Rules for Mandatory Continuing Legal Education – Effective August 18, 2008
MCLE Rule 3: MEETINGS AND OFFICERS
3.01 The Commission shall meet at the office of the Rhode Island Supreme Court, Providence , Rhode Island at 8:00 A.M. on the 3rd Wednesday of each month unless otherwise and/or elsewhere scheduled.
3.02 The Supreme Court shall appoint the chair from among the members of the Commission.
3.03 At the first meeting held in each annual attorney reporting period, the Commission shall elect from its membership a vice chair and a secretary. The vice chair shall not be a judicial member of the Commission.
MCLE Rule 4: CREDITS AND COMPUTATION
4.01 MCLE credit(s) for approved program attendance will be awarded on the basis of one (1) credit hour for each 50 minutes actually spent in attendance. One‑half credit shall be awarded for (i) programs exceeding standard credit increments by at least 25 minutes (e.g. 75 minutes = 1 1/2 credits), and (ii) Ethics presentations of at least 25 minutes duration, whether stand‑alone or included in a larger program. NO credit will be allowed for any program of less than 25 minutes duration, regardless of the topic.
4.02 The burden of proving MCLE credit entitlement for attendance at a course offered by a non-approved sponsor shall be on the active practitioner who, upon demand, must submit all registration and course materials concerning said program.
4.03 MCLE Credit will not be given for any course taken before admission to the Rhode Island Bar. MCLE credit will not be given for any course required for admission to practice in any court or jurisdiction.
4.04 MCLE credit may be earned through enrollment in formal education of a postgraduate nature, either for credit or by audit, in an ABA accredited law school. The Commission will award one credit hour for each 50 minutes of class attendance. The course credit hours allotted by the law school shall not be a consideration.
4.05 MCLE Credit hours may be obtained for attendance at in-house programs which meet the standards outlined in IV.3.6 and MCLE Rule 6 hereof. (See also Appendix D).
4.06 No more than five (5) MCLE credit hours may be earned by an active practitioner in any reporting year through MCLE in-house activities.
4.07 MCLE credit may be earned for certain activities which cross academic lines (e.g., accounting-tax). (See Appendix A for criteria).
4.08 The Commission will award two (2) extra credit hours for each 50 minutes that an active practitioner spends teaching an approved program i.e. a total of three (3) hours for each 50 minutes with an annual limitation of six (6) credit hours. Rules for teaching qualification are provided herein as Appendix B.
4.09 Presenters who serve as members of a discussion or similar panel shall receive teaching credit only if they have made a presentation which conforms to the requirement of Appendix B.
4.10 The Commission may award credit for research activities upon written application by attorneys engaged in such activities, provided the activity (1) has produced published findings in the form of articles, chapters, monographs, or books personally authored in whole, or in part, by the applicant, and (2) contributes substantially to the continuing legal education of the applicant and other attorneys. Such credit(s) shall not exceed five (5) MCLE credit hours per annual reporting period.
The Commission will, upon publication and submittal, judge applications on a case by case basis as to acceptability, and if so found, the number of credit hours allowed. (Appendix E).
4.11 Proof(s) of attendance shall be issued by providers only at the conclusion of a seminar. The Commission recommends a sign-in/sign-out procedure and implementation of such a procedure shall afford the provider a “safe haven” should any problems concerning attendance arise.
4.12 A maximum of three (3) credits may be earned for on-line, telephonic, video, or sound tape presentations if a qualified person is in attendance to comment and answer questions in person or by on-line, email or telephonic means (see also MCLE 6.12 hereof and Appendix D).
4.13 If an attorney earns more than ten (10) MCLE credit hours in a registration period the excess hours may be used to fulfill, as far as possible, the attorney’s MCLE requirement for the next ensuing year, but not thereafter. Excess credits must be reported in the year taken.
