7. You and your practice

Question 1

What must you do in respect of insurance?

Answer 1

You MUST:

.1 ensure that you have adequate insurance (taking into account the nature of your practice) which covers all the legal services you supply to the public; and

.2 if you are a BSB authorised person or a manager of a BSB entity then in the event that the Bar Standards Board, by any notice it may from time to time issue under this Rule C76, stipulates a minimum level of insurance and/or minimum terms for the insurance which must be taken out by BSB authorised persons, you must ensure that you have or put in place within the time specified in such notice, insurance meeting such requirements as apply to you.

Where you are acting as a self-employed barrister, you must be a member of BMIF, unless:

.1 you are a pupil who is covered by your pupil supervisor’s insurance; or

.2 you were called to the Bar under Rule Q25, in which case you must either be insured with BMIF or be covered by insurance against claims for professional negligence arising out of the supply of your services in England and Wales in such amount and on such terms as are currently required by the Bar Standards Board, and have delivered to the Bar Standards Board a copy of the current insurance policy, or the current certificate of insurance, issued by the insurer.

Question 2

Must you be a member of the Bar Mutual Indemnity Fund (BMIF)?

Answer 2

Where you are acting as a self-employed barrister, you must be a member of BMIF, unless:

.1 you are a pupil who is covered by your pupil supervisor’s insurance; or

.2 you were called to the Bar under Rule Q25 (Qualified Foreign Lawyer), in which case you must either be insured with BMIF or be covered by insurance against claims for professional negligence arising out of the supply of your services in England and Wales in such amount and on such terms as are currently required by the Bar Standards Board, and have delivered to the Bar Standards Board a copy of the current insurance policy, or the current certificate of insurance, issued by the insurer.

Question 3

What msut you do if you are a member of BMIF?

Answer 3

You MUST:

.1 pay promptly the insurance premium required by BMIF; and

.2 supply promptly such information as BMIF may from time to time require pursuant to its rules.

Question 4

Where you work in a BSB entity, how will you satisfy the insurance requirements?

Answer 4

Where you are working in a BSB entity, you will satisfy the requirements of Rule rC76.1 so long as the BSB entity has taken out insurance, which covers your activities. A BSB entity will have to confirm each year that it has reviewed the adequacy of its insurance cover on the basis of a risk analysis and that they have complied with this rule.

Question 5

Where can you find the minimum level of insurance notices?

Answer 5

On the BSB website

Question 6

What must the insurance cover?

Answer 6

The Bar Standards Board’s requirements in respect of professional indemnity insurance, including the minimum terms, are concerned with ensuring consumer protection, specifically that there is adequate cover for liabilities which BSB regulated persons may incur to their clients or other parties to whom they may owe duties when performing their legal services. This includes claims for contribution which third parties, such as instructing solicitors, may make on the basis that the BSB regulated person has such a liability to a mutual client.

However, Rule C76.1 of the Handbook does not require BSB regulated persons to carry insurance for other types of liability, which do not relate to their liabilities towards consumers, such as a contractual liability to instructing solicitors in respect of losses incurred by the solicitor that are not based on any liability the solicitor has in turn incurred to the client.

Question 7

What should you do re areas of practice in which you do not ‘MUST’ have insurance?

Answer 7

You should assess your level of risk in this area to determine whether such protection is necessary.

You should also ensure that you are aware of and comply with any general legal requirements for you to carry other types of insurance than professional indemnity cover.

Question 8

What should a barrister consider in respect of excluding or limiting liability?

Answer 8

BSB regulated persons considering excluding or limiting liability should consider carefully the ramifications of the Unfair Contract Terms Act 1977 and other legislation and case law. If a BSB regulated person is found by the court to have limited liability in a way which is in breach of the Unfair Contract Terms Act, that might amount to professional misconduct.

Question 9

What should the barrister regularly do in respect of their insurance?

Answer 9

BSB regulated persons should regularly review the amount of their professional indemnity insurance cover, taking into account the type of work which they undertake and the likely liability for negligence

Question 10

What should the barrister keep in mind about their insurance?

Answer 10

They should be aware that claims can arise many years after the work was undertaken and that they would be prudent to maintain adequate insurance cover for that time since cover operates on a “claims made” basis and as such it is the policy and the limits in force at the time a claim is made that are relevant, not the policy and limits in force when the work was undertaken.

Question 11

When a barrister stops practising, do they still need insurance?

Answer 11

They should also bear in mind the need to arrange run-off cover if they cease practice.

Question 12

When you are working in an authorised (non-BSB) body, what regulator will determine (if any) what insurance the body must have?

Answer 12

the rules of the approved regulator of that body will determine what insurance the authorised (non-BSB) body must have.

Question 13

Do you need insurance if you provide legal services only to your employer?

Answer 13

Where you are working as an employed barrister (non-authorised body), the rule does not require you to have your own insurance if you provide legal services only to your employer.

Question 14

Do you need insurance where you are employed and then offer legal advice to others?

Answer 14

If you supply legal services to other people (to the extent permitted by the Scope of Practice and Authorisation, and Licensing Rules set out at Section S.B you should consider whether you need insurance yourself having regard to the arrangements made by your employer for insuring against claims made in respect of your services.

If your employer already has adequate insurance for this purpose, you need not take out any insurance of your own. You should ensure that your employer’s policy covers you, for example, for any pro-bono work you may do.

Question 15

Do you need insurance in the UK if you are a reigstered European?

Answer 15

.1 you provide to the Bar Standards Board evidence to show that you are covered by insurance taken out or a guarantee provided in accordance with the rules of your home State; and

.2 the Bar Standards Board is satisfied that such insurance or guarantee is fully equivalent in terms of conditions and extent of cover to the cover required pursuant to Rule rC76.

However, where the Bar Standards Board is satisfied that the equivalence is only partial, the Bar Standards Board may require you to arrange additional insurance or an additional guarantee to cover the elements which are not already covered by the insurance or guarantee contracted by you in accordance with the rules of your home state

Question 16

What should you remember when you outsource any legal services in respect of which you are instructed?

Answer 16

.1 any outsourcing does not alter your obligations to your client;

.2 you remain responsible for compliance with your obligations under this Handbook in respect of the legal services;

.3 you must ensure that such outsourcing is subject to contractual arrangements which ensure that such third party:

.a is subject to confidentiality obligations similar to the confidentiality obligations placed on you in accordance with this Handbook;

.b complies with any other obligations set out in this Code of Conduct which may be relevant to or affected by such outsourcing;

.c processes any personal data in accordance with your instructions;

.d is required to allow the Bar Standards Board or its agent to obtain information from, inspect the records (including electronic records) of, or enter the premises of such third party in relation to the outsourced activities or functions, and;

.e processes any personal data in accordance with those arrangements, and for the avoidance of doubt, those arrangements are compliant with any relevant data protection laws.

This applies to the outsourcing of clerking services.

This does not apply where the client enters into a separate agreement with the third party or where you instruct a pupil or devil.

Question 17

What steps must you take in respect of your practice?

Answer 17

You must take reasonable steps to ensure that:
.1 your practice is efficiently and properly administered having regard to the nature of your practice; and
.2 proper records of your practice are kept.

