d1sfz4sbegniw9.cloudfront.net€¦ · web view2020. 2. 26. · all printed copies (if any) are...

Deans Court Chambers Practice Management Standard

Authorisation for Release

Issued by

Signature

Position Senior Clerk

Date 06.09.2016

Issued to 1. Clerks Room2. Shared Drive

Controlled Yes - All Copies Above are Controlled

Version Number 3.2

Page of Version: 3.2

Date: 06/09/2016Creator: Barmark Committee

Classification: Internal


CONTENTSTable of appendices and forms..................................................................................................................10 Introduction....................................................................................................................................5

0.1 Purpose & Scope 50.2 Distribution & Availability 50.3 Updating the Quality Manual 50.4 Control of External Documents 6

A Implementation, Monitoring and Review of these Standards........................................................7A.1 Quality Management System 7A.2 Familiarity with standards 7A.3 Monitoring of standards 7A.4 Internal Quality Audit / Procedure Reviews 8A.5 Management Review 8A.6 Dealing with Ad-hoc Problems 8

B Organisation and Management.....................................................................................................10B.1 Chambers Organisation 10B.2 Consistency and implementation of decisions 11B.3 Key PMS Responsibilities 11B.4 Strategic Planning and Marketing 12B.5 Marketing Plan 13B.6 Marketing Materials 13B.7 Review of plans 14

C Management of briefs, instructions and other communications...................................................15C.1 Receipt of instructions or diary booking 15C.2 Preliminary examination on receipt of papers 17C.3 Sensitive material 17C.4 Security of instructions and enclosures 18C.5 Time for completion of papers 18C.6 Progress and monitoring 18C.7 Completion 19C.8 Time recording 20C.9 Recording of work for CPS 20C.10 Other communications 20C.11 Email 21C.12 Checking on compliance 21C.13 Contact from members of the public 22C.14 Communications with the Legal Services Commission 22

D Financial procedures.....................................................................................................................23D.1 Definitions in this procedure 23D.2 Strategic Management of Chambers Finances 23D.3 Financial arrangements of individual members of Chambers 23D.4 Chambers expenses 24D.5 Payments between members of Chambers 25D.6 Day-to-day management of expenditure 25

E Procedure on fee collection..........................................................................................................27E.1 Aim of fee collection 27





E.2 Withdrawal of credit 27E.3 Paperwork 27E.4 Conferences and briefs 27E.5 Civil fees 28E.6 Criminal fees - privately paid 28E.7 Criminal fees - non-standard 28E.8 Magistrates' Courts fees 28E.9 Graduated fees 29E.10 CPS work 29E.11 Family work 29

F Recruitment and Continuing Education.......................................................................................30F.1 The Pupillage Secretary 30F.2 “Conventional” pupils 30F.3 Recruitment of established practitioners 33F.4 Emergency recruitment of Queen’s Counsel and practitioners of over 15 years’ call

Error! Bookmark not defined.F.5 Recruitment of Queen’s Counsel in all other circumstances Error! Bookmark not defined.F.6 Continuing Education 33

G Information Security (Under Review)..........................................................................................37G.1 Purpose 37G.2 Scope 37G.3 Compliance with Statutory and Regulatory Obligations 37G.4 Acceptable Use of Assets Policy 38G.5 Email acceptable use policy 38G.6 Internet Acceptable Use policy 38G.7 Mobile Devices Acceptable Use 39G.8 Photocopier Retention Policy 40G.9 Counsel’s Work Acceptable Use (Briefs, Instructions and other communications) 40G.10 Remote Access Acceptable Use 40G.11 Clear Desk, Clear Screen Acceptable Use 41G.12 Password Management 41G.13 Operational Procedures 42G.14 Use of Couriers 43G.15 Roles & Responsibilities / Reporting Security Breaches 44G.16 Related Documents 44G.17 Queries 45

H Procedure on Chambers Premises and Facilities..........................Error! Bookmark not defined.H.1 Administration 46H.2 Compliance with statutory obligations 46H.3 Health and Safety 46H.4 Other insurance 47H.5 Purchasing 47H.6 Library and book-borrowing 47H.7 Equipment 48H.8 Accommodation & Security 48H.9 Contingency Planning 49





H.10 Resources Review 49I Personnel procedures....................................................................................................................50

