Bar Standards Board Handbook

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Part 6 DEFINITIONS

a,b,c

accreditation

means for the purpose of the QASA Rules the status required under the QASA to be permitted to undertake criminal advocacy in the courts of England and Wales, "accredited" shall be construed accordingly;

admission to an Inn

includes readmission of a former member who has ceased (whether as a result of disbarment or otherwise) to be a member of the Inn;

admission declaration

means the declaration referred to in Q12 in Part 4;

administration of oaths

has the same meaning as set out in paragraph 8 of Schedule 2 to the LSA;

administrative sanction 

means the imposition of an administrative warning, fixed penalty fine or other administrative fine up to the prescribed maximum, or any combination of the above in accordance with Section 5.A;

in Part 5, means any document served inaccordance with Regulation E240;

appeal panel 

(a) in Section 5.A means an Appeal Panel constituted in accordance with paragraph rE84, to perform the functions set out in regulations E88 and E89 of that Section 5.A;

(b) in Section 5.D means an Appeal Panel constituted in accordance with rE256 of that Section 5.D, to perform the functions set out in paragraphs rE276 and rE277 of that Section 5.D;

(c) in Section 5.E means an Appeal Panel constituted in accordance with paragraph 5 of Schedule 1 of that Section 5.E, to perform the functions set out in paragraphs rE320 to rE322 of that Section 5.E.

appellant

in Part 5 means an appellant wishing to appeal to the High Court against a relevant decision;

applicable person

Means persons who were unregistered barristers or BSB regulated persons at the time of the conduct complained of (including, for the purposes of Part 5 of the Handbook only, persons who would have fallen within the definition of BSB regulated persons but for the fact that, at the time of the conduct complained of, they had their authorisation or licence suspended or revoked, or were subject to a sentence of suspension or disbarment, or were subject to a disqualification order (as the case may be) that has subsequently been overturned on appeal)

applicant body

in Part 3, means a licensable body, or a BSB authorised  body which makes an application to the Bar Standards Board for authorisation in accordance with the Scope of Practice, Authorisation and Licensing Rules in Part 3;

application fee 

means the amount payable by a person to cover the cost of an application process for seeking to be authorised by the BSB to carry outany reserved legal services or seeking to extend an existing authorisation;

approved assessment organisation

means an organisation approved by the Joint Advocacy Group to assess the competence of advocates to conduct criminal advocacy against the statement of standards ;

approved regulator

means any body specified as an approved regulator in paragraph 1 of Schedule 4 of the LSA or designated as an approved regulator by an order under paragraph 17 of that Schedule;

approved training organisation

means any body ororganisation (including chambers ) which has been approved by the Bar Standard sBoard for the purpose of providing professional training under Section 4.B5;

associates

has the meaning given in paragraph 5 to Schedule 13 of the LSA namely:

(i)"associate", in relation to a person ("A") and:

   (a) a shareholding in a body ("S"); or

   (b) an entitlement to exercise or control the exercise of voting power in a body ("V");

means a person listed in sub-paragraph (ii).

(ii)The person s are:

   (a)the spouse or civil partner of A;

   (b)a child or stepchild of A (if under 18);

   (c)the trustee of any settlement under which A has a life interest in possession (in Scotland a life interest);

   (d)an undertaking of which A is a director;

   (e)an employee of A;

   (f)a partner of A (except, where S or V is a partnership in which A is a partner , another partner in S or V);

   (g) if A is an undertaking:

       (I) a director of A;

       (II) a subsidiary undertaking of A; or

       (III) a director or employee of such a subsidiary undertaking;

   (h) if A has with any other person an agreement or arrangement with respect to the acquisition, holding or disposal of shares or other interests in S or V (whether or not they are interests within the meaning of section 72(3) of the LSA), that other person ; or

   (i) if A has with any other person an agreement or arrangement under which they undertake to act together in exercising their voting power in relation to S or V, that person;

an association

means where:

    (a)  BSB authorised individuals are practising as a chambers; or

   (b) BSB authorised person s are sharing premises and/or costs and/or using a common vehicle for obtaining or distributing work with any person other than a BSB regulated person , in a manner which does not require the association to be authorised as an entity under the Legal Services Act 2007;

authorisation fee

means the fee prescribed from time to time by the Bar Standards Board in accordance with Rule S94;

means BSB authorised bodies and authorised(non-BSB) bodies;

authorised individual

means BSB authorised individuals and authorised (non-BSB) individuals;

authorised (non-BSB) body

means a partner ship, LLP or company authorised or licensed by another approved regulator to undertake reserved legal activities;

authorised (non-BSB) individual

means an individual that is authorised to provide reserved legal activities by another approved regulator where such an individual is working as a manager or an employee of a BSB entity ;

authorised (non-BSB) person

means an authorised (non-BSB) body or an authorised (non-BSB) individua l (as the case may be);

authorised person

has the meaning set out in section 18(1) of the LSA;

bankruptcy order

includes a bankruptcy order made pursuant to the Insolvency Act 1986 and any similar order made in any jurisdiction in the world;

Bar

means the Bar of England and Wales;

Bar Council

means The General Council of the Bar as constituted from time to time or a committee thereof;

Bar Professional Training Course

means a course which has been approved by the Bar StandardsBoard as providing vocational training of appropriate content and quality to satisfy the requirements of the Vocational Stage ;

Bar Standards Board

means the board established to exercise and oversee the regulatory functions of the Bar Council ;

Bar Transfer Test

means an examination administered by the Bar Standards Board which:

(a)        is designed to assess whether a person has the professional knowledge (including knowledge of the rules of professional conduct) required in order to practise as a barrister in England and Wales; and

(b)        covers subjects not already covered by the education and training of the person concerned, the knowledge of which is essential for such practice ;

barrister

has the meaning given in s. 207 of the LSA and includes

(a)   practising barristers;