When deciding how long records need to be kept, you will need to take into consideration various requirements, such as those of this Handbook (see, for example, Rules C108, C129 and C141), any relevant data protection law and HM Revenue and Customs. You may want to consider drawing up a Records Keeping policy to ensure that you have identified the specific compliance and other needs of your practice.

Question 18

Do you need a records keeping policy?

Answer 18

No, it is only a suggestion.

When deciding how long records need to be kept, you will need to take into consideration various requirements, such as those of this Handbook (see, for example, Rules C108, C129 and C141), any relevant data protection law and HM Revenue and Customs. You may want to consider drawing up a Records Keeping policy to ensure that you have identified the specific compliance and other needs of your practice.

Question 19

What must you keep records about?

Answer 19

You must:

.1 ensure that adequate records supporting the fees charged or claimed in a case are kept at least until the later of the following:

.a your fees have been paid; and

.b any determination or assessment of costs in the case has been completed and the time for lodging an appeal against that assessment or determination has expired without any such appeal being lodged, or any such appeal has been finally determined;

.2 provide your client with such records or details of the work you have done as may reasonably be required for the purposes of verifying your charges.

Question 20

What must you inform the client about when you are instructed re complaints?

Answer 20

You must notify clients in writing when you are instructed, or, if that is if not practicable, at the next appropriate opportunity:

.1 of their right to make a complaint, including their right to complain to the Legal Ombudsman (if they have such a right), how, and to whom, they can complain, and of any time limits for making a complaint;

.2 if you are doing referral work, that the lay client may complain directly to chambers or the BSB entity without going through solicitors.

Question 21

Does the intermediary, if there is one, need to be informed about any complaints procedure?

Answer 21

If you are doing public access, or licensed access work using an intermediary, the intermediary must similarly be informed.

Question 22

Do you need to give a professional client the information about complaints in a separate letter?

Answer 22

If you are doing referral work, you do not need to give a professional client the information set out in Rules rC99.1 and rC99.2, in a separate, specific letter.

It is enough to provide it in the ordinary terms of reference letter (or equivalent letter) which you send when you accept instructions in accordance with Rule rC21.

Question 23

If you do not send a letter of engagement to a client with the complaints process information, what should you do?

Answer 23

If you do not send a letter of engagement to a lay client in which this information can be included, a specific letter must be sent to them giving them the information set out at Rules rC99.1 and rC99.2.

Question 24

What must each chambers/BSB entitites/self employed barrister’s website display re complaints?

Answer 24

.1 on the homepage, the text “regulated by the Bar Standards Board” (for sole practitioners) or “barristers regulated by the Bar Standards Board” (for chambers) or ”authorised and regulated by the Bar Standards Board” (for BSB entities); and

.2 in a sufficiently accessible and prominent place:

.a information about their complaints procedure, any right to complain to the Legal Ombudsman, how to complain to the Legal Ombudsman and any time limits for making a complaint;

.b a link to the decision data on the Legal Ombudsman’s website; and

.c a link to the Barristers’ Register on the BSB’s website.

.3 All e-mail and letterheads from self-employed barristers and BSB entities, their managers and employees must state “regulated by the Bar Standards Board” (for self-employed barristers) or “authorised and regulated by the Bar Standards Board” (for BSB entities).

.4 Self-employed barristers, chambers and BSB entities must have regard to guidance published from time to time by the Bar Standards Board in relation to redress transparency.

Question 25

What should a barrister do if a complaint is received?

Answer 25

All complaints must be acknowledged promptly. When you acknowledge a complaint, you must give the complainant:

.1 the name of the person who will deal with the complaint and a description of that person’s role in chambers or in the BSB entity (as appropriate);

.2 a copy of the chambers’ complaints procedure or the BSB entity’s Complaints Procedure (as appropriate);

.3 the date by which the complainant will next hear from chambers or the BSB entity (as appropriate).

Question 26

What must happen when a person’s complaint against you has been dealt with?

Answer 26

When chambers or a BSB entity (as appropriate) has dealt with the complaint, complainants must be told in writing of their right to complain to the Legal Ombudsman (where applicable), of the time limit for doing so, and how to contact them.

Question 27

What should barristers do regarding documents related to complaints?

Answer 27

All communications and documents relating to complaints must be kept confidential. They must be disclosed only so far as is necessary for:

.1 the investigation and resolution of the complaint;

.2 internal review in order to improve chambers’ or the BSB entity’s (as appropriate) handling of complaints;

.3 complying with requests from the Bar Standards Board in the exercise of its monitoring and/or auditing functions.

Question 28

Do internal documents related to the handling of the complaint need to be disclosed to the BSB for further resolution or investigation of the complaint?

Answer 28

The disclosure to the Bar Standards Board of internal documents relating to the handling of the complaint (such as the minutes of any meeting held to discuss a particular complaint) for the further resolution or investigation of the complaint is NOT required.

Question 29

What should barristers do re record keeping on complaints

Answer 29

A record must be kept of each complaint, of all steps taken in response to it, and of the outcome of the complaint. Copies of all correspondence, including electronic mail, and all other documents generated in response to the complaint must also be kept. The records and copies should be kept for 6 years from resolution of the complaint.

Question 30

What annual reporting function is there for complaints?

Answer 30

The person responsible for the administration of the procedure must report at least annually to either:

.1 the HOLP; or

.2 the appropriate member/committee of chambers,

on the number of complaints received, on the subject areas of the complaints and on the outcomes. The complaints should be reviewed for trends and possible training issues.

Question 31

What are the outcomes relevant to public access?

Answer 31

oC30
Barristers undertaking public access or licensed access work have the necessary skills and experience required to do work on that basis.
oC31
Barristers undertaking public access or licensed access work maintain appropriate records in respect of such work.
oC32
Clients only instruct via public access when it is in their interests to do so and they fully understand what is expected of them.

Question 32

What are ‘public access’ clients?

Answer 32

Clients instructed directly by a lay client (other than a licensed access client) without instructing a solicitor or other professional client

Question 33

What must a barrister wishing to undertake public access work do?

Answer 33

Before accepting any public access instructions from or on behalf of a public access client, you must:

.1 be properly qualified by having been issued with a full practising certificate, by having satisfactorily completed the appropriate public access training, and by registering with the Bar Standards Board as a public access practitioner;

.3 take such steps as are reasonably necessary to ensure that the client is able to make an informed decision about whether to apply for legal aid or whether to proceed with public access.

Question 34

A barrister who has completed all relevant requirements for public access but is of less than three years standing must comply with what?

Answer 34

As a barrister with less than three years’ standing who has completed the necessary training you must have a barrister who is a qualified person within Rule S22 and has registered with the Bar Standards Board as a public access practitioner readily available to provide guidance to you.

Question 35

When may you not accept instructions from a public access client?

Answer 35

if in all the circumstances, it would be in the best interests of the public access client or in the interests of justice for the public access client to instruct a solicitor or other professional client.

You must have regard to guidance published from time to time by the Bar Standards Board in considering whether to accept and in carrying out any public access instructions.

