(1) In these regulations, unless the context otherwise requires,—

(2) Any term that is defined in the Act and used, but not defined, in these regulations has the meaning given in the Act.

The Law Society may, in writing, delegate (either generally or specifically) to any person or body any functions, duties, and powers of the Law Society under these regulations.

(1) If a complaint relates to a former lawyer, or to a former employee of a lawyer or an incorporated law firm, any requirement in these regulations to give notice or provide a copy of a document to that person does not apply unless his or her address is known, or can reasonably be ascertained.

(2) If a complaint relates to a former incorporated law firm, any requirement in these regulations to give notice or provide a copy of a document to that former incorporated law firm—

• (a) is met by notifying or providing a copy of the document to the persons who were directors of the firm at the time it was dissolved; and

• (b) does not apply unless the addresses of those persons are known, or can reasonably be ascertained.

(1) This regulation establishes the complaints service of the Law Society for the purposes of receiving complaints about—

• (a) lawyers and former lawyers; and

• (b) incorporated law firms and former incorporated law firms; and

• (c) employees and former employees of lawyers and incorporated law firms.

(2) The Law Society must provide, for the public, access to the complaints service at the Law Society's head office and at each of its branch offices.

(3) The Law Society must provide a telephone line dedicated to receiving and responding to inquiries concerning complaints and the complaints service.

(1) The Law Society must—

• (a) make information about the complaints service available to the public on the Law Society's Internet site at all reasonable times; and

• (b) publish a booklet or brochure advising of the existence of, and containing information about, the complaints service (the complaints service brochure); and

• (c) make copies of the complaints service brochure available to the public on request, without charge, from the Law Society's head office and each of its branch offices; and

• (d) provide supplies of the complaints service brochure, without charge, to the Consumers' Institute, community law centres, citizens advice bureaus, and such other organisations as the Board determines from time to time.

(2) The information in the complaints service brochure and to be provided on the Law Society's Internet site must include the following:

• (a) how to access the complaints service, including the address of the Law Society's head office and each of its branch offices; and

• (b) the persons about whom a complaint may be made; and

• (c) the means by which a complaint may be made; and

• (d) the requirement in regulation 8(2) that the complaints service must give reasonable assistance to any person who wishes to make a complaint to meet the requirements of regulation 8(1).

(1) A complaint must be made to the complaints service and must—

• (a) be in writing; and

• (b) identify the complainant; and

• (c) specify an address for service; and

• (d) identify the firm to which, or the person or persons to whom, the complaint relates; and

• (e) state the subject matter of the complaint; and

• (f) be supported with any appropriate documentation held by, or available to, the complainant.

(2) The complaints service must give reasonable assistance to any person who wishes to make a complaint to meet the requirements of subclause (1).

(3) A complaint may be submitted by delivering it to the complaints service by hand, or by sending it to the complaints service by email, fax, or post.

(1) When a complaint is received, the complaints service must—

• (a) acknowledge receipt of that complaint in writing; and

• (b) as soon as is reasonably practicable, refer the complaint to a Standards Committee; and

• (c) notify the firm to which, or the person or persons to whom, the complaint relates; and

• (d) provide a copy of the complaint to that firm, that person, or those persons.

(2) When a complaint is referred to a Standards Committee, the complaints service must advise the firm to which, or the person or persons to whom, the complaint relates of their right to make a written submission to the Committee.

(3) If a complaint relates to matters that arose during the course of a person's employment by a lawyer or an incorporated law firm, the complaints service must also provide a copy of the complaint to that lawyer or that incorporated law firm unless, in the opinion of the complaints service, there are special circumstances that make it inappropriate to do so.

(1) The Law Society must, in administering the complaints service, take all reasonable steps to ensure that the complaints service—

• (a) deals with complaints in a fair, efficient, and effective manner; and

• (b) achieves consistency and quality of service throughout New Zealand.

(2) The Law Society may make, vary, or revoke practice notes or requirements concerning the operation of the complaints service and procedures to be followed by the complaints service.

The annual report furnished to the Minister under section 76 of the Act must include the following information relating to the outcomes and performance of the complaints service:

• (a) the number of complaints received during the year; and

• (b) the outcomes of complaints in general terms, and in particular—

  • (i) the number of complaints where a decision to take no action has been made:

  • (ii) the number of complaints referred to and resolved by negotiation, conciliation, or mediation:

  • (iii) the number of complaints where orders were made pursuant to section 156 or 157 of the Act:

  • (iv) the number of complaints where a decision was made to refer the matter to the Disciplinary Tribunal pursuant to section 152(2)(a) of the Act; and

• (c) the number of outstanding complaints at the conclusion of the relevant year.

