NORTHERN TERRITORY OF AUSTRALIA
LEGAL PRACTITIONERS DISCIPLINARY TRIBUNAL RULES 2011
As in force at 9 November 2011
Table of provisions
Part 1 Preliminary matters
1 Citation ............................................................................................ 1
2 Definitions ........................................................................................ 1
3 Seal of Disciplinary Tribunal ............................................................ 2
4 Filing documents ............................................................................. 3
Part 2 Starting proceedings
Division 1 Appeal against decision of Law Society
5 Section 506 – form of notice of appeal ............................................ 3
6 Applicant to serve copy of notice of appeal ..................................... 4
7 Respondent to file and serve notice of address for service ............. 4
Division 2 Disciplinary application
8 Section 515 – form of disciplinary application .................................. 4
9 Law Society to serve copy of application ......................................... 4
10 Respondent to file and serve notice of address for service ............. 5
Division 3 Address for service etc.
11 Party's address for service and other contact details....................... 5
12 Change of address for service or other contact details.................... 6
Part 3 Conducting proceedings
Division 1 Directions, hearing and evidence
13 Notice of directions hearing ............................................................. 6
14 Directions hearings .......................................................................... 6
15 Setting down for hearing .................................................................. 6
16 List of documents ............................................................................ 7
17 Affidavits .......................................................................................... 7
18 Subpoenas ...................................................................................... 8
Division 2 General practice and procedures
19 Interlocutory applications ................................................................. 8
20 Substituted service .......................................................................... 8
Legal Practitioners Disciplinary Tribunal Rules 2011 ii
21 Extending and shortening time ........................................................ 8
22 Effect of non-compliance with Rules................................................ 9
23 Procedure if no rule or practice direction ......................................... 9
Part 4 Miscellaneous matters
24 Registrar to keep records ................................................................ 9
25 Signing document by Disciplinary Tribunal .................................... 10
26 Chairperson may engage person to assist .................................... 10
ENDNOTES
NORTHERN TERRITORY OF AUSTRALIA
As in force at 9 November 2011
LEGAL PRACTITIONERS DISCIPLINARY TRIBUNAL RULES 2011
Rules under the Legal Profession Act 2006
Part 1 Preliminary matters
1 Citation
These Rules may be cited as the Legal Practitioners Disciplinary
Tribunal Rules 2011.
2 Definitions
In these Rules:
address for service, of a party to proceedings, means the address
specified in rule 11(1) or (2).
appeal means an appeal to the Disciplinary Tribunal under
section 506 of the Act.
applicant, in proceedings, means the following persons:
(a) for an appeal against a decision to dismiss a complaint about
an Australian legal practitioner under section 498 of the Act –
the complainant;
(b) for an appeal against a decision to take action against an
Australian legal practitioner under section 499(2) of the Act –
the Australian legal practitioner;
(c) for a disciplinary application – the Law Society.
chairperson, see section 668 of the Act.
contact details, of a party to proceedings, means the details
specified in rule 11(3).
Part 1 Preliminary matters
Legal Practitioners Disciplinary Tribunal Rules 2011 2
Disciplinary Tribunal, in relation to particular proceedings, means:
(a) the members constituting the Tribunal to hear and decide the
proceedings; or
(b) the member conducting a directions hearing or interlocutory
hearing in the proceedings.
file means to file a document in accordance with rule 4.
proceedings means proceedings in the Disciplinary Tribunal for an
appeal or disciplinary application.
registrar means the person holding or occupying the office of
registrar of the Disciplinary Tribunal mentioned in section 677A(4)
of the Act.
respondent, to proceedings, means the following persons:
(a) for an appeal by a complainant – each of the following:
(i) the Law Society;
(ii) the Australian legal practitioner against whom the
complaint was made;
(b) for an appeal by an Australian legal practitioner – each of the
following:
(i) the Law Society;
(ii) the complainant;
(c) for a disciplinary application – the Australian legal practitioner
against whom the complaint was made.
sealed means marked with the stamp mentioned in rule 3(2).
3 Seal of Disciplinary Tribunal
(1) There is to be a seal of the Disciplinary Tribunal, approved by the
chairperson.
