MANDATORY
CONTINUING LEGAL
EDUCATION REGULATIONS
TABLE OF CONTENTS
MCLE
Rule 1
PURPOSE
MCLE
Rule 2
DEFINITIONS
MCLE
Rule 2
MEETINGS AND OFFICERS
MCLE
Rule 4
CREDITS AND COMPUTATIONS
MCLE
Rule 5
EXEMPTIONS
MCLE
Rule 6
ACCREDITATION OF SPONSORS PROGRAMS, ACTIVITIES
MCLE
Rule 7
FILING AND RECORDS
MCLE
Rule 8
FAILURE TO COMPLY - SANCTIONS
MCLE
Rule 9
HEARINGS
MCLE
Rule 10
REINSTATEMENT PROCEDURE
MCLE
Rule 11
FEES
MCLE
Rule 12
COMMISSION, STAFF, AND EXPENSES
MCLE
Rule 13
CONFIDENTIALITY
MCLE
Rule 14
MAILING ADDRESS OF COMMISSION
APPENDIX A
ACCREDITATION GUIDELINES
APPENDIX B
TEACHING RESTRICTIONS
APPENDIX C
FEE SCHEDULE
APPENDIX D
UNIFORM APPLICATION OF ACCREDITATION
APPENDIX E
APPLICATION FOR AUTHORSHIP CREDIT
APPENDIX F
APPLICATION FOR ACCREDITED SPONSOR STATUS
APPENDIX G
SUMMARY REPORTING FORM (FILING)
MCLE RULE 1:
PURPOSE
It is of primary importance to the
courts, the bar, and the public that attorneys continue their legal education in
order to have and maintain the requisite knowledge and skill necessary to
fulfill their professional responsibilities.
These Regulations are adopted to implement a program of mandatory
continuing legal education (MCLE) and to set standards and minimum requirements
for the program.
MCLE RULE 2:
DEFINITION
2.01
Accredited sponsor: a
sponsor of continuing legal education activities accredited pursuant to IV.3.4,
IV.3.5, and MCLE Rule 6 or approved as an accredited sponsor by the Commission
pursuant to IV.3.6 and MCLE Rule 6. During
the time an organization or person is an accredited sponsor, all continuing
legal education activities offered by such organization or person shall be
deemed approved.
2.02
Active practitioner: an
attorney who is required to pay the annual registration fee imposed by the Rhode
Island Supreme Court for the current registration period.
2.03
Approved program or activity:
a continuing legal education program or its equivalent offered by an
accredited sponsor under MCLE Rule 6 or a program meeting the standards set
forth in MCLE Rule 4 and approved by the Commission pursuant to MCLE Rule 6.
2.04
Annual reporting period: the
period from July 1 of any year and through June 30 of the following year.
2.05
Article IV Rule 3 ‑ The MCLE Rule of
2.06
Commission:
2.07
MCLE Credit hour: 50
minutes spent by an attorney in instructional programming at an approved
continuing legal education activity.
2.08
Director: the
Executive Director of the Mandatory Continuing Legal Education Commission.
2.09
Inactive practitioners: Any
attorney who is registered with the Rhode Island Supreme Court as such.
2.10
In‑house Activity: continuing
legal education programs sponsored by a single private law firm, a single
corporate law department, or a single federal, state, or local governmental
entity where the only participants are members or employees of such firm,
department, or entity.
2.11
MCLE Regulations: regulations
adopted by the Commission and approved by the Rhode Island Supreme Court from
time to time.
MCLE Rule 3:
MEETINGS AND OFFICERS
3.01
The Commission shall meet at the office of the Rhode Island Supreme
Court,
3.02
The Supreme Court shall appoint the chair from among the members of the
Commission.
3.03
At the first meeting held in each annual attorney reporting period, the
Commission shall elect from its membership a vice chair and a secretary.
The vice chair shall not be a judicial member of the Commission.