(b)   pupils; and

(c)   unregistered barristers;

BMIF

means Bar Mutual Indemnity Fund Limited;

BSB authorised body

means a body (corporate or unincorporated) which is authorised by the BSB to carry on reserved legal activities and is not a licensable body

BSB authorised individuals

means all individuals authorised by the Bar Standards Board to carry on reserved legal activities including:

(a)practising barristers;

(b)second six pupils;

(c)registered European lawyers,

BSB authorised persons

means BSB entities and BSB authorised individuals;

BSB entity

Means BSB authorised body and BSB licensed body

BSB licensed body

means a licensed body that has been licensed by the BSB

BSB regulated individuals

means BSB authorised individuals , authorised(non-BSB) individuals employed by BSB authorised bodies and BSB regulated manager s;

BSB regulated managers

Means a manager of a BSB entity

BSB regulated persons

Includes to the extent described in the application sections of the Handbook:

   (a)       practising barristers;

   (b)       registered European lawyers;

   (c)       BSB entities; and

   (d)      Any employees or managers of the above

means a person or person s appointed by the Bar Standards Board in accordance with Regulation E103 following a referral of a matter by the PCC to a Disciplinary Tribunal ;

call 

means call to the Bar in accordance with the Bar Training Rules;

call declaration

means the Declaration referred to in Rule Q112.3;

CCBE

means The Council of Bars and Law Societies of Europe;

CCBE State

means any state whose legal profession is a full member, an associate member or an observer member of the CCBE ;

Certificate of Good Standing

means:

   (a)      in relation to a person authorised by another Approved Regulator or by a Qualified Foreign Lawyer , a certificate issued by the Approved Regulator or the professional body or other authority responsible for regulating the profession of which the person concerned is a member attesting that the person concerned:

        (i)            is of good character;

        (ii)           has not been the subject of a Bankruptcy Order or Directors Disqualification Order nor entered into an individual voluntary arrangement with creditors; and

        (iii)          has not been prohibited and is not currently suspended from practising on account of serious professional misconduct or the commission of a criminal offence;

   (b)       in relation to a Qualified European Lawyer , evidence of the kind referred to in Regulation 9(2) of the European Qualification Regulations, that the person concerned:

        (i)            is of good character;

        (ii)           has not been the subject of a Bankruptcy Order or Directors Disqualification Order nor entered into an individual voluntary arrangement with creditors; and

       (iii)           has not been prohibited and is not currently suspended from practising on account of serious professional misconduct or the commission of a criminal offence.

chambers

means a place at or from which one or more self-employed barristers or BSB authorised bodies carry on their practices and also refers where the context so requires to all the barristers (excluding pupil s) and BSB authorised bodies who for the time being carry on their practices at or from that place;

client 

means, the person for whom you act and, where the context permits, includes prospective and former clients;

client money

means

   (a)    money, securities or other assets beneficially owned by a client ; or

   (b)    money, securities or other assets provided by, or for the benefit of, your client or intended by another party to be transmitted to your client ,

But excludes: 

   (c)    a fixed fee paid in advance; or

   (d)    a payment made in settlement of an accrued debt; or

   (e)    money which belongs to your employer .

Code of Conduct for European Lawyers

means the code of conduct adopted by the CCBE (as maybe amended from time to time) applying to all lawyers undertaking cross border activities in a CCBE State;

Company

has the same meaning as in section 1 of the Companies Act 2006;

complaint

means, for the purposes of Part 2, a complaint by a client about the standard of service received that is addressed either to the Legal Ombudsman or the chambers or the BSB authorised person and, for the purposes of Part 5, an allegation, or a group of associated allegations, by any person or by the Bar Standards Board of its own motion of professional misconduct or a breach of the Core Duties and/or rules of this Handbook and includes a legal aid complaint;

Complaints Regulations

means the Regulations set out at section 5.A;

conditional fee agreement

means a conditional fee agreement as defined in Section 58 of the Courts and Legal Services Act 1990;

conduct litigation or conduct of litigation

has the same meaning as set out in paragraph 4 of Schedule 2 to the LSA. Conducting litigation shall be construed accordingly;

convening Order

means the Order described in Rule E132.c;

conviction

means a criminal conviction for an indictable offence ;

Council of the Inns of Court (COIC)

means the Council of the Inns of Court and its successors including any entity or part through which it exercises its functions;

court 

means any court or tribunal or any other person or body whether sitting in public or in private before whom a barrister appears or may appear as an advocate;

criminal advocacy

means advocacy in all hearings arising out of a police-led or Serious Fraud Office-led investigation and prosecuted in the criminal courts by the Crown Prosecution Service or the Serious Fraud Office but does not include hearings arising out of Parts 2, 5 or 8 of the Proceeds of Crime Act 2002;

criminal advocacy evaluation form

means a form completed by a judge to record the competence of a barrister to conduct criminal advocacy against the statement of standards ;

criminal offence

means any offence, wherever committed, under the criminal law of any jurisdiction (including an offence the conviction for which is a spent conviction within the meaning of the Rehabilitation of Offenders Act 1974) except:

   (a)        an offence for which liability is capable of being discharged by payment of a fixed penalty; and

   (b)        an offence which has as its main ingredient the unlawful parking of a vehicle;

pending criminal proceedings

are pending if a person :

   (a)        is currently charged with, or

   (b)        is on bail or in detention or custody (or has failed to surrender to custody) in connection with,

   any criminal offence ;

Cross border activities

means:

   (a)        the undertaking by a BSB authorised person of foreign work in a CCBE State other than the UK , whether or not the BSB authorised person is physically present in that CCBE State ; and

