Vermont Supreme Court
Rules & Regulations For Mandatory Continuing Legal Education
RULES FOR MANDATORY CONTINUING LEGAL EDUCATION
It is of primary importance to members of the Bar of the Supreme Court of Vermont and to the public that attorneys continue their legal education throughout the period of their active practice of law. These rules establish minimum requirements for continuing legal education.
§ 2. Board of Continuing Legal Education
(a) The Court shall appoint a Board to be known as the Board of Continuing Legal Education, consisting of seven members as follows:
(1) One shall be a judge, active or retired, or a retired justice of the Supreme Court;
(2) Four shall be attorneys admitted to the Bar of the Supreme Court; and
(3) Two shall be laypersons, not admitted to the practice of law in this state.
For purposes of these rules, a quorum shall consist of four members, or all members not disqualified, whichever is the lesser.
(b) Each term of office shall be four years and until a successor is appointed. Whenever a member resigns, or the office is otherwise vacant, the Court shall appoint a successor to fill the unexpired term. Appointments shall be made annually on June first.
(c) The chairperson and vice-chairperson shall be members designated by the Court annually on June first and shall so serve until their successors are designated.
(d) In the performance of their duties, the members of the Board shall be reimbursed for reasonable and necessary expenses and shall receive per diem compensation equivalent to that provided by law for comparable boards and commissions. The commissioner of finance and information support shall issue his warrant for the compensation and expenses of each member of the Board when submitted on vouchers approved by the court administrator.
(e) The Court shall initially appoint members to the Board for terms as follows:
(1) Two members, but no more than one of whom shall be a layperson, for terms of two years;
(2) Two members for terms of three years; and
(3) Three members for terms of four years.
(f) The Board shall have general supervisory authority over the administration of these rules. The Board shall accredit activity, within and without the state, which will satisfy the educational requirements of these rules; shall encourage the offering of such activity; shall determine and keep records of attorney compliance with these rules; shall report in writing to the Court the names of those who fail to meet the requirements of these rules; shall evaluate the effectiveness of mandatory continuing legal education in maintaining and improving the competence of members of the Bar; and shall monitor the continuing legal competence of members of the Bar and polices and procedures to maintain and improve that competency. The Board shall annually report in writing to the Court on December first its activities during the prior year and its recommendations, if any, relating to these rules and the maintenance of professional competence of attorneys admitted to the Bar of the Supreme Court.
§ 3. Minimum Educational Requirements
(a) Every licensed attorney admitted to the Bar of the Supreme Court shall complete twenty hours of accredited continuing legal education during each two-year compliance period established by these rules.
(b) At least two of the twenty hours required by paragraph (a), above, shall be devoted to continuing legal education specifically addressed to legal ethics.
(c) The provisions of paragraph (a) and (b), above, notwithstanding, no attorney who was admitted by examination before September 1, 1990 shall be required to earn hours of accredited continuing legal education for a period commencing on the date of the attorney's admission and ending on June first of the third full year following. For all attorneys admitted by examination on or after September 1, 1990, the provisions of paragraph (a) and (b) apply.
(a) Educational activity shall be eligible for accreditation to satisfy the requirements of these rules if it has significant intellectual and practical content directed at increasing the professional competence of attorneys and is of the nature listed below:
(1) Law school or other classroom instruction or educational seminars with substantial written material available, whether conducted by live speakers, lecturers, panel members, video or audio tape presentation, in a classroom setting; or
(2) Self study in graded courses.
(b) In the event that unusual circumstances render it a hardship for an attorney to engage in a sufficient quantity of continuing legal education activity the Board, in its discretion, may approve any alternate plan for continuing legal education which it finds satisfies the objectives of these rules.
(c) Activity may be accredited upon an application made to the Board, containing such information as the Board in its discretion requires. Applications may be filed by a sponsoring agency or group, or by any participant. Applications for the accreditation of activity described in paragraph (a) above must be filed no later than 30 days after the course has ended. Applications for the accreditation of activity described in paragraph (b) above must be filed and approved before the educational activity has occurred.
(d) The Board shall assign a maximum number of credit hours to each accredited activity.
