What to expect from an attorney and what to do when things go wrong

Registered patent attorneys and trade mark attorneys are subject to a professional code of conduct - called "Rules of Conduct for patent attorneys and trade mark attorneys"

This code applies also to firms of attorneys regulated by IPReg.

This code of conduct requires firms to have in place an internal complaints system to try to resolve issues with their clients. Consequently, if you are unhappy with the service you have received from your attorney, you should first raise the issue with the firm under their complaints system.

If that does not reslove the issue for you, then complaints regarding poor service should be passed to the Legal Ombudsman. If we receive a complaint which seems to be about poor service we will refer you to the Legal Ombudsman.

Generally complaints about bills will be dealt with by the Legal Ombudsman.

IPReg only deals with complaints of professional misconduct, meaning breaches of the code.

Sometimes service is so poor that it amounts to a breach of the code also but that is in the minority of cases.

Usually the Legal Ombudsman will alert us if a case should also be reviewed by us.

The code underpins the professional status of an attorney. A decision by IPReg that there has been a breach of the code is a serous matter.

IPReg can issue notices and repremands and it can remove an attorney from its registers either for a specified period or permanently. In rare cases we can issue a small fine. We have no other sanction but this is a very serious sanction. We cannot award compansation for example.

Therefore, the test is higher than for poor service and a factor will be whether, on realising that a problem has arisen, that attoney has rectified the problem as far as possible.

Litigation

Litigation specialists are subject to an addtitional code specifically relating to their litigation work.

What to do if you have a complaint

A complaint about the conduct of an attorney or firm of attorneys must relate to an alleged breach of one or more of the rules set out in the Code of Conduct and/or in the Litigators' Code.

Generally complaints must relate to matters which have occurred within the last 12 months. If the complaint is made outside that period then an explanation why the complaint could not have been brought earlier must be provided.

All complaints relating to an alleged breach of the Code are considered under the Rules of Disciplinary Procedure. These rules can be found here but when we receive a complaint we will send you a copy and a simpler note explaining the procedure.

To make a complaint please use the complaint form which can be downloaded here.

The complaint should be sent to Ann Wright, Chief Executive at The Intellectual Property Regulation Board, Fifth Floor Outer Temple 222-225 Strand London WC2R 1BA or via e mail to Ann.Wright@ipreg.org.uk. An acknowledgment of receipt will be given.

What happens when a complaint is received?

On receipt of the complaint the Chief Executive (as the case manager) will check that all the necessary information has been provided. If the case is complex the Chief Excutive may appoint someone else to be the case manager. The Chief Executive or case manager will contact the complainant if further information is required. If there are no formal issues, the case manager will ask the person or firm which is the subject of the complaint to provide their own comments. These comments will normally have to be submitted to IPReg within one month. However if this is not possible and good reasons for the delay are given the case manager can extend this time limit.

Once any comments are received the complaint and the comments are passed to the Complaints Review Committee (CRC) consisting of either a patent or a trademark attorney member (depending upon the profession of the person or firm the subject of the complaint) and two non-attorney members of the IPReg Board. The CRC will determine whether there is, prima facie, a case to answer.

You may hear the CRC being called the "sift panel"

If the CRC considers there is no case to answer it will issue a written decision giving the reasons why it has rejected the complaint.

If CRC considers that there is a case to answer it can:

(if CRC considers a full hearing would be disproportionate) deal with the complaint summarily by the issue of a notice warning or reprimand (together with an award for costs) but the attorney or firm can elect to have the matter referred to a Disciplinary Board; or
refer the complaint to a Disciplinary Board for a formal review.

A Disciplinary Panel will also consist of one attorney and two lay members. The Disciplinary Board will invite the complainant and the attorney or firm to file any facts or evidence in support of their case and upon which they intend to rely. Any submissions by one party will be copied to the other party who may submit a response. Once these submissions are complete both the complainant and the attorney or firm will be invited (but are not required) to make oral submissions to the Disciplinary Board at a formal hearing.

Sanctions

The Disciplinary Board will issue a written decision. If the complaint is upheld there are a number of sanctions that can be applied. These are set out in the Rules of Disciplinary Procedure but range from a warning or reprimand to a fine or being struck off the Register either temporarily or permanently.

However the Disciplinary Board cannot make any order fof financial compensation to the complainant, although it can award costs.

Appeals

Normally the decision of the Disciplinary Board will conclude the matter. It is possible to file an appeal against the Disciplinary Board’s decision to an independent appeal board but that appeal will be limited to a review of the earlier decision and will not amount to a re-hearing of the case.

Questions on the procedures can be addressed to the Chief Executive by e mail.

Finally, our policy in relation to the publication of our decisions is set out below:

Any decision of an initial “sift panel” to reject a complaint will not be published.
If the initial sift panel determines that a prima facie case has been made out but proceeds to consider the case summarily the name, the respondent and judgment will be published.
The details of any case brought forward to full disciplinary hearing will consist of the name of the respondent and the status of the case e.g. applicable rule(s) (the subject of the hearing)/ “pending” / “heard but not determined”/ “determined.”
The determination of the Disciplinary Panel will be published in full although names and details or other identifying features can be withheld if the Panel requires, in its discretion, in the interest of public or private safety or protection.