MCLE Rule 4:
CREDITS AND COMPUTATION
4.01
MCLE credit(s) for approved program attendance will be awarded on the
basis of one (1) credit hour for each 50 minutes actually spent in attendance.
One‑half credit shall be awarded for (i) programs exceeding
standard credit increments by at least 25 minutes (e.g. 75 minutes = 1 1/2
credits), and (ii) Ethics presentations of at least 25 minutes duration, whether
stand‑alone or included in a larger program.
NO credit will be allowed for any program of less than 25 minutes
duration, regardless of the topic.
4.02
The burden of proving MCLE credit entitlement for attendance at a course
offered by a non-approved sponsor shall be on the active practitioner who, upon
demand, must submit all registration and course materials concerning said
program.
4.03
MCLE Credit will not be given for any course taken before admission to
the Rhode Island Bar. MCLE credit
will not be given for any course required for admission to practice in any court
or jurisdiction.
4.04
MCLE credit may be earned through enrollment in formal education of a
postgraduate nature, either for credit or by audit, in an
4.05
MCLE Credit hours may be obtained for attendance at in-house programs
which meet the standards outlined in IV.3.6 and MCLE Rule 6 hereof.
(See also Appendix D).
4.06
No more than five (5) MCLE credit hours may be earned by an active
practitioner in any reporting year through MCLE in-house activities.
4.07
MCLE credit may be earned for certain activities which cross academic
lines (e.g., accounting-tax). (See
Appendix A for criteria).
4.08
The Commission will award two (2) extra credit hours for each 50 minutes
that an active practitioner spends teaching an approved program i.e. a total of
three (3) hours for each 50 minutes with an annual limitation of six (6) credit
hours. Rules for teaching
qualification are provided herein as Appendix B.
4.09
Presenters who serve as members of a discussion or similar panel shall
receive teaching credit only if they have made a presentation which conforms to
the requirement of Appendix B.
4.10
The Commission may award credit for research activities upon written
application by attorneys engaged in such activities, provided the activity (1)
has produced published findings in the form of articles, chapters, monographs,
or books personally authored in whole, or in part, by the applicant, and (2)
contributes substantially to the continuing legal education of the applicant and
other attorneys. Such credit(s)
shall not exceed five (5) MCLE credit hours per annual reporting period.
The Commission will, upon publication
and submittal, judge applications on a case by case basis as to acceptability,
and if so found, the number of credit hours allowed.
(Appendix E).
4.11
Proof(s) of attendance shall be issued by providers only at the
conclusion of a seminar. The
Commission recommends a sign-in/sign-out procedure and implementation of such a
procedure shall afford the provider a "safe haven" should any problems
concerning attendance arise.
4.12
A maximum of three (3) credits may be earned for on-line, telephonic, video, or sound tape presentations
if a qualified person is in attendance to comment and answer questions
in person or by on-line, email or telephonic means (see also MCLE 6.12 hereof and Appendix D).
4.13
If an attorney earns more than ten (10) MCLE credit hours in a
registration period the excess hours may be used to fulfill, as far as possible,
the attorney's MCLE requirement for the next ensuing year, but not thereafter.
Excess credits must be reported in the year taken.
4.14
An attorney who resides in any MCLE jurisdiction other than RI, who is deemed in compliance with that other jurisdiction’s
MCLE requirement for the annual reporting period, shall be deemed in compliance
with RI only if an official transcript of certification is received by the RI
MCLE Commission. The transcript or
certification must be accompanied by the filing form prescribed by the RI MCLE
Commission and filed by the practitioner by June 30.
MCLE RULE 5:
EXEMPTION
5.01
An attorney who suffers a disability which makes physical attendance at
CLE programs inordinately difficult may file, annually, a request for a
substitute program in lieu of attendance and shall therein propose the
alternative continuing legal education program the attorney can undertake,
together with a doctor's letter specifically stating the nature and extent of
illness/incapacitation. Where a
disability prohibits any form of participation in continuing legal education,
said doctor's letter should so indicate. The
Commission shall review, and approve or disapprove such alternate programs on an
individual basis.
