22 September 2019

Rules and Policies

This page contains links to all the Professional Conduct Department's published resources.

If you need further information on any of the resources below, please contact the Professional Conduct Department. 


Aims and Objectives

Departmental Aims and Objectives


Information on the Complaints Process

Complaint Form and Guidance Notes

Equality & Diversity Monitoring Form

How to Make a Complaint about a Barrister - Leaflet

Information for Barristers Facing a Complaint - Leaflet

Information on Disciplinary Tribunals - Leaflet

Administrative Sanctions: Imposing Warnings and Fines - Leaflet

Enforcement Process Flow-Diagram


The BSB Handbook

Part 5: The Enforcement Regulations, which include:

  • Part 5, Section 5A: Complaints Regulations
  • Part 5, Section 5B: The Disciplinary Tribunals Regulations
  • Part 5, Section 5C: Hearings before the Visitors Rules
  • Part 5, Section 5D: Interim Suspension and Disqualification Regulations 
  • Part 5, Section 5E: Fitness to Practise Regulations


The Enforcement Strategy

The Enforcement Strategy 2019


Policy and Guidance

Decision Making Guidance

Appeals against administrative sanctions - Guidance for barristers 

Guidance on Appeals against decisions of Disciplinary Tribunals and the Qualifications Committee of the Bar Standards Board (Applicable only to tribunal decisions made on or after 7 January 2014)

Guidance on the Application of the Hearings Before the Visitors Rules 2010  (Applicable only to tribunal decisions made on or before 6 January 2014)

Guidance of the Fitness to Practise Regulations

Determination by Consent - Explanatory note for barristers and authorised bodies

Complaints of Discrimination and/or Victimisation or Harassment

Investigation of Complaints

Guidance on approach to criminal convictions incurred by regulated persons

Complaints about barristers working for or on behalf of the BSB


Authorisations under Part 5 of the BSB Handbook

Policy on authorisations under Part 5 of the BSB Handbook

Annex 1: Table of Authorisations

Annex 2: Authorisations - Template


Categorisation of complaints

Categorisation of complaints and staff authority to take decisions

Annex 1: Table of Categorisations


Publication and Disclosure

BTAS' Policy on the Publication of Disciplinary Findings

BSB's Policy on the Publication of Disciplinary Findings 

Disclosure of Documents in Disciplinary Proceedings


Sentencing Guidance

Sentencing Guidance 2014

Sentencing Guidance 2013

Sentencing Guidance 2009


Information and Guidance Packs

Committee Information and Guidance Pack 2014 (Applicable from 6 January 2014)

Committee Information and Guidance Pack 2013 (Applicable up to 5 January 2014)

Prosecution Panel Information and Guidance Pack 2014 (Applicable from 6 January 2014)

Prosecution Panel Information and Guidance Pack 2011 (Applicable up to 5 January 2014)


Disciplinary Tribunals

Guidance on Attending a Disciplinary Tribunal

Guidance for Witnesses Called to Give Evidence at Disciplinary Tribunals

Location Map for Disciplinary Tribunals

Guidance on three and five person disciplinary tribunal cases and disqualification orders


The Legal Ombudsman (LeO)

Legal Ombudsman Conduct complaints - Referrals to the Bar Standards Board*


Performance Reports and Reviews

Annual and Quarterly Performance Reports 

User Feedback Survey Reports

Diversity Reports

Strategic Review 2007

Thematic Review: Complaints Received From Litigants in Person (or Self-Represented Litigants)


Reports of the Independent Observer

Independent Observer's Report (January 2015-June 2015) - Interim Report

Independent Observer's Report (July 2014- December 2014)

Independent Observer's Report (November 2013 - June 2014) 

Independent Observer's Report (June 2013 - October 2013) - Interim Report

Independent Observer's Annual Report (June 2012 - May 2013)

Independent Observer's Annual Report (May 2011 - May 2012)


Prosecution Panel

Prosecution Panel - New member selection process

Prosecution Panel - Information Sheet


Appeal and Judicial Review Judgements        

Appeal and Judicial Review Judgements


Standard of Proof

Guidance on Standard of Proof