Question 36

What should you do if you accept a public access case but later form the view a professional client is needed?

Answer 36

In any case where you are not prohibited from accepting instructions, you must at all times consider the developing circumstances of the case, and whether at any stage it is in the best interests of the public access client or in the interests of justice for the public access client to instruct a solicitor or other professional client.

If, after accepting instructions from a public access client you form the view that circumstances are such that it would be in the best interests of the public access client, or in the interests of justice for the public access client to instruct a solicitor or other professional client you must:

.1 inform the public access client of your view; and

.2 withdraw from the case in accordance with the provisions of Rules rC25 and rC26 and associated guidance unless the client instructs a solicitor or other professional client to act in the case.

Question 37

Where you accept public access instructions, what should you inform the client?

Answer 37

Having accepted public access instructions, you must forthwith notify your public access client in writing, and in clear and readily understandable terms, of:

.1 the work which you have agreed to perform;

.2 the fact that in performing your work you will be subject to the requirements of Parts 2 and 3 of this Handbook and, in particular, Rules rC25 and rC26;

.3 unless authorised to conduct litigation by the Bar Standards Board, the fact that you cannot be expected to perform the functions of a solicitor or other person who is authorised to conduct litigation and in particular to fulfil obligations arising out of or related to the conduct of litigation;

.4 the fact that you are self-employed, are not employed by a regulated entity and (subject to Rule S26) do not undertake the management, administration or general conduct of a client’s affairs;

.5 in any case where you have been instructed by an intermediary:

.a the fact that you are independent of and have no liability for the intermediary; and

.b the fact that the intermediary is the agent of the lay client and not your agent;

.6 the fact that you may be prevented from completing the work by reason of your professional duties or conflicting professional obligations, and what the client can expect of you in such a situation;

.7 the fees which you propose to charge for that work, or the basis on which your fee will be calculated;

.8 your contact arrangements; and

.9 the information about your complaints procedure required by D1.1 of this Part 2.

Question 38

How can a barrister easily comply with the rule regarding what to inform a public access client about?

Answer 38

Save in exceptional circumstances, where the client has been written to in the terms of the model letters on the BSB website

Question 39

Where you have been instructed on a public access basis, who should you give the required information to where there is a lay client and an intermediary?

Answer 39

Both persons

Question 40

Having accepted public access instructions, what things should you keep as a case record?

Answer 40

Having accepted public access instructions, you must keep a case record which sets out:

.1 the date of receipt of the instructions, the name of the lay client, the name of the case, and any requirements of the client as to time limits;

.2 the date on which the instructions were accepted;

.3 the dates of subsequent instructions, of the despatch of advices and other written work, of conferences and of telephone conversations; and

.4 when agreed, the fee.

Question 41

Having accepted public access instructions, what should you retain after the last piece of work is done and for how long should you?

Answer 41

Having accepted public access instructions, you must either yourself retain or take reasonable steps to ensure that the lay client will retain for at least seven years after the date of the last item of work done:

.1 copies of all instructions (including supplemental instructions);

.2 copies of all advices given and documents drafted or approved;

.3 the originals, copies or a list of all documents enclosed with any instructions; and

.4 notes of all conferences and of all advice given on the telephone.

Question 42

What rule is there on keeping/copying documents in public access cases?

Answer 42

Save where otherwise agreed:

.1 you shall be entitled to copy all documents received from your lay client, and to retain such copies;

.2 you shall return all documents received from your lay client on demand, whether or not you have been paid for any work done for the lay client; and

.3 you shall not be required to deliver to your lay client any documents drafted by you in advance of receiving payment from the lay client for all work done for that client.

Question 43

Where may a barrister accept instructions from a licensed access client?

Answer 43

a barrister in self-employed practice may accept instructions from a licensed access client in circumstances authorised in relation to that client by the Licensed Access Recognition Regulations (which are available on the BSB’s website) whether that client is acting for themselves or another.

Question 44

When may you accept instructions from a licensed access client?

Answer 44

You are only entitled to accept instructions from a licensed access client if at the time of giving instructions the licensed access client:

.1 is identified; and

.2 you ensure that the licensed access client holds a valid Licence issued by the Bar Standards Board (either by requiring the licensed access client to send you a copy of the Licence, or referring to the list of licensed access clients published on the Bar Standards Board website). This does not apply to those in Schedule 1 of the rules (professional associations, like the Royal Society for Engineers) or Schedule 2 (Ombudsmans)

Question 45

When must you not accept instructions from a licensed access client?

Answer 45

You must not accept any instructions from a licensed access client:

.1 unless you are able to provide the services required of you by that licensed access client;

.2 if you consider it in the interests of the lay client or the interests of justice that a solicitor or other person who is authorised to conduct litigation or some other appropriate intermediary (as the case may be) be instructed either together with you or in your place.

Question 46

What should you do re the terms you have agreed with the licensed access client if they are standard terms?

Answer 46

If you agree standard terms with a licensed access client, you must keep a copy of the agreement in writing with the licensed access client setting out the terms upon which you have agreed and the basis upon which you are to be paid.

Question 47

If you accept licensed access instructions, what should you do?

Answer 47

Having accepted instructions from a licensed access client, you must promptly send the licensed access client:

.1 a statement in writing that the instructions have been accepted (as the case may be) on the standard terms previously agreed in writing with that licensed access client; or

.2 if you have accepted instructions otherwise than on such standard terms, a copy of the agreement in writing with the licensed access client setting out the terms upon which you have agreed to do the work and the basis upon which you are to be paid; and

.3 unless you have accepted instructions on standard terms which incorporate the following particulars must at the same time advise the licensed access client in writing of:

.a the effect of rC21 as it relevantly applies in the circumstances;

.b unless authorised by the Bar Standards Board to conduct litigation, the fact that you cannot be expected to perform the functions of a solicitor or other person who is authorised to conduct litigation and in particular to fulfil obligations arising out of or related to the conduct of litigation; and

.c the fact that circumstances may require the client to retain a solicitor or other person who is authorised to conduct litigation at short notice and possibly during the case.

Question 48

Having accepted licensed access instructions, you decide it would be in the interests of the client that a professional client/intermediary, what should you do?

Answer 48

If at any stage you, being instructed by a licensed access client, consider it in the interests of the lay client or the interests of justice that a solicitor or other person who is authorised to conduct litigation or some other appropriate intermediary (as the case may be) be instructed either together with you or in your place:

.1 you must forthwith advise the licensed access client in writing to instruct a solicitor or other person who is authorised to conduct litigation or other appropriate intermediary (as the case may be); and

.2 unless a solicitor or other person who is authorised to conduct litigation or other appropriate intermediary (as the case may be) is instructed as soon as reasonably practicable thereafter you must cease to act and must return any instructions.

Question 49

What should you do where you believe the licensed access client has failed to comply with their license?

Answer 49

If at any stage you, being instructed by a licensed access client, consider that there are SUBSTANTIAL GROUNDS for believing that the licensed access client has in some significant respect failed to comply with the terms of the Licence granted by the Bar Standards Board you must forthwith report the facts to the Bar Standards Board.