(e) The Board may refuse to accredit any activity which it finds is not eligible for accreditation pursuant to paragraphs (a) or (b) of this section or which it finds is sponsored by a group or individual lacking the ability or intention to produce continuing legal educational activity of the kind proposed of sufficiently high quality to improve or maintain an attorney's professional competence, or which it finds is not offered in a sufficiently organized fashion or under otherwise adequate circumstances to fulfill the objectives of these rules.
(f) In the event that an activity has been approved by the Board, the sponsor shall be entitled to so state and to state the maximum number of credit hours for which the activity has been approved.
(g) The Board may delegate the authority to determine applications for accreditation. In the event said authority is delegated, a denial of accreditation by the Board's delegate shall be subject, upon request of the grievant, to de novo review by the Board.
§ 5. Accumulation and Computation of Credit
(a) Credit will be given only for participation in accredited activities, up to the maximum number of hours assigned by the Board to each activity.
(b) Credit will be given for any course attended in preparation for admission to the practice of law in any jurisdiction.
(c) Credit may be earned by teaching in accredited activities; however, no credit will be given for teaching which is part of an attorney's regular occupational activity, such as full-time instruction at a law school or college.
(a) The continuing legal education requirement imposed by these rules shall be effective from and after July 1, 1999. All licensed attorneys are divided into two groups of approximately equal numbers. The first group shall be required to complete twenty hours of continuing legal education within two year after July 1, 1999, and thereafter all licensed attorneys in the first group shall complete twenty hours of continuing legal education during each subsequent two-year compliance period. The second group shall be required to complete twenty hours of continuing legal education within two years of July 1, 2000, and thereafter all licensed attorneys in the second group shall complete twenty hours of continuing legal education during each subsequent two-year compliance period. For licensed attorneys admitted to practice after July 1, 1999, the reporting period shall commence on the date of admission and end on July 1st of the second full year following the year of admission.
(b) Before June 30 of each subsequent year, the Board shall cause to be sent to each attorney subject to reporting for that period a form affidavit for the recording and reporting of compliance with these rules.
(c) No later than July 2nd following the end of each applicable reporting period, each licensed attorney shall submit an affidavit attesting to the total hours of continuing legal education (up to twenty hours) that the attorney has completed during such period.
(d) In the event a licensed attorney fails to file an affidavit of compliance, files an incomplete affidavit of compliance, or files an affidavit which does not demonstrate substantive compliance with the requirements of these rules, the Board shall promptly notify such attorney of the fact and nature of noncompliance, by certified or registered mail, return receipt requested. The statement of noncompliance shall advise the attorney that the attorney must respond within fifteen days by:
(1) filing an affidavit which reflects compliance;
(2) filing a makeup plan as described in §7, below, along with the makeup plan filing fee; or
(3) filing with the Board a written answer to the Board's notice of noncompliance.
(e) If an answer pursuant to subdivision (3) of paragraph (d) above is filed and the answer does not admit noncompliance, the Board shall schedule a hearing on the question of compliance within thirty days of the filing. Notice of the date, time and place of said hearing shall be given to the attorney at least ten days prior thereto. The attorney shall bear the burden of establishing compliance with the substance of these rules. The attorney may be represented by counsel. Witnesses shall be sworn; and if requested by the attorney a complete electronic recording shall be made of all proceedings and all testimony taken. The chairperson, or other presiding member of the Board, shall have the authority to determine all motions, objections and other matters presented in connection with the hearing. The hearing shall be conducted in conformity with the Vermont Rules of Civil Procedure. The presiding officer of the Board and the attorney shall have the right to subpoena witnesses for said hearing. Application for a subpoena, including a subpoena duces tecum, shall be made to the Clerk of the Supreme Court, who shall issue the same.
(f) Within thirty days of the conclusion of a hearing, the members of the Board who conducted the hearing shall make findings of fact determining whether the attorney has complied with the requirements of these rules. If the Board finds that compliance has occurred, the matter shall be dismissed, and the Board's records shall be amended to reflect such compliance. If it is determined that the attorney has not complied with these rules, the Board shall recommend suspension. The Board shall promptly forward said findings and recommendation to the Supreme Court.
