Core duties in Professional Ethics PDF

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During this workshop you will engage with the following competencies from the Professional Statement for Barristers.1 Uphold the reputation of the Bar and observe their duty to the court in the administration of justice.a) thoroughly recall and comprehend the Core Duties and their interrelationship....

Description

Ethics: Workshop 1: Introduction to the BSB Handbook

During this workshop you will engage with the following competencies from the Professional Statement for Barristers. 1.1 Uphold the reputation of the Bar and observe their duty to the court in the administration of justice. a) thoroughly recall and comprehend the Core Duties and their interrelationship. b) Ensure that their conduct consistently justifies their clients’ and colleagues’ trust in them and the public’s trust in the profession 1.16 Comply with regulatory requirements set down by the Bar Standards Board, including the Code of Conduct. b) Recognise potential ethical situations and identify ethical issues. 1.18 Only accept work which they believe they are competent to undertake. c) Consult relevant others, where appropriate. 2.1 Act with the utmost integrity and independence at all times, in the interests of justice, representing clients with courage, perseverance and fearlessness. a) Identify situations where their integrity and/or independence may be put at risk. c) Uphold the reputation of the Bar and observe their duty to the court in the administration of justice. d) Comply with regulatory requirements set down by the Bar Standards Board, including the Code of Conduct.

Ethics: Workshop 1: Introduction to the BSB Handbook

BPP Adapt:

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Topic

Element

Introduction to the BSB Handbook

Organisations regulating barristers

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The professional statement for barristers

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Introduction to the BSB Handbook

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Introduction to the Core Duties

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Breach of ethic duties – consequences

1) ORGANISATIONS REGULATING BARRISTERS: "Barristers are central to the justice system, and clients depend on their independence and ability to present their case fearlessly and effectively while providing a high standard of service" (Foreword by the Chair of the Bar Standards Board (BSB) to the Handbook, fourth edition). There are three organisations involved in the regulating the professional conduct of barristers. The Bar Council The Bar Standards Board The Legal Ombudsman Bar Council The Bar Council (formally known as the General Council of the Bar) is the representative body for barristers in England & Wales. Founded in 1894, it represents the interests of the Bar. Its stated aims are to promote: - The Bar’s specialist advocacy and advisory services - Fair access to justice for all - High standards of ethics, equality and diversity across the profession

Ethics: Workshop 1: Introduction to the BSB Handbook - The development of business opportunities for barristers at home and abroad Provides an ethical enquiries service for barristers. Approved regulator for barristers. Until 2006 it carried out this function itself, but it is now carried out by an independent body (the Bar Standards Board). Bar Standards Board The Bar Standards Board (BSB) is the regulatory body for the Bar. It acts independently of the Bar Council. It is responsible for: - Setting the education and training requirements for becoming a barrister - Setting the Continuing Professional Development (CPD) requirements for barristers - Setting standards for the conduct of barristers (in the BSB Handbook) - Monitoring the service provided by barristers - Handling complaints which relate to a breach of the Handbook rules The Bar Standards Board has power to investigate alleged breaches and impose sanctions on barristers who are found to have breached the Handbook rules, by for example imposing a fine, a period of suspension from practice, or in very serious cases, disbarment. Serious cases are referred to the Bar Tribunals and Adjudication Service. The Bar Tribunals and Adjudication Service The Bar Tribunals and Adjudication Service (BTAS) is responsible for appointing and administering: - Disciplinary Tribunals for barristers facing charges of professional misconduct. - Panels appointed under the Interim Suspension Rules of the Bar Standards Board Handbook. - Panels appointed under the Fitness to Practise Rules of the Bar Standards Board Handbook. - Panels appointed under the Inns’ Conduct Committee (ICC) Rules appointed to consider admission and disciplinary cases brought by the Inns of Court against student members or applicants for admission to an Inn of Court. What is the Legal Ombudsman? The Legal Ombudsman is the independent body which deals with complaints about barristers from their clients, for example where the client alleges they received poor service. If the complaint is from someone other than a client, it must be made to the BSB.

