Rule 4. Applying for Credit

A. Course Approval and Fee Information. In applying for course approval, a sponsoring agency or lawyer shall submit to the Board an application for course approval (see Appendix I) and include the following:

(1) Title of the program under consideration;

(2) Location of the program;

(3) Names and credentials of the speakers, including those of persons designated to act as moderators for video or satellite programs;

(4) Type of presentation;

(5) Agenda or course schedule showing beginning and ending times of each session;

(6) Type of credit for which approval is sought (standard, ethics/professional responsibility, elimination of bias, law office management, professional development) for each segment of the course. No segment of any course shall be approved in more than one category of credit.

(7) A fee in the amount of $35. This fee may be subject to waiver under the provisions of Rule 3(D)(1). A fee is not required when submitting an application for either of the following types of courses meeting Rule 4 and Rule 5 requirements:

(a) a previously approved course that has been recorded and is replayed at a later date in its entirety;

(b) a course 60 minutes or less in duration.

(8) Such other information as the Board may require.

B. Professional Responsibility or Ethics: General Treatment. Every application for course approval must include:

(1) A description of the general treatment of professional responsibility or ethical considerations; or

(2) An explanation of why professional responsibility or ethical considerations are not included.

C. Sanctions for Failure to Include Ethics . If in the opinion of the Board, the general treatment of professional responsibility or legal ethics topics within courses approved as standard continuing legal education is inadequate without satisfactory explanation, the Board may refuse to grant full credit for all hours in attendance, impose a deduction from credit hours which would otherwise be granted, and in the case of persistent refusal to cover these topics, refuse to grant further credit for courses offered by the sponsor.

D. Law and Literature . A “law and literature course” that otherwise meets the course approval requirements set forth in Rule 5(A) will be approved for credit if the application for course approval includes the following:

(1) A narrative describing the course learning goals and discussion topics.

(2) Evidence that program registrants are instructed to read the designated literary text prior to attending the course.

No credit will be granted for the time that participants spend reading the designated literary text prior to attending the course.

E. Notice of Credit . The Board shall inform the sponsor or applicant of the number and type of credit hours granted or denied.

Rule 5. Standards for Course Approval

A. General Standards . A course must meet the following standards before approval is granted.

(1) The course shall have significant intellectual or practical content.

(2) The course shall deal primarily with matter directly related to the practice of law, the professional responsibility or ethical obligations of lawyers, the elimination of bias in the legal profession and in the practice of law, law office management, or the professional development of lawyers.

(3) The course shall be taught by faculty members qualified by practical or academic experience to teach the specified subject matter. Legal subjects shall be taught by lawyers.

(4) Any written materials should be thorough, high quality, readable, carefully prepared, and distributed to all participants at or before the time the course is offered.

(5) The course shall be presented and attended in a suitable classroom or laboratory setting. Courses presented via video recording, simultaneous broadcast, teleconference, or audiotape may be approved provided that a faculty person is in attendance at all presentations, either in person or through live transmission, allowing all participants to hear and participate in the question and answer session. Subject to the exception of paragraph (11) below, no course will be approved which involves solely television or video viewing in the home or office, or correspondence work or self-study, including online self-study.

(6) Credit will not normally be given for speeches at luncheons or banquets.

(7) A list of all participants shall be maintained by the course sponsor and transmitted to the Board upon request, following the presentation of the course.

(8) Credit shall be awarded on the basis of one credit hour for each 60 minutes of instruction at an approved course.

(9) A lawyer shall not receive credit for any course attended before being admitted to practice law in Minnesota, but one so admitted may receive credit of one hour for each 60 minutes actually spent in attendance, for attending for credit or as an auditor, a regular course offered by a law school approved by the American Bar Association.

(10) Notwithstanding the provisions of paragraph (9) above, a person who takes approved courses or teaches in an approved course after sitting for the Minnesota Bar Examination, but before admission to practice, may claim credit for the courses taken or the teaching done, if he or she passes that bar examination.

(11) Lawyers residing or working outside of the State of Minnesota during the CLE reporting period who, because of nonresidence are unable in good faith to attend courses approved as “elimination of bias” as defined in these Rules, may receive up to 2 hours of credit in fulfillment of the elimination of bias requirement by viewing a video course or courses that otherwise meet the requirements of these Rules. If a lawyer views a video elimination of bias course not previously approved for credit under these Rules, the lawyer may seek approval by completing and submitting the Course Approval Form at Appendix I.

