Checklist · Professional Discipline & Occupational Regulation
Practitioner’s response to a complaint or show cause notice: preparation checklist and structure
Checklist and structure for a lawyer’s written submissions to the regulator: deadline and extension, privilege and confidentiality, facts with documents, response to each allegation, insight and remediation, character material, and the outcome sought.
- Kind
- Checklist. Steps or checks to work through and tick off.
- Where it applies
- New South Wales, Australia
- AI use
- Red Keep AI out of the decisive steps. A lawyer does the work.
- Law stated as at
- 18 October 2026
- Status
- Maintained. Checked on 18 October 2026 against the 2 authorities it cites, for New South Wales and Australia.
- Version
- 1
- Source
- Written for this library
When to use it
Use when a lawyer client must make submissions on a complaint or respond to a show cause notice. The response is written by the lawyer advising the practitioner, with the practitioner, in the practitioner’s own account of the facts.
Used for these tasks
Each task page says how far AI may help with the task and what the lawyer must review.
How AI may be used
The lawyer writes the response with the practitioner; AI may only index documents and check dates and references cited in it.
AI may
- Index the documents to be attached and check each reference in the response matches a document
- Check dates and quotations against the documents
AI must not
- Must not draft any part of the response, the practitioner’s explanation or any statutory declaration
- Must not summarise the practitioner’s account
- Must not process client confidential material of the practitioner outside the approved environment
The lawyer checks
- The response is lodged within the specified period or an extension granted in writing
- Client confidentiality and privilege issues in the practitioner’s files have been dealt with
- Every factual statement is supported by a document or the practitioner’s own account, and nothing is misleading
Method: how the Green, Yellow and Red levels are decided. This is guidance for planning, not legal advice.
Read the full text
The full text is for signed-in accounts. It is free. When you sign in you can:
- read the whole precedent, with its drafting notes beside it;
- copy it, or download it as a Word file or Markdown;
- add it to your firm’s knowledge base, so colleagues can find it;
- let the AI tools you connect read it from that knowledge base.
The summary, the law it rests on and the AI-use guidance above stay public. Privacy.
More in Professional Discipline & Occupational Regulation
- Complaint, investigation and deadline register for a lawyer respondent (Legal Profession Uniform Law, NSW)
- Allegations against the conduct standard map: unsatisfactory professional conduct and professional misconduct (Uniform Law)
- Tribunal review application checklist: practising certificate and disciplinary determinations (NCAT, NSW)
All precedents for Professional Discipline & Occupational Regulation · Tasks and AI use in this area