Ethics: Workshop 1: Introduction to the BSB Handbook -

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Only get involved if it has not been possible for the barrister and client to resolve the problem. This would be done by going through the barrister's chambers' complaints procedure. All chambers (and sole practitioners) must have a publicised complaints procedure. Cannot deal with complaints about professional misconduct. If it receives a complaint which it thinks involves professional misconduct then it will notify the BSB. Has powers to reduce fees or order compensation.

When you are the client of the barrister, then you can make it to the LO but if opposite party then needs to take it to the BSB 2) THE PROFESSIONAL STATEMENT FOR BARRISTERS The Professional Statement is a document produced by the Bar Standards Board, following consultation with the wider profession and the public, which describes the knowledge, skills and attributes that all barristers will have on 'day one' of practice describes the minimum or standard to which the competences should be performed on 'day one' of practice. states that it is relevant to aspiring barristers because "it describes the knowledge, skills and attributes which should be developed in order for them to qualify as a barrister. This will help aspiring barristers make informed decisions about their future development." The threshold standard states that newly qualified barristers should: · always perform at an acceptable standard, that is the standard of performance must be at least satisfactory (fit for purpose though not necessarily outstanding or perfect) · always achieve a standard of service to the client that is appropriate to the purpose for which the barrister has been instructed · perform within a reasonable timeframe (a reasonable timeframe for a newly qualified barrister maybe longer than it is for an experienced barrister) · be able to deal with straightforward or uncomplicated or familiar work unaided · ask for support when it is needed in order to complete more complex or unfamiliar work. 1. Distinctive characteristics The summary of barristers' distinctive characteristics is the core of the Professional Statement and makes up the first part. There are four areas, each containing detailed 'competences': Legal knowledge, skills and attributes

Ethics: Workshop 1: Introduction to the BSB Handbook Barristers will : · Uphold the reputation of the Bar and observe their duty to the court in the administration of justice. · Have a knowledge and understanding of the key concepts and principles of public and private law. · Have knowledge and understanding of the law and procedure relevant to their area(s) of practice. · Have an awareness of the wide range of organisations supporting the administration of justice. · Apply effective analytical and evaluative skills to their work. · Provide clear, concise and accurate advice in writing and orally and take responsibility for it. · Negotiate effectively. "Barristers should: a) Thoroughly recall and comprehend the Core Duties and their interrelationship. b) Ensure that their conduct consistently justifies their clients’ and colleagues’ trust in them and the public’s trust in the profession by: i applying the Core Duties and in particular the paramount duty to the court in the administration of justice; ii complying with regulatory requirements set down by the Bar Standards Board, including the Code of Conduct [1.16]; and iii demonstrating a thorough comprehension of the Professional Statement for Barristers." Advocacy Barristers will: · Draft court and other legal documents which are clear, concise, accurate and written so as to reflect fairly the arguments advanced by both sides. · Draft skeleton arguments which present the relevant facts, law and arguments in a clear, concise and well-structured manner. · Have persuasive oral advocacy skills. Barristers will: · Comply with regulatory requirements set down by the Bar Standards Board, including the Code of Conduct. · Know how to conduct themselves appropriately in court. · Only accept work which they believe they are competent to undertake. (2) Personal values and standards 'Personal values and standards' is the second main section in the Professional Statement, after 'Barrister's distinctive characteristics'. These

