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1) To qualify as an authorized house counsel (AHC)
under Connecticut Practice Book section 15A an applicant must:
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be a member of the bar in good standing in
another jurisdiction (state, DC, US territory or foreign country).
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be employed by an “organization” as defined in
Section 15A or will be relocating to Connecticut within three months
in furtherance of employment by such an “organization.”
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agree to abide by the rules regulating members
of the Connecticut bar.
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agree to submit to the jurisdiction of the
statewide grievance committee and the superior court.
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file an application for registration as an
authorized house counsel with the bar examining committee together
with the required forms, documents and the fee of $1,000.00.
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2) Transition – Safe harbor provision
An applicant who files an application for
registration as an authorized house counsel between 01 January 2008 and
30 June 2008:
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will not be denied
registration as AHC on the grounds of employment by an
“organization” in Connecticut prior to 01 January 2008 and
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shall not be subject
to an enforcement action for unauthorized practice of law for action
as counsel to an “organization” prior to 01 January 2008 if the
applicant ultimately becomes certified as an AHC in Connecticut
pursuant to Section 15A.
An applicant that should have filed within the safe
harbor provision but instead files an application for registration as an
authorized house counsel after the safe harbor provision:
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will have his/her application accepted and
processed by the CBEC
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should include with his/her application an
explanation regarding the failure to file within the safe harbor
provision and
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will be referred to the Office of the Chief
Disciplinary Counsel for possible investigation for the unauthorized
practice of law.
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3) Application and forms
To be considered filed you must complete and file all of the following:
Print Check-off Lists Only
-- Download forms from list below.
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Check
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Form Number and Title
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Form AHC1 - Application for registration as
authorized house counsel
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Form AHC6 - Summary Sheet
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Form AHC7 - Return address labels
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Form AHC17 - Status sheet
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$1000.00 certified check or
money order (the Bar Examining Committee does not
accept credit cards, personal, company or law
firm checks)*
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*Company checks will no longer be accepted as a
courtesy
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The following forms and any supporting
documentation may be submitted with the application or within 1
year of the initial filing date:
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Form Number and Title
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Form AHC4 – Affidavit re: rules of
professional conduct
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Form AHC5 – Affidavit re: statewide
grievance committee
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Form AHC8 (2) – Affidavit of CT
Attorney
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Form AHC11 – Certification of
employer organization
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Form AHC13A – Employment and Law
Practice
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If applicable to you, the following forms may be
submitted with the application or within 1 year of the initial
filing date:
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Form Number and Title
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Form AHC2 - Additional Response
Form
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Form AHC3 – Amendment Form
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Form AHC23A – Application question
#23 Form A
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Form AHC23B – Application question
#23 Form B
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Retain a copy of everything you file with the Committee.
The completed application and
supporting documents are to be sent to:
Connecticut Bar Examining Committee
Authorized House Counsel Department
100 Washington Street
Hartford, CT 06106
The application must be
typewritten or completed on our fill-in form. Handwritten
applications will be returned unprocessed.
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4)
Sec. 2-15A - Authorized House
Counsel
(a) Purpose
The purpose of this section is to clarify the status of house counsel as
authorized house counsel as defined herein, and to confirm that such
counsel are subject to regulation by the judges of the superior court.
Notwithstanding any other section of this chapter relating to admission
to the bar, this section shall authorize attorneys licensed to practice
in jurisdictions other than Connecticut to be permitted to undertake
these activities, as defined herein, in Connecticut without the
requirement of taking the bar examination so long as they are
exclusively employed by an organization.
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(b)
Definitions
(1) Authorized House Counsel. An “authorized house counsel” is
any person who:
(A) is a member in
good standing of the entity governing the practice of law of each
state (other than Connecticut) or territory of the United States, or
the District of Columbia or any foreign jurisdiction in which the member is licensed;
(B) has been certified on recommendation of the bar examining
committee in accordance with this section;
(C) agrees to abide by the rules regulating members of the
Connecticut bar and submit to the jurisdiction of the statewide
grievance committee and the superior court; and
(D) is, at the date of application for registration under this rule,
employed in the state of Connecticut by an organization or
relocating to the state of Connecticut in furtherance of such
employment within 3 months of such application under this section
and receives or shall receive compensation for activities performed
for that business organization.
(2) Organization.
An “organization” for the purpose of this rule is a corporation,
partnership, association, or other legal entity (taken together with its
respective parents, subsidiaries, and affiliates) that is not itself
engaged in the practice of law or the rendering of legal services
outside such organization, whether for a fee or otherwise, and does not
charge or collect a fee for the representation or advice other than to
entities
comprising such organization for the activities of the authorized house
counsel.
