Indiana CLE Requirements

Rule 29 – SECTION 3. EDUCATION REQUIREMENTS.

(a) Every Attorney, except as provided below, and every Judge of a city, town or Marion County small claims court, who is not licensed as an Attorney, shall complete no less than six (6) hours of Approved Courses each year and shall complete no less than thirty-six (36) hours of Approved Courses each Educational Period. At least three (3) hours of Approved Courses in professional responsibility shall be included within the hours of continuing legal education required during each three (3) year Educational Period. Such hours may be integrated as part of a substantive program or as a free standing program. All credits for a single educational activity will be applied in one (1) calendar year. No more than twelve (12) hours of the Educational Period requirement shall be filled by Non Legal Subject Matter Courses.

(b) Every Trial Judge of a circuit, superior, probate or county court first elected or appointed to the bench after January 1, 2006 shall attend the next regularly scheduled New Judge Orientation Program following the date of the Judge’s election or appointment unless the Chief Justice of Indiana, for good cause shown in a written request, excused the Judge.

(c) Attorneys admitted to the Indiana Bar before December 31, 1998, on the basis of successfully passing the Indiana Bar examination, shall have a grace period of three (3) years commencing on January 1 of the year of admission and then shall commence meeting the minimum yearly and Educational Period requirements thereafter. Attorneys admitted after December 31, 1998, shall commence meeting the yearly and Educational Period requirements starting on January 1 after the year of their admission by completing programs designated by the Commission as appropriate for new lawyers.

For Attorneys admitted after December 31, 1998, at least six (6) of the thirty-six (36) Educational Period Requirements shall be satisfied by attending an Applied Professionalism Program for Newly Admitted Attorneys which has been accredited by the Commission.

(d) Attorneys admitted on foreign license or Attorneys who terminate their inactive status shall have no grace period. Their first three year Educational Period shall commence on January 1 of the year of admission or termination of inactive status.

(e) For Judges of city, town and Marion County small claims courts, who are not Attorneys, the first three year Educational Period shall commence on January 1 of the first full calendar year in office.

A Judge who fails to comply with the educational requirements of this rule shall be subject to suspension from office and to all sanctions under Section 10. A Judge so suspended shall be automatically reinstated upon compliance with Section 10(b) “Reinstatement Procedures”. The Commission shall issue a statement reflecting reinstatement which shall also be sent to the Clerk to show on the Roll of Attorneys that the Judge is in good standing.

(f) In recognition of the nature of the work, commitment of time, and the benefit of Attorney participation in the Indiana General Assembly, during an Attorney’s Educational Period, for each calendar year in which the Attorney serves as a member of the Indiana General Assembly for more than six (6) months, the Attorney’s minimum number of continuing legal education hours for that Educational Period shall be reduced by six (6) hours.

Amended Aug. 15, 2006, effective Jan. 1, 2007; amended Sep. 10, 2007, effective Jan. 1, 2008; amended Sep. 9, 2008, effective Jan. 1, 2009.

SECTION 4. COMMISSION FOR CONTINUING LEGAL EDUCATION.

(a) Creation of the Commission. A commission to be known as the Indiana Commission For Continuing Legal Education is hereby created and shall have the powers and duties hereinafter set forth. The Commission shall consist of eleven (11) Commissioners.

(b) Appointment of Commissioners and Executive Director. All Commissioners and the Executive Director shall be appointed by the Supreme Court.

(c) Diversity of Commissioners. It is generally desirable that the Commissioners be selected from various geographic areas and types of practice in order to reflect the diversity of the Bar and consideration should be given to the appointment of one (1) non-lawyer public member. The three (3) geographic divisions used for selecting Judges for the Indiana Court of Appeals in the First, Second and Third Districts may be used as a model for achieving geographic diversity.

(d) Terms of Commissioners. Commissioners shall be appointed for five (5) year terms. All terms shall commence on January 1 and end on December 31. Any Commissioner who has served for all or part of two (2) consecutive terms shall not be reappointed to the Commission for at least three (3) consecutive years.

Amended Sep. 9, 2008, effective Jan. 1, 2009.

SECTION 5. ORGANIZATION OF THE COMMISSION.

(a) Election of Officers. At the first meeting of the Commission after each October 1, the Commissioners shall elect from the membership of the Commission a Chair who shall preside at all meetings, a Vice Chair who shall preside in the absence of the Chair, a Secretary who shall be responsible for giving notices and keeping the minutes of the meetings of the Commission and a Treasurer who shall be responsible for keeping the records of account of the Commission.

(b) Meetings. The Commission shall meet at least twice each year at times and places designated by the Chair. The Chair, the Executive Committee or any six (6) Commissioners may call special meetings of the Commission.

(c) Notices. The Secretary shall send notice of each meeting of the Commission, stating the purposes of the meeting, to all Commissioners at least five (5) business days before the meeting. Commissioners may waive notice of a meeting by attending the meeting or by delivering a written waiver to the Secretary either before or after the meeting.

(d) Quorum. Six (6) Commissioners shall constitute a quorum for the transaction of business. The Commission shall act by a majority of the Commissioners constituting the quorum. Commissioners may participate in meetings of the Commission and committees thereof by telephone or other similar device.

(e) Vacancies. Any vacancy on the Commission shall be filled as soon as practical and the new Commissioner so appointed shall serve out the unexpired term of the Commissioner being replaced.

(f) Executive Committee. The officers of the Commission described in subsection (a) of this Section shall comprise the Executive Committee which shall have the power to conduct all necessary business of the Commission that may arise between meetings of the full Commission. Three (3) officers of the Commission shall constitute a quorum of the Executive Committee, and the Executive Committee shall act by a vote of a majority of the officers constituting the quorum. All action taken by the Executive Committee shall be reported to the full Commission at its next meeting.

(g) Other Committees. The Commission may appoint such other committees having such powers and duties as the Commission may determine from time to time.

SECTION 6. POWERS AND DUTIES OF THE COMMISSION AND EXECUTIVE DIRECTOR.

(a) In addition to the powers and duties set forth in this Rule, the Commission shall have the power and duty to:

1. Approve all or portions of individual educational activities which satisfy the legal education requirements of this Rule.

2. Approve Sponsors who meet the Requirements of Section 4 of the Commission’s Guidelines and whose educational activities satisfy the legal education requirements of this Rule. The Judicial Conference and all seminars conducted by the Judicial Center shall be approved for credit .

3. Determine the number of credit hours allowed for each educational activity.

4. Establish an office to provide administrative and financial record-keeping support of the Commission and to employ such persons, sponsors, or providers as the Commission may in its discretion determine to be necessary to assist in administering matters solely of a ministerial nature under this Rule.

5. Review this Rule and Commission Guidelines from time to time and make recommendations to the Supreme Court for changes.

6. Upon approval of the Supreme Court publish proposed guidelines and procedures through West Publishing Company and Res Gestae and file the proposed guidelines and procedures with the Clerk.

7. Provide quarterly financial reports and an annual report of the Commission activity to the Chief Justice of the Supreme Court. A proposed budget for the coming fiscal year (July 1-June 30) shall be submitted to the Chief Justice no later than May 1 of each year.

8. Do all other things necessary and proper to carry out its powers and duties under this Rule.

9. Perform all other duties as set forth in Indiana Admission and Discipline Rule 30 and The Indiana Alternative Dispute Resolution Rules.

(b) In addition to the powers and duties set forth in this Rule, the Executive Director shall have the power and the duty to:

1. Administer the Commission’s work.

2. Appoint, with the approval of the Commission, such staff as may be necessary to assist the Commission to carry out its powers and duties under this Rule.

3. Supervise and direct the work of the Commission’s staff.

4. Supervise the maintenance of the Commission’s records.

5. Enforce the collection of fees attorneys, mediators and independent certifying organizations must pay pursuant to this Rule, Admission and Discipline Rule 30 and that Indiana Alternative Dispute Resolution Rules.

6. Enforce the continuing legal education requirements of Judges and Attorneys under this Rule.

7. Assist the Commission in developing guidelines.

8. Perform such other duties as may be assigned by the Commission in the furtherance of its responsibilities hereunder.

Amended Sep. 9, 2008, effective Jan. 1, 2009.

SECTION 7. SOURCES AND USES OF FUNDS.

(a) The Indiana Supreme Court shall periodically designate a portion of the registration fee charged to attorneys pursuant to Admission and Discipline Rule 2 to be used for the operations of the Commission on Continuing Legal Education. The Executive Director of the Commission shall deposit such funds into an account designated “Supreme Court Continuing Legal Education Fund.”

