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Code of Conduct
Click a Heading * Interpretation * General principles * The Complaints Tribunal * Publication of Membership * Change of Address * Client Money * Dispute Resolution * Supervision * Practice outside jurisdiction * Obtaining instructions * Accepting and acting upon instructions * Fees * Confidentiality * The Member as an advocate * Professional undertakings Interpretation 1. Headings in this Code of Conduct are for convenience only and do not affect their interpretation. 2. Words importing the masculine gender only shall include the female gender and words importing the singular number only shall include the plural and vice versa. 3. The term "Member" shall denote Fellows, Associates, Affiliates and Students of the Association. 4. "The Council" denotes the Council of the Association as constituted in the Association's articles and byelaws. General principles 5. It is the duty of every Member: 5.1 To comply with all provisions of this Code applicable to him. 5.2 To comply with the declaration made on his admission to membership and on renewal of membership. 5.3 Not to engage in any conduct which is prejudicial to the administration of justice, which is dishonest or otherwise discreditable to the Association or which is likely to bring the Association into disrepute. 5.4 To provide to the Council, forthwith, a full and frank report of any of the following events: 5.4.1 Any complaint (from whatever source) that the Member has acted in breach of this Code. 5.4.2 Any material breach of this Code by the Member or any other Member. 5.4.3 Any prosecution of the Member or any other Member for any criminal offence, save fixed penalty motoring offences. 5.4.4 Any matter relating to the Member's insolvency or any other Member's insolvency including the issue of a bankruptcy petition or any proposal, whether formal or informal, for an arrangement with a Member's creditors. 5.4.5 Any breach of an undertaking given by a Member. Complaints and Disciplinary Procedures 6. Members of the ALCD are governed by a Code of Conduct and are expected to co-operate and comply with the ALCD Complaints and Disciplinary Procedure. Should a Member or a third party wish to make a complaint, or where it is suspected that a Member is in breach of the Code of Conduct, a complaint should be made to the ALCD using the complaints form published for the purpose. The form is obtainable from the ALCD website or the Administrative Secretary. (The complaints form is accompanied by Notes for Guidance.) Completion and submission of the complaints form will start the ALCD Complaints and Disciplinary Procedure. 6.1 Upon receipt of a completed complaints form the matter is passed immediately to the Clerk to the Complaints Committee of the Council (usually the CEO fulfils this role). 6.2 A copy of the complaint is sent to the Member for their response to the allegations. The Member has 21 days in which to respond. Failure to respond is, in itself, a breach of the Code of Conduct. Under exceptional circumstances the Clerk to the Complaints Committee may extend this time scale. Requests for an extension and agreement thereto must be in writing. A copy of the member’s response and of any extensions of time will be sent to the complainant. 6.3 The matter is then passed to the Chairman of the Complaints Committee of the Council of the ALCD who will usually be the Vice-Chairman. 6.4 The Complaints Committee is made up of 5 members of the ALCD Council who are Fellows. The quorum for any meeting of the Committee will be 3. 6.5 The complainant and the member will be advised when the matter is to be considered by the Complaints Committee and reported to the Council and will be advised of their decision, in writing, by the Clerk to the Complaints Committee within 7 days. 6.6 The Complaints Committee may recommend to the Council of the ALCD that they: 6.6.1 Expel, admonish, reprimand or warn a member; 6.6.2 Require a member to give undertakings as to his/her future conduct; 6.6.3 Request further information; 6.6.4 Reject the complaint; or If it is a serious matter (e.g. involving dishonesty or fraud), refer the complaint to the Complaints and Disciplinary Tribunal. 6.7 The Complaints Committee will consider, make a report and recommendations to the Council and ensure this is within a maximum of 3 months of the complaint having been made. 6.8 The Council shall at the first available meeting after the receipt of the Committee’s report consider the Committee’s recommendations and take such action as shall be appropriate with regard thereto. 6.9 The Member may appeal against a decision of the Council based upon the recommendations of the Complaints Committee within 21 days of receiving notice thereof. The matter will be considered by an Appeals Tribunal of 3 persons drawn from the list of lay members mentioned in paragraph 7 below. The Appeals Tribunal may affirm or vary the findings of the Council. This will be dealt with within 28 days of receipt of the appeal. The Clerk to the Complaints Committee will be responsible for progressing the matter. The decision of the Appeals Tribunal shall be considered by the Council. 7 A Complaints and Disciplinary Tribunal shall consist of a minimum of 3 lay representatives appointed by the Council from the list maintained by the Administrative Secretary deemed to be of appropriate expertise and standing, who are independent of the ALCD, together with 2 Fellows of the ALCD one of whom shall act as Chairman of the Tribunal and who shall ordinarily be the Chairman of the ALCD. The relevant persons must not have been a member of the Complaints Committee which dealt with the matter. The Clerk of the Complaints Committee shall also act as Clerk to the Tribunal and will be responsible for convening the Tribunal. 8. A date for a Tribunal hearing will be set as soon as practicable and consultation by the Clerk with the Tribunal members. 8.1 The complainant will be informed of the date of the hearing not less than 14 days in advance thereof and may be required to attend as a witness. 8.2 The Member shall be similarly given not less than 14 days advance notice of the date of the hearing. He shall be entitled to attend and to be accompanied at the hearing by another Member. Should the Member wish to be professionally represented he may be so at his own expense. The complainant shall also be entitled to be professionally represented at his own expense. 