Ethics: Workshop 1: Introduction to the BSB Handbook values and standards are of particular relevance on this course, and will come up in your detailed study of the BSB Handbook provisions. Barristers will: Act with the utmost integrity and independence at all times, in the interests of justice, representing clients with courage, perseverance and fearlessness. Be honest in their dealings with others. Be aware and active in the pursuit of equality and respect for diversity, not tolerating unlawful discrimination, in themselves or others. Ensure their work does not incur unnecessary fees. Adopt a reflective approach to their work, enabling them to correct errors and admit if they have made mistakes. Ensure they practise with adaptability and flexibility […]. (3) Working with others This is the third key area of the Professional Statement. Despite the fact that most barristers are self-employed independent advocates, the ability to work effectively with others is essential. These attributes and behaviours are fundamental and will be covered in more detail in separate materials. Barristers will: · Understand and exercise their duty to act in the best interests of their client. · Understand and apply principles of team working where appropriate. · Respond appropriately to those from diverse backgrounds and to the needs and sensitivities created by individual circumstances. · Treat all people with respect and courtesy, regardless of their background or circumstances. · Demonstrate a good awareness of their additional responsibilities in cases involving direct access and litigants in person.

3) INTRODUCTION TO THE BSB HANDBOOK Professional principles The regulatory objectives of the Bar Standards Board which are derived from the Legal Services Act 2007 (LSA), include promoting and maintaining adherence to the following professional principles. Barristers must:  Act with independence and integrity  Maintain proper standards of work  Act in the best interests of their clients  Comply with their duty to the court to act with independence in the interests of justice

Ethics: Workshop 1: Introduction to the BSB Handbook 

Keep the affairs of clients confidential

The Core Duties (1-10) The Core Duties underpin the entire regulatory framework set out in the Handbook, and echo the professional principles. They are mandatory standards that barristers (and other regulated persons) must meet. (c1-c4, c6-c8, c10 = when providing legal service) CD1 You must observe your duty to the court in the administration of justice CD2 You must act in the best interests of each client CD3 You must act with honesty, and with integrity CD4 You must maintain your independence CD5 You must not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession (AT ALL TIMES) CD6 You must keep the affairs of each client confidential CD7 You must provide a competent standard of work and service to each client CD8 You must not discriminate unlawfully against any person CD9 You must be open and co-operative with your regulators (AT ALL TIMES) CD10 You must take reasonable steps to manage your practice, or carry out your role within your practice, competently and in such a way as to achieve compliance with your legal and regulatory obligations. Legal Service include: - Providing legal advice - Providing legal representation - Drafting or settling any statement of case, witness statement, affidavit or other legal document

Ethics: Workshop 1: Introduction to the BSB Handbook

CD5 and CD9 apply at all times to all barristers: CD5 You must not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession CD9 You must be open and co-operative with your regulators This means that actions in barrister's non-professional life, for example the commission of a criminal offence, can result in disciplinary action by the BSB. Non-criminal dishonesty outside the context of providing legal services can also form the basis of charges of professional misconduct by the BSB, for example false or misleading statements on websites or promotional material, or making a false declaration on Call to the Bar (See the BTAS Sanctions Guidance 2019, section B.5) 4) INTRODUCTION TO THE CORE DUTIES CD1 You must observe your duty to the court in the administration of justice CD1 is the most important Core Duty and overrides the others, to the extent that there is any conflict between them. The administration of justice relies on advocates being competent and honest. Your duty to the court is to act with honesty, integrity and independence and above all not to mislead the court, either on the facts of the case or the law. CD2 You must act in the best interests of each client Acting in the best interests of each client includes: · Promoting fearlessly and by all proper and lawful means their best interests · Providing a competent standard of work and service · Maintaining client confidentiality

