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• Part IV - Self-employed barristers

• The Code of Conduct
  • The Code of Conduct
    • Part I - Preliminary
    • Part II - Practising requirements
    • Part III - Fundamental principles
    • Part IV - Self-employed barristers
    • Part V - Employed barristers
    • Part VI - Acceptance and return of instructions
    • Part VII - Conduct of work by practising barristers
    • Part VIII - Miscellaneous
    • Part IX - Compliance
    • Part X - Definitions
    • Part XI - Transitional provisions
  • Annexes to the Code of the Bar of England & Wales.
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• The Equality and Diversity Code
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Part IV - Self-employed barristers

This section concerns self-employed barristers only. It provides for the circumstances in which they can accept instructions. This section also contains further rules governing insurance, the duties of barristers and heads of chambers to administer their practice efficiently, and the rules about fees.

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 Instructions

401 A self-employed barrister whether or not he is acting for a fee:

(a) may supply legal services only if appointed or instructed by a Court  or if instructed:¹

(i) by a professional client; or

(ii) by a licensed access client, in which case he must comply with the Licensed Access Rules (reproduced in Annex F1); or

(iii) subject to paragraph 204(c), by or on behalf of any other lay client, in which case he must comply with the Public Access Rules (reproduced in Annex F2); or

(b) must not in the course of his practice, except as permitted by the Public Access Rules:

(i) undertake the management administration or general conduct of a lay client's affairs;

(ii) conduct litigation (for example issuing any claim or process or instructing any expert witness or other person on behalf of his lay client or accepting personal liability for the payment of any such person) and must not conduct correspondence or other work involving other parties save as permitted by rule 401A below.

(iii) conduct a case in court if the barrister has previously investigated or collected evidence for that case unless the barrister reasonably believes that the investigation and collection of that evidence  is unlikely to be challenged.

(iv) attend at a police station without the presence of a solicitor to advise a suspect or interviewee as to the handling and conduct of police interviews unless the barrister has complied with such training requirements as may be imposed by the Bar Standards Board in respect of such work.

(v) act as a supervisor for the purposes of section 84(2) of the Immigration and Asylum Act 1999.

(vi) Conduct in court any criminal proceedings in which the barrister has attended at a police station for any defendant in connection with those proceedings or any associated proceedings unless the barrister reasonably believes that nothing said, done, heard or seen by the barrister at the police station might require him/her to give evidence in those proceedings.

Conduct of correspondence

401A.1    If instructed to do so, a self-employed barrister may conduct  correspondence with other parties (in the form of letters, faxes,  emails or the like) provided that the barrister:

(a) is satisfied that it is in the lay client's best interests that    the barrister does so and that he has adequate systems, experience and resources for managing appropriately such correspondence; and;  

(b) has adequate insurance cover in the event that the lay client suffers any loss arising from the conduct of the correspondence for which the barrister is responsible.

401A.2   Where a barrister conducts such correspondence and is aware that another party has a solicitor or barrister representing that party, the barrister must not correspond directly with that party.

Insurance

402.1 Every self-employed barrister (other than a pupil who is  covered  under his pupil supervisor's insurance) and a barrister called  to the Bar under Regulation 78 of the Bar Training  Regulations must be entered as a member with BMIF.

402.2 Every barrister entered as a member with BMIF shall:

(a) pay immediately when due the appropriate insurance premium required by BMIF for the purpose of insurance against claims for professional negligence for such amount and upon such terms as may be approved by the Bar Council from time to time;

(b) supply immediately upon being requested to do so such information as BMIF may from time to time require pursuant to its Rules.

Administration and conduct of self-employed practice

403.1 Except as permitted in paragraphs 403.2 and 403.3, a self-employed barrister must not share office facilities or other premises and must not practise in any association with any person other than a self-employed barrister or any of the following:

(a) a registered European lawyer;

(b) subject to compliance with the Foreign Lawyers (Chambers) Rules (reproduced in Annex H) and with the consent of the Bar Standards Board a foreign lawyer;

(c) a non-practising barrister

(d) a person who is:

(i) a lawyer from a jurisdiction other than England and Wales;
(ii) a retired judge; or
(iii) an employed barrister

to the extent that that person is practising as an arbitrator or mediator.

403.2 A self-employed barrister:

May share office facilities or other premises with any person or  persons (not falling within 403.1 above) and will not be treated as  thereby practising in breach of rule 403.1, provided that:

(i) there is complete separation of the services provided by the barrister and the services provided by any person with whom the barrister shares the office facilities or premises;

(ii) nothing is done that might reasonably create the impression that there is any sharing of work, income or profits of the businesses;
        
(iii) the barrister has effective arrangements in place to protect the confidentiality of clients' affairs;
 
(iv) there is no general referral arrangement or understanding between the barrister and the person or persons with whom the barrister is sharing; and

(v) prior notification in writing of the sharing, identifying the premises in question and the names and occupations of the persons or body with whom the barrister is sharing, has been given to the Bar Standards Board by the barrister.

403.3 The restrictions in paragraphs (i), (ii) and (iv) in paragraph 403.2  shall not apply where  barristers share premises with any  entity  which is controlled by them and used as  permitted for the   purposes of and ancillary to their practice as self-employed  barristers.

403.4 Where a self-employed barrister shares premises with other  persons under paragraph 403.2, the barrister must keep  available for inspection by the Bar Standards Board a record of any work or  clients referred to the barrister by any such persons or referred to  any such persons by the barrister, and of the reasons for any  referral made by the barrister.

