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Verification of CPD Compliance

Resources

Rule 14 Verification of CPD Activities

The VLSB may at any time require a solicitor to verify within 21 days whether he or she has complied with the CPD Rules in relation to the current CPD year, or any of the three previous CPD years.

Frequently Asked Questions

  • Who is subject to verification?

    All lawyers who declare they have complied with the CPD Rules when applying to renew their practicing certificate may be audited – see 3.2.1 VLSB CPD Policy.

    The VLSB may request verification from lawyers who are:

    • subject to criminal or disciplinary proceedings or orders
    • have a history of non-compliance with the CPD Rules or Uniform Law – see 3.2.4 VLSB CPD Policy.

    Each year, the VLSB selects a random sample of solicitors for verification. This random audit occurs at the end of each practising certificate year – see 3.2.8 VLSB CPD Policy.

  • Can I be exempt from verification?

    Lawyers will be exempt if in the relevant CPD year they:

    • have been granted an exemption under Rule 16 of the CPD Rules
    • have successfully completed LIV accredited specialisation – see 3.2.3 VLSB CPD Policy.
  • How do I know if I am required to verify?

    The LIV is the VLSB’s delegate for the performance of regulatory functions under Rule 14, including the random audit. If you are required to verify your compliance, the LIV will send you an email to advise you.

  • What do I need to do to verify my compliance?

    You must complete the Verification of Compliance CPD Year Ended 31 March 2018 form and email it to Compliance@liv.asn.au together with all supporting evidence within 21 days.

  • What evidence in support do I need to provide?

    Supporting documentation may include:

    • receipts of payment of CPD activities
    • lists of attendance records
    • attendances confirmation
    • copies of presentation notes
    • copies of enrolment records
    • copies of Certificate of Completion of CPD activities – see 3.2.13 VLSB CPD Policy.
  • Do I have to provide supporting documentation for CPD activities in excess of the minimum requirement?

    No. You only have to provide records and evidence in support to demonstrate your compliance with the minimum requirement of 10 CPD units each year (unless you have been granted an exemption, or a pro rata calculation applies) – see Rule 6 CPD Rules

  • Can I rectify non-compliance?

    Yes. If you fail to meet your obligations under the CPD Rules, including responding to a requirement to verify your compliance, you will be sent a notice requiring rectification – see 3.3.3 VLSB CPD Policy.

    If you fail to comply with a rectification notice, the VLSB may impose conditions on your practising certificate or refer you to the VLSC for disciplinary consideration – see 3.3.4 VLSB CPD Policy.

  • What are the consequences of non-compliance?

    In deciding how to respond to non-compliance, the VLSB may consider:

    • the nature of the non-compliance
    • the objectives of the Uniform Law
    • the severity of, or culpability in, the non-compliance
    • any mitigating factors – see 3.3.5 to 3.3.9 VLSB CPD Policy.

    Refusal to comply with the CPD Rules, including failure to comply with rectification requirements may result in the VLSB:

    • imposing conditions on a practising certificate
    • referring the practitioner for suitability consideration as to whether s/he is fit and proper to hold a practising certificate – see 3.3.11 VLSB CPD Policy.

    Failure to meet outstanding CPD obligations may also mean that a practising certificate will not be issued by the start of the next practising certificate year– see 3.3.2 VLSB CPD Policy.