis.
(f) Return and Answer. The respondent shall within
twenty days after the petition is served and filed, unless
the time be extended by the chief justice for good cause
shown, file a return and answer setting forth:
(1) The authority or cause of the restraint of the party
in his custody and if the authority be in writing, a certified copy thereof.
(2) Whether in the opinion of respondent or counsel
for respondent a disposition of the petition requires a
determination of fact.
(g) Briefs.
(I) Petitioner's Opening Brief. If petitioner files a
brief with his petition, it shall contain the following
designated sections:
(i) Facts. A succinct statement of the alleged facts
upon which the argument that the custody is illegal is
based.
(ii) Argument. Legal citations and authorities supporting the position of the petitioner.
(iii) Prayer. The relief being sought.
(2) Answering Brief. Respondent's answering brief
shall be served and filed within twenty days after respondent's answer and return have been served and
filed, unless the time is extended by the chief justice for
good cause shown.
(3) Reply Brief. Petitioner's reply brief, if any, shall
be served and filed at least three court days preceding
the hearing.
(4) Form and Number of Briefs.
(i) Form. Briefs will be on letter size paper and printed or typed unless such facilities are not available. Only
one side of the paper shall be used. Typewritten text
shall not be smaller than pica or 10 point type, double
spaced with lines not exceeding 5 inches in length.
Quotations shall be single spaced and indented 5 spaces. Headings shall be in capital letters, underlined.
Briefs shall be stapled along the left margin of the page.
(ii) Copies. An original and 5 copies of briefs will be
filed with the clerk. Copies shall be produced, if means
are available, by some method more legible and permanent than carbon. Examples of acceptable copy methods are permanent photocopy or mimeograph.
(h) Transfer for determination. Petitions for writs of
habeas corpus originally filed in the supreme court may
be transferred to the court of appeals for determination.
(i) Hearing.
( l) Setting. The clerk shall promptly set the cause on
the motion calendar and notify the parties of the date.
Supreme Court Rules on Ap,peal (ROA)
(2) Oral Argument. The cause shall be submitted
without oral argument unless otherwise directed by the
court.
G) Motions.
(1) Form. Motions shall be verified in the same manner required for a petition. Proof of service setting forth
the persons on whom the motion is served shall be subjoined to the motion. A copy of the motion must be
served on the opposing party or his counsel.
(2) Disposition. Petitions or motions which do not
relate to the merits of the petition for the writ and motions to dismiss the cause on grounds of frivolity or
repetitiousness may be determined by the chief justice.
(k) Referral for Hearing. Petitions which require for
disposition the resolution of an issue of fact which cannot be determined from the record will be referred to
the superior court entering the judgment or order upon
which petitioner's retention is based. The reference
court shall hold an evidentiary hearing to resolve the
disputed questions of fa.ct. Such hearing shall be held
before a judge who was not involved in the challenged
proceedings.
(I) Order of Referral. The order of referral shall contain provision for:
(i) Appointment of counsel at public expense if petitioner is found to be indigent.
(ii) Right to summon witnesses.
(2) Note for Hearing. When the respondent is represented by the attorney general or a prosecuting attorney, such attorney shall be responsible for promptly
noting the hearing and serving notice on other parties.
In all other cases petitioner or his counsel shall have
such responsibility.
(3) Procedure. Upon the conclusion of the hearing,
the trial judge shall cause findings of fact to be made
and a c·ertified copy thereof to be filed with the supreme
court, and all supreme court files forwarded in connection with the reference hearing to be returned to the
supreme court.
(1) Disposition on Merits. If, after a hearing by the
court, it appears from the face of the record or from
admitted facts that the petitioner is entitled to relief of
some nature, the chief justice shall assign the cause for
an opinion. In all other cases, except referrals, the petition may be denied by order.
(~) If Relief Granted. If any relief be granted, upon
motion of the respondent, the relief shall be stayed
during the pendency of a petition for review. [Adopted
July 2, 1969, effective July 18, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969; amended, adopted Nov. 13, 1970, effective Jan. 2, 1971; amended,
adopted Mar. 27, 1972, effective Mar. 27, 1972. Prior:
adopted Nov. 22, 1950, effective Jan. 2, 1951; rule
amended, adopted Dec. 14, 1953, effective Mar. 1,
1954.]
Comment by the Court. Complete revision of former ROA 56.
Defendants' fee, forma pauperis: RCW 2.32.080.
Proceedings in forma pauperis: RCW 7.36.250.
Superior court clerk's fee: RCW 36.18.020.
Rule 1-57
Rule 1-57 Procedure for petitions for extraordinary
writs, certiorari, mandamus and prohibition. (a) Scope of
Rule. Petitions for all writs authorized by the state constitution or necessary and proper for the complete exercise of the supreme court's appellate and advisory
jurisdiction, including orders of the court of appeals
which terminate an action, shall be entitled and processed and determined under the provisions of this rule
except: (1) petitions for writs of habeas corpus which
shall be governed by ROA 1-56 and (2) writs directed
to state officers, which shall be governed by ROA I-58.
(b) Reserved.
(c) Stay of Proceedings.
(1) The chief justice may stay proceedings and condition the stay on petitioner posting a bond deemed sufficient to protect respondent from all damages that may
be suffered by reason of the stay of proceedings.
(2) Jurisdiction. Jurisdiction of the supreme court
shall attach when:
(i) the chief justice stays proceedings or grants the
writ; and
(ii) petitioner has filed a bond for costs as provided
by (g)(2) of this rule, and a bond, if required by (c)(l).
(d) Contents and Format of Petition, Response, and
Briefs.
(I) Contents of Petition. The petition for a writ shall
be verified by the petitioner or his counsel and shall
contain a brief statement of the essential facts constituting the ground for review and issuance of the writ by
the supreme court. The petition shall be supported by a
memorandum of authorities, and, if necessary, further
supporting documents or affidavits.
(2) Response to Petition. A respondent may serve
upon the petitioner or his counsel and file with the supreme court a response to the petition. The response
may contain additional facts verified by respondent or
his counsel, a memorandum of authorities or other supporting documents or affidavits.
(3) format and Size. The caption of a petition for a
writ shall appear as it does in the court from which the
case arose, except that the aggrieved party shall be designated as the petitioner and all other parties as respondents. If the petition is for a writ of prohibition or
mandamus directed to the superior court or division of
the court of appeals, the appropriate court shall be
named as a respondent. The petition and response shall
be t)'.~ewritten, printed, mimeographed, or produced by
multthth or offset processes on letter-size paper (8 112
x 11 inches) and stapled on the left-hand side. Briefs
may be typewritten and shall comply in style and content with Rule I-42; the number thereof shall be governed by (g)(3) of this rule.
(e) Time of Filing and Service.
(I) Filing. A petition for a writ must be filed in the
office of the clerk of the supreme court within fifteen
(15) days after the determination in question has been
made ~y the c~urt from which the case arose, except as
otherwise provided by RCW 8.04.070 for the review of
~ certificate of public. use and necessity. Unless petitioner proceeds forthwith to present the petition to the
chief justice ex parte or notes it for presentment within
(Rules for Supreme Court---p 25]
Kule 1-57
Rules for Supreme Court
a reasonable time after filing, the court may dismiss the
petition for want of prosecution.
(2) Service. When a petition for a writ is presented ex
parte to the chief justice, and an order to show cause is
issued pursuant thereto, a copy of the petition and a
copy of the order to show cause shall be served forthwith by the petitioner upon all respondents or their
counsel.
A copy of the petition for a writ and notice of presentment thereof to the chief justice upon a day certain
may be served by petitioner upon aU respondents or
their counsel prior to filing the petition.
All services shall be made in the manner prescribed
in Rule 1-3. Proof of service.shall be filed with the clerk
of the supreme court.
(f) Preliminary Hearing on Petition.
(1) If the petition is presented ex parte, the chief justice may
(i) determine that the writ does not lie and deny the
petition; or
(ii) he may issue an order to show cause why the writ
should not issue. If an order to show cause is issued, the
chief justice shall fix a time (1) for hearing thereon either before him or before the court and (2) for filing
briefs in support of, and in opposition to, the issuance
of the writ.
(iii) Transfer the writ to the court of appeals for determination unless the petition is to obtain a review of
an order of a panel of the court of appeals denying a
petition for an extraordinary writ.
(2) Unless a shorter time, or another day and time, is
fixed by the chief justice, the preliminary hearing before
him on a petition for a writ shall be noted by petitioner
for hearing on a THURSDAY at l :30 p.m. not less
than five nor more than fifteen days after service of a
copy of the petition and notice of hearing upon respondent or his counsel. Immediately upon notice of hearing
having been given, petitioner shall file with the clerk of
the supreme court the petition, notice of hearing, proof
of service thereof, memorandum of authorities, and
supporting documents.
(3) If the petition is presented to the chief justice after
notice given as in these rules provided, the chief justice
may
(i) determine that the writ does not lie and deny the
petition; or
(ii) cause the hearing on the petition to be continued
and heard by the court; or
(iii) issue the writ;
(iv) provided, however, if the petition is for a writ of
prohibition or mandamus the chief justice may only determine that the writ does not lie or cause the hearing
on the petition to be continued and heard by the court.
(v) transfer the writ to the court of appeals for determination unless the petition is to obtain a review of an
order of a panel of the court of appeals denying a petition for an extraordinary writ.
(4) If the chief justice continues the hearing on the
petition to be heard by the court, or directs that the writ
issue, he may
(i) stay proceedings in the cause as in this rule provided; and
(Rules for Supreme Court---p 26)
(ii) determine whether or not the matter is emergent.
If emergent, the petition or writ shall be set for argument before the court on a motion day. If not emergent,
the cause shall be set on the court's calendar by the
clerk of the supreme court.
(5) Time for Hearing and for Briefs. The order of the
chief justice (i) directing the issuance of a show cause
order, (ii) continuing the petition to be heard by the
court, or (iii) directing that the writ issue, shall fix the
date and time for hearing thereon and the time for
service and filing of briefs of all parties.
(g) Procedure After Preliminary Hearing.
(1) Filing Copies. If the chief justice issues an order
to show cause, continues the hearing on the petition, or
issues the writ, petitioner shall file with the clerk nine
additional copies of the petition.
(2) Bond. When the petitioner files the appropriate
order issued by the chief justice with the clerk of the
supreme court he shall also file a bond in the amount of
three hundred dollars, conditioned that the petitioner
will pay aU costs that be assessed against him in the
proceedings, or on the dismissal thereof, not exceeding
three hundred dollars, or, in lieu thereof the petitioner
shall deposit with the clerk, cash in the sum of three
hundred dollars for such purpose; provided, however,
that no bond or filing fee is required if the petition is
filed by an indigent criminal defendant seeking review
of the superior court's denial, in whole or in part, of a
statement of facts at county expense.
(3) Submission of Briefs. Briefs in support of, and in
opposition to, any petition, are required in all cases.
One copy of the brief of petitioner shaU be served upon
each respondent or his counsel. The original and nine
copies shall be filed. Any respondent who appears shall
serve a copy of his brief on petitioner or his counsel,
and file with the clerk the appropriate number of
copies.
(4) filing Record and Proceedings. Within the time
allowed for the service and filing of his opening brief,
the petitioner shall file with the clerk of the supreme
court such portion of the record and proceedings in the
superior court as is needed for the purpose of reviewing
the application or the determination. The record shall
be certified or authenticated as in causes on appeal.
(5) Additional Record. Any respondent, within the
time allowed for service and filing his brief, may file
certified or authenticated portions of the record and
proceedings additional to those filed by the petitioner.
(6) Response and Cross-Review. If the chief justice
directs the clerk of the supreme court to issue the writ,
respondents may continue to urge at the hearing thereon that the writ was improvidently issued and should be
quashed; and may, without the necessity of a crosspetition, present and urge in the supreme court any
claimed errors by the court from which the case arose
which, if repeated upon a new trial, would constitute
error prejudicial to respondents.
(h) Denial of Petition or Quashing Writ. The court
may deny a petition for a writ, or quash a writ already
issued, by journal entry.
(i) Attorney's Fees Awarded. In addition to statutory
attorney's fees and court costs, reasonable attorney's
Supreme Court Rules on Appeal (ROA)
fees may be assessed against petitioner if it is determined that a petition for a writ is not made in good
faith.
(j) Notice of Appeal. If a timely petition for a writ of
certiorari is denied, the petition shall be considered to
be a notice of appeal timely and properly filed. [Adopted July 2, 1969, effective July 18, 1969; amended,
adopted Sept. 3, 1969, effective Sept. 12, 1969; amended, adopted Nov. 10, 1969, effective Nov. 21, 1969;
amended, adopted Feb. 24, 1972, effective July I, 1972.
Prior: Adopted Jan. 31, 1963, effective Mar. 18, 1963.]
Comment of the court. Jurisdiction limited to cases in which the
supreme court would have original statutory appellate
jurisdiction.
Rule 1-58 Original writs <filected to state officers. (a)
Commencement of Action. Original proceedings in the
supreme court for petitions for writs of mandamus,
prohibition and quo warranto directed to state officer
shall be initiated in the same manner as for the commencement of an ordinary civil action.
(b) Referral for Hearing. Petitions for writs directed
to state officers will be referred to the superior court for
Thurston County for determination of the facts unless
an agreed and adequate statement of facts accompanies
the petition.
(c) Cost of Filing. At the time of filing the petition for
any writ, the petitioner, if a private party, shall deposit
with the clerk of the supreme court, the sum of twentysix dollars. If the petition is granted, and the petitioner
finally prevails on the merits, thereof, or if the respondent fails to resist the application, the sum of twentysix dollars shall be returned to the petitioner; otherwise,
it shall be paid to the respondent.
(d) Issuance of Writ. An alternative writ, order to
show cause, or writ directed to the respondents shall be
issued by the clerk and under the seal of the court. A
copy of the order, and opinion of the court, when one is
written or required, duly certified by the clerk of the
court, shall be attached thereto, and shall be served as
prescribed in Rule 1-3.
(e) Cost of Preparing the Record. The writ shall be
conditioned upon the payment by the petitioner of all
costs of preparing the record for hearing in this court.
(f) Filing of Briefs. Whenever an alternative writ or
an order to show cause is issued under this rule involving the constitutionality of a statute, an executive order
or an administrative regulation, the chief justice may
designate the party who shall file the opening brief,
which shall set forth with particularity in what manner
the statute, executive order, or administrative regulation
is unconstitutional; and he shall fuc the time within
which each party shall file his brief.
(g) Denial of Petitions. The denial of petitions for
writs of mandamus and prohibition may be made by
journal entry. [Adopted July 2, 1969, effective July 18,
1969. Prior: Adopted Jan. 30, 1963, effective Mar. 18,
1963.]
Rule 1-59 Transcript of judgment, effect of. A transcript of any order or judgment, or both, of the supreme
court, certified under the seal of the court, shall be sufficient authority to any court, or to any officer on whom
Rule 1-6.3
it may be served, to proceed according to its mandate.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 1-60 Effect of judgment-Execution under. If
this court affirms or modifies any judgment or order
appealed from, it may remand the cause to the superior
court with directions to carry the same into effect, or it
may itself issue the necessary process for that purpose
to the sheriff of the proper county, as it may deem advisable. If the cause is remanded to the superior court
to have such judgment or order carried into effect, the
decision of the supreme court, and its order entered
thereon, upon being certified to the superior court and
entered on its recdrds, shall have the same force and
effect therein as if made and entered by the superior
court. Executions issued from the supreme court shall
be similar to those from the superior court, and of like
force and effect, and returnable in the same time.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 1-61 Effect of reversal--Writ of restitution. If
by a decision of the supreme court the appellant becomes entitled to a restoration of any part of the money
or property that was taken from him by means of the
judgment or order appealed from, either the supreme
court or the superior court may direct an execution or
writ of restitution to issue for the purpose of restoring
to the appellant his property, or the value thereof. But
property acquired by a purchaser in good faith, under a
judgment subsequently reversed, shall not be affected
by such reversal. [Adopted July 2, 1969, effective July
18, 1969. Prior: Adopted Nov. 22, 1950, effective Jan. 2,
195 l.]
Rule 1-62 Damages may be awarded, when. Upon
the affirmance of any judgment or order for the payment of money, the collection of which, in whole or in
part, has been stayed by a supersedeas bond, as in these
rules provided, the court may award to the respondent
damages upon the amount superseded; and, if satisfied
by the record that the appeal was taken for delay only,
the court may award such damages as will effectually
tend to prevent the taking of appeals for delay only.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Nov. 22, 1950, effective Jan. 2, 1951.]
Rule 1-6.3 Appeals to be heard on merits. The supreme court will hear and determine all causes removed
thereto in the manner hereinbefore provided, upon the
merits thereof, disregarding technicalities, and will upon
the hearing consider as made all amendments which
could have been made. [Adopted July 2, 1969, effective
July 18, 1969. Prior: Adopted Nov. 22, 1950, effective
Jan. 2, 1951.]
(Rules for Supreme Court---p 27)
Kules tor
KUle 1-M
Rule 1-64
Reserved.
1~5
~upreme
Reserved.
Rule
Rule 1~6 Disposition of material exhibits. (a)
Transfer of Custody. Physical exhibits which, because
of their bulk or weight, cannot be attached to the statement of facts, and which are only material to an issue
of fact not before the supreme court on review shall be
retained in the custody of the trial court subject to being obtained on request by the supreme court while the
supreme court has jurisdiction of the cause.
(b) Disposition. When a cause is remanded for further proceedings, the exhibits in the custody of the supreme court shall be returned to the court having
jurisdiction. When a cause is not remanded for further
proceedings, counsel shall be notified, except in criminal cases, that the exhibits which cannot be retained in
the supreme court file will be destroyed or disposed of
six months after the date of the remittitur unless:
( l) A stipulation is filed by counsel or the parties of
record providing for disposition and costs of transfer of
such exhibits. The clerk shall dispose of the exhibits in
accordance with the stipulation.
(2) A party or counsel of record notifies the court of a
desire for such an exhibit. The exhibit shall be returned
to the clerk of the court having jurisdiction of cause for
such disposition as that court shall determine proper.
