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Regulation


CPD regulation & compliance

CPD Obligations of Victorian Local Legal Practitioners

Legal profession rules require all practitioners who hold a current Victorian practising certificate (local legal practitioners) to undertake continuing professional development (“CPD”) activities during each CPD year.  The purpose of CPD is to ensure the ongoing competence of legal practitioners, including ensuring that practitioners’ knowledge and skills are kept current.

The CPD year runs from 1 April to 31 March.  All local legal practitioners are required to complete at least 10 hours of CPD activities (including 4 compulsory fields) every CPD year (even if the holder practises interstate or overseas), unless they are exempted in whole or in part.

The most recent changes to the mandatory continuing professional development regime in Victoria has created two sets of CPD Rules that apply to Victorian local legal practitioners (Please refer to Table A (pdf) which provides an overview).

The two sets of Rules which commenced operation on 1 April 2008 are:

  1. Continuing Professional Development Rules 2008 of the Legal Services Board (LSB CPD Rules 2008) (pdf)
  2. Law Institute Continuing Professional Development Rules 2008 (Law Institute CPD Rules 2008) (pdf)

The LSB CPD Rules 2008 set out the CPD compliance obligations of Victorian local legal practitioners. They outline the Certification, Rectification (Compliance) and Verification (Audit) processes and the grounds for exemption of a Victorian local legal practitioner from compliance with their CPD obligations.

Compliance with the Professional Association CPD Rules (Law Institute CPD Rules 2008) is expressly provided for in the LSB CPD Rules 2008.

The Professional Association CPD Rules provide for the educational aspects of CPD, record keeping obligations and obligations of practitioners returning to practice who have not held a Practising Certificate for 3 or more consecutive CPD years.

The LSB CPD Rules 2008 and the Law Institute CPD Rules 2008 form part of the legal profession Rules.  Failure to comply with the LSB CPD Rules or the Professional Association CPD Rules is capable of constituting unsatisfactory professional conduct or professional misconduct under section 3.2.17(2) of the Legal Profession Act 2004.

Legal Services Board Policies

The Legal Services Board’s powers under the LSB CPD rules in relation to Victorian legal practitioners other than barristers are currently delegated to the Law Institute of Victoria.  The Board has developed policies to guide the exercise of these powers. 

View the Legal Services Board policies. 

Compulsory Fields

Each CPD year, a practitioner must complete as part of their CPD obligation at least 1 CPD unit in each of the following fields:

  • Ethics and Professional Responsibility
  • Professional Skills
  • Substantive Law
  • Practice Management and Business Skills

A non exhaustive list of examples of CPD activities which may satisfy the requirements of this Rule are outlined at Appendix A of the Law Institute CPD Rules 2008 (pdf).

Pro rata requirements

If a practitioner has a pro rata CPD obligation due to not having held a practising certificate for the full CPD year (see Rule 5.3 of the LIV CPD Rules 2008) or being granted a part exemption for the CPD year, then the practitioner should ensure they complete the compulsory fields as part of their pro rata obligation.

View the Legal Services Board policies. 

Completing your CPD units

Under Rule 4.1 of the Law Institute CPD Rules 2008, a CPD activity must:

  • be of significant intellectual or practical content and must deal primarily with matters related to the practitioner’s practice of law;
  • be conducted by persons who are qualified by practical or academic experience in the subject covered; and
  • seek to extend the practitioner’s legal knowledge and skills in areas that are relevant to the practitioner’s practice needs.

CPD units may be gained in a CPD year through:

  • Attending seminars, workshops, lectures, conferences, discussion groups (1 CPD unit per hour of attendance - breaks not included - maximum 6 CPD units per day), multi-media, web-based programs, audio/video material or online programs 
  • Preparing and/or presenting law seminars = 1 CPD unit per hour (maximum 5 CPD units per CPD year) 
  • Researching, preparing or editing an article in a legal publication or a legal article in a non-legal publication (1000 words = 1 CPD unit maximum 5 CPD units per CPD year) 
  • Writing a legal article in a legal or non legal publication (1000 words = 1 CPD unit maximum 5 CPD units per CPD year)
  • Watching a CPD video or listening to a CPD audio tape = 1 CPD unit for 1 hour running time - maximum 5 CPD units per CPD year) 
  • Participating as a member of relevant legal committee or taskforce = 1 CPD unit for two hours of attendance at committee/taskforce meetings (maximum 3 CPD units per CPD year. Refer to Rule 4.2(e)) 
  • Completing a Law Institute Specialist Accreditation Assessment (10 CPD units)
  • Postgraduate studies

Record Keeping

A practitioner must maintain each CPD Year:

  • A record of his or her engagement in CPD activities; 
  • Evidence in support of the CPD activities undertaken; and 
  • Evidence must be kept for at least 3 years after the end of the CPD year to which the CPD evidence in support relates.

Download a CPD Record Statement (word) for recording of CPD activities.

LIV Members can maintain their CPD record online.

  • Login to your My LIV member portal
  • Once you are on your My LIV profile click on the Review My CPD Units button

Practitioners Returning to Legal Practice in Victoria

If you have not held a practising certificate for three or more consecutive CPD years you must, within 21 days of receipt of your Victorian practising certificate, file with the Law Institute a training plan. (Refer to Rules 5.4 to 5.7 of the Law Institute Continuing Professional Development Rules 2008 (pdf) )

The training plan should set out the following information:

  • How long you have been absent from practice in Victoria;
  • The reason/s for your absence from legal practice in Victoria;
  • What was your area/s of practice prior to your absence from legal practice;
  • What is your current/intended area/s of practice;
  • Any other information which you consider relevant:
  • The CPD activities which you consider will assist you in your return to legal practice (10 CPD units including the 4 compulsory fields)
  • The reason you consider each of the CPD activities listed in the training plan will assist your return to legal practice.

