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Arrangement of Sections
Code of Conduct of the Bar of England and Wales
The Bar’s Code of Conduct sets out the duties which all barristers must obey.
It is divided into the following sections:
The Preliminary section sets out the details about the commencement of the Code, the rules governing amendments to the Code, the general purpose of the Code, to whom it applies and the Bar Council’s powers to waive its provisions.
103 Amendments/additions to the Code.
104 General purpose of the Code
105
106 Application of the Code
107
Part II - Practising Requirements
The Practising Requirements section sets out the rules governing the circumstances in which individuals may practise as a barrister, exercise rights of audience and supply legal services to the public. Part II also contains the requirement to be insured and the prohibition on barristers practising in partnership.
- Practising Certificate,
- Pupillage,
- Continuing Professional Development.
203.2 Three years standing rule
203.3 Suitably qualified person
204 Supply of legal services to the public
206.1 Rules for barristers wishing to offer legal services to the public...
206.2....but who do not meet the criteria do so as practising barristers
Part III - Fundamental Principles
The Fundamental Principles section includes the duty to not act dishonestly or bring the profession into disrepute, the duties to the court and to act in the best interest of the client. It also contains the duties to the Legal Services Commission, the duty to not discriminate on grounds of race, sex etc. and the duty to maintain independence.
301 Applicable to all barristers
(a) Dishonest, discreditable conduct, prejudicial to the administration of justice, diminish public confidence, bring the bar into disrepute
302 Applicable to practising barristers
Duty to the Court, assist in the administration of justice, must not mislead the Court
303
(a) Act in the best interests of the lay client
(b) Primary duty to the lay client
(c) Duty to the Legal Services Commission (LSC)
304 Duty to comply with LSC Regulations
305.1 Discrimination on grounds of sex and race – general principle
305.2 Offer of pupillage
306 Barrister’s individual and personal responsibility, exercise of personal judgement
307 A barrister must not:
(a)
(b) Compromise his independence and integrity
(c) Compromise professional standards
(d) Must not give commission, a present or money for any professional purpose
(e) Make payment for purposes of procuring instructions
(f) Receive or handle client money, securities or other assets
Part IV Self-employed Barristers
This section concerns self-employed barristers only. It provides that they can only accept instructions from solicitors or other professional clients and sets out the work that they may not undertake. This section also contains further rules governing insurance, the duties of barristers and heads of chambers to administer their practice efficiently and the rules about fees.
401 Instructions
A self-employed barrister:
a) Can only supply legal services when properly instructed
(b) Must not:
(i) Undertake management/administration/general conduct of lay client’s affairs
(ii) Conduct litigation, inter-partes work
(iii) Investigate/collect evidence for use in Court
(iv) Take proof of evidence in criminal cases
(v) Attend at police stations
(vi) Act as supervisor – s84(2)of the Immigration and Asylum Act 1999
(c) Attendance of a self-employed barrister at a legal advice centre
403 Administration and conduct of self-employed practice
403.1 Sharing the administration of a barrister’s practice
403.2
(a)
(i) Efficient and proper administration of practice
(ii) Keeping proper records
(iii) Compliance with Terms of Work / Withdrawal of Credit Scheme 1998
(b) Access to library facilities
(c) Have regard to Bar Council guidance
(d)
(i) Handle complaints promptly/courteously
(ii) Have and comply with an appropriate written complaints procedure – provide copies when requested
404.1 To whom the obligations in this section apply.
404.2 The Head of Chambers must ensure that:
(a) Chambers are properly staffed and efficiently and competently administered
(b) Affairs of chambers are conducted fairly and equitably
(c) Proper arrangements are made for dealing with pupils and pupillage, including:
(i) pupillage vacancies
(ii) arrangements for funding of pupils
(iii) pupillage guidelines and the Equality and Diversity Code are considered
(d) Proper arrangements are in place for dealing with equal opportunity issues, in particular:
(i) there is an Equal Opportunities Officer
(ii) there is a written Equal Opportunities policy
(iii) if (i) and (ii) are not complied with Chambers should not take on pupils.
(e) All members have insurance with BMIF
(f) All members comply with 403.2(a)(iii)
(g) All employees and staff are:
(i) competent to carry out duties
(ii) carry out duties efficiently
(iii) are made aware of the provisions of the Code
(iv) complaints against them are dealt with in accordance with 403(e)
(h) Registered foreign lawyers / foreign lawyers comply with the Code
(i) Fee notes are sent promptly and pursued efficiently
(j) Every member has a Practising Certificate
404.3 Regard to Bar Council guidance when carrying out 404.2.
Fees & Remuneration
405 Basis on which self-employed barristers can charge for work.
406.1 Payment of fees to other barristers.
This section sets out the rules governing Employed Barristers.
501 To whom an employed barrister can supply legal services when employed:
(a) by a company
(b) by a public authority
(c) as a justices clerk
(d) by a trade association
502 When employed barristers may offer services to the public:
(a) when employed by a solicitor or authorised litigator
(b) by the Legal Services Commission
(c) by a Legal Advice Centre
(d) when supplying legal services free of charge
503 Requirements for supplying legal services under a contract for services.
504 Right to conduct litigation
Part VI - Acceptance and Return of Instructions
This section deals with the occasion on which barristers are required to accept instructions (the “Cab Rank rule”), when they are required to refuse or withdraw from a case and when they may choose to refuse or withdraw from a case.
601 A barrister cannot withhold advocacy services:
(a) if nature of case is objectionable
(b) opinion/belief of prospective client unacceptable to the barrister
(c) on the basis of any financial support given to the prospective client
602.The Cab-Rank Rule and when it applies.
