Several rules govern whether it is necessary for out-of-state licensed lawyers to apply for pro hac vice admittance in arbitration proceedings to be conducted here. Links to these various rules follow below. Please review these rules to determine if you need to apply for pro hac vice admission. Rule 5.5 (Utah Rules of Professional Conduct) subsection (a) states that “a lawyer shall not practice law in a jurisdiction in violation of the regulation of the legal profession in that jurisdiction or assist another in doing so.” The rule then sets forth various provisions and comments addressing alternative dispute resolution mechanisms such as arbitration.

Rule 5.5 must be read in conjunction with Rule 14-802 (Authorization to Practice Law) in the Utah Supreme Court Rules of Professional Practice. That rule governs what constitutes the practice of law in Utah and contains a number of exceptions to the general rule. The comment to subsection (b)(2)(B) of Rule 14-802 makes it clear that arbitration proceedings are characterized as “[T]ribunals…that render judgments or opinions involving a person’s interests.” and thus, participation constitutes the practice of law in Utah. Subsection (c)(8) makes an exception for those acting as a representative before administrative tribunals or agencies as authorized by tribunal or agency rule or practice. Subsection (c)(9) provides an exception for those serving in a neutral capacity as the arbitrator. For participating, i.e., representing the interests of a third party, in nearly all other arbitration proceedings, an out-of-state lawyer must apply to the Bar for pro hac vice admittance.

The pro hac vice process has been appropriately modified for those out of state lawyers appearing in arbitration proceedings. For instance, neither a Utah licensed sponsoring counsel nor a motion nor order are required. Other requirements under the pro hac vice rule, however, including, but not limited to, the standard fee and a current certificate of good standing still remain.

WHAT DO I NEED?

1. An arbitration application form (see link below)
2. A certificate of good standing (see “Additional Information” below)
3. A check in the correct amount (see “Additional Information” below)
4. An Acknowledgement of Supporting Documentation and Receipt of Filing Fee for Arbitration Proceeding (see “Plan Ahead” section below)

PLAN AHEAD - The Receipt is not Intended to Merely Evidence Payment of the Fee

The “Acknowledgement of Supporting Documentation and Receipt of Filing Fee for Arbitration Proceeding” is not a simple receipt evidencing that you have merely paid the necessary fee. The materials you are required to submit must be complete, accurate, and up-to-date. If not, the application will be rejected and the “Acknowledgment of Supporting Documentation and Receipt of Filing Fee for Arbitration Proceeding” will not be issued. We do our best to accommodate last minute “emergency” requests but please be aware that there may be times staff is not available to process your application.

WHAT GETS FILED WHERE AND WHEN?

• In order for the Bar to process your application and issue an Acknowledgement of Supporting Documentation and Receipt of Filing Fee for Arbitration Proceeding, the Bar needs: (1) an original signed and notarized arbitration application; (2) an original certificate of good standing; and (3) a check in the proper amount ($175.00 per applicant per matter) made payable to the Utah State Bar. Fee exemptions are available for certain and limited circumstances; see "Additional Information" below. Please send these materials to:

Utah State Bar
645 South 200 East
Salt Lake City, Utah 84111
Attn: Pro Hac Vice

• If your documents are in proper order (e.g., correct amount of fee, applicant not suspended from the practice of law, etc.) and complete, the Bar will issue an Acknowledgement of Supporting Documentation and Receipt of Filing Fee for Arbitration Proceeding which will be mailed to the applicant.

• Applicant should then retain the original Acknowledgement of Supporting Documentation and Receipt of Filing Fee for Arbitration Proceeding for his or her records and provide opposing counsel or the arbitrator a copy upon request.

ADDITIONAL INFORMATION

A separate arbitration application must be submitted for each attorney seeking admission in a matter. For example, if a firm’s senior attorney and two associates are to represent the client in the matter, each must file a separate application (and submit an additional fee).

Certificates of good standing can take several weeks to obtain from either your state bar association or your state court of highest jurisdiction. We need a current (within 60 days) original certificate from your primary (underlying) state of licensure; certificates from federal or “specialty” courts or voluntary bar associations are not acceptable.

Rule 14-806 of the Utah Supreme Court’s Rules of Professional Practice in the Utah Code of Judicial Administration requires a $175.00 fee per pro hac vice applicant per case. Effective April 1, 2006 and pursuant to subsections (d)(1) and (d)(2) of Rule 14-806, fee exemptions by rule are available for: (1) attorneys who are employees of and representing the United States of America or any of its departments or agencies; and (2) attorneys representing indigent clients on a pro bono basis. (For the latter category, click here for an affidavit which the applicant needs to complete, sign, have signature notarized and attach to original application.)

Rule 14-806 of the Utah Supreme Court’s Rules of Professional Practice in the Utah Code of Judicial Administration does not permit pro hac vice appearances by attorneys licensed elsewhere, but who reside in the State of Utah.

CLICK HERE FOR A COPY OF THE ARBITRATION APPLICATION

CLICK HERE FOR RULE 5.5 (UTAH RULES OF PROFESSIONAL CONDUCT)

CLICK HERE FOR RULE 14-802 (AUTHORIZATION TO PRACTICE LAW)

Please contact Diana Gough, Assistant to General Counsel, at 801-297-7057 or by e-mail at counsel@utahbar.org with any questions you may have and we will be happy to assist you.