Legal Profession Uniform Law Application Act 2022

Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015

 

Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015

Contents

1.Citation1

2.Commencement1

3.Objective1

4.Authorising provisions1

5.Definitions1

6.CPD obligations2

7.CPD content2

8.CPD format3

9.CPD units4

10.Pro rata calculations4

11.Application of CPD units to the following CPD year5

12.Record keeping5

13.Annual certification of CPD activities6

14.Verification of CPD activities6

15.Rectification of non‑compliance7

16.Exemptions7

Notes

Compilation table9

 

Legal Profession Uniform Law Application Act 2022

Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015

1.Citation

1.1These Rules are designated as Legal Profession Continuing Professional Development Rules and may be cited as the Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015.

2.Commencement

2.1These Rules come into operation on 1 July 2015.

3.Objective

3.1The objective of these Rules is to provide the minimum requirements for continuing professional development for solicitors.

4.Authorising provisions

4.1These Rules were developed by the Law Council of Australia in accordance with section 427 of the Legal Profession Uniform Law and are made by the Legal Services Council under Part 9.2 of that Law.

5.Definitions

5.1In these Rules:

CPD means continuing professional development.

CPD activity means an activity which meets the requirements of rule 7 (CPD content) and rule 8 (CPD format).

CPD unit has the meaning given by rule 9 (CPD units).

CPD year means the year beginning on 1 April and ending on 31 March the following year.

Designated local regulatory authority means a person or body specified or described in jurisdictional legislation as the relevant designated local regulatory authority for the purposes of section 44 of the Uniform Law.

Uniform Law means the Legal Profession Uniform Law as applied in a participating jurisdiction.

6.CPD obligations

6.1Unless exempted in whole or in part by the designated local regulatory authority under rule 16 (Exemptions), or unless a pro rata calculation applies under rule 10 (Pro rata calculations), a solicitor must complete 10 CPD units in each CPD year including at least one CPD unit in each of the following fields:

6.1.1ethics and professional responsibility,

6.1.2practice management and business skills,

6.1.3professional skills,

6.1.4substantive law.

6.2Where a part exemption under rule 16 (Exemptions) or a pro rata calculation under rule 10 (Pro rata calculations) applies the compulsory fields must be completed as part of the remaining CPD units.

7.CPD content

7.1Each CPD activity undertaken by a solicitor must be an activity:

7.1.1of significant intellectual or practical content and must deal primarily with matters related to the solicitor’s practice of law, and

7.1.2conducted by persons who are qualified by practical or academic experience in the subject covered, and

7.1.3that extends the solicitor’s knowledge and skills in areas that are relevant to the solicitor’s practice needs or professional development.

8.CPD format

8.1A CPD activity may consist of:

8.1.1a seminar, workshop, lecture, conference, discussion group, multimedia or web‑based program, private study of audio/visual material or any other educational activity, or

8.1.2the research, preparation or editing by a solicitor of:

8.1.2.1an article published in a legal publication, or

8.1.2.2a legal article published in a non‑legal publication, or

8.1.2.3published Law Reports or other legal services, or

8.1.3the preparation and/or presentation by a solicitor of written or oral material to be used in a CPD activity or in other forms of education provided to solicitors and/or to other professionals and/or to other persons including those undertaking practical or supervised legal training, or

8.1.4membership of a committee, taskforce or practice section of a professional association, designated local regulatory authority or the Law Council of Australia or of other committees, provided that the solicitor regularly attends its meetings, if the work performed on the committee, taskforce or practice section is of substantial significance to the practice of law and is reasonably likely to assist the solicitor’s professional development, or

8.1.5postgraduate studies relevant to a solicitor’s practice needs.

8.2Private study does not constitute CPD activity for the purpose of these Rules unless it involves the private study of audio/visual material specifically designed for the purpose of updating a solicitor’s knowledge and/or skills relevant to his/her practice needs.

9.CPD units

9.1CPD unit means:

9.1.1in relation to a CPD activity referred to in rule 8.1.1, 8.1.3 and 8.1.5, one hour of the activity,

9.1.2in relation to a CPD activity referred to in rule 8.1.2, 1000 words of the article,

9.1.3in relation to a CPD activity referred to in rule 8.1.4, two hours of the activity.

9.2In calculating the relevant CPD units of CPD activity in respect of a CPD year, the total must not include:

9.2.1more than 5 CPD units of CPD activity referred to in rule 8.1.2,

9.2.2more than 5 CPD units of CPD activity referred to in rule 8.1.3,

9.2.3more than 3 CPD units of CPD activity referred to in rule 8.1.4,

9.2.4more than 5 CPD units of CPD activity referred to in rule 8.2.

