1.1 Consequences of failure to comply with your ethical duties

Question 1

What are the purposes of sanctions ordered by the Bar Tribunals Adjudication Service (BTAS)?

Answer 1

Bolton v Law Society (1994) 1 WLR 512
1.
to prevent reoffending; and
2.
to maintain the reputation of the profession.

Question 2

What are the steps in investigating allegations against barristers?

Answer 2

1.
Initial assessment by the BSB’s Contact and Assessment Team.
2.
Formal investigation (if appropriate) by the Investigations and Enforcement Team (EAT).
3.
Minor rule breaches: decision by EAT whether to dismiss or impose administrative sanction.

Serious misconduct: decision by the Independent Decision-making Body whether to dismiss, sanction administratively, determine by consent or refer to BTAS.
4.
Determination by consent or BTAS disciplinary tribunal decision (where appropriate).

Question 3

What is an administrative sanction?

Answer 3

A less sanction which does not result in a disciplinary record. Imposed for minor breaches of the rules.

(Maximum fine: £1,000.)

Question 4

What is determination by consent?

Answer 4

A voluntary and quicker process than a tribunal which still enables formal disciplinary sanctions to be imposed. It is carried out by the IDB.

Question 5

What sanction can be imposed by consent?

Answer 5

1.
fines
2.
reprimands
3.
advice
4.
further training

Question 6

What are the five criteria for determination by consent to be available?

Answer 6

1.
There is a realistic prospect of a finding of professional misconduct being made;
2.
There are no substantial disputes of fact;
3.
It is serious enough that the complaint cannot be dismissed or no further action taken;
4.
It is in the public interest to resolve the complaint using determination by consent; and
5.
If the alleged professional misconduct is admitted or proved, it would not warrant a period of suspension, a disqualification order, or disbarment (bearing in mind the barrister’s previous disciplinary history, if any).

Question 7

What is the standard of proof to show misconduct at a BTAS tribunal?

Answer 7

The balance of probabilities (since 1 April 2019).

It used to be beyond reasonable doubt.

Question 8

What sanctions can the BTAS Disciplinary Tribunal impose?

Answer 8

1.
disbarment
2.
suspension
3.
an order not to use the barrister's practising certificate
4.
a fine of up to £50,000