(b) Disbursements from the fund shall be made solely upon vouchers signed by or pursuant to the direction of the Chief Justice of this Court.

(d) Not later than May 1 of each year, the Commission shall submit for approval by the Supreme Court an operating budget for July 1 to June 30 of the following fiscal year.

(e) Commissioners shall be paid one hundred dollars ($100) for each meeting of the Commission they attend and be reimbursed for expenses in accordance with guidelines established by the State of Indiana.

Amended Aug. 15, 2007, effective Jan. 1, 2007.

SECTION 8. EXEMPTIONS AND OTHER RELIEF FROM THE RULE.

(a) An Attorney or Judge shall be exempted from the educational requirements of the Rule for such period of time as shall be deemed reasonable by the Commission upon the filing of a verified petition with the Commission and a finding by the Commission that special circumstances unique to the petitioning Attorney or Judge have created undue hardship. Subsequent exemptions may be granted.

(b) The educational requirements imposed on Judges and full-time magistrates of the United States Supreme Court, Courts of Appeal, District Courts and Bankruptcy Courts are deemed to satisfy the requirements of this Rule. Thus such Judges and magistrates shall be exempt from this Rule.

(c) An Attorney or Judge who is physically impaired shall be entitled to establish an alternative method of completing the educational requirements of this Rule upon the filing of a verified petition with the Commission and a finding by the Commission that the alternative method proposed is necessary and consistent with the educational intent of this Rule. Any petition filed under this subsection shall contain a description of the physical impairment, a statement from a physician as to the nature and duration of the impairment, a waiver of any privileged information as to the impairment and a detailed proposal for an alternative educational method.

(d) An Attorney shall be exempt from the educational and reporting requirements of this Rule if the Attorney has filed an affidavit of inactivity or a retirement affidavit under Section 21(b) of Rule 23 of the Supreme Court. An Attorney who has been inactive for less than a year, and desires to resume active status, shall complete any balance of his or her yearly or Educational Period requirements as of the date of inactive status.

(e) An Attorney or Judge who believes that he or she will be unable to make timely compliance with the educational requirements imposed by this Rule may seek relief from a specific compliance date by filing a verified petition with the Commission. The petition shall set forth reasons from which the Commission can determine whether to extend such compliance date. A petition seeking such an extension of time must be filed as much in advance of the applicable compliance date as the reasons which form the basis of the request afford. The Commission, upon receipt and consideration of such petition, shall decide if sufficient reasons exist, and may grant an extension for such period of time as shall be deemed reasonable by the Commission. In no event shall such an extension be granted beyond the time when the next compliance date, as required by the Rule, occurs.

SECTION 9. ANNUAL REPORTING TO ATTORNEYS AND JUDGES.

(a) On or before October 1 of each year, the Commission shall mail to each Attorney or Judge, a statement showing the Approved Courses which the Attorney or Judge is credited on the records of the Commission with having attended during the current year and the current Educational Period. This statement will be sent to the address for the Attorney or Judge listed on the Roll of Attorneys maintained by the Clerk. An Attorney or Judge shall at all times keep his or her address current with the Roll of Attorneys. If the Attorney or Judge has completed the minimum hours for the year or Educational Period, the statement will so reflect and inform the Attorney or Judge that he or she is currently in compliance with the education requirements of the Rule. It shall not be a defense to noncompliance that an Attorney or Judge has not received an annual statement. Additional statements will be provided to an Attorney or Judge upon written request and a five dollar ($5.00) fee made payable to the Continuing Legal Education Fund.

If the statement shows the Attorney or Judge is deficient in educational hours, but the Attorney or Judge believes he or she is in compliance for the year or Educational Period the Attorney or Judge shall file a letter of explanation, a Sponsor certification of course attendance, a personal affidavit of attendance, and an application for course accreditation. The documents required by this subsection shall be filed by December 31 of the year or Educational Period in question unless an extension of time to file the same has been granted by the Commission. When an Attorney or Judge has resolved the above discrepancies, the Commission shall issue a statement showing that the Attorney or Judge is in compliance with the Rule for the year or Educational Period. In the event credit is not granted, the Attorney or Judge shall have thirty (30) days after written notification of that fact to comply with the educational requirements. Failure to do so will result in referral to the Supreme Court for suspension.

(b) If the statement incorrectly reflects that the Attorney or Judge has completed the minimum hours for the year or the Educational Period, then it shall be the duty of the Attorney or Judge to notify the Commission and to complete the educational requirements mandated by this Rule.

SECTION 10. SANCTIONS AND REINSTATEMENTS.

(a) Sanctions. On January 1, a $150.00 late fee accrues against each Attorney or Judge who has not met his/her yearly or Educational Period requirements for the period ending December 31st of the previous year. On February 1 of each year the Commission shall mail a notice assessing a $150.00 late fee to those Attorneys or Judges who are shown as not having completed the yearly or Educational Period requirements. The Commission will consider the Attorney or Judge delinquent for CLE until both certification of attendance at a CLE program and payment of the late fee are received. Late fees and surcharges are to be deposited by the Commission immediately upon receipt. If the delinquent Attorney or Judge has not fulfilled the yearly or educational period requirements at the time the Court issues an order suspending that Attorney or Judge, the delinquency fee is forfeited. If the Attorney or Judge is reinstated to the practice of law pursuant to the provisions of Admission and Discipline Rule 29(10) within one year of suspension, any forfeited late fee shall be credited toward the reinstatement fee. A $100.00 surcharge will be added to the late fee for each consecutive year for which an Attorney or Judge fails to timely comply with CLE requirements.

On May 1 of each year, a list of those Attorneys or Judges still failing to complete the yearly or Educational Period requirements will be submitted to the Supreme Court for immediate suspension from practice of law. These Attorneys or Judges will suffer the suspension of their license to practice law and all related penalties until they are reinstated.

(b) Reinstatement Procedures. An Attorney or Judge suspended shall be automatically reinstated upon petition to the Commission and payment of a $200.00 reinstatement fee in addition to any applicable surcharge. The petition must demonstrate the petitioner’s compliance according to the following reinstatement schedule:

(1) for a suspension of one year or less the petitioner must, between the date of suspension and the date of the petition for reinstatement:

(a) complete the hours required to satisfy the deficiency which resulted in the suspension; and

(b) complete 6 additional hours of Approved Courses in a separate course or courses;

(2) for a suspension of more than one year a petitioner must, between the date of suspension and the date of the petition for reinstatement:

(a) complete the hours required to satisfy the deficiency which resulted in the suspension;

(b) complete 36 hours of Approved Courses, 12 hours of which must have been completed within the last twelve month period prior to the date of the petition; and

The Commission shall issue a statement reflecting reinstatement which shall also be sent to the Clerk to show on the roll of attorneys that the Attorney or Judge is in good standing. An Attorney suspended by the Supreme Court who continues to practice law shall be subject to the sanctions for the unauthorized practice of law.

Extensions to provide course attendance certifications for courses which were timely taken may be granted for good cause shown; extensions of time to complete educational requirements are not permitted except under Section 8 of this Rule. Providing or procuring of false certifications of attendance at educational courses shall be subject to appropriate discipline under the Admission and Discipline Rules.

Amended Sep. 9, 2008, effective Jan. 1, 2009.

SECTION 11. DISPUTES REGARDING COMMISSION RECORDS.

Any Attorney or Judge who disagrees with the records of the Commission in regard to the credits recorded for the Attorney or Judge during the current year or Educational Period and is unable to resolve the disagreement pursuant to Section 9 of this Rule, may petition the Commission for a determination as to the credits to which the Attorney or Judge is entitled. Petitions pursuant to this Section shall be considered by the Commission at its next regular or special meeting, provided that the petition is received by the Commission at least ten (10) business days before such meeting. The Attorney or Judge filing the petition shall have the right to attend the Commission meeting at which the petition is considered and to present relevant evidence and arguments to the Commission. The rules of pleading and practice in civil cases shall not apply, and the proceedings shall be informal. The determination of the Commission shall be final as to the number of credits for the Attorney or Judge and shall be appealable directly to the Supreme Court. In the event of a good faith dispute which is not resolved pursuant to Section 9, the educational and reporting deadlines of this Rule shall be extended until thirty (30) days after the full Commission has ruled on the disputed issue, or if an appeal is taken, until thirty (30) days after the Supreme Court has ruled on the disputed issue.

SECTION 12. PETITIONS.