5.02
Other requests for alternative CLE programs, waivers, or exemptions for
good cause shall be submitted to the Commission in writing with full explanation
of the circumstances supporting the request.
(Appendix D).
5.03
Attorneys who are listed as inactive or retired on the records of the
Supreme Court shall be exempt.
5.04
Attorneys holding a full‑time Municipal, State, or Federal office,
who are not engaged in the practice of law, shall be exempt during their term(s)
of office.
5.05
State and Federal Court judges, magistrates, and masters whose judicial
duties are full‑time and who are not engaged in the practice of law shall
be exempt.
5.06
Attorneys admitted to practice during a reporting year shall be exempt,
for that year only.
5.07
Notwithstanding any of the above provisions, any attorney who reaches the
age of seventy (70) during a reporting year shall be granted exemption for that
year and thereafter.
5.08
In the event an active attorney does not practice
throughout
the compliance year, a waiver of that year’s MCLE requirement may be requested
(refer to RI Supreme Court Rules, Article IV, Rule 3.8[d]).
5.09
Attorneys who are active full time, military personnel are exempt from
the requirement, but must certify said status on the summary reporting form
(Appendix G).
MCLE RULE 6:
ACCREDITATION SPONSOR PROGRAMS, ACTIVITIES
6.01
In order to obtain and maintain approval, sponsors of MCLE courses or
activities must comply with the following minimum requirements:
a. The sponsor must develop and implement
methods to evaluate its course offerings to determine their effectiveness and,
upon request from the MCLE Commission, provide course evaluations by attendees.
b. The sponsor must provide courses consistent
with the standards for individual course approval as set forth in IV.3.6 of the
Supreme Court Rule.
6.02
Reserved.
6.03
Standards: a
continuing legal education course, program, or activity shall meet the following
minimum standards in order to be approved for MCLE credit:
a. It shall be of significant intellectual and
practical content such that it will contribute to the growth of an attorney's
professional competence and skills.
b. Its subject matter shall be directly or
supportively relevant to the practice of law and/or legal ethics.
(Appendix A)
c. It shall be conducted by a person or persons
qualified professionally to present the subject matter involved.
d. It shall be presented in a classroom, meeting
room, or lecture hall conducive to a meaningful educational experience.
e. Its content shall be presented in a
multi‑mode fashion, utilizing oral presentations supplemented with written
hand‑outs or texts. All
materials shall meet the highest professional standards in terms of their
timeliness, organization, and detail.
f. It shall utilize video and audio tape
presentations only as an adjunct to oral and written presentations.
Live satellite presentations shall be approved only if an on-site proctor is
in attendance.
6.04
The Commission may, at its discretion, require an accredited sponsor to
submit a report in writing of continuing legal education activities conducted
during any given reporting period.
6.05
If the Commission determines that an individual course offered by an
accredited sponsor fails to meet the standards for accreditation, the Commission
may withdraw approval for the course even though offered by an accredited
sponsor. An accredited sponsor may
seek an advisory opinion from the Commission in any case where there is a
question whether an activity may be accredited or the amount of credit to be
given. (Appendix D).
6.06
The Commission may at any time reevaluate and, for cause, revoke the
status of an accredited sponsor.
6.07
A sponsor wishing to apply for accredited sponsor status shall submit to
the Commission on a form approved for that purpose, information on any
continuing legal education programs planned for the current application year.
The Commission may, at its discretion, request submission of course
materials for inspection (Appendix D).
6.08
Sponsors of courses which have been approved may announce in
informational brochures or registration materials:
"Subject to Supreme Court Rule IV.3, this course has been approved
by the Rhode Island Mandatory Continuing Legal Education Commission for a
maximum of CLE
credits, or which are
ethics credits."