This does not apply to those in Schedule 1 of the rules (professional associations, like the Royal Society for Engineers) or Schedule 2 (Ombudsmans)

Question 50

What should you do re a case record for licensed access clients?

Answer 50

Having accepted instructions from a licensed access client, you must keep a case record which sets out:

.1 the date of receipt of the instructions, the name of the licensed access client, the name of the case, and any requirements of the licensed access client as to time limits;

.2 the date on which the instructions were accepted;

.3 the dates of subsequent instructions, of the despatch of advices and other written work, of conferences and of telephone conversations; and

.4 when agreed, the fee.

Question 51

What should you retain after completing the last piece of work for a licensed access client and for how long?

Answer 51

Having accepted instructions from a licensed access client, you must either yourself retain or take reasonable steps to ensure that the licensed access client will retain for seven years after the date of the last item of work done:

.1 copies of instructions (including supplemental instructions);

.2 copies of all advices given and documents drafted or approved;

.3 a list of all documents enclosed with any instructions; and

.4 notes of all conferences and of all advice given on the telephone.

Question 52

What are the relevant outcomes for unregistered barristers?

Answer 52

Clients who receive legal services from unregistered barristers are aware that such unregistered barristers are not subject to the same regulatory safeguards that would apply if they instructed a practising barrister.

Question 53

Where you supply legal services as an unregistered barrister, what should you do?

Answer 53

If you are an unregistered barrister and you supply legal services (other than as provided for in Rule rC145) to any inexperienced client then, before supplying such services:

.1 you must explain to the client that:

.a (unless you are supplying legal services pursuant to Rule S12) you are not acting as a barrister;

.b you are not subject to those parts of the Code of Conduct and other provisions of this Handbook which apply only to BSB authorised persons;

.c the Bar Standards Board will only consider reports about you which concern the Core Duties or those parts of the Code of Conduct and other provisions of this Handbook which apply to you;

.d (unless you are covered by professional indemnity insurance) you are not covered by professional indemnity insurance;

.e they have the right to make a complaint, how they can complain, to whom, of any time limits for making a complaint but that they have no right to complain to the Legal Ombudsman about the services you supply; and

.f in respect of any legal advice you provide, there is a substantial risk that they will not be able to rely on legal professional privilege.

.2 you must get written confirmation from the client that you have given this explanation.

For the purposes of this Rule rC144, an inexperienced client includes any individual or other person who would, if you were a BSB authorised person, have a right to bring a complaint pursuant to the Legal Ombudsman Scheme Rules.

Question 54

For the purpose of determining whether the rule on informing the client as an unregistered barrister applies, who is a person entitled to claim to the legal ombudsman?

Answer 54

For the purposes of determining whether Rule rC144 applies, the people who would be entitled to complain to the Legal Ombudsman if you were a BSB authorised person are:

.1 an individual; or

.2 a business or enterprise that was a micro-enterprise within the meaning of Article 1 and Article 2(1) and (3) of the Annex to Commission Recommendation 2003/361/EC (broadly a business or enterprise with fewer than 10 employees and turnover or assets not exceeding €2 million), when it referred the complaint to you; or

3 a charity with an annual income net of tax of less than £1 million at the time at which the complainant refers the complaint to you; or

.4 a club, association or organisation, the affairs of which are managed by its members or a committee of its members, with an annual income net of tax of less than £1 million at the time at which the complainant refers the complaint to you; or

.5 a trustee of a trust with an asset value of less than £1 million at the time at which the complainant refers the complaint to you; or

.6 a personal representative or beneficiary of the estate of a person who, before they died, had not referred the complaint to the Legal Ombudsman.

Question 55

When does the rule about informing the client about being an unregistered barrister not apply?

Answer 55

rC144 does not apply to you if you supply legal services:

.1 as an employee or manager of a regulated entity;

.2 as an employee or manager of a body subject to regulation by a professional body or regulator;

.3 as provided for in Section S.B9 (Legal Advice Centres);

.4 pursuant to an authorisation that you have obtained from another approved regulator; or

.5 in accordance with Rules S13 and S14.

Question 56

What other guidance is there on unregistered barrister disclosures?

Answer 56

There is some guidance on the website

Question 57

What are the outcome for the price and transparency rules?

Answer 57

Clients are provided with appropriate information to help them make informed choices and understand the price and service they will receive.

Question 58

What must websites of barristers, chambers, and BSB entities show?

Answer 58

Each website of self-employed barristers, chambers and BSB entities must, in a sufficiently accessible and prominent place:

.1 state that professional, licensed access and/or lay clients (as appropriate) may contact the barrister, chambers or BSB entity to obtain a quotation for legal services and provide contact details. Quotations must be provided if sufficient information has been provided by the client, and the barrister, barristers in chambers or BSB entity would be willing to provide the legal services. Quotations must be provided within a reasonable time period, and in clear and readily understandable terms;

.2 state their most commonly used pricing models for legal services, such as fixed fee or hourly rate. Where different models are typically used for different legal services, this must be explained;

.3 state the areas of law in which they most commonly provide legal services, and state and describe the legal services which they most commonly provide, in a way which enables clients to sufficiently understand the expertise of the barrister, chambers or BSB entity; and

.4 provide information about the factors which might influence the timescales of their most commonly provided legal services.

ALSO THIS:

.1 on the homepage, the text “regulated by the Bar Standards Board” (for sole practitioners) or “barristers regulated by the Bar Standards Board” (for chambers) or ”authorised and regulated by the Bar Standards Board” (for BSB entities); and

.2 in a sufficiently accessible and prominent place:

.a information about their complaints procedure, any right to complain to the Legal Ombudsman, how to complain to the Legal Ombudsman and any time limits for making a complaint;

.b a link to the decision data on the Legal Ombudsman’s website; and

.c a link to the Barristers’ Register on the BSB’s website.

.3 All e-mail and letterheads from self-employed barristers and BSB entities, their managers and employees must state “regulated by the Bar Standards Board” (for self-employed barristers) or “authorised and regulated by the Bar Standards Board” (for BSB entities).

.4 Self-employed barristers, chambers and BSB entities must have regard to guidance published from time to time by the Bar Standards Board in relation to redress transparency.

Question 59

Do barristers/chambers/BSB entities need to review their website content? If so, how frequently?

Answer 59

Yes. All self-employed barristers, chambers and BSB entities must review their website content at least annually to ensure that it is accurate and complies with the transparency requirements referred to in Rules C103, C159 and where applicable, Rules C164 – C168.

Question 60

Where barristers have put on their website the information required by the BSB, would they ever need to provide this information to anyone else?

Answer 60

Yes.

Self-employed barristers, chambers and BSB entities must comply with the transparency requirements referred to in Rules C103, C159 and where applicable, Rules C164 – C168 by ensuring the required information is readily available in alternative format. This must be provided on request (for example, if they do not operate a website, or a client or prospective client does not have Internet access).

Question 61

If a barister/chambers/BSB entity changes their website, do they need to tell the BSB? If so, by when?

Answer 61

Yes. Within 28 days of the creation of change.

