part 2 D1 (rC99 – rC109), D2, D4 , D6

Question 1

Part 2 - D. Rules Applying to Particular Groups of Regulated Persons Rules
Part 2 - D1. Self-employed barristers, chambers and BSB entities

Provision of information
rC99

Answer 1

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 2

rC100

Answer 2

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

Question 3

rc101

Answer 3

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 4

rc102

Answer 4

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 5

rc103

Answer 5

Each website of self-employed barristers, chambers and BSB entities must display:.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 6

Response to complaints
rC104

Answer 6

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 7

rc105

Answer 7

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 8

Documents and record keeping
rC106

Answer 8

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 9

rc107

Answer 9

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 10

rc108

Answer 10

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 11

rc109

Answer 11

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 12

Part 2 - D2. Barristers undertaking public access and licensed access work Rules
Outcomes C30-C32
oC30

Answer 12

Barristers undertaking public access or licensed access work have the necessary skills and experience required to do work on that basis.

Question 13

OC31

Answer 13

Barristers undertaking public access or licensed access work maintain appropriate records in respect of such work.

Question 14

OC32

Answer 14

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 15

Rules C119-C131 - Public access rules
rC119

Answer 15

These rules apply to barristers instructed by or on behalf of a lay client (other than a licensed access client) who has not also instructed a solicitor or other professional client (public access clients). Guidance on public access rules is available on the Bar Standards Board website.

Question 16

RC120

Answer 16

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;
.2 Removed from 1 February 2018.
.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 17

RC121

Answer 17

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 18

RC122

Answer 18

You may not accept instructions from or on behalf of a public access client 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.

Question 19

RC123

Answer 19

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 20

RC124

Answer 20

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 21

RC125

Answer 21

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 22

RC126

Answer 22

Save in exceptional circumstances, you will have complied with Rule rC125 above if you have written promptly to the public access client in the terms of the model letter provided on the Bar Standards Board website.

Question 23

RC127

Answer 23

In any case where you have been instructed by an intermediary, you must give the notice required by Rule C125 above both:
.1 directly to the public access client; and
.2 to the intermediary.

Question 24

RC128

Answer 24

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 25

RC129

Answer 25

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 26

RC130

Answer 26

Removed from 1 February 2018.

Question 27

RC131

Answer 27

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.
.4 Removed from 1 February 2018.

Question 28

Rules C132-C141 - Licensed access rules
rC132

Answer 28

Subject to these rules and to compliance with the Code of Conduct (and to the Scope of Practice, Authorisation and Licensing Rules) 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 29

RC133

Answer 29

These rules apply to every matter in which a barrister in self-employed practice is instructed by a licensed access client save that Rules rC134.2 and rC139 do not apply to any matter in which a licensed access client is deemed to be a licensed access client by reason only of paragraph 7 or paragraph 8 of the Licensed Access Recognition Regulations (which are available on the BSB’s website).

Question 30

RC134

Answer 30

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).

Question 31

RC135

Answer 31

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 32

RC136

Answer 32

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 33

RC137

Answer 33

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 34

RC138

Answer 34

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 35

RC139

Answer 35

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.

Question 36

RC140

Answer 36

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 37

RC141

Answer 37

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 38

Part 2 - D4. Unregistered barristers Rules
Outcome C34

Answer 38

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 39

Rule C144
rC144

Answer 39

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 40

Guidance to Rule C144
gC154

Answer 40

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 41

RC145

Answer 41

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 42

Guidance to Rule C145
gC155

Answer 42

Guidance on the disclosures which unregistered barristers should consider making to clients covered by Rule rC145, and other clients who are not inexperienced clients, to ensure that they comply with Rule rC19 and do not mislead those clients is available on BSB website.

Question 43

Part 2 - D6. Price and service transparency rules for self-employed barristers, chambers and BSB entities Rules
Outcome C36

Answer 43

Clients are provided with appropriate information to help them make informed choices and understand the price and service they will receive. Rules C159-C163 - Self-employed barristers, chambers and BSB entities Rules

Question 44

Publication of information
rC159

Answer 44

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.

Question 45

RC160

Answer 45

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 46

RC161

Answer 46

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). Provision of information to the Bar Standards Board

Question 47

RC162

Answer 47

All self-employed barristers, chambers and BSB entities must notify the Bar Standards Board of their website address(es) offering legal services, and any changes to their website address(es), within 28 days of the creation or change of the same.

Question 48

Bar Standards Board guidance
rC163

Answer 48

When offering their services to clients and prospective clients, all 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 price and service transparency. Rules C164-C169 - Self-employed barristers undertaking public access work and BSB entities supplying legal services directly to the public

Question 49

Public Access Guidance for Lay Clients
rC164

Answer 49

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 display a link to the Public Access Guidance for Lay Clients on the BSB’s website. Price transparency policy statement

Question 50

RC165

Answer 50

Self-employed barristers undertaking public access work and/or their chambers, and BSB entities supplying legal services directly to the public, must comply with the Bar Standards Board’s price transparency policy statement insofar as it applies to them.

Question 51

Publication of information
rC166

Answer 51

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.

Question 52

RC167

Answer 52

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 53

RC168

Answer 53

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 service 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 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.