(c) Destruction and Disposal. Six months after notification, except in criminal cases, the clerk shall destroy
physical exhibits which cannot be retained in the supreme court file and which have not been requested by
counsel or parties of record unless:
(I) The exhibits are of historical value, in which case
they will be transferred to the custody of the Washington State Museum.
(2) The exhibits are of material value, in which case
they will be transferred to the state's central purchasing
office for sale.
In criminal cases, exhibits may be destroyed on proof
of death of the defendant. [Adopted July 2, 1969, effective July 18, 1969. Prior: Adopted Feb. 16, 1962, effective Feb. 23, 1962.]
<..:ourt
that the question of state law is one which has not been
clearly determined and does not involve a question of
the United States Constitution.
(d) Filing. No filing fees shall be required and the
cause shall be filed, indexed and numbered in the same
manner as an appeal to this court.
(e) Record. The record shall be certified by the federal court as required by statute.
(f) Briefs.
( l) Procedure. The federal court shall designate who
shall file the first brief. It shall be filed and served upon
his adversary within 30 days after the filing of the
record in the supreme court. The opposing party in the
federal court shall file and serve upon his adversary his
brief within twenty days after receipt of the opening
brief, and a reply brief shall be filed within ten days.
Time for filing the record, supplemental record or briefs
may be extended for cause.
(2) Production. Briefs may be produced in accordance with ROA I-42(b).
(g) Costs. Procedures promulgated by ROA 1-55
shall be applicable except both parties shall file a cost
bill, and the clerk will not tax costs but shall indicate a
division of the total costs between the parties involved.
(h) Finality of Decision. The opinion of the supreme
court shall become final in the same manner it becomes
final in an appealed case. An opinion that has become
final will be certified by the clerk of the supreme court
to the federal court originating the question. The certification shall state that the opinion is an answer to the
question of Washington law submitted. The certificate
shall be as follows:
IN THE SUPREME COURT OF THE
STATE OF WASHINGTON
CERTIFICATION
From Federal Court
in
CERTIFICATION
Comment by the court. Complete revision of former ROA 66,
providing new procedures.
Rule 1~7 Certificate procedure. (a) Definition.
"Certificate procedure" is the means, authorized by
Laws of 1965, ch. 99 (RCW 2.60), by which a federal
court, in disposing of a cause pending before it, submits
a question of Washington Law to the Supreme Court
for answer. This rule provides procedures for implementing the statutory authorization.
(b) Caption. The caption of the case shall be as set
forth below:
CERTIFICATION FROM FEDERAL COURT
IN
(Title of Federal Court Case)
(c) Jurisdiction. The supreme court may entertain a
petition to determine a question of law certified to it
under the federal court local law certificate procedure
act (Laws of 1965, ch. 99, p. 1302, RCW 2.60), provided
[Rules for Supreme
Court---;» 28)
No. ____ _
(Federal)
Court No. ____ _
The State of Washington to:
This is to certify that the attached opinion of the Supreme Court of the State of Washington has filed in the
above-entitled case on __________ , 19 __ .
Costs of each party on certification are:
Plaintiff-------------------------------Defendant ____ - - - - - - - - - - - - - - - - - - - - - - ___ _
Supreme Court Rules on Appeal (ROA)
Rule 11-4
TOT AL Divided Equally is __________ to each.
IN TESTIMONY WHEREOF,
have hereunto set my hand and affixed the seal of said court of
Olympia, this __________ day of
__________ ,A.O. 19 __ .
Clerk of the Supreme Court
of the State of Washington.
[Adopted July 2, 1969, effective July 18, 1969. Prior:
Adopted Dec. 19, 1968, effective Jan. 3, 1969.]
PART II
RULES FOR THE REVIEW BY PETITION OR
APPEAL OF ORDERS OR JUDGMENTS OF THE
COURT OF APPEALS
Comment by the court. New procedures for obtaining review of
decisions of the court of appeals.
Rule II-1 Review by petition. When the supreme
court grants a petition for review of an opinion of the
court of appeals, the cause will be set for hearing. No
additional briefs shall be filed unless requested by the
supreme court. [Adopted July 2, 1969, effective July 18,
1969.]
Rule II-2 Review by appeal. (a) When Allowed.
When the court of appeals reverses a judgment or order
of the superior court by less than a unanimous decision,
the aggrieved party may appeal or cross appeal to the
supreme court.
(b) Procedure. The original of the notice of appeal or
cross-appeal shall be filed in the supreme court and a
copy thereof in the court of appeals within ten days after the denial of a petition for rehearing. Upon the filing
of the copy of the notice, the clerk of the court of appeals shall forward to the supreme court the entire
record in the cause. No briefs other than those filed in
the court of appeals shall be filed unless requested by
the supreme court. [Adopted July 2, 1969, effective July
18, 1969.]
Rule II-3 Part I Rules Applicable to Part II. The
following rules set forth in Part I are applicable to review by the supreme court under Part II: ROA 1-6,
ROA 1-31, ROA 1-49, ROA 1-50, ROA 1-53, and
ROA 1-55. [Adopted July 2, 1969, effective July 18,
1969.]
Rule 11-4 Petition for extraordinary writs to review
determination of court of appeals. Scope of Rule. Petitions for all writs authorized by the state constitution or
necessary and proper to the complete exercise of the
supreme court's revisory jurisdiction of the determinations of the court of appeals shall be entitled, processed,
and determined under the provisions of ROA 1-57.
[Adopted July 2, 1969, effective July 18, 1969.]
(Rules for Supreme Coort---p 291
Part III
RULES FOR COURT OF APPEALS
Title or Rules
Abbreviation
Court of Appeals Administrative Rules ... CAR
Court of Appeals Rules on Appeal ........ CAROA
COURT OF APPEALS ADMINISTRATIVE RULES
(CAR)
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
l
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
Seal.
Style of Process.
Judgments.
Sessions.
Adjournments.
Authority.
Apportionment of Business.
Chief Judge.
Acting Chief Judge.
Right of Senior Judge to Act.
Seniority of Judges.
Acts in Contempt of Court.
Minutes---Court Business Meetings.
Opinions--When Filed.
Finality of Decision.
Court Personnel.
Reporter.
Law Librarian.
Bailiff.
Memorial Exercises.
Transfer of Judges and Causes.
Supreme Court Clerk.
Administrator for the Courts.
Procedure.
Reporting of Criminal Cases.
Rule 3 Judgments. The judgments and decrees of
the court of appeals shall be final and conclusive upon
all parties except when the supreme court has assumed
jurisdiction of the cause. [Adopted July 2, 1969, effective July l l, 1969.]
Rule 4 Sessions. The regular sessions of the court of
appeals shall be held in accordance with SAR 4, at the
headquarters, and by order of the supreme court at
such other locations as authorized by statute. Pursuant
to Ch. 221 of the Laws of 1969, First Extraordinary
Session, the first division shall have its headquarters in
Seattle; the second division shall have its headquarters
in Tacoma; and the third division shall have its headquarters in Spokane. [Adopted July 2, 1969, effective
July 11, 1969.]
Rule 5 Adjournments. Adjournments from day to
day, or from time to time, are to be construed as recesses in the sessions, and shall not prevent the court
sitting at any time. [Adopted July 2, 1969, effective July
II, 1969.]
Rule 6 Authority. The presence of three judges and
a concurrence of at least a majority thereof shall be required to dispose of a case, except for dismissal on
stipulation of counsel of record. The chief judge may
function on all procedural matters not affecting the
content of the record or argument. [Adopted July 2,
1969, effective July 11, 1969.]
Rule 7 Apportionment of busin~. The chief judge
shall apportion cases fairly among all judges of the division. [Adopted July 2, 1969, effective July 11, 1969.)
Court of Appeals: State Constitution Art. 4 § 30; Chapter 2.06 RCW.
Rule 1 Seal. The seal of the Court of Appeals shall
be in the vignette of George Washington, with the
words "SEAL OF THE COURT OF APPEALS-STA TE OF WASHINGTON" surrounding the vignette. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 2 Style of process. Processes of the Court of
Appeals shall run in the name of the "State of Wash~gton," bear attest in the name of the chief judge, be
signed by the clerk of the court, dated when issued,
sealed with the seal of the court, and made returnable
according to such rules or orders as are prescribed by
the court. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 8 Chief judge. Initially the judges of each division will select the chief judge. After the first election,
the judge of the division having the shortest term to
serve not holding his office by appointment or election
to fill a vacancy shall be the chief judge and in case
there shall be two judges having the same short term,
the other judges of the division shall determine which of
them shall be chief judge. In a division having more
than one panel, the chief judge shall assign the judges
to panels. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 9 Acting chief judge. Each division shall elect
fr~m ~ime to time an acting chief judge. The acting
chief judge shall perform the duties and exercise the
(Rules for Court
or Appeals--p 1)
Rule 9
Rules for Court of Appeals
powers of the chief judge during the absence or inability of the chief judge to act. [Adopted July 2, 1969, effective July 11, 1969.)
Rule 10 Right of senior judge to act. In the absence
or inability of both the chief judge and the acting chief
judge, the senior judge present, of the division, shall act
as chief judge. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 11 Seniority of judges. Seniority among the
judges of the court of appeals shall be determined by
length of continuous service on the court of appeals.
[Adopted July 2, 1969, effective July 11, 1969.)
first day of each month, a list of all cases argued and
assigned for opinion, the date the assignment was made,
and such other reports as may be requested by the supreme court clerk.
b. Law Clerks and Secretaries. Each judge and chief
judge is entitled to one law clerk and one secretary.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 17 Reporter. The opinions of the court of appeals shall be published by the reporter of decisions of
the supreme court, under the supervision of the commission on supreme court reports. [Adopted July 2,
1969, effective July 11, 1969.]
Rule 12 Acts in contempt of court. It shall be contempt of this court for anyone to divulge to others than
the judges or employees of this court any information
relative to a case, except that which is of public record.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 18 Law librarian. The state law librarian shall
counsel and advise in the selection of books, periodicals, and all other legal research materials for the use of
the court of appeals. Acquisition of all such material
shall be made through the state law library. [Adopted
July 2, 1969, effective July 11, 1969.]
Rule 13 Minutes--Court business meetings. The
court will cause to be recorded in a book kept for the
purpose minutes of all business meetings. [Adopted July
2, 1969, effective July 11, 1969.]
Rule 19 Bailiff. The clerk of each division may serve
as bailiff. The chief judge may designate a law clerk to
serve as temporary bailiff. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 14 Opinions--When filed. AU opinions filed
with a clerk of a division shall be signed, except per
curiams. All opinions in any one case shall be filed at
the same time, and the time of filing shall be determined by the chief judge. Original opinions shall not be
taken from the clerk's office. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 20 Memorial exercises. At the beginning of the
May term of each year, the court will conduct suitable
memorial exercises for members or former members of
the court of appeals who have died during the preceding year. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 15 Finality of decision. A decision of a panel
shall become the final decision of the court of appeals:
a. Upon stipulation of counsel to a date prior to thirty days after the decision is filed;
b. If counsel do not stipulate to an earlier date, thirty
days after the decision is filed unless a petition for rehearing is pending. When a petition for rehearing is denied, the opinion will become final twenty days
thereafter unless a petition for review or an appeal is
pending. An opinion will become final upon denial by
the Supreme Court of a petition for review. [Adopted
July 2, 1969, effectiv·e July 11, 1969; amended, adopted
Sept. 3, 1969, effe·ctive Sept. 12, 1969; subd. b. amended, adopted Nov. 29, 1971, effective Jan. I, 1972.)
Rule 16 Court personnel. The court of appeals shall
have such personnel as are authorized by supreme court
rule. The personnel will be appointed by and serve at
the pleasure of the division of the court to which they
report.
a. Clerk's Office. Each division shall have a clerk and
such other personnel for the operation of the office as
are authorized by the Supreme Court. Before undertaking his duties, the clerk shall file with the secretary of
state an oath of office. For coordination control, the
clerks of the court of appeals shall be under the supervision of the derk of the supreme court.
The clerk of each division of the court of appeals
shall submit to the clerk of the supreme court, on the
(RuJes for Court of Appea.ls---p 2)
Rule 21 Transfer of judges and causes. Judges of the
respective divisions may sit in other divisions and
causes may be transferred between divisions, as directed
by written order of the chief justice of the supreme
court. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 22 Supreme court clerk. The clerk of the supreme court shall be responsible for the training and
coordination control of the clerks of the court of appeals. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 23 Administrator for the courts. a. Fiscal Services. The legislature having appropriated to the court
administrator funds for the court of appeals, fiscal services shall be provided by the court administrator.
b. Budgetary Planning. Each division shall submit to
the court administrator a proposed budget at such time
and in such form as the court administrator shall request. The court administrator shall prepare a proposed
budget for the court of appeals.
c. Statistics. The administrator for the courts, under
the supervision of the supreme court and the chief justice, shall collect and compile statistical and other data
reflecting the state of the dockets and any need for judicial assistance, and shall make reports of the business
transacted by the court of appeals. The clerks of the
court of appeals and all other officers and employees of
that court shall comply with all requests made by the
court administrator, after approval by the. ·chief justice,
for information and statistical data beanng upon the
Court of Appeals Rules on Appeal (CAROA)
business transacted and the judicial accomplishments of
that court.
d. Bond. The administrator for the courts shall obtain
public employee faithful performance bond coverage
for all court employees. [Adopted July 2, 1969, effective
July 11, 1969; amended, adopted Sept. 3, 1969, effective
Sept. 12, 1969.]
Rule 24 Procedure. a. Briefs. Three copies of briefs
filed on the merits shall be forwarded upon filing by the
clerk of the court of appeals to the state law library.
b. Decisions.
I. Form. All decisions of the court shall be in writing
and the grounds therefor stated. In matters of form and
style, the written opinion shall conform to the standards
prescribed for supreme court opinions.
2. Transmittal of Information. When an opinion of
the court in a cause is filed, the clerk of that division
shall transmit on the same day a certified copy of the
opinion to the reporter of decisions, with such information pertaining to the cause as may be required by the
reporter of decisions. The clerk shall also transmit
forthwith copies of any orders or other matters required
by the reporter of decisions for the publication of the
opinions of the court.
c. Record. If a petition for a review is granted, or
notice of appeal as authorized by statute is filed, the
clerk of the court of appeals shall transfer the entire
record and file of the case to the clerk of the supreme
court.
d. Costs on Appeal.
1. Determination by Court of Appeals. When a decision of the court of appeals becomes final and the issue
of costs determined, the clerk of the division in which
the opinion is filed shall tax costs in accordance with
ROA 55 in the remittitur. If the cause is remitted prior
to the taxing of costs, costs will be taxed by the clerk in
a supplemental judgment.
2. Determination by Supreme Court. If the supreme
court assumes jurisdiction of the cause, costs on appeal
in the court of appeals will be determined by the clerk
of the supreme court in accordance with ROA I-55.
e. Indigent Cost Bills. The legislature having appropriated funds to the supreme court for indigent appeals,
bills filed in accordance with ROA *47 will be forwarded by the clerk of the division to the clerk of the supreme court, supported as follows:
1. Statement. A statement that a certified copy of the
trial court authorizing the expenditure of public funds
for the purpose for which the costs are claimed is on
file.
2. Counsel Fees. When bills for counsel fees are forwarded, there will be attached thereto: (i) an evaluation
by the panel hearing the cause as to whether the case
required average, less than average, or above average
services of counsel; (ii) a statement as to whether there
is on file a certified copy of an order of the superior
court appointing the claimant counsel on appeal.
[Adopted July 2, 1969, effective July 11, 1969.]
Digest
Rule 25 Reporting of criminal cases. On any criminal appeal taken to the Court of Appe<l:ls ~ro~ .a determination made by a court of lesser JUnsd1ctton, the
court clerk shall, within five court days of the filing of a
final decision on the merits in the matter, forward to the
Washington State Patrol Section on Identification on a
form approved by the Administrator for the Courts its
disposition of the particular case. In the event that collateral proceedings are brought in the Court of Appeals
and the result of those collateral proceedings changes,
or otherwise makes inaccurate, the information forwarded on the original disposition report, the court
clerk shall prepare and forward to the Section a supplemental disposition report on a form approved by the
Administrator for the Courts indicating thereon the information necessary to correct the current status of the
disposition of charges against the subject maintained in
the records of the Section. [Adopted Jan. 17, 1974, effective March 1, 1974.]
COURT OF APPEALS RULES ON APPEAL
(CAROA)
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
RULE
l
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
RULE 25
RULE 26
RULE 27
RULE
RULE
RULE
RULE
RULE
RULE
28
29
30
31
32
33
Method Herein Provided Exclusive.
Definitions.
Service of Papers.
Order of Filing and Serving Immaterial.
Personal Appearance Not Necessary.
Submission on Failure to Appear.
Violation of Rules.
Appeals--When Dismissed.
Computation of Time.
Docket Fees.
Assignment of Causes.
Calendar.
Taking Papers from Clerks Office.
Appeal--When Allowed.
Jurisdiction.
Powers of Court of Appeals.
What May Be Reviewed.
Designation of Parties.
Voluntary Withdrawal of Appeal.
Second Appeal.
Death of Party not to Affect Appeal.
Bond for Costs.
Supersedeas Bond.
Temporary Injunction to Remain in Force,
When.
Obligees in Bonds.
Justification of Sureties.
Objection to Surety--Certificate--New
Bond.
Defects in Appeal Bond--New Bond.
Application for New Bond.
Execution Countermanded, When.
Judgment Against Appellant and Sureties.
Jurisdictional Requirement in Civil Causes.
Notice of Appeal and Cross-Appeal in Civil
Cases----Ordering Statement of Facts of
Transcript.
(Rules for Court of Appeals---p 31
Digest
Rules for Court of Appeals
RULE 34 Statement of Facts--Time for Ordering,
Serving, and Filing--Certification.
RULE 35 Statement of Facts, What Constitutes.
RULE 36 Statement of Facts--Amendments-N otice to Settle.
RULE 37 Certificate, What to Contain--How
Signed.
RULE 38 Statement of Facts--How Certified Upon
Change or Death of Judge.
RULE 39 How Certified When Cases Consolidated.
RULE 40 Statement of Facts.
RULE 41 Serving and Filing of Briefs on Appeal.
RULE 42 Production, Style and Content of Briefs for
Cases Set for Hearing on the Appeal
Docket.