Question 62

Do barrristers/chambers/BSB entities need to have regard to any guidance on price transparency?

Answer 62

Yes, there is some.

Question 63

In relation to their website, what do barristers/chambers/entities undertaking public access work need to do?

Answer 63

They must in a sufficiently accessible and prominent place display a link to the Public Access Guidance for Lay Clients on the BSB’s website.

They also must comply with the Bar Standards Board’s price transparency policy statement insofar as it applies to them.

Self-employed barristers undertaking public access work and/or their chambers, and BSB entities supplying legal services directly to the public, are required by the Bar Standards Board’s price transparency policy statement to provide price information in relation to certain legal services in certain circumstances. In relation to those legal services and in those circumstances, each website of self-employed barristers undertaking public access work and/or their chambers, and BSB entities supplying legal services directly to the public, must in a sufficiently accessible and prominent place:

.1 state their pricing model(s), such as fixed fee or hourly rate;

.2 state their indicative fees and the circumstances in which they may vary. For example, a fixed fee and the circumstances in which additional fees may be charged, or an hourly rate by seniority of barrister;

.3 state whether their fees include VAT (where applicable); and

.4 state likely additional costs, what they cover and either the cost or, if this can only be estimated, the typical range of costs.

The information about fees can be stated in these ways, dependent upon their status:

.1 a sole practitioner must provide price information in relation to them as an individual barrister;

.2 a BSB entity must provide price information in relation to the entity; and

.3 a chambers may provide price information either in relation to (1) individual barristers, or (2) barristers in chambers in the form of ranges or average fees.

they also must:
.1 state and describe the legal services, including a concise statement of the key stages, in a way which enables clients to sufficiently understand the service of the sole practitioner, barristers in chambers or BSB entity; and

.2 provide an indicative timescale for the key stages of the legal services.

Question 64

What do barristers/chambers/entities need to do in regard to their website and their fee arrangements?

Answer 64

Self-employed barristers undertaking public access work and/or their chambers, and BSB entities supplying legal services directly to the public, are required by the Bar Standards Board’s price transparency policy statement to provide price information in relation to certain legal services in certain circumstances. In relation to those legal services and in those circumstances, each website of self-employed barristers undertaking public access work and/or their chambers, and BSB entities supplying legal services directly to the public, must in a sufficiently accessible and prominent place:

.1 state their pricing model(s), such as fixed fee or hourly rate;

.2 state their indicative fees and the circumstances in which they may vary. For example, a fixed fee and the circumstances in which additional fees may be charged, or an hourly rate by seniority of barrister;

.3 state whether their fees include VAT (where applicable); and

.4 state likely additional costs, what they cover and either the cost or, if this can only be estimated, the typical range of costs.

In compliance with the requirements of Rule C166 above:

.1 a sole practitioner must provide price information in relation to them as an individual barrister;

.2 a BSB entity must provide price information in relation to the entity; and

.3 a chambers may provide price information either in relation to (1) individual barristers, or (2) barristers in chambers in the form of ranges or average fees.

Question 65

Where a barrister/chambers/BSB entity is asked to accept public access instructions on short notice, do they need to comply with the website requirements for public access?

Answer 65

In these circumstances, you are not required to comply with Rules C166 – C168 above before accepting the instructions. However, you must do so as soon as reasonably practicable after accepting the instructions.

Question 66

In what capacities can you provide reserved legal services/legal services?

Answer 66

.1 as a self-employed barrister, subject to the limitations imposed by Section 3.B3;

.2 as a BSB entity subject to the limitations imposed by Section 3.B4;
.3 as a manager of a BSB entity or as an employed barrister (BSB entity), subject to the limitations imposed by Section 3.B5;

.4 as a manager of an authorised (non-BSB) body or as an employed barrister (authorised non-BSB body), subject to the limitations imposed by Section 3.B6;

.5 as an employed barrister (non authorised body), subject to the limitations imposed by Section 3.B7; or

.6 as a registered European lawyer in any of the above capacities, in which case the equivalent limitations that would have applied if you were practising as a barrister shall apply to your practice as a registered European lawyer.

Question 67

Where you practise in a capacity allowed by the BSB, are the non-reserved legal services you provide also subject to BSB regulation?

Answer 67

Yes. Any other legal services you may supply in that same capacity will also be subject to regulation by the Bar Standards Board, even if unreserved.

Question 68

Can you practise in more than one capacity?

Answer 68

You may only practise or be involved with the supply of legal services (whether reserved legal activities or otherwise) in more than one of the capacities listed in Rule rS16 after:

.1 having obtained an amended practising certificate from the Bar Standards Board which recognises the capacities in respect of which you are intending to practise; and

.2 having agreed with each employer or regulated entity with which you are involved a protocol that enables you to avoid or resolve any conflict of interests or duties arising from your practice and/or involvement in those capacities,

and provided always that you do not work in more than one capacity in relation to the same case or issue for the same client, at the same time.

Question 69

What permission requirement do you need to fulfil before practising as a pupil?

Answer 69

If you are a pupil with a provisional practising certificate, you may only supply legal services to the public or exercise any right which you have by reason of being a barrister, if you have the permission of your pupil supervisor, or head of chambers or HOLP (as appropriate).

Question 70

What restriction do you need to meet if you are a barrister of less than three years standing?

Answer 70

if you are a barrister of less than three years’ standing, you may:

1 only supply legal services to the public or exercise any right of audience by virtue of authorisation by the Bar Standards Board; or

.2 only conduct litigation by virtue of authorisation by the Bar Standards Board,

if your principal place of practice (or if you are practising in a dual capacity, each of your principal places of practice) is either:

.a a chambers or an annex of chambers which is also the principal place of practice of a relevant qualified person who is readily available to provide guidance to you; or

.b an office of an organisation of which an employee, partner, manager or director is a relevant qualified person who is readily available to provide guidance to you.

EXCEPT where you are an employed barrister (non-authorised body) and only exercising a right of autidence/conducting litigation for them, in which case:

the place of practice from which you perform such duties is only required to be an office of an organisation of which an employee, partner, manager or director is a relevant qualified person who is readily available to provide guidance to you if you are of less than one year’s standing.

Question 71

For the purposes of the three years’ standing qualified person rule for supplying legal services to the public, who is a ‘qualified person’?

Answer 71

If they:

.a have been entitled to practise and have practised as a barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Qualification Rules) or as a person authorised by another Approved Regulator for a period (which need not have been as a person authorised by the same Approved Regulator) for at least six years in the previous eight years; and

.b for the previous two years have made such practice their primary occupation; and

.c are not acting as a qualified person in relation to more than two other people; and

.d has not been designated by the Bar Standards Board as unsuitable to be a qualified person.

Question 72

For the purposes of the three years’ standing qualified person rule for a barrister exercising a right of audience, who is a ‘qualified person’?

Answer 72

If they:

.i have been entitled to practise and have practised as a barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Qualification Rules) or as a person authorised by another Approved Regulator for a period (which need not have been as a person authorised by the same Approved Regulator) for at least six years in the previous eight years; and

.ii for the previous two years:

(1) have made such practice their primary occupation; and

(2) have been entitled to exercise a right of audience before every court in relation to all proceedings; and

.iii are not acting as a qualified person in relation to more than two other people; and

.iv have not been designated by the Bar Standards Board as unsuitable to be a qualified person.