4.14 An attorney who resides in any MCLE jurisdiction other than RI, who is deemed in compliance with that other jurisdiction’s MCLE requirement for the annual reporting period, shall be deemed in compliance with RI only if an official transcript of certification is received by the RI MCLE Commission. The transcript or certification must be accompanied by the filing form prescribed by the RI MCLE Commission and filed by the practitioner by June 30.
MCLE RULE 5: EXEMPTION
5.01 An attorney who suffers a disability which makes physical attendance at CLE programs inordinately difficult may file, annually, a request for a substitute program in lieu of attendance and shall therein propose the alternative continuing legal education program the attorney can undertake, together with a doctor’s letter specifically stating the nature and extent of illness/incapacitation. Where a disability prohibits any form of participation in continuing legal education, said doctor’s letter should so indicate. The Commission shall review, and approve or disapprove such alternate programs on an individual basis.
5.02 Other requests for alternative CLE programs, waivers, or exemptions for good cause shall be submitted to the Commission in writing with full explanation of the circumstances supporting the request. (Appendix D).
5.03 Attorneys who are listed as inactive or retired on the records of the Supreme Court shall be exempt.
5.04 Attorneys holding a full‑time Municipal, State, or Federal office, who are not engaged in the practice of law, shall be exempt during their term(s) of office.
5.05 State and Federal Court judges, magistrates, and masters whose judicial duties are full‑time and who are not engaged in the practice of law shall be exempt.
5.06 Attorneys admitted to practice during a reporting year shall be exempt, for that year only.
5.07 Notwithstanding any of the above provisions, any attorney who reaches the age of seventy (70) during a reporting year shall be granted exemption for that year and thereafter.
5.08 In the event an active attorney does not practice throughout the compliance year, a waiver of that year’s MCLE requirement may be requested (refer to RI Supreme Court Rules, Article IV, Rule 3.8[d]).
5.09 Attorneys who are active full time, military personnel are exempt from the requirement, but must certify said status on the summary reporting form (Appendix G).
MCLE RULE 6: ACCREDITATION SPONSOR PROGRAMS, ACTIVITIES
6.01 In order to obtain and maintain approval, sponsors of MCLE courses or activities must comply with the following minimum requirements:
a. The sponsor must develop and implement methods to evaluate its course offerings to determine their effectiveness and, upon request from the MCLE Commission, provide course evaluations by attendees.
b. The sponsor must provide courses consistent with the standards for individual course approval as set forth in IV.3.6 of the Supreme Court Rule.
6.02 Reserved.
6.03 Standards: a continuing legal education course, program, or activity shall meet the following minimum standards in order to be approved for MCLE credit:
a. It shall be of significant intellectual and practical content such that it will contribute to the growth of an attorney’s professional competence and skills.
b. Its subject matter shall be directly or supportively relevant to the practice of law and/or legal ethics. (Appendix A)
c. It shall be conducted by a person or persons qualified professionally to present the subject matter involved.
d. It shall be presented in a classroom, meeting room, or lecture hall conducive to a meaningful educational experience.
e. Its content shall be presented in a multi‑mode fashion, utilizing oral presentations supplemented with written hand‑outs or texts. All materials shall meet the highest professional standards in terms of their timeliness, organization, and detail.
f. It shall utilize video and audio tape presentations only as an adjunct to oral and written presentations. Live satellite presentations shall be approved only if an on-site proctor is in attendance.
6.04 The Commission may, at its discretion, require an accredited sponsor to submit a report in writing of continuing legal education activities conducted during any given reporting period.
6.05 If the Commission determines that an individual course offered by an accredited sponsor fails to meet the standards for accreditation, the Commission may withdraw approval for the course even though offered by an accredited sponsor. An accredited sponsor may seek an advisory opinion from the Commission in any case where there is a question whether an activity may be accredited or the amount of credit to be given. (Appendix D).
6.06 The Commission may at any time reevaluate and, for cause, revoke the status of an accredited sponsor.
6.07 A sponsor wishing to apply for accredited sponsor status shall submit to the Commission on a form approved for that purpose, information on any continuing legal education programs planned for the current application year. The Commission may, at its discretion, request submission of course materials for inspection (Appendix D).
