BSB Handbook

• Bar Standards Board (BSB)

  A specialist regulator focussing primarily on the regulation of advocacy, litigation and legal advisory services
• Regulatory objectives of the Bar Standards Board

  • Protecting and promoting the public interest
  • Supporting the constitutional principles of the rule of law
  • Improving access to justice
  • Protecting and promoting the interests of consumers
  • Promoting competition in the provision of the services
  • Encouraging an independent, strong, diverse and effective legal profession
  • Increasing public understanding of the citizen's legal rights and duties
  • Promoting and maintaining adherence to professional principles
• BSB Handbook


  Sets out the standards that the Bar Standards Board requires the persons it regulates to comply with in order for it to be able to meet its regulatory objectives
• The BSB Handbook is drafted with specific reference to those regulated by the BSB and for use by them, but it should also act as a useful reference tool for all consumers of legal services regulated by the Bar Standards Board
• Core Duties


  Underpin the entire regulatory framework and set the mandatory standards that all BSB regulated persons or unregistered barristers are required to meet
• Outcomes


  Explain the reasons for the regulatory scheme and what it is designed to achieve, derived from the regulatory objectives and the risks which must be managed
• Rules

  • Supplement the Core Duties and are mandatory, disciplinary proceedings may be taken for breaches
  • Set out the requirements for authorisation and scope of practice for different kinds of BSB authorised persons
  • Set out the requirements which must be met by a person regulated by the Bar Standards Board before they may undertake a specific role
• Guidance


  Assists in the interpretation and application of the Core Duties or Rules, provides examples, explains how the Rules apply to different persons, acts as a signpost to other relevant guidance
• Regulations


  Form the basis upon which enforcement action may be taken by the Bar Standards Board
• Amendments to the BSB Handbook

  1. The Bar Standards Board may make amendments and/or additions to the Handbook by resolution

  2. The Bar Standards Board shall not without the unanimous consent of the Inns amend or waive any rule so as to permit a person who has not been called to the Bar by an Inn to practise as a barrister
• Waivers


  The Bar Standards Board shall have the power to waive or modify the duty to comply with the provisions of the Handbook or any other requirement of the Handbook in such circumstances and to such extent as the Bar Standards Board may think fit and either conditionally or unconditionally
• Persons to whom the BSB Handbook applies

  • Barristers who hold a practising certificate
  • Barristers undertaking pupillage and registered as pupils
  • Unregistered barristers
  • Registered European lawyers
  • BSB authorised entities
  • Authorised (non-BSB) individuals
  • Managers of BSB entities
  • Owners of BSB entities
  • Non-authorised individuals employed by a BSB authorised person
  • Individuals who wish to be called to the Bar and to become qualified to practise as a barrister, and authorised education and training organisations
• BSB regulated persons and applicable persons (those subject to enforcement action) are defined in the Handbook
• If there is a conflict between the requirements of the BSB Handbook and the regulatory arrangements of another Approved Regulator that a BSB authorised individual is subject to, the conflicting provision within the BSB Handbook shall not apply
• BSB regulated persons


  Persons who were at the time when any conduct was complained of or reported
• Unregistered barristers


  Persons who were at the time when any conduct was complained of or reported
• The Handbook continues to apply to those who are subject to suspension
• Applicable persons


  BSB regulated persons and unregistered barristers
• If you are a BSB authorised individual who is employed by or a manager of an authorised (non-BSB) body, and the requirements of that other Approved Regulator conflict with a provision within this Handbook, then the conflicting provision within this Handbook shall not apply to you. You will instead be expected to comply with the requirements of that other Approved Regulator and, if you do so, you will not be considered to be in breach of the relevant provision of this Handbook.
• If you are a pupil of an employed barrister (non-authorised body), or a pupil of a manager or employee of a BSB entity, or a pupil of a manager or employee of an authorised (non-BSB) body, or spending a period of external training with a BSB entity or an authorised (non-BSB) body, this Handbook will apply to you as though you were an employee of the barrister's employer or the body concerned.
• If you are a registered European lawyer, then, except where otherwise provided, the provisions of this Handbook which apply to barristers shall apply to you, in connection with all professional work undertaken by you in England and Wales, as if you were a self-employed barrister or an employed barrister (non-authorised body) or a manager or employee of an authorised (non BSB) body or a BSB entity (as the case may be) depending on the way in which you practise.
• In the event of any inconsistency, the application section specific to the particular Part shall prevail over these general provisions.
• Fourth edition of the Handbook came into force, replacing the third edition