I.1 General 50I.2 Recruitment 50I.3 Procedures common to all employees of Chambers 52I.4 Annual Review 52

J Client Care Procedures.................................................................................................................54J.1 Informal complaints 54J.2 Central point of contact and recording 54J.3 Notification to complainant 55J.4 Investigation 55J.5 Conclusion of investigation 55J.6 Potential claim 55J.7 Independent assessment and conciliation 55J.8 Remedial action 55J.9 Client Surveys 55J.10 Seminar / Training Management 56

K Equal Opportunities......................................................................................................................57K.1 Introduction 57K.2 The Legislation 57K.3 Organisation for Equality 58K.4 Defining Discrimination 58K.5 Grievances 59K.6 The Selection of Pupils and Tenants 59K.7 Equality of Opportunities in Chambers 60K.8 Monitoring 60K.9 Parental Leave 61K.10 Communication of Equality Policy 61

Appendix 1: Complaints / Grievances Procedure....................................................................................62Appendix 2: Harassment Policy..............................................................................................................64Appendix 3: Parental Leave Policy.........................................................................................................68Appendix 4: Reasonable Adjustments Policy..........................................................................................70Appendix 5: Further Information.............................................................................................................71





Table of appendices and forms

0 Introduction

DCF-0-01 Revision History

AImplementation, Management &

Review

APP-A-01 Quality Policy Statement DCF-A-01 Audit Schedule for year

APP-A-02 Quality Standards DCF-A-02 Audit Reports for year

APP-A-03 Annual Management Review Agenda DCF-A-03 Audit Report Form

B Organization & Management

APP-B-01 Constitution DCF-B-01 Barristers’ Addresses

APP-B-02 Organisation Chart DCF-B-02 Barristers’ Contact Numbers

APP-B-03 Annual Chambers Meeting Agenda DCF-B-03 Staff Contact Details

APP-B-04 Management Committee Agenda DCF-B-04 Former Tenants and

Staff Contact DetailsAPP-B-05 List of Chambers

CommitteesAPP-B-06 Strategic Survey Review

Agenda

C Management of Briefs & Instructions

APP-C-01 Confidentiality & Conflict Policy DCF-C-01 Risk Assessment Form

APP-C-02 Management of Conditional Fee Cases DCF-C-02 Civil Briefs (Pink Form)

APP-C-03 Family High Cost Case Protocol DCF-C-03 CPS Green EXPF Form

APP-C-04A Family Ancillary Teamwork Letter DCF-C-04 CPS Standard Log

APP-C-04B Family Children Teamwork Letter DCF-C-05A Defence Graduated

Fee FormAPP-C-05A Civil Teamwork Letter DCF-C-05B Prosecution Graduated

Fee FormAPP-C-05B Crime Teamwork Letter DCF-C-06A Booking on Procedure

Page 1 of 75Version: 3.2




Checklist (Civil and Family)

APP-C-06 Direct Professional Access Procedure DCF-C-06B Booking on Procedure

Checklist (Crime)APP-C-07 Sensitive Materials Code DCF-C-07 Red Corner Form

DCF-C-08 Yellow Form (Family)

DCF-C-09 Family Graduated Fee Form

D Financial Management

No Appendices DCF-D-01 Family Graduated Fees Schedule

DCF-D-02 Family Graduated Fees - Table

E Collection of Fees

No Appendices No Forms

F Recruitment & Continuing Education

APP-F-01 Pupil Job Description DCF-F-01 Pupillage Selection Criteria

APP-F-02 Pupil Competence Framework DCF-F-02 Pupil Selection Form

(1st Interview)APP-F-03 Pupil Selection Criteria

Narrative DCF-F-03 Pupil Selection Form (2nd Interview)

APP-F-04 Tenancy Criteria DCF-F-04 Pupil Assessment Form

DCF-F-05 Established Practitioner Assessment Form

DCF-F-06 Shortlist-Longlist Scoresheet

DCF-F-07 Interview Scoresheet

DCF-F-08 Pupillage Logbook

G Data Management

APP-G-01 Control of Documents and Records Procedure DCF-G-01 Document and Record

Control Log

APP-G-02 Corrective and Preventative Actions Procedure DCF-G-02

Corrective and Preventative Actions Log





APP-G-03 Risk Assessment Procedure DCF-G-03 Risk Log

APP-G-04 Information Classification Matrix DCF-G-04 Risk Treatment Plan

APP-G-05 Training Manual - Barristers DCF-G-05 Document Template

APP-G-06 Training Manual - Staff DCF-G-06 Asset Inventory

APP-G-07 Training Manual Test - Barristers DCF-G-07 Information Security

Incident Report Form

APP-G-08 Training Manual Test - Staff DCF-G-08Information Security Vulnerability Report Form