RULE 43 Errors Considered.
RULE 44 Transcript of Appeal.
RULE 45 Omissions from the Record.
RULE 46 Appeals in Criminal Cases.
RULE 47 Reimbursement of Costs~-Indigent Criminal Appeals.
RULE 48 Proceedings in Case of Reversal in Criminal
Cases.
RULE 49 Arguments.
RULE 50 Post Opinion Procedures.
RULE 51 Motions--How Made and Heard.
RULE 52 Hearing and Disposition of Motion to
Dismiss.
RULE 53 Motions--How Made and Heard.
RULE 54 Notices of Motions.
RULE 55 Court of Appeals Costs.
RULE 56 Habeas Corpus.
RULE 57 Procedure for Petitions for Extraordinary
Writs.
RULE 58 Reserved.
RULE 59 Transcript of Judgment, Effect of.
RULE 60 Effect of Judgment--Execution Under.
RULE 61 Effect of Reversal--Writ of Restitution.
RULE 62 Damages May Be Awarded, When.
RULE 63 Appeals to be Heard on Merits.
RULE 64 Reserved.
RULE 65 Reserved.
RULE 66 Disposition of Material Exhibits.
RULE 67 Reserved.
Rule 1 Method herein provided exclusive. The mode
provided by these rules for appealing cases to the court
of appeals, and for securing a review of the same therein, shall be exclusive. [Adopted July 2, 1969, effective
July I I, 1969.)
Rule 2 Definitions. In these rules, unless the context
or subject matter otherwise requires:
(a) The past, present and future tenses shall each include the other; the masculine, feminine and neuter
gender shall each include the other; and the singular
and plural number shall each include the other.
(b) The words "superior court" mean the court from
which an appeal is taken pursuant to these rules.
(c) The party appealing is known as the "appellant,"
and the adverse party as the "respondent."
rRuJes for Court of AppeaJs---p 41
(d) The words "shall" and "must" are mandatory,
and the word "may" is permissive.
(e) The terms "party," "appellant," "respondent,"
"petitioner" or other designation of a party include
such party's attorney of record.
(f) "Judgment" means any judgment, order or decree
from which an appeal lies.
(g) The term "remittitur" means a copy of the judgment of the court of appeals which is authenticated to
the court from whence the appeal is taken, or over
which or whom its controlling jurisdiction is exercised.
In case the judgment or order appealed from is reversed
or modified, a certified copy of the opinion of the court
of appeals shall be attached to the remittitur.
(h) The terms "written," "writing," "typewriting,"
and "typewritten" include other methods of duplication
equivalent in legibility to typewriting.
(i) Rule and subdivision headings do not in any
manner affect the scope, meaning or intent of the provisions of these rules.
U) "Clerk" denotes the clerk of the supreme court or
clerk of the division of the court of appeals having jurisdiction of the cause. [Adopted July 2, 1969, effective
July 11, 1969.)
Rule 3 Service of papers. (I) Service of papers must,
in all cases, be made upon the attorney of record of a
party, if he has one, unless the place of business or residence of such attorney is unknown, when it may be
made upon the party.
(2) Service upon an attorney shall be made by delivering to him personally, or at his office by delivery to
his clerk or to the person having charge thereof; or, if
his office be not open, or there be no one in charge
thereof at his residence, by delivery to some person of
suitable age and discretion residing therein; or, if neither of the foregoing methods can be followed, by deposit in the post office to his address with postage
prepaid. In capital causes, a motion to dismiss an appeal shall be served upon the defendant personally, as
well as upon the attorney of record.
(3) Service upon a party shall be made by delivery to
him personally, or at his residence, to some person of
suitable age and discretion residing therein, between the
hours of nine o'clock in the forenoon and nine o'clock
in the evening.
(4) Where the residence of a party and that of his at~
torney of record, if he have one, are not known, and
proof of such fact be shown by affidavit, the service
may be made upon the clerk of the superior court in
which the cause was tried, for the party or attorney.
(5) Service may be made by mail when the party
making the service and the person on whom such service is to be made reside in different places; postage
must in such cases be prepaid. Time shall begin to run
from the date of deposit in the post office. [Adopted
July 2, 1969, effective July 11, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969.]
Rule 4 Order of filing and serving immaterial.
Whenever any rule or statute heretof?re or 1?-ereafter
enacted requires a motion for a new tnal, statement of
Court of Appeals Rules on Appeal (CAROA)
facts, notice of appeal or other documents concerning
appeals or constituting a part of the record of appeals
to the supreme court or court of appeals to be filed and
served or served and filed, the serving and filing shall be
equally valid and effective whether the document shall
be filed or served first and no appeal shall be dismissed
because of the order of the filing and serving. [Adopted
July 2, 1969, effective July 11, 1969.)
Rule 5 Personal appearance not necessary. Personal
appearance of any party in the court of appeals shall
not be necessary. [Adopted July 2, 1969, effective July
11, 1969.]
Rule 6 Submission on failure to appear. Where a
party does not appear personally or by attorney when
the cause is called for hearing, the cause, as to such
party, shall be deemed submitted. This rule shall not
preclude oral argument by the opposite party. [Adopted
July 2, 1969, effective July 11, 1969.J
Rule 7 Violation of rules. The court may impose
terms and penalties for the violation of or failure to observe rules other than those relating to jurisdiction.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 8 Appeals--When dismissed. The court of
appeals will dismiss any civil or criminal appeal in
which the jurisdictional requirement is not complied
with. The court may at any time upon the giving of
thirty days' notice dismiss any appeal for want of prosecution. lAdopted July 2, 1969, effective July l l, \969.)
Rule 9 Computation of time. The time within which
acts are to be done, as provided in these rules, shall be
computed by excluding the first and including the last
day. If the last day is a Saturday or Sunday or a holiday the act must be completed on the next business
day. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 10 Docket fees.
(a) Requirement. The clerk shall not file any paper on
the part of a party to a proceeding until the statutory
docket fee, chargeable against such party, has been paid
or the party has been authorized to proceed without the
payment of fee.
(I) Waiver in Civil Cases.
(i) Habeas Corpus. In habeas corpus proceedings
filed originally in the Court of Appeals the Chief Judge
may waive the requirement of payment of a filing fee
pursuant to CAROA 56. In an appeal from a superior
court order denying a petition for writ of habeas corpus, the superior court may waive the requirement of
the payment of a docket fee pursuant to RCW 7 .36.250.
(ii) Certiorari. A determination pursuant to CAROA
46 (c) (2) (i) that an appellant is authorized to appeal
without the payment of a docket fee is authority for the
appellant to petition for review of an order which allegedly denies him the means of perfecting his appeal
without payment of a docket fee.
Rule 14
(iii) Indigent Cases. Upon a petition to proceed without the payment of a docket fee supported by an affidavit showing to the satisfaction of the Chief Judge that
petitioner does not have the means to pay the docket
fee and that the appeal is in good faith and not frivolous, the Chief Judge may waive the requirement of a
docket fee.
(2) Waiver in Criminal Cases. Waiver of the requirement of docket fees in criminal cases is governed by
CAROA 46. [Adopted July 2, 1969, effective July 18,
1969; amended, adopted Dec. 30, 1969, effective Jan.
16, 1970.)
Rule 11 Assignment of causes. ( 1) For the purpose
of hearings, causes will be set by the clerk at the direction of the chief judge.
(2) At least two weeks before the beginning of each
term of court, the clerk shall set for hearing such causes
on the docket ready for hearing as the chief judge may
direct. Any vacancies in the calendar will be filled with
criminal cases ready for hearing. A cause on the docket
of the court shall be deemed ready for hearing when it
appears that the transcript is on file; and
(a) That the appellant's brief and respondent's brief
are on file; or
(b) That the appellant's brief is on file, and has been
served upon the respondent for a period of thirty days
or more; or
(c) That the appellant's brief is on file, and all parties
to the appeal have stipulated that the cause may be set
for hearing at such term. [Adopted July 2, 1969, effective July 11, 1969.)
Rule 12 Calendar. As soon as the causes shall have
been set for a regular term of the court, the clerk shall
prepare a calendar, and shall notify each attorney or
firm of attorneys having any cause thereon. Causes becoming ready for hearing after the making up of the
calendar may be set at the foot of the calendar, or at
such other time as the court may fix; and counsel shall
be notified thereof in such manner as the court may order. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 13 Taking papers from clerk's office. No paper
filed with the clerk of the court shall be taken from the
court room or clerk's office except by permission of the
court or one of the judges, and when so taken a receipt
in writing therefor must be left with the clerk. Before
the cause is finally determined in the court, permission
to take papers will not be granted except to a party or
his attorney who shall have entered an appearance in
the court in the cause in which such papers are filed.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 14 Appeal--When allowed. An aggrieved
party may appeal a cause over which the court of appeals has jurisdiction from any and every of following
determinations, and no others, made by the superior
court, or the judge thereof, in any action or proceeding:
(1) From the final judgment entered in any action or
proceeding. An appeal from any such final judgment
shall also bring up for review any order made in the
(Rules for Coort of Appea1s---p
SJ
nwt:
t'f
Kwes ror Lonn 01 Appeals
same action or proceeding either before or after the
judgment. The record sent up on the appeal, or any
supplementary record sent up before the hearing thereof, shall show such order sufficiently for the purposes of
a review thereof;
(2) From any order refusing to vacate an order of arrest in a civil action;
(3) From an order granting or denying a motion for a
temporary injunction, heard upon notice to the adverse
party, and from any order vacating or refusing to vacate a temporary injunction: Provided, that no appeal
shall be allowed from any order denying a motion for a
temporary injunction, or vacating a temporary injunction unless the judge of the superior court shall have
found upon the hearing, that the party against whom
the injunction was sought was insolvent;
(4) From any order discharging or refusing to discharge an attachment;
(5) From any order appointing or removing, or refusing to appoint or remove, a receiver;
(6) From any order affecting a substantial right in a
civil action or proceeding, which either, (I) in effect determines the action or proceeding and prevents a final
judgment therein; or (2) discontinues the action; or (3)
grants a new trial; or (4) sets aside or refuses to affirm
an award of arbitrators, or refers the causes back to
them.
(7) From any final order made after judgment, which
affects a substantial right; and an appeal from any such
order shall also bring up for review any previous order
in the same action or proceeding which involves the
merits and necessarily affects the order appealed from,
in case the record sent up on the appeal, or any supplementary record sent up before the hearing thereof, shall
show such previous order sufficiently for the purposes
of a review thereof.
(8) In criminal cases the state may appeal, upon giving the same notice as is required of other parties, when
the error complained of is based on the following: ( l)
The setting aside of an indictment or information; (2)
The sustaining of a demurrer to an indictment or information; (3) An order arresting judgment on any
grounds; (4) An order granting to anyone, convicted by
a jury, a new trial on any grounds; (5) Any order which
in effect abates or determines the action, or discontinues the same, otherwise than by a verdict or judgment
of not guilty. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 15 Jurisdiction. The court of appeals shall acquire jurisdiction of a cause by the filing of a timely
notice of appeal to that court or by issuing a writ in the
case or proceeding or by transfer of the case by order of
the supreme court. Upon acquiring jurisdiction of a
cause, the court of appeals shall have control of the superior court and of all inferior officers in all matters
pertaining thereto and may enforce such control by a
mandate or otherwise and, if necessary, by fine and imprisonment, which imprisonment may be continued until obedience shall be rendered to the mandate of the
court of appeals. The superior court shall retain jurisdiction for the purpose of all proceedings by these rules
(RoJes for Court of Appea.ls--p 6)
provided to be had in such court, for the purpose of
settlement and certification of the statement of facts,
and for all other purposes as might be directed by order
of the court of appeals. [Adopted July 2, 1969, effective
July 11, 1969.]
Rule 16 Powers of court of appeals. Upon an appeal
from a judgment or order, or from two or more orders
with or without the judgment, the court of appeals shall
affirm, reverse or modify any such judgment or order
appealed from, as to any or all of the parties, and will
direct the proper judgment or order to be entered, or
direct a new trial or further proceedings to be had; and,
if the appeal is from a part of a judgment or order, will
affirm, reverse or modify as to the part appealed from.
The decision of the court shall be given in writing, and
no cause shall be deemed decided until the decision in
writing is filed with the clerk. In giving its decision, if a
new trial is granted, the court may pass upon and determine all the questions of law involved in the cause
presented upon such appeal and necessary to the final
determination of the cause. Without the necessity of
taking a cross-appeal, the respondent may present and
urge any claimed errors by the trial court in instructions
given or refused and other rulings which, if repeated
upon a new trial, would constitute error prejudicial to
the respondent. An appeal from a judgment granted on
a motion for judgment notwithstanding the verdict
shall, of itself, without the necessity of a cross-appeal,
bring up for review the ruling of the trial court on the
motion for a new trial; and the court of appeals shall, if
it reverses the judgment entered notwithstanding the
verdict, review and determine the validity of the ruling
on the motion for a new trial. [Adopted July 2, 1969,
effective July 11, 1969.]
Rule 17 What may be reviewed. Upon an appeal
from a judgment, the court of appeals will review any
intermediate order or determination of the superior
court which involves the merits and materially affects
the judgment, appearing upon the record sent from the
superior court. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 18 Designation of parties. The party appealing
shall be known as the appellant, and the adverse party
as the respondent, and they shall be so designated in all
papers in the cause after the notice of appeal shall have
been given or served; but the title of the cause shall in
other respects remain unchanged. [Adopted July 2,
1969, effective July 11, 1969.]
Rule 19 Voluntary withdrawal of appeal. After a notice of appeal has been filed but before oral arguments
on the merits, the superior court from which the appeal
was taken shall have jurisdiction to dismiss the appeal,
upon the filing of a stipulation by all the parties to the
cause asking that the appeal be dismissed. When any
such order dismissing an appeal is entered by the superior court, the clerk thereof shall forthwith file in the
court of appeals a certified copy of such o~der and upon
the filing thereof, the order shall be effective, the appeal
Court of Appeals Rules on Appeal (CAROA)
shall be considered as never having been taken, the
sureties discharged from all liability on the appeal bond
if one has been filed, and the court of appeals shall no
longer have jurisdiction. Dismissals requested after oral
argument on the merits shall be granted only by the
court of appeals in its discretion. [Adopted July 2, 1969,
effective July 11, 1969; amended, adopted Dec. 17,
1970, effective Apr. 16, 1971.]
Rule 20
Second appeal. No withdrawal of an appeal,
and no dismissal which does not go to the substance of
or the right to the appeal, shall preclude any party from
taking another appeal in the same cause, within the
time limited by these rules. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 21 Death of party not to affect appeal. The
death of a party in a civil action after the rendition of a
final judgment in the superior court, shall not affect any
appeal taken, or the right to take an appeal; but the
proper representatives in personalty or realty of the deceased party, according to the nature of the case, may
voluntarily appear and be admitted parties to the cause,
or may be made parties at the instance of another party, as may be proper, as in the case of death of a party
pending in action in the superior court, and thereupon
the appeal may proceed or be taken as in other cases;
and the time necessary to enable such representatives to
be admitted or brought in as parties shall not be computed as part of the time in these rules limited for taking an appeal, or for taking any step in the progress
thereof. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 22 Bond for costs. (1) Bond for costs on appeal. A bond for costs on appeal shall be filed with the
clerk of the superior court when the notice of appeal is
given or within ten days thereafter, which bond shall be
executed in behalf of the appellant by one or more sufficient sureties and shall be in a penalty of not less than
three hundred dollars, conditioned to save the respondent harmless from costs and damages occasioned by
the appeal; or money in an amount not less than three
hundred dollars may be deposited with the clerk in lieu
thereof. At the time the bond for costs on appeal is filed
or a deposit in lieu thereof is made, a copy of the bond
for costs on appeal or written notice of the deposit shall
be served on the adverse party. No bond or deposit
shall be required:
(a) When the appeal is taken by the state, or by a
county, city, town, or school district or by a defendant
in a criminal action;
(b) When the appeal is taken from an order of the
superior court denying an application for any writ applied for by or on behalf of any person confined and
restrained of his liberty by any judgment or order of
any court of the state of Washington, or by order of
any state, county, or city authority within this state, or
so restrained of his liberty by any state, county, or city
official;
(c) When the appeal is from an order of the superior
court denying the application of any person confined as
aforesaid to vacate the judgment by virtue of which he
Rule 23
is so confined, regardless of whether the application be
by way of motion or petition.
(2) Superior court discretion in fixin~ a~ount of
bond. The superior court may, upon apphcat1on of the
respondent and for good cause shown, increase the
bond on appeal over the amount of three hundred dollars. [Adopted July 2, 1969, effective July II, 1969.)
Rule 23 Supersedeas bond. (I) Supersedeas bond.
Whenever an appellant entitled thereto desires a stay of
proceedings on appeal, he may present to the superior
court for its approval a supersedeas bond executed by
one or more sufficient sureties, which bond may, if desired, contain the terms and conditions contained in the
bond for costs on appeal referred to in Rule 22. The
supersedeas bond, whether or not combined with the
bond for costs on appeal, shall be conditioned for the
satisfaction of the judgment in full, together with interest thereon, if for any reason the appeal is dismissed or
if the judgment is affirmed, and to satisfy in full such
modification of the judgment as the court of appeals
may adjudge and award. When the judgment is for the
recovery of money not otherwise secured, the amount
of the bond shall be fixed at such sum as will cover the
whole amount of the judgment remaining unsatisfied,
together with interest thereon, unless the court, after
notice and hearing and for good cause shown, fixes a
difforent amount or orders security other than the bond.
When the judgment determines the disposition of the
property in controversy, as in real actions, replevin, and
actions to foreclose mortgages, or when such property is
in the custody of the sheriff, or when the proceeds of
such property or a bond for its value is in the custody
or control of the court, the amount of the supersedeas
bond shall be fixed at such sum only as will secure the
amount recovered for the use and detention of the
property and the costs of the action, together with interest thereon.
If the supersedeas bond is intended to stay proceedings on only a part of the order, judgment, or decree
appealed from, it shall be varied as circumstances may
require to accomplish the purpose desired.