  1 April 2019
• Parts 2 and 3 of this Handbook shall not apply, and the edition of the Code of Conduct or relevant Annexe in force at the relevant time shall apply, in respect of anything done or omitted to be done or otherwise arising before 6 January 2014
• Where a matter is being dealt with under the Complaints Regulations prior to 15 October 2019; or the Disciplinary Tribunal Regulations 2014 prior to 1 November 2017; or Annexe J, K, M, N or O prior to 6 January 2014; and that matter has not concluded or been disposed of; or anything done or omitted to be done or otherwise arising before 6 January 2014 required referral for consideration in accordance with any of the above Annexes, then Part 5 of this Handbook shall apply to all such cases
• No fine in excess of £15,000 may be imposed by a Disciplinary Tribunal in respect of conduct before 6 January 2014 and no financial administrative sanction in excess of £300 may be imposed by the Commissioner or an Independent Decision-Making Panel in respect of conduct before 6 January 2014
• Words and phrases in italics shall have the meaning given to them in Part 6
• Any reference to another provision in this Handbook shall be a reference to that provision as amended from time to time
• Where references are made to an enactment, it is a reference to that enactment as amended, and includes a reference to that provision as extended or applied by or under any other enactment
• Section 2.B (Core Duties) applies to all BSB regulated persons and unregistered barristers except where stated otherwise
• Section 2.C (Conduct Rules) applies to all BSB regulated persons. Rules rC3.5, rC4, rC8, rC16, rC19 and rC64 to rC70 (and associated guidance to those rules) and the guidance on Core Duties also apply to unregistered barristers. If an unregistered barrister practises as a barrister as set out in rS9 then those rules which apply to practising barristers shall also apply.
• Section 2.D (Specific Rules) applies to specific groups as defined in each sub-section
• Sections 2.B, 2.C and 2.D only apply to registered European lawyers in connection with professional work undertaken by them in that capacity in England and Wales
• Core Duties


  • CD1: Observe duty to the court in the administration of justice
  • CD2: Act in the best interests of each client
  • CD3: Act with honesty, and with integrity
  • CD4: Maintain independence
  • CD5: Not behave in a way which is likely to diminish the trust and confidence which the public places in you or in the profession
  • CD6: Keep the affairs of each client confidential
  • CD7: Provide a competent standard of work and service to each client
  • CD8: Not discriminate unlawfully against any person
  • CD9: Be open and co-operative with your regulators
  • CD10: 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
• CD1 overrides any other core duty, if and to the extent the two are inconsistent
• CD2 (acting in the best interests of each client) is subject to your obligations under CD3, CD4 and CD8
• Your obligation under CD10 includes an obligation to take all reasonable steps to mitigate the effects of any breach of those legal and regulatory obligations once you become aware of the same
• Your obligation under CD9 includes being open and co-operative with all relevant regulators and ombudsman schemes, including but not limited to approved regulators under the Legal Services Act 2007 and the Legal Ombudsman
• Outcomes C1-C5


  • oC1: The court is able to rely on information provided to it by those conducting litigation and by advocates who appear before it
  • oC2: The proper administration of justice is served
  • oC3: The interests of clients are protected to the extent compatible with outcomes oC1 and oC2 and the Core Duties
  • oC4: Both those who appear before the court and clients understand clearly the extent of the duties owed to the court by advocates and those conducting litigation and the circumstances in which duties owed to clients will be overridden by the duty owed to the court
  • oC5: The public has confidence in the administration of justice and in those who serve it
• Your duty to the court to act with independence in the interests of justice overrides any inconsistent obligations which you may have (other than obligations under the criminal law)