(1) This regulation establishes the following Standards Committees:

• (a) the Auckland Standards Committee (No 1) based in Auckland; and

• (b) the Auckland Standards Committee (No 2) based in Auckland; and

• (c) the Auckland Standards Committee (No 3) based in Auckland; and

• (d) the Auckland Standards Committee (No 4) based in Auckland; and

• (e) the Canterbury Standards Committee (No 1) based in Canterbury; and

• (f) the Canterbury Standards Committee (No 2) based in Canterbury; and

• (g) the Gisborne Standards Committee based in Gisborne; and

• (h) the Hawkes Bay Standards Committee based in Hawkes Bay; and

• (i) the Manawatu Standards Committee based in Manawatu; and

• (j) the Nelson Standards Committee based in Nelson; and

• (k) the Otago Standards Committee based in Otago; and

• (l) the Southland Standards Committee based in Southland; and

• (m) the Taranaki Standards Committee based in Taranaki; and

• (n) the Waikato–Bay of Plenty Standards Committee (No 1) based in Waikato–Bay of Plenty; and

• (o) the Waikato–Bay of Plenty Standards Committee (No 2) based in Waikato–Bay of Plenty; and

• (p) the Wanganui Standards Committee based in Wanganui; and

• (q) the Wellington Standards Committee (No 1) based in Wellington; and

• (r) the Wellington Standards Committee (No 2) based in Wellington; and

• (s) the National Standards Committee (No 1) based in Wellington; and

• (t) the National Standards Committee (No 2) based in Wellington; and

• (u) 15 Reserve Standards Committees, numbered 1 to 15, based in localities nominated from time to time by the Board.

(2) The Board may declare any of the Standards Committees listed in subclause (1) to be an Operational Standards Committee.

(3) The Board may at any time rename a Standards Committee referred to in paragraphs (a) to (r) of subclause (1), or change its area of jurisdiction, or reclassify it as a Reserve Standards Committee.

(4) Subject to the Act and these regulations, the Board may appoint members to each Standards Committee as and when the Board determines.

(1) An Operational Standards Committee must have—

• (a) not fewer than 2 nor more than 7 lawyer members; and

• (b) not fewer than 1 nor more than 2 lay members; and

• (c) a convenor or deputy convenor appointed by the Board from the lawyer members of the Committee pursuant to regulation 24.

(2) Complaints may be referred by the complaints service to Operational Standards Committees only.

(1) All lawyer members of a Standards Committee must be appointed by the Board.

(2) In the case of a Standards Committee established by regulation 12(1)(a) to (r), prior to the Board appointing a lawyer member of the Committee, the Law Society must consult with the District Society or Societies, or Branch Council or Councils, as the case may be, in the locality in which that Committee is based.

(1) To be eligible for appointment as a lawyer member of a Standards Committee, a person must have practised as a lawyer for a period or periods aggregating not less than 5 years.

(2) In appointing any lawyer member of a Standards Committee, the Board must have regard, among other things, to—

• (a) the person's personal attributes; and

• (b) the person's ability by reason of his or her skill, experience, and judgement to deal with and make appropriate decisions in respect of complaints.

(1) The term of appointment of a lawyer member to a Standards Committee is the period, not exceeding 3 years, that the Board determines at the time of appointment.

(2) The Board may reappoint a lawyer member to a Standards Committee for further terms, in each case not exceeding 3 years, as the Board determines, but the periods of membership must not in the aggregate exceed 9 years.

(1) All lay members of a Standards Committee must be appointed by the Board.

(2) In the case of a Standards Committee established by regulation 12(1)(a) to (r), prior to the Board appointing a lay member of the Committee, the Law Society must consult the District Law Society or Societies, or Branch Council or Councils, as the case may be, in the locality in which that Committee is based.

(1) The complaints service must maintain a list of names and addresses of persons who are likely to be suitable to be appointed as lay members of Standards Committees.

(2) When advised by the Board that it proposes to appoint a lay member of a Standards Committee, the complaints service must—

• (a) take either or both of the following steps to identify potential candidates:

  • (i) contact the persons whose names appear on the list maintained under subclause (1), and who live in the locality in which the Standards Committee is based, to ascertain whether they wish to be considered for appointment:

  • (ii) call for expressions of interest in the locality in which the Standards Committee is based; and

• (b) convene a panel to—

  • (i) prepare a short list of candidates whom the panel considers are suitable for appointment; and

  • (ii) interview and check the references of those candidates.

(3) When the panel has completed its assessment of candidates, the panel must make a recommendation to the Board in relation to the proposed appointment.

(4) Before the Board may appoint a lay member of a Standards Committee, the Board must be satisfied—

• (a) that the person is of good character and is a fit and proper person to serve on the Committee; and

• (b) that the person has some or all of the attributes of skill, experience, and judgement necessary to deal with and make appropriate decisions in respect of complaints.

(1) The term of appointment of a lay member to a Standards Committee is the period, not exceeding 3 years, that the Board determines at the time of appointment.

(2) The Board may reappoint a lay member to a Standards Committee for further terms, in each case not exceeding 3 years, as the Board determines, but the periods of membership must not in the aggregate exceed 9 years.

A member of a Standards Committee may resign at any time by notice in writing to the Law Society.