B. Standards for Course Approval for In-House Courses.

(1) An in-house course as defined in Rule 2(M) will be approved if:

(a) The requirements of Rule 5(A) and other applicable Rules are met;

(b) 25% of the hours of approved instruction are taught by instructors having no continuing relationship or employment with the sponsoring firm, department, financial institution or agency;

(c) Notice of the course is given to enough outside lawyers so that the audience can potentially be composed of at least 25% participants who are not lawyers working in or for the sponsoring firm, department, institution or agency; and

(d) Approval is sought prior to its presentation.

(2) An in-house course as defined in Rule 2(M) that is presented and controlled by an established continuing legal education course sponsor as defined in Rule 2(N), may be approved for credit, notwithstanding the fact that the course does not comply with requirements of Rule 5(B)(1) (b) and (c) above.

(3) An in-house course as defined in Rule 2(M) shall not be approved for credit if it is presented primarily for clients or clients’ counsel.

Rule 6. Special Categories of Credit

A. Ethics and Professional Responsibility . Courses or sessions within courses approved as courses in ethics or professional responsibility:

(1) Must be at least 30 minutes in length; and

(2) Must be separately identified as ethics or professional responsibility on the course agenda and on the Course Approval Form at Appendix I.

B. Elimination of Bias in the Legal Profession and in the Practice of Law. Courses or sessions within courses approved as courses in the elimination of bias in the legal profession and in the practice of law:

(1) Must be at least 60 minutes in length;

(2) Must be identified on the application as fulfilling the elimination of bias requirement and be accompanied by the narrative described in the Course Approval Form at Appendix I;

(3) Must focus on issues in the legal profession and in the practice of law and not issues of bias in society in general; and

(4) Must not include courses on the substantive law of illegal discrimination unless such courses meet one or more of the learning goals for elimination of bias courses set forth in the Course Approval Form at Appendix I.

C. Law Office Management . A lawyer may receive credit for attendance at a course on law office management, which includes the topics of mentoring, staff development, and technology related to law office management, up to a maximum of 6 credit hours per reporting period. The course must be submitted for approval pursuant to Rule 4. Law office management courses that specifically address elimination of bias in the law office or in the practice of law may be approved instead as courses in the elimination of bias and when so designated are not subject to the 6-hour maximum on law office management courses.

D. Pro Bono Legal Representation . A lawyer may claim one (1) hour of standard CLE credit for every six (6) hours of pro bono legal representation that the lawyer provides to a pro bono client in a legal matter that has been referred to the lawyer by an approved legal services provider or by a Minnesota Judicial Branch program.  No more than six (6) hours of credit may be claimed per reporting period by a lawyer for pro bono legal representation.  In order to receive CLE credit the lawyer must submit an Affidavit of Pro Bono Representation to the Board (see Appendix III).

Rule 7. Other Credit

A. Teaching Credit . Credit for teaching in an approved course shall be awarded to presenting faculty on the basis of one credit for each 60 minutes spent by the faculty preparing the presentation and materials for the course and teaching the course. No credit shall be awarded for teaching directed primarily to persons preparing for admission to practice law. A lawyer seeking credit for teaching and preparation for teaching shall submit all information called for on the Affidavit of CLE Compliance at Appendix II.

B. Courses at Universities . Courses that are part of a regular curriculum at a college or university, other than a law school, may be approved for a maximum of 15 hours per course when the lawyer requesting approval submits evidence supporting the conclusion that the course meets the Rule 5(A)(1) through (5) criteria and that it is directly related to the requesting lawyer’s practice of law.

C. Retroactive Credit . A lawyer, or a course sponsor, may seek retroactive approval of courses by submitting the necessary information on the Course Approval Form at Appendix I.

Rule 8. Announcement of Approval

Any person may announce, as to an approved course: This course has been approved by the Minnesota State Board of Continuing Legal Education for ______ hours in the following category or categories of credit:

• standard continuing legal education;
• ethics or professional responsibility continuing legal education;
• elimination of bias continuing legal education; or
• law office management continuing legal education.

Rule 9. Affidavit of CLE Compliance

A. Contents of Affidavit . To maintain active status, a lawyer must submit an Affidavit of CLE Compliance (see Appendix II) setting forth all information called for and showing that the lawyer has completed a minimum of 45 credit hours either as a participant or a presenter in approved continuing legal education courses, including:

(1) no fewer than 3 hours of courses in ethics or professional responsibility;

(2) no fewer than 2 hours of courses in the elimination of bias in the legal profession and in the practice of law; and

(3) no more than 6 hours of courses in law office management.

