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Disciplinary Defence – What to do after receiving a complainant

Welcome to Query Of The Week

Welcome to this week’s Query Of The Week. Each week our technical team respond to a huge number of client queries and in this segment, we share with you the most common questions that keep coming up time and time again.

In this week’s Query Of The Week, we address the following query by a client – “I have received a complaint from my institute, what do I do next?”. Garett Wynne walks you through his explanation of how to navigate this issue correctly.


Disciplinary Defence – How OmniPro Can Support You

If this Query Of The Week was of interest to you, you will also be interested in our Disciplinary Defence – How OmniPro Can Support You webinar which is scheduled for Wednesday, 20 March 2019.

Full details for this webinar can be found here.

Date Wednesday, 27 March
CPD Allocation 1 Hour
Fee €38 (or 1 CPD Club point)
Presenter Garett Wynne – OmniPro
Category Practice Support

Query Of The Week – Video Transcript

(Please note that this is a direct unedited transcript of the spoken word as recorded on the video) 

Hello and welcome to this week’s Query of the Week.

For those of you who do not know me, my name is Garret Wynne, and I work exclusively with practices within our practice support division.

On a daily basis, we at OmniPro receive a number of technical queries through many different various mediums; through phone, through email and through our dedicated platform Knowledge Hub.

Our Query of the Week series is now brought to you to bring you a flavor of those queries and our suggested response to those. This week we’re going to look specifically at disciplinary defense, and in particular we’re going to look at, I have received a complaint from my institute, what do I do next?

So, again this is a more common issue. We have seen it in my role. I work exclusively with practices, I work exclusively with individuals who have come into trouble with their institutes. Again, most of this can be navigated if it’s dealt with appropriately from the outset.

So in relation to this, so I received a complaint, an ex-client has made a complaint directly to the institute and I have now received a formal letter from my institute asking for my response.

First things first, we must look at the timeline for that response. Normally we are given 15 to 21 working days to make that formal response.

So the first thing I always tell a firm is, is that timeline sufficient for you to make that response? If it’s not you need to go back to the institute and request an extension to that timeline. In most cases, 99.9%, they are amenable to an extension.

And an extension will normally grant you an additional 14 days. So, given the extension, given the potential timeframe you need to decide what next? So the first thing obviously is to read the complaint thoroughly. Then you should contact us and share that complaint with us.

We have a dedicated team, we have myself, we have a number of people who support me, and we also have a legal team who is available to us if we need a formal legal response. Our team works effectively 24 seven throughout the week and even the weekends, as I said, even last night I was working on a complaint for an individual and a response to an institute.

So, what do I do, I received a complaint? So you’ve contacted us, we will ask you to summarize your side of the story, and present that side of the story to us. We will then formally document that response to send it back to the institute so that it can be determined whether or not this needs to go further.

So, the complaint then will be responded, your response will go back to the institute within your timeframe. That then will be taken by the individual, the case presenter, who will effectively determine whether or not your response is efficient enough and whether an additional stage is needed to be taken.

Historically I can tell you, probably 50, 60% of what we deal with is killed at this stage, so that first response that you send back is of vital importance. It is a stressful time, and it’s an emotional time, and it’s not a response that you need to take straight off the bat by yourself.

Please, come to us at OmniPro and let us help you develop your response to the institute. If we are successful at that point where the complaint is effectively killed at that stage, then brilliant, happy days, let’s move on.

If unfortunately, we’re in the position where the institute determines that a case is now to be taken, then a formal case will be taken and passed to one of the committees within the institute.

That formal process then, at that point, you do need detailed assistance and you will need our legal assistance as well to help you through that process. We are available, we are commonly doing this on a regular basis, and we are successful to date in our responses, so I suppose in summary, I received a complaint, what do I do?

The main thing is get assistance and get help. Do not go down this road alone. So if you received a complaint, please come and contact us and talk it through with us and let’s decide what is my next best steps? So I’d like to thank you for listening today.

I hope you found it of benefit, and of information to you and your practice.

Again I’d like to thank you for taking the time for listening to us and I’d like to welcome you to join us on this and further webinar series in relation to this and other topics.

Thank you.