DCF-G-09Confidentiality Undertaking (Contractors)

DCF-G-10Confidentiality Undertaking (Mini-pupils)

H Premises & Facilities

APP-H-01 Health & Safety Policy No Forms

APP-H-02 Security Measures

APP-H-03 Contacts with Authorities and Suppliers

APP-H-04 Library List

APP-H-05 Electronic Law Reports

APP-H-06 Contingency Plan

I Personnel Management

APP-I-01A Staff Induction List DCF-I-01 Staff Interview Checklist

APP-I-01B Pupil & Tenant Induction List DCF-I-02 Staff Induction Checklist

APP-I-02 Staff Contract DCF-I-03 Pupil/Tenant Induction List

APP-I-03 Job Description Example DCF-I-05 Appraisal Form

APP-I-04 Grievance Procedure

APP-I-05 Disciplinary Code





J Client Care

APP-J-01 Website Survey DCF-J-01 Complaint Form

APP-J-02 Client Opinion Checklist DCF-J-02 Seminar Planner

K Equal Opportunities

APP-K-01 Equal Opportunities Policy DCF-K-01 Equal Opportunities Monitoring Form

APP-K-02 Equal Opportunities Annual Review DCF-K-02

Disability Discrimination Checklist





0 Introduction

0.1 Purpose & Scope

0.1.1 This Quality Manual has been compiled with the following objectives in mind: to collate information on Chambers policies and procedures so that these may be

referred to whenever needed by new and existing personnel; to ensure that high standard of service and client care are maintained and

improved upon; to ensure compliance with practice procedures; to maintain high standards of efficiency and competence; to ensure compliance with the mandatory requirements of the Legal Services

Commission’s Quality Mark for the Bar when they come into force

0.1.2 Review of this Quality Manual will form part of the Induction Training of any new tenants, pupils or employees who commence work at Deans Court Chambers

0.1.3 The policies and procedures defined within the Quality Manual apply to Chambers services.

0.2 Distribution & Availability

0.2.1 The Quality Manual is available to all personnel for reference by having sufficient controlled copies distributed throughout Chambers as follows:

Reference LocationMaster : On Shared Drive

0.2.2 All printed copies (if any) are checked to ensure the content is correct and then authorised for release by the Senior Clerk by signing the Issue Box on the front page. Uncontrolled copies may also be issued if the Senior Clerk thinks this appropriate, but such copies will not be subject to the automatic update procedures described in the following section.

0.2.3 A copy of the Quality Manual was issued to all members when first issued and is brought to the attention of all new members and staff on commencement of work. These ‘first issues’ are uncontrolled and not subject to automatic updating. Where appropriate, notification of changes will be made via memo / e-mail and personnel referred to the controlled copies for further information if required.

0.3 Updating the Quality Manual

0.3.1 The Quality Manual (incorporating all Forms and Appendices listed Error: Referencesource not found) is kept as a controlled document and is updated in the following circumstances: if new policies and/or procedures are introduced; if existing policies and/or procedures are changed or modified; if existing policies and/or procedures are withdrawn;

0.3.2 The Chambers Administrator is responsible for ensuring that the Quality Manual is kept up-to-date at all times and will ensure that revisions to the Manual are: documented in a clear and concise manner summarised on the Revision History Record issued to all Controlled Copy holders advised to relevant personnel as necessary

0.3.3 Minor amendments to the Quality Manual can be made simply by amending the wording as required and dating and initialling the amended parts. Amendments will be shown by forwarded the current Version Number by one decimal place i.e. Version 1.0 would become 1.1, 1.2 etc. with each subsequent amendment. More extensive amendments and





re-prints incorporating previous amendments will be re-issued as a new Version - 2.0, 3.0 etc..