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(c)
Activities
(1) Authorized Activities. An authorized house counsel, as an
employee of an organization, may provide legal services in the state of
Connecticut to the organization for which a registration pursuant to
subsection (d) is effective, provided, however, that such activities
shall be limited to:
(A) the giving of
legal advice to the directors, officers, employees, and agents of
the organization with respect to its business and affairs;
(B) negotiating and documenting all matters for the organization;
and
(C) representation of the organization in its dealings with any
administrative agency, tribunal or commission having jurisdiction;
provided, however, authorized house counsel shall not be permitted
to make appearances as counsel before any state or municipal
administrative tribunal, agency, or commission, and shall not be
permitted to make appearances in any court of this state, unless the
attorney is specially admitted to appear in a case before such
tribunal, agency, commission or court.
(2) Disclosure.
Authorized house counsel shall not represent themselves to be members of
the Connecticut bar or commissioners of the superior court licensed to
practice law in this state. Such counsel shall represent themselves as
Connecticut authorized house counsel.
(3) Limitation on Representation. In no event shall the
activities permitted hereunder include the individual or personal
representation of any shareholder, owner, partner, officer, employee,
servant, or agent in any matter or transaction or the giving of advice
therefore unless otherwise permitted or authorized by law, code, or rule
or as may be permitted by subsection (c)(1). Authorized house counsel
shall not be permitted to prepare legal instruments or documents on
behalf of anyone other than the organization employing the authorized
house counsel.
(4) Limitation on Opinions to Third Parties. An authorized house
counsel shall not express or render a legal judgment or opinion to be
relied upon by any third person or party other than legal opinions
rendered in connection with commercial, financial or other business
transactions to which the authorized house counsel’s employer
organization is a party and in which the legal opinions have been
requested from the authorized house counsel by another party to the
transaction. Nothing in this subsection (c)(4) shall permit authorized
house counsel to render legal opinions or advice in consumer
transactions to customers of the organization employing the authorized
house counsel.
(5) Pro Bono Legal Services. Notwithstanding anything to the contrary in this section, an authorized house counsel may participate in the provision of any and all legal services pro bono publico in Connecticut offered under the supervision of an organized legal aid society or state/local bar association project, or of a member of the Connecticut bar who is also working on the pro bono representation.
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(d) Registration
(1) Filing with the Bar Examining Committee. The bar examining
committee shall investigate whether the applicant is at least eighteen
years of age and is of good moral character, consistent with the
requirement of Section 2-8 (3) regarding applicants for admission to
the bar. In addition, the applicant shall file with the bar examining
committee, and the committee shall consider, the following:
(A) a certificate
from each entity governing the practice of law of a state or
territory of the United States, or the District of Columbia
or
any foreign jurisdiction in which
the applicant is licensed to practice law certifying that the
applicant is a member in good standing;
(B) a sworn statement by the applicant:
(i) that the
applicant has read and is familiar with the Connecticut Rules of
Professional Conduct for attorneys and Chapter 2 (Attorneys) of
the Superior Court Rules, General Provisions, and will abide by
the provisions thereof;
(ii) that the applicant submits to the jurisdiction of the
statewide grievance committee and the superior court for
disciplinary purposes, and authorizes notification to or from
the entity governing the practice of law of each state or
territory of the United States, or the District of Columbia in
which the applicant is licensed to practice law of any
disciplinary action taken against the applicant;
(iii) listing any jurisdiction in which the applicant is now or
ever has been licensed to practice law; and
(iv) disclosing any disciplinary sanction or pending proceeding
pertaining or relating to his or her license to practice law,
including but not limited to reprimand, censure, suspension or
disbarment, or has been placed on inactive status;
(C) a certificate
from an organization certifying that it is qualified as set forth in
subsection (b)(2); that it is aware that the applicant is not
licensed to practice law in Connecticut; and that the applicant is
employed or about to be employed in Connecticut by the organization
as set forth in subsection (b)(1)(D);
(D) an appropriate application pursuant to the regulations of the
bar examining committee;
(E) remittance of a filing fee to the bar examining committee as
prescribed and set by that committee; and
(F) an affidavit from each of two members of the Connecticut bar,
who have each been licensed to practice law in Connecticut for at
least five years, certifying that the applicant is of good moral
character and that the applicant is employed or will be employed by
an organization as defined above in subsection (b) (2).
(2) Certification.
Upon recommendation of the bar examining committee, the court may
certify the applicant as authorized house counsel and shall cause notice
of such certification to be published in the Connecticut Law Journal.
(3) Annual Client Security Fund Fee. Individuals certified
pursuant to this section shall com ply with the requirements of sections
2-6 8 and 2-7 0 of this chapter, including payment of the annual fee
and shall pay any other fees imposed on attorneys by court rule.