Any petition filed with the Commission pursuant to this Rule shall be in writing and shall be signed and verified by the Attorney or Judge seeking relief. The petition shall be sent by registered or certified mail to the attention of the Executive Director at the Commission’s offices at the address shown on the most recent statements sent pursuant to Section 9 of this Rule.

SECTION 13. CONFIDENTIALITY.

Unless otherwise directed by the Supreme Court or by another court having jurisdiction, the files, records and proceedings of the Commission, as they may relate to or arise out of an Attorney, Judge, Mediator or Sponsor attempting to satisfy the continuing legal educational requirements of this Rule, or the requirements of the Indiana Alternative Dispute Resolution Rules shall be confidential and shall not be disclosed except in furtherance of the duties of the Commission or upon the request of the Attorney, Judge, Mediator or Sponsor affected.

SECTION 14. CONFLICT OF INTEREST.

A member, agent or administrator of the Commission shall abstain from participating in

any decision involving a sponsor or provider of educational services of which he or she is an officer. A member, agent or administrator of the Commission shall not be an employee of an entity principally engaged in sponsoring or providing continuing legal education services.

Adopted effective October 1, 1986; amended effective April 16, 1987; amended effective Oct. 15, 1987; amended effective June 8, 1988; amended effective July 28, 1989; amended Nov. 30, 1989, effective Jan. 1, 1990; amended effective Jan. 16, 1990; amended effective May 11, 1990; amended effective Jan. 1, 1991; amended effective May 23, 1991; amended effective Sept. 21, 1993; amended effective Sept. 22, 1993; amended effective Feb. 1, 1996.

Amended Dec. 23, 1996, effective March 1, 1997; amended Nov. 25, 1997, effective Jan. 1, 1998; amended effective Jan. 23, 1998; amended effective Feb. 4, 2000; amended July 1, 2005, effective January 1, 2006. Amended Aug. 15, 2006, effective Jan. 1, 2007.

Mandatory Continuing Legal Education Guidelines

SECTION 1. AUTHORITY AND PUBLICATION OF GUIDELINES.

These guidelines have been adopted by the Court under Section 6(f) of the Rule in furtherance of the efficient discharge of the Commission’s duties.

The Commission shall:

(a) file a copy of these guidelines with the Clerk;

(b) cause these guidelines to be published from time to time as revised in a pamphlet or brochure along with the full text of the Rule and any other materials deemed useful by the Commission in assisting Attorneys, Judges and Sponsors to understand and comply with the Rule;

(c) cause these guidelines and the full text of the Rule to be sent to the West Publishing Company of St. Paul, Minnesota, with a request that they be published in the Northeast Reporter; and

(d) cause these guidelines and the full text of the Rule to be sent to the Editors of Res Gestae with a request that they be published.

SECTION 2. DEFINITIONS.

All of the definitions found in Section 2 of the Rule are applicable in these guidelines. In addition, as used in these guidelines:

(a) Approved Courses means any course, approved by the Commission under Section 3 of these Guidelines, or conducted by an Approved Sponsor which meets the requirements of Section 3 of these Guidelines.

(b) Approved Sponsor means any person approved under Section 4 of these Guidelines.

(c) Course means any educational seminar, institute or program which is designed to contribute to the continuing legal education of Attorneys and Judges.

(d) Enroll means registration for and attendance at a course.

(e) Person means an individual, partnership, corporation or any other organization.

(f) Rule means Admission and Discipline Rule 29 on Mandatory Continuing Legal Education.

(g) Sponsor means a Person who conducts or presents a course.

Amended Sep. 9, 2008, effective Jan. 1, 2009.

SECTION 3. ACCREDITATION POLICIES.

(a) Approval of Courses. The Commission shall approve the course if it determines that the course will make a significant contribution to the professional competency of Attorneys or Judges who enroll. In determining if a course meets this standard the Commission shall consider whether:

(1) the course has substantial legal content.

(2) the course deals with matters related directly to the practice of law or the professional responsibility of Attorneys or Judges.

(3) each faculty member who has teaching responsibility in the course is qualified by academic work or practical experience to teach the assigned subject.

(4) the physical setting for the course is suitable, including the availability of a writing surface and accessibility to persons with disabilities.

(5) high quality written materials including notes and outlines are available at or prior to the time the course is offered to all Attorneys or Judges who enroll.

(6) the course is of sufficient length to provide a substantial educational experience. Courses of less than one (1) hour will be reviewed carefully to determine if they furnish a substantial educational experience.

(7) there are live presentations; or there is a licensed Indiana Attorney, whose function shall be to certify attendance to accompany the replaying of tapes.

(8) the applicant has sufficiently identified those portions of a seminar that should be accredited. It shall be the duty of an applicant to apply separately for accreditation of the legal portions of a seminar, where the substance of a seminar is not entirely legal. The Commission may deny accreditation for an entire program where separate application is not made and where a significant portion of the program is not continuing legal education.

(9) the course is designed for and targeted to Attorneys or Judges.

(10) any attendance restrictions are grounded in a bona fide educational objective to enhance the CLE activity. The Commission may deny accreditation to any course that restricts or that a reasonable person would perceive to restrict attendance based upon a classification protected by Indiana state law, federal law or by the Indiana Rules of Professional Conduct.

(b) Approval of Other Educational Activities.

(1) Credit may be given for the following legal subject matter courses:

(a) Law School Courses. An Attorney or Judge who attends a regularly conducted class at a law school approved by the American Bar Association. The number of credits may not exceed 24 hours for a single law school activity.

(b) Bar Review Courses. An Attorney or Judge who completes a bar review course may apply for continuing legal education credit. The number of credits may not exceed 24 hours for the course.

(c) Commission-Accredited Basic Mediation Training Course. An Attorney or Judge who completes a basic mediation training course approved by the Commission for mediation training shall receive 24 hours.

(d) Court Administration Courses. Courses directed at improving docket management and court administration shall be approved.

(e) Ethics Concentrated Law Firm Management Courses. An Attorney or Judge who attends a law firm management course with a concentration on: Trust accounting, ethical client contact, and ethical use of staff and resources may apply for credit. Any portion of the course dealing with marketing of services or profit enhancement will be denied credit.

(f) Teaching Approved Courses. An Attorney or Judge who participates as a teacher, lecturer, panelist or author in an approved course will receive credit for:

(i) Four (4) hours of approved continuing legal education for every hour spent in presentation.

(ii) One (1) hour of continuing legal education credit for every four (4) hours of preparation time (up to a maximum of six (6) hours of credit) for a contributing author who does not make a presentation relating to the materials prepared.

(iii) One (1) hour of approved continuing legal education for every hour the Attorney or Judge spends in attendance at sessions of a course other than those in which the Attorney or Judge participates as a teacher, lecturer or panel member.

(iv) Attorneys or Judges will not receive credit for acting as a speaker, lecturer or panelist on a program directed to non-attorneys.

(2) Subject to the 12-hour limitation set forth in Rule 29, Section 3(a), credit may also be given for NLS courses.

(a) Sponsor Applications for NLS course approval. A sponsor may apply for and receive accreditation of an NLS course. An NLS course may be approved without reference to Section 3(a)(1) of these guidelines. The following is a non-exclusive list of courses that may be accredited under this section:

(i) Law firm management courses. A Sponsor may apply for accreditation of a law office management course that does not meet the criteria of (e) Ethics Concentrated Law Firm Management courses (above). To be accredited, the course must deal with law firm management as opposed to office management in general. Further, the course must be directed to Attorneys or law office administrators. Any portions of the course dealing mainly with profit enhancement or marketing of services will be denied credit.

(ii) Medicine. Orthopaedics or Anatomy for Lawyers.

(iii) Accounting for Lawyers.

(iv) Teaching Administration Skills for Law School Teachers.

(v) Wellness Courses specifically targeted to Attorneys and Judges.

(b) Attorney Application for NLS Course Approval. In addition, individual Attorneys and Judges may apply for NLS credit for a course that does not deal with matters directly related to the practice of law. NLS credit may be approved without reference to Sections 3 (a)(1)(2) and (9) of these guidelines if the course directly related to a subject matter directly applicable to the applicant’s practice. The following are non-exclusive examples of courses for which individual credit may be awarded under this provision:

(i) Courses in anatomy or other field of medicine, when credit is sought by an Attorney whose practice includes medical malpractice.

(ii) Courses in construction, engineering or architecture, when credit is sought by an Attorney whose practice includes construction contracting or litigation.

(iii) Courses in financial planning, when credit is sought by an Attorney whose practice includes estate planning.

