#PPRCONF Regulation & Compliance Rita Leat PROFESSIONAL PARALEGAL REGISTER CONFERENCE 2016

#PPRCONF How do we regulate? Regulations Rulemaking Standards Development PPC Certification Oversight Inspection Enforcement Support for Decisions Advisory Board Regulatory Register Committee

#PPRCONF Proportionality Looking at the risk What is reasonable What would your family think? How is your competition regulated? What would your clients expect? Is it open, transparent and manageable?

#PPRCONF Taking Action Are you safe to practice? Imposing Conditions Removal from the Register Putting things right Can you resolve the problem/re-do the work? Asking you to compensate your client Adjudication and Appeals Awarding Compensation from the PPR Publishing our findings

#PPRCONF We have 4 sets of rules: The Paralegal Practice Rules The Paralegal Practitioner Rules, and The Code of Conduct The Paralegal Practising Certificate Rules

#PPRCONF Let’s focus on a few! Rule 10. Inspection and Disciplinary Consequences  Must produce papers/files upon request  Any contravention of the rules may result in disciplinary proceedings and sanctions  Heard by the RRC who can impose sanctions listed in the complaints procedure

#PPRCONF Practitioners rules should be read in conjunction with the code of conduct. Rule 11 Storage of Documents 11.1 Professional Paralegal Practitioners shall ensure that Professional Indemnity Insurance is in place at all times with minimum cover of £! Million together with loss of documents cover, sufficient to replace all client documents held Professional Paralegal Practitioners who store client documents shall do so in a fire and water resistant facility with suitable security …the PPR shall be advised in writing of the location of the storage Professional Paralegal Practitioners are entitled to charge for the storage of documents provided that clients have been made aware of the fee for doing so beforehand.

#PPRCONF Code of Conduct THE SEVEN RULES Act with Integrity and professionalism Act in the best interests of clients Maintain financial soundness Provide a good quality of work and service to each client Your duty to the court in the administration of justice Deal with the PPR in an open and co- operative way Treat everyone with dignity and respect

#PPRCONF Acting with Integrity and Professionalism WHAT DOES THIS INVOLVE? Not be misleading Not allowing yourself to be compromised Keeping knowledge up to date You must be accurate You must promote trust Good communication Being transparent about fees

#PPRCONF

CPD is the holistic commitment of professionals towards the enhancement of personal skills and proficiency throughout their careers

#PPRCONF CPD enables learning to become conscious and proactive, rather than reactive. It is all focused for an individual to improve and have effective professional developments CPD combines different methodologies to learning to include:  training workshops  conferences and events  e-learning programmes  discussion/ideas sharing  in-house training days  seminars

#PPRCONF ENGAGING IN CPD ACTIVITIES ENSURES THAT BOTH ACADEMIC AND PRACTICAL QUALIFICATIONS DO NOT BECOME OUTDATED; ALLOWING INDIVIDUALS TO ‘UP SKILL’ OR ‘RE-SKILL’ REGARDLESS OF AGE, OCCUPATION OR EDUCATIONAL LEVEL

#PPRCONF Type of Learning ACTIVE:Training course, Conference Workshop, Seminar, (Formal)Lecture, e-learning course or CPD certified event REFLECTIVE:Reading the news, Podcasts, Case-studies, Webinars SELF-DIRECTED:Study/revision for career orientated assessments, Reading journals/relevant publications and Sector specific news feeds or research

#PPRCONF How much CPD must I do? PPR Practitioner’s Rules states that 7 hours must be through Formal i.e. Active Learning 5 hours through Private Studies, i.e. Self-Directed. Total CPD = 12 hours The PPR requires you to keep a log of your CPD. You should retain any evidence and CPD certificates Up-to-date CPD supports your re-application to the PPR and shows continuing competency.

#PPRCONF Other regulator’s CPD requirements CLC- Conveyancing and Probate Manager 16 Hours Conveyancing and Probate employee 8 Hours *Must be accredited training CILEX – 9 CPD Hours plus other conditions for return to work/ professional ethics etc Notaries- 9 CPD Hours Solicitors- making an annual declaration that they have considered their training needs and taken measures to maintain their competence

#PPRCONF CPD training record The PPR rules require Tier 2 and above Paralegals to keep an up-to-date training record which must be available if requested by the PPR. You are required to record 12 hours of CPD – 7 hours Formal, i.e. Active Learning and 5 hours Private Studies, i.e. Self- Directed Name …………………………. Member number ……………. Period from ………to ……… DateTraining activity for course attendance, indicate course title, provider name and provider reference. Please provide as much detail as possible such as Title, Contents, etc. Comments – Please precis the learned outcome. Number of hours credited

#PPRCONF Q: Should we add a ‘Professional Element’ to CPD and if so how many hours? 1.Refreshing your knowledge and understanding of professional ethics, including the PPR Code of Conduct and Rules 2.Improving knowledge of the primary business in which your clients work (business awareness) 3.Developing an understanding of the issues which may affect your clients (social awareness) 4.Developing your client communication skills 5.Improving your skills in dealing with challenging clients 6.Refreshing your knowledge and understanding of equality and diversity issues

#PPRCONF Thank you