N.Y. Comp. Codes R. & Regs. tit. 22 § 602.1

Current through Register Vol. 46, No. 45, November 2, 2024

Section 602.1 - Admission of attorneys

(a) Filing of application papers. Every applicant for admission to practice as an attorney and counselor at law pursuant to subdivision 1(a) or 1(b) of section 90 of the Judiciary Law, may obtain the standard forms and instructions for that purpose from the secretary of the committee on character and fitness. Every applicant for admission to practice pursuant to subdivision 1(a) of section 90 of the Judiciary Law may obtain such forms and instructions immediately after taking the bar examination, and may file a completed application, consisting of the standard form of questionnaire and the other required papers as directed by the instructions, at any time thereafter, regardless of whether the results of the bar examination have yet been issued. As soon as the applicant shall receive a letter from the State Board of Law Examiners stating that the applicant has passed the bar examination, the applicant shall file that letter with the secretary of the committee on character and fitness, and if the applicant's questionnaire was verified more than 45 days prior to such filing, the applicant shall also file a supplemental affidavit stating whether there have been any changes in the facts stated therein and setting forth any such changes.

(b) Referral to committee on character and fitness. Every completed application shall be referred for investigation of the applicant's character and fitness to a committee on character and fitness designated by the Appellate Division of the department to which the applicant is eligible for certification by the State Board of Law Examiners after passing the bar examination, or to which the applicant is applying for admission without examination in accordance with the rules of the Court of Appeals for the admission of attorneys and counselors at law.

(c) Quorum for committee action. A majority of the entire committee shall constitute a quorum for the transaction of business by a committee on character and fitness if it consists of less than 10 members, and one fifth of the entire committee, but not less than five members, shall constitute a quorum if it consists of 10 or more members.

(d) Investigation and interview. The committee may itself conduct the required investigation, including an interview of the applicant, or it may authorize its chairman or acting chairman to designate one or more of its members to do so and to make a recommendation to the committee. The committee or the member or members thereof conducting the investigation may require the applicant to furnish such additional information or proofs of good character as the committee or such member or members may consider pertinent. The committee may commence the required investigation at any time after the applicant's completed application has been filed, except that the personal interview of an applicant for admission pursuant to subdivision 1(a) of section 90 of the Judiciary Law, shall not be held until after the applicant has been notified by the State Board of Law Examiners that the applicant has passed the bar examination and has been certified to apply for admission.

(e) Procedure upon recommendation of approval. If the committee shall approve the application following its own investigation, or if it shall accept a recommendation of approval submitted by the member or members conducting an investigation pursuant to designation, the chairman or acting chairman shall certify to the Appellate Division on behalf of the committee that the applicant possesses the requisite character and fitness.

(f) Procedure upon recommendation of disapproval, deferral or committee consideration. If the committee shall fail to approve the application following its own investigation, or following a recommendation submitted by the member or members conducting an investigation pursuant to designation that the application be disapproved or that action thereon be deferred, a hearing on the application shall be held expeditiously before the committee or a subcommittee of at least two members designated by the chairman or acting chairman. Such a hearing shall also be held if the member or members conducting an investigation pursuant to designation shall recommend consideration of the application by the committee and the committee shall fail to approve the application following such consideration.

(g) Notice of hearing; waiver. Unless waived in writing by the applicant, a written notice of hearing of not less than 20 days, specifying the time and place of a hearing, shall be served on the applicant. In addition, the notice of hearing shall inform the applicant of the matters to be inquired into and of the applicant's right to be represented by an attorney, and such information shall also be given to the applicant prior to the hearing if the applicant has waived notice of hearing.

(h) Procedure at hearing. At the hearing, hearsay evidence may be received and considered and adherence to strict rules of evidence shall not be required. The applicant shall be given an opportunity to call and cross-examine witnesses and to challenge, examine and controvert any adverse evidence. Upon timely request, subpoenas for the attendance of witnesses or the production of papers shall be issued to the applicant by the clerk of the Appellate Division, the subpoena fees and mileage to be paid by the applicant.

(i) Stenographic record or tape recording. A stenographic record or tape recording shall be made of the hearing, and the applicant may obtain a transcript or copy of the recording at the applicant's expense.

(j) Decision or report following hearing. Where the hearing has been conducted by the committee, the committee shall render a decision, and where the hearing has been conducted by a subcommittee, the subcommittee shall render a report, within 60 days after the matter is finally submitted, unless the time is extended by consent of the applicant or order of the Appellate Division. The decision of the committee or the report of the subcommittee, as the case may be, may recommend approval or disapproval of the applicant or deferral of action on the application for a period not to exceed six months.