6.08 Sponsors of courses which have been approved may announce in informational brochures or registration materials: “Subject to Supreme Court Rule IV.3, this course has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for a maximum of CLE credits, or which are ethics credits.”
6.09 At the conclusion of an approved program or activity, each participating attorney should be given the opportunity to complete an evaluation form addressing the quality, effectiveness, and usefulness of the program or activity.
6.10 Sponsors shall allow Commission members and staff to attend, free of charge, any continuing legal education program. (Such attendance shall not qualify for mandatory continuing legal education.)
6.11 In-house MCLE activity in order to qualify shall meet the following minimum requirements:
(a) the courses must be open to in-person monitoring/observation by any member of the Commission. To this end, the Commission must be notified thirty (30) days in advance of the date, time and place of any in-house presentation for which credit will be sought.
(b) The activity must be scheduled at a time and location so as to be free of interruptions from telephone calls and other office activity.
6.12 In the case of telephonic, video, and sound tape presentations, the qualified person referred to in MCLE Rule 4.12 hereof, shall be one who, by academic or professional qualification, possesses the knowledge to interact with the audience to supplement the presentation and answer questions. Commentary and question-and-answer segments should occur at a meaningful time during the program, preferably after each subject matter break. In the case of on-line courses, instruction must occur via a live webcast or video of lecture and attorneys must be able to interact with faculty via email or other contemporaneous method such as discussion board. Attendance prompts or other computerized monitoring is required.
MCLE RULE 7: FILING AND RECORDS
7.01 When an active practitioner completes the annual MCLE requirements set forth in Rule IV. 3.2, he or she shall promptly report such fact to the Executive Director on a prescribed form with legible copies of supporting documentation (Appendix G).
7.02 Records of attendance may be submitted by affidavit in cases where a program sponsor either failed to supply certification, the same was supplied but lost, or certification was not available (e.g., scholarly writing).
7.03 Each active practitioner must report the status of his/her compliance or exemption annually not later than June 30 (Appendix G).
7.04 Any documentation received by the Executive Director after October 1 or after January 1, for the prior compliance year will subject the active practitioner to a progressive late filing fee (Appendix C).
7.05 As soon as practicable after the close of a compliance year, the Executive Director shall give notice of non‑compliance to any active practitioner who fails to submit satisfactory proof of either compliance or exemption.
7.06 Each active practitioner shall maintain a personal record of MCLE attendance or exemption from the compliance mandate for a period of three (3) years. Such records will be subject to review by the MCLE Commission upon request.
7.07 NO INFORMATION REGARDING THE CONTENT OF AN ACTIVE PRACTITIONER’S MCLE RECORDS WILL BE GIVEN OVER THE PHONE TO ANY PERSON OTHER THAN THE PRACTITIONER FOR WHICH THE REQUEST IS MADE.
MCLE RULE 8: FAILURE TO COMPLY – SANCTIONS
8.01 An active practitioner who fails to fulfill the educational requirements of MCLE shall correct his or her failure to comply with the requirements of this rule within ninety (90) days of the date of the notice of delinquency, or be subject to possible sanction by the Supreme Court. A fee will be assessed for filing make‑up credits and for late compliance. For any make-up credits received after the 90-day make-up period has elapsed, the active practitioner shall be assessed double the published make-up fee. Active practitioners reporting compliance by make-up credit will not be eligible for carry forward credit (Appendix C).
8.02 If an active practitioner does not correct his or her failure to comply with the requirements of MCLE within ninety (90) days of the date of the notice of delinquency, the Executive Director shall file a notice of non‑compliance with the Supreme Court, which may, in its discretion, issue an order directing said attorney to show cause why he or she should not be suspended from the practice of law.