0.3.4 The Policies, Procedures and Appendices defined in the Quality Manual may be updated in response to:(a) changes to the Practice Management Standard;(b) changes to the Bar Council Code of Practice;(c) other guidance issued by the Bar Council or other appropriate body;(d) implementation of corrective action, for example in response to:

customer complaints customer surveys and feedback internal quality audits annual management review supervision procedures any other errors or inadequacies discovered elsewhere;

(e) Improvements suggested by any member, pupil or employee.(f) changes to the requirements of the Legal Services Commission’s Quality Mark for

the Bar when it comes into force

0.3.5 All suggestions for improvements to the contents of the Quality Manual should be discussed with the Senior Clerk or with a member of the Quality Mark Committee who will assess the validity of any ideas and if considered useful, put them forward for review and approval by the Management Committee if necessary.

0.3.6 In addition to sources of change listed in 0.3.4, the Quality Manual will also be reviewed annually as part of the Internal Audit and Management Review processes to assess the need to introduce changes to policy or practice.

0.3.7 The Chambers Administrator shall ensure that any updates are inserted into the correct place in all controlled copies the Quality Manual and the obsolete pages removed and discarded.

0.3.8 Any obsolete documents retained for reference purposes (by the Senior Clerk only) will be marked ‘obsolete’ to ensure they are not used inadvertently.

0.3.9 To ensure that the correct and latest versions of the Quality Manual and Appendices only are used, the status of each document will be shown as follows:

Quality Manual: Date of latest issue shown on the Revision History Record;Appendices: Date of latest issue shown on the List of Appendices;Forms: Date of latest issue shown on the List of Forms.

0.4 Control of External Documents

0.4.1 The Bar Council’s Code of Practice and the Bar Council’s ‘Practice Management Standards for the Bar’ are available online at http://www.barcouncil.org.uk .

0.4.2 The Senior Clerk, The Quality Mark Committee and each individual as part of their internal audit are responsible for reviewing information received from external organisations which is likely to affect the contents of the Quality Manual and for assessing changes required to the Quality Manual as a result. Such information will include but not be limited to, updates in relation to: The Bar Council’s Code of Practice; The Bar Council’s Practice Management Standards.

0.4.3 Where necessary, the proposed changes will be put to and agreed by the Management Committee and in the case of major policy changes, to Chambers as a whole before being formally adopted. Draft documents (pending approval) may be produced in the interim as a means of demonstrating the changes required.




http://www.barcouncil.org.uk/


A Implementation, Monitoring and Review of these Standards

A.1 Quality Management System

A.1.1 The Practice Management Standards (PMS) at Chambers is described in this Quality Manual. It is an organised set of policies, systems and procedures that have been developed to ensure we deliver the commitments of our Quality Policy Statement (App-A-01). The Quality Manual refers to: Other policy documents provided as Appendices to this Quality Manual; Quality Standards (App-A-02) which details specific aims, objectives and targets

relating to service / quality standards; Forms & precedents required for the consistent implementation of procedures; Regular quality audits which assess internal compliance with quality policy and

procedure; Mechanisms for obtaining and assessing feedback from clients; Mechanisms for dealing with problems requiring corrective / preventive action; Overall Management Review of the Quality System that leads to continued

improvement and innovation.

A.1.2 All work undertaken by Chambers can be dealt with effectively under the methods defined within this Quality Manual. There are no special cases that would call for the production of individual quality plans and special methods of control.

A.2 Familiarity with standards

A.2.1 All barristers and support staff are aware of Chambers Quality Assurance Policies, Plans and Procedures via the Chambers consultation process, the issue of documents and / or availability of documents for reference as appropriate. Adoption of the Quality Policy and the associated Practice Management Standards was via formal resolution at a Chambers meeting.

A.2.2 These standards must be posted on the Chambers server for easy reference. Hard copies must be provided upon request. A notice must be sent to every member of Chambers and every member of staff to this effect. Each recipient of the notice must acknowledge receipt of it on the tear-off form at the foot of the notice. Any new members of Chambers or members of staff must sign the induction sheets DCF-I-02 or DCF-I-03 to confirm that they understand where they can find a copy of these Standards.

A.2.3 Every member of Chambers and every member of staff should make themselves familiar with these standards. Induction Training for members, staff and pupils addresses relevant aspects of this Quality Manual.

A.2.4 Members of Chambers and Staff should be made aware of any material amendments to Chambers Practice Management Standards this should be done via email.