   (b)        any professional contact by a BSB authorised person with a lawyer of a CCBE State other than the UK ;  

d,e,f

decision period

for the purposes of applications for authorisation in Part 3 means:

in respect of an application for authorisation or licensing, the period of 6 months;

in respect of a standalone application for authorisation to conduct litigation, the period of 3 months; and

in respect of an application for approval of a manager, owner, HOLP or HOFA, the period of 1 month,

in each case, commencing on the last date on which the Bar Standards Board receives any of the documentation, information or payments required to be submitted with such application;

in Section 5.B means the applicable person who is the subject of the disciplinary charge or charges brought before a Disciplinary Tribunal and/or of a disqualification application made to the DisciplinaryTribunal under the Complaints Regulations and in Section 5.D means the applicable person against whom the Bar Standards Board is considering taking interim action in accordance with Section 5.D;

Definitions Section

means Part 6 of the Handbook;

determination by consent procedure

means the procedureset out in Regulation E67;

devilling

means where a self-employed barrister (“A”) arranges for another barrister (“B”) in the same chambers to carry out work for A on the basis that A will be responsible for the payment of B’s remuneration for such work and will be responsible to the client for the work as if it were their own.

“devil” and “devils” will be construed accordingly;

Directions Judge

meansa Judge or Queen’s Council designated by the President ;

Director

means a director of a company, and includes the director of a BSB entity or an authorised (non-BSB) body which is a company, and in relation to a societas Europaea includes:

   (a)        in a two-tier system, a member of the management organ and a member of the supervisory organ;

   (b)        in a one-tier system, a member of the administrative organ;

directors disqualification order

includes a disqualification order made by a court, or disqualification undertaking accepted by the secretary of state, pursuant to the Company Directors Disqualification Act 1986 and any similar order madeor undertaking given in any jurisdiction in the world;

Disciplinary Tribunal

means a Tribunal convened pursuant to E132 of the Disciplinary Tribunal Regulations 2017 to consider an allegation of professional misconduct against a BSB regulated person or unregistered barrister (for which the sanctions may include disqualification, where Part 5 so provides) and/or to consider an application for disqualification against an applicable  person.

discrimination

has the same meaning as in chapter 2 of the Equality Act 2010;

disqualification condition

means that an applicable person has, (intentionally or through neglect):

    (a)       breached a relevant duty to which the  person is subject; or

    (b)       caused, or substantially contributed to, a BSB regulated person breaching a duty imposed under this handbook (or in the case of a BSB licensed body a significant breach of its license); and

    (c)        in either case, that the BSB is of the view that it is undesirable that the applicable person should engage in  one or more of the relevant activities.

disqualification order

means an order:

   (a)       made by a Disciplinary Tribunal in disposing of a disciplinary charge or disqualification application referred to it by the PCC ; and

   (b)       made on the basis that the disqualification condition is satisfied in respect of the applicable   person who is the subject of the disqualification order ; and

   (c)      either indefinitely or for a stated period, disqualifying an applicable   person from one or more relevant activities and prohibiting any BSB authorised person from appointing them or employing them in respect of such relevant activities;

disqualify or disqualification

means the power of the Bar Standards Board , pursuant to Section 5.B, to disqualify an applicable  person from performing one or more of the relevant activities where the disqualification condition is satisfied, which power when exercised on an interim basis shall be exercised in accordance with Section 5.D;

diversity data

Means information relating to the following characteristics in respect of an individual:

a)     Age

b)     Disability

c)     Pregnancy and maternity

d)     Race (including ethnic or national origins, colour or nationality

e)      Religion or belief (including lack of belief)

f)      Sex

g)     Sexual orientation

effective trial

means a trial that allows for the assessment of a barrister against standards 1-4 as set out in the statement of standards ;

employed barrister

means:

   (a)        an employed barrister (authorised non-BSB body ); or

   (b)        an employed barrister ( BSB entity ); or

   (c)        an employed barrister (non authorised body);

employed barrister (authorised non-BSB body)

means a practising barrister who is employed by an authorised (non-BSB) body either:

a)    under a contract of employment; or

b)    under a written contract for services which is for a determinate period (subject to any provision for earlier termination on notice),

who supplies legal services as a barrister in the course of their employment;

employed barrister (BSB entity)

means a practising barrister who is employed by a BSB entity  either:

   (a)        under a contract of employment; or

   (b)        under a written contract for services which is for a determinate period (subject to any provision for earlier termination on notice),

who supplies legal services as a barrister in the course of their  employment ;

employed barrister(non-authorised body)

means a practising barrister who is employed:

   (a)        other than by a regulated entity;

   (b)        either:

       (i) under a contract of employment ; or

      (ii) under a written contract for services which is for a determinate period (subject to any provision for earlier termination on notice); or

      (iii) by virtue of an office under the Crown or in the institutions of the European Union; and

who supplies legal services as a barrister in the course of their  employment ;

means authorised and non-authorised individuals who are directly and indirectly employed by BSB authorised persons ;

employer

means persons by whom employed barristers (non-authorised bodies) are employed including any holding subsidiary or associated company, corporate body or firm of that person ;

means direct or indirect employment;

enforcement strategy

means the strategy on enforcement from time to time published by the Bar Standards Board , in effect as at the date the complaint is made to the Bar Standards Board or raised by the Bar Standards Board of its own motion under Part 5;

Enforcement Regulations

means the supervision and enforcement regulations set out at Part 5;

English law

includes international law and the law of the European Communities;

Equality and Diversity Officer

means the individual appointed as such by the chambers or the BSB entity  (as appropriate), one of whose responsibilities is to ensure compliance with the Equality and Diversity set out at rules C110-C111;

Establishment Directive

means Directive 98/5/EC of the European Parliament and of the Council of February 1998 to facilitate practice of the profession of lawyer on a permanent basis in a Member State other than that in which the qualification was obtained;

