Audit

 

Rule 11 of the CPD Rules 2012 permits the Institute to cause a solicitor or foreign practitioner registered under s36B of the Legal Profession Act to produce to the Institute such records and evidence as may be necessary for the Institute to determine “whether a solicitor or foreign practitioner has complied with any CPD requirement that was applicable to him …”. This verification of compliance with CPD requirements ('CPD Compliance Audit') for a given CPD Year is expected to commence from the second quarter of the immediately following CPD year (e.g. the CPD Compliance Audit for CPD Year 2012 commenced in the second quarter of CPD Year 2013).

 

The CPD Compliance Audit will generally be conducted via the ePortfolio system and email. As part of the audit process, the Institute may require you to produce the record or evidence that you need to maintain under the CPD Rules 2012 in respect of the CPD activities you have undertaken. You will need to comply with such a requirement within such time as the Institute may specify. If you fail to comply with the Institute’s requirement to produce the record or evidence, you may be liable to the consequences set out in rule 12 of the CPD Rules 2012.

 

Click here to view the Advisory on Compliance Audit for CPD Year 2016. For a summary of the Compliance Audit process for CPD Year 2016, click here.