6.09
At the conclusion of an approved program or activity, each participating
attorney should be given the opportunity to complete an evaluation form
addressing the quality, effectiveness, and usefulness of the program or
activity.
6.10
Sponsors shall allow Commission members and staff to attend, free of
charge, any continuing legal education program.
(Such attendance shall not qualify for mandatory continuing legal
education.)
6.11
In-house MCLE activity in order to qualify shall meet the following
minimum requirements:
(a) the courses must be open to in-person
monitoring/observation by any member of the Commission.
To this end, the Commission must be notified thirty (30) days in advance
of the date, time and place of any in-house presentation for which credit will
be sought.
(b) The activity must be scheduled at a time and
location so as to be free of interruptions from telephone calls and other office
activity.
6.12
In the case of telephonic, video, and sound tape presentations, the
qualified person referred to in MCLE Rule 4.12 hereof, shall be one who, by
academic or professional qualification, possesses the knowledge to interact with
the audience to supplement the presentation and answer questions.
Commentary and question-and-answer segments should occur at a meaningful
time during the program, preferably after each subject matter break.
MCLE RULE 7:
FILING AND RECORDS
7.01
When an active practitioner completes the annual MCLE requirements set
forth in Rule IV. 3.2, he or she shall promptly report such fact to the
Executive Director on a prescribed form with legible copies of supporting
documentation (Appendix G).
7.02
Records of attendance may be submitted by affidavit in cases where a
program sponsor either failed to supply certification, the same was supplied but
lost, or certification was not available (e.g., scholarly writing).
7.03
Each active practitioner must report the status of his/her compliance or
exemption annually not later than June 30 (Appendix G).
7.04
Any documentation received by the Executive Director after October 1 or
after January 1, for the prior compliance year will subject the active
practitioner to a progressive late filing fee (Appendix C).
7.05
As soon as practicable after the close of a compliance year, the
Executive Director shall give notice of non‑compliance to any active
practitioner who fails to submit satisfactory proof of either compliance or
exemption.
7.06
Each active practitioner shall maintain a personal record of MCLE
attendance or exemption from the compliance mandate for a period of three (3)
years. Such records will be subject
to review by the MCLE Commission upon request.
7.07
NO INFORMATION REGARDING THE CONTENT OF AN ACTIVE
PRACTITIONER'S MCLE RECORDS WILL BE GIVEN OVER THE PHONE TO ANY PERSON
OTHER THAN THE PRACTITIONER FOR WHICH THE REQUEST IS MADE.
MCLE RULE 8:
FAILURE TO COMPLY - SANCTIONS
8.01
An active practitioner who fails to fulfill the educational requirements
of MCLE shall correct his or her failure to comply with the requirements of this
rule within ninety (90) days of the date of the notice of delinquency, or be
subject to possible sanction by the Supreme Court.
A fee will be assessed for filing make‑up credits and for late
compliance. For any make-up credits
received after the 90-day make-up period has elapsed, the active practitioner
shall be assessed double the published make-up fee.
Active practitioners reporting compliance by make-up credit will not be
eligible for carry forward credit (Appendix C).
8.02
If an active practitioner does not correct his or her failure to comply
with the requirements of MCLE within ninety (90) days of the date of the notice
of delinquency, the Executive Director shall file a notice of
non‑compliance with the Supreme Court, which may, in its discretion, issue
an order directing said attorney to show cause why he or she should not be
suspended from the practice of law.
8.03
An active practitioner suspended pursuant to this rule who, thereafter,
comes into compliance shall file a certificate of retroactive compliance with
the Commission in such form as the Commission shall prescribe and pay a
reinstatement fee (Schedule C). Within
thirty (30) days of the filing of said certificate, the Executive Director, if
satisfied, shall file the same with the Commission's approval noted thereon with
the Supreme Court for the Court's information.
8.04
An active practitioner aggrieved by the refusal of the Commission to
approve a certificate of retroactive compliance may file a petition for review
by the Supreme Court.