A.3 Monitoring of standards

A.3.1 The Quality Mark Committee have responsibility for monitoring compliance with standards and reporting whether these standards are being adhered to, and if they are not, what steps (if any) should be taken to secure compliance with them. The Quality Mark committee will report on their findings as follows:

To the Chambers Committee for review during every quarterly meeting; To Chambers for the Annual Chambers Meeting.

A.3.2 The monitoring of standards includes the following reviews which will be conducted every six months and reported on at the following quarterly Chambers Committee





meeting: Time management, formal complaints and client feedback where necessary by The Senior Clerk.

A.4 Internal Quality Audit / Procedure Reviews

A.4.1 The Chairman of The Quality Mark Committee will ensure that the requirements of this Manual are reviewed at least annually by having an internal audit undertaken. This may be by trained personnel within Chambers or by an independent auditor. Where possible, auditors will be independent of the area to be audited, but as this is not always possible, auditors responsible for areas in which they have some involvement will ensure the audit is conducted in an objective manner.

A.4.2 The audit will be conducted in accordance with the Annual Audit Schedule (DCF-A-01) which determines the priorities for policy/procedure audit. At present all areas are treated with equal priority however should it be demonstrated via audit that one or more areas is more prone to problems, the frequency of audit in those areas may be increased.

A.4.3 The audit will be based upon the following: reviewing and suggesting changes the allocated section of the PMS and the

documents in the sections appendices; checking the members’ and staff’s understanding of the requirements; sampling documentation in order to determine actual compliance; looking at achievement of any relevant objectives (as monitored in A.3) looking at ideas for improvement of effectiveness overall

A.4.4 The results of the audit, can be recorded in any appropriate form and kept in a central file and will be discussed with members and staff. Solutions to problems will be agreed, target dates set for completion and a follow-up conducted by the next auditor to ensure that the action agreed has been completed and (where appropriate) is proving to be effective.

A.4.5 The Quality Mark Committee’s report to the AGM will include a summary of findings and recommendations.

A.4.6 The Chambers Administrator will make any alterations to the Practice Management Standards that do not need approval from the Management Committee. Any alterations will be reflected in an updated version of The Practice Management Standards

A.4.7 With the importance of section C: Management of briefs, instructions and other communications, an internal audit of how the clerks carry out their duties should be audited with section C. The auditor can carry this out by using these checklists, Internal Audit - Civil and Family (DCF-C-06b) and Internal Audit - Crime (DCF-C-06b).

A.5 Management Review

A.5.1 The Quality Policy and associated Plans are supported by a process of management review. This is a cyclical process involving consultation, planning, action, monitoring, review and evaluation of the agreed Aims and Objectives, as well as looking at policy / procedure effectiveness overall.

A.5.2 On an annual basis, an overall Management Review will take place to consider the progress of the Chambers in the previous year. The Agenda for this is shown in App-A-03. This will be conducted at the Management Committee and a summary prepared for discussion at the AGM to ensure that all members are involved in the cycle of review and improvement.

A.6 Dealing with Ad-hoc Problems

Errors / problems with policy / procedure or general suggestions for improvement in the Quality System which arise on a day-to-day basis should be reported to the Chambers Administrator





who will then report to The Chairman of the Quality Mark Committee who will ensure that corrective and improvement action is taken as appropriate to the problem.





B Organisation and Management

B.1 Chambers Organisation

B.1.1 It is the policy of this Chambers to maintain a Written Constitution, shown in App-B-01 and to provide clear definitions of management responsibility (as defined in this Section and throughout the PMS) which ensure inter-alia, that:-

1. The decision-making structure of the Chambers is defined in writing. This includes the responsibilities and authority of the Head of Chambers, the Management Committee, the Sub-Committees and also individual barristers and key support staff. The Chambers Organisational Structure is shown in App-B-02.

2. Periodic meetings of Chambers, the Management Committee and Sub-Committees take place, are recorded and the results reported to relevant personnel. The Chambers Management Committee details for each sub-committee its responsibilities, membership, rules and expenditure authority.