B. Timely Affidavit . The affidavit is timely if filed not later than 60 days after the close of the 3-year period specified by the Office of Attorney Registration as the lawyer’s continuing legal education reporting period.

C. Late Affidavit Fee . A lawyer who submits an Affidavit of CLE Compliance after the 60-day filing period, but before issuance of a notice of noncompliance, shall submit along with the late affidavit a late filing fee in the amount of $50.00. This fee is payable notwithstanding the Board’s grant of an extension of time. Additional late fees will not be charged for late affidavits filed within a single reporting period.

D. Notice of Noncompliance Fee . A lawyer who submits an Affidavit of CLE Compliance after the issuance of a notice of noncompliance, but prior to the issuance of a Court order placing the lawyer on involuntary restricted status, shall submit along with the affidavit a fee in the amount of $100.

Rule 10. Director’s Determinations and Board Review

A. Director’s Determinations . The Director shall have the following authority and responsibility:

(1) To respond in writing to written requests for approval of courses giving reasons for the determination;

(2) To grant credit to lawyers for attending or teaching approved courses;

(3) To grant or deny requests for transfer, waiver, extension of time deadlines or interpretation of these Rules; and

(4) To inform the Board about determinations made since the Board’s last meeting, together with observations and comments relating to matters under the Board’s jurisdiction.

B. Board Review . A lawyer or sponsoring agency affected by an adverse determination of the Director may request Board review of the determination and may present information to the Board in writing and in person. The Board may take such action as it deems appropriate and shall advise the lawyer or sponsoring agency of its determination.

Rule 11. Notice of Noncompliance

A. Notice Required . The Director shall send a notice of noncompliance to any lawyer who:

(1) Fails to meet the requirements of these Rules; and

(2) Fails to request and obtain an extension of time in which to file an Affidavit of CLE Compliance as required by these Rules.

B. Service of Notice . The notice shall be sent by regular mail to the lawyer’s last known address.

C. Contents of Notice . The notice shall state the nature of the noncompliance and shall inform the lawyer of the right to request a hearing within 30 days of the mailing of the notice, the right to be represented by counsel, and the right to present witnesses and evidence.

D. Effect of Notice . If no hearing is requested, the Director’s determination of noncompliance shall become final and shall be reported to the Court with the recommendation that the lawyer be placed on involuntary restricted status.

E. Board Hearing . If a hearing is requested, the following apply:

(1) The Board may employ special counsel;

(2) The Chairperson shall preside at the hearing, which may be held before the entire Board or a committee appointed by the Chairperson, and shall make necessary rulings; and

(3) The hearing shall be recorded and a transcript shall be provided to the lawyer at a reasonable cost.

F. Decision . Following the hearing, the Board shall issue a written decision. If the lawyer is determined to be in noncompliance with these Rules, the Board may recommend to the Court that the lawyer be placed on involuntary restricted status or take other appropriate action.

G. Petition for Review . A lawyer who is adversely affected by the decision of the Board may appeal to the Court by filing a petition for review with the Clerk of Appellate Courts within 20 days of receipt by the lawyer of the decision together with proof of service of the petition on the Director. The petition shall state briefly the facts that form the basis for the petition and the lawyer’s reasons for believing the Court should review the decision. Within 20 days of service of the petition, the Board shall serve and file a response to the petition and a copy of the final decision of the Board. Thereupon, the Court shall give such direction, hold such hearings and issue such orders as it may in its discretion deem appropriate.

Rule 12. Restricted and Involuntary Restricted Status

A. Election of Restricted Status . A lawyer duly admitted to practice in this state may elect restricted status as defined in Rule 2(K) by sending written notice of such election to the Director, except that a referee or judicial officer of any court of record of the State of Minnesota or lawyer employed and serving as attorney or legal counsel for any employer, including any governmental unit of the State of Minnesota, is not eligible to apply for restricted status. A lawyer on restricted status shall not be required to satisfy the educational and reporting requirements of these Rules.

B. Restrictions Imposed . A lawyer on restricted or involuntary restricted status shall be subject to the following provisions and restrictions:

(1) The lawyer may not engage in the practice of law or represent any person or entity in any legal matter or proceedings within the State of Minnesota other than himself or herself.

