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Provider Record Keeping

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Part of a provider’s responsibilities include keeping track of the attorneys who participate in a Minimum Continuing Legal Education (MCLE) activity and the certificates they issue to verify attendance.

The State Bar conducts annual audits to verify attorney reports listing their MCLE credits. Open and accessible records are key to conducting these audits. The State Bar also monitors how providers advertise an educational program.

Recordkeeping

Providers need to keep these types of MCLE records:

  • Records of attendance: Providers must take attendance using the State Bar’s record of attendance form. Attorneys must sign in with their name, bar number and signature. For electronically transmitted activities, a signature is not required.
  • Evaluation form: Providers must make evaluation forms available to all attorneys. If any forms are filled out and returned, you must keep them for one year from the date the program is held.
  • Certificate of attendance: Providers must issue a certificate of attendance to each attendee who completed a participatory MCLE activity. Preferably, the top portion of the certificates of attendance must be preprinted with provider information and details about the activity. Providers do not need to keep copies of certificates of attendance.

Providers must keep all records, including the records of attendance, agendas, copies of written materials and promotional materials (if any) for four years from the date the program is held.

Providers may create and use their own records of attendance, certificates of attendance and/or evaluation forms. Each form must include the same fields found on the samples. Providers should not send any records to the State Bar unless specifically requested to do so.

If the State Bar audits an attorney, we may request the copies of his/her certificates. To verify that the attorney’s name is on a provider’s record of attendance, an auditor will look at the certificate to find provider contact information. You may be contacted if there is a question.

Advertising an MCLE activity

Providers also need to understand the requirements regarding listing or advertising an MCLE activity. Here are some rules:

  • A provider cannot advertise that a program is MCLE-approved until it receives a statement from the State Bar about an application or program. A provider may state that an activity is “pending approval” if it advertises after submitting an application is submitted and before a decision is made
  • Rule 3.601 (C) requires that promotional materials state that the activity is approved or approval is pending, specify the amount of credit or subfield credit
  • If an individual education program is denied, the provider must immediately delete any MCLE statement from all materials to be distributed after the denial and inform participants of the denial at the beginning of the program
  • In-house promotional materials must contain the information required by Rule 3.601 (C) (that the activity is approved or approval is pending, the amount of credit offered and the amount of subfield credit, if any). However, not all in-house materials must contain the approval statement, for example, a reminder memorandum does not have to contain this information.

Providers are strongly discouraged from co-sponsoring MCLE activities. If you need to make any changes to the provider’s name, address or contact information, contact the State Bar at:

MCLE Providers
The State Bar of California
180 Howard St.
San Francisco, CA 94105
Email: providers@calbar.ca.gov

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