European lawyer

means a person who is a national of a Member State and who is authorised in any Member State to pursue professional activities under any of the professional titles appearing in article 2(2) of the European Communities (Lawyer's Practice ) Order 1999, but who is not any of the following:

   (a)        a solicitor or barrister of England and Wales or Northern Ireland; or

   (b)        a solicitor or advocate under the law of Scotland;

European Qualifications Regulations

means the European Union (Recognition of Professional Qualifications) Regulations 2015;

family responsibilities

includes caring responsibilities for older, young, or disabled dependants or relatives;

foreign client

means a lay client who has their centre of main interests outside England and Wales, or who reasonably appears as having that characteristic;

foreign lawyer

is a person who is a member, and entitled to practice as such, of a legal profession regulated within a jurisdiction outside England and Wales and who is not an authorised person for the purposes of the LSA;

foreign work

means legal services of whatsoever nature relating to:

   (a)        court or other legal proceedings taking place or contemplated to take place outside England and Wales; or

   (b)      if no court or other legal proceedings are taking place or contemplated, any matter or contemplated matter not subject to the law of England and Wales;

full accreditation

means accreditation that permits a barrister to undertake criminal advocacy in the courts in England and Wales for a period of up to five years;

full practising certificate

means, in accordance with Rule S63, a practising certificate which entitles a barrister to exercise a right of audience before every court in relation to all proceedings;

Full Qualification Certificate

means a certificate issued by the Bar Standards Board under Rule Q69 or Rule Q86 on satisfactory completion of, or exemption from, the Professional Stage;

Fitness to Practise Panel

means a Fitness to Practise Panel constituted under Section 5.E, in accordance with paragraph 4 of schedule 1

g,h,i,j

Handbook

means this Handbook;

harassment

has the same meaning as in section 26 of the Equality Act 2010;

means an appeal hearing constituted under Section 3.V;

HOFA

In relation to a BSB authorised body : has the meaning set out in the Legal Services Act 2007 (General Council of the Bar) (Modification of Functions) Order 2016.

In relation to a BSB licensed body : means an individual who meets the requirements set out in paragraph 13 of Schedule 11 to the LSA and has been approved as a Head of Finance and Administration by the BSB in accordance with section E of Part 3;

HOLP

In relation to a BSB authorised body : has the meaning set out in the Legal Services Act 2007 (General Council of the Bar) (Modification of Functions) Order 2016.

In relation to a BSB licensed body : means an individual who meets the requirements set out in paragraph 11 of Schedule 11 to the LSA and has been approved as a Head of Legal Practice by the BSB in accordance with section E of Part 3.

home regulator

means the body in a Member State which authorises a European lawyer to pursue professional activities under any of the professional titles appearing in article 2(2) of the European Communities (Lawyer's Practice ) Order 1999 and, if European Lawyer is authorised in more than one Member State , it shall mean any such body;

home professional title

means, in relation to a European lawyer, the professional title or any of the professional titles specified in relation to their  home State in article 2(2) of the European Communities (Lawyer's Practice ) Order 1999 under which they are authorised in their  home State to pursue professional activities;

home State

means the Member State in which a European lawyeracquired the authorisation to pursue professional activities under their home professional title and, if they are authorised in more than one Member State , it shall mean any such Member State ;

immigration work

means the provisionof immigration advice and immigration services, as defined in section 82 of the Immigration and Asylum Act 1999;

independent assessor

means a person appointed by the Joint Advocacy Group to attend court to assess the competence of a barrister to conduct criminal advocacy against the statement of standards

indictable offence

has the same meaning as in Schedule 1 of the Interpretation Act 1978, namely "an offence which, if committed by an adult is triable on indictment whether it is exclusively so triable or triable either way";

means employment by a non-authorised person that in turn is owned or controlled by one or more BSB authorised person s and indirect employment shall be construed accordingly;

Inn

means one of the four Inns of Court, namely, the Honourable Societies of Lincoln’s Inn, Inner Temple, Middle Temple and Gray's Inn.

Inns ” should be construed accordingly;

instructions

means instructions or directions in whatever form (including a brief to appear as an advocate before a Court) given to a practising barrister or a BSB entity to supply legal services whether in acontentious or in a non-contentious matter and “instructed” shall have a corresponding meaning;

interim panel

means an interim panel constituted in accordance with paragraph rE254, to perform the functions set out in paragraphs rE265 to rE267 of Section 5.D

intermediary

means any person by whom a self-employed barrister or BSB entity is instructed on behalf of a client excluding a professional client who is not also the client save for an intermediary in the context of a referral fee which includes a professional client;

Joint Advocacy Group

means the group established by the Bar Standards Board, the Solicitors’ Regulation Authority and ILEX Professional Standards, in order to oversee the quality assurance and accreditation of criminal advocacy ;

Judge

for the purposes of rE140 and rE141, a Judge includes:

a) a puisne judge of the High Court;

b) a judge of the Court of Appeal;

c) a Circuit judge;

d) a Recorder who has been authorised to sit as a judge of the High Court under section 9(1) of the Supreme Court Act 1981;

e) a deputy judge of the High Court appointed under section 9(4) of the Supreme Court Act 1981; and

f) a person who has been a judge of the Court of Appeal, or a puisne judge of the High Court, or a Circuit Judge, provided that they remain permitted by virtue of section 9 of the Supreme Court Act 1981 to be requested to act as a judge of the High Court, or is eligible for appointment as a deputy Circuit judge under section 24 of the Courts Act 1971

Justices’ clerk

means a serving Justices’ clerk or assistant Justices’ clerk, appointed under the Courts Act 2003;

k,l,m,n

lay member

means either: 

(a) a lay person appointed to be a member of the Bar Standards Board or one of its regulatory committees; or,