Question 73

For the purposes of the three years’ standing qualified person rule for a barrister concducting litigation, who is a ‘qualified person’?

Answer 73

If they:

.i have been entitled to practise and have practised as a barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Qualification Rules) or as a person authorised by another Approved Regulator for a period (which need not have been as a person authorised by the same Approved Regulator) for at least six years in the previous eight years; and

.ii for the previous two years have made such practice their primary occupation; and

.iii are entitled to conduct litigation before every court in relation to all proceedings; and

.iv are not acting as a qualified person in relation to more than two other people; and

.v have not been designated by the Bar Standards Board as unsuitable to be a qualified person.

Question 74

What is the added requirement for barristers looking to conduct litigation where they are of less than three years’ standing?

Answer 74

If you are a practising barrister of less than three years’ standing and you are authorised to conduct litigation, you will need to work with a qualified person who is authorised to do litigation as well as with someone who meets the criteria for being a qualified person for the purpose of providing services to the public and exercising rights of audience. This may be, but is not necessarily, the same person.

Question 75

In which circumstances can you supply legal services as a self-employed barrister?

Answer 75

You may only supply legal services if you are appointed or instructed by the court or instructed:

.1 by a professional client (who may be an employee of the client) (including foreign lawyers); or

.2 by a licensed access client, in which case you must comply with the licensed access rules; or

.3 by or on behalf of any other client (including foreign clients), provided that:

.a the matter is public access instructions and:

.i you are entitled to provide public access work and the instructions are relevant to such entitlement; and

.ii you have notified the Bar Standards Board that you are willing to accept instructions from lay clients; and

.iii you comply with the public access rules; or

.b the matter relates to the conduct of litigation and

.i you have a litigation extension to your practising certificate; and

.ii you have notified the Bar Standards Board that you are willing to accept instructions from lay clients.

Question 76

Where you are instructed by a foreign lawyer as a self-employed barrister, what should you make clear to them?

Answer 76

You should advise them of any limitation of the service you can provide.

In particular, if conduct of litigation will be required, and you are not authorised to conduct litigation or have not been instructed to do so, you should advise the foreign lawyer to take appropriate steps to instruct a person authorised to conduct litigation and, if requested, assist the foreign lawyer to do so. If it appears to you that the foreign lawyer is not taking reasonable steps to instruct someone authorised to conduct litigation, then you should consider whether to return your instructions

Question 77

Where you have been instructed by a foreign lawyer as a self-employed barrister and you believe conduct of litigation is required and you are not authorised to do that, what should you do, having advised him to that effect, if he fails to take reasonable steps to instruct someone authorised to conduct litigation?

Answer 77

If it appears to you that the foreign lawyer is not taking reasonable steps to instruct someone authorised to conduct litigation, then you should consider whether to return your instructions

Question 78

In terms of the the scope of your practice, other than conduct of litigation e.c.t., what should you not undertake in the course of your practice?

Answer 78

you must not in the course of your practice undertake the management, administration or general conduct of a client’s affairs.

This has the following exception:

Nothing in Rule rS25 prevents you from undertaking the management, administration or general conduct of a client’s affairs where such work is foreign work performed by you at or from an office outside England and Wales which you have established or joined primarily for the purposes of carrying out that particular foreign work or foreign work in general.

Question 79

When you are acting as an employed barrister in a non-authorised body, when (i.e. under what person(s)’s instructions) are you able to supply legal services?

Answer 79

Subject to s. 15(4) of the Legal Services Act 2007, you may only supply legal services to the following persons:

.1 your employer;

.2 any employee, director or company secretary of your employer in a matter arising out of or relating to that person’s employment;

.3 if your employer is a public authority (including the Crown or a Government department or agency or a local authority), another public authority on behalf of which your employer has made arrangements under statute or otherwise to supply any legal services or to perform any of that other public authority’s functions as agent or otherwise;

.4 if you are employed by or in a Government department or agency, any Minister or Officer of the Crown;

.5 if you are employed by a trade association, any individual member of the association;

.6 if you are, or are performing the functions of, a Justices’ clerk, the Justices whom you serve;

.7 if you are employed by the Legal Aid Agency, members of the public;

.8 if you are employed by or at a Legal Advice Centre, clients of the Legal Advice Centre;

.9 if you supply legal services free of charge, members of the public; or

.10 if your employer is a foreign lawyer and the legal services consist of foreign work, any client of your employer.

If you provide services through a non-authorised body (A) whose purpose is to facilitate the provision by you of in-house legal services to another non-authorised body (B) then for the purposes of rS39 you will be treated as if you are employed by B and you should comply with your duties under this Handbook as if you are employed by B.

If you provide services through a non-authorised body (C) whose purpose is to facilitate the provision by you of legal services to an authorised body (D) or clients of D (where those services are provided by D and regulated by D’s Approved Regulator) then you will be treated as if you are employed by D and you should comply with your duties under this Handbook as if you are employed by D.

Question 80

Who are you treated as being employed by if you provide services through a non-authorised body (A) whose purpose is to facilitate the provision by you of in-house legal services to another non-authorised body (B)?

Answer 80

You will be treated as if you are employed by B and you should comply with your duties under this Handbook as if you are employed by B.

Question 81

Who are you treated as being employed by if you provide services through a non-authorised body (C) whose purpose is to facilitate the provision by you of legal services to an authorised body (D) or clients of D (where those services are provided by D and regulated by D’s Approved Regulator)?

Answer 81

You will be treated as if you are employed by D and you should comply with your duties under this Handbook as if you are employed by D.

Question 82

What is a BSB authorised body?

Answer 82

This means a body (corporate or unincorporated) which is authorised by the BSB to carry on reserved legal activities and is not a licensable body

Question 83

What are BSB entities?

Answer 83

This means either a BSB licensed body or a BSB authorised body

Question 84

What is a BSB licensed body?

Answer 84

A licensed body that has been licensed by the BSB

Question 85

What is the difference between BSB authorised bodies, BSB entities, and BSB licensed bodies?

Answer 85

BSB authorised bodies are those which are authorised by the BSB but not licensable. BSB Authorised Bodies are fully owned and managed by authorised individuals (lawyers with current practising certificates)

BSB Licensed bodies are a licensed body that has been licensed by the BSB but not ‘authorised’. BSB Licensed Bodies, also referred to as Alternative Business Structures (“ABS”), are owned and managed jointly by authorised individuals and others. These could include a mix of other professionals, or family-owned businesses.

BSB entities refer to either of these. It is a description. Not all BSB entities are licensed bodies, not all BSB entities are authorised bodies, but every BSB entity is one of the two.

Question 86

What is a non-authorised body?

Answer 86

Any body which is not a regulated entity (a BSB entity or authorised (non-BSB) body)

Question 87

Where you are a non-authorised body and wish to provide reserved legal activities to the public/a setion of the public, what do you need to comply with?