(3) Professional Responsibility Credit shall be given when a topic has professional responsibility or ethics as its main focus, and the course has at least one-half ( 1/2 ) hour of professional responsibility content.

(a) An Approved Sponsor must separately designate Professional Responsibility Credits when certifying attendance to the Commission.

(b) A Non-Approved Sponsor must separately request Professional Responsibility Credits on an application provided by the Commission.

(4) Approved In-house education. In-house programs include those primarily designed for the exclusive benefit of Attorneys employed by a private organization or law firm. In-house programs also include those programs presented only to those Attorneys and/or their clients, even if the program was not designed for those Attorneys. Attorneys within related companies are considered to be employed by the same organization or law firm for purposes of this rule. In-house education programs may become approved where the education is provided by a Judge, Attorney or Sponsor of legal education who is not a member, employee or acting of counsel of the participating organization or law firm. In-house CLE is subject to the following limitations and requirements:

(a) Limited credit may be given for courses taught in-house. Non-governmental or non-academic Attorneys may report up to three hours per three-year educational period for in-house programs that have been accredited by the Commission. Governmental or academic Attorney employees may receive unlimited CLE for these courses sponsored by their employers for the exclusive benefit of their Attorney employees.

(b) To be accredited, the Attorney or Sponsor must apply for accreditation at least 30 days before the course is presented, using an Application for Accreditation. Additionally, the Sponsor or Attorney must demonstrate the facts set forth in paragraph 6 below.

(5) Distance education courses. Limited credit may be given for courses taken through distance education methods. An Attorney or Judge may receive up to six (6) hours of CLE through interactive distance education during an educational period. To be accredited, the Attorney, Judge or Sponsor must apply for accreditation at least 30 days before the course is presented using an Application for Accreditation. Additionally, the Sponsor, Attorney or Judge must demonstrate the facts set forth in paragraph 6 below.

(6) Accreditation of in-house and distance education courses. The Sponsor, Attorney or Judge must demonstrate that:

(a) the course is designed for and targeted to Attorneys or Judges;

(b) continuing attendance is monitored and evidence of continuing attendance and/or participation is provided by the sponsor to the Commission in conformance with such guidelines as the Commission may develop;

(d) in content and style the program meets standards of educational quality as determined by the Commission;

(e) in the case of distance education courses, meaningful technical assistance will be provided at times and in ways reasonable to the attendee;

(f) the course has substantial legal content (non legal subject credit is not available through in-house programs);

(g) the course deals with matters related directly to the practice of law or the professional responsibility of Attorneys or Judges;

(h) each faculty member who has teaching responsibility in the course is qualified by academic work or practical experience to teach the assigned subject;

(i) high quality written materials are available either through paper format or electronic format to accompany the instruction either at or prior to the time the course is offered;

(j) in the case of distance education courses, the program is not text-based;

(k) in the case of distance education courses, either audio or video or both are provided; and,

(l) the Sponsor will allow the Commission and its Executive Director or designated appointee to audit the course for regulation purposes.

(7) Credit will be denied for the following activities:

(a) Legislative, lobbying or other law-making activities.

(b) Self-study activities. Courses or activities completed by self-study will be denied credit unless approved under Section 8(c) of this rule.

(c) Procedure for Sponsors. Any Sponsor may apply to the Commission for approval of a course. The application must:

(1) be submitted to the Commission at least thirty (30) days before the first date on which the course is to be offered;

(2) contain the information required by and be in the form approved by the Commission and available upon request; and

(3) be accompanied by the written course outline and brochure used to furnish information about the course to Attorneys or Judges.

(d) Procedure for Attorneys and Judges. An Attorney or Judge may apply for credit of a course either before or after the date on which it is offered. Application for accreditation of a distance education course or in-house course must be made at least 30 days prior to the Course. The application must:

(1) contain the information required by and be in the form set forth in the application approved by the Commission and available upon request;

(2) be accompanied by the written course outline and brochure used by the Sponsor to furnish information about the course to Attorneys or Judges; and

(3) be accompanied by an affidavit of the Attorney or Judge attesting that the Attorney or Judge attended the course together with a certification of the course Sponsor as to the Attorney’s or Judge’s attendance. If the application for course approval is made before attendance, this affidavit and certification requirement shall be fulfilled within thirty (30) days after course attendance.

(e) Executive Director’s Discretionary Powers. The Executive Director of the

Indiana Commission for Continuing Legal Education may use discretion in waiving the 30-day pre-program application requirements of b (4) (b), b (5), and (d) of Section 3 of these Guidelines upon a showing of good cause by the applicant.

SECTION 4. APPROVAL OF SPONSORS.

(a) Procedure. A Person may apply to the Commission for approval as a Sponsor of continuing legal education activity. The application submitted to the Commission must contain the information required by and be in the form approved by the Commission and available upon request in the Commission office. A Person becomes an Approved Sponsor when the Commission places a Person’s name on the list of Approved Sponsors.

(b) Standard for Approval. The Commission shall approve the Person as a Sponsor if the Commission finds that the Person has conducted and is prepared to conduct on a regular basis programs which, if considered on an individual basis, would satisfy the standards for course approval set out in Section 3(a) of these Guidelines.

In order to determine whether a Sponsor should be granted Approved Sponsor status, the Commission may consider the following:

(1) Whether the Sponsor has presented a minimum of an average of five Approved Courses per year for the previous three years.

(2) Whether the courses within the previous three years were substantively legal and primarily targeted to Attorneys or Judges.

(3) Whether the Sponsor has observed Commission Rules, Guidelines and Policies with regard to advertising, application requirements and attendance reporting.

(4) Whether courses within the previous three years were high quality and advanced the education of Attorneys or Judges.

(5) Whether the Sponsor has substantially complied with requests from the Commission.

(6) Whether courses have been denied accreditation by the Commission during the previous three years and the reasons for the denials.

(c) Review of Approved Sponsors. The Commission shall periodically audit Approved Sponsors. If the Person fails to conduct approvable courses on a regular basis, the Person shall be removed from the Commission’s list of Approved Sponsors. In order to remain an Approved Sponsor, a Sponsor must certify to the Commission the name and attorney number of all Indiana Attorneys and Judges who attend any Continuing Legal Education Program.

(d) Presumption of Course Accreditation. Courses presented by an Approved Sponsor are presumed to satisfy the education requirements of Section 3 of the Rule; provided however, courses which do not meet requirements of Section 3(a) of these Guidelines will be denied credit. Approved Sponsors must seek approval of courses of less than one (1) hour duration under Section 3 of these Guidelines.

SECTION 5. PROCEDURE FOR RESOLVING DISPUTES.

Any Person who disagrees with a decision of the Commission and is unable to resolve the disagreement informally, may petition the Commission for a resolution of the dispute. Petitions pursuant to this Section shall be considered by the Commission at its next regular meeting, provided that the petition is received by the Commission at least ten (10) business days before such meeting. The Person filing the petition shall have the right to attend the Commission meeting at which the petition is considered and to present relevant evidence and arguments to the Commission. The rules of pleading and practice in civil cases shall not apply, and the proceedings shall be informal as directed by the Chair. The determination of the Commission shall be final subject to appeal directly to the Supreme Court.

SECTION 6. CONFIDENTIALITY.

Filings with the Commission shall be confidential. These filings shall not be disclosed except in furtherance of the duties of the Commission or upon the request, by the Attorney, Judge or Sponsor involved, or as directed by the Supreme Court.

SECTION 7. RULES FOR DETERMINING EDUCATION COMPLETED.

(a) Formula. The number of hours of continuing legal education completed in any course by an Attorney shall be computed by:

(1) Determining the total instruction time expressed in minutes;

(2) Dividing the total instruction time by sixty (60); and

(3) Rounding the quotient up to the nearest one-tenth ( 1/10).

Stated in an equation the formula is:

Total Instruction Time (in minutes) = Hours completed (rounded up to nearest 1/10) Sixty (60)

(b) Instruction Time Defined. Instruction time is the amount of time when a course is in session and presentations or other educational activities are in progress. Instruction time does not include time spent on:

(1) Introductory remarks;

(2) Breaks; or

(3) Business meetings.

SECTION 8. REPORT OF SPONSOR.

The Sponsor shall, within thirty (30) days after the course is presented, submit to the Commission an alphabetical list including attorney numbers of all Attorneys admitted in Indiana and Indiana Judges who have attended the course. This list shall be certified by the Sponsor and include the hours to be credited to each Attorney and Judge for attendance and speaking.

If the course is presented by an Approved Sponsor under Section 4 of these Guidelines, the Sponsor shall submit a copy of the outline and brochure by which information about the program was furnished to Attorneys or Judges.