(2) Effect of supersedeas. When a supersedeas bond
conditioned as above required has been filed, it shall
operate, so long as it remains effectual, to stay proceedings upon the order, judgment or decree appealed from;
but in case of an appeal from an order other than an
order granting a new trial, no appeal or appeal bond
shall operate to stay proceedings in the cause except
proceedings upon the order appealed from; and no appeal or stay shall vacate or affect any part of a judgment or order not appealed from and where an appeal
is taken from an order vacating a temporary injunction,
the appellant cannot proceed further in the cause in the
superior court during the pendency of the appeal except
so far as may be rendered necessary by proceedings of
an adverse party.
(3) Superior court discretion in fixing bond. In approving a supersedeas bond, the superior court shall
exercise care to require adequate though not excessive
security in every instance. Money in the amount of the
penalty which would be designated in a bond may be
[Rules for Court of Appeah--p 7]
deposited with the clerk of the superior court in lieu of
bond. Money so deposited shall be subject to the conditions set out in these rules and subject particularly to
the conditions of Rule 25.
After a supersedeas bond has been approved and
filed, the superior court may, upon application of the
respond~nt or on its own motion and for good cause
shown, mcrease the amount of the bond, require additional security, or require a new bond. (Adopted July 2,
1969, effective July 11, 1969.J
Rule 24 Temporary injunction to remain in force,
when. In all cases where a final judgment shall be rendered by any superior court of this state in a cause
wherein a temporary injunction has been granted, and
the party at whose instance such injunction was granted
shall appeal from such judgment, such injunction shall
re_m~in in force during the pendency of such appeal, if,
w1thm five days after service on him of notice of the
entry of the final judgment, such appellant shall file
with the clerk of the superior court a bond, with one or
more sufficient sureties, in a penalty to be fixed by the
court, conditioned that the appellant shall pay to the
respondent all costs and damages that may be adjudged
against the appellant on the appeal, and all costs and
damages that may accrue to the respondent by reason
of the injunction remaining in force. [Adopted July 2,
1969, effective July 11, 1969.)
Rule 25 Obligees in bonds. Instead of the respondent or other party, the state of Washington for the
benefit of whom it may concern, may be named as obligee in any bond for costs on appeal or supersedeas referred to in Rules 22 and 23 or required in any
proceeding. Anyone who would have any right upon or
concerning said bond had he been named as obligee
therein, shall have the same right as if so named. Anyone having any interest in any such bond may sue
thereon separately or jointly with anyone else also interested. It shall not be necessary to sue in the name of,
or to join, the state of Washington in any suit upon
such bond. The procedure provided by this rule is not
exclusive but is optional and in addition to that otherwise provided. {Adopted July 2, 1969, effective July 11,
1969.)
Rule 26 Justification of sureties. An appeal bond,
whether conditioned to effect a stay of proceedings or
not, signed as surety by any person, persons or corporation other than a surety company authorized to
transact such business in this state as provided by law,
shall be of no force unless accompanied by the affidavit
of the surety or sureties therein attached thereto, in
which each surety shall state that he is a resident of this
state and is worth a certain sum mentioned in such affidavit, over and above all debts and liabilities, in property within this state, exclusive of property exempt from
exec~tion, and which sums so sworn to by the surety or
sureties, shall be at least equal to the penalty named in
the bond if there be but one surety, or shall amount in
all to at least twice such penalty if there be more than
[Rules for C.ourt of AppeaJs---p 8)
one surety. [Adopted July 2, 1969, effective July l l,
1969.)
Rule 27 Objection to surety-Certificate--New
bond. Any respondent may object to the sufficiency of
the surety or sureties in an appeal bond, other than a
surety company authorized to transact business in this
state as provided by law, within ten days after the service on him of the notice of appeal, or within five days
after the service on him of the bond or written notice of
the filing thereof, by serving on the appellant a notice
stating that he is so objecting, and specifying a time,
not less than three nor more than ten days distant, at
which the surety or sureties are required to attend before the superior court in which the judgment or order
appealed from was rendered or made, or before a judge
thereof, and to justify their sufficiency as sureties. At
the time and place named in such notice, or to which
the proceeding may be thence adjourned by the court
or judge, the surety or sureties must attend before the
court or judge, and may be then and there examined in
detail, under oath, as to their property and other qualifications as sureties, by any respondent or by the judge,
or by both. If the judge upon such examination is satisfied that the surety or sureties are qualified as such, to
the extent to which they are required by Rule 26 to
make affidavit, then he shall make a certificate to that
effect indorsed upon or attached to the bond, which
shall thereupon stand as a sufficient appeal bond to the
effect expressed in the condition thereof; but if he is not
so satisfied, or if the sureties fail to attend and justify,
then the judge shall in like manner certify to that effect,
and thereupon the bond shall become void: Provided,
that in such case the appellant may, within five days
after the making of such certificate, file a new appeal
bond in conformity with the requirements of Rules 22
and 23, and subject to the requirement of justification
of the sureties provided in Rule 26; but in case such
new appeal bond be found insufficient, no new bond
can thereafter be filed in lieu thereof. In case the original or new appeal bond be not conditioned to effect a
stay of proceedings, however, an additional appeal
bond may be filed at any time thereafter when the appellant desires to effect a stay as provided in Rule 23,
during the pendency of the appeal. The examination of
the sureties taken upon their justification shall be reduced to writing and subscribed by the sureties, if either
party so requires, and attached to the certificate made
thereon. [Adopted July 2, 1969, effective July 11, 1969.)
Rule 28 Defects in appeal bond-New bond. No
appeal shall be dismissed because of any defect in the
appeal bond, nor because an appeal bond which is given both as a cost bond and as a bond on supersedeas
shall be insufficient by reason of the amount, but the
appellant shall in all cases be allowed to give a new
bond within such time and upon such terms as the
court may order. [Adopted July 2, 1969, effective July
11, 1969.]
Rule 33
Court of Appeals Rules on Appeal (CAROA)
Rule 29 Application for new bond. If any respondent
shall have cause to believe, after any appeal bond shall
have been filed and the sureties therein have justified or
the time for requiring their justification has expired,
that the sureties have since become disqualified as such,
so that the bond is no longer an adequate security, he
may apply by motion to the court of appeals to require
a new or additional bond. Upon the hearing of such
motion, the court may require the trial court to examine
into the merits of the motion and the adequacy of the
bond and certify the facts and his conclusions to this
court. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 30 Execution countermanded, when. When an
appeal bond is conditioned so as to effect a stay or
proceedings if execution has issued the clerk shall on
demand of the appellant, issue to the sheriff a certificate
that proceedings have been stayed, which shall countermand the execution; and thereupon the sheriff shall release any property levied on and not already sold, and
return the execution into court. [Adopted July 2, 1969,
effective July 11, 1969.]
Rule 31 Judgment against appellant and sureties. (a)
If the judgment of the trial court is superseded and the
judgment is affirmed on appeal, the trial court shall,
when the cause is remitted, enter the judgment also
against the supersedeas bond, bondsman or sureties for
the amount of the judgment and for damages and costs
awarded on appeal according to the conditions of the
bond.
(b) If costs are taxed against an appellant, the trial
court shall, when the cause is remitted, enter judgment
for costs on appeal against the appellant and against
the cost bond, bondsman or sureties according to the
condition of the bond. [Adopted July 2, 1969, effective
July 11, 1969.]
Comment by the court: Complete revision of former ROA 31,
pmviding new procedures.
Rule 32 Jurisdictional requirement in civil causes.
The court of appeals acquires jurisdiction of a civil
cause by the timely filing of a proper notice of appeal.
Failure of the appellant to take any further steps to
secure the review of the order, judgment, or decree appealed from does not affect the validity of the appeal,
but is ground only for such remedies as are specified in
these rules or, when no remedy is specified, for such
action as the court of appeals deems appropriate, which
may include dismissal of the appeal. [Adopted July 2,
1969, effective July 11, 1969.]
Rule 33 Notice of appeal and cross-appeal in civil
cases--Ordering statement of facts and transcript. ( 1)
In civil actions appealable to the court of appeals, in
order for the court of appeals to obtain jurisdiction of
the cause, a written notice of appeal, together with a
copy of the same, must be filed with, and filing fees
paid to, the clerk of the superior court within thirty
days after entry of the order, judgment, or decree from
which the appeal is taken or, in the event of a motion
timely made subsequent to judgment which, if granted,
would modify or delay the effect of the judgment, within thirty days after the entry of an order granting or
denying the motion. The clerk of the superior court
shall forthwith file the copy of the notice of appeal with
the clerk of the court of appeals, and transmit therewith
the filing fee as above provided. Failure of the superior
court clerk to file the copy with, and forward the filing
fee to, the clerk of the court of appeals, will not affect
the validity of the appeal.
(2) Any coparty who did not join in the notice of appeal but who desires to join as an appellant shall, within
twenty days after the giving of the original notice of
appeal, file with the clerk of the superior court a notice
that he joins in the appeal. The requirements as to the
giving of a bond for costs on appeal shall be as applicable to such coparty as to the original appellant. Any
such party who does not so join shall not derive any
benefit from the appeal, unless from the necessity of the
case. All parties who so join in an appeal after the notice is given or served shall be liable for the expense
thereof, and for costs and damages, to the same extent
and upon the same conditions as if they had originally
joined in the notice.
(3) Also to obtain jurisdiction, each respondent who
desires to prosecute a cross-appeal from all or any pan
of the order, judgment, or decree appealed from shall,
within twenty days after the giving of the original notice
of appeal, file with the clerk of the superior court a notice of cross-appeal, together with a copy of the same.
The clerk of the superior court shall forthwith file the
copy of the notice of cross-appeal with the clerk of the
court of appeals. The cross-appeal shall bring up for
review only matters affecting appellant and such crossappellant. The requirements as to the giving of a bond
for costs on appeal shall be as applicable to cross-appellant as to the original appellant.
(4) No reference to the right of a coparty to join in an
appeal, or to the right of a respondent to cross-appeal,
shall abridge or restrict the right of any party to take a
general appeal as to any matters or parties involved in
the litigation, provided notice of such appeal shall be
given in the manner and within the time required by
this rule.
(5) Unless the chief judge shall previously order otherwise, the appellant must, within forty-five days after
filing notice of appeal, make arrangements with the
court reporter to transcribe any statement of facts necessary for the appeal, and for the payment thereof, and
also make arrangements with the clerk of the superior
court for the transcript which is to be filed with the
court of appeals pursuant to CAROA 44. Evidence that
these arrangements have been made shall be in the
form of a statement signed by the attorney for appellant
or by the court reporter if there be no counsel of record.
The above statement shall be filed with the clerk of the
court of appeals within fifty-five days after the filing of
the notice of appeal. Failure to comply with provisions
of this paragraph may be grounds for imposition of
terms or dismissal upon the motion of the parties or the
clerk.
(6) A notice of appeal shall be in substantially the
following form:
(Rules for Court of Appeals
p 9)
ftUIC'
Kutes mr Loon
_JJ
(Caption)
NOTICE IS HEREBY GIVEN TO (Other parties of
record), represented by (names and addresses of counsel) that (name of appellant) appeals to Division ____ _
of the Court of Appeals from the (order, judgment, or
decree) entered by the Superior Court in the State of
Washington for __________ County on (month, day,
year) in __________ County Cause No.-----·
Date _________ _
(Address and telephone
number of counsel for appellant, or of appellant if
prose)
(7) A statement that the statement of facts and transcript have been ordered and arrangement for payment
made shall be in substantially the following form:
Appellant hereby states that the court reporter, (name
and address), has been ordered to transcribe the statement of facts necessary for the appeal, and that arrangements accepted by the court reporter have been
made for the payment of the cost. He further states that
arrangements have been made with the clerk of the superior court for what he wishes to be included in the
transcript.
Date _________ _
(Address and telephone
number of counsel for appellant, or of court reporter
if appellant is pro se)
(8) A party filing a notice of appeal, cross-appeal, or
a coparty joining in an appeal shall notify all other
parties in the case. The notification shall be given by
mailing a copy of the notice of appeal, cross-appeal, or
joinder in appeal, to the party's attorney of record or, if
the party is not represented by an attorney, then to the
party at his last known address. Such notification shall
be mailed on the day notice of appeal, cross-appeal or
joinder in appeal is filed and shall be sufficient notwithstanding the death of the party, or of his attorney, prior
to the giving of the notification. Proof of service need
not be filed unless notification is challenged. [Adopted
July 2, 1969, effective July 11, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969; adopted Nov. 29,
1971, effective Jan. 1, 1972.)
Rule 34 Statement of facts--Time for ordering,
serving, and filing-Certification. (1) Within forty-five
days after filing notice of appeal, unless the chief judge
shall have previously ordered otherwise, for good cause
shown, the appellant shall order the statement of facts
and make arrangements with the court reporter for the
payment of the cost thereof.
(2) When the proposed statement of facts is received
by the appellant, he shall file the original with the clerk
of the superior court, serve the copy on one of the adverse parties, and file proof of such filing and service
with the clerk of the court of appeals. Notice of the filing of the statement of facts shall also be served on all
other adverse parties. Provided, that the chief judge in
IRuJes
r°' Court or Appeals--p 10)
OJ
Appea1s
his discretion may extend the time for the filing of the
proposed statement of facts to a day certain if good
cause be shown and the application for extension of
time be made before the time for filing has expired. If
proof of filing and service of the statement of facts is
not filed within ninety days, plus any additional time
allowed by the chief judge, after the notice of appeal
was filed with the clerk of the superior court, the clerk
of the court of appeals shall order counsel for the appellant or the court reporter, or both, to appear on the
next motion day when the matter may be heard unless
the proposed statement of facts is filed by the Friday
preceding the motion hearing, to explain the cause of
the delay.
(3) The certifying of a statement of facts and the filing and service of the proposed statement, the notice of
application for the settlement thereof, and aU steps and
proceedings leading up to the making of the certificate,
shall be deemed steps and proceedings in the cause itself, resting upon the jurisdiction originally acquired by
the court in the cause.
(4) (Appeal on short record.) On any appeal or other
proceeding for review, in any criminal cause, or in any
civil cause whether cognizable at law or in equity, so
much of the evidence as bears upon the question or
questions sought to be reviewed may be brought before
this court by a statement of facts without bringing up
the evidence bearing on rulings on which no error is
assigned. If the appellant does not include in his statement of facts the complete record and all the proceedings and evidence in the cause, he shall serve and file
with such proposed statement of facts a concise statement of the points on which he intends to rely on the
appeal.
(5) (Appeal on agreed statement of facts.) When the
question or questions presented by an appeal in any
cause can be determined without an examination of all
the pleadings, evidence, and proceedings in the superior
court, the parties may prepare and sign a statement of
the case showing how the question or questions arose
and were decided in the trial court and setting forth
only so many of the facts averred and proved or sought
to be proved as are essential to a decision of the question or questions by this court. The statement shall include a copy of the judgment from which the appeal is
taken, a copy of the notice of appeal and of the appeal
bond, together with their respective filing dates, and a
concise statement of the points to be relied on by the
appellant, and shall be filed with the clerk of the superior court within the time provided for the filing of a
statement of facts. If the statement conforms to the
truth, it, together with such additions as the trial court
may consider necessary fully to present the question or
questions raised by the appeal shall be approved in
writing by the trial judge and,
when so approved, shall constitute the record on appeal, and be transmitted to this court in the same manner as a statement of facts.
(6) Every statement of facts shall comply in form
with the rule with reference to transcripts. The index
thereto shall specify the page on which the testimony of
each witness commences, the page on which exhibits
Court of Appeals Rules on Appeal (CAROA)
are offered or introduced, the page on which depositions or affidavits are offered or introduced, the page on
which motions made during the course of the trial are
recorded, and the page of the ruling of the court thereon. At the bottom of each page there shall appear the
name of the witness or witnesses testifying, and whether
the examination be direct, cross, redirect, or recross.
(7) All exhibits shall be lettered or numbered in consecutive order, and, where practicable, shall be attached
to the statement of facts. Each exhibit shall be identified by endorsing on the face thereof, in a conspicuous
place, its letter or number, an abbreviated title of the
cause, and the superior court number of the cause.
Where, from the nature of the exhibit, it is not practicable to make such an endorsement, the exhibit may be
identified by a tag, securely fastened thereto, on which
is written or printed its letter or number, the title of the
cause, and its superior court number.
(8) In all cases where the judge of the superior court
has filed a written memorandum giving his reasons for
his decision, the same shall be included as part of the
statement of facts.
(9) In all cases whenever any error is predicated upon
a ruling relative to an instruction given or proposed, it
will be necessary to include in the statement of facts all
of the instructions given by the court and those proposed instructions concerning which error is assigned.
[Adopted July 2, 1969, effective July 11, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969;
amended, adopted Nov. 29, 1971, effective Jan. 1, 1972.]
Rule 38
period, and after notice to opposing coui:isel. Eit~er
party may then serve upon the other a wntten notice
that he will apply to the judge of the court before whom
the cause is pending or was tried, at a time and place
specified, the time to be not less than three nor more
than ten days after service of the notice, to settle and
certify the statement; and at such time and place, or at
any other time or place specified in an adjournment
made by order or stipulation, the judge shall settle and
certify the statement. If the judge is absent at the time
named in a notice or fixed by adjournment, a new notice may be served. If no amendment shall be served
within the time aforesaid, the proposed statement shall
be deemed agreed to and may be certified by the judge
at the instance of either party, at any time, without notice to any other party on proof being filed of its service, and that no arhendments have been proposed; and
if amendments be proposed and accepted, the statement
as so amended shall likewise be certified on proof being
filed of its service and the service and acceptance of the
amendments. {Adopted July 2, 1969, effective July 11,
1969; amended, adopted Sept. 3, 1969, effective Sept.
12, 1969.]
Rule 35 Statement of facts,_ what constitutes. Any
party may after the entry of an appealable order or the
final judgment in the cause, have all rulings, decisions,
evidence, papers, proceedings and any objections or exceptions in the cause, or so much thereof as may be
material to an appeal from such appealable order or
from the final judgment, as the case may be, not already part of the record, made a part of the record in
the cause by the certifying of a statement of facts, as in
these rules provided. The certifying of a statement of
facts shall not prevent the subsequent certifying of other statements of facts, comprising other matters in the
cause at the instance of the same or another party; but
only one statement of facts can be settled or certified
after the rendition of the final judgment in the cause.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 37 Certificate, what to contain--How signed.