(k) Transmittal of decision to Appellate Division following hearing conducted by committee. Where the hearing has been conducted by the committee, the committee shall transmit its decision to the Appellate Division, together with the appropriate certificate if it recommends approval of the applicant. If the decision recommends disapproval of the applicant or deferral of action on the application, it shall include a statement of the grounds on which it is based and a copy thereof shall be served on the applicant or the applicant's attorney.

(l) Review by committee following hearing conducted by subcommittee. Where the hearing has been conducted by a subcommittee, the subcommittee's report and the stenographic record or tape recording of the hearing shall be referred for consideration and review to the committee, which shall render a decision thereon expeditiously. The committee's decision may confirm, reverse or modify the subcommittee's report, or direct that a further hearing be held before the same or another subcommittee. If the committee's decision recommends disapproval of the applicant or deferral of action on the application, it shall include a statement of the grounds on which it is based and a copy thereof shall be served on the applicant or the applicant's attorney. The decision shall be transmitted to the Appellate Division, together with the appropriate certificate if it recommends approval of the applicant. The deliberations of the committee shall be confidential and the applicant shall not be entitled to compel disclosure thereof.

(m) Petition to Appellate Division following adverse decision. If the committee's decision is adverse to the applicant, the applicant may, within 60 days after service of a copy thereof, petition the Appellate Division, in accordance with rule 9404 of the Civil Practice Law and Rules, on notice of not less than eight days served on the committee together with any supporting papers, for an order granting the application for admission to practice notwithstanding the committee's decision.

(n) Petition to Appellate Division in case of unreasonable delay. In any case in which it is claimed that the committee has unreasonably delayed action on an application for admission to practice, the applicant may petition the Appellate Division, in accordance with rule 9404 of the Civil Practice Law and Rules, on notice of not less than eight days served on the committee together with any supporting papers, for an order granting the application notwithstanding the committee's failure to complete action thereon, or for other appropriate relief.

(o) Petition for advance ruling with respect to past conduct.

(1) Any person who is a matriculated student in an approved law school, as an approved law school is defined in the rules of the Court of Appeals for the admission of attorneys and counselors at law, or who has applied for admission to such a law school, and who has previously been convicted of a felony or misdemeanor, or suspended, removed or dismissed from public office or employment, or dishonorably discharged from the armed services of the United States, may petition the Appellate Division of the department in which such person resides or is employed full-time, or if such person does not reside and is not employed full-time in the State, the Appellate Division of the Third Department, for an advance ruling, in accordance with this section, as to whether such conviction, suspension, removal or dismissal from public office or employment, or dishonorable discharge, as the case may be, would operate to disqualify the petitioner, on character grounds, from being admitted to practice as an attorney and counselor at law in this State.

(2) The petition shall include a detailed statement of the facts with respect to the petitioner's conviction, suspension, dismissal or removal from public office or employment, or dishonorable discharge, as the case may be, and of the petitioner's activities subsequent thereto which the petitioner believes bear on character and fitness to practice law.

(3) The petitioner shall also submit a completed and verified questionnaire on the standard form furnished by the committee on character and fitness and affidavits of good moral character from two reputable persons who have known the petitioner for at least one year. In addition, the petitioner shall submit a letter from a person in authority at the approved law school in which the petitioner is a matriculated student or to which the petitioner has applied for admission, stating that such law school would retain or accept the petitioner as a student therein, as the case may be, if the petitioner's conviction, suspension, dismissal or removal from public office or employment or dishonorable discharge, as the case may be, would not operate to disqualify the petitioner from being admitted to practice as an attorney and counselor at law in this State.

(4) The petition and other papers submitted by the petitioner shall be referred to the appropriate committee on character and fitness, which shall process and investigate the petition in accordance with the procedures set forth in the preceding subdivisions of this section. The committee may recommend that a ruling be made either in favor of or against the petitioner, or that no ruling be made, and its recommendation shall be transmitted to the Appellate Division.

(5) A ruling made by the Appellate Division in favor of the petitioner shall determine that the petitioner's prior conviction, suspension, removal or dismissal from public office or employment, or dishonorable discharge, as the case may be, and the acts committed by the petitioner which resulted therein, would not operate to disqualify the petitioner, on character grounds, from being admitted to practice as an attorney and counselor at law in this State. Such a ruling shall have binding force throughout the State with respect to the determination thus made by it. In the event that the Appellate Division should rule against the petitioner or should refuse to make a ruling, its determination shall be without prejudice to the petitioner's right, after passing the bar examination, to apply for a favorable ruling with respect to character and fitness.

(p) Manner of service. Service of any notice or other papers required under any of these rules may be made by mail or in the manner provided for service of a summons.

N.Y. Comp. Codes R. & Regs. Tit. 22 § 602.1