MCLE RULE 9:
HEARINGS
9.01
If requested in writing the Commission shall grant a hearing to anyone
aggrieved by the operation and/or application of these rules.
9.02
At the discretion of the Commission, the hearing may be held before the
entire Commission or a three member panel thereof.
If a hearing is held before a three member panel, the panel shall report
its findings and recommendations to the full Commission for action.
9.03
Hearings, when held, shall follow the course of proceedings before the
Disciplinary Board of the Rhode Island Supreme Court.
MCLE RULE 10:
REINSTATEMENT PROCEDURE
Any attorney suspended from practice
for failure to comply with IV.3 "Mandatory Continuing Legal Education"
may be reinstated pursuant to Article II, 42-16 of the Rhode Island Supreme
Court Rules.
MCLE RULE 11:
FEES
11.01
The administrative costs of the MCLE program shall, to the extent
possible, not be met by direct assessment of the active practitioners.
11.02
Each MCLE provider who is either granted blanket approval by these
regulations or applies for approved sponsor status shall be assessed an annual
fee. (Appendix C).
11.03
Approved sponsors including In-House qualifiers, who offer not more than
two (2) credit hours in any reporting year shall pay a separate fee for the
first and the second offering. (Appendix
C). In-House programs may exceed the
two (2) credit limit without further application charge(s).
11.04
Providers shall, in addition, remit to the Commission within thirty
(30)days of program presentation, a sum computed on the basis of a charge per
MCLE credit hour or permitted fraction. (Appendix C)
In
the case of "NO FEE" programs presented by not-for-profit providers,
neither the provider nor the attendee shall be liable for the hour based charge
provided herein.
11.05
In the case of qualifying courses offered by non-approved providers,
either the provider or the attendee must pay the fee indicated by in the schedule
of fees (Appendix C) before the active practitioner can receive credit.
(See also 4.02 above).
11.06
The Commission shall review and revise Schedule C as it deems necessary.
11.07
Should the foregoing method(s) of funding prove either inadequate or
unworkable, the Commission may from time to time alter this regulation.
If deemed absolutely necessary, a one time start up assessment may be
made during the first five (5) years of the MCLE operation.
11.08
Any attorney requesting replacement of a lost transcript will be assessed
a $5 fee.
MCLE RULE 12:
COMMISSION, STAFF AND EXPENSES
12.01
An Executive Director, appointed by the Supreme Court, with such other
staff as may be reasonably necessary, shall conduct the business of the
Commission subject to these regulations and to IV.3 "Mandatory Continuing
Legal Education."
12.02
Members of the Commission and Commission staff shall, upon request, be
reimbursed their actual and necessary expenses incurred in travel to and from
Commission meetings and for pre-authorized travel in connection with Commission
business.
MCLE RULE 13:
CONFIDENTIALITY
13.01
Subject always to the direction of the Supreme Court, the files, records,
and proceedings of the Commission, as they may relate to or arise out of the
failure of any attorney to satisfy continuing legal education requirements,
shall be confidential.
13.02
At such time as the Executive Director issues a notice that an active
practitioner has failed to meet MCLE requirements, the file of that attorney
shall be open to public scrutiny.
13.03
Statistical studies, done in anonymous fashion, may be abstracted for use
by the Commission.
MCLE RULE 14:
MAILING ADDRESS OF COMMISSION
Subject to change by order(s) of the Commission from time to time, the
official address of the Commission is:
24 Weybosset Street
401-222-4942
401-222-4302
APPENDIX
A
ACCREDITATION GUIDELINES
FOR CLE ACTIVITIES
Pursuant to the authority granted to the Commission on Mandatory
Continuing Legal Education to administer said program, the following
accreditation criteria are hereby adopted as Appendix A to be used to determine
if CLE activities submitted for MCLE accreditation satisfy the general standards
specified in MCLE Rules 4 and 6.