The judge shall certify that the matters and proceedings
embodied in the statement, are matters and proceedings
occurring in the cause and that the same are thereby
made a part of the record therein; and, when such is
the fact, he shall further certify that the same contains
all the material facts, matters and proceedings heretofore occurring in the cause and not already a part of the
record therein, or such thereof as the parties have
agreed, to be all that are material therein. The certificate shall be signed by the judge, but need not be
sealed; and thereupon all matters and proceedings embodied in the statement of facts shall become and
thenceforth remain a part of the record in the cause, for
all the purposes thereof and of any appeal therein. The
judge may correct or supplement his certificate according to the fact, at any time before an appeal is heard.
And if the judge refuse to settle or certify the statement
of facts, or to correct or supplement his certificate
thereto, in a proper case, he may be compelled so to do
by a mandate issued out of the court of appeals, either
pending an appeal or prior thereto. [Adopted July 2,
1969, effective July 11, 1969.]
Rule 36 Statement of facts--Amendments-Notice to settle. A party desiring to have a statement of
facts certified must prepare the same as proposed by
him, file it in the cause and serve a copy thereof on the
adverse party, and shall also serve written notice of the
filing thereof on any other party who has appeared in
the cause. Within ten days after such service any other
party may file and serve on the proposing party any
amendments which he may propose to the statement:
Provided, That the superior court may extend the time
not to exceed an additional twenty days for filing and
serving proposed amendments to the proposed state~ent of facts, ~good ~ause be shown and the application for extension of time be made within the ten day
Rule 38 Statement of facts--How certified upon
change or death of judge. If the judge before whom the
cause was pending or tried shall from any cause have
ceased to be such judge or shall die, or shall be absent
from the state or shall, by reason of disability, be unable to perform the duties of his office, which death,
absence or disability may be shown by affidavit of any
attorney in the cause served upon the attorney for the
adverse party and filed in the cause, within the time
within which a statement of facts, in a cause that was
pending or tried before him, might be settled and certified under the provisions of Rule 37, and before having
certified such statement, such statement may be settled
by stipulation of the parties with the same effect as if
(Rules for Court of Appeals---p 111
KUies
mr
LOun OJ
duly settled and certified by such judge while still in office. But if the parties cannot agree, the successor in
office of the judge before whom the cause was pending
or tried, or in case there be no successor, any judge of,
or assigned to, the county where the cause was pending
or tried, if such death, absence or disability shall appear
to his satisfaction, shall settle and certify such statement
in the manner in Rule 37 provided, and in so doing he
shall be guided, so far as practicable, by the minutes
taken by the judge before whom the cause was pending
or tried, or by the reporter, if one was in attendance on
the court or judge, and may, in order to determine any
disputed matter not sufficiently appearing upon such
minutes, examine under oath the attorneys in the cause
who were present at the trial or hearing, of any of them.
[Adopted July 2, 1969, effective July 11, 1969.J
Rule 39 How certified when cases consolidated.
When two or more causes shall have been consolidated
it shall not be necessary, for any purposes of an appeal
which concerns only one or more, and not all of the
original causes, to embody in a statement of facts any
fact, matter or proceeding that relates solely to an original cause with which the appeal is not concerned; and
the statement shall be certified as in these rules prescribed, notwithstanding the omission therefrom of such
facts, matters and proceedings. [Adopted July 2, I969,
effective July I I, 1969.J
Rule 40 Statement of facts. (a) Notice of filing.
When the proposed statement of facts is received by the
clerk of the superior court, the clerk shall promptly notify the court to which the appeal is taken.
(b) Use by Counsel. The copy of a proposed statement of facts which is served as in these rules prescribed, shall be returned to the party serving the same
upon the statement being certified, for his use in preparing his brief on appeal; and when he serves his brief
he shall at that time return such copy to the party on
whom it was originally served, and his brief shall not be
deemed served until such copy is so returned by him.
[Adopted July 2, 1969, effective July 11, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969;
amended, adopted Feb. 24, 1972, deleting subdivision
(c), effective July 1, 1972.]
Rule 41 Serving and filing of briefs on appeal. (1)
Within forty-five days after the proposed statement of
facts shall be filed, as provided in Rule 34, or in those
cases in which a statement of facts is not necessary in
order to review a cause, within thirty days after the giving of service of notice of appeal, the appellant shall
serve on the respondent three copies of a printed brief
on the appeal upon his part, and shall file with the clerk
of the court of appeals twenty-five copies thereof, together with proof or written admission of service, as
aforesaid. Within thirty days after the service of the appellant's brief, the respondent shall likewise serve and
file with the clerk of the court of appeals, with like
proof of service, a like number of copies of a printed
brief on the appeal upon his part, which shall likewise
conform to the rules of the court of appeals. Not less
(Rules for Court of Appeals----iJ 12}
Appeals
than twelve days prior to the hearing, the appellant may
also serve and file with the clerk of the court of appeals
a like number of copies of a printed brief, strictly in reply to respondent's brief. The time for service and filing
of briefs, as in this rule prescribed, may be extended by
order of the chief judge of the court of appeals for good
cause shown, or by stipulation of the parties concerned.
Either party may, after the filing of his briefs, and not
less than one day prior to the hearing of the appeal,
submit to the court of appeals and to the adverse party
a written or printed statement of any additional authorities, with suitable comment thereon strictly in support of the position taken in his brief hereinabove
required to be filed. But the appellant shall not be permitted to urge in any such reply brief or statement of
additional authorities, or on the hearing, any grounds
for reversal not clearly pointed out in his original brief.
(2) The serving and filing of briefs in criminal causes
shall be in accordance with Rule 46.
(3) If the appellant fails to file a brief, an affirmance
will be directed. If the respondent files no brief, the
cause will be deemed submitted upon its merits as to
him. A respondent who has not filed a brief shall not be
permitted to argue the cause orally without permission
of the court given before the cause is called for
argument.
(4) The chief judge having jurisdiction of a cause may
grant to any attorney authorized to practice in this state
authority to file a brief amicus curiae. Ordinarily such
authority will not be granted unless the brief of amicus
curiae will be served in time to permit the party opposing the position of amicus curiae to respond in his answering or reply brief. Such briefs shall conform to the
requirements of CAROA 42 and shall be served on all
parties of record. [Adopted July 2, 1969, effective July
11, 1969.J
Rule 42 Production, style and content of briefs for
cases set for hearing on the appeal docket. (a) Production. Briefs for cases set for hearing on the regular appeal docket shall be printed by either the letter-press or
photo-offset method. If the phot<H>ffset method is employed, the copy may be either linotyped or typed.
( 1) Paper Stock. If both sides of pages are to be used,
the text shall be on 60-pound substance paper; if only
one side is to be used, the text shall be on 20-pound or
heavier substance paper. The paper shall be white
opaque unglazed paper. The cover shall be book or
cover stock of a weight heavier than the text and sufficient to prevent the brief from sagging when stood on
end. The color of the cover shall be light so that the
print will clearly show and shall be: Gray for appellant's or petitioner's opening brief; green for respondent's answering brief; blue for appellant's or
petitioner's reply brief; and yellow for other types of
briefs. When completed, the pages of the brief shall
measure 11 inches from top to bottom and 8 l/2 inches
from side to side (letter size).
(2) Ink. Black ink shall be used for both cover and
text.
(3) Format. Pages shall be numbered ~s. foll~ws: The
index, table of cases, and table of authonttes with small
Rule 42
Court of Appeals Rules on Appeal (CAROA)
Roman numbers; the text and appendix, if any, with
Arabic figures. The pages of an appendix may be consecutively numbered after the text or numbered independently. If numbered independently, the page
num hers of the appendix will be preceded by the letter
A. Paragraphs shall be indented. Margins shall be:
Sides 1 1/2 inches, and top I 114 inches. The text shall
not exceed 8 inches top to bottom excluding page
numbers.
(4) Type Composition.
(i) Lino typed copy. Type shall not be smaller than 12
point, double leaded, 30 picas wide. Quotations shall be
in 12 point type, single leaded and indented two picas.
Footnotes shall be in type not smaller than 9 point and
unleaded. Headings shall be in bold face type. Left and
right margins shall be justified.
(ii) Typed copy. Typewritten text shall not be smaller
than pica type equivalent to 11 point type, double
spaced and typed on lines not exceeding 5 inches in
length. Quotations shall be single spaced. Headings
shall be in capital letters, underlined. Left-hand margins shall be justified.
(5) Binding. Briefs shall be bound along the folded
edge or left side. Three saddle staples, machine sewing,
or any permanent flush binding may be used. Ring
plastic fasteners are not acceptable.
(b) Typed Briefs. Briefs for cases set for hearing on
the regular appeal docket may be typed and filed on
behalf of any party authorized to proceed in forma
pauperis or by the state or any municipal corporation,
or any public officer prosecuting or defending on behalf
of such state or municipal corporation.
(1) Paper Stock. The text of the brief shall be on 20-pound substance opaque white unglazed paper. The
cover shall be of heavier book or cover stock and of a
light color which will clearly show the typing.
(2) Ink. Black typewriter ribbons shall be used for
both cover and text.
(3) Format. Pages shall be numbered as follows: The
index, table of cases, and table of authorities with small
Roman numbers; the text and appendix, if any, with
Arabic figures. The pages of an appendix may be consecutively numbered after the text, or numbered independently. If numbered independently, the page
numbers of the appendix will be preceded by the letter
A. Paragraphs shall be indented. Margins shall be:
Sides 1 112 inches, and top 1 1/2 inches. The text shall
not exceed 8 inches top to bottom excluding page
numbers.
(4) Type Composition. Typewritten text shall not be
smaller than pica type equivalent to 10 point type, double spaced and typed on lines not exceeding 5 inches in
length. Quotations shall be single spaced and indented
5 spaces. Footnotes shall be single spaced. Headings
shall be in capital letters, underlined. Lefthand margins
shall be justified.
(5) Binding. Typed briefs shall be stapled with 3 staples along the left side.
(6) Method of Production. One side of the paper shall
be used. Copies shall be produced by some method
more legible and permanent than carbon except carbon
copies may be filed by an indigent appealing a criminal
conviction or a denial of a petition for writ of habeas
corpus pro se, or by an indigent appellant filing a supplemental brief. Examples of acceptable copy methods
are permanent photocopy or mimeograph.
(c) Cover and Title Sheets. The cover and title sheets
shall be as follows and appropriately spaced to fill the
sheet of paper within the margin requirements except
the cause number shall be printed as close as possible to
the top, right-hand corner of the page:
:No. ---------------------------(Court of Appeals :No.)
In the Court of Appeals of the State of Washington
Division :No. ____ _
(Superior court title except parties shall be designated "Appellant" or "Respondent" or, if not parties on appeal, "Plaintiff" or "Defendant.")
APPEAL FROM THE
SUPERIOR COURT
FOR ______________________________ COU:NTY
THE HO:NORABLE _________________ JUDGE,
BRIEF OF _________________________________ _
Firm :Name,
Counsel Responsible,
Address and Phone Number
of counsel filing brief.
(d) Citations. Citations shall be in conformity with
the form used in current volumes of Washington Reports. Decisions of the Supreme Court and of the Court
of Appeals shall be cited to the official report thereof.
(e) Reference to the Record. "St." shall be used for
"Statement of facts," "Tr." for "Transcript," and "Ex."
for "Exhibits." A reference to the record shall clearly
identify the portion of the record by one of the above
abbreviations and in the case of the statement of facts
or transcript, the page number. A reference to an exhibit shall include the identifying letter or number assigned. A reference to opposing counsel's brief shall set
forth the page number.
(t) Length of Brief. Except when authorized by the
chief judge, briefs in excess of the number of pages indicated below, including the appendix, will not be accepted by the clerk for filing:
Opening and answering briefs
Printed ----------------------------------- 50
Multilithed or typed ________________________ 62
Reply briefs
Printed------------------------------------ 8
Multilithed or typed ________________________ IO
Costs shall not be recovered for pages in excess of those
set forth above even if authority for the filing of a brief
with more pages has been granted.
(g) Contents. In addition to the title and/or cover
pages, briefs for the regular appeal calendar shall consist of the following subdivisions, titled with distinctive
type and in the order indicated:
(Rules for Court of Appeals--p 13)
Knie 42
Rules for Court of Appeals
(I) Appellant's or Petitioner's Opening Brief.
(i) Tables of authority. Authority cited shall be subdivided under: Table of cases, constitutional provisions,
statutes, texts, and other authority. Cases shall be listed
alphabetically with dates and citations. The dates and
editions shall be indicated for texts. The page reference
where cited in the brief shall be indicated opposite each
authority.
(ii) Statement of the case. Under this heading the following shall be included: A brief statement of the nature of the case; a short resume of the pleadings and
proceedings; the nature of the judgment or appropriate
ruling or order from which the appeal is taken; a clear
and concise statement of the facts appropriate to an
understanding of the nature of the controversy, with
page references to the record.
(iii) Assignments of error. Each error relied upon
shall be clearly pointed out and discussed under appropriately designed headings. Where there are several errors relied on which present the same general questions,
they may be discussed together. Whenever there is involved in any appeal a ruling or decision on the inclusion, omission, sufficiency or insufficiency of an
instruction or instructions, as the case may be, the instruction or instructions shall be set out in the brief in
full and reference made thereto by number in the "assignments of error." Whenever error is assigned to any
finding or findings of fact, so much of the finding or
findings made or refused as is claimed to be erroneous,
shall be set out verbatim in the brief and reference
made thereto by number of the "assignments of error."
No assignment of error is required when a petitioner is
seeking a writ involving the original jurisdiction of this
court.
(iv) Argument of counsel.
(2) Respondent's Brief. The brief of respondent, in
answer to a brief provided for in paragraph (1) above,
shall consist of the following:
(i) Tables of authority. (See paragraph (g)(l)(i)
above.)
(ii) Statement of case. If the respondent does not accept appellant's or petitioner's statement of the case, he
shall point out under the title "Counter-statement of
the Case," such insufficiencies or inaccuracies as he believes exist. He may also set forth relevant facts he believes material to the cause, with supporting references
to the pages of the record, but without unnecessary
repetition of matters in appellant's or petitioner's
statement.
(iii) Argument of counsel. Argument shall be arranged and captioned under the following captions in
the order listed:
Argument in support of judgment;
Argument in: answer to appellant.
(h) Additional Authorities. Additional authorities
submitted in accordance with Rule 41 shall be produced in accordance with paragraphs (a) or (b) above
except the cover page shall be white. Twelve copies
shall be filed with the court and not less than one copy
served on the adverse party. [Adopted July 2, 1969, effective July 11, 1969; amended, adopted Sept. 3, 1969,
effective Sept. 12, 1969; amended, adopted May 1,
[Rules for Court of Appeals---p 14)
1970, effective July l, 1970; subd. (b) amended, adopted
Nov. 29, 1971, effective Jan. l, 19?2; subd. (c) adopted,
amended May 8, 1972, effective July l, 1972.)
Rule 43 Errors considered. No alleged error of the
superior court will be considered, unless the same be
definitely pointed out in the "assignments of error" in
appellant's brief. In appeals from all actions at law or in
equity tried to the court without a jury, the findings of
fact made by the court will be accepted as the established facts in the case unless error is assigned thereto.
No error assigned to any finding or findings of fact
made or refused will be considered unless so much of
the finding or findings as is claimed to be erroneous
shall be set out verbatim in the brief. No error assigned
to the inclusion, omission, sufficiency, or insufficiency
of an instruction or instructions, given or not given, will
be considered unless such instruction or instructions, as
the case may be, shall be set out in the brief in full:
Provided, That the objection that the superior court had
no jurisdiction of the cause or that the complaint does
not state sufficient facts to constitute a cause of action,
or that the court of appeals has no jurisdiction of the
appeal, may be taken at any time. [Adopted July 2,
1969, effective July 11, 1969.]
Rule 44 Transcript on appeal. (l) Within fifty-five
days after an appeal shall have been taken by notice, as
provided in Rule 33, the clerk of the superior court shall
prepare, certify, and file in his office, at the expense of
the appellant (except in criminal appeals prosecuted in
forma pauperis, and in such cases at the expense of the
county), a transcript containing a copy of so much of
the record and files as the appellant shall deem material
to the review of the matters embraced within the appeal. This rule shall not apply to appeals on agreed
statements of facts as provided in Rule 34 (4). Within
sixty days after the appeal shall have been taken by notice, as aforesaid, the clerk of the superior court shall, at
the expense of appellant, send the transcript to the
court of appeals. The papers and copies so sent up, together with any thereafter delivered, as hereinafter provided, shall constitute the record on appeal. Any
statement of facts on file when the record is so sent up
shall be sent as a part thereof, unless the superior court
or a judge thereof has not yet passed on an application
for the settlement and certifying of such statement. In
the event any statement of facts shall be filed or certified, or any other addition to the records or files shall
be made, after the record on appeal shall have been set
up, a supplementary record on appeal, embracing so
much thereof as the appellant deems material or a copy
thereof, may be prepared, certified, and sent up at any
time prior to the hearing of the appeal. And in case the
respondent deems any part of the files or record not already sent up to be material to the review of the matters embraced within the appeal, he may cause the
clerk, in like manner, at his expense, to prepare, certify,
and send up a supplementary record on ~ppeal embracing such omitted files or records, or copies thereof,
at any time prior to the hearing of the appeal. Any such
supplementary record or records, if filed in the court of
Rule 46
Court of Appeals Rules on Appeal (CAROA)
appeals prior to the hearing of the appeal, shall be considered by the court as part of the record on appeal, so
far as the same may be material to a review of the matters embraced within the appeal. When the review of an
original paper in the cause may be important to a correct decision of the appeal, the superior court or a judge
thereof may order the clerk of the superior court to
transmit the same to the clerk of the court of appeals
and the same shall be transmitted accordingly, and
shall be under the control of the court of appeals.
(2) Transcripts may be printed or typewritten, or may
be prepared by photostatic copies of the original records in the office of the clerk of the superior court. If
typewritten, the paper shall be of good quality of the
size of legal cap, and only a black record ribbon shall
be used. If printed, there shall be a compliance with the
rule with reference to printed briefs as to size, spacing,
and print. The transcript shall be free from
interlineations and erasures, and shall be paged and
prefixed with an alphabetical index of its contents,
specifying the page of each separate paper, order, or
proceeding.