(g) In the event that an attorney fails to answer the Board's statement of noncompliance pursuant to paragraph (d), or files an answer which admits noncompliance, the Board shall promptly file a determination of noncompliance and a recommendation of suspension with the Supreme Court.
(h) Upon the recommendation of the Board, the Court may enter an order suspending an attorney for noncompliance, or, if it determines that the Board's finding of noncompliance is not supported by the record, reverse the finding of noncompliance and remand the matter to the Board for further consideration, or, find compliance and order the Board's records amended to reflect compliance.
(i) An attorney who has been suspended pursuant to order of the Court for noncompliance shall be deemed to be without a license to practice law pursuant to Rules for Annual Licensing of Attorneys, §2 and, in the event the attorney should practice law during the period of suspension, the attorney may be punished for unauthorized practice of law.
(j) Any attorney who has been suspended for noncompliance may be reinstated by order of the Court upon a showing that the attorney's continuing legal education deficiency has been made up. The attorney shall file with the Board a petition seeking reinstatement. The petition shall state with particularity the accredited continuing legal education activity which the attorney has completed including the dates of completion. The petition shall be accompanied by a reinstatement filing fee, the amount of which shall be determined by the Court annually, based on a recommendation of the Board, and which shall be in an amount estimated by the Board to cover the costs associated with a reinstatement. The Board shall determine whether the petition shows that compliance has been made, in which event it shall, within 10 days, file the petition, together with its recommendation of reinstatement, with the Supreme Court. If the Court finds the attorney eligible for licensure, or exempt therefrom, and that the record supports the Board's recommendation of reinstatement, it shall order reinstatement; otherwise, it may deny reinstatement or remand the matter to the Board for further consideration.
(k) At any time when proceedings are pending, and before the Board makes a recommendation of suspension, the Board may, in its discretion, dismiss said proceedings upon the filing of a makeup plan by the attorney, if it finds that the makeup plan is in compliance with § 7 of these rules and that dismissal will serve the policy of these rules.
(l) Transitional Provision: For those attorneys reporting their continuing legal education compliance for the period ending May 31, 1999, any attendance in June of 1999 will be allowed for the reporting period beginning July 1, 1999.
(a) An attorney who has failed to comply with the substantive requirements of these rules within the applicable compliance period may file a makeup plan, on his or her own initiative, or in response to a statement of noncompliance.
(b) The makeup plan must contain a specific plan for correcting the attorney's noncompliance within 120 days from the date of filing. The plan shall be accompanied by a makeup plan filing fee, the amount of which shall be determined by the Court annually on recommendation of the Board, and which shall be an amount estimated by the Board to cover the costs associated with a makeup plan. The plan shall be deemed accepted by the Board unless within 30 days after its receipt the Board notifies the attorney to the contrary. Full completion of the plan shall be reported by affidavit filed with the Board not later than 15 days following the 120-day period. If the attorney shall fail to file an acceptable plan, or shall fail to complete and report completion of the plan within the aforementioned 135 days, the Board shall proceed as set forth in paragraphs (d) through (k) of § 6 of these rules.
(a) An attorney who is exempt from licensure shall be relieved thereby from the requirements of these rules during the period of exemption of said attorney. Upon application for reinstatement and issuance of a license to practice law pursuant to Rules for Annual Licensing of Attorneys, the compliance period of the attorney shall commence on the date of reinstatement and end on June 1st of the second full year following the year of reinstatement, provided the date of reinstatement is more than one year from the date of transfer to inactive status. Otherwise, the compliance period shall be the same as it would have been absent inactive status. No attorney shall be permitted to transfer from active status to inactive status and vice versa in order to circumvent the requirements of these rules.
(b) The provisions of paragraph (a) above notwithstanding, an attorney who has been in inactive status for a period of three years or more following June 1 of 1985 shall be required before reinstatement to file with the Board an affidavit reflecting the completion of not less than twenty hours of accredited continuing legal education within two years before the date upon which reinstatement is sought.
§ 9. Supplemental Regulations; Fees
The Board of Continuing Legal Education may make and adopt such regulations, not inconsistent with these rules, governing the conduct of its business and the performance of its duties, as it finds to be appropriate to implement these rules. All fees received pursuant to these rules shall be deposited in the general fund.
