Lawyers and Conveyancers Act (Lawyers: Ongoing Legal Education—Continuing Professional Development) Rules 2013

9 Self-auditing organisations
  • 9.1 An organisation may apply to the Law Society for approved self-audit status.

    9.2 An organisation is eligible for approved self-audit status if it satisfies the Law Society that it:

    • (a) has effective policies and procedures in place for ensuring all lawyers in the organisation comply with these rules; and

    • (b) appoints a lawyer, of sufficient seniority and standing, who is approved by the Law Society, as a CPD officer to monitor compliance with these rules.

    9.3 An organisation approved to have self-audit status must at all times have:

    • (a) a CPD officer who is approved by the Law Society; and

    • (b) suitable arrangements in place to ensure that the CPD officer is able to discharge his or her duties in accordance with these rules.

    9.4 The CPD officer must from time to time,—

    • (a) in accordance with the organisation's CPD policies and procedures, review and monitor compliance with these rules; and

    • (b) maintain and keep under review the organisation's CPD policies and procedures.

    9.5 The Law Society may at any time audit an organisation with approved self-audit status to verify compliance with these rules.

    9.6 An organisation whose compliance with these rules is being audited must, on request:

    • (a) permit the Law Society or the Law Society's representative to perform an audit of compliance by the organisation with these rules;

    • (b) produce to the Law Society or the Law Society's representative the organisation's CPD policies and procedures and associated documentation; and

    • (c) authorise a third party to provide to the Law Society or the Law Society's representative any documentation associated with the organisation's CPD policies and procedures.

    9.7 The Law Society must notify the results of the audit to the organisation concerned within a reasonable time after the completion of the audit.

    9.8 Where the Law Society, following the completion of an audit of an organisation with approved self-audit status, is not satisfied that the organisation has effective policies and procedures in place for ensuring all lawyers in the organisation comply with these rules, or reaches the view that the policies and procedures are no longer current, it may revoke the organisation's approved self-audit status.

    9.9 Where an organisation's self-audit status has been revoked under rule 9.8 the organisation may reapply for self-audit status.

    9.10 Nothing in this rule affects a lawyer's obligation to file a declaration of compliance under rule 7.1 or the right of a lawyer to apply for a deferment under rule 7.4.