(3) Transcripts must be certified by the clerk of the
superior court in substantially the following form:
STATE
OF
WASHINGTON,
COUNTY
OF
___ - ______ , SS.
I, _______________ , Clerk of the __________ Superior Court, do hereby certify that the foregoing is a full,
true and correct transcript of so much of the record and
files in the above entitled cause as I have been directed
by __________ to transmit to the court of appeals.
in testimony whereof, I have hereunto set my hand
and the seal of the Superior Court this _____ day of
----------· 19 __ ,
(SEAL)
__________________ Clerk
By _____________ Deputy
(4) At the time the transcript is completed and certified, the appellant shall mail to each of the prevailing
parties in the trial court, or his counsel, a copy of the
clerk's index to the transcript. [Adopted July 2, 1969,
effective July 11, 1969; amended, adopted Sept. 3, 1969,
effective Sept. 12, 1969; subd. (I) amended, adopted
Nov. 29, 1971, effective Jan. I, 1972.]
Rule 45 Omissions from the record. If any paper,
exhibit, or other part of the record directed to be sent
up, has been omitted, such omission may be supplied
by any party, without leave, at any time before the
cause is submitted to the court; notice of which shall be
given all other parties. After a cause has been submitted
such omission may be supplied only by leave of the
court. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 46 Appeals in criminal cases. (a) Superior
Court Procedure at Time of Sentencing. The superior
court shall, at the time of sentencing, unless the judgment and sentence are based on a plea of guilty, advise
the defendant
(I) of his right to appeal,
(2) that unless a written notice of appeal is filed in
accordance with subparagraph (b)( l) of this rule, the
right of appeal is irrevocably waived,
(3) that the superior court clerk will, if requested by
defendant appearing without counsel, file a notice of
appeal in his behalf, and
(4) of his right, if unable to pay the costs thereof, to
have counsel appointed and portions of the trial record
necessary for review of assigned errors transcribed at
public expense for an appeal.
These proceedings shall be made a part of the record.
(b) Notice of Appeal.
(l) Filing. In order for the Court of Appeals to obtain
jurisdiction of an appeal in a criminal cause the original
and a copy of a written notice of appeal must be filed
with and the filin~ fee paid to the clerk of the superior
court unless the appellant is authorized to proceed in
forma pauperis, within thirty (30) days after entry of the
order, judgment, or decree from which the appeal is
taken or, in the event of a motion timely made subsequent to judgment which, if granted, would modify or
delay the effect of the judgment, within thirty (30) days
after the entry of an order granting or denying the motion. The clerk of the superior court shall forthwith file
the copy of the notice of appeal with the clerk of the
division of the Court of Appeals to which the notice of
appeal is directed and transmit therewith the filing fee,
if any. Failure of the superior court clerk to file the
copy with, and forward the filing fee, if any, to the clerk
of the Court of Appeals, will not affect the validity of
the appeal.
(2) Contents. A notice of appeal shall be in substantially the following form:
(Caption--same as in Superior Court)
NOTICE IS HEREBY GIVEN TO: (Other parties of
record) represented by (names and addresses of counsel) that (name of appellant) appeals to Division
__________ of the Court of Appeals from the (order,
judgment, or decree) entered by the Superior Court of
the State of Washington for __________ County on
(month, day, year) in __________ County Cause No.
The defendant is presently in confinement at
__________ . (or) The defendant has been released on
bail and his address is---------------·
DATED this _____ day of __________ ,-----·
(Signature)
Address and telephone
number of counsel for appellant or appellant if pro
se, or clerk if notice prepared in accordance with
(a)(3) above.
(3) Service. A party filing a notice of appeal shall notify all other parties in the case by mailing a copy of the
notice of appeal to the party's attorney of record, or, if
the party is not represented by an attorney, then to the
party at his last known address. Such notification shall
be mailed on the day notice of appeal is filed and shall
be sufficient notwithstanding the oath of the party, or
fRules for
Coort of Appeals-;» 15)
KWe
4()
Rules for Court of Appeals
his attorney, prior to the giving of the notification.
Proof of service need not be filed unless notification is
challenged.
(c) Notice of Co-Party of Cross-Appeal. A co-party
who did not join in the notice of appeal but who desires
to join the appellant or a respondent who desires to
prosecute a cross-appeal shall give notice in accordance
with CAROA 33.
(d) Responsibility after Notice of Appeal.
(I) Superior Court Clerk. Immediately afte~ the giving of a notice of appeal, the clerk of the supenor court,
at the expense of the public prosecution, shall prepare
and transmit to the clerk of the Court of Appeals a certified copy of the judgment or order appealed from, together with a certified copy of the written notice of
appeal. The clerk of the superior court shall notify the
clerk of the Court of Appeals as soon as the proposed
statement of facts is filed. Either appellant or respondent may have transmitted to the Court of Appeals
such additional portions of the record .and files in t~e
cause as they may believe have a beanng upon the issues involved.
(2) Superior Court.
(i) Determination of Resources and Costs. If the defendant files a timely notice of appeal or is a respondent
and petitions the superior court for the expen~iture of
public funds for his costs on appeal, th~ su~e:ior court
shall make findings as to the defendants ab1hty to pay
and enter an order authorizing the expenditure of public funds for those costs allowable under CAROA 47
which the defendant cannot pay. If the defendant is
found unable to pay the filing fee, the order shall also
include authority to proceed in fonna pauperis. Public
funds for the payment of the statement of facts s~all be
limited to portions of the record necessary for review of
assignments of error. Assi~ents of error s? patently
frivolous that reasonable mmds could not d1ffer as to
their frivolity shall not be considered. If the defendant
desires, but is unable to pay counsel, the superior .court
shall appoint counsel, preferably trial counse_I. If, m the
discretion of the trial court, other than tnal counsel
should be appointed, trial counsel shall be retained as
co-counsel. No counsel shall withdraw without written
authority of the trial court.
(ii) Denial of Costs. If a petition f~r the expenditure
of public funds is denied in whole or m part, the defendant shall be advised of his right to have the order of
denial reviewed by petitioning for a writ of certiorari
and shall be advised of the limitations of time for filing
such a petition.
(iii) Jurisdiction for Perfecting Appeal. The superior
court shall retain jurisdiction for the purposes of fixing
of bail certification of the statement of facts, and appoin tm'ent or withdrawal of counsel except a motion to
withdraw as counsel for appellant on the ground that
counsel can find no grounds on which he can in good
faith base an appeal.
(3) Reports by Counsel. Counsel for defendant on
appeal shall keep the Court of Appeals currently advised of his appearance or withdrawal and the address
of the appellant. Court appointed counsel shall serve
(Rules for Court ol Appea5---p 16}
the defendant with a copy of the brief prepared in his
behalf and file proof of service with the appell3:nt ~ourt.
(4) Supplemental Appellant's Brief. l?e chief Judge
may authorize the defendant to file a bne~ supplementing the brief of his counsel if good caus~ is ~hown _and
the motion for authority to file the bnef is received
within fifteen (15) days after the brief of his counsel is
filed.
(e) Procedure to Perfect Appeal.
(1) Statement of Action. Within fifty-five (55) d3:ys
after the filing of the notice of appeal, unless the chief
judge shall previously order otherwise, the appellant or
his counsel must file a statement that:
(i) Arrangements have been made with the court reporter to transcribe any statement of facts necessary for
the appeal, and for the payment thereof,_ and ~th. the
clerk of the superior court for the transcnpt which is to
.
be filed pursuant to CAROA 44? or
(ii) A motion has been made m t~e supenor court for
.
a determination pursuant to (d)(2)(1) above:
Failure to comply with provisions of this su~sec.tton
may be grounds for imposition of terms or d1srmssal
apon the motion of the parties or the clerk of the Court
of Appeals.
(2) Statement of Facts.
(i) When Transcribed. When the proposed statement
of facts is received by the appellant, he shall file the
original with the clerk of the superior court, serve the
copy on one of the adverse parties, and file proof of
such filing and service with the clerk of the Court of
Appeals. Notice of the filing of the statement. of facts
shall also be served on all other adverse parties. Provided, that the chief judge in his discretion may extend
the time for the filing of the proposed statement of fac~s
to a day certain if good cause be shown and th~ application for extension of time be made before the tIIDe for
filing has expired. If proof of filing and service of the
statement of facts is not filed within ninety (90) days,
plus any additional time allowed by the chief judge, after the notice of appeal was filed with the clerk of the
superior court, the clerk of the Court of Appeals shall
order counsel for the appellant or the court reporter, or
both, to appear on the next motion day when the matter may be heard unless the proposed statement o_f facts
is filed by the Friday preceding the motion heanng, to
explain the cause of delay.
(ii) Time Requirements. The statement of facts must
be filed within ninety (90) days after the entry of the
judgment or order from which the appeal is taken ~n­
less the time is extended for good cause by the chief
judge. If the statement of facts is not timely filed, the
clerk of the Court of Appeals shall order counsel for the
appellant or the court reporter, or both, to appear on
the next motion day when the matter may be heard,
unless the proposed statement of facts is filed ':>Y the
Friday preceding the motion hearing, to ex.plam the
cause of the delay.
(3) Appellant's Opening Brief. Within thirty (3~) days
after the date the proposed statement of facts is fil~
the appellant shall serve on the respondent two copies,
and file with the clerk of the Court of App~als 16 copies, of his opening brief on appeal.
Court of Appeals Rules on Appeal (CAROA)
(4) Supplemental Brief. If an indigent defend~nt is
authorized by the chief judge to supplement the bnef of
his appointed counsel, his appointed counsel shall have
the copy of the statement of facts served on the defendant within ten (10) days after service of the appellant's
opening brief. Proof of service will be promptly filed
with the Court of Appeals. The defendant will provide
appointed counsel a copy of his supplemental brief for
reproduction within sixty (60) days after the statement
of facts was served upon him. The copy of the statement of facts will be returned to his appointed counsel
with the supplemental brief. If the copy of the statement of facts is not returned the supplemental brief will
not be reproduced and the appeal will proceed as if a
supplemental brief has not been authorized.
(5) Respondent's Answering Brief. Respondent shall,
within thirty (30) days after service by appellant of his
opening brief or, if a supplemental brief is authorized,
within thirty (30) days after service by appellant of his
supplemental brief, serve on the appellant not less than
two copies, and file with the clerk of the Court of Appeals 16 copies of his answering brief.
(6) Appellant's Reply Brief. Not less than five (5)
court days prior to the hearing, appellant may also
serve on the respondent two copies, and file with the
clerk of the Court of Appeals 16 copies of a reply brief.
(7) Transcript and Statement of Facts. Not later than
one (1) week after service of respondent's brief, appellant will cause the transcript and statement of facts to
be filed with the clerk of the Court of Appeals.
(8) Extensions of Time. Time limitations as set forth
in this paragraph may be extended by order of the chief
judge, for' good cause shown by affidavit, provided the
motion for extension is made before the time has expired. Stipulation of counsel does not constitute good
cause.
(f) Reproduction of Briefs in Indigent Cases. When
public funds have been authorized for the costs of briefs
filed on behalf of a defendant, the briefs shall be reproduced by the Court of Appeals. Within the time allowed, an original copy of such briefs ready and
suitable for photocopying shall be filed with the clerk of
the cognizant division. The clerk shall reproduce the
bri.efs and make the following distribution:
To Whom Sent
Defendant
Counsel for Defendant
Opposing Counsel
State Law Library
Court of Appeals
Supreme Court
Number of Copies
l
2
2
5
As required
7 if petition for review
is filed and 5 additional if petition for
review is granted
(g) Dismissal for Want of Prosecution. When time
requirements set forth in section (e) are not met by the
appellant, the clerk of the Court of Appeals shall note
the cause on the next motion docket for dismissal for
want of pr?secution and give notice of the hearing date
of the motion.
Rule 47
(h) Applicability of Civil Rules. The practice. and
procedure, except as in these rules otherw!se p~ov1ded,
shall be, as nearly as possible, the same as m c1vtl cases.
[Adopted July 2, 1969, effective July 11, 1969; amended, adopted Sept. 3, 1969, effective Sept. 12, 1969;
amended, adopted Mar. 7, 1973, effective July l, 1973.]
Comment by the Court: (d)(2)(ii) prevents withdrawal of counsel
without authority of trial court.
Rule 47 Reimbursement of costs-Indigent criminal appeals. (a) Authoriz.ed Claims.
( l) Superior Court Clerk. The superior court clerk
may submit a bill for the statutory allowance for pr~p­
aration of a transcript and for the actual amounts mcurred for transmittal of the record, briefs and exhibits
to the court of a~peals.
(2) Court Reporter. The reporter may submit a bill at
the rate of $1.50 per page for the original and one copy
of that portion of the statement of facts ordered by the
superior court. The statement of facts shall be on
8 1/2" by 13" paper; margins shall be lined 1 3/8"
from the left and 5/8" from the right side of the page;
indentations from the left lined margin shall be not
more than: one space for "Q" and "A", three spaces for
the body of the testimony, eight spaces for commencement of a paragraph, and ten spaces for quoted authority; space between lined margins shall be used in so far
as practicable; typing shall be double spaced thirty lines
to a page except comments by the reporter shall be single spaced. Type shall be ten-point pica type or its
equivalent. Additional copies when ordered shall be
produced by the most economical method.
(3) Counsel. Counsel for defendant may submit a bill
for:
(i) the actual expenses not including ordinary overhead incurred by counsel for perfecting the appeal including travel accomplished or to be accomplished not
to exceed amounts allowable to state employees for
travel by private vehicle, and
(ii) professional services.
(b) Conditions Precedent to Recovery.
(I) Order of Indigency. No costs shall be recovered
unless there is on file in the court of appeals a certified
copy of an order of the superior court authorizing the
expenditure of public funds for the purpose for which
costs are claimed.
(2) Appointment of Counsel. No fees or costs of
counsel shall be recoverable unless there is on file in the
court of appeals a certified copy of an order of the superior court appointing the counsel who is claiming recovery of fees or costs incident to review.
(c) Form.
(1) Copies. Each cost bill shall be filed with the clerk
of the court of appeals in an original and three duplicate copies.
(2) Social Security Number. Each claimant, except
the superior court clerk, shall set forth his social security number under his signature.
(3) Court Reporter and Clerk. A cost bill submitted
by the court reporter or clerk shall be identified by the
court of appeal case caption and entitled "Criminal
Appeal Invoice Voucher." It shall itemize the number
(Rules for Court of Appeals---p 17)
KOie 'If
KUies tor Loon or Appeals
of pages, number of lines per page, and billing rate per
page. It shall be signed by the claimant. It shall be certified in the following form:
(i) Clerk's Cost Bill. The clerk shall certify his cost
bill as follows: "I hereby certify that the items and totals listed herein are correct charges for the preparation
or actual costs of transmittal of portions of the record
and files ordered by counsel or the trial court in the
above-entitled appeal."
(ii) Reporter's Cost Bill. The superior court clerk shall
certify the reporter's cost bill as follows: "I hereby certify that the amount claimed in this bill is for that portion of the statement of facts ordered by the trial court
and the typing of the statement of facts and computing
of the bill are in accordance with CAROA 47 (a) (2)."
(4) Counsel. A cost bill submitted by counsel for the
defendant shall be in the following form:
(i) identified by the court of appeals case caption,
(ii) entitled "Cost Bill of Counsel for Defendant,"
(iii) itemized as to actual hours expended by counsel
in preparation of the appeal and amount of compensation claimed therefor, expenses paid by counsel incident
to appeal, actual travel expenses of counsel incurred or
to be incurred for argument in the court of appeals, and
(iv) subscribed with the affidavit of counsel that the
items and totals listed therein are correct charges for
actual labor or costs necessarily incident to the proper
consideration of the appeal by the court of appeals.
(d) Time of Filing Cost Bills.
(I) By Court Reporter and Clerk. The reporter and
clerk may file a cost bill as soon as the services for
which the claim is submitted have been performed, but
not later than ten days after the filing of the opinion.
(2) By Counsel. Counsel for defendant shall file his
cost bill not later than ten days after the opinion in the
case becomes final as provided by CAR 15. Only one
cost bill shall be filed by counsel.
(e) Disallowance of Costs.
(1) Waiver of Costs. When a cost bill has not been
filed within the time allowed, such claim will be deemed
to have been waived.
(2) Improper Brief. When, in the opinion of the court
of appeals, a brief by counsel is improper in substance,
or unnecessarily long, the court may, in its discretion,
disallow all or a portion of the costs thereof claimed by
counsel.
(3) Unnecessary Delay. When, in the opinion of the
court of appeals, the court reporter or counsel has been
dilatory, the court may, in its discretion, disallow all or
a portion of the cost bill.
(f) Allowance of Costs, Pursuant to CAR 24, when
cost bills are in the proper form for payment, the clerk
of the court of appeals shall forward the bills to the
clerk of the supreme court.
(1) Court Reporter and Superior Court Clerk. Within
ten days after a cost bill of the court reporter or superior court clerk has been forwarded to the supreme court,
the clerk of the supreme court shall either approve it for
payment or notify the claimant of his objections to its
allowance by a clerk's ruling. Unless the claimant notes
exceptions to the clerk's ruling within ten days, for
'(Rules for Court of Appea:ls--p 18)
hearing on a regular motion day, the amount will be
deemed approved in accordance with the clerk's ruling.
(2) Counsel. The supreme court clerk shall present
counsel's cost bill to the supreme court. The supreme
court, in its discretion, will make such allowance as it
determines is fair and equitable, consistent with funds
available and projected budgetary requirements. Allowances shall be made by order of the chief justice. If all
or a portion of the counsel's claim be disallowed by the
order, notice of such disallowance shall be transmitted
to the claimant by the supreme court clerk. Unless exceptions to the order are noted by the claimant within
ten days after the date of the letter of notification for
hearing on a regular motion day, exceptions will be
deemed to have been waived. [Adopted July 2, 1969,
effective July 11, 1969; amended, adopted Aug. 5, 1970,
effective July 1, 1969; amended Aug. 24, 1972, effective
Sept. 1, 1972; amended, adopted Nov. l, 1973, effective
Jan. I, 1974.]