(2) The name of the lawyer may not appear on law firm letterhead without a qualification that the lawyer’s Minnesota license is restricted. A law firm name may continue to include the lawyer’s name if the name was included prior to the lawyer’s placement on restricted or involuntary restricted status. The lawyer may not be listed “of counsel” or otherwise be represented to clients or others as being able to undertake legal business.

(3) The lawyer may not have a financial interest in a law firm that is a professional corporation.

(4) A lawyer on restricted status shall be issued a wallet license that is marked “CLER” (“continuing legal education restricted”) in place of the reporting category; a lawyer on involuntary restricted status shall be issued a wallet license that is marked “CLE4.”

C. Transfer from Restricted Status to Active Status .

(1) Notice to Director and Fee . Unless otherwise ordered by the Court, a lawyer on restricted status who desires to resume active status shall notify the Director in writing of the lawyer’s intention to resume active status and submit a transfer fee of $125.

(2) Transfer Requirements . A lawyer on restricted status shall be transferred to active status upon the Director’s determination that the lawyer has fulfilled the requirements of (a) or (b) below:

(a) Automatic transfer requirements . The lawyer has completed the number of CLE hours that the lawyer would have had to complete to meet reporting requirements and to be current on a proportional basis had the lawyer not been on restricted status, or

(b) Discretionary transfer requirements . The lawyer has completed such lesser requirements as the Director determines are adequate provided that the number of hours completed total no fewer than 45 hours during the 3 years immediately preceding transfer. The Director will specify no more than 90 hours. Determinations will be made subject to the criteria set forth in paragraph (c) below.

(c) Discretionary transfer criteria . The Director may transfer a lawyer to active status when the lawyer has fulfilled appropriate CLE conditions precedent or agreed to fulfill appropriate CLE conditions subsequent as determined by the Director. In making discretionary transfer decisions, the Director will take the following into consideration:

i. The number of CLE hours the lawyer has taken in the past;

ii. The lawyer’s other educational activity;

iii. The lawyer’s practice of law in another jurisdiction;

iv. The lawyer’s law-related work other than the practice of law;

v. Whether the lawyer acted reasonably in not anticipating the need to take the appropriate number of CLE hours before being transferred from active status; and

vi. Whether the lawyer has demonstrated circumstances of hardship or other compelling reasons that show that the lawyer should be transferred to active status before completing the appropriate number of CLE hours.

(3) Report to the Board . The Director shall report to the Board at its next meeting the terms and conditions upon which transfers to active status were made.

(4) Failure to Abide by Transfer Conditions . A lawyer who fails to comply with the conditions of transfer shall be restored to restricted status upon notice from the Director sent by regular mail to the lawyer’s last known address.

(5) Appeal to the Board . Upon written request from a lawyer, the Board shall review the Director’s determination of transfer requirements and notify the lawyer in writing regarding the outcome of that review.

D. Transfer from Involuntary Restricted Status to Active Status .

(1) Notice to Director and Fee . Unless otherwise ordered by the Court, a lawyer on involuntary restricted status who desires to resume active status shall notify the Director in writing of the lawyer’s intention to resume active status and submit a transfer fee of $125.

(2) Transfer Requirements. Unless otherwise ordered by the Court, the Director shall recommend to the Court that a lawyer on involuntary restricted status be transferred to active status upon the Director’s determination that the lawyer has completed the number of CLE hours that the lawyer would have had to complete to meet reporting requirements and to be current on a proportional basis had the lawyer not been placed on involuntary restricted status, or that the lawyer has completed such lesser requirements as the Director determines are adequate provided that the number of hours completed total no fewer than 45 hours during the 3 years immediately preceding transfer. The Director will specify no more than 90 hours. The Director may recommend to the Court that a lawyer on involuntary restricted status be transferred to active status when the lawyer has fulfilled appropriate CLE conditions precedent or agreed to fulfill appropriate CLE conditions subsequent as determined by the Director. In making such a recommendation, the Director will take into consideration the discretionary transfer criteria in section (C)(2)(c) of this Rule.

(3) Appeal to the Board . Upon written request from a lawyer, the Board shall review the Director’s determination of transfer requirements and notify the lawyer in writing regarding the outcome of that review.

Rule 13. Transfer from Retired Status to Active Status

A lawyer on retired status who seeks to transfer to active status is subject to the provisions of Rule 12 and shall notify the Office of Attorney Registration of his/her intention to transfer to active status.