8.03 An active practitioner suspended pursuant to this rule who, thereafter, comes into compliance shall file a certificate of retroactive compliance with the Commission in such form as the Commission shall prescribe and pay a reinstatement fee (Schedule C). Within thirty (30) days of the filing of said certificate, the Executive Director, if satisfied, shall file the same with the Commission’s approval noted thereon with the Supreme Court for the Court’s information.
8.04 An active practitioner aggrieved by the refusal of the Commission to approve a certificate of retroactive compliance may file a petition for review by the Supreme Court.
MCLE RULE 9: HEARINGS
9.01 If requested in writing the Commission shall grant a hearing to anyone aggrieved by the operation and/or application of these rules.
9.02 At the discretion of the Commission, the hearing may be held before the entire Commission or a three member panel thereof. If a hearing is held before a three member panel, the panel shall report its findings and recommendations to the full Commission for action.
9.03 Hearings, when held, shall follow the course of proceedings before the Disciplinary Board of the Rhode Island Supreme Court.
MCLE RULE 10: REINSTATEMENT PROCEDURE
Any attorney suspended from practice for failure to comply with IV.3 “Mandatory Continuing Legal Education” may be reinstated pursuant to Article II, 42-16 of the Rhode Island Supreme Court Rules.
MCLE RULE 11: FEES
11.01 The administrative costs of the MCLE program shall, to the extent possible, not be met by direct assessment of the active practitioners.
11.02 Each MCLE provider who is either granted blanket approval by these regulations or applies for approved sponsor status shall be assessed an annual fee. (Appendix C).
11.03 Approved sponsors including In-House qualifiers, who offer not more than two (2) credit hours in any reporting year shall pay a separate fee for the first and the second offering. (Appendix C). In-House programs may exceed the two (2) credit limit without further application charge(s).
11.04 Providers shall, in addition, remit to the Commission within thirty (30)days of program presentation, a sum computed on the basis of a charge per MCLE credit hour or permitted fraction. (Appendix C)
In the case of “NO FEE” programs presented by not-for-profit providers, neither the provider nor the attendee shall be liable for the hour based charge provided herein.
11.05 In the case of qualifying courses offered by non-approved providers, either the provider or the attendee must pay the fee indicated by in the schedule of fees (Appendix C) before the active practitioner can receive credit. (See also 4.02 above).
11.06 The Commission shall review and revise Schedule C as it deems necessary.
11.07 Should the foregoing method(s) of funding prove either inadequate or unworkable, the Commission may from time to time alter this regulation. If deemed absolutely necessary, a one time start up assessment may be made during the first five (5) years of the MCLE operation.
11.08 Any attorney requesting replacement of a lost transcript will be assessed a $5 fee.
MCLE RULE 12: COMMISSION, STAFF AND EXPENSES
12.01 An Executive Director, appointed by the Supreme Court, with such other staff as may be reasonably necessary, shall conduct the business of the Commission subject to these regulations and to IV.3 “Mandatory Continuing Legal Education.”
12.02 Members of the Commission and Commission staff shall, upon request, be reimbursed their actual and necessary expenses incurred in travel to and from Commission meetings and for pre-authorized travel in connection with Commission business.
MCLE RULE 13: CONFIDENTIALITY
13.01 Subject always to the direction of the Supreme Court, the files, records, and proceedings of the Commission, as they may relate to or arise out of the failure of any attorney to satisfy continuing legal education requirements, shall be confidential.
13.02 At such time as the Executive Director issues a notice that an active practitioner has failed to meet MCLE requirements, the file of that attorney shall be open to public scrutiny.
13.03 Statistical studies, done in anonymous fashion, may be abstracted for use by the Commission.
MCLE RULE 14: MAILING ADDRESS OF COMMISSION
Subject to change by order(s) of the Commission from time to time, the official address of the Commission is:
Rhode Island MCLE Commission
Rhode Island Supreme Court
24 Weybosset Street
Providence , Rhode Island 02903
401-222-4942
401-222-4302
APPENDIX A
ACCREDITATION GUIDELINES
FOR CLE ACTIVITIES
Pursuant to the authority granted to the Commission on Mandatory Continuing Legal Education to administer said program, the following accreditation criteria are hereby adopted as Appendix A to be used to determine if CLE activities submitted for MCLE accreditation satisfy the general standards specified in MCLE Rules 4 and 6.