SECTION 9. USE OF THE OFFICIAL LEGEND OF THE COMMISSION.

(a) Legend of the Commission. The Commission has adopted the official legend set forth in subsection (c) of this Section as a symbol of approval of continuing legal education activity. This legend is the subject of copyright and may not be used in advertisement or publicity for a course unless the Sponsor complies with the requirements of subsection (b) of this Section.

(b) A Sponsor of Approved Courses may use the legend set forth in subsection (c) of this Section if the Sponsor agrees to report hours of credit and submit materials under Section 6 of these Guidelines.

THIS COURSE HAS BEEN APPROVED BY THE COMMISSION FOR CONTINUING LEGAL EDUCATION OF THE STATE OF INDIANA. ATTORNEYS OR JUDGES WHO COMPLETE THIS COURSE SHALL RECEIVE

1. _______ HOURS OF CONTINUING EDUCATION, INCLUDING (BLANK) HOURS OF ETHICS, OR

2. _______ HOURS OF NLS CONTINUING EDUCATION HOURS

UNDER INDIANA SUPREME COURT ADMISSION AND DISCIPLINE RULE 29 ON MANDATORY CONTINUING LEGAL EDUCATION. THE SPONSOR OF THIS COURSE IS OBLIGATED TO REPORT THE HOURS OF CONTINUING EDUCATION COMPLETED BY AN ATTORNEY OR JUDGE.

Adopted effective October 1, 1986; amended effective April 16, 1987; amended effective June 8, 1988; amended Nov. 30, 1989, effective Jan. 1, 1990; amended May 23, 1991, effective Jan. 1, 1992; amended Dec. 23, 1996, effective March 1, 1997; amended Sep. 30, 2004, effective Jan. 1, 2005; amended October 29, 2004, effective Jan. 1, 2005; amended Sep. 9, 2008, effective Jan. 1, 2009.

Rule 30. Indiana Certification Review Plan

Section 1. Purpose. The purpose of this rule is to regulate the certification of lawyers as specialists by independent certifying organizations (ICO’s) to:

(a) enhance public access to and promote efficient and economic delivery of appropriate legal services;

(b) assure that lawyers claiming special competence in a field of law have satisfied uniform criteria appropriate to the field;

(d) facilitate lawyer access to certifying organizations;

(e) expedite consultation and referral; and

(f) encourage lawyer self-regulation and organizational diversity in defining and implementing certification of lawyers in limited fields of law.

Section 2. Power of Indiana Commission for Continuing Legal Education (CLE). CLE shall review, approve and monitor organizations (ICO’s) which issue certifications of specialization to lawyers practicing in the State of Indiana to assure that such organizations satisfy the standards for qualification set forth in this rule.

Section 3. Authority and Discretion of CLE. In furtherance of the foregoing powers and subject to the supervision of and, where appropriate, appeal to the Supreme Court of Indiana, CLE shall have authority and discretion to:

(a) approve or conditionally approve appropriate organizations as qualified to certify lawyers as specialists in a particular field or closely related group of fields of law;

(b) adopt and interpret rules and policies reasonably needed to implement this rule and which are not inconsistent with its purposes;

(c) review and evaluate the programs of ICO’s to assure continuing compliance with the purposes of this rule, the rules and policies of CLE, and the qualification standards set forth in Section 4;

(d) deny, suspend or revoke the approval of an ICO upon CLE’s determination that the ICO has failed to comply with the qualification standards or rules and policies of CLE;

(e) keep appropriate records of those lawyers certified by ICO’s approved under this rule;

(f) cooperate with other organizations, boards and agencies engaged in the field of lawyer certification;

(g) enlist the assistance of advisory committees to advise CLE; and

(h) make recommendations to the Indiana Supreme Court concerning:

(1) the need for and appointment of a Director and other staff, their remuneration and termination;

(2) an annual budget;

(3) appropriate fees for applicant organizations, qualified organizations and certified specialists; and

(4) any other matter the Indiana Supreme Court requests.

Section 4. Qualification Standards for Independent Certifying Agencies.

(a) The ICO shall encompass a comprehensive field or closely related group of fields of law so delineated and identified (1) that the field of certification furthers the purpose of the rule; and (2) that lawyers can, through intensive training, education and work concentration, attain extraordinary competence and efficiency in the delivery of legal services within the field or group.

(b) The ICO shall be a non-profit entity whose objectives and programs foster the purpose of this rule. A majority of the body within an Applicant organization reviewing applicants for certification of lawyers as specialists in a particular area of law shall consist of lawyers who in the judgment of CLE, are experts in the field of certification.

(c) The ICO shall have a substantial continuing existence and demonstrable administrative capacity to perform the tasks assigned it by this rule and the rules and policies of CLE.

(d) The ICO shall adopt, publish and enforce open membership and certifications standards and procedures which do not unfairly discriminate against members of the Bar of Indiana individually or collectively.

(e) The ICO shall provide the following assurance to the continuing satisfaction of CLE with respect to its certified practitioners:

(1) that certified practitioners have a demonstrated proficiency in the field of certification that is:

(i) comprehensive;

(ii) objectively demonstrated;

(iii) peer recognized; and

(iv) reevaluated at appropriate intervals;

(2) that members actively and effectively pursue the field of certification as demonstrated by continuing education and substantial involvement; and

(f) The ICO shall cooperate at all times with CLE and perform such tasks and duties as CLE may require to implement, enforce and assure compliance with and effective administration of this rule.

Section 5. Qualification Standards for Certification.

(a) To be recognized as certified in a field of law in the State of Indiana, the lawyer must be duly admitted to the bar of this state, in active status, and in good standing, throughout the period for which the certification is granted.

(b) The lawyer must be certified by an ICO approved by CLE, and must be in full compliance with the Indiana Bar Certification Review Plan, the rules and policies of the ICO and the rules and policies of CLE.

Section 6. Privileges Conferred and Limitations Imposed.

(a) A lawyer who is certified under this rule may communicate the fact that the lawyer is certified by the ICO as a specialist in the area of law involved. The lawyer shall not represent, either expressly or impliedly, that the lawyer’s certification has been individually recognized by the Indiana Supreme Court or CLE, or by an entity other than the ICO.

(b) Certification in one or more fields of law, shall not limit a lawyer’s right to practice in other fields of law.

(c) Absence of certification in a field of law shall not limit the right of a lawyer to practice in that field of law. Participation in the Indiana Bar Certification Review Plan shall be on a voluntary basis.

(d) The number of certifications which a lawyer may hold shall be limited only by the practical limits of the qualification standards imposed by this rule and the rules and policies of the ICO.

(e) An ICO shall not be precluded from issuing certificates in more than one area of certification but in such event, the ICO’s qualifications shall be judged and determined separately as to each such area of certification. To the extent consistent with the purpose of the Indiana Bar Certification Review Plan, any number of ICO’s may be approved to issue certifications in the same or overlapping fields or groups of closely related fields of law.

Section 7. Fees. To defray expenses of the Indiana Bar Certification Review program, the Indiana Supreme Court may establish and collect reasonable and periodic fees from the ICO’s and from applicants and lawyers certified under the Indiana Bar Certification Review program.

Section 8. Appeal. CLE action or inaction may be appealed as abuse of authority under the Rules of Procedure applicable to original actions in the Indiana Supreme Court.

Adopted Dec. 5, 1994, effective Feb. 1, 1995; amended Sep. 10, 2007, effective Jan. 1, 2008.

Rule 31. Judges and Lawyers Assistance Program

Section 1. Establishment. The Judges and Lawyers Assistance Committee is created and shall have the powers and duties set out below. The Committee shall be composed of Committee members, an Executive Director, and such other persons as shall from time to time be approved by the Supreme Court and who are necessary to carry out the Committee’s work.

Section 2. Purpose. The purpose of the Judges and Lawyers Assistance Program is assisting impaired members in recovery; educating the bench and bar; and reducing the potential harm caused by impairment to the individual, the public, the profession, and the legal system. Through the Judges and Lawyers Assistance Program, the Committee will provide assistance to judges, lawyers and law students who suffer from physical or mental disabilities that result from disease, chemical dependency, mental health problems or age that impair their ability to practice; and will support other programs designed to increase awareness about the problems of impairment among lawyers and judges.

Section 3. Committee Members.