REGULATIONS FOR MANDATORY CONTINUING LEGAL EDUCATION
As used in these Regulations, the following definitions shall apply:
(a) The "Board" shall mean the Vermont Board of Mandatory Continuing Legal Education.
(b) The "Director" shall mean an administrative assistant to the Board.
(c) "Rules" shall mean Rules for Mandatory Continuing Legal Education together with any subsequent amendments thereto, as adopted by the Supreme Court of the State of Vermont.
(a) Continuing legal education credit may be obtained by attending, or teaching at, continuing legal education activities which (1) have been previously approved by the Board, or (2) are presented by an "accredited sponsor".
(b) One (1) hour of credit shall consist of not less than sixty (60) minutes of attendance or teaching at an approved activity.
Credit hours will be rounded to the nearest quarter hour. Coffee breaks, keynote speeches and business meetings will not be allowed credit.
Credit will not be given for speeches presented at and attendance at luncheons and banquets.
Where a provider combines an educational program with a business meeting or other noncreditable program, it is the responsibility of the provider to indicate what portion of the program is intended to be educational and what portion is business or other noncreditable activity.
(c) A teacher shall receive credit only for teaching at a course approved under these regulations. No credit shall be given for any teaching for which the attorney receives compensation other than for expenses.
One hour of actual preparation time will be allowed for each actual hour of approved teaching, up to a maximum of five hours of preparation time.
(d) No CLE credit is allowed for any activity which an attorney received financial remuneration exceeding out-of-pocket expenses.
REGULATIONS 3: Standards for Approval
The following standards shall be met by any course or activity for which credit approval is sought:
(a) The course shall have significant intellectual or practical content, and its primary objective shall be to increase the attendee's professional competence as a lawyer.
(b) The course shall constitute an organized program of learning dealing with matter directly relating to the practice of law or to the professional responsibility and ethical obligations of a lawyer.
(c) Each faculty member shall be qualified by practical or academic experience to teach the subject he or she covers.
(d) Thorough, high quality, readable and carefully prepared written materials should be distributed to all attendees at or before the time the course is presented. It is recognized that written materials are not suitable or readily available for some types of subjects; the absence of written materials for distribution should, however, be the exception and not the rule.
Written material may be offered as an optional purchase by the course provider.
(e) Courses should be conducted in a setting physically suitable to the educational activity of the program. A suitable writing surface should be provided where feasible and appropriate.
(f) With prior approval supervised and graded self study courses may be granted up to 10 hours of CLE credit per reporting period. Video, telephonic, audiotape and computer program presentations may be approved up to 10 CLE credit hours per reporting period. In the event of unusual hardship or extenuating circumstances, additional credit may be granted for such activities at the Board's discretion.
(g) Activities which involve the crossing of disciplinary lines, such as a medico legal symposium or an accounting-tax law seminar, may be approved.
(h) An in-house course is one sponsored by a private law firm, a corporate law department or a federal, state or local governmental agency primarily for lawyers who are members or employees of the firm, department or agency.
An approved in-house course must meet all of the following requirements:
(1) It must meet all of the requirements of the standards for approval of Regulation 3 and other applicable Board rules.
(2) It must be made available to enough outside lawyers so that the audience can potentially be composed of at least 20% participants who are not lawyers working in or for the sponsoring firm, department or agency.
(3) It must be approved prior to its presentation.
(i) A video or sound tape presentation by an accredited sponsor shall not be considered an in-house course.
An attorney, whether in-house in a law firm, corporate law department or whatever, may, for CLE credit, listen to and/or watch audio and/or video cassettes, accompanied by substantial written material, created by an accredited sponsor without the need to invite or have present any "outside" attorneys.
(j) Credit will be allowed for non-paid scholarly writing and publication as follows:
(1) Two and a half hours for 1000 published words and
(2) Five hours for 3000 published words. Earned hours must be prorated among multiple authors.