You must complete the CPD activities in your training plan within the first six months of your return to practice and notify the LIV of their completion.  These CPD units completed as part of your training plan may also be claimed as part of your CPD obligation during the CPD year of their completion.

Download a Training Plan Template (word).

Current CPD Rules and Explanatory Notes

Applications for Exemption

Practitioners may be exempted in whole or in part from undertaking the CPD activities imposed by the professional association CPD rules.
 
An exemption may be granted on the grounds of hardship or special circumstances based on any one or more of the following:

  • Illness or disability;
  • The location of a local legal practitioner’s legal practice;
  • The absence of a local legal practitioner from legal practice (including maternity leave)

Applications for exemption must be submitted in writing or via e-mail setting out the dates and reasons for the exemption.  Exemptions in relation to illness will require a medical certificate in support of the application. Please refer to Rule 9 of the LSB CPD Rules 2008 (pdf) prior to lodgement.
Applications for exemption to be forwarded to:

The Delegate of the Legal Services Board
CPD Regulation & Compliance
Law Institute of Victoria Limited
GPO Box 263 C
Melbourne 3001 or DX 350 Melbourne
Ph: (03) 9607 9328
Email: cpdscheme@liv.asn.au

Certification

When you apply for renewal of a local practising certificate, you are required to certify whether you have met your obligations under the CPD rules for the most recently completed CPD year.  If you have not met your obligations, you should declare you have not met your CPD obligations and, if possible, provide details of any exemption granted or submit a rectification plan with your completed renewal form (see further information about rectification below).  Declaring that you have not met your CPD obligations will not prevent the issue of your practising certificate.

Rectification (Compliance)

If certification or verification procedures reveal that you have not met your obligations under the CPD rules, you will receive written notice requiring you to submit a rectification plan within 21 days.  The plan sets out the CPD activities that you intend to take to rectify the non-compliance within 90 days after submitting the plan.  You must comply with the rectification plan.  (Refer to Rule 8 of the CPD Rules (pdf)).

Download a CPD Rectification Plan template (word)

Verification (Audit)

You may be required, at any time, to verify within 21 days whether you have met your obligations under the CPD rules for the current CPD year or any of the 3 previous CPD years.  If you are selected for verification (audit), you will be required to provide:

  • a statement of the CPD activities undertaken during the CPD year the subject of the Verification (Audit);
  • a Statutory Declaration;
  • evidence in support and any records required to be kept by the practitioner under the professional association rules;

Records may consist of any one of the following:

  1. receipts of payment of CPD activities;
  2. list of attendances records; 
  3. attendances confirmation;
  4. copies of presentation notes;
  5. copies of enrolment records;
  6. copies of Certificate of Completion of CPD activities.
  • Providing a statement explaining why the CPD activities claimed satisfy the requirements under the Professional Association CPD Rules (e.g. relevance to practice)

Download a CPD Record Statement template (word)

Non-compliance

It is important to note that a failure to comply with CPD rules is capable of constituting unsatisfactory professional conduct or professional misconduct under section 3.2.17(2) of the Legal Profession Act 2004 (Vic)(“the Act").  It is also a matter the Board can take into account in determining whether a person is a fit and proper person to hold a practising certificate under section 2.4.4(1)(c) of the Act.  Responses to non-compliance will be considered in accordance with the CPD Enforcement and Compliance policy.

View the Legal Services Board policies. 

Examples of CPD non-compliance include:

  • Failure to produce CPD records when required
  • Failure to undertake the required amount or type of CPD activities
  • Failure to submit a rectification plan when required
  • Failure to confirm compliance with a rectification plan within time.

Continuing Professional Development Compliance Advisory Committee (CPD CAC)

The CPD CAC has been established by the LIV Council under section 85 of the LIV Constitution to provide advice on all the delegated powers and functions of the LSB under the LSB CPD Rules 2008 to its LIV Delegates, to provide advice on all matters referred to the CPD CAC concerning/relating/arising out of the functions/responsibilities under the Law Institute CPD Rules 2008 and on all matters referred for advice arising/concerning/relating to the two tier CPD regulatory regime.

The Continuing Professional Development Compliance Advisory Committee (CPD CAC) provides:

  • Advice on strategic, regulatory and compliance matters concerning the CPD regulation and compliance function; 
  • Advice on all complex applications for exemption;
  • Advice on policy/wording interpretation matters;
  • Advice on the content and quality/standard of CPD programs and advice on the evaluation of CPD programs;
  • Advice on wording and interpretation matters in reference to the LSB CPD Rules 2008 and the Law Institute CPD Rules 2008; and
  • Advice on any matter as may be required in order for the delegated functions under the LSB CPD Rules 2008, the functions/responsibilities under the Law Institute CPD Rules 2008 and any matter related to the two tier regulatory regime to be satisfactorily discharged.
Contact

CPD Regulation & Compliance
Law Institute of Victoria Limited
GPO Box 263 C
Melbourne 3001 or DX 350 Melbourne
Telephone: (03) 9607 9328
Fax: (03) 9607 9446
Email: cpdscheme@liv.asn.au

Previous CPD Rules, Explanatory Notes and Policies

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