(a) The Committee shall consist of fifteen (15) Committee members, all of whom shall be appointed by the Supreme Court. Members shall have experience with the problems of chemical dependency and/or mental health problems. Seven (7) members shall be practicing lawyers; five (5) shall be judges; one (1) shall be a law school administrator or law school faculty member employed by, or a law student enrolled in, an Indiana law school at the time of appointment; two (2) members may be filled by judges, lawyers, and/or law student(s). A reasonable effort shall be made to provide geographical representation of the State.

(b) Members shall be appointed for three-year terms. All terms shall commence on January 1 and end on December 31. Any member who has served three (3) consecutive terms exclusive of filling out an unexpired term, shall not be reappointed to the Committee for at least three (3) consecutive years. Any vacancy on the Committee shall be filled as soon as practicable and the new member so appointed shall serve the unexpired term of the member being replaced. Any member may be removed by the Supreme Court for a good cause.

(c) Election of Officers. The members shall elect from the membership a Chair who shall preside at all meetings, a Vice-Chair who shall preside in the absence of the Chair, a Secretary who shall be responsible for giving notices and keeping the Committee’s minutes, and a Treasurer who shall be responsible for keeping the Committee’s records of account.

(d) Executive Committee. The Officers shall comprise the Executive Committee, which shall have the power to conduct all necessary business that may arise between meetings of the full Committee. Three (3) Officers shall constitute a quorum. The Executive Committee shall act by a vote of a majority of the Officers. All action taken by the Executive Committee shall be reported to the full Committee at its next meeting.

(e) Meetings. The Committee shall meet at least twice each year at times and places designated by the Chair. The Chair, the Executive Committee or any six Committee members may call special meetings of the Committee.

(f) Notices. The Secretary shall send notice of each Committee meeting, which states the meeting’s purpose, to all members at least five (5) business days before the meeting.

(g) Quorum. Six (6) members shall constitute a quorum for the transaction of business. The Committee shall act by majority of the members constituting the quorum. Members may participate in meetings by telephone or other similar device.

Section 4. Powers and Duties of the Committee. In addition to the powers and duties set forth elsewhere in this Rule, the Committee shall have the power and duty to:

(a) Adopt rules and regulations, to be known as the Judges and Lawyers Assistance Program Guidelines, for the efficient discharge of its powers and duties. The Guidelines shall become effective when approved by the Supreme Court.

(b) Establish an office to provide administrative and financial record keeping support for the Committee.

(c) Establish a mechanism, subject to Court approval, to arrange loans or other financial assistance to members of the bar for recovery related expenses.

(d) Review this Rule and Guidelines from time to time and make recommendations to the Supreme Court for changes.

(e) Publish proposed Guidelines and procedures through West Publishing Company and Res Gestae and file them with the Clerk of the Supreme and Appellate Courts.

(f) Appoint subcommittees having such powers and duties as the Committee may determine are necessary to carry out the Committee’s work; including trustees of any organization created to receive and distribute or spend grants, bequests, gifts and other monies for loans or other financial assistance to members of the bar for recovery related expenses.

(g) Provide financial reports to the Chief Justice.

(h) Make an annual report of its activities to the Supreme Court each year. The report shall include a statement of income and expenses for the year.

(i) Recruit and train volunteers, as defined by the Guidelines, to assist the Committee’s work with impaired members of the legal profession.

(j) Do all other things necessary and proper to carry out its powers and duties under this Rule.

Section 5. Executive Director. With the assistance of the Committee members, the Chief Justice shall hire an Executive Director.

Section 6. Powers and Duties of the Executive Director. In addition to the powers and duties set forth in this Rule or otherwise defined by the Committee or the Supreme Court, the Executive Director shall have the power and duty to:

(a) Administer the Committee’s work.

(b) Appoint, with approval of the Committee, such staff as may be necessary to assist the Committee to carry out its powers and duties under this Rule.

(d) Assist the Committee in developing Guidelines.

(e) Supervise the maintenance of the Committee’s records.

(f) Assist judges, courts, lawyers, law firms and law schools to identify and intervene with impaired members of the legal profession.

(g) Do all things necessary and proper to carry out the Executive Director’s duties and powers under this Rule.

Section 7. Sources and Uses of Funds.

(a) The Indiana Supreme Court shall periodically designate a portion of the registration fee charged to attorneys pursuant to Admission and Discipline Rule 2 to be used for the operations of the Judges and Lawyers Assistance Committee. The Executive Director shall deposit such funds into an account designated “Supreme Court Judges and Lawyers Assistance Committee Fund.”

(b) The Supreme Court shall specifically approve the salaries to be paid out of the Judges and Lawyers Committee Fund.

(c) Not later than May 1 of each year, the Committee shall submit for approval by the Supreme Court an operating budget for July 1 to June 30 of the following fiscal year.

Section 8. Referrals.

(a) Any judge, lawyer, or law student may contact the Committee seeking assistance.

(b) Any person may report to the Committee that a judge, lawyer, or law student needs the Committee’s assistance. The Committee shall then take such action as authorized by the Guidelines.

(c) The Supreme Court, the Indiana Commission on Judicial Qualifications, the Disciplinary Commission, the Board of Law Examiners, and the Administration of any Indiana law school may refer judges, lawyers, or law students to the Committee for assessment or treatment upon such terms authorized by the Guidelines.

(d) The Committee may refer judges, lawyers, and law students to outside agencies, organizations, or individuals for assessment or treatment upon such terms authorized by the Guidelines.

Section 9. Confidentiality.

(a) All information, including records obtained by the Committee in the performance of its duty under these rules and as delegated by the Supreme Court of Indiana, shall be confidential, except as provided by the Program Guidelines.

(b) Nothing in this section prevents the Committee from communicating statistical information which does not divulge the identity of an individual.

(c) Violation of the confidentiality provisions of this rule shall be subject to disciplinary proceeding under Indiana Admission and Discipline Rules 12, 23 and 26.

Section 10. Immunity. The Committee, Executive Director, staff, and volunteers are not subject to civil suit for official acts done in good faith in furtherance of the Committee’s work. Absent malice, a person who gives information to the Committee, staff or volunteers about a judge, lawyer or law student thought to be impaired is not subject to civil suit.

Adopted effective Oct. 14, 199; amended Aug. 15, 2006, effective Jan. 1, 2007; amended effective Dec. 16, 2008.

PROGRAM GUIDELINES FOR THE INDIANA JUDGES AND LAWYERS ASSISTANCE PROGRAM

The Indiana Judges and Lawyers Assistance Program (JLAP), established pursuant to Indiana Admission and Discipline Rule 31, provides assistance to judges, lawyers, and law students who suffer from physical or mental disabilities resulting from disease, chemical dependency, mental health problems, or age that impair their ability to practice or serve. JLAP neither engages in punishing nor disciplining members nor does it have the power or authority to do so. These policies and procedures have been adopted by JLAP and constitute guidelines approved by the Committee.

Section 1. Definitions.

The following terms or phrases shall have the meanings assigned in this section.

(a) Chairperson—the person who is currently holding the office of chairperson of the committee.

(b) Clinical director—clinical director of JLAP

(c) Committee—the body comprised of the persons appointed by the Supreme Court of Indiana to administer JLAP pursuant to Admis.Disc.R. 31 § 1.

(d) Confidential information—all information, whether oral, written, or electronically acquired, received by, or held in the possession of a representative, which in any manner (including identity) relates to a member who is impaired, believed to be impaired or possibly has an impairment.

(e) Contract participant—a participant who has entered into a formal, written agreement with JLAP.

(f) Court—the Supreme Court of Indiana

(g) Director—executive director of JLAP

(h) Impaired—having a physical or mental disability resulting from disease, chemical dependency, mental health problems, or age that could affect a member’s ability to practice law or serve as a lawyer or judge.

(i) Independent source—any person consulted to verify a JLAP contact who did not initiate the contact.

(j) JLAP—the Indiana Judges and Lawyers Assistance Program as established pursuant to Admis.Disc.R. 31, its staff and volunteers.

(k) Members or members of the legal profession—persons who are judges, lawyers, law students, or have applied for admission to the Indiana bar.

(l) Monitor—Volunteer who oversees a contract participant’s compliance with a JLAP monitoring agreement.

(m) Monitoring agreement—a formal written agreement between a participant and JLAP that establishes the obligations of the participant and provides for the monitoring of the participant’s compliance.

(n) Official referral—referral of a member to JLAP by:

(1) The Indiana Supreme Court Disciplinary Commission;

(2) The Indiana Board of Law Examiners;

(3) The Indiana Commission on Judicial Qualifications; or

(4) Any Indiana law school administration as part of its disciplinary process.