CLE activities shall be accredited for MCLE in Rhode Island if they meet the following accreditation criteria:
(A) The activity consists of an organized program of education dealing with:
(1) substantive or procedural subjects of law:
(2) technical, scientific or other bodies of knowledge that are so inextricably intertwined with an area of law practice as to be tantamount to a subject of law;
(3) legal skills and techniques;
(4) legal ethics and/or professional responsibility; or
(5) law office management;
(B) The instructors or lecturers are either qualified attorneys or judges, or they are experts in the subject area based on their education and background;
(C) The activity is primarily designed and targeted to attorneys and other professionals who would require the same level of instruction as attorneys in the area of study that is the subject of the activity;
(D) The activity is not a meeting of a bar association, committee, section or other entity composed of attorneys, that is designed to be a general business or work session as opposed to a CLE activity;
(E) The activity is not training in the actual use of specific hardware, software or other tools that are specific products of a particular company or person, unless such training is merely a method of explaining the overall concept being taught; and
(F) High quality written materials should be distributed to all participants at or before the time the activity is offered.
“Legal ethics” shall include programs that deal with usages and customs among members of the legal profession, involving their moral and professional duties toward one another, toward clients, and toward the courts.
“Professional responsibility” shall include programs that deal with maintaining the integrity and competence of the Bar so that legal services are delivered with the highest degree of professional conduct.
Examples of such programs shall include, but not be limited to, those involving disciplinary rules, rules of professional conduct, malpractice avoidance, substance abuse and stress as an impairment on law practice, alternate dispute resolution, pro bono legal services, and the participation of women and minorities in the legal profession.
“Law office management” shall include programs on topics that relate strictly to law offices and legal departments, and to the development and training of lawyers in the actual practice of law, as opposed to other businesses or professions, and in assisting them in providing high quality legal services to their clients.
Examples of such programs shall include, but not be limited to those involving: (1) administrative and organizational structure and planning for law firms, (2) case management and docket control, (3) accounting systems and time and billing systems for lawyers, (4) client filing and monitoring systems, (5) computerization, automation and data processing for law firms, (6) personnel management.
“Law office management” shall not include programs involving: (1) individual money management or investing, (2) personal development, (3) techniques designed and marketed solely to increase profits of a lawyer or firm, (4) general time management and personal organizational skills, and (5) individual communication and interpersonal skills such as interview skills.
APPENDIX B
Teaching under the following circumstances does not qualify for teaching credit at a rate of three credits for each MCLE hour of presentation:
1. Actual instruction time was less than 25 minutes.
2. Written materials were not distributed.
3. Teaching was directed to an audience of which a majority was non-lawyers.
4. Presentation was to persons pursuing a degree other than a J.D., L.L.B., L.L.M., or S.J.D.
5. Presentation was to persons preparing for admission to the practice of law.
APPENDIX C
SCHEDULE OF FEES
The following fee schedule is adopted by the Mandatory Continuing Legal Education Commission:
7.04 Late Filing of Qualification Status. If filed
July 15 to September 30 $ 25.00
October 1 to December 31 $ 50.00
January 1 to June 30 $ 75.00
8.01 Make-Up Plan $ 50.00
Filing
8.03 Certificate of Retroactive $ 75.00
Qualification
Filing
11.02 Approved Sponsor $125.00
Annual Fee
11.03 Approved Sponsors
Limited Annual Fee
1st hour $ 75.00
2nd hour $ 25.00
11.04 Per MCLE Credit Hour $ 1.50
Per Half (.5) MCLE $ .75
Credit Hour
11.05 Active Practitioners will $ 5.00
Pay a processing fee of
$5.00 per application for
approval of a course offered
by a non-accredited sponsor.
11.08 Replacement transcript $ 5.00
