Code of Conduct Fundamental Principles

Question 1

301(a): What conduct should a barrister not engage in?

Answer 1

A barrister must have regard to paragraph 104 and must not:
(a) engage in conduct whether in pursuit of his profession or otherwise which is:
(i) dishonest or otherwise discreditable to a barrister;
(ii) prejudicial to the administration of justice; or
(iii) likely to diminish public confidence in the legal profession or the administration of justice or otherwise bring the legal profession into
disrepute;

Question 2

301(b): What type of occupation may a barrister not engage in?

Answer 2

A barrister must have regard to paragraph 104 and must not:
(b) engage directly or indirectly in any occupation if his association with that occupation may adversely affect the reputation of the Bar or in the case of a practising barrister prejudice his ability to attend properly to his practice.

Question 3

104(a): What is the general purpose of the code of conduct in relation to self-employed barristers?

Answer 3

The general purpose is to provide the requirements for practice as a barrister and the rules and standards of conduct applicable to barristers which are appropriate in the interests of justice and in particular:

(a) in relation to self-employed barristers to provide common and enforceable rules and standards which require them:
(i) to be completely independent in conduct and in professional standing as sole practitioners;
(ii) to act only as consultants instructed by solicitors and other approved persons (save where instructions can properly be dispensed with);
(iii) to acknowledge a public obligation based on the paramount need for access to justice to act for any client in cases within their field of practice;

Question 4

104(b): What is the general purpose of the code of conduct in relation to non-self-employed barristers?

Answer 4

The general purpose of this Code is to provide the requirements for practice as a barrister and the rules and standards of conduct applicable to barristers which are appropriate in the interests of justice and in particular:

(b) to make appropriate provision for:
(i) barrister managers, employees and owners of Recognised Bodies; and
(ii) employed barristers taking into account the fact that such barristers are employed to provide legal services to or on behalf of their employer.

Question 5

302: What is a barrister’s overriding duty to the court?

Answer 5

A barrister has an overriding duty to the Court to act with independence in the interests of justice:

• he must assist the Court in the administration of justice and
• must not deceive or knowingly or recklessly mislead the Court.

Question 6

303(a): What is a barrister’s duty to the lay client?

Answer 6

A barrister:
(a) must promote and protect fearlessly and by all proper and lawful means the lay client’s best interests and do so without regard to his own interests or to any consequences to himself or to any other person (including any colleague, professional client or other intermediary or another barrister, the barrister’s employer or any Recognised Body of which the barrister may be owner or manager);

Question 7

303(b): To whom does a barrister owe a duty as between the lay client and any other person and how so?

Answer 7

A barrister:
(b) owes his primary duty as between the lay client and any other person to the lay client and must not permit any other person to limit his discretion as to how the interests of the lay client can best be served;

Question 8

303(c): To whom does a barrister owe a duty as between a lay client with legal aid and the Community Legal Service/Criminal Defence Service?

Answer 8

A barrister:
(c) when supplying legal services funded by the Legal Services Commission as part of the Community Legal Service or the Criminal Defence Service owes his primary duty to the lay client subject only to compliance with paragraph 304.

Question 9

304: What duty does a barrister owe to Community Legal Service/Criminal Defence Service if they have a client with legal aid?

Answer 9

A barrister who supplies legal services funded by the Legal Services Commission as part of the Community Legal Service or the Criminal Defence Service must in connection with the supply of such services comply with any duty imposed on him by or under the Access to Justice Act 1999 or any regulations or code in effect under that Act and in particular with the duties set out in Annex E.

Question 10

Annex E: What is the detail of the duty owed to Community Legal Service/Criminal Defence Service related to legally aided clients?

Answer 10

20. A barrister is under a specific duty to comply with the provisions of the Access to Justice Act 1999 and any regulations or code in effect under that Act (paragraph 304 of the Bar Code of Conduct). Since these duties are directed at ensuring that public funding is granted and continued only in justifiable cases, it follows that counsel acting under a funding certificate is under a duty to bring to the attention of the Commission any matter which might affect the client’s entitlement to funding, or the terms of his or her certificate, at whatever stage of the proceedings that might occur.

Question 11

305.1: What is the duty related to discrimination?

Answer 11

A barrister must not in relation to any other person (including a client or another barrister or a pupil or a student member of an Inn of Court) discriminate directly or indirectly because of race, colour, ethnic or national origin, nationality, citizenship, sex, sexual orientation, marital status, disability, age, religion or belief.

Question 12

305.2: What is the duty related to persons carrying out a protected act?

Answer 12

A barrister must not in relation to any other person, victimise that person for carrying out a protected act defined in the relevant legislation.

Question 13

306: What is a barrister personally responsible for?

Answer 13

A barrister is individually and personally responsible for his own conduct and for his professional work: he must exercise his own personal judgment in all his professional activities.

Question 14

307(a): A barrister must not permit what to happen related to external pressures?

Answer 14

A barrister must not:

(a) permit his absolute independence integrity and freedom from external pressures to be compromised;

Question 15

307(b): What is a barrister’s duty regarding inferences related to his independence?

Answer 15

A barrister must not:
(b) do anything (for example accept a present) in such circumstances as may lead to any inference that his independence may be compromised;

Question 16

307(c): What is a barrister’s duty regarding pleasing others?

Answer 16

A barrister must not:
(c) compromise his professional standards in order to please his client the Court or a third party, including any mediator;

Question 17

307(d): What is a barrister’s duty related to gifts and money?

Answer 17

A barrister must not:
(d) give a commission or present (save for small promotional items) or lend any money for any professional purpose to or (save as a remuneration in accordance with the provisions of this Code) accept any money by way of loan or otherwise from any client or any person entitled to instruct him as an intermediary;

Question 18

307(e): What is a barrister’s duty regarding making payments?

Answer 18

A barrister must not:
(e) make any payment (other than for advertising or publicity permitted by this Code or in the case of a self-employed barrister remuneration paid to any clerk or other employee or staff of his chambers) to any person for the purpose of procuring professional instructions;

provided that nothing in paragraph 307(d) or (e) shall prevent a barrister from paying a reasonable fee or fees required by an ADR body that appoints or recommends persons to provide mediation, arbitration or adjudication services, or from entering into such a reasonable fee-sharing arrangement required by such a body, if the payment or arrangement is of a kind similar to that made by other persons who provide such services through the body.