(b) a lay person appointed by the President to serve on Disciplinary Tribunals, Interim Suspension Panels and Appeal Panels therefrom, and Fitness to Practise Panels and Appeal Panels therefrom.

lay person

means a person who is not and never has been a barrister and who has not completed the training required in order to be called to the Bar

means a lay person appointed by the Lord Chief Justice to serve on Hearings before the Visitors.

legal aid complaint

has the same meaning as in section 40 of the Administration of Justice Act 1985;

Legal Advice Centre

means a centre operated by a charitable or similar non-commercial organisation at which legal services are habitually provided to members of the public without charge (or for a nominal charge) to the client and:

   (a)       which employs or has the services of one or more solicitor s conducting work pursuant to rule 4.16 of the SRA Practice Framework Rules 2011; or

   (b)      which has been and remains designated by the Bar Standards Board as suitable for the employment or attendance of barristers subject to such conditions as may be imposed by the Bar Standards Board in relation to insurance or any other matter whatsoever;

Legal Ombudsman

means scheme administered by the Office for Legal Complaints under Part 6 of the LSA;

legal services

includes legal advice representation and drafting or settling any statement of case witness statement affidavit or other legal document but does not include:

a)        sitting as a judge or arbitrator or acting as a mediator;

b)        lecturing in or teaching law or writing or editing law books articles or reports;

c)        examining newspapers, periodicals, books, scripts and other publications for libel, breach of copyright, contempt of court and the like;

d)        communicating to or in the press or other media;

e)        giving advice on legal matters free to a friend or relative or acting as unpaid or honorary legal adviser to any charitable benevolent or philanthropic institution;

f)         in relation to a barrister who is a non-executive director of a company or a trustee or governor of a charitable benevolent or philanthropic institution or a trustee of any private trust, giving to the other directors trustees or governors the benefit of thier learning and experience on matters of general legal principle applicable to the affairs of the company institution or trust;

g) early neutral evaluation, expert determination and adjudications

Legal Services Board or LSB

means the independentbody established under the LSA to be the over-arching regulator for the legal profession as a whole;

Legal Aid Agency

is the executive agency established under Legal Aid Sentencing and Punishment of Offenders Act 2012 to manage and administer the legal aid system;

licensed access client

means a person or organisation approved as suchby the Bar Standards Board inaccordance with the Licensed Access Recognition Regulations https://www.barstandardsboard.org.uk/regulatory-requirements/for-barristers/licensed-access-recognition-regulations/

licensed access rules

means the Rules on Licensed Access set out at Rules C132 to C141;

licensable body

Has the same meaning as set out in s. 72 LSA namely:

(1) A body (“B”) is a licensable body if a non-authorised person

   (a) is a manager of B, or

   (b) has an interest in B.

(2) A body (“B”) is also a licensable body if–

   (a) another body (“A”) is a manager of B, or has an interest in B, and

   (b) non-authorised persons are entitled to exercise, or control the exercise of, at least 10% of the voting rights in A.

(3) For the purposes of this Act, a person has an interest in a body if–

   (a) the person holds shares in the body, or

   (b) the person is entitled to exercise, or control the exercise of, voting rights in the body.

(4) A body may be licensable by virtue of both subsection (1) and subsection (2).

(5) For the purposes of this Act, a non-authorised person has an indirect interest in a licensable body if the body is licensable by virtue of subsection (2) and the non-authorised person is entitled to exercise, or control the exercise of, voting rights in A.

(6) “shares” means–

   (a) in relation to a body with a share capital, allotted shares (within the meaning of the Companies Acts);

   (b) in relation to a body with capital but no share capital, rights to share in the capital of the body;

   (c) in relation to a body without capital, interests–

      (i) conferring any right to share in the profits, or liability to contribute to the losses, of the body, or

      (ii) giving rise to an obligation to contribute to the debts or expenses of the body in the event of a winding up;

   and references to the holding of shares, or to a shareholding, are to be construed accordingly.

licensed body

Has the same meaning as in s71(2) of the LSA, namely a licensable body which has been granted a licence by the Bar Standards Board or other licensing authority to undertake reserved legal activities;

licensing authority

means an approved regulator which is designated as a licensing authority under Part 1 of Schedule 10 to the LSA, and whose licensing rules have been approved for the purposes of the LSA;

limited practising certificate

in accordance with rS65,a limited practising certificate authorises a barrister to exerciseany right of audience that they had on 30 July 2000 as a result of them being a barrister ;

litigation extension fee

means the amount payable by a BSB authorised person which has a litigation extension;

LLP

means a limited liability partner ship formed by being incorporated under the Limited Liability Partner ships Act 2000;

LSA

means the Legal Services Act 2007 (as amended);

manager

has the same meaning as set out in s. 207 LSA namely:

   (a)       a member of an LLP ;

   (b)       a director of a company;

   (c)       a partner in a partner ship; or

   (d)       in relation to any other body, a member of its governing body;

material interest

a person holds a material interest in a body (“B”) if the person :

i.        holds at least 10% of the shares in B,           

ii.        is able to exercise significant influence over the management of B by virtue of the person 's shareholding in B,          

iii.        holds at least 10% of the shares in a parent undertaking (“P”) of B,          

iv.        is able to exercise significant influence over the management of P by virtue of the person 's shareholding in P,           

v.        is entitled to exercise, or control the exercise of, voting power in B which, if it consists of voting rights, constitutes at least 10% of the voting rights in B,          

vi.        is able to exercise significant influence over the management of B by virtue of the person 's entitlement to exercise, or control the exercise of, voting rights in B,         

vii.        is entitled to exercise, or control the exercise of, voting power in P which, if it consists of voting rights, constitutes at least 10% of the voting rights in P, or       

viii.        is able to exercise significant influence over the management of P by virtue of the person 's entitlement to exercise, or control the exercise of, voting rights in P.