403.5  A self-employed barrister:

(a)  must take all reasonable steps to ensure that:

(i)  his practice is efficiently and properly administered having regard to the nature of his practice;

(ii)  proper records are kept;

(iii)  he complies with the Terms of Work on which Barristers Offer their Services to Solicitors and the Withdrawal of Credit Scheme 1988 as amended and in force from time to time(reproduced in Annex G1) and with any Withdrawal of Credit Direction issued by the Chairman of the Bar pursuant thereto.

(b)  must have ready access to library facilities which are adequate having regard to the nature of his practice; 

(c)  must have regard to any relevant guidance issued by the Bar Council and Bar Standards Board including guidance as to:

(i)  the administration of chambers;

(ii)  pupillage and further training; and

(iii)  good equal opportunities practice in chambers in the form of the Equality and Diversity Code for the Bar.

(d)(i)  must deal with all complaints made to him promptly, courteously and in a manner which addresses the issues raised;  and

(ii)  must have and comply with an effective written complaints procedure and make copies of the procedure available to a client on request; and

(iii) meet all the requirements set out in Annexe S to the Code.

Heads of chambers

404.1 The obligations in this paragraph apply to the following members of chambers:

(a) any barrister who is head of chambers;

(b) any barrister who is responsible in whole or in part for the administration of chambers;

(c) if there is no one within (a) and (b) above, all the members of the chambers.

404.2 Any person referred to in paragraph 404.1 must take all reasonable steps to ensure that:

(a) his chambers are administered competently and efficiently and are properly staffed;

(b) the affairs of his chambers are conducted in a manner which is fair and equitable for all barristers and pupils;

(c) proper arrangements are made in his chambers for dealing with pupils and pupillage and, in particular,

(i) that all pupillage vacancies are advertised in the manner prescribed by the Bar Council;

(ii) that such arrangements are made for the funding of pupils by chambers as the Bar Standards Board may by resolution from time to time require;

(iii) that in making arrangements for pupillage, regard is had to the pupillage guidelines issued from time to time by the Bar Council and Bar Standards Board and to the Equality and Diversity Code for the Bar;

(d) Proper arrangements are made in chambers for dealing with equal opportunity issues and in particular,

(i) that Chambers appoint at least one Equal Opportunities Officer

(ii) that Chambers shall have a written Equal Opportunities Policy made available to all members of Chambers and Staff and to the Bar Council and Bar Standards Board when required, which shall set out the policy adopted by Chambers in relation to each of the Action Areas in the Equality and Diversity Code for the Bar and shall have regard to the recommendations in the Code.

(iii) that no barrister shall take pupils until the steps set out in (i) and (ii) above have been complied with.

(e) all barristers practising from his chambers whether they are members of the chambers or not are entered as members with BMIF and have effected insurance in accordance with paragraph 402 (other than any pupil who is covered under his pupil-master's insurance);

(f) all barristers practising from his chambers comply with paragraph 403.5 (a)(iii);

(g) all employees and staff in his chambers (i) are competent to carry out their duties, (ii) carry out their duties in a correct and efficient manner, (iii) are made clearly aware of such provisions of this Code as may affect or be relevant to the performance of their duties and (iv) all complaints against them are dealt with in the manner set out in paragraph 403.5(d) above;

(h) all registered European lawyers and all foreign lawyers in his chambers comply with this Code to the extent required by the Registered European Lawyers Rules (reproduced in Annex B) and the Foreign Lawyers (Chambers) Rules (reproduced in Annex H);

(i) fee notes in respect of all work undertaken by all members of chambers and pupils and (unless expressly agreed with the individual) former members and pupils of chambers are sent expeditiously to clients and in the event of non-payment within a reasonable time, pursued efficiently.

(j) every barrister practising from his chambers has a practising certificate issued by the Bar Council (acting by the Bar Standards Board) pursuant to the Practising Certificate Rules (reproduced in Annex D).

404.3 In carrying out the obligations referred to in paragraph 404.2 any person referred to in paragraph 404.1 must have regard to any relevant guidance issued by the Bar Council and Bar Standards Board including guidance as to:

(a) the administration of chambers;

(b) pupillage and further training; and

(c) good equal opportunities practice in chambers in the form of the Equality and Diversity Code for the Bar

Fees and remuneration

405 Subject to paragraph 307 a self-employed barrister may charge for any work undertaken by him (whether or not it involves an appearance in Court) on any basis or by any method he thinks fit provided that such basis or method:

(a) is permitted by law;

(b) does not involve the payment of a wage or salary.

406.1 A self-employed barrister who receives fees in respect of work done by another barrister must himself and without delegating the responsibility to anyone else pay forthwith the whole of the fee in respect of that work to that other barrister.

406.2 Subject to paragraph 805 a self-employed barrister who arranges for another barrister to undertake work for him (other than a pupil or a person who has asked to do the work in order to increase his own skill or experience) must himself and without delegating the responsibility to anyone else:

(a) pay proper financial remuneration for the work done;

(b) make payment within a reasonable time and in any event within three months after the work has been done unless otherwise agreed in advance with the other person.

Client money securities and other assets

407. A self-employed barrister must not receive or handle client  money securities or other assets other than by receiving payment  of remuneration.

 ¹ paragraph 401(a) amended 25 January 2011