Rule 7 Compliance
Rule Text
Record Keeping.
(1) Every active attorney shall maintain records of participation in CLE activities for use in completing a compliance report and shall retain these records for a period of 12 months after the end of the attorney's reporting period.
(2) In furtherance of its audit responsibilities, the CLEC may ask to review an active attorney’s records of participation in CLE activities. Records which may satisfy such a request include, but are not limited to, certificates of attendance or transcripts issued by sponsors, CLE record keeping forms, cancelled checks, or other proof of payment for registration fees or audio or video tapes, course materials, notes or annotations to course materials, or daily calendars for the dates of CLE activities. With regard to individually screened audio or video presentations, contemporaneously made records of screening dates and times may be required. The CLEC is not required to maintain records of active attorneys’ participation in CLE activities, except as necessary to verify compliance with the CLE requirement.
Audits.
(1) The CLEC may audit compliance reports selected because of facial defects, by random selection, or other appropriate method.
(2) For the purpose of conducting audits, the CLEC may request and review records of participation in CLE activities reported by active attorneys.
(3) Failure to adequately substantiate participation in CLE activities within 30 days after request by the CLEC shall result in disallowance of credits for the reported activity and assessment of the late filing fee(s) specified in Rule 7(d)(2).
Noncompliance.
(1) Grounds. The following are considered grounds for a finding of noncompliance with these rules:
(A) Failure to complete the CLE requirement for the applicable reporting period;
(B) Failure to file a completed compliance report on time; and
(C) Failure to provide sufficient records of participation in CLE activities to substantiate credits reported, after request by the CLEC.
(2) Notice. By March 15, the President of the CNMI Bar Association or their designee shall send each attorney not in compliance with the requirement of these rules a notice of delinquency via email or U.S. Mail, return receipt requested, at the last email or mailing address provided to the Bar Association. Such notice will also be posted on the Bar’s website. The notice shall state the nature of the noncompliance and shall summarize the applicable rules regarding noncompliance and its consequences.
Cure.
(1) Noncompliance for failure to file a completed compliance report by the due date can be cured by filing the completed report demonstrating completion of the CLE requirement during the applicable reporting period together with the late fee specified by Rule 7(d)(2) by June 15.
(2) A fee of $100 must be paid to the CNMI Bar Association by any attorney who files their report in a reporting year after the February 15 deadline. An additional fee of $150, for a total of $250, must be paid to the CNMI Bar Association by any attorney who files their report in a reporting year after May 15.
(3) Credit hours applied to a previous reporting period for the purpose of curing noncompliance may only be used for that purpose and may not be used to satisfy the CLE requirement for any other reporting period.