and for the purposes of this definition “ person ” means–

i.       the person ,

ii.      any of the person 's associates, or

iii.     the person and any of the person 's associates taken together;

mediation

means the process whereby the parties to a dispute appoint a neutral person (mediator) to assist them in the resolution of their dispute;

medical

In relation to any person means a registered medical practitioner

Medical Examiner

means a registered medical practitioner nominated to carry out a medical examination of an Individual under Regulations rE299.1 and rE309.2a of Section 5.E and provide medical advice to the Fitness to Practise Panel.

medical expert

means a medical expert appointed by the President for the purpose of serving on Medical and Review Panels;

Medical member

Medical Panel

means a panel constituted under Section 5.E;

Member State 

means a state which is a member of the European Union;

minor criminal offence

includes:

   (a)        an offence committed in the United Kingdom which is a fixed-penalty offence under the Road Traffic Offenders Act 1988;

   (b)        an offence committed in the United Kingdom or abroad which is dealt with by a procedure substantially similar to that for such a fixed-penalty offence;

   (c)        an offence whose main ingredient is the unlawful parking of a motor vehicle.

non-authorised body

any body that is not a regulated entity;

non-authorised individual

means any individual who is not a BSB authorised individual or an authorised (non-BSB) individual

non-authorised person

means:

   (a)     non-authorised bodies; and

   (b)     non-authorised individuals;

non-reserved activities

means any activities other than reserved legal activities;

means:

   (a)       in relation to a BSB entity that is a company or an LLP (or an applicant to become such a body), any person who holds a material interest in that company or LLP;

   (b)       in relation to a BSB entity that is a partnership (or an applicant to become such a body), any partner of that partnership who holds a material interest in that partnership;

o,p,q

Owner

means:

   (a)       in relation to a BSB entity that is a company or an LLP (or an applicant to become such a body), any person who holds a material interest in that company or LLP ;

   (b)      in relation to a BSB entity  that is a partner ship (or an applicant to become such a body), any partner of that partner ship who holds a material interest in that partner ship;

parental leave

means leave from practice taken by a carer of a child preceding or following birth or adoption. This could be the mother, father or adoptive parent of either sex, and includes the married, civil, or de facto partner of a biological or adoptive parent.

partner

means a person who is or is held out as a partner in an unincorporated firm.

partnership

means an unincorporated partner ship, and includes any unincorporated firm in which person s are or are held out as partner s, but does not include an LLP ;

PCC

means the Professional Conduct Committee and its successors in title from time to time;

period of deferral

A sentence imposed prior to 1 November 2017 that was deferred for a period no less than six months and no more than two years long;

person

includes a body of person s (corporate or unincorporated);

In Part 5 means the petition of appeal served pursuant to Rule E236.1

practice

means the activities, including business related activities, in that capacity, of:

a)    a practising barrister ;

b)    a barrister exercising a right of audience in a Member State other than the United Kingdom pursuant to the Establishment Directive , or the European Communities (Lawyer’s Practice ) Regulations 2000;

c)    a BSB entity;

d)    a manager of a BSB entity;

e)    an employee of a BSB entity;

“practise”, “ practising ” and “ practise d” should be construed accordingly;

practising address

means an address from which the services which consist of or include the carrying on of reserved legal activities are being provided;

practising barrister

means a barrister who practises as a barrister as defined in Rule S9

practising certificate

means a full practising certificate , a provisional practising certificate , a limited practising certificate , or an European lawyer's practising certificate or a temporary practising certificate issued by the Bar Council ;

practising certificate fee

means the amoun tpayable for a practising certificate each year, such amount to be calculated by reference to the Schedule of Practising Certificate Fees issued by the Bar Council from time to time, together with the provisions of Section 3.C;

practising certificate year

means the period from 1 April in any calendar year to 31 March in the next calendar year;

the President

means the President of the Council of the Inns of Court;

probate activities

has the same meaning as set out in paragraph 6 of Schedule 2 to the LSA;

professional client

means  in relation to giving instructions to a BSB authorised person :

   (a)        any person authorised by another approved regulator or  licensing authority;

   (b)        an employed barrister or registered European lawyer;

   (c)        any practising barrister or registered European lawyer acting on their own behalf;

   (d)        any BSB authorised person who is authorised to conduct litigation;

   (e)        a foreign lawyer ;

   (f)        a Scottish or Northern Irish Solicitor ; or

   (g)         the representative of any body (such as a Legal Advice Centre or Pro Bono or Free Representation Unit) which arranges for the supply of legal services to the public without a fee, and which has been and remains designated by the Bar Standards Board (subject to such conditions as may be imposed by the Bar Council or Bar Standards Board in relation to insurance or any other matter whatsoever) as suitable for the instruction of barristers, and which instructs a barrister to supply legal services without a fee;

professional misconduct

means a breach of this Handbook by an applicable person which is not appropriate for disposal by way of the imposition of administrative sanctions, pursuant to Section 5.A;

professional principles

has the same meaning as set out in s. 1(3) LSA namely:

   (a)    that authorised person s should act with independence and integrity,

   (b)    that authorised person s should maintain proper standards of work,

   (c)    that authorised person s should act in the best interests of their clients,

   (d)    that person s who exercise before any court a right of audience, or conduct litigation in relation to proceedings in any court, by virtue of being authorised person s should comply with their duty to the court to act with independence in the interests of justice, and

   (e)    that the affairs of clients should be kept confidential.

progression

means for the purposes of the QASA Rules the process by which a barrister can increase their level under the QASA;

provisional accreditation

means for the purposes of the QASA Rules  accreditation that permits a barrister to undertake criminal advocacy in the courts in England and Wales for a period of up to 12 or 24 months, but which requires further steps to be taken to obtain full accreditation ;

provisional practising certificate

in accordance with Rule S64 a provisional practising certificate authorises a pupil in their second six to exercise a right of audience before every court in relation to all proceedings;