Answer 87

S15 Legal Services Act 2007

Question 88

Can you supply legal services at a legal advice centre? If so, on what basis?

Answer 88

You may supply legal services at a Legal Advice Centre on a voluntary or part time basis and, if you do so, you will be treated for the purposes of this Handbook as if you were employed by the Legal Advice Centre.

If you supply legal services at a Legal Advice Centre to clients of a Legal Advice Centre in accordance with Rule rS41:

.1 you must not in any circumstances receive either directly or indirectly any fee or reward for the supply of any legal services to any client of the Legal Advice Centre other than a salary paid by the Legal Advice Centre;

.2 you must ensure that any fees in respect of legal services supplied by you to any client of the Legal Advice Centre accrue and are paid to the Legal Advice Centre, or to the Access to Justice Foundation or other such charity as prescribed by order made by the Lord Chancellor under s.194(8) of the Legal Services Act 2007; and

.3 you must not have any financial interest in the Legal Advice Centre.

Question 89

If you supply legal services at a legal advice centre, how will you be treated for the purposes of the handbook?

Answer 89

If you do so, you will be treated for the purposes of this Handbook as if you were employed by the Legal Advice Centre.

Question 90

If you supply legal services at a legal advice centre, can you receive any fees?

Answer 90

No, except for a salary paid by the centre

Question 91

Where you are supplying legal services at a legal advice centre and a client supplies a fee, what must you make sure happens?

Answer 91

You must ensure that any fees in respect of legal services supplied by you to any client of the Legal Advice Centre accrue and are paid to the Legal Advice Centre, or to the Access to Justice Foundation or other such charity as prescribed by order made by the Lord Chancellor under s.194(8) of the Legal Services Act 2007.

Question 92

Can you have a financial interest in the legal advice centre?

Answer 92

No

Question 93

Can you supply legal services at a legal advice centre on an unpaid basis?

Answer 93

Yes. You may provide legal services at a Legal Advice Centre on an unpaid basis irrespective of the capacity in which you normally work.

Question 94

If you are a self-employed barrister, do you need to inform the BSB that you are also working for a legal advice centre?

Answer 94

No

Question 95

Do legal advice centres need to be authorised to provide reserved legal activities?

Answer 95

At the moment, no.

Transitional arrangements under the LSA allow Legal Advice Centres to provide reserved legal activities without being authorised. When this transitional period comes to an end, the Rules relating to providing services at Legal Advice Centres will be reviewed.

Question 96

Who do the rules relating to eligibility for practising certificates and litigation extensions apply to?

Answer 96

Barristers and registered European lawyers.

Question 97

When are you eligible for a practising certificate?

Answer 97

You are eligible for a practising certificate if:

.1 you are a barrister or registered European lawyer and you are not currently suspended from practice and have not been disbarred; and

.2 you meet the requirements of:

• Rules rS46.1 for a FULL practising certificate (satisfactorily completed pupillage,

exempted from it,

was a barrister before 30 July 2000, or

called to the Bar before 1 January 2002 and

you notified the Bar Council you wished to exercise a right of audience before every court and in relation to all proceedings

and have complied with training requirements/been informed you do not need to),

• rS46.2 for a PROVISIONAL practising certificate (if you have satisfactorily completed (or have been exempted from the requirement to complete) a period of pupillage satisfactory to the BSB for the purposes of Rule Q4 and at the time when you apply for a practising certificate you are registered as a Pupil)
• rS46.3 for a LIMITED practising certificate (if you were called to the Bar before 1 January 2002 but you are not otherwise eligible for a full practising certificate in accordance with Rule rS46.1 above)

-or rS46.4 fort a REGISTERED EUROPEAN LAWYER’S PC if you are a registered European lawyer;

AND

.3 either:

.a within the last 5 years either (i) you have held a practising certificate; or (ii) you have satisfactorily completed (or have been exempted from the requirement to complete) the pupillage component of training; or

.b if not, you have complied with such training requirements as may be imposed by the Bar Standards Board.

Question 98

Where are you eligible for a litigation extension?

Answer 98

You are eligible for a litigation extension:

.1 where you have or are due to be granted a practising certificate (other than a provisional practising certificate); and

.2 where you are:

.a more than three years’ standing;

or

.b less than three years’ standing, but your principal place of practice (or if you are practising in a dual capacity, each of your principal places of practice) is either:

.i a chambers or an annex of chambers which is also the principal place of practice of a qualified person (as that term is defined in Rule rS22.3) who is readily available to provide guidance to you; or

.ii an office of an organisation of which an employee, partner, manager or director is a qualified person (as that term is defined in Rule rS22.3) who is readily available to provide guidance to you;

.3 you have the relevant administrative systems in place to be able to provide legal services direct to clients and to administer the conduct of litigation; and

.4 you have the procedural knowledge to enable you to conduct litigation competently.

Question 99

Where may there be further guidance on the grant of litigation extensions, including as to evidence needed to show the required procedural knowledge?

Answer 99

You should refer to the more detailed guidance published by the Bar Standards Board from time to time which can be found on its website. This provides more information about the evidence you may be asked for to show that you have procedural knowledge to enable you to conduct litigation competently

Question 100

How do you apply for a practising certificate?

Answer 100

.1 completing the relevant application form (in such form as may be designated by the Bar Standards Board) and submitting it to the Bar Standards Board; and

.2 submitting such information in support of the application as may be prescribed by the Bar Standards Board; and

.3 paying (or undertaking to pay in a manner determined by the Bar Council) the appropriate practising certificate fee to the Bar Council in the amount determined in accordance with Rule rS50 (subject to any reduction pursuant to Rule rS53).

Question 101

How do you apply for a litigation extension?

Answer 101

You may apply for a litigation extension to a practising certificate (other than a provisional practising certificate) by:

.1 completing the relevant application form supplied by the Bar Standards Board and submitting it to the Bar Standards Board; and

.2 confirming that you meet the relevant requirements of Rule rS47.1;

.3 paying (or undertaking to pay in a manner determined by the Bar Standards Board) the application fee (if any) and the litigation extension fee (if any) to the Bar Standards Board;

.4 confirming, in such form as the Bar Standards Board may require from time to time, that you have the relevant administrative systems in place to be able to provide legal services direct to clients and to administer the conduct of litigation in accordance with Rule rS47.3; and

.5 confirming, in such form as the Bar Standards Board may require from time to time, that you have the procedural knowledge to enable you to conduct litigation competently in accordance with Rule rS47.4.

Question 102

When will an application have been ‘made’ for a practising certificate or litigation extension?

Answer 102

Once the Bar Standards Board has received, in respect of the relevant application:

1. the application form in full, together with:
2. the application fee,
3. the litigation extension fee (if any, or an undertaking to pay such a fee in a manner determined by the Bar Standards Board),
4. all the information required in support of the application,
5. confirmation from you, in the form of a declaration, that the information contained in, or submitted in support of, the application is full and accurate, and
6. (in the case of Rule S48) once the Bar Council has received the practising certificate fee (if any, or an undertaking to pay such a fee in a manner determined by the Bar Council).

Question 103

What may the BSB require from you/a third party where you apply for a practising certificate/litigation extension?