The following are the meetings mandated to take place under the Chambers Constitution: Chambers meets annually at a date agreed at the previous meeting. The

Core Agenda for this is shown in App-B-03. Additional Chambers meetings may be held as required;

The Management Committee meets quarterly. The Core Agenda for these meetings is shown in App-B-04;

All other sub-committees meet as required to discuss issues / problems as they arise so there is no set agenda for these meetings. All sub-committees keep minutes and also report to the Management Committee. Sundry committees may be co-opted from time-to-time to deal with specific projects. Permanent sub-committees are in place to deal with on-going management issues. A list of Chambers Committees is shown in App-B-05. Each Subcommittee has its own Terms of Reference and these are stated in the Chambers Committee list.

3. The financial structure and responsibility is defined, including payment of rent, remuneration of support staff and payment of other expenses. Responsibility lies with:

Chambers overall for policy and budget approval; The Chambers Treasurer in respect of policy direction; The Management Committee for monitoring finances; The Chambers Accountant and Senior Clerk for day-to-day administration

and expenditure.

4. The authority to enter into commitments on behalf of Chambers or individual members is made clear. This responsibility lies with the Head of Chambers and /or other individual senior members as required, in committing to long term liabilities and leases, with all members of Chambers committing to joint and several liabilities via the Trust Agreement defined in the Constitution (Article 6). The Financial authority of the various Committees is defined in their Terms of Reference and for Chambers staff it is defined within their Job Descriptions;

5. Policy and arrangement for the selection of new tenants to Chambers, and the departure of tenants from Chambers, including periods of notice and liabilities of incoming and outgoing tenants is clearly stated.

6. the ownership of, and liability for assets and property used by Chambers is defined;





7. Policy for the fair and just resolution of disputes within Chambers is stated, including, where appropriate, reference to the Bar Council’s arbitration and conciliation scheme.

8. members abide by:

the Bar Council’s Code of Conduct; Chambers Practice Management standards; The Chambers Disciplinary Code;

9. The responsibility for implementation and maintenance of the Quality System is defined and that an individual with overall responsibility is named (see B.3 which follows).

B.2 Consistency and implementation of decisions

B.2.1 The Secretary to the Chambers Committee must maintain a list of each committee or sub-committee of Chambers, which they shall post on the Chambers notice-board or on the Chambers server.

B.2.2 Unless the meeting resolves not to do so for reasons of confidentiality, minutes must be made of every meeting of Chambers, or of a committee or sub-committee.

B.2.3 The minute must be lodged with the Secretary to the Chambers Committee within one week of the meeting, and they must post the minutes either on the Chambers notice board or on the Chambers server. They should draw to the attention of the Chambers Committee any apparent conflict between any minuted decision of the committee or sub-committee in question and a decision or policy previously announced.

B.3 Key PMS Responsibilities

B.3.1 The Quality Mark Committee has been given overall responsibility for the implementation and maintenance of the Quality Mark Standard. The Committee is chaired by Mr Eccles who shall ensure that all members, pupils and staff understand their responsibilities within the Chambers Quality System. The responsibilities of the Management and Sub-Committees are defined within the Constitution and for staff within their Job Descriptions. Specific responsibilities in respect of Quality Assurance are delegated as follows:

B.3.1.1 Head of Chambers Ultimately responsible for members’ adherence to Codes and Standards; Overseeing of complaints regarding the Senior Clerk.

B.3.1.2 Chambers Review and approval of the Constitution, the Strategic Plan, annual plans,

associated policies, annual accounts and annual budget; Annual Chambers Meetings to review achievement of quality and

commercial objectives and agree plans for the future as outlined in the Constitution;

B.3.1.3 Management Committee Formulation of Business and Annual Plans and associated Budgets; Provision of sufficient resources and training to ensure Chambers can

operate effectively, efficiently and comply with all requirements defined within the Quality System;

Conduct of bi-monthly committee meetings to monitor progress against plans and to resolve problems and to co-ordinate reporting of the sub-committees.

To co-ordinate the operation of all other sub-Committees; To monitor developments including legislative and ‘best practice’ changes

within the profession and report consider update to Chambers policies and procedures accordingly;





Coordination of administrative / management duties as outlined in the Constitution.

B.3.1.4 Other Sub-Committees To ensure that policies are agreed to by the Chambers Meeting and

Management Committee and that they are implemented in accordance with agreed time-scales and budgets;

To plan initiatives and set targets as appropriate to the areas of responsibility to ensure continuous improvement;

To provide reports and minutes of meetings as appropriate so that progress can be monitored by the Management Committee and Chambers;

To fulfil the role and responsibility defined in the Committee Terms of Reference.

