---
title: "Keep the complaint, investigation and deadline register for a licensed professional"
url: "https://ailawframework.com/practice/professional-discipline-and-occupational-regulation/build-the-complaint-investigation-and-deadline-register-for-a-practition/united-states"
type: "task_jurisdiction_version"
site: "AI Law Framework"
id: "A63-H20261018-1-US"
practice_area: "Professional Discipline & Occupational Regulation"
tier: "yellow"
lawyer_review: "required"
jurisdictions: ["US"]
last_reviewed: "2026-10-22"
---

# Keep the complaint, investigation and deadline register for a licensed professional

> Enter each notice into a register: regulator, date received, response date stated in the notice, and the next step the notice names. Calculate nothing that the notice does not state.

Canonical page: https://ailawframework.com/practice/professional-discipline-and-occupational-regulation/build-the-complaint-investigation-and-deadline-register-for-a-practition/united-states  
Last reviewed: 2026-10-22

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

| Fact | Value |
| --- | --- |
| Practice area | [Professional Discipline & Occupational Regulation](https://ailawframework.com/practice/professional-discipline-and-occupational-regulation.md) |
| Human involvement | Yellow: Lawyer and AI draft together |
| How AI is used | Enter each notice into a register: regulator, date received, response date stated in the notice, and the next step the notice names. Calculate nothing that the notice does not state. |
| What the lawyer must review | Lawyer discipline is state law. ABA Model Rule 8.5 says a lawyer admitted in a jurisdiction is subject to its disciplinary authority regardless of where the conduct occurs, and a lawyer not admitted there is subject to it if the lawyer provides or offers legal services there. Choice of law depends on whether the conduct is in connection with a matter pending before a tribunal. The ABA Model Rules for Lawyer Disciplinary Enforcement are a model. Rule 11 of that model has disciplinary counsel evaluate information, investigate, give the respondent written notice of the substance of the matter and an opportunity to be heard before recommending a disposition other than dismissal or a stay, and, if formal charges are filed, serve them. The respondent files a written answer within the period the adopting court sets. The model puts that period in brackets as twenty days, and says that if no answer is filed the factual allegations are deemed admitted. You confirm the tribunal's adopted rule and the date on the notice before the register treats a day as the deadline. For practice before the IRS, the Office of Professional Responsibility applies Circular 230, not a state bar rule. |
| Written for | United States |
| Applies to | [Build the complaint, investigation and deadline register for a practitioner](https://ailawframework.com/practice/professional-discipline-and-occupational-regulation/build-the-complaint-investigation-and-deadline-register-for-a-practition.md) |

## Checking plan

- What the AI does: Enter each notice into a register: regulator, date received, response date stated in the notice, and the next step the notice names. Calculate nothing that the notice does not state.
- Basis: Checked against the linked sources on 22 October 2026. Confirm the current instrument before reliance.

## Notes

- Bracketed times in Model Rule 11 are for the adopting court to set. Do not treat twenty days, fourteen days or twenty-five days as the rule of any state until you open that state's rule.
- A licensing board for a profession other than law has its own statute. Do not use the lawyer model for a medical or trade board.

## Sources

- [ABA Model Rules for Lawyer Disciplinary Enforcement, Rule 11, generally](https://www.americanbar.org/groups/professional_responsibility/resources/lawyer_ethics_regulation/model_rules_for_lawyer_disciplinary_enforcement/rule_11/) (checked 2026-10-22)
- [ABA Model Rule 8.5, Disciplinary Authority; Choice of Law](https://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/rule_8_5_disciplinary_authority_choice_of_law/) (checked 2026-10-22)
- [IRS: Office of Professional Responsibility and Circular 230](https://www.irs.gov/tax-professionals/office-of-professional-responsibility-and-circular-230) (checked 2026-10-22)

## Forms and precedents for this task

| Form or precedent | Kind | AI level | Summary |
| --- | --- | --- | --- |
| [Ahpra notification: stage and timeframe register](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/ahpra-notification-stage-register.md) | Checklist | Green | Register of the stages and timeframes Ahpra states for a notification about a health practitioner, from receipt through to a decision. |
| [Application or referral, disciplinary proceeding (QCAT Form 22)](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/form-qld-qcat-22-disciplinary-referral.md) | Form | Yellow | Link to QCAT Form 22. The forms page says it is completed by a board, chief executive, commission or other entity for a disciplinary proceeding. |
| [Complaint, investigation and deadline register for a lawyer respondent (Legal Profession Uniform Law, NSW)](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/lawyer-complaint-investigation-deadline-register.md) | Checklist | Yellow | Register for a lawyer facing a complaint under Uniform Law Chapter 5: complaint type, 3-year time limit and waiver, notification, submission deadline, investigation steps, determinations and review… |
| [Show cause event: notice, fitness statement and deadline checklist (Uniform Law)](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/show-cause-event-notice-and-fitness-statement.md) | Checklist | Yellow | Checklist for a lawyer who must notify a show cause event or answer a designated show cause notice: which path applies, the 7-day and 28-day steps, and what the statement has to explain. |
| [Ahpra mandatory notification: concerns and thresholds by notifier](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/ahpra-mandatory-notification-thresholds.md) | Checklist | Yellow | Checklist of the four concerns Ahpra's mandatory-notification guideline says must be assessed, and the different threshold words in the guideline's table. |
| [Letter asking for more time to make submissions on a complaint (Uniform Law s 280)](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/extension-of-time-for-complaint-submissions.md) | Letter | Yellow | A short letter asking the designated local regulatory authority to extend the period for a lawyer's submissions on a complaint, before that period ends. |
| [Western Australia: Legal Practice Board complaint pathway and 30-day review](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/wa-lawyer-complaint-pathway.md) | Checklist | Yellow | Checklist of the complaint path the Legal Practice Board of Western Australia describes, including the 30-day request for an internal review. |
| [Health practitioner immediate action: show cause and decision checklist (Ahpra)](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/health-practitioner-immediate-action-show-cause.md) | Checklist | Yellow | Checklist for a health practitioner who is told a National Board proposes immediate action: the proposed action, the submission, the decision, the public register, and whether an appeal is open. |
| [OMARA complaint: steps and disciplinary outcomes](https://ailawframework.com/precedents/professional-discipline-and-occupational-regulation/omara-complaint-outcome-types.md) | Checklist | Yellow | Checklist of what the Office of the Migration Agents Registration Authority says happens after a complaint, and the disciplinary outcomes it publishes. |

Signed-in accounts can read the full text of each one.

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*