CPD requirements

A minimum of 15 hours of CPD per annum must meet the following criteria for “verifiable CPD”:

1. Have clear aims and outcomes relevant to the solicitor’s professional development;
2. Provide interaction and/or the opportunity for feedback;
3. Be able to be evidenced; and
4. Is not part of a solicitor’s daily work.

The preparation and delivery of training is a very effective means of learning. Solicitors involved as lectures, tutors, or leaders in any form of relevant group study may count preparation time up to a maximum of four hours towards the verifiable CPD requirement.  Any preparation and delivery of training in advance of four hours can also count towards a solicitor’s total of 20 hours of CPD but only in relation to the five hours of private study.

Risk management is a process of identifying, assessing and prioritising risks, which results in some form of action to control and manage those risks. Risk management CPD can be either private study or verifiable CPD or a combination of both.

Solicitors can count CPD in the following areas towards their risk management CPD:

1. Anti-money laundering
2. Complaints handling and complaints avoidance
3. Client communication
4. Business Continuity Planning
5. Cybersecurity
6. Equality and diversity
7. Organisational culture including the prevention of bullying and harassment and the promotion of well-being
8. Prioritisation, time management, workflow and processes
9. Terms of business.

Current risk management topics are highlighted in the Journal’s monthly column from the Society’s insurance brokers (Lockton) and their website for Scottish solicitors www.locktonlaw.scot.

We recognise that an in-house solicitor’s role is often closely linked to managing risk for their employer, whether by proactively identifying possible risks or mitigating the impact of unavoidable risk factors.

Given this broad remit, many in-house solicitors will already be doing CPD that relates to risk management as a matter of course. In addition to some of the topics above, the following areas may also constitute appropriate risk management CPD for in-house solicitors:

1. Sector specific regulatory or compliance obligations
2. Health and safety standards
3. Protection of intellectual property rights
4. Privilege
5. Company secretarial matters
6. Professional ethics

If you are an in-house solicitor with any questions in connection with the risk management CPD requirement, please contact inhouse@lawscot.org.uk.

Private study includes the reading of relevant periodicals, journals and books. No more than five hours private study per annum can be counted towards fulfilling the requirement.

The only exception is for solicitors who write a relevant book or an article in a periodical which is published. In such instances, the solicitor may claim up to ten verifiable hours of the minimum 20 hours for the practice year.

Solicitors who are required to do compulsory training for reasons other than these CPD requirements may count that training towards their verifiable CPD for the year (provided that they can evidence this).  This might include, but is not limited to:

      Solicitor advocates

Extended rights of audience: Solicitors who require to attend a training course as per Rule C.4.

   Practice Management Course

Solicitors who require to attend a Practice Management Course as per Rule D.2.2

    Family law mediators

Accredited Family Law Mediators are required to undertake 15 hours of CPD per annum. This must be made up of six hours of mediation training plus five hours family law training of which two requires to be on financial provisions. Solicitors are then able to make up the remaining four hours by carrying out either mediation training or family law training. Record your mediation training here.

   Other bodies

Solicitors undertaking CPD for another professional or regulatory body (including those also qualified in another jurisdiction) when such CPD is relevant to their development as a solicitor.

The Scottish Legal Aid Board sets certain requirements for members. To assist members who have to comply with SLAB requirements this recording page may be useful.

There are a number of formal exemptions from the CPD requirements:

1. Solicitors suffering long-term illness – and absent from work - for 10 weeks or more in respect of the same illness in any practice year;
2. Solicitors on maternity, paternity or adoption leave; and
3. Solicitors who return to practice during the practice year, may all reduce their CPD requirement in proportion to the number of weeks worked in the practice year.
4. Trainees who are admitted and hold a restricted practising certificate are not required to undertake any CPD until the start of the practice year following the date on which their training contract ends. However, the separate rules on Trainee CPD (TCPD) still apply to those trainees.

In each of the above three exemptions the proportions of verifiable CPD and private study must be reduced pro-rata.  To calculate the reduced number of hours, divide the number of weeks worked by 2.6 and round up to the nearest whole number. For example, solicitors who work between 37 and 39 weeks in a practice year will require to undertake at total of 15 hours of CPD.

Solicitors can also apply to the Society's for a waiver of the requirements. Circumstances where a waiver may be considered include but are not limited to redundancy and retirement.

Solicitors are expected to keep an accurate and up to date annual CPD record and will be required – upon request – to produce their record. The Society will study in detail a sample of a minimum of five per cent of solicitors on an annual basis to ensure compliance.

If a solicitor hasn’t met these requirements and doesn’t qualify for an exemption, they will be given more time to comply as a first sanction. They will then need to provide independent proof of their CPD to show they have met the requirements.

Continued failure to comply may be referred to the Practising Certificate Sub-Committee of the Society for consideration as professional misconduct.

In selecting what is relevant to their professional development a solicitor exercises his or her professional judgement. The Society would not seek to second-guess the solicitor’s professional judgement unless the decision reached is so unreasonable that no other competent or reputable solicitor would come to the same conclusion.