(2) The registrar must keep a stamp of a design as near as practicable
to the seal of the Tribunal.
(3) A document marked with the stamp kept by the registrar is taken to
have been sealed with the seal of the Tribunal.
Part 2 Starting proceedings
Division 1 Appeal against decision of Law Society
Legal Practitioners Disciplinary Tribunal Rules 2011 3
4 Filing documents
(1) A document is filed with the Disciplinary Tribunal by lodging it with
the registrar in the Registry of the Supreme Court.
(2) A party to proceedings who is required by these Rules to serve a
sealed document on another party must file sufficient copies of the
document to enable service of a sealed copy on each other party.
Part 2 Starting proceedings
Division 1 Appeal against decision of Law Society
5 Section 506 – form of notice of appeal
(1) A notice of appeal must be in the approved form and include the
following information:
(a) the full name, address for service and other contact details of
the applicant;
(b) the name and address of each respondent;
(c) the grounds for the appeal, set out briefly and specifically in
consecutively numbered paragraphs;
(d) a brief description of the alleged conduct the subject of the
appeal, set out in consecutively numbered paragraphs;
(e) whether the applicant appeals against the whole decision or
part of the decision;
(f) the decision and orders (including a compensation order) the
applicant seeks;
(g) a statement that:
(i) each respondent served with the notice of appeal must
file and serve a notice of the respondent's address for
service in accordance with rule 7; and
(ii) a directions hearing in the proceedings will be held,
details of which will be notified to the parties by the
registrar in accordance with rule 13.
(2) The applicant must attach to the notice of appeal a copy of the
information notice given to the applicant under section 499 or 501
of the Act.
Part 2 Starting proceedings
Division 2 Disciplinary application
Legal Practitioners Disciplinary Tribunal Rules 2011 4
6 Applicant to serve copy of notice of appeal
Within 14 days after filing the notice of appeal, the applicant must
serve a sealed copy of the notice personally on each respondent to
the proceedings.
7 Respondent to file and serve notice of address for service
(1) Within 14 days after a respondent is served with a copy of the
notice of appeal, the respondent must:
(a) file a notice, in the approved form, of the respondent's address
for service; and
(b) serve a sealed copy of the notice personally on each other
party to the appeal.
(2) The notice of address for service must include the respondent's
other contact details.
Division 2 Disciplinary application
8 Section 515 – form of disciplinary application
A disciplinary application must be in the approved form and include
the following information:
(a) the name and address of the respondent;
(b) a description of the respondent's alleged unsatisfactory
professional conduct or professional misconduct, set out in
consecutively numbered paragraphs;
(c) a statement that:
(i) the respondent must file and serve a notice of the
respondent's address for service in accordance with
rule 10; and
(ii) a directions hearing in the proceedings will be held,
details of which will be notified to the parties by the
registrar in accordance with rule 13;
(d) the applicant's address for service and other contact details.
9 Law Society to serve copy of application
The applicant must, within 14 days after filing the disciplinary
application, serve a sealed copy of the application personally on the
respondent.
Part 2 Starting proceedings
Division 3 Address for service etc.
Legal Practitioners Disciplinary Tribunal Rules 2011 5
10 Respondent to file and serve notice of address for service
(1) Within 14 days after the respondent is served with a disciplinary
application, the respondent must:
(a) file a notice of address for service, in the approved form; and
(b) serve a sealed copy of the notice on the applicant.
(2) The notice of address for service must state the respondent's other
contact details.
Division 3 Address for service etc.
11 Party's address for service and other contact details
(1) The address for service of notices and other documents on the Law
Society is:
(a) the business address of the Society; or
(b) if the Society is represented by an Australian legal
practitioner – the business address of the practitioner.
(2) The address for service of notices and other documents on any
other party to proceedings is as follows:
(a) for a party appearing personally – the residential or business
address of the party;
(b) for a party represented by an Australian legal practitioner – the
business address of the practitioner;
(c) for a party represented by a person who is not an Australian
legal practitioner – the residential or business address of the
person.
