• Engage: when a complaint has been made, take the time to respond fully to all allegations. Failure to engage with the Legal Services Regulatory Authority may lead to court enforcement action, as well as an order for costs.
• Discuss; talk things over with a trusted colleague, the Law Society or any of the other supports available for solicitors. This will narrow your focus and keep things on track. If you decide that you require legal representation, the Law Society maintains the Panel to Assist Solicitors in Regulatory Difficulty. Remember, last minute instructions are often unhelpful, as are similarly rushed applications for adjournments.
• Stay focused on resolution: Stick to the facts and to resolving matters, this is what all parties want and the quicker this is achieved, the better for all.
• Remember your time limits for appeal: If you are unhappy with a determination, make sure that you seek a review or appeal within the appropriate time-period.

How to effectively respond to a complaint

Although responding fully to a complaint that you consider frivolous and/or vexatious might seem like a huge waste of resources, it ultimately saves time because the LSRA must deal with matters before it therefore a solicitor should engage early to avoid an unnecessary escalation.

If you have a complaint made against you, consider taking the following approach towards resolution:

• Engage as early and comprehensively as possible.
• Read and digest the information in any letter or correspondence.
• Review the disciplinary or complaints policy related to claims being made.
• Check all the details of any complaint being made.
• Think back to the event and research any relevant files.
• Prepare a response.
• Respond to any letter in a considered fashion.
• Attend any disciplinary meeting with counsel or support person, avoid attending on your own.
• Seek to resolve the complaint if possible.

Resources and supports

• Access Law Society and other supports for solicitors dealing with regulation issues
• See further information on how complaints are investigated on the Legal Services Regulatory Authority (LSRA) website
• The LSRA has also published a helpful Information Guide on Complaints.