What should I do if I receive a complaint letter from the Legal Services Commission (‘LSC’) or Queensland Law Society (‘QLS’)?

Do not delay, as penalties apply to failure to reply, or provide documents as requested within the time specified.¹ If you are issued with a notice under s 443(3) of the Legal Profession Act 2007 (Qld), failure to comply with that notice will be taken to be professional misconduct unless you have a reasonable excuse.² So even if the original complaint is dismissed you may still face a charge of failure to reply, or delay in replying to that dismissed complaint.³

If necessary, consider seeking an extension of time from the issuing entity.

You have a duty to cooperate reasonably with the investigation and hearing and you should be polite and courteous.⁴ Rule 43 of the Australian Solicitors Conduct Rules 2012 (‘ASCR’) imposes specific duties.

However, you may refuse to provide information if it would tend to incriminate you or be contrary to your professional indemnity insurance policy.⁵

You should not contact the complainant about the complaint, as this may be seen as an attempt to interfere with the investigation process.⁶

Do not keep your colleagues in the dark. In Baker v Legal Services Commissioner [2006] QCA 145, McPherson J remarked: ‘It only remains for the future instruction of the profession to say that, in the case of a firm with only two or a few partners like Baker Johnson … a system will have to be instituted … to ensure that something as serious as a complaint having the potential to produce a charge against a member of the firm is considered by all members of the firm before a response to it is sent.’

The Legal Services Commission’s (‘LSC’) approach to relatively minor complaints is worth noting. The LSC takes the view that rather than a disciplinary response, it may be more appropriate to simply require you to apologise to the client, to re-do the work, to waive some or all of your fees or otherwise remedy the faults in the service you have provided and/or to learn from your mistakes by fixing your office systems or undertaking some further training – whatever ‘tailor-made’ remedy or preventative measures that best fit the facts. Whilst the LSC doesn’t have the power to require you to take these or any such steps (it can only prosecute you before the Legal Practice Committee or QCAT) if you put forward proposals in these terms or show that you have taken such steps, the LSC may be prepared to dismiss the complaint on the basis that it will not be in the public interest to initiate disciplinary proceedings.  

You should consider seeking legal advice from practitioners who have expertise in this area. Please ring the QLS Ethics and Practice Centre for recommendations. 

1 Legal Profession Act 2007 (Qld) s 443(1)-(2).