(3) The other contact details of a party to proceedings are as follows:
(a) if the party appears personally – the telephone number, fax
number and email address of the party;
(b) if the party is represented by an Australian legal practitioner or
other person – the telephone number, fax number and email
address of the practitioner or person.
Part 3 Conducting proceedings
Division 1 Directions, hearing and evidence
Legal Practitioners Disciplinary Tribunal Rules 2011 6
12 Change of address for service or other contact details
A party to proceedings whose address for service or any other
contact detail has changed must:
(a) within 7 days after the change – file a notice of address for
service, in the approved form, stating the new address for
service or other contact details; and
(b) within 14 days after the change – serve a copy of the notice
on each other party.
Part 3 Conducting proceedings
Division 1 Directions, hearing and evidence
13 Notice of directions hearing
As soon as practicable after the day on which rule 7 or 10
(as applicable) requires a notice of address for service to be filed,
the registrar must set a date, time and place for a directions hearing
in the proceedings and notify the parties of the details.
14 Directions hearings
(1) The first directions hearing in proceedings must be conducted by
the chairperson.
(2) The Disciplinary Tribunal may order further directions hearings in
proceedings.
(3) Any further directions hearing must be conducted by one of the
members constituting the Tribunal to hear and decide the
proceedings.
(4) Each party to the proceedings must attend a directions hearing
unless directed otherwise by the Tribunal.
(5) At a directions hearing, the Tribunal may give the directions about
the conduct of the proceedings that the Tribunal considers
appropriate.
15 Setting down for hearing
(1) The Disciplinary Tribunal or registrar may set the time, day and
place for the hearing of an appeal or a disciplinary application.
Part 3 Conducting proceedings
Division 1 Directions, hearing and evidence
Legal Practitioners Disciplinary Tribunal Rules 2011 7
(2) As soon as practicable after the time, day and place for the hearing
are set, the registrar must give the parties to the proceedings
written notice of those details.
(3) If the hearing is for a disciplinary application, the Law Society must
give the complainant written notice of the hearing and of the
complainant's entitlement to appear in relation to an aspect of the
hearing mentioned in section 522(3) of the Act.
16 List of documents
(1) Unless the Disciplinary Tribunal orders otherwise, a party to
proceedings must:
(a) at least 28 days before the hearing day, serve on each other
party a list of documents the party intends to rely on at the
hearing; and
(b) make the documents in the list available for inspection by
each other party at least 21 days before the hearing day; and
(c) if another party requests a copy of a document in the list and
pays a reasonable amount for the copy – give the other party
the copy requested.
(2) Subrule (1)(c) does not prevent a party recovering the cost of
copies as part of the costs of the proceedings.
17 Affidavits
(1) A party who intends to rely on affidavits at a hearing must, as soon
as practicable (but no later than 5 days) before the hearing day:
(a) file the affidavits the party intends to rely on; and
(b) serve copies of the affidavits on each other party.
(2) If a party requires a person who has sworn an affidavit for another
party to attend the hearing to give evidence or for
cross-examination, the party must, at least 3 days before the
hearing day:
(a) file a notice that the person is required to attend for that
purpose; and
(b) serve a copy of the notice on each other party.
(3) A copy or notice served under subrule (1) or (2) must be served
personally on a party other than the Law Society.
Part 3 Conducting proceedings
Division 2 General practice and procedures
Legal Practitioners Disciplinary Tribunal Rules 2011 8
(4) Subrule (2) does not affect any power, practice or procedure under
these Rules in relation to subpoenas.
18 Subpoenas
Order 42 of the Supreme Court Rules 1987 applies (with the
necessary changes) in proceedings as if a reference in that Order
to the Court were a reference to the Disciplinary Tribunal.
Division 2 General practice and procedures
19 Interlocutory applications
(1) A party to proceedings (the applying party) may apply to the
Disciplinary Tribunal for an interlocutory order by filing an
application in the approved form and an affidavit in support of the
application.
(2) The registrar must set a date, time and place for the hearing of the
application and enter the details on the application.
(3) The applying party must serve a sealed copy of the application and
a copy of the affidavit on each other party no later than 3 days
before the hearing of the application.