CLE activities shall be accredited for MCLE in
(A) The activity consists of an organized program
of education dealing with:
(1) substantive or procedural subjects of
law:
(2) technical, scientific or other bodies
of knowledge that are so inextricably intertwined with an area of law practice
as to be tantamount to a subject of law;
(3) legal skills and techniques;
(4) legal ethics and/or professional
responsibility; or
(5) law office management;
(B) The instructors or lecturers are either
qualified attorneys or judges, or they are experts in the subject area based on
their education and background;
(C) The activity is primarily designed and
targeted to attorneys and other professionals who would require the same level
of instruction as attorneys in the area of study that is the subject of the
activity;
(D) The activity is not a meeting of a bar
association, committee, section or other entity composed of attorneys, that is
designed to be a general business or work session as opposed to a CLE activity;
(E) The activity is not training in the
actual use of specific hardware, software or other tools that are specific
products of a particular company or person, unless such training is merely a
method of explaining the overall concept being taught; and
(F) High quality written materials should
be distributed to all participants at or before the time the activity is
offered.
"Legal ethics" shall include programs that deal with usages and
customs among members of the legal profession, involving their moral and
professional duties toward one another, toward clients, and toward the courts.
"Professional responsibility" shall include programs that deal
with maintaining the integrity and competence of the Bar so that legal services
are delivered with the highest degree of professional conduct.
Examples of such programs shall include, but not be limited to, those
involving disciplinary rules, rules of professional conduct, malpractice
avoidance, substance abuse and stress as an impairment on law practice,
alternate dispute resolution, pro bono legal services, and the participation of
women and minorities in the legal profession.
"Law office management" shall include programs on topics that
relate strictly to law offices and legal departments, and to the development and
training of lawyers in the actual practice of law, as opposed to other
businesses or professions, and in assisting them in providing high quality legal
services to their clients.
Examples of such programs shall include, but not be limited to those
involving: (1) administrative and
organizational structure and planning for law firms,
(2) case management and docket control,
(3) accounting systems and time and billing systems for lawyers,
(4) client filing and monitoring systems,
(5) computerization, automation and data processing for law firms,
(6) personnel management.
"Law office management" shall not include programs involving:
(1) individual money management or investing,
(2) personal development, (3)
techniques designed and marketed solely to increase profits of a lawyer or firm,
(4) general time management and personal organizational skills, and
(5) individual communication and interpersonal skills such as interview
skills.
APPENDIX B
Teaching
under the following circumstances does not qualify for teaching credit at
a rate of three credits for each MCLE hour of presentation:
1. Actual instruction time was less
than 25 minutes.
2. Written materials were not
distributed.
3. Teaching was directed to an
audience of which a majority were non-lawyers.
4. Presentation was to persons
pursuing a degree other than a J.D., L.L.B., L.L.M., or S.J.D.
5. Presentation was to persons
preparing for admission to the practice of law.
APPENDIX
C
SCHEDULE
OF FEES
The
following fee schedule is adopted by the Mandatory Continuing Legal Education
Commission:
7.04
Late Filing of Qualification Status.
If filed
July
15 to September 30 $
25.00
October 1 to December 31
$ 50.00
January 1 to June 30
$ 75.00
8.01
Make-Up Plan
$ 50.00
Filing
8.03
Certificate of Retroactive
$ 75.00
Qualification
Filing
11.02
Approved Sponsor
$125.00
Annual Fee
11.03
Approved Sponsors
Limited Annual Fee
1st hour
$ 75.00
2nd hour
$ 25.00
11.04
Per MCLE Credit Hour
$ 1.50
Per Half (.5) MCLE
$ .75
Credit Hour
11.05
Active Practitioners will
$ 5.00
Pay a processing fee of
$5.00 per application for
approval of a course offered
by a non-accredited sponsor.
11.08
Replacement transcript
$ 5.00
APPENDIX C