(k) Credit is also allowed as follows:
(1) service as acting judge - up to 3 hours per reporting period
(2) reviewing small claims cases in superior court - up to 3 hours per reporting period
(3) service as judge at moot court - up to 2 hours per reporting period. (no credit for preparation)
(4) volunteer committee work - up to 2 hours per reporting period for approved committees. (no credit for preparation)
REGULATION 4: Procedure for Approval of Continuing Legal Education Activities
(a) A member or sponsoring agency desiring approval of a continuing legal education activity not previously approved shall submit to the Board complete information concerning:
(1) The name and address of sponsoring agency.
(2) Title, date, location and fee of the course.
(3) A list of faculty and their qualifications.
(4) A description of course content and length of presentation.
(5) An indication as to any portion pertaining to legal ethics.
(6) A description of the materials.
(b) Application shall be in writing and required course information may be supplied by attaching a copy of the course brochure. The application must be received by the Director's office no later than thirty (30) days after the course has ended.
An attorney who files a request for credit more than 30 days after the date of attendance must pay a $50.00 fee pending approval of the out-of-time request.
(c) Approval shall be granted or denied in accordance with the procedure set out in Regulation 6 herein.
(d) As to a course that has been specifically approved, the sponsoring agency may announce, in informational brochures and/or registration materials: "This course has been approved by the Vermont Board of Mandatory Continuing Legal Education for hours of credit."
(e) Approval may be granted for a specific course or a series of courses. Courses given annually may be approved on an ongoing basis subject to revocation after notice by the Board. A list of specifically approved courses shall be maintained by the Director.
REGULATION 5: Accreditation of Sponsoring Agencies
(a) The Board may extend approval to a sponsoring agency for any of the continuing legal education activities sponsored by such agency which conform to the standards for approval of Regulation 3. A sponsoring agency to which such general approval has been extended shall be known as an "accredited sponsor". A list of "accredited sponsors" shall be maintained by the Director.
(b) An organization or person which desires accreditation as an "accredited sponsor" shall apply for accreditation to the Board stating its legal education history for the preceding two calendar years, including dates, subjects offered, total hours of instructions presented, and the names and qualifications of speakers.
A primary consideration in the evaluation of such a request for status as an accredited sponsor shall be the previous experience of an agency in sponsoring and presenting continuing legal education activities.
(c) Once a sponsoring agency has been granted the status of an "accredited sponsor", it shall be exempt from the requirement for prior approval as set out in Regulation 4, for all course or activities in compliance with the Board's standards for approval as set out in Regulation 3. Credit for courses in compliance shall be given in accordance with Regulation 2.
(d) An accredited sponsor may seek an advisory opinion from the Director in any case where there is a question of whether an activity may be accredited or the amount of credit to be given.
(e) The Board may at any time reevaluate an accredited sponsor. If the Board finds there is a basis for consideration of revocation of the accreditation as an accredited sponsor, the Board shall give notice by certified mail to that sponsor of a hearing on possible revocation within 30 days prior to the hearing. The decision of the Board after the hearing will be final.
REGULATION 6: Director's Determinations and Review
(a) Pursuant to guidelines established by the Board, the Director shall, in response to written requests for approval of courses or accreditation of sponsors, awarding of credit for attending, teaching or participating in approved courses, waivers, extensions of time deadlines and interpretations of these Regulations, make a written response describing the action taken. The Director may seek a determination of the Board before rendering a decision. At each meeting of the Board the Director shall report on all adverse determinations made since the last meeting of the Board.
(b) The Board shall review any adverse determination of the Director. The active member or the sponsoring agency affected may present information to the Board in writing or in person or both. If the Board finds that the Director has incorrectly interpreted the facts, the provisions of the Rules, or the provisions of these Regulations, it may take such action as may be appropriate. The Board shall advise the active member or sponsoring agency affected of its findings and any action taken.
REGULATION 7: Lawyer Certification
(a) The affidavit shall be submitted on Form 2 as approved by the Board. Affidavits are mailed in May of the reporting year.
(b) As soon as practical after receipt of the affidavit, the Director shall give notice of noncompliance or referral to the Board for further review. Failure of the Director to send timely notice shall not relieve the attorney of his or her duty to comply with the Rule.
(c) The makeup plan filing fee is $50.00.
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