Provisional Qualification Certificate

means a certificate issued by the Bar Standards Board under Q68 or Q96 following satisfactory completion of, or exemption from, the non- practising six months of pupil age;

public access client

a client (other than a licensed access client ) that instructs a barrister directly on their behalf.

public access instructions

means instructions given to a barrister by or on behalf of a public access client, in accordance with Rules C119 - C131;

pupil

means an individual who is undertaking either the first non- practising six months of pupillage or the second practising six months of pupillage , or a part thereof andwho is registered with the Bar Standards Board as a pupil ;

pupil supervisor

an individual, qualified barrister who has been approved as a pupil supervisor by their  Inn of Court, and in accordance with the Bar Training Regulations;

pupillage

means a period of professional training under Section 4.B5 and includes a period of external training for which permission has been given by the Bar Standards Board under rQ45;

QASA

means the Quality Assurance Scheme for Advocates developed by the Joint Advocacy Group and set out in the QASA Rules and QASA Handbook ;

QASA Handbook

means the Handbook for the Quality Assurance Scheme for Advocates(crime) developed by the Joint Advocacy Group and published from time to time;

QASA level

means one of the four QASA levels. Advocates will be accredited at one of these levels and this will correspond to the level of hearings that they can undertake;

means the Qualifications Committee of the Bar Standards Board or its successor;

Qualification Regulations

means the rules on qualification set out at Part 4;

qualified European lawyer

means a person who is a national of a Relevant State and who either:

(a)        holds a diploma required in a Relevant State for the practice of a legal profession regulated by that State which diploma satisfies the requirements of Regulation 29(1)(a) of the European Qualification Regulations; or

(b)        satisfies the requirements of Regulation 29(1)(b) of the European Qualification Regulations;

qualified foreign lawyer

means a person who is a member of a legal profession regulated in a jurisdiction outside England and Wales and entitled to practise as such;

qualified lawyer

means a person who is authorised to practise by another Approved Regulator, a Qualified European Lawyer or a Qualified Foreign Lawyer ;

the Quality Assurance Committee

means the Quality Assurance Committee of the Bar Standards Board or its successor;

Quality Assurance Scheme for Advocates Rules (QASA Rules)

means the rules set out in rC31 to rC63 of the Handbook ,

"QASA Rules" shall be construed accordingly;

r,s,t,u

re-accreditation

means for the purposes of the QASA Rules  the process by which a barrister demonstrates their competence and renews their accreditation at their existing level for a further five years,

"re-accredited" shall be construed accordingly;

a realistic prospect of a finding of professional misconduct being made

means that the PCC considers, on the information then available to it and having regard to the evidence which it regards as likely to be available at any tribunal or final determination of a complaint, that it is more likely than not that a finding of professional misconduct will be made;

a realistic prospect of the disqualification condition being satisfied

means that the PCC considers, on the information then available to it and having regard to the evidence which it regards as likely to be available at any tribunal or final determination of a complaint, that it is more likely than not that it shall be determined that the disqualification condition has been satisfied;

referral fee

means any payment or other consideration made in return for the referral of professional instructions by an intermediary,

For the avoidance of doubt, a payment for the provision of a particular service or for some other reason, and not for the provision or referral of professional instructions is not a referral fee for the purposes of this definition;

register of European lawyers

means the register of European lawyers maintained by the Bar Standards Board under regulation 15 of the European Communities (Lawyer's Practice ) Regulations 2000(SI 2000/1119).

registered European lawyer

meansa European lawyer registered as such by the Bar Council and by an Inn in accordance with Section 3.D;

Registered European lawyer's practising certificate

means, in accordance with rS68, a practising certificate which entitles a registered European lawyer to carry on the same reserved legal activities as a full practising certificate issued to a barrister, save that:

   (a)       a registered European lawyer is only authorised to exercise a right of audience or a right to conduct litigation if they act in conjunction with a solicitor or barrister who is entitled to practise before the court, tribunal or public authority concerned and who could lawfully exercise that right; and

   (b)       a registered European lawyer is not authorised to prepare for remuneration any instrument creating or transferring an interest in land unless they have a home professional title obtained in Denmark, the Republic of Ireland, Finland, Sweden, Iceland, Liechtenstein, Norway, the Czech Republic, Cyprus, Hungary or Slovakia;

registration

means for the purposes of the QASA Rules the process by which barristers enter the QASA ;

Regulated entity

Means BSB entity or authorised (non-BSB) body

regulatory objectives

has the meaning given to it by section 1 of the LSA and consists of  the following objectives:

   (a)        protecting and promoting the public interest;

   (b)        supporting the constitutional principles of the rule of law;

   (c)        improving access to justice;

   (d)        protecting and promoting the interests of consumers;

   (e)        promoting competition in the provision of the services;

   (f)         encouraging an independent, strong, diverse and effective legal profession;

   (g)        increasing public understanding of the citizen's legal rights and duties; and

   (h)        promoting and maintaining adherence to the professional principles;

relevant activity

means:

a. those activities set out in paragraph 7(2) of the Legal Services Act (General Council of the Bar) (Modification of Functions) Order 2016; or

b. in relation to a BSB licensed body , those set out in section 99(2) of the LSA.

relevant breach

in Parts 5.A and 5.B means a breach of the Code of Conduct amounting to professional misconduct .

relevant decision

means:

   (a)        a decision of a Disciplinary Tribunal ; or

   (b)        a decision, on review, by the BSB under Part X of the Bar Training Regulations (where the Bar Training Regulations provide for an appeal to the High Court against such a decision), herein a “Qualification Decision”;

Relevant State

means a Member State , Iceland, Norway, Liechtenstein or Switzerland;

reserved instrument activities

has the same meaning as set out in paragraph 5 of Schedule 2 to the LSA;

reserved legal activity

means:

a)         the exercise of a right of audience;

b)         the conduct of litigation ;

c)         reserved instrument activities;

d)         probate activities ;

e)         notarial activities; and

f)          the administration of oaths;

“reserved activities” shall be construed accordingly.