Rule 48 Proceedings in case of reversal in criminal
cases. When in a criminal action the judgment against
the defendant is reversed and it appears that no offense
whatever has been committed, the court of appeals will
direct that the defendant be discharged; but if it appear
that the defendant is guilty of an offense although defectively charged in the indictment or information, the
court of appeals, if the defendant is in prison, will direct
the keeper of the place of confinement to cause the
prisoner to he returned to the sheriff of the proper
county, there to abide the order of the superior court
thereof; and such keeper shall be entitled to the usual
fees therefor. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 49 Arguments. No more than two counsel on a
side will be heard upon the argument, unless the court
shall direct otherwise: Provided, That each party who
has appeared separately and by different counsel in the
superior court shall, if he so desire, be heard through
his own counsel. The counsel for the appellant shall be
entitled to open and close the argument upon the merits
in all cases. In argument of motions, except motions
heard with the merits of the cause and all preliminary
or collateral matters, the counsel for the party having
the affirmative of the issue shall open and close. Unless
extended upon application, arguments in causes appearing on the regular calendar shall be limited to onehalf hour on a side: Provided, That in causes where two
or more appellants or two or more respondents appear
separately in this court and file separate briefs, each
may be heard as the court may permit, but in no case
will more than two hours be allowed for arguments.
Arguments upon motions shall be limited to one-quarter of an hour on a side. Applications for an extension
of time for argument shall be made to the chief judge in
writing not less than ten days prior t.o the date of the
hearing. [Adopted July 2, 1969, effective ~uly 11, 1969;
amended, adopted Sept. 3, 1969, effective Sept. 12,
1969.]
Court of Appeals Rules on Appeal (CAROA)
Rule 50 Post opinion procedures. (a) Petitions for
Rehearing or Modification Addressed to Court of
Appeals.
.
.
. . .
(I) Time. Any party to a case m which an opm1on 1s
filed may, before the opinion becomes final (See CAR
15), file in the court of appeals a petition for rehearing
or modification.
(2) Form. Petitions may be printed or typewritten
and copies produced by some legible, permanent process in accordance with the requirements of CAROA
42. An original and three copies shall be filed with the
court.
(3) Content. The manner in which it is considered the
opinion should be changed shall be succinctly stated
followed by supporting argument.
(b) Petition for Review Addressed to the Supreme
Court.
(I) Time. Any party to a case in which an opinion
has been filed by the court of appeals, may within
twenty days after the denial of a petition for rehearing
or modification, file in the supreme court a petition for
review. A copy of the petition must be filed with the
court of appeals and a copy served on the opposing
party within the twenty day period. Proof of service of
the copy on the opposing party shall be filed in the supreme court with the petition. A petition not filed and
served as herein provided will not be considered.
(2) Form. Petitions may be printed or typewritten
and copies produced by some legible permanent process
in accordance with the requirements of CAROA 42. An
original and twelve copies shall be filed with the supreme court. The petition, exclusive of the opinion of
the court of appeals, shall not exceed twenty pages.
(3) Content. A petition for review shall contain the
following parts:
(i) Jurisdictional Statement. The date of the opinion
and order denying the petition for rehearing or modification, and a statement of the reasons why the supreme
court should assume jurisdiction. Specify:
Any decision of the supreme court of Washington with which it is asserted the decision of the
court of appeals is in conflict, and a showing of
such conflict; or
Any decision of a division of the court of appeals asserted to be in conflict with the decision of
another division, and demonstrating such conflict;
or
Any significant question of law under the constitution of Washington or of the United States is
involved; or
Any issue of substantial public interest that
should be determined by the supreme court.
(ii) facts. The facts material to the question
presented.
(iii) Question. The issues of law involved. Only issues
set forth in the petition will be considered.
(iv) Opinion. A copy of the opinion of the court of
appeals shall be attached.
(c) Additional Filings.
(I) Petitions. No more than one petition for rehearing
or modification and no more than one petition for review shall be tiled by the same party.
Rule 51
(2) Answers and Replies.
(i) Petition for Rehearing. Neither an answer nor a
reply to an answer to a petition for rehearing shall be
served or filed unless called for by the court. The court
may call for an answer, a reply to an answer, briefs, or
additional copies of the petition or answer.
(ii) Petition for Review. The party opposing a petition
for review may file an answer to the petition and serve a
copy thereof upon the petitioner within fifte:n days after the petition is served on the party opposmg the petition. Proof of service of the copy of the answer on the
petitioner shall be filed with the supreme court with the
answer. If the party opposing the petition does not file
an answer, the court may nevertheless require an answer, a reply to an answer, briefs, or additional copies
of the petition or answer.
(d) Answer.
(I) When Filed. If an answer to any petition is called
for by the court, the clerk shall mail to the attorney of
the party from whom the answer is require? ~ copy of
the petition. The answer shall be filed within fifteen
days thereafter. A copy shall be served on counsel for
the petitioner.
(2) Form. An answer shall be tiled in the same form
and in the same number as is required for the petition
to which it is addressed.
(e) Appeal. When the court reverses a judgment or
order of the superior court by less than a unanimous
decision, the aggrieved party may appeal or cross appeal to the supreme court by filing a notice of appeal
within ten days after the denial by the court of appeals
for a petition for rehearing.
The original of the notice of appeal or cross appeal
shall be filed in the supreme court and a copy thereof in
the court of appeals. No briefs other than those filed in
the court of appeals shall be filed unless requested by
the supreme court. [Adopted July 2, 1969, effective July
11, 1969; amended, adopted Sept. 3, 1969, effective
Sept. 12, 1969; amended Sept. 27, 1971, effective Nov.
9, 1971; amended, adopted Nov. 29, 1971, effective Jan.
1, 1972; amended, adopted May 8, 1972, effective July
I, 1972.J
Comment by the Court: Complete revision of former ROA 50
providing new procedures.
Rule 51 Motion to dismiss. Any respondent may
move the court of appeals to dismiss an appeal either
on the ground that the court has no jurisdiction of an
appeal from the judgment or order from which the appeal was taken or that the notice of appeal was not
served or filed within the time limited by rule, or is insufficient, or that the appeal bond was not filed within
the time limited by rule, or is not in form or substance
such as to render the appeal effectual, or that the appellant's brief has not been served or filed, or that the
record on appeal has not been sent up, or that the appeal has not been diligently prosecuted or on any
ground going to the merits of the further prosecution of
the appeal or on any two or more of the grounds hereinabove mentioned; and there may be combined with a
motion to dismiss, a motion to affirm the judgment or
order appealed from or a motion for damages on the
(Rules for Court of Appeals-;» 19)
n.we :n
Kmes rnr Lonn or Appeals
ground that the appeal was taken merely for delay, or
was manifestly unauthorized by rule, or both such motions. A general appearance in the court of appeals
shall_ not be ~ waiver of the right to make any motion
herem authonzed. [Adopted July 2, 1969, effective July
11, 1969.]
RuJe 52 Hearing and disposition of motion to dismiss. If the court of appeals on the hearing of any such
motion or motions shall find the grounds or any thereof
alleged, for the same, to be well taken and true in effect,
except_ lack of ju~sdiction, the court may grant the
same m whole or m part, but when any such motion
does not go to the substance of the appeal, or to the
right of appe.al, and the court shall be of the opinion
that the movmg party can be compensated in costs, or
by the imposition of other terms for any delay of the
appellant which is made the grounds of any such mot~o~ (except a failure to make the appeal within the time
limited by these rules) the court, in its discretion, may
deny the motion on such terms as may be just. The
court shall upon like terms allow all amendments in
matters of form, curative of defects in proceedings to
the end that substantial justice be secured to the parties,
and no appeal shall be dismissed for any informality or
defect in the notice of appeal, the appeal bond, or the
service or filing of either thereof, or for any defect of
parties to the appeal if the appellant shall forthwith,
upon order of the court of appeals, perfect the appeal.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 53 Motions--How made and heard. (a) Motion Days. Unless otherwise directed by the chief judge,
divisions II and III of the court shall sit for the hearing
of motions on the Fridays of the first two weeks of each
session and thereafter the first two Fridays of each
month in which the court sits for the regular hearing of
cases.
In division I, the court shall sit for the hearing of
motions on each Friday of any week during which the
court sits for the regular hearing of cases. The chief
judge shall designate the respective panel to function on
each motion day. [Adopted July 2, 1969, effective July
11, 1969.)
(b) Alternative Presentation. Motions to strike any
portion of the transcript or the statement of facts, or to
dismiss or affirm upon the record, and all technical motions tending to prevent the hearing of the cause upon
its merits, may be made in writing and noticed for some
motion day, or the same may be made and plainly stated in the brief of the moving party and heard at the
time the cause is assigned upon the calendar.
(c) Notice Motions. All other motions in appealed
causes must be made in writing and noticed for some
motion day. The motions referred to in this and the first
clause of the preceding paragraph will be known as
"noticed motions."
(d) Filings and Calendars. At least ten days before
the day fixed for the hearing of such a motion, the motion and notice, with proof of service, and briefs in
support thereof, must be filed with the clerk. The clerk
[Rules for Court of Appeals---p 20)
will prepare a calendar of noticed motions for each
motion day.
(e) Briefs. Briefs in support of any motion are required in all cases. One copy of the brief of the moving
party shall be served upon counsel for the opposing
party, and the original and five copies thereof in a departmental hearing, and the original and nine copies
thereof in a hearing en bane, shall be filed with the
clerk at least ten days before the time the motion is to
be heard. The opposing party, if he appears, shall serve
a copy of his brief on the moving party, and file with
the clerk a like number of copies at least on or before
the Wednesday preceding the day of hearing. Briefs
may be printed or typewritten and shall comply with
Rule on Appeal 42, insofar as applicable. If typewritten,
the copies must be clearly legible. Failure to comply
with the provisions of this rule relating to briefs may
result in striking the motion, hearing it without oral argument by the opposing party, if he has failed to comply herewith, or continuing it until a later motion day.
[Adopted July 2, 1969, effective July 11, 1969~ amended, adopted Sept. 3, 1969, effective Sept. 12, 1969.]
Rule 54 Notices of motions. All notices of motions
not given in the briefs must be in writing; and the necessary time of notice shall be not less than ten days,
unless a different time is fixed by special order of this
court. But where the service of a notice is made by mail
between different places, the time of notice above mentioned shall be thirteen days. [Adopted July 2, 1969, effective July 11, 1969.)
Rule 55 Court of appeals costs. (a) Costs.
( 1) Allowance. In cases disposed of by an opinion of
the court of appeals, costs on appeal will be taxed by
the clerk in accordance with this rule. In cases disposed
of by order, the court has discretion to award costs.
(2) Items. The costs which may be recovered are: The
fee of the clerk of the court of appeals; The fee of the
clerk o~ t~e superior court for preparing, certifying, and
transm1ttmg to the court of appeals the transcript on
appeal, or any supplementary transcript, and the statement of facts, including all exhibits; statutory attorney's
fees; the actual amount incurred in the printing of the
required number of briefs; the actual amount incurred,
by the appellant, as stenographer's fees for preparing
the statement of facts and one copy; and the actual cost
of the premium on an appeal and/or supersedeas bond.
(3) Disallowance of Printing. When, in the opinion of
the court of appeals, a brief is improper in substance or
when a statement of facts is. improper in substance or
unnecessarily long, with regard to the issues raised on
the appeal, the court may, in its discretion, order the
disallowance as costs of any part or the whole of the
disbursements for printing or preparing the same. Reference is also made to Rule 41 on disallowance of costs
on briefs filed late.
(b) Party Entitled.
(1) Prevailing Party--Discretion. When the judgment of the superior court is affirmed or reversed, the
prevailing party shall recover his costs. When the judgment of the superior court is reversed and remanded for
Court of Appeals Rules on Appeal (CAROA)
a new trial, the awarding of costs shall abide the final
determination of the cause. When the judgment is affirmed in part, reversed in part, modified, or remanded
for further proceedings, the court of appeals shall, in its
discretion, award all or partial costs to either party or
may order that the awarding of costs shall abide the
final result of the further proceedings.
(2) Nominal Party. When a party on an appeal is a
nominal party only, costs shall not be recovered against
such party in any event.
(c) Cost Bill.
(I) Filing and Exceptions after Opinion. The prevailing party shall, within ten days after the filing of the
opinion in a cause, file with the clerk and serve upon
the adverse party a cost bill, unless costs are to abide
final determination of the cause. If any adverse party
excepts to any item therein, he shall, within ten days
after service of the cost bill upon him, file with the clerk
and serve upon the prevailing party his exceptions to
such cost bill together with affidavits in support of his
exceptions. Within ten days after exceptions are filed,
the clerk shall grant or deny the exceptions by a clerks
ruling. When the decision of the appellate court becomes final, the clerk shall tax in the remittitur the costs
to which the prevailing party is entitled unless exceptions to a clerk's ruling are pending. If exceptions are
pending, costs will be taxed by supplemental judgment
signed by the clerk when the exceptions have been determined by the court of appeals.
(2) Filing and Exceptions after Judgment. When the
costs on appeal are to abide the final result of an action,
the ultimate prevailing party shall, within ten days after
the judgment becomes final, file with the clerk a certified copy of said judgment and his cost bill of the prior
appeal and shall serve a copy of said cost bill upon the
adverse party. If any adverse party excepts to any item
of said cost bill, said exceptions shall be handled in the
same manner as provided in subsection (c) (1) of this
rule. When the time for taking an appeal from the
judgment entered upon a remand of the cause has expired and no notice of appeal has been given, the prevailing party shall, within ten days, file with the clerk a
certificate of the clerk of the superior court certifying
that no notice of appeal has been given. Whereupon the
clerk shall include the costs of the prior appeal, as finally taxed, in a supplemental judgment and remit the
same to the clerk of the superior court.
(3) Supplemental. In the event that additional premium on an appeal and/ or supersedeas bond shall accrue
prior to the final taxing of costs, the prevailing party
may, within ten days after such accrual, file with the
clerk and serve upon the adverse party a supplemental
cost bill limited to this item only; said supplemental
~ost bill t<:> be handled in the same manner as provided
m subsect10n (c) (1) of this rule.
(d) Filing and Hearing Exceptions. If any party excepts to the costs as taxed by the clerk, he shall, within
ten days of said taxing, file with the clerk and serve
~pon the adverse party ~is exceptions and said exceptions shall be heard by this court in the same manner as
that_ provided by Rules 53 and 54 for the hearing of
motions.
Rule 56
(e) Waiver of Objections. When a cost bill has been
served and filed in time and no exceptions have been
filed, objection thereto will be deemed to have been
waived.
(f) Waiver of Costs. When a cost bill has not been
filed within the time allowed by this rule, any claim to
costs will be deemed to have been waived. [Adopted
July 2, 1969, effective July 11, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969.]
Rule 56 Habeas Corpus. (a) Jurisdiction and Filing.
The court of appeals shall have original jurisdiction in
habeas corpus proceedings. A petition for writ of habeas corpus shall be filed in the division geographically
including the superior court entering the judgment and
sentence on the basis of which petitioner is held in custody or, if petitioner is not being held in custody on the
basis of a judgment and sentence, in the division in
which the petitioner is located.
(b) Parties.
(I) Petitioner. The petition shall be brought in the
name of the person in custody or by his guardian or
parent as petitioner.
(2) Respondent. The person or agency exercising
physical custody, restraints or conditions upon the petitioner's liberty shall be named respondent. The proper
respondent of a person in the custody of an institution
under the control of the State Department of Institutions is the director of that department.
(3) Transfer of Custody. If petitioner after serving
and filing his petition is transferred from the custody of
one agency to another, petitioner will forthwith advise
the court and respondent's counsel. The court on its
own motion will substitute the proper respondent, and
the clerk of the court shall so notify substituted respondent or counsel for respondent.
(c) Petition. Under the titles indicated the petition
shall set forth:
(I) Place of Custody. The place where petitioner is
held in custody if confined.
(2) Basis of Custody. If held in custody pursuant to a
judgment or sentence or other decree, the basis of the
custody, including date, county and cause number, if
available.
(3) Statement of the Facts. A statement of the facts
upon which the allegation of illegal custody is based
(the grounds for allegations that the imprisonment or
custody is illegal).
(4) Legal Principles. The reason why the custody is
unlawful or violates a constitutional right. Legal argument, citations, and authorities are not required, but, if
submitted, shall be set forth in a brief separate from the
petition, which shall be served and filed with the
petition.
(5) Previous Petitions. Identify other applications or
petitions filed with regard to the same allegedly unlawful custody by setting forth the court in which filed,
date and disposition made by such court.
(6) Prayer. The relief being sought.
(7) Oath.
(i) If a notary is available. The petition shall be subscribed by the petitioner and verified as follows:
(Rules for Court of AppeaJs---p 211
Rule 56
Rules for Court of Appeals
"_ ______________ being first duly sworn, on
oath, deposes and says that he is the petitioner in
the above-entitled proceeding, that he has read the
foregoing petition, knows the contents thereof, and
believes the same to be true.
Subscribed and sworn to before me this _____ day of
__________ , 19 __ .
Notary Public in and for
the State of Washington,
residing at----------·"
(ii) If a notary is not available. The petition shall be
verified by the petitioner as follows:
"Under penalties of perjury, I declare that I have
examined this petition and to the best of my
knowledge and belief it is true and correct.
"
Date
(d) Proceeding in Forma Pauperis.
(1) Motion. A petitioner, unable to pay the filing fee,
may move to proceed in forma pauperis. The motion
shall contain a statement of the petitioner's total assets.
(2) Clerk. When the petitioner is in the custody of an
agency of the State Department of Social and Health
Services, the clerk shall obtain a statement of petitioner's known assets from the superintendent of the institution exercising custody over the petitioner.
(3) Determination. If the chief judge finds the petitioner is unable to pay the filing fee, the petitioner will
be authorized by notation order to proceed in forma
pauperis. If the application to proceed in forma pauperis is denied, the petitioner shall be notified of the
reason.