Answer 103

On receipt of the application, the Bar Standards Board may require, from you or a third party (including, for the avoidance of doubt, any BSB entity), such additional information, documents or references as it considers appropriate to the consideration of your application.

Question 104

Who is responsible for the contents of your application for a PC/litigation extension?

Answer 104

You are personally responsible for the contents of your application and any information submitted to the Bar Standards Board by you or on your behalf and you must not submit (or cause or permit to be submitted on your behalf) information to the Bar Standards Board which you do not believe is full and accurate.

Question 105

Is there any reduction in the practising certificate application fee?

Answer 105

When applying for a practising certificate you may apply to the Bar Standards Board for a reduction in the practising certificate fee payable by you if your gross fee income or salary is less than such amount as the Bar Council may decide from time to time. Such an application must be submitted by completing the form supplied for that purpose by the Bar Standards Board.

Question 106

What is “CPD”?

Answer 106

Continuing professional development” (“CPD”) means work undertaken over and above the normal commitments of a barrister and is work undertaken with a view to developing the barrister’s skills, knowledge and professional standards in areas relevant to their present or proposed area of practice in order to keep the barrister up to date and maintain the highest standards of professional practice.

Question 107

What is “CPD Guidance”?

Answer 107

“CPD Guidance” means guidance issued by the Bar Standards Board from time to time which sets out the CPD structure with which an EPP barrister should have regard to.

Question 108

What is the “EPP”?

Answer 108

“EPP” means the Established Practitioners Programme which requires barristers, once they have completed the NPP, to undertake CPD during each calendar year in accordance with these Rules.

Question 109

What is the “NPP”?

Answer 109

“NPP” means the New Practitioner Programme which requires barristers to complete CPD in their first three calendar years of practice in accordance with these rules.

Question 110

What is a “pupillage year” for the purposes of CPD requirements?

Answer 110

A “pupillage year” is any calendar year in which a barrister is at any time a pupil.

Question 111

What is a “calendar year” for the purposes of CPD?

Answer 111

A period of one year starting on 1 January in the year in question

Question 112

What is a “learning objective” for the purposes of CPD?

Answer 112

A “ learning objective” is a statement of what a barrister intends to achieve through their CPD activities for that calendar year with reference to a specific aim and one or more outcomes.

Question 113

Where a barrister started practice before 1 October 2001 but after the NPP first came into force, left practice before completing the NPP, but has since returned, what should they do in respect of CPD?

Answer 113

They must complete a minimum of 42 hours of CPD during their first three years of practice.

Question 114

What must any practising NPP barrister who starts practice on or after 1 October 2001 complete in terms of CPD?

Answer 114

After any pupillage year, complete a minimum of 45 hours of CPD.

Question 115

What should NPP barristers have regard to in respect of their CPD (other than the hours requirement)?

Answer 115

NPP barristers should have regard to rQ137 and the NPP guidance which will note the details of any compulsory courses the NPP barristers must complete. It also provides guidance as to the types of activities that count towards CPD.

Question 116

What is the requirement of CPD for EPP barristers?

Answer 116

Any EPP barrister who holds a practising certificate or certificates during a calendar year must undertake CPD.

An EPP barrister who is required to undertake CPD must:

1. prepare a written CPD Plan setting out the barrister’s learning objectives and the types of CPD activities they propose to undertake during the calendar year
2. keep a written record of the CPD activities the barrister has undertaken in the calendar year
3. keep a written record in the CPD Plan for each calendar year of:

a. the barrister’s reflection on the CPD they have undertaken;

b. any variation in the barrister’s planned CPD activities; and

c. the barrister’s assessment of their future learning objectives.

4. Retain a record of the CPD Plan and completed CPD activities for three years.
5. submit to the Bar Standards Board an annual declaration of completion of CPD in the form specified by the BSB.

Question 117

Should EPP barristers record their CPD?

Answer 117

Yes, they must:

1. prepare a written CPD Plan setting out the barrister’s learning objectives and the types of CPD activities they propose to undertake during the calendar year
2. keep a written record of the CPD activities the barrister has undertaken in the calendar year
3. keep a written record in the CPD Plan for each calendar year of:

a. the barrister’s reflection on the CPD they have undertaken;

b. any variation in the barrister’s planned CPD activities; and

c. the barrister’s assessment of their future learning objectives.

4. Retain a record of the CPD Plan and completed CPD activities for three years.
5. submit to the Bar Standards Board an annual declaration of completion of CPD in the form specified by the BSB.

Question 118

For how long should EPP barristers keep a record of their CPD?

Answer 118

For at least three years

Question 119

Once an EPP barrister has completed their CPD, what should they do?

Answer 119

Submit to the Bar Standards Board an annual declaration of completion of CPD in the form specified by the BSB.

Question 120

Is there any guidance for EPP barristers?

Answer 120

Yes.

EPP barristers who are required by these Rules to undertake CPD should refer to the CPD Guidance. The CPD Guidance provides further detailed information which EPP barristers should have regard to when planning, undertaking and recording their CPD. The CPD Guidance is not prescriptive. Its purpose is to provide a structure that would represent good practice for most barristers when considering their CPD requirements.

Question 121

What is the minimum amount of CPD hours for EPP barristers?

Answer 121

There is none.

The CPD Guidance explains that these Rules do not specify a minimum number of CPD hours which an EPP barrister must undertake in a calendar year: it is the responsibility of the individual barrister to determine the CPD activities they will undertake in order meet the requirements of CPD. The Bar Standards Board will assess and monitor barristers’ compliance with CPD.

Question 122

What should barristers consider when thinking about planning their CPD?

Answer 122

The underlying principle behind the requirement to plan CPD and set learning objectives is that barristers consider their own circumstances and development needs when they complete CPD activities. This best ensures that activities completed contribute to the development of the barrister’s practice.

Question 123

Does a barrister need to produce his CPD plan to anyone?

Answer 123

Upon the request of the Bar Standards Board, a barrister must produce their CPD Plan and record of CPD activities for assessment.

Question 124

When does the requirement for an EPP barrister who holds a practising certificate to complete CPD not apply?

Answer 124

Rule Q133 does not apply:

.1 in the case of a barrister to whom Rule Q131 applies, to any calendar year forming or containing part of the period of 3 years referred to in Rule Q131 (i.e. during which they were NPP and qualified before 1 October 2001 but had not completed 3 years); or

.2 in the case of a barrister to whom Rule Q132 (NPP) applies, during any pupillage year or during the first three calendar years in which the barrister holds a practising certificate.

Question 125

Will the BSB specify anything about the nature, content, or format for CPD?

Answer 125

They can. The Bar Standards Board may, by resolution, specify the nature, content and format of courses and other activities which may be undertaken by barristers (or by any category of barristers) in order to satisfy the mandatory requirements.

Question 126

Could the hour requirements for NPP barristers be varied?

Answer 126

Yes. The Bar Standards Board may, by resolution and after consultation with the Inns, Circuits and other providers as appropriate, vary the minimum number of hours of CPD which must be completed by an NPP barrister in order to satisfy any of the mandatory requirements.