New Zealand Law Society - Grounds for no action or no further action on a complaint

Grounds for no action or no further action on a complaint

What does the Lawyers Complaints Service (LCS) consider?

LCS must consider all complaints that are received that meet the administrative requirements1. After undertaking an initial assessment of a complaint, the LCS can decide whether to take no action or no further action on a complaint. The grounds for doing so are specified in s135A(b) of the Lawyers and Conveyancers Act 2006 (LCA).

The LCS applies these grounds having regard to the LCA’s purposes of protecting consumers and maintaining confidence in the provision of legal services. These purposes require a robust complaints system that is efficient but does not lightly turn complaints away.

If none of the grounds in s135A(b) are met, the complaint must be referred to a Lawyers Standards Committee (Standards Committee). The Standards Committee then becomes responsible for all decision making on the complaint from that point forward. Even if the LCS has decided to refer the complaint to a Standards Committee, the Standards Committee may itself decide to take no action or no further action on the complaint under s138 of the LCA.

The grounds for not referring a complaint to a Standards Committee are:

  • Too much time has passed between when the issue occurred and when the complaint was made, making investigation impractical or undesirable.
  • The complaint is trivial (for example, it’s based on minor or unrealistic concerns).
  • The complaint is frivolous, vexatious, or not made in good faith.
  • The person affected doesn’t want action taken.
  • The complainant doesn’t have a personal connection to the subject matter of the complaint.
  • There is an adequate alternative remedy or appeal.

Each of these grounds is expanded on below.

The length of time that has elapsed between the date when the conduct occurred and when the complaint was made is such that an investigation of the complaint is no longer practicable or desirable.

The passage of time does not by itself mean that this ground applies. Consideration will be given to the challenges in investigating the complaint as a result of the passage of time, the seriousness of the alleged conduct, the present circumstances of the parties, and the reasons for any delay.

The subject matter of the complaint is trivial.

This means the complaint is based on trivial matters or unrealistic allegations that do not justify taking the limited time and resources of a Standards Committee. In assessing whether the complaint is trivial, it is open to the LCS to consider the subjective importance of the complaint to the applicant.

The complaint is frivolous, vexatious, or not made in good faith.

These criteria often overlap, but each provides a standalone basis for taking no further action. A complaint will be frivolous where it lacks any serious purpose or value, has no serious prospect of succeeding, and turns on trivial or unrealistic facts. It will be vexatious where it is baseless and has the sole effect of causing annoyance (even where that is not the applicant’s intention). A complaint will not be advanced in good faith when it is dishonest, or advanced for a collateral purpose.

The person aggrieved does not desire that action be taken or continued.

This ground will apply if the person who is allegedly affected by the lawyer’s conduct has decided they do not want an investigation of the complaint or other action to be taken on the complaint. The affected person is usually the complainant, but it may be another person, for example, where a complaint is made on behalf of a person who was the subject of the conduct by the lawyer. The aggrieved person may have decided they do not want any action to be taken because an agreement has been reached with the lawyer. The LCS may still decide to refer the matters that have been raised to a Standards Committee, for the Standards Committee to decide whether to commence an own motion inquiry, if the LCS considers those matters are serious.

The complainant does not have sufficient personal interest in the subject matter of the complaint.

Anyone can make a complaint. It is not only the clients of a lawyer that may complain about the lawyer’s conduct. But where the complainant is not a client, they will need to show a personal connection to the subject matter of the complaint. Something more than an interest in generally upholding the standards of the legal profession will be required. A personal connection may be demonstrated by the consequences for the complainant of the conduct complained of, or the remedy sought. Lawyers owe limited duties to people who aren’t their clients. This means it’s necessary for a complainant to show more than that they have been impacted by the lawyer’s advice to an opposing party.

There is an adequate remedy or right of appeal that it would be reasonable for the complainant to exercise.

This can include remedies provided by sources other than the lawyer who is responding to the complaint or through the complaints system under the LCA. Examples include approaches to trustees or estates, or remedies under the Privacy Act 2020. In the case of a complaint about a lawyer’s conduct in relation to tribunal or court proceedings, it may include raising the matter with the decision maker or lodging an appeal.

Please refer to the Frequently Asked Questions for more information about the introduction of administrative triaging of complaints by the Lawyers Complaints Service.