Your obligations
- Read our CPD Guidance to learn about the requirements of the Established Practitioners Programme (EPP) and the New Practitioner Programme (NPP).
- You must be open and cooperative with us (CD9 of the BSB Handbook).
- You must promptly provide all such information to us as we may, for the purpose of our regulatory functions, from time to time require of you, and notify us of any material changes to that information (rC64.1).
- You must produce a written record of your CPD plan and the CPD activities you have completed if we ask you to (rQ135).
- If you are on the EPP, you must retain a record of your CPD plan and CPD activities for three years. (rQ134.4). You may do this if you are on the NPP.
- We ask if you are up to date with your CPD obligations as part of the annual Authorisation to Practise process. We also ask about your experience of CPD.
Supervision
We check if barristers have met their CPD obligations, for example, as part of random spot-checks or thematic reviews of compliance in specific practice areas. Additionally, we use these methods to gather information about good practice and any barriers to compliance or good practice.
We also monitor compliance as part of the annual Authorisation to Practise process.
If we find that you are compliant with your CPD obligations, we may still provide feedback. For instance, to:
- Make sure you understand your obligations.
- Help you demonstrate good practice.
- Help you improve your approach to a specific part of the CPD process.
We may find that you are not compliant with your CPD obligations if, for example, you fail to complete CPD relevant to your practice, disregard your CPD obligations, or fail to complete a specific stage of the CPD process.
If we find that you are not compliant with your CPD obligations, in the first instance, we will provide feedback and require you to complete corrective action. This remedial approach is designed to help bring you into compliance and avoid enforcement action.
The corrective action we require you to complete will be tailored to you and come with a deadline. It can include things like completing a particular CPD activity.
If you complete the required corrective action satisfactorily, we will likely recheck your compliance.
If you fail to complete the required corrective action, we will escalate the issue and may refer you for consideration of enforcement action.
You can learn more about our approach to supervision on the Supervision area of our website.
Enforcement
We only take enforcement action when we are satisfied that a barrister, or person we regulate, has broken the rules and their conduct is a risk to our regulatory objectives.
We may refer you for enforcement action if, for example, you:
- Fail or refuse to cooperate with us.
- Fail or refuse to complete the corrective action we set for you.
- Fail or refuse to complete the CPD process in whole or in part.
- Fail or refuse to supply a CPD record and plan when we ask you to.
- Are dishonest about your CPD.
We will not normally make a referral for enforcement action for an isolated breach of our CPD requirements. However, we may make a referral for enforcement action if an isolated breach is sufficiently serious.
You can learn more about our approach to enforcement on the Enforcement area of our website.
