Background facts
23The background facts were substantially uncontroversial. The barrister prepared submissions for and appeared in the Court of Criminal Appeal on behalf of a Mr Hardt who had been convicted in the Land & Environment Court of offences against Section 144(1) of the Protection of the Environment Operations Act, 1997 ("PEOA") of permitting his land to be used as an unlawful waste facility. The barrister had not appeared for Mr Hardt in the proceedings in the Land & Environment Court which were heard between 13 and 15 March 2006. Mr Hardt had pro bono representation by a solicitor and a barrister. On 19 July 2006 the Chief Judge of the Land & Environment Court published reasons finding Mr Hardt guilty. Proceedings as to sentence were heard on 30 April 2007. Again Mr Hardt was not represented by the barrister but was represented pursuant to a grant of legal aid. On 1 May 2007 Mr Hardt was fined and ordered to pay costs in the agreed sum of $105,000 and to conduct some agreed remediation of the property.
24On or about 9 May 2007 the barrister was briefed by Ms Daphne Kennedy a solicitor. The barrister conferred with Ms Kennedy and Mr Hardt on 14 May 2007 and provided an advice in relation to the matter on 15 May 2007 (Exhibit A, P40-42).
25A grounds of appeal signed by Ms Kennedy but apparently drafted by the barrister was filed on or about 6 June 2009 (Exhibit A, P46-49).
26The barrister prepared submissions in support of those grounds of appeal but they were mistakenly dated 6 May 2007 and not 6 June 2007 (Exhibit A, P50-56). It is these submissions that are the basis of ground 1 (a) in the application for original determination.
27On 23 July 2007 the barrister signed a notice under Section 78B of the Judiciary Act 1903 (Exhibit A, P58-64). The barrister indicated in correspondence with the Council that the submissions should not be read without reference to that document.
28On 10 September 2007 counsel for the EPA signed and filed submissions in reply (Exhibit A, P67-136). Those submissions highlighted what counsel for the EPA believed to be extensive deficiencies in the grounds of appeal and the submissions in support thereof prepared by the barrister. For example with respects to grounds 1, 2, 7 and 8 of the appeal it was noted that a claim of illegal entry was irrelevant unless it is also claimed that the evidence admitted in the hearing had been improperly obtained and should not have been admitted. It was pointed out that the submissions of the barrister did "not identify the evidence to which objection would now be taken" (Exhibit A, P85).
29The submissions of the EPA also claimed that grounds 3, 4, 5 and 6 were without foundation. It was stated that ground 9 was not understood (Exhibit A, P92) and that there was uncertainty as to the content of ground 11 (Exhibit A, 94). It was further stated that ground 11 misstated the primary judge's construction of Section 144 of PEOA (Exhibit A, P107), that ground 12 was a reiteration of grounds 10 and 11 (Exhibit A, P116) that ground 18 was unable to be understood with any certainty (Exhibit A, P132) while that grounds 19 and 20 were not available as Mr Hardt himself had raised the conditions of the development consent by way of defence in the proceedings below and the trial judge could not have erred by taking that material into account (Exhibit A, P134).
30The barrister sometime before 17 October 2007 prepared and signed further submissions in reply to submissions from the respondent (Exhibit A, P141-145) it is these submissions which form the basis of ground 1(b).
31Sometime in late November 2007 the barrister requested Ms Kennedy seek an adjournment of the Court fixture because he was feeling unwell. This was not consented to and no formal application was actually made to the Court.
32The appeal was heard on 29 November 2007 by Giles JA, Grove J and Harrison J. It was the oral submissions made the barrister at this hearing which formed the basis of ground 2 of the application for original decision.
33During the making of those oral submissions the barrister withdrew ground 4 of the appeal at the commencement of the appeal and during the course of the hearing abandoned grounds 1, 2, 3, 5, 6, 7, 8 and 9.
34Judgment was handed down on 12 December 2007. The primary judgment was written by Giles JA. Those grounds which had not been either abandoned or withdrawn were rejected and the appeal was dismissed with costs. In the course of his judgment Giles JA was critical of the Notice of Grounds of Appeal, the written submissions, the written submissions in reply and the oral submissions. The Judge directed that the Registrar of the Court send a copy of the reasons to the President of the New South Wales Bar Association "for such action as the President might consider appropriate". Grove J agreed with the judgment and the direction as did Harrison J (Exhibit A, P221-222).
35Thereafter the Legal Services Commissioner initiated a complaint by record of decision dated 17 January 2008. No point has been taken that the investigation of that complaint nor the bringing of the application for original decision did not comply with the provisions of the LPA.
36There was a factual dispute as to whether Mr Hardt had instructed the barrister to bring an appeal which in effect challenged the right of the agents of the Environment Protection Agency to enter into his property. These have been referred to as constitutional grounds and civil rights grounds. Ms Kennedy and the barrister claimed that Mr Hardt having consulted a friend, Mr Anning, had instructed them to make such a claim. Mr Hardt in his Affidavit, sworn 2 November 2010, conceded that the barrister told him he could not guarantee the outcome of the appeal but denied he had ever insisted on any constitutional defence being raised. Indeed Mr Hardt said he was not aware of what the phrase meant. In cross examination Mr Hardt did not concede he wanted the barrister to raise a defence based on civil rights or constitutional points but he did agree he was very upset with the decision of the Land & Environment Court and with the limited defence run on his behalf in those proceedings. Mr Hardt agreed he told the barrister he wanted a full appeal aimed at correcting the wrongs which he perceived had been done to him in the Court below.
37With respect to this factual dispute the Tribunal accepts that although Mr Hardt may not have used the terminology of civil rights or constitutional defence he did instruct the barrister to pursue these points on the appeal despite being advised that they may not be ultimately successful.
38There was a further minor factual issue with respect to the lodging of the special leave to appeal in the High Court. The barrister maintained that it was Mr Hardt's decision to lodge this application while Mr Hardt said he was unaware it had even been unsuccessful until he found out by some indirect means. We do not think it necessary to resolve this factual dispute as it has no direct bearing on the issues before us.