Ethics: Workshop 1: Introduction to the BSB Handbook · Maintaining your independence from external pressure e.g. from your instructing solicitor or from a judge · Avoiding conflicts of interest or situations in which you may be professionally embarrassed · Treating your clients with consideration and respect Rule rC15 CD3 You must act with honesty and integrity Rules rC8 and rC9 expand on this Core Duty. Acting with honesty and integrity includes (in summary) · Not misleading the court, or anyone else · Not making an allegation of fraud without reasonably credible material establishing an arguable case · Not encouraging a witness to give evidence that is misleading or untruthful · Not rehearsing, practising with or coaching a witness in respect of their evidence CD4 You must maintain your independence It is crucial that barristers not only maintain but are seen to maintain their independence. This is closely related to acting with honesty and integrity. In essence, you must not allow outside influences (particularly financial incentives) to influence you in accepting instructions from a client, and in how you argue your case. Examples given in gC18 of behaviour that might reasonably be seen as compromising your independence are: Offering, promising or giving referral fees. Offering, promising or giving gifts (apart from items of modest value) Lending money to any client, solicitor, or anyone else instructing you. Accepting any money from any client, solicitor, or anyone else instructing you unless It is a payment for your professional services or reimbursement of professional expenses CD5 Protecting public trust and confidence The full text of CD5 is that "you must not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession." This is very closely related to CD3, the duty to act with honesty and integrity. The duty applies at all times to both practising and non-practicing barristers, whether or not the barrister is providing legal services. Examples of conduct which would breach CD5 are:

Ethics: Workshop 1: Introduction to the BSB Handbook · Criminal conduct other than minor criminal offences · Seriously offensive or discreditable conduct towards third parties · Dishonesty · Unlawful victimisation or harassment · Abuse of your professional position (for example, writing letters on chambers' headed paper in the context of a personal dispute) CD6 You must keep the affairs of each client confidential This duty is subject to your overriding duty to the court in the administration of justice (CD1). The duty of confidentiality covers any information that might harm your client or undermine their position if known by others (for example a criminal conviction), AND anything they tell you they want to keep confidential. You must not ever mislead the court in order to keep your client's confidentiality. How you resolve any conflict between these two imperatives is the subject of separate materials. CD7 You must provide a competent standard of work and service to each client Note that this duty applies to both work and the service you offer to clients. They overlap but are not the same. Plainly, CD7 is related to CD2 the duty to act in the best interests of each client. Read rC15 to rC26 and associated Guidance for further detail. Always bear in mind gC36 : "your duty is to your client [i.e. your lay client], not to your professional client or other intermediary". The duty includes: · Keeping your professional knowledge and skills up to date · Not permitting anyone to limit your discretion as to how the interests of your client can best be served · Not accepting instructions from a client if there is a conflict of interest with an existing client · Treating each client with courtesy, respect, and consideration · Reading your instructions promptly CD8 You must not discriminate unlawfully against any person The duty not to discriminate unlawfully is covered in detail in separate materials. CD8 is integral to the other Core Duties – for example if you discriminate unlawfully, you are not acting with integrity (CD3) but rather in way which is likely diminish the trust and confidence which the public places in you or in the profession (CD5). CD9 You must be open and cooperative with your regulators

Ethics: Workshop 1: Introduction to the BSB Handbook Remember that this duty applies at all times. To understand the purpose of this duty, read oC21 to oC23. In summary, the outcomes are: · The public have confidence in the proper regulation of barristers and other regulated persons. · The BSB has the information it needs in order to assess risks and regulate effectively in accordance with its regulatory objectives. Barristers' obligations under this duty include reporting to the BSB if they: · Are charged with an indictable offence · Are convicted of any criminal offence except a minor criminal offence · Have committed serious misconduct · Have reasonable grounds to believe that there has been serious misconduct by a barrister or another regulated person CD10 Managing your practice competently The full text of CD10 is: "you must take reasonable steps to manage your practice, or carry out your role within your practice, competently, and in such a way as to achieve compliance with your legal and regulatory obligations". Obligations under this Core Duty include: · Not receiving, controlling or handling client money · Making sure you have adequate insurance covering all the legal services which you supply to the public · If you are a self-employed barrister, making sure you are properly insured under the Bar Mutual Indemnity Fund (BMIF) · Your practice is efficiently and properly administered and proper records of your practice are kept 5) BREACH OF ETHICAL DUTIES - CONSEQUENCES For more serious breaches, the BSB may investigate and take disciplinary action against you. Your lay and/or professional client may not receive competent work or service from you. The administration of justice may be undermined or compromised. Complaints to the Bar Standards Board The Independent Decision-making Body (IDB) of the Bar Standards Board investigates and resolves...