8.3 Both the Complainant and the Member shall be entitled to make further written representations to the Tribunal not less than 7 days before the date of the hearing. The Clerk shall ensure that any such representations are made available to the other party before the hearing date. 8.4 The Complaints and Disciplinary Tribunal will seek evidence, hear and report on a matter within 3 months of being convened. 8.5 The Tribunal will decide whether the complaint has been proved and, if it has been proved, what disciplinary action should be recommended 8.6 The Tribunal may recommend to the Council of the ALCD any or any number of the following 8.6.1 The expulsion of the Member from the ALCD. 8.6.2 The suspension of the Member from membership of the ALCD. 8.6.3 The payment by the Member of a penalty not exceeding 100 times the Members current subscription which shall be forfeit to the Association. 8.6.4 That a Member or person involved in the Tribunal’s proceedings is required to contribute to the Tribunal’s Costs or the costs of any other Member or person involved in the Tribunal’s proceedings. 8.6.5 Any of the sanctions set out in paragraph 6.6 above. 8.7 The Council shall at the first available meeting after the receipt of the Tribunal’s report and after the expiry of the appeals period mentioned below consider the Tribunal’s recommendations and, if appropriate, implement the penalty or penalties or sanction to be imposed and in its discretion publish the Tribunal’s findings and recommendations and its resolutions upon those recommendations. 8.8 The complainant and the Member are to be advised of the Council’s decisions arising from the recommendations of the Tribunal within 7 days by the Clerk. 9.0 The Member may appeal against a decision of the Council based upon the result of a Complaints and Disciplinary Tribunal within 21 days of receiving notice thereof. The matter will be considered by an Appeals Tribunal of 3 persons drawn from the list of lay members previously mentioned (but excluding any such members who formed part of the relevant Complaints Committee or Complaints and Disciplinary Tribunal). The Appeals Tribunal may affirm or vary the findings of the Complaints and Disciplinary Tribunal. This will be dealt with within 28 days of receipt of the appeal. The Clerk to the Complaints Committee will be responsible for progressing the matter. The decision of the Appeals Tribunal shall be considered by the Council. |
Publication of Membership 10 A Member shall not be entitled to hold himself out as a Member or to advertise himself as such or to pass himself off as being a Member unless: 10.1. He has been duly admitted as a Member. 10.2 His name is on a definitive list of Members retained by the Administrative Secretary. 10.3 He carries professional negligence insurance at the minimum level set by the Council from time to time. 10.4 He complies with the Association's publicity code as determined by the Council from time to time, in all respects. 10.5 His application fee has been paid and his annual subscription has been paid. 10.6 He has completed to the satisfaction of the Council an annual certificate of fitness of membership and a declaration of solvency. 11. In the case of firms or companies they shall not be entitled to hold out that they are Members or to advertise that they are Members or to pass off that they are Members unless: 11.1. All directors and partners engaged in practising in costs are admitted as Members within 6 months of commencing employment with the company or firm. 11.2 All directors and partners engaged in practising in costs are on a definitive list of Members retained by the Administrative Secretary. 11.3 All directors, partners and employees carry professional negligence insurance at the minimum level set by the Council from time to time. 11.4 All directors, partners and employees comply with the Association's publicity code as determined by the Council from time to time, in all respects. 11.5 All application fees have been paid and annual subscriptions have been paid. 11.6 All annual certificates of fitness of membership have been completed to the satisfaction of the Council. Change of address 12. A Member shall notify the Secretary of any change of his place of employment or place or places of business and home address at least fourteen days in advance of the date on which the change is to take effect. Client money 13. No Member may accept or retain any monies tendered or remitted to him in settlement or part settlement of any claim for costs of a Member’s client. Dispute resolution 14. Members are encouraged to refer disputes between themselves and their clients to the Council who will offer to arrange arbitration, adjudication or mediation of the dispute as the client, the Member and the Council may determine and agree. Supervision 15. Any Member responsible for the employment or supervision of other costs draftsmen is required to ensure that they conduct themselves in accordance with this Code irrespective of whether those being supervised are Members. Accordingly, Members may be vicariously liable for any breaches of this Code by their employees, agents or subordinates.. 16. Any material alteration in the composition of a Member's firm must be notified promptly to the Administrative Secretary. Practice outside the jurisdiction 17. A Member's obligation to comply with this Code is unaffected by where he practices his profession. A Member practising in a jurisdiction outside England and Wales must make himself aware of and comply with the requirements of the local law and regulations concerning the practises of legal costs. Obtaining instructions 18. A Member may publicise his practice or permit another to do so, but must strictly adhere to the Council's publicity code as published from time to time. 19. A Member is entirely free to decide whether to accept or decline instructions from a prospective client save that instructions shall not be refused solely on the discriminatory grounds of age, sex, race or religious beliefs Accepting and acting upon instructions 20. A Member shall not accept instructions which compromise or impair or are likely to compromise or impair, any of the following: 1 The Member's independence or integrity. 2 The client's freedom to instruct a member of his choice. 