(4) Provision of Counsel and/or Transcript. Upon a
finding that the petitioner is unable by reason of poverty to procure counsel or to pay for a transcript, and
that the petition raises significant issues which by their
nature and character indicate for proper review and determination the necessity of professional legal assistance
or the availability of a transcript, the Court of Appeals
may enter an order.
(i) Appointing counsel or directing a superior court to
appoint counsel to represent the petitioner in the Court
of Appeals or on an order of reference.
(ii) Directing a superior court to have a prior superior
court proceeding or a reference bearing transcribed.
(iii) Authorizing payment of the costs of the above
from public funds.
The procedure for obtaining reimbursement for such
cost bills from public funds is governed by CAROA 47
(except paragraph (b) thereof). The bills shall be forwarded to the Supreme Court together with a certified
copy of the order of the Court of Appeals and, in the
case of a cost bill of counsel, an evaluation in accordance with CAR 24(e)2(i).
(e) Filing Petition. A petition for writ of habeas corpus will not be filed by the clerk of the court of appeals
until the filing fee has been paid or the petitioner has
been authorized to proceed in forma pauperis.
(Rotes for Court of Appeals
p 221
(f) Return and Answer. The respondent shall within
twenty days after the petition is served and filed, unless
the time be extended by the chief judge for good cause
shown, file a return and answer setting forth:
( 1) The authority or cause of the restraint of the party
in his custody and if the authority be in writing, a certified copy thereof.
(2) Whether in the opinion of respondent or counsel
for respondent a disposition of the petition requires a
determination of fact.
(g) Briefs.
(1) Petitioner's Opening Brief. If petitioner files a
brief with his petition, it shall contain the following
designated sections:
(i) Facts. A succinct statement of the alleged facts
upon which the argument that the custody is illegal is
based.
(ii) Argument. Legal citations and authorities supporting the position of the petitioner.
(iii) Prayer. The relief being sought.
(2) Answering Brief. Respondent's answering brief
shall be served and filed within twenty days after respondent's answer and return have been served and
filed, unless the time is extended by the chief judge for
good cause shown.
(3) Reply Brief. Petitioner's reply brief, if any, shall
be served and filed at least three court days preceding
the hearing.
(4) Form and Number of Briefs.
(i) Form. Briefs will be on letter size paper and printed or typed unless such facilities are not available. Only
one side of the paper shall be used. Typewritten text
shall not be smaller than pica or IO point type, double
spaced with lines not exceeding 5 inches in length.
Quotations shall be single spaced and indented 5 spaces. Heading shall be in capital letters, underlined. Briefs
shall be stapled along the left margin of the page.
(ii) Copies. An original and 5 copies of briefs will be
filed with the clerk. Copies shall be produced, if means
are available, by some method more legible and permanent than carbon. Examples of acceptable copy methods are permanent photocopy or mimeograph.
(h) Reserved.
(i) Hearing.
( 1) Setting. The clerk shall promptly set the cause on
the motion calendar and notify the parties of the date.
(2) Oral Argument. The cause shall be submitted
without oral argument unless otherwise directed by the
court.
G) Motions.
(1) Form. Motions shall be verified in the same manner required for a petition. Proof of service setting forth
the persons on whom the motion is served shall be subjoined to the motion. A copy of the motion must be
served on the opposing party or his counsel.
(2) Disposition. Petitions or motions which do not
relate to the merits of the petition for the writ and motions to dismiss the cause on grounds of frivolity or
repetitiousness may be determined by the chief judge.
(k) Referral for Hearing. Petitions which require for
disposition the resolution of an issue o~ fact which cannot be determined from the record will be referred to
Court of Appeals Rules on Appeal (CAROA)
the superior court entering the judgment or order upon
which petitioner's retention is based. The reference
court shall hold an evidentiary hearing to resolve the
disputed questions of fact. Such hearing shall be held
before a judge who was not involved in the challenged
proceedings.
(1) Order of Referral. The order of referral shall contain provision for:
(i) Appointment of counsel at public expense if petitioner is found to be indigent.
(ii) Right to summon witnesses.
(2) Note for Hearing. When the respondent is represented by the attorney general or a prosecuting attorney, such attorney shall be responsible for promptly
noting the hearing and serving notice on other parties.
In all other cases, petitioner or his counsel shall have
such responsibility.
(3) Procedure. Upon the conclusion of the hearing,
the trial judge shall cause findings of fact to be made
and a certified copy thereof to be filed with the court of
appeals, and all court of appeals files forwarded in connection with the reference hearing to be returned to the
court of appeals.
(l) Disposition on Merits. If, after a hearing by the
court, it appears from the face of the record or from
admitted facts that the petitioner is entitled to relief of
some nature, the chief judge shall assign the cause for
an opinion. In all other cases, except referrals, the petition may be denied by order.
(m) Review.
(1) If Petition Denied. The petitioner shall have thirty
days after the entry of an order denying his petition in
which to file in accordance with CAROA 50 a petition
for review.
(2) If Relief Granted. If any relief be granted, upon
motion of the respondent, the relief shall be stayed
during the pendency of a petition for review. [Adopted
July 2, 1969, effective July 11, 1969; amended, adopted
Sept. 3, 1969, effective Sept. 12, 1969; amended, adopted Nov. 10, 1969, effective Nov. 21, 1969; amended,
adopted Nov. 13, 1970, effective Jan. 2, 1971; amended,
adopted Mar. 27, 1972, effective Mar. 27, 1972.]
Comment by the Court: Compete revision of former ROA 56.
Rule 57
Procedure for petitions for extraordinary
writs. (a) Scope of Rule. Petitions for all writs author-
ized by the state constitution and necessary and proper
to the complete exercise of the court of appeals appellate and revisory jurisdiction, as prescribed by statute,
shall be entitled, processed, and determined under the
provisions of this rule EXCEPT petitions for writs of
habeas corpus which shall be governed by CAROA 56.
(b) Additional Review by Writ. In addition to the
writs that may be issued pursuant to (a) of this rule, an
aggrieved party may petition the court of appeals for
review of any final termination made by a superior
court in any action or proceeding in which one or more
of the following are present:
(1) Custody. Where the determination concerns the
custody of a minor.
(2) Adoption. Where the determination concerns the
adoption of a minor.
Rule 57
(3) Juvenile Court Proceedings. Where the determination is made by a juvenile court.
(4) Certificate of Public Use and Necessity. Where
the superior court has granted or denied a petition for
public use and necessity in an action of eminent
domain.
(5) Free Statement of Facts. Where the superior court
has denied, in whole or in part, a petition of an indigent
criminal defendant for a statement of facts at county
expense.
(6) Inadequate Remedy by Appeal. Where the remedy by appeal is inadequate.
(c) Stay of Proceedings and Jurisdiction.
(1) Proceedings in the superior court or the enforcement of any detefmination shall not be stayed by the
application for a writ except as herein provided.
(i) Bond for Damages. If the chief judge stays proceedings in the superior court, he may require the petitioner to file a bond in an amount deemed sufficient to
protect respondents from all damage:s that may be suffered by reason of the stay of proceedings: and
(ii) Cost Bond. The stay shall not be entered by the
clerk until petitioner files a bond for costs as provided
by (g) (2) of this rule.
(2) Jurisdiction. Jurisdiction of the court of appeals
over the cause shall attach when
(i) the chief judge has stayed the proceedings in the
superior court or issues an order granting the writ; and
(ii) petitioner has filed a bond for costs as provided
by (g) (2) of this rule, and a bond, if required by
(c)(2)(ii) of this rule;
(iii) provided that the superior court shall retain jurisdiction for the purpose of all proceedings to be held
in such court for the purpose of settlement and certification of a statement of facts, and for all other purposes, as might be directed by order of the court of
appeals.
(d) Contents and Format of Petition, Response, and
Briefs.
(1) Contents of Petition. The petition for a writ shall
be verified by petitioner or his counsel and shall contain
a brief statement of the essential facts constituting the
ground for review and issuance of the writ by the court
of appeals. The petition shall be supported by a memorandum of authorities, and, if necessary, further supporting documents or affidavits.
(2) Response to Petition. A respondent may serve
upon the petitioner or his counsel and file with the
court of appeals a response to the petition. The response may contain additional facts verified by respondent or his counsel, a memorandum of authorities, or
other supporting documents or affidavits.
(3) Format and Size. The caption of a petition for a
writ shall appear as it does in the superior court proceeding, except that the aggrieved party shall be designated as the petitioner and all other parties as
respondents. If the petition is for a writ of prohibition
or mandamus directed to the superior court, the trial
judge shall be named as a respondent. The petition and
response shall be typewritten, printed, mimeographed,
or produced by multilith or offset processes on lettersize paper (8 112 x 11 inches) and stapled on the left(Rules for Coort of Appeals------p 23)
Rule 57
Rules for Court of Appeals
hand side. Briefs may be typewritten and shall comply
in style and content with Rule 42; number thereof shall
be governed by (g) (3) of this rule.
(e) Time of Filing and Service.
(l) Filing. A petition for a writ must be filed in the
office of the clerk of the court of appeals within fifteen
days after the determination in question has been made
by the superior court, except as otherwise provided by
RCW 8.04.070 for the review of a certificate of public
use and necessity. Unless petitioner proceeds forthwith
to present the petition to the chief judge ex parte or
notes it for presentment within a reasonable time after
filing, the court may dismiss the petition for want of
prosecution.
(2) Service. When a petition for a writ is presented ex
parte to the chief judge and an order to show cause is
issued pursuant thereto, a copy of the petition and a
copy of the order to show cause shall be served forthwith by the petitioner upon all respondents or their
counsel.
A copy of the petition for a writ and notice or presentment thereof to the chief judge upon a day certain
may be served by petitioner upon all respondents or
their counsel prior to filing the petition.
All services shall be made in the manner prescribed
in Rule 3. Proof of service shall be filed with the clerk.
(f) Preliminary Hearing on Petition.
(1) If the petition is presented ex parte, the chief
judge may
(i) determine that the writ does not lie and deny the
petition; or
(ii) he may issue an order to show cause why the writ
should not issue. If an order to show cause is issued, the
chief judge shall fix a time (1) for hearing thereon either
before him or before the court and (2) for filing briefs in
support of, and in opposition to, the issuance of the
writ.
(2) Unless a shorter time, or another day and time, is
fixed by the chief judge, the preliminary hearing before
him on a petition for a writ shall be noted by petitioner
for hearing on a THURSDAY at 1:30 p.m. not less
than five nor more than fifteen days after service of a
copy of the petition and notice of hearing upon respondent or his counsel. Immediately upon notice of hearing
having been given, petitioner shall file with the clerk of
the court of appeals the petition, notice of hearing,
proof of service thereof, memorandum of authorities,
and supporting documents.
(3) If the petition is presented to the chief judge after
notice given as in these rules provided, the chief judge
may
(i) determine· that the writ does not lie and deny the
petition; or
(ii) cause the hearing on the petition to be continued
and
(iii) issue the writ;
(iv) provided, however, if the petition is for a writ of
prohibition or mandamus the chief judge may only determine that the writ does not lie or cause the hearing
on the petition to be continued and heard by the court.
(Rules for Court of Appeals----p 24)
(4) If the chief judge continues the hearing on the
petition to be heard by the court, or directs that the writ
issue, he may
(i) stay proceedings in the cause as in this rule provided; and
(ii) determine whether or not the matter is emergent.
If emergent, the petition or writ shall be set for argument before the court on a motion day. If not emergent,
the cause shall be set on the court's calendar by the
clerk of the court of appeals.
(5) Time for Hearing and for Briefs. The order of the
chief judge (i) directing the issuance of a show cause
order, (ii) continuing the petition to be heard by the
court, or (iii) directing that the writ issue, shall fix the
date and time for hearing thereon and the time for
service and filing of briefs of all parties.
(g) Procedure after Preliminary Hearing.
(I) Filing Copies. If the chief judge issues an order to
show cause, continues the hearing on the petition, or issues the writ, petitioner shall file with the clerk three
additional copies of the petition.
(2) Bond. When petitioner files the appropriate order
issued by the chief judge with the clerk, he shall also file
a bond in the amount of three hundred dollars, conditioned that the petitioner will pay all costs that may be
assessed against him in the proceedings, or on the dismissal thereof, not exceeding three hundred dollars, or
in lieu thereof, the petitioner shall deposit with the
clerk, cash in the sum of three hundred dollars for such
purpose: Provided, however, that no bond or filing fee
is required if the petition is filed by an indigent criminal
or juvenile delinquent seeking review of the superior
court's denial, in whole or in part, of a statement of
facts at county expense.
(3) Submission of Briefs. Briefs in support of, and in
opposition to, any petition, are required in all cases.
One copy of the brief of petitioner shall be served upon
each respondent or his counsel. The original and three
copies shall be filed. Any respondent who appears shall
serve a copy of his brief on petitioner or his counsel,
and file with the clerk the appropriate number of
copies.
(4) Filing Record and Proceedings. Within the time
allowed for the service and filing of his opening brief,
the petitioner shall file with the clerk such portion of
the record and proceedings in the superior court as is
needed for the purpose of reviewing the application or
the determination. The record shall be certified or authenticated as in causes on appeal.
(5) Additional Record. Any respondent, within the
time allowed for service and filing his brief, may file
certified or authenticated portions of the record and
proceedings additional to those filed by the petitioner.
(6) Response and Cross-Re.view. If the chief judge
directs the clerk to issue the writ, respondents may
continue to urge at the hearing thereon that the writ
was improvidently issued and should be quashed; and
may, without the necessity of a cross-petition, present
and urge any claimed errors by the superior court
which, if repeated upon a new trial, would constitute
error prejudicial to respondents.
Court of Appeals Rules on Appeal (CAROA)
(h) Denial of Petition or Quashing Writ. The court
may deny a petition for a writ, or quash a writ already
issued, by journal entry.
(i) Attorney's Fees Awarded. In addition to statutory
attorney's fees and court costs, reasonable attorney's
fees may be assessed against petitioner if it is determined that a petition for a writ is not made in good
faith.
Q) Notice of Appeal. If a timely petition for a writ of
certiorari is denied, the petition shall be considered to
be a notice of appeal timely and properly filed. [Adopted July 2, 1969, effective July 11, 1969; amended,
adopted Sept. 3, 1969, effective Sept. 12, 1969.]
Comment by the Court: New provision authorizing a timely petition for a writ of certiorari which is denied to be considered as a
notice of appeal timely and properly filed.
Rule 58 Reserved.
Rule 59 Transcript of judgment, effect of. A transcript of any order or judgment, or both, of the court of
appeals, certified under the seal of the court, shall be
sufficient authority to any court, or to any officer on
whom it may be served, to proceed according to its
mandate. [Adopted July 2, 1969, effective July 11,
1969.]
Rule 60 Effect of judgment--Execution under. If
the court affirms or modifies any judgment or order appealed from, it may remand the cause to the superior
court with directions to carry the same into effect, or it
may itself issue the necessary process for that purpose
to the sheriff of the proper county, as it may deem advisable. If the cause is remanded to the superior court
to have such judgment or order carried into effect, the
decision of the court of appeals, and its order entered
thereon, upon being certified to the superior court and
entered on its records, shall have the same force and
effect therein as if made and entered by the superior
court. Executions issued from the court of appeals shall
be similar to those from the superior court, and of like
force and effect, and returnable in the same time.
[Adopted July 2, 1969, effective July 11, 1969.]
Rule 61 Effect of l'eversal-Writ of restitution. If
by a decision of the court of appeals the appellant becomes entitled to a restoration of any part of the money
or property that was taken from him by means of the
judgment or order appealed from, either the court of
appeals or the superior court may direct an execution or
writ of restitution to issue for the purpose of restoring
to the appellant his property, or the value thereof. But
property acquired by a purchaser in good faith, under a
judgment subsequently reversed, shall not be affected
by such reversal. [Adopted July 2, 1969, effective July
11, 1969.]
Rule 62 Damages may be awarded, when. Upon the
affirmance of any judgment or order for the payment of
money, the collection of which, in whole or in part, has
been stayed by a supersedeas bond, as in these rules
provided, the court may award to the respondent damages upon the amount superseded; and, if satisfied by
Rule 66
the record that the appeal was taken for delay only, the
court may award such damages as will effectually tend
to prevent the taking of appeals for delay only. [Adopted July 2, 1969, effective July 11, 1969.]
Rule 63 Appeals to be heard on merits. The court of
appeals will hear and determine all causes removed
thereto in the manner hereinbefore provided, upon the
merits thereof, disregarding technicalities, and will upon
the hearing consider as made all amendments which
could have been made. [Adopted July 2, 1969, effective
July 11, 1969.]
Rule 64
Reserved.
Rule 65
Reserved.
Rule 66 Disposition of material exhibits. (a) Transfer
of Custody. Physical exhibits which, because of their
bulk or weight, cannot be attached to the statement of
facts, and which are only material to an issue of fact
not before the court of appeals on review shall be retained in the custody of the trial court subject to being
obtained on request by the court of appeals while the
court of appeals has jurisdiction of the cause.
(b) Disposition. If a cause is remanded for further
proceedings, the exhibits in the custody of the court of
appeals shall be returned to the court having jurisdiction. When a cause is not remanded for further proceedings, counsel shall be notified, except in criminal
cases, that the exhibits which cannot be retained in the
court of appeals file will be destroyed or disposed of six
months after the date of the remittitur unless:
(1) A stipulation is filed by counsel or the parties of
record providing for disposition and costs of transfer of
such exhibits. The clerk shall dispose of the exhibits in
accordance with the stipulation.
(2) A party or counsel of record notifies the court of a
desire for such an exhibit. The exhibit shall be returned
to the clerk of the court having jurisdiction of cause for
such disposition as that court shall determine proper.
(c) Destruction and Disposal. Six months after notification, except in criminal cases, the clerk shall destroy
physical exhibits which cannot be retained in the court
of appeals file and which have not been requested by
counsel or parties of record unless:
(1) The exhibits are of historical value, in which case
they will be transferred to the custody of the Washington State Museum.
(2) The exhibits are of material value, in which case
they will be transferred to the state's central purchasing
office for sale.
In criminal cases, exhibits may be destroyed on proof
of death of the defendant. [Adopted July 2, 1969, effective July 11, 1969.]
Comment by the Court: Complete revision of former ROA 66
providing new procedures.
(Rules for Court of~ 25]
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