603 When a barrister must not accept instruction:
(a) lacks sufficient experience/competence
(b) does not have adequate time to properly prepare
(c) instructions seek to limit barrister’s discretion as to how to conduct the proceedings
(d) the barrister is likely to be a witness / has difficulty maintaining professional independence / cause the administration of justice to be, or appears to be, prejudiced
(e) conflict of interest
(f) risk of a breach of confidentiality
(g) non-compliance with the Terms of Work on which Barristers offer their Services to the Solicitor / Withdrawal of Credit Scheme 1988
(h) liability exceeds indemnity insurance
604 When (subject to Paragraph 601) a barrister is not obliged to accept instructions:
(a) work outside of his ordinary working year
(b) other than at a proper fee
(c) work under a conditional fee agreement
(d) save when funded by the Legal Services Commission / Community Legal Service / Criminal Defence Service
(i) unless and until fee is agreed
(ii) if required fee to be paid before accepting instruction – fee is not then paid
(e) in a licensed access matter where lay client is also the professional client
(f) where the lay client is also the professional client
(g) to do any work under contractual terms
605 When a self-employed Queen’s Counsel is not obliged to accept instructions
608 When a barrister must cease to act and return instructions.
(a) witness on a material question of fact
(b) if acting for more than one client and they do not consent to him continuing to act
(i) conflict or risk of conflict
(ii) risk of a breach of confidence
(c) funding wrongly obtained
(d) refusal of client to permit disclosure of barrister to the court
(e) where a barrister becomes aware of documents which should have been disclosed on discovery and the client fails to the disclose it
(f) disclosure of documents
609 (Subject to Paragraph 610) When a barrister may withdraw from a case:
(a) instructions withdrawn
(b) professional conduct impugned
(c) advice given in accordance with Paragraph 607 or 703 has not been heeded
(d) some other substantial reason
Part VII – Conduct of Work by Practising Barristers
This section contains the duties of barristers when conducting work, including the general duties to act courteously and promptly, the duty of confidentiality, duties where there is a conflict between clients, duties when drafting documents and appearing in court, the rules concerning contact with witnesses and media comment and advertising.
701 Duty of a barrister:
(a) to act courteously and promptly
(b) not to undertake a task which:
(i) not competent to handle
(ii) does not have adequate time to prepare for
(iii) cannot be discharged within time requested
(c) duty to read instructions promptly
(d) duty to have regard to Written Standards for the Conduct of Professional Work produced by the Bar Council
(e) subject to Paragraph 610, duties to return instructions or to another barrister if:
(i) unable to complete work within the time requested
(ii) if there is a risk that they may unable to undertake the brief or fulfil a professional engagement
(f) a duty to keep adequate records supporting the fees charged or claimed in a case
703 Conflicts between lay clients and intermediaries
704 Drafting documents, duty not to include
(a) unsupported statements of facts/contention
(b) contentions not properly arguable
(c) allegations of fraud
(d) statements other than those that the witness/client would give.
705 Duties governing contact with witnesses
706 Dispensing with the attendance of the professional client
707 When a barrister may interview witnesses and take proofs of evidence.
708 Duties when conducting proceedings in court.
(a) personal responsibility for conduct of his case
(b) assertion of a personal opinion of the facts or the law
(c) inform the Court of all relevant authorities
(d) inform the Court of any procedural irregularity
(e) must not adduce evidence other than from the client or devise facts
(f) properly arguable submission
(g) scandalous statements / vilifying witnesses
(h) impugning third parties by naming in Court
(i) impugning a witness
(j) suggestion that a victim/witness or other person is guilty of crime, fraud or misconduct or making defamatory aspersions
710.1 What advertising or promotion may include.
710.2 Advertising or promotion must not:
(a) be inaccurate/misleading
(b) diminish public confidence in the legal profession or the administration of justice
(c) be comparative
(d) contain success rates
(e) indicate willingness to accept instructions / restrict instructions
(f) be frequent/obtrusive
This section sets out miscellaneous provisions concerning pupillage, working at a Legal Advice Centre, dual qualification and relationships with foreign lawyers.
801 Responsibilities of a barrister who is a pupil.
803.1 Pupil barristers as members of chambers.
803.2 Barrister who is a pupil of an employed barrister.
804 Duties of a pupil supervisor.
805 Payment by a barrister to a pupil for work done by him.
806 Supplying legal services at a Legal Advice Centre
807 Barristers employed by a Legal Advice Centre – prohibitions.
808.1
808.2 Dual qualification
808.3
808.4
This section sets out the duty to inform the Bar Council in the event of criminal convictions, bankruptcy etc and the duties concerning the complaints procedure.
901 Non-compliance with the Code – professional misconduct/written warnings/financial penalties.
903 Annexes of the Code dealing with the complaints and disciplinary system.
904 Redress to the client for inadequate professional service.
905 Duties of a practising barrister to:
(a)
(i) respond promptly to the Bar Council
(ii) permit the Bar Council to inspect premises from which they practise
(b) duty to report being charged or convicted of a serious criminal offence or convicted of a disciplinary offence
(c) duties regarding bankruptcy and directors disqualification proceedings
(d) duty to respond promptly to correspondence from the Bar Council relating to a complaint or to circumstances relating to Paragraph 905(b)-(c)
(e) duty to respond to letter of notification or request to attend before any tribunal panel body or person
(f) duty to comply with any decision of a tribunal body or person
This section contains the definition of terms used in the Code.
Part XI - Transitional Provisions
This section contains the transitional arrangements affecting people who were barristers before this edition of the Code came into force.
The Code also contains various annexes, which set out the rules for particular situations.