(o) Participant—any member who is referred to JLAP and, as a result thereof, receives a contact or communication from a representative.

(p) Permitted disclosures—disclosure of confidential information

(1) Permitted or required pursuant to Rule 31 § 9(c);

(2) With the written consent of the participant or contract participant to whom such confidential information relates; or

(3) By or among representatives to carry out or accomplish the purposes of JLAP.

(q) Representative—the director, clinical director, any member or employee of the committee or any volunteer.

(r) Self-referral—a member’s direct contact with a representative to consider becoming a participant in JLAP not in furtherance of an official referral or a third party referral.

(s) Staff—any and/or all of the employees of JLAP.

(t) Third party referral—any referral of a member to JLAP other than an official referral or self-referral.

(u) Volunteer—any person (including members of the committee) who has entered into an agreement with JLAP to assist in providing services in accordance with JLAP policies and procedures including completing any required application process.

Section 2. Purpose of JLAP.

Pursuant to Admis.Disc.R. 31 § 2, JLAP was established to assist impaired members in recovery; to educate the bench and bar; and to reduce the potential harm caused by impairment to the individual, the public, the profession, and the legal system.

These guidelines have been adopted with these purposes in mind. The work of JLAP is designed to be educational, confidential, and responsive to the special situations faced by impaired members of the legal profession.

The JLAP committee and the executive director may take any other action required to fulfill, yet remains consistent with, the stated purpose.

Section 3. Organization.

JLAP was established pursuant to Admis.Disc.R. 31. The Committee consists of fifteen (15) members appointed by the Court: seven (7) practicing attorneys, five (5) judges, one (1) law student, and two (2) judge(s), lawyer(s), or law student(s). The director operates under the direction of the committee. The clinical director, staff and volunteers operate under the direction of the director.

Section 4. Policies.

(k) JLAP designs and delivers programs to raise the awareness of the legal community about potential types of impairment and the identification, prevention and available resources for treatment and/or support.

(l) JLAP works toward increasing the likelihood of recovery by encouraging early identification, referral and treatment.

(m) Any person may report to the director, clinical director, or any member of the committee that a particular member of the bar needs the assistance of JLAP.

(n) JLAP encourages and welcomes contact by any means. However, the confidentiality of e-mail communications is subject to the limitations inherent in Internet transmissions.

(o) Neither JLAP, nor any representative, in their role as a volunteer, engages in the practice of law while fulfilling their JLAP responsibilities. Upon admission to inpatient or residential treatment, or with a physical disability case, JLAP may:

1. work with the participant to find friends and/or colleagues to assist with the law practice;

2. work with the relevant local and state bar association committees to assist with the practice;

3. should no other arrangements be possible, attempt to facilitate movement of a participant’s case files to the respective clients upon receipt of written permission from the participant.

Section 5. Referral Procedures.

(a) General Procedures

The state will be divided into geographical areas and a committee member or other designated representative shall serve as the primary contact for each area.

(b) Self-Referrals and Other Referrals

1) When the participant is a self-referral, the following procedures apply:

i. JLAP may conduct an initial consultation to determine the nature of the participant’s impairment;

ii. where appropriate, JLAP may make a referral to a qualified medical and/or clinical resource for further evaluation, assessment, and/or treatment;

iii. if appropriate, JLAP may assist in the development of a treatment plan, which may include participation in JLAP;

iv. with the participant’s permission, a volunteer will be appointed to provide ongoing support.

2) When the member is referred by a third party the following procedures apply:

i. JLAP will obtain detailed information from the referral source regarding the nature of the impairment, the referral source’s relationship to the member, and the circumstances giving rise to the referral. The identity of the referral source shall remain confidential unless the referral source instructs otherwise.

ii. JLAP may conduct further investigations to verify the circumstances that led to the referral by contacting independent sources to determine whether the member may be impaired.

iii. Any independent sources shall be approached in a manner to preserve, as far as possible, the privacy of the member.

iv. If it is determined the member may be impaired, JLAP will determine how the member will be approached with special attention given to involving local volunteers and/or local members of the bar who may already be involved in the case.

v. If the referred member is a judge, every effort shall be made to include at least one judge as a volunteer in the case.

3) If the impaired member agrees to treatment, or other levels of participation in JLAP, further assistance may include:

i. consultation with the participant, in-house assessment/evaluation, or referral for appropriate assessment/evaluation;

ii. assistance in locating treatment resources; and

iii. assistance in development of continuing care including support and referral to JLAP.

4) The director may terminate JLAP’s involvement in any case at any time should it be determined that the member does not comply or refuses to participate and will not likely benefit from JLAP services at that time.

(c) Official Referrals

1) Upon receipt of an official referral for assessment/evaluation, JLAP will:

i. Determine if all appropriate releases and/or authorizations have been signed and obtained.

ii. Determine whether the requested assessment/evaluation will be done in house, referred out or a combination.

iii. Contact the official referral source for background information and direction, if necessary.

iv. Coordinate the assessment process with selected provider, participating as deemed appropriate on a case-by-case basis.

v. Release information and/or the final assessment/evaluation as allowed by written release.

2) Upon receipt of an official referral for a monitoring agreement JLAP will:

i. Determine if all appropriate signed releases/authorizations have been obtained.

ii. Review existing assessment(s) and/or determine whether initial or additional assessment(s) are necessary.

iii. Develop a monitoring agreement.

iv. Select and provide a monitor.

v. Meet with the participant, his/her attorney if appropriate, and the monitor prior to execution of the agreement to explain JLAP’s role and the agreement terms and conditions.

vi. Report to the official referral source according to the terms of the referral and the monitoring agreement.

Section 6. Services.

(a) Any member is eligible for assistance and participation in JLAP. JLAP services will be provided without charge for initial consultation, in-house assessment, referral, and peer support.

(b) Referrals for medical and/or clinical evaluations, treatment, therapy and aftercare services will be provided; engagement of, and payment for, such services is solely the responsibility of the participant.

(c) Participants entering into a monitoring agreement with JLAP due to an official referral or upon their own initiative may be charged a monthly fee pursuant to JLAP’s fee policy as approved by the Supreme Court from time to time.

Section 7. Treatment – Medical Assistance.

(a) JLAP endeavors to provide a network of therapeutic resources that includes a broad range of health care providers, therapists, and “self-help” support groups. JLAP will maintain a statewide list of available providers.

(b) With the written consent of the participant, JLAP may maintain contact with, and receive information from, the treatment provider. JLAP may remain involved in support during treatment, and shall endeavor to provide peer support and aftercare assistance in early recovery.

(c) In cases where it is determined the participant is not in need of inpatient or residential treatment, JLAP may provide referrals to outpatient counseling resources and self-help groups such as 12-step programs.

Section 8. Confidentiality.

(a) JLAP and its representatives will observe anonymity and confidentiality at all times. JLAP is an autonomous program, independent from the administrative offices of the Court or any other board or disciplinary organization, agency or authority.

(b) No disclosure of confidential information will be made by any representative except for permitted disclosures and those identified in Ind. Professional Conduct Rule 8.3.

Section 9. Role of Program Volunteers.

JLAP will maintain a statewide network of volunteers to assist the committee in carrying out the purposes of JLAP. Volunteers fulfill the following functions:

(a) Assist in investigations, assessments, interventions, monitoring and support;

(b) Appear on behalf of contract participants as witnesses at the discretion of the

director;

(d) Disseminate information about JLAP including the offer of presentations to local and specialty bars.

Adopted Dec. 21, 2001, effective April 1, 2002; amended July 1, 2003, effective Jan. 1, 2004.

Indiana Supreme Court Disciplinary Commission Rules Governing Attorney Trust Account Overdraft Reporting

The following rules and procedures, issued pursuant to the authority granted to the Indiana Supreme Court Disciplinary Commission by the Supreme Court of the State of Indiana in Admission and Discipline Rule 23, Sections 24 and 29(b), govern the administration of an attorney trust account overdraft reporting program in the State of Indiana.

Rule 1. Definitions

As used herein:

A. “Financial institution” means a bank, savings and loan association, credit union, savings bank, and any other business or person that accepts for deposit funds held in trust by attorneys.

B. “Trust account” means any account maintained by an attorney admitted to practice law in the State of Indiana for the purpose of keeping funds belonging to clients or third parties separate from the attorney’s own funds as required by Indiana Rule of Professional Conduct 1.15(a). It also means any account maintained by an attorney for funds held in trust in connection with a representation in any other fiduciary capacity, including as trustee, agent, guardian, executor, or otherwise.