(4) Annual Registration. Individuals certified pursuant to this
section shall register annually with the statewide grievance committee
in accordance with section 2-2 6 and section 2-2 7 (d) of this
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(e) Termination or Withdrawal of Registration
(1) Cessation of Authorization to Perform Services. Authorization
to perform services under this rule shall cease upon the earliest of the
following events:
(A) the termination
or resignation of employment with the organization for which
registration has been filed, provided, however, that if the
authorized house counsel shall commence employment with another
organization within 30 days of the termination or resignation,
authorization to perform services under this rule shall continue
upon the filing with the bar examining committee of a certificate as
set forth in subsection
(d) (1) (C);
(B) the withdrawal of registration by the authorized house counsel;
(C) the relocation of an authorized house counsel outside of
Connecticut for a period greater than 180 consecutive days; or
(D) the failure of authorized house counsel to comply with any
applicable provision of this rule. Notice of one of the events set
forth in subsections (e) (1) (A)-(C) or a new certificate as
provided in subsection (e) (1) (A) must be filed with the bar
examining committee by the authorized house counsel within 30 days
after such action. Failure to provide such notice by the authorized
house counsel shall be a basis for discipline pursuant to the Rules
of Professional Conduct for attorneys.
(2) Notice of
Withdrawal of Authorization. Upon receipt of the notice required by
subsection (e) (1), the bar examining committee shall forward a request
to the statewide bar counsel that the authorization under this chapter
be revoked. Notice of the revocation shall be mailed by the statewide
bar counsel to the authorized house counsel and the organization
employing the authorized house counsel.
(3) Reapplication. Nothing herein shall prevent an individual
previously authorized as house counsel to reapply for authorization as
set forth in subsection (d).
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(f) Discipline
(1) Termination of Authorization by Court. In addition to any
appropriate proceedings and discipline that may be imposed by the
statewide grievance committee, the superior court may, at any time, with
cause, terminate an authorized house counsel’s registration, temporarily
or permanently.
(2) Notification to Other States. The statewide bar counsel shall
be authorized to notify each entity governing the practice of law in the
state or territory of the United States, or the District of Columbia, in
which the authorized house counsel is licensed to practice law, of any
disciplinary action against the authorized house counsel.
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(g) Transition
(1) Preapplication Employment in Connecticut. The performance of
an applicant’s duties as an employee of an organization in Connecticut
prior to the effective date of this rule shall not be grounds for the
denial of registration of such applicant if application for registration
is made within 6 months of the effective date of this rule.
(2) Immunity from Enforcement Action.
An authorized house counsel who has been duly registered under this rule
shall not be subject to enforcement action for the unlicensed practice
of law for acting as counsel to an organization prior to the effective
date of this rule.
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5) Filing Deadline for New
AHCs in CT
An individual that commences employment in CT with an organization
after January 1, 2008 (the effective date of the original AHC rule) may
file an application for AHC status within three (3) months before or
after commencement of such employment. See Sec. 2-15A (b) (1) (D). If
such an individual files an AHC application more than three (3) months
after commencing such employment, then the application will be accepted
and processed, an explanation for the late filing should be provided
with the application, and a referral will be made to the Office of the
Chief Disciplinary Counsel for possible investigation for the
unauthorized practice of law.
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6) Updated
Certificate – Employer Name Change
An individual who is
sworn in as an AHC and who needs an updated certificate because his/her
employer has changed its name can obtain one through the following
procedure:
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Submit a new
Form AHC11 to the Connecticut Bar Examining Committee.
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Return the
current certificate to Peggy George at Superior Court Operations,
together with the new company name and address:
Peggy George,
Caseflow Management Specialist
Superior Court Operations
225 Spring Street, 2nd Floor
Wethersfield, CT 06109
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Update
information with the Statewide Grievance Committee.
New certificates
will be issued to those individuals who comply with the above
instructions so long as his/her employer has not changed. There is no
cost for the new certificate.
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7) Change of
Employer
An individual who
ceases to be employed by the organization for which registration had
been filed but commences employment with another organization within 30
days may maintain his/her AHC status pursuant to Practice Book § 2-15A
(e) (1) (A) and may obtain an updated certificate when the following
procedure is followed:
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Submit Form AHC49 to
the Connecticut Bar Examining Committee within 30 days of the date
when employment ceased with the organization for which registration
had been filed
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Submit a new
Form AHC11 to the Connecticut Bar Examining Committee within 30 days
of the date when employment ceased with the organization for which
registration had been filed.
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Return the
current certificate to Peggy George at Superior Court Operations
along with the new company name and address:
Peggy George,
Caseflow Management Specialist
Superior Court Operations
225 Spring Street, 2nd Floor
Wethersfield, CT 06109
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Update information with the Statewide
Grievance Committee.
New certificates
will be issued to those individuals who comply with the above
instructions. There is no cost for the new certificate.
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