In Part 5 means the person with an interest in upholding a relevant decision , being:

(a) in the case of an appeal by the BSB against a decision of a Disciplinary Tribunal , the defendant;

(b) in all other cases, the BSB;

Restriction

in Section 5.E, means a suspension or disqualification , imposed, extended, varied or replaced by a Panel under Regulations rE302, rE304, rE309, rE310 or rE320 of Section 5.E.

review panel

In Section 5.D, means a review panel constituted in accordance with rE255 of that Section V.D, to perform the functions set out in paragraphs rE270 to rE272 of that Section 5.D;

right of audience

has the same meaning as set out in paragraph 3 of Schedule 2 to the LSA;

right to conduct litigation

as conduct of litigation above: has the same meaning as set out in paragraph 4 of Schedule 2 to the LSA.  Conducting litigation shall be construed accordingly;

Scope of Practice, Authorisation and Licensing Rules

means the rules set out at Part 3 of this Handbook ;

selection panel

any panel formally tasked with the final decision on recruitment or selection or promotion (as the case may be) of pupils, assessed mini-pupils, tenants, clerks, or staff, or,in the context of a BSB entity , any panel formally tasked with the final decision on recruitment or selection or promotion (as the case may be) of pupils, assessed mini-pupils, manager s oremployees of that BSB entity ;

self-employed barrister

means a practising barrister who is self-employed; 

Senior Courts

means the Senior Courts of England and Wales, namely, the Court of Appeal, the High Court of Justice and the Crown Court;

serious matter

For the purpose of Section 4.B8, a matter is a serious matter if it:

   (a)        falls within Rule Q104.1 or Rules Q104.2.b to .f; or 

   (b)        in the opinion of the Inn otherwise calls into questionwhether the Student is a fit andproper person to become a practising barrister .

solicitor

means a solicitor of the Supreme Court o fEngland and Wales;

specified amount

means in respect of a pupil , the amount payable to a pupil in their non- practising period or their practising period (as appropriate), such amount being specified by the Bar Standards Board from time to time;

the standard directions

mean the standard directions set out at Annex 6 to Section 5.B (as such Annex may beamended or updated by the Bar Standards Board from time to time);

statement of standards

means for the purposes of the QASA Rules the standards against which the competence of advocates will be assessed for the purposes of registration , progression and re - accreditation .

suitability criteria

means:

   (a)       in respect of a HOLP , the criteria set out at Rules S104, S105 and S110;

   (b)       in respect of a HOFA , the criteria set out at Rules S106, S107 and S110;

   (c)       in respect of owner s, the criteria set out at Rule S108 and S110; and

   (d)        in respect of manager s, the criteria set out at Rule S109 and S110;

Supervision Team

means the SupervisionTeam of the Bar Standards Board

suspended or suspension

means to suspend the practising certificate, licence or authorisation of a BSB authorised person, either generally or in respect of any separate authorisation that person may have to conduct litigation or to carry out public access work which power when exercised on an interim basis, shall be exercised in accordance with Section 5.D and when exercised in fitness to practise proceedings shall be exercised in accordance with Section 5.E.

trade association

means a body of person s (whether incorporated or not)which is formed for the purpose of furthering the trade interests of its members or of person s represented by its members, and does not include any association formed primarily for the purpose of securing legal assistance for its members;

Temporary Qualification Certificate

means a certificate issued by the Bar Standards Board under Rule Q100 authorising a Qualified Foreign Lawyer to be admitted to temporary membership of an Inn and called to the Bar for the purpose of appearing as counsel in a particular case or cases before a court or courts of England and Wales;

unfit to practise

when used to describe a BSB authorised individual means that the individual:

is incapacitated due to their physical or mental condition (including any addiction); and, as a result, the Individual’s fitness to practise is impaired; and, the imposition of a restriction, or the acceptance of undertakings in lieu, is necessary for the protection of the public, is otherwise in the public interest or is in the Individual’s own interests.

university

means an institution which makes available educational services under a name which includes the word “university” andin the case of an institution to which section 39(1) of the Higher EducationAct 1998 applies which is authorised or has approval to include that word inthat name as mentioned in that subsection;

unregistered barrister

means an individual who does not hold a practising certificate but who has been called to the Bar by one of the Inns and has not ceased to be a member of the Bar ;

UK

means United Kingdom;

v,w,x,y,z

victimisation

has the same meaning as in section 27 of the Equality Act 2010;

means, in respect of appeals made before 7 January 2014, the panel nominated to hear an appeal pursuant to Rule E244.1 or, in the case of an appeal within Rule E244.3 to E244.5 the single judge nominated to hear the appeal

vocational stage

has the meaning set out in rQ27;

workforce

means:

   (a)       in the case of a Chambers , the staff, barristers, pupils and assessed mini-pupils; and

   (b)       in the case of a BSB entity , the employees , managers , pupils and assessed mini-pupils;

Years' standing

Means that a barrister shall be treated as being of a particular number of years' standing if they:

a)          have been entitled to practise and have practised as a Barrister (other than as a pupil who has not completed pupillage in accordance with the Bar Training Regulations) or as a person authorised by another Approved Regulator ;

b)      have made such practice their primary occupation; and

c)      have been entitled to exercise a right of audience before every court in relation to all proceedings,

for a period (which need not be continuous and need not have been as a person authorised by the same Approved Regulator ) of at least that number of years.