3 The Member's duty to act in the best interests of his Client. 4 The good repute of the Member or of the Association. 5 The Member's professional standard of work. 21. A Member must decline to act in circumstances where it may appear that through a professional or social association or connection he is in a position to provide an unfair advantage to his client. 22. A Member must not act or must decline to act further where there is a conflict of interest between himself or his firm and his client, or a prospective client, or between two existing clients, or between an existing client and prospective client. 23. A Member must not enter into any agreement, the result of which is to preclude the Association from investigating the conduct of a Member. 24. A Member must not knowingly accept instructions to act in a matter in which another Member is retained by the same client. Where a client wishes to instruct another Member in place of an existing Member, he must first determine the first Member's retainer. 25. A Member who accepts instructions to act in a matter must carry out his instructions with diligence and must exercise reasonable care and skill and if he cannot do so must cease to act. 26. A Member must not act or where relevant must cease to act where the instructions would involve a Member in breach of the law or in breach of this Code. 27. A Member is under a duty to keep his clients properly informed as to the progress of their instructions and to respond promptly to reasonable requests from the client for information concerning the progress of instructions. 28. A Member must not terminate his retainer, except for good reason and upon reasonable notice. 29. On termination of his retainer, a Member must deliver to his client all papers and property to which the client is entitled or hold them to the order of the client. This obligation is without prejudice to the Member's right to a lien in respect of his outstanding fees. 30. A Member preparing any document for use in any existing or expected legal proceedings or negotiations must ensure that the document is accurate; any statements of fact recorded are true and that any costs claimed are both accurate and reasonable in accordance with the information available to the Member at the time the bill or schedule of costs was prepared. Fees 31. On taking instructions, a Member must agree with his client in writing the basis upon which his fees are to be charged and ensure that the charging arrangements are lawful. 32. A Member is under a duty to advise a client if, in the Member's opinion, the likely outcome of his instructions will not justify the expense or risk involved. 33. A Member may require his client to make a payment or payments on account of costs and disbursements to be incurred and may properly decline to receive instructions if such payments are not made. 34. A Member is personally responsible for paying the proper costs of any professional agent or other person whom he instructs on behalf of his client and unless there is an agreement to the contrary, such an obligation pertains irrespective of the Member's receipt of payment from his client. Confidentiality 35. A Member must keep confidential the affairs of his clients, his clients' clients, his opponent's clients, and his opponent's clients' clients to the extent that such affairs are confidential in nature and no waiver is given permitting disclosure, save that the Member shall be entitled to disclose to the court any information that he may be required to disclose for the purpose of discharging his instructions and not misleading the court. Without prejudice to the generality of the foregoing, confidential information will be deemed to include the charging arrangements of the Member's client and those of his client's opponent. The Member as an advocate 36. Any Member who appears before a court or other arbiter whilst carrying out his instructions has an overriding duty not to deceive or mislead the court or other arbiter. 37. A Member is bound to comply with any order of the court, or other arbiter and shall honour any undertaking given to the court or other arbiter. 38. A Member must not discuss the merits of any costs assessment with any arbiter of those costs otherwise than in the course of the formal determination of such costs. 39. A Member appearing before an arbiter as an advocate or as a professional witness should wear unobtrusive clothing which is suitable for the forum in which he appears. 40. A Member must show due deference to any arbiter before whom he appears and must not in any circumstances be in contempt of court. 41. On an assessment of costs, a Member must ensure that every available material point is made in support of his client's case and that his client's case is presented with integrity and fairness. 42. A Member who represents a client before the court or other arbiter must be in a position to confirm, if requested to do so, that he is entitled to represent his client. Professional undertakings 43. A professional undertaking is any unequivocal declaration of intention addressed to someone who reasonably places reliance on it and made by a Member in the course of practice or not in the course of practice but as a Member of the Association. 43. A Member who fails to honour the terms of a professional undertaking is, prima facie, guilty of serious misconduct. 45. An ambiguous undertaking by a Member shall be construed in favour of the recipient. No terms will be implied to an undertaking and extraneous evidence will generally not be considered. 46. An undertaking does not have to constitute a legal contract to be enforceable in conduct and is still binding even if it is to do something outside the Member's control. 47. A Member is responsible for honouring an undertaking given by any Member's employee or agent, whether or not that person is a Member and the Member will be held personally liable to honour any such undertaking unless such liability is expressly disclaimed in the undertaking itself. 48. Where a Member in partnership gives an undertaking, all partners are responsible for its performance. 49. A Member who gives an undertaking, which is dependent upon the happening of a future event, should notify the recipient immediately that it becomes clear that the event will not occur. |
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