C. “IOLTA (Interest on Lawyer Trust Account)” means an attorney trust account in a financial institution pursuant to Professional Conduct Rule 1.15(f).

D. “Properly payable” refers to an instrument which, if presented in the normal course of business, is in a form requiring payment under the laws of the State of Indiana.

Adopted Dec. 23, 1996, effective July 1, 1997; amended effective Apr. 20, 2005.

Rule 2. Approval of Financial Institutions

A. Indiana Admission and Discipline Rule 23, Section 29(a)(1) requires that attorneys maintain trust accounts only in financial institutions that are approved by the Disciplinary Commission. A financial institution shall be approved by the Disciplinary Commission as a depository for trust accounts if it files with the Disciplinary Commission a written agreement, in the form attached hereto as Exhibit A, whereby it agrees to report to the Disciplinary Commission whenever it has actual notice that any properly payable instrument is presented against a trust account containing insufficient funds, irrespective of whether or not the instrument is honored.

B. The written agreement of any financial institution is binding upon all branches of the financial institution.

C. The Disciplinary Commission will maintain a public listing of all approved financial institutions and will publish the same each year in the December issue of Res Gestae, the monthly journal of the Indiana State Bar Association. The names of approved financial institutions will be available at other times by written or telephone inquiry to the Disciplinary Commission.

D. The written agreement of any financial institution will continue in full force and effect and be binding upon the financial institution until such time as the financial institution gives thirty (30) days notice of cancellation in writing to the Disciplinary Commission, or until such time as its approval is revoked by the Disciplinary Commission.

Adopted Dec. 23, 1996, effective July 1, 1997.

Rule 3. Disapproval and Revocation of Approval of Financial Institutions

A. A financial institution shall not be approved in the first instance as a depository for trust accounts unless it submits to the Disciplinary Commission an agreement in the form attached hereto as Exhibit A that is binding upon all of its branches and signed by an officer with authority to act on behalf of the institution. The refusal of the Disciplinary Commission to approve a financial institution due to its failure or refusal to submit an executed written agreement in the form attached as Exhibit A is not appealable or otherwise subject to challenge.

B. The approval of a financial institution shall be revoked and the institution shall be removed by the Disciplinary Commission from the list of approved financial institutions if it engages in a pattern of neglect or acts in bad faith in not complying with its obligations under the written agreement.

C. The Executive Secretary shall communicate any decision to revoke the approval of a financial institution in writing by certified mail to the institution in care of the officer who signed the written agreement. The notice of revocation shall include a specific statement of facts setting forth the reasons in support of the revocation decision. Thereafter, the financial institution shall have a period of thirty (30) days from the date of receipt of the notice of revocation to file a written request with the Executive Secretary seeking reconsideration of the revocation decision. In the event an institution timely seeks reconsideration, the Disciplinary Commission shall appoint one of its members to act as hearing officer to take evidence. The Executive Secretary or designee shall act to defend the revocation decision. The hearing officer, after taking evidence, shall report findings and conclusions for review by the full Disciplinary Commission, whose decision in the matter shall be final. The approved status of a financial institution shall continue until such time as the reconsideration process is final.

D. Once the approval of a financial institution has been revoked, the institution shall not thereafter be approved as a depository for trust accounts until such time as the institution petitions the Disciplinary Commission for approval and includes within the petition a plan for curing any deficiencies that caused its earlier revocation and for periodically reporting compliance with the plan in the future.

Adopted Dec. 23, 1996, effective July 1, 1997.

Rule 4. Duty to Notify Financial Institutions of Trust Accounts

A. Every attorney shall notify each financial institution in which he or she maintains any trust account, as defined above, that the account is subject to the provisions of overdraft reporting. For each trust account, a lawyer or law firm shall maintain a copy of each such notice throughout the period of time that the account is open and for a period of five (5) years following closure of the account.

1) For IOLTA accounts as required by Professional Conduct Rule 1.15(f), notice by the attorney to the financial institution that the account is an IOLTA account shall constitute notice to the financial institution that the account is subject to overdraft reporting to the Disciplinary Commission.

2) For non-IOLTA trust accounts as permitted by Professional Conduct Rule 1.15(f)(1), every attorney shall notify each financial institution that the account is subject to overdraft reporting to the Disciplinary Commission by submitting a notice in the form attached as Exhibit B for each such account to the financial institution in which the account is maintained.

B. In the case of a law firm that maintains one or more trust accounts in the name of the firm, only one notice from a member of the firm need be provided for each such trust account. However, every member of the firm is responsible for insuring that notice of each firm trust account is given to each financial institution wherein an account is maintained.

Adopted Dec. 23, 1996, effective July 1, 1997; amended effective Apr. 20, 2005.

Rule 5. Duty of Financial Institutions

A. Each financial institution shall report to the Indiana Supreme Court Disciplinary Commission any properly payable attorney IOLTA or non-IOLTA trust account instrument presented against insufficient funds as set forth in Indiana Admission and Discipline Rule 23, Section 29(b) through (g) and these rules irrespective of whether the instrument is honored.

B. No financial institution shall be responsible for forwarding a report of any overdraft on an account about which it has not received notice pursuant to Rule 4(A)(1) or (2), above, from the depositor attorney that it is a trust account subject to overdraft reporting.

Adopted effective Apr. 4, 2005.

Rule 6. Processing of Overdraft Reports by the Commission

A. Whenever the Disciplinary Commission receives an overdraft notice from a financial institution, the Executive Secretary shall send a letter to the depositor attorney seeking a documented explanation of the overdraft within ten (10) business days. This letter is a demand for information, noncompliance with which is a violation of Professional Conduct Rule 8.1(b). If bank error is claimed by the attorney, a written statement from a bank officer must be submitted with the explanation. If office error is claimed by the attorney, affidavits from the appropriate office personnel must be submitted with the explanation.

B. If the depositor attorney does not provide a timely explanation or if the explanation provided does not document the existence of bank error or isolated office inadvertence, the Executive Secretary shall present the matter to the full Disciplinary Commission to consider the issuance of a grievance pursuant to Indiana Admission and Discipline Rule 23, Section 10(a). Thereafter, the procedures of Admission and Discipline Rule 23 for the processing of grievances shall apply.

Adopted Dec. 23, 1996, effective July 1, 1997; amended effective Apr. 4, 2005.

Rule 7. Miscellaneous Matters

A. Any attorney who is admitted to practice law in another jurisdiction having attorney trust account overdraft notification rules that are substantially similar to the Indiana rules governing attorney trust account overdraft notification may apply to the Disciplinary Commission for exemption from compliance with these rules to the extent that the attorney maintains trust funds belonging to Indiana clients in a trust account in a foreign jurisdiction that is subject to overdraft reporting under the rules of that jurisdiction. Any such application for exemption shall be in writing and shall include:

1) a copy of the rules from the other jurisdiction governing attorney trust account overdraft notification;

2) a copy of the agreement between the applicable financial institution and the agency in the foreign jurisdiction that administers the overdraft notification program verifying that the financial institution participates in the foreign jurisdiction’s attorney trust account notification program;

3) a list of the names of all financial institutions, account names, and account numbers of all trust accounts maintained by the attorney in the foreign jurisdiction; and

4) a certification under oath by the attorney that each such foreign trust account has been properly identified to the foreign financial institution as an attorney trust account subject to overdraft reporting.

Any attorney seeking exemption under the terms of this provision is under a continuing obligation to immediately report any changes in the information provided to the Disciplinary Commission.

B. Admission and Discipline Rule 23, Section 29(a)(6) contemplates that a designee who is not admitted to practice law in Indiana may be an authorized signatory on a trust account. In the event an attorney or law firm delegates trust account signature authority to any person who is not admitted to practice law in Indiana, such delegation shall be accompanied by specific safeguards, including at a minimum the following:

1. All periodic account activity statements from the financial institution shall be delivered unopened to and reviewed by an attorney having supervisory authority over the non-attorney signatory; and

2. Responsibility for conducting periodic reconciliations between internal trust account records and periodic trust account activity statements from the financial institution shall be vested in a person who has no signature authority over the trust account.

C. All communications from financial institutions to the Disciplinary Commission shall be directed to: Executive Secretary, Indiana Supreme Court Disciplinary Commission, 30 South Meridian Street, Suite 850, Indianapolis, Indiana 46204.

Adopted Dec. 23, 1996, effective July 1, 1997; amended Dec. 4, 1998, effective Jan. 1, 1999; amended effective Apr. 20, 2005; amended Sep. 10, 2007, effective Jan. 1, 2008.

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