9.3Solicitors who successfully complete a specialist accreditation assessment process will be deemed to have completed 10 CPD units in the year of their completion.

10.Pro rata calculations

10.1A solicitor who commences or recommences legal practice on or after the start of a CPD year must complete on a pro rata basis during the balance of the CPD year such CPD units as are set out below:

Renewal month

CPD units

April

10

May

9

June

8

July

7

August

6

September

5

October

4

November

3

December

2

January

1

February

0

March

0

11.Application of CPD units to the following CPD year

11.1A maximum of 3 CPD units accrued in the period 1 January to 31 March in any CPD year may be carried forward into the following CPD year but can only be counted in one CPD year.

12.Record keeping

12.1A solicitor must maintain for each CPD year:

12.1.1a record of his or her engagement in CPD activities, and

12.1.2evidence in support of the CPD activities undertaken.

12.2A solicitor must retain the information referred to in rule 12.1.1 and the evidence in support referred to in rule 12.1.2 for at least three years after the end of the CPD year to which the CPD record and evidence in support relate.

13.Annual certification of CPD activities

13.1At the same time as applying for renewal of his or her practising certificate, a solicitor must certify to the designated local regulatory authority whether the solicitor has complied with these Rules in respect of the CPD year last ended.

14.Verification of CPD activities

14.1The designated local regulatory authority may at any time require a solicitor to verify within 21 days whether he or she has complied with these Rules by:

14.1.1producing to the designated local regulatory authority:

14.1.1.1any records required to be kept by the solicitor under these Rules, and

14.1.1.2any other evidence in the solicitor’s possession or control that are relevant to the solicitor’s compliance with these Rules, and

14.1.2giving the designated local regulatory authority:

14.1.2.1a statement of the solicitor’s reasons for claiming that any activities undertaken by the solicitor satisfy any requirement for CPD activities under these Rules, and

14.1.2.2particulars of any exemption granted by the designated local regulatory authority under these Rules.

14.2A requirement of the designated local regulatory authority under this rule may be given to a solicitor only in relation to the current CPD year or any of the three previous CPD years.

15.Rectification of non‑compliance

15.1This rule applies if:

15.1.1a solicitor certifies under rule 13 (Annual certification of CPD activities) that he or she has not complied with these Rules, or

15.1.2a solicitor complies with a requirement under rule 14 (Verification of CPD activities) and the designated local regulatory authority is not satisfied that the solicitor has complied with these Rules, or

15.1.3a solicitor fails to comply with rule 13 (Annual certification of CPD activities) or rule 14 (Verification of CPD activity).

15.2The designated local regulatory authority may give written notice to the solicitor requiring him or her to submit a plan to the designated local regulatory authority within 21 days setting out the steps that the solicitor intends to take to rectify the non‑compliance within 90 days after the plan is submitted to the designated local regulatory authority.

15.3A solicitor must comply with a notice given to him or her under rule 15.2 and with a plan submitted to the designated local regulatory authority under that rule.

15.4A notice of the designated local regulatory authority under this rule may only be given to a solicitor in relation to the current CPD year or any of the three previous CPD years.

15.5The designated local regulatory authority shall have discretion to allow solicitors every opportunity to rectify any failure to comply, or if appropriate, apply for exemption.

16.Exemptions

16.1On application by a solicitor, the designated local regulatory authority may exempt the solicitor in whole or in part from any requirement to undertake CPD activities imposed by these Rules.

16.2An application for exemption must be in writing.

16.3Without limiting the grounds on which the designated local regulatory authority may grant an exemption, an exemption may be granted in whole or in part on the following grounds:

16.3.1illness or disability,

16.3.2the location of the solicitor’s legal practice,

16.3.3the absence of the solicitor from legal practice for example due to parenting leave or unemployment,

16.3.4the solicitor has reduced hours of practice owing to part time or casual employment,

16.3.5the solicitor’s circumstances are such that the solicitor is required to hold a practising certificate but is not engaged in legal practice,

16.3.6the solicitor has been in practice for a period exceeding 40 years and does not practise as a principal,

16.3.7hardship or other special circumstances.

16.4Exemptions relating to rule 16.3.3, 16.3.4 and 16.3.5 will generally be granted on a pro rata basis.

16.5The designated local regulatory authority may impose any conditions it thinks appropriate on an exemption under this rule.

16.6A solicitor must comply with any conditions imposed on an exemption under this rule.

 

Notes

This is a compilation of the Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015. For provisions that have come into operation see the compilation table.

Compilation table

Citation

Published

Commencement/Applied in WA

Legal Profession Uniform Continuing Professional Development (Solicitors) Rules 2015

1 Jul 2015
p. nil (published on NSW legislation website)

1 Jul 2022 (see WA 2022/9 s. 14)