B.3.1.5 Senior Clerk Overall responsibility for all day-to-day management and administration

activities as outlined in the Constitution; Preparation of annual budgets and financial reports for review and approval

by the Management Committee; Supervision of all support staff and support functions; Handling / co-ordination and review of complaints (in liaison with

Management Committee and / or Head of Chambers where necessary); Individual practice reviews with members of Chambers; Quality Mark Management Representative with responsibility for:

i. liaison with third-party assessors;ii. co-ordination of Internal Auditing;iii. collation and review of data relating to the quality aims and

objectives and reporting of same together with suggested improvements to the management committee and ACM;

iv. to follow-up any corrective action to ensure it has been taken and is effective;

v. Ensuring that the Quality Manual is kept up to date and amendments issued.

B.3.1.6 Managing Clerk, Preston Day-to-day management of the clerking function at Preston in liaison with

Manchester; Day-to-day office management of the Preston Annex.

B.3.1.7 Practice Groups To conduct, at least bi-annually Practice Management Team Meetings to

monitor achievement of aims and objectives and to plan for future development;

To formulate annual development plans for inclusion in the overall marketing and development plan for Chambers and report these to the Marketing Committee;

B.3.1.8 Responsibilities of all Staff, Members and Pupils To adhere to all policies and practices defined in the Quality Manual; To report client feedback, problems and other opportunities for improvement

to the Senior Clerk or Management Committee for review; To report training and resource requirements to the Senior Clerk or relevant

Committee for review; To ensure, as far as possible, that client needs and expectations are satisfied; To co-operate fully during internal and third-party audits; To implement any corrective/preventive action allocated within agreed time-

scales; To ensure all records generated are completed legibly and filed correctly.

B.4 Strategic Planning and Marketing





B.4.1 A long-term Strategic Plan is in place which sets out Chambers broad aims and objectives for a period of three years ahead. The Business Plan provides a background against which Chambers can produce shorter-term plans, review its performance and take decisions about its future.

B.4.2 Within the framework of the overall Strategic Plan, more detailed plans are drawn-up as requested relating to the following areas and which are then monitored by Chambers Marketing Committee meetings which are minuted: Marketing of individual Practice Groups and Chambers overall; Collective Training/Development Plans (for Members and Support staff; Financial Plans (including operational improvements) / Budgets.

B.4.3 Within the strategic planning cycle, consultation is continued by the following means and information is reviewed and acted upon as necessary: with clients: via surveys, meetings & social events (see Section 3 : Client Care); with members: via practice group meetings / individual review meetings; strategic

comments directly to Senior Clerk, the ACM and Management Committee Meetings

With staff: via the appraisals system.

B.5 Marketing Plan

B.5.1 The Strategic Plan includes an overall Marketing Plan for Chambers which addresses in broad terms the development of the four practice groups (Criminal, Family, Commercial/Chancery & Civil) and Chambers as a whole, the promotional activities to be undertaken and the overall budget allowed.

B.5.2 In developing the marketing element of the Strategic Plan, due consideration is given to: the range of services to be provided; the location / appearance of Chambers; the fees to be charged for counsels’ services (taking into account market trends

and client feedback); the promotion of services to both new and existing clients; the training and development of personnel responsible for client care and

marketing; personnel resources required (pupils / tenants); The methodologies by which the services are to be provided (including the use of

IT).

B.5.3 Working within the overall framework, an annual Marketing Plan is also drawn-up each year by the Marketing Committee for approval by the Chambers Meeting. Any related training and development needs will be included on the Chambers Training Plan.

B.5.4 The Marketing Committee takes into account individual member, practice team and committee views and formulate the overall Plan for Chambers which includes the following: promotional activities to be undertaken by the individual groups; promotional activities for Chambers as a whole; a timetable of events ensuring activities are spread throughout the year; Any individual specialist group budgets and budget requirement overall.

B.5.5 Chambers Committee / Marketing Committee should consider whether and if so what professional marketing assistance is required.