The Board may remove a member of a Standards Committee from office if the Board is satisfied that—

• (a) the member has for any reason displayed an inability to perform the functions of that office; or

• (b) the member has neglected his or her duties, including in particular where the member's attendance, conduct, or performance at meetings of the Committee has not been satisfactory; or

• (c) the member has engaged in personal or professional conduct that the Board considers brings the Law Society into disrepute; or

• (d) the member has been declared bankrupt or is the director of a company that is put into receivership or liquidation; or

• (e) the member has been convicted of a criminal offence punishable by imprisonment and the Board considers that the conviction reflects on the fitness of the member to serve on the Committee; or

• (f) in the case of a lawyer member, a Standards Committee or the Disciplinary Tribunal has determined that the member has been guilty of misconduct or of unsatisfactory conduct.

(1) When the Board decides to remove a member of a Standards Committee from office, the Board must immediately give written notice of its decision to the member.

(2) The removal from office takes effect from the time of service on the member of the notice referred to in subclause (1) unless the notice provides otherwise.

(1) If a vacancy occurs in an Operational Standards Committee that would render the Committee no longer compliant with the requirements of regulation 13(1), the Board must, as soon as is reasonably practicable, fill the vacancy by appointing another person to the Committee.

(2) If a vacancy otherwise occurs in the membership of a Standards Committee, the Board may fill the vacancy by appointing another person to the Committee.

(1) The Board must, in respect of each Operational Standards Committee, appoint a convenor of the Committee from the lawyer members of the Committee.

(2) The Board may, in respect of a Standards Committee, appoint from the lawyer members of the Committee a deputy convenor of the Committee who will act as convenor when the appointed convenor is unavailable for any reason.

(3) The functions of a convenor include chairing meetings of the relevant Standards Committee.

The validity of any proceedings or decision of a Standards Committee is not affected by any defect or deficiency in the appointment of a member.

(1) The procedures of each Standards Committee must accord with the provisions of the Act and these regulations and in particular the requirement to act in accordance with the rules of natural justice.

(2) The quorum of each Standards Committee is a majority of members, at least 1 of whom must be a lay member.

(3) A decision supported by a majority of the votes cast at a meeting of a Standards Committee is the decision of the Committee.

(4) The person chairing a meeting of a Standards Committee has a casting vote as well as a deliberative vote.

(5) Each Standards Committee must cause full and accurate minutes to be kept of the proceedings of each meeting, which minutes must record all decisions reached and orders made by the Committee at the meeting.

(6) Each Standards Committee must otherwise adopt, as far as practicable, procedures that comply with any practice notes or requirements laid down by the Law Society from time to time.

Each Standards Committee, in performing the functions or exercising the powers conferred on it by the Act, must comply with any practice notes or requirements from time to time made by the Law Society.

(1) The Law Society may make, vary, or revoke practice notes or requirements concerning—

• (a) procedures to be followed by Standards Committees; and

• (b) the manner in which Standards Committees are to perform their functions and exercise their powers.

(2) Practice notes or requirements must promote uniformity of approach amongst Standards Committees.

If a complaint relates to a bill of costs rendered by a lawyer or an incorporated law firm, unless the Standards Committee to which the complaint is referred determines that there are special circumstances that would justify otherwise, the Committee must not deal with the complaint if the bill of costs—

• (a) was rendered more than 2 years prior to the date of the complaint; or

• (b) relates to a fee that does not exceed $2,000, exclusive of goods and services tax.

(1) If a Standards Committee makes a censure order pursuant to section 156(1)(b) of the Act, the Committee may, with the prior approval of the Board, direct publication of the identity of the person who is the subject of the censure order.

(2) When deciding whether to publish the identity of a person who is the subject of a censure order, a Standards Committee and the Board must take into account the public interest and, if appropriate, the impact of publication on the interests and privacy of—

• (a) the complainant; and

• (b) clients of the censured person; and

• (c) relatives of the censured person; and

• (d) partners, employers, and associates of the censured person; and

• (e) the censured person.

Decisions of Standards Committees must remain confidential, unless the Committee makes a direction under section 142(2) of the Act or regulation 30(1).

The maximum amount of compensation that a Standards Committee may order pursuant to section 156(1)(d) of the Act is $25,000.

(1) Any Standards Committee may, under section 144 of the Act, appoint investigators to assist in the investigation of complaints.

(2) To be eligible for appointment as an investigator, a person must be—

• (a) a lawyer; or

• (b) a chartered accountant; or

• (c) an inspector appointed to the Law Society's inspectorate under the Lawyers and Conveyancers Act (Trust Account) Regulations 2008; or

• (d) a person with special skills required for a particular investigation.

A Standards Committee may revoke the appointment of an investigator at any time if the Committee is satisfied that the person—

• (a) has for any reason displayed an inability to perform his or her functions as an investigator; or

• (b) has not suitably carried out a particular function assigned to him or her; or

• (c) is or has become, in the opinion of the Committee, unsuited to be an investigator.