(4) A party served with the application must, no later than 1 day before
the hearing of the application, file and serve on the applying party
the affidavit on which the party intends to rely at the hearing.
(5) The hearing of the application must be conducted by one of the
members constituting the Tribunal to hear and decide the
proceedings.
20 Substituted service
The Disciplinary Tribunal may make an order substituting another
way of serving a document required to be served personally under
these Rules.
21 Extending and shortening time
(1) The Disciplinary Tribunal may, at any time, extend a time set under
these Rules.
(2) If a time set under these Rules (including a time for service) has not
expired, the Tribunal may shorten the time.
Part 4 Miscellaneous matters
Legal Practitioners Disciplinary Tribunal Rules 2011 9
22 Effect of non-compliance with Rules
(1) Non-compliance with these Rules by a party to proceedings does
not invalidate the proceedings unless the Disciplinary Tribunal
orders otherwise.
(2) If a party other than the Law Society fails to comply with these
Rules, the Tribunal may make any order it considers appropriate,
including any of the following:
(a) an order waiving the non-compliance;
(b) an order that part or all of the proceedings be set aside.
(3) If the Tribunal makes an order under section 524 of the Act in
relation to the Law Society's non-compliance with these Rules, the
Tribunal may also make any other orders it considers appropriate.
(4) If the Law Society has not complied with these Rules and the
Tribunal is not satisfied it should make an order under section 524
of the Act in relation to the non-compliance, the Tribunal may make
any orders it considers appropriate, including an order that part or
all of the proceedings be set aside.
23 Procedure if no rule or practice direction
(1) If, in proceedings, the procedure for taking a step or for the exercise
of a power by the Disciplinary Tribunal is not prescribed by these
Rules and no practice direction for the procedure has been issued,
the Tribunal may apply the procedure it considers appropriate.
(2) Without limiting subrule (1), the Tribunal may apply (with the
necessary modifications) a relevant rule of the Supreme Court
Rules 1987.
Part 4 Miscellaneous matters
24 Registrar to keep records
The registrar is responsible for keeping the records of the
Disciplinary Tribunal.
Part 4 Miscellaneous matters
Legal Practitioners Disciplinary Tribunal Rules 2011 10
25 Signing document by Disciplinary Tribunal
A notice to be given by the Disciplinary Tribunal, or any other
document required to be signed by the Tribunal, may be signed by
one of the following persons:
(a) in proceedings – the chairperson, a member of the Tribunal
constituted for the proceedings, or any other person the
constituted Tribunal has authorised to sign;
(b) in other circumstances – the chairperson or any other person
authorised by the chairperson to sign.
26 Chairperson may engage person to assist
(1) The chairperson may engage an Australian legal practitioner or
another person to assist the Disciplinary Tribunal generally or in
particular proceedings.
(2) The Tribunal may direct an Australian legal practitioner assisting it
in proceedings to represent a party who is not otherwise
represented in the proceedings.
ENDNOTES
Legal Practitioners Disciplinary Tribunal Rules 2011 11
ENDNOTES
1 KEY
Key to abbreviations
amd = amended od = order
app = appendix om = omitted
bl = by-law pt = Part
ch = Chapter r = regulation/rule
cl = clause rem = remainder
div = Division renum = renumbered
exp = expires/expired rep = repealed
f = forms s = section
Gaz = Gazette sch = Schedule
hdg = heading sdiv = Subdivision
ins = inserted SL = Subordinate Legislation
lt = long title sub = substituted
nc = not commenced
2 LIST OF LEGISLATION
Legal Practitioners Disciplinary Tribunal Rules (SL No. 13, 2011)
Notified 27 April 2011
Commenced 27 April 2011
Legal Practitioners Disciplinary Tribunal Amendment (Affidavits) Rules 2011 (SL
No. 47, 2011)
Notified 9 November 2011
Commenced 9 November 2011
3 GENERAL AMENDMENTS
General amendments of a formal nature (which are not referred to in the table
of amendments to this reprint) are made by the Interpretation Legislation
Amendment Act 2018 (Act No. 22 of 2018) to: rr 1, 18 and 23.
4 LIST OF AMENDMENTS
r 17 sub No. 47, 2011, r 3