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Clerk of the Appellate Courts
Kansas Judicial Center
301 SW 10th Avenue, Room 374
Topeka Kansas 66612-1507
Telephone:  785.296.3229
Fax:  785.296.1028
Email: appellateclerk@kscourts.org


Rules Adopted by the Supreme Court

Rules Relating to Discipline of Attorneys

Rule 216A
Rules Relating to Discipline of Attorneys

Compliance Examinations by the Disciplinary Administrator

(a) The Disciplinary Administrator or the Disciplinary Administrator’s representative authorized in writing by the Disciplinary Administrator shall have the power to perform compliance examinations of any Rule 226 trust account. All references in this rule to Disciplinary Administrator also refer to a representative authorized in writing.

(b) If a lawyer or law firm refuses to produce trust account records upon request of the Disciplinary Administrator, a compliance examination of a lawyer’s or law firm’s trust accounts conducted under this rule may be commenced by the issuance of an investigative subpoena to compel the production of records relating to a lawyer’s or law firm’s trust accounts. The subpoena shall contain a certification that it was issued in compliance with this rule. If a subpoena is required, it should be served at least fourteen (14)days before commencement of the compliance examination.

(c) With respect to each compliance examination conducted under this rule, the examiner shall:

(1) determine whether the lawyer’s or law firm’s records and accounts are being maintained in accordance with applicable Supreme Court rules and

(2) employ sampling techniques to examine "selected accounts,” unless discrepancies are found which indicate a need for a more detailed examination. "Selected accounts” may include money, securities and other trust assets held by the lawyer or law firm; safe deposit boxes and similar devices; deposit records; canceled checks or their equivalent; and any other records which pertain to trust account transactions affecting the lawyer’s or law firm’s practice of law.

(d) The examiner shall prepare a written report containing the examiner’s findings, a copy of which shall be provided to the examined lawyer or law firm.

(e) In the event the compliance examination reports deficiencies in the lawyer’s or law firm’s records or procedures, the lawyer or law firm shall within fourteen (14) days after receipt of the report, provide evidence that the alleged deficiencies either are incorrect or have been corrected. If corrective action requires additional time, the lawyer or law firm shall apply for an extension of time to a date certain in which to correct the deficiencies cited in the compliance examination report.

(f) All records produced for the compliance examination conducted under this rule shall remain confidential, and their contents shall not be disclosed in violation of the lawyer-client privilege.

(g) Records produced for a compliance examination conducted under this rule may be disclosed to:

(1) the Disciplinary Administrator or to a court to the extent disclosure is necessary for the purposes of completing the compliance examination;

(2) the Disciplinary Administrator for the purposes of disciplinary proceedings; or

(3) any other person, including a law enforcement agency, with the permission of the Supreme Court.

(h) A lawyer or law firm shall cooperate in the examination conducted under this rule and shall answer all questions pertaining thereto. A lawyer’s or law firm’s failure to cooperate in an examination conducted under this rule shall constitute professional misconduct.

[History: New rule effective March 11, 1999; Am. effective July 1, 2010.]

See also: Rule 1001 - Electronic and Photographic Media Coverage of Judicial Proceedings