B.6 Marketing Materials

B.6.1 The Marketing Committee is responsible for co-ordination of Chambers promotional activities. The following promotional materials are used by the set:

Seminar / Training materials; Website (www.deanscourt.co.uk). Commercial directories Outside speaking and training engagements





B.7 Review of plans

B.7.1 Chambers plans will be reviewed as follows:

i. At least bi-annually: by the Management Committee via the quarterly meetings in order to monitor achievement of the aims and objectives set in each of the annual plans

ii. Annually: to review achievements against the three year strategic plan and to renew annual plans for Marketing, Finance, Training and Operations

iii. As a minimum at least every three years: to review the Strategic Direction of Chambers and ensure it is in line with changes in the profession, client needs and expectations and the aspiration of its members and staff.

iv. In the event of significant changes to the circumstances of chambers during the currency of any of the plans.

B.7.2 All reviews will be minuted and plans will be updated as required.





C Management of briefs, instructions and other communications

C.1 Receipt of instructions or diary booking

C.1.1 (a) All briefs and instructions must be registered on the Chambers computer and date stamped on arrival in Chambers.

(b) The clerks will also perform a Conflict of Interest check on the client database by conducting a key word search (surname / case-name) to ensure counsel has not previously acted for the other side and to check that no other member of chambers acts for the other side. If a potential conflict of interest appears, the Conflict / Confidentiality Policy (App-C-01) apply.

(c) Any agreement in relation to basis of fees to be charged or time agreed for completion of the work will be logged on the computer system so that any commitment to the client can be monitored and complied with.

(d) Where relevant and only in respect of cases falling within a fixed uplift regime the CFA Risk Assessment Form (DCF-C-01) will be completed for this purpose.

(e) Where a member of Chambers directly receives instructions to undertake work during or following a conference, he is responsible for promptly informing a clerk of the instructions and providing the necessary information for an entry to be made on the Lex System. Counsel should then hand the completed brief and form to Amanda Wilson in Preston or Steven Byrne in Manchester in order for the final bill to be prepared on the Lex system Remind Members of Chambers

(f) All briefs and instructions are checked on receipt to ensure that they have not been received from a solicitor in respect of whom a Direction to Withdraw Credit has been made.

C.1.2 The Annex at Preston follows the same procedures for clerking as detailed in this section, working within the following guidelines:(a) The computer used at the annex is on-line with Manchester therefore all clerks can

gain access to the same information. Briefs, instructions and subsequent communications are logged in accordance with the Manchester procedures.

(b) Briefs for hearing at Preston and Lancaster for counsel practicing from Preston are retained there. All others are sent to Manchester unless there is a brief with a hearing date of the following day.

(c) The daily court commitments of all members are clerked at Manchester with assistance from the Preston Clerk.

(d) In general there is close liaison between both Chambers to ensure that the service to clients is of the highest possible standard.

Diary bookings

C.1.3 As a general rule, counsel’s commitments are made on our behalf by our clerks. Only a clerk designated to deal with the work of the member of Chambers concerned should make commitments for members of Chambers (i.e. appearances, consultations, conferences and the acceptance of instructions by arrangement).

C.1.4 Before entering into any commitment on behalf of a member of Chambers, the clerk concerned should consider the other commitments of the member of Chambers concerned, bearing in mind in particular that lengthy preparation for other work may be necessary.

C.1.5 If any clerk identifies a clash or potential clash of professional commitments, he or she should check whether the existing commitment is still effective if the client wishes the

clerk to do so;





Notify the professional client or clients concerned promptly, to ascertain their wishes.

C.1.6 Every Friday, each member of Chambers receives an emailed copy of their individual diary for the following four weeks. He or she should consider whether any clash or potential clash of commitments might prove professionally embarrassing or might cause serious prejudice to the interests of Chambers as a whole.

C.1.7 Reassigning briefsIf it becomes necessary to reassign work, the clerk concerned should: Discuss with the professional client any costs implications of the reassignment. If

there is likely to be an increase in the costs, the professional client must be informed verbally and a note must be made on the case record that the costs implications of reassignment have been discussed with the client.

Obtain the express consent of the professional client to the reassignment. If the work is to be reassigned within Chambers assign the work to counsel of an

equivalent or otherwise acceptable level of seniority and expertise that is able to complete the work within the time permitted.

If the work is returned to the professional client, give assistance in finding counsel from other Chambers to undertake the work. Members of staff should refer to the LSC website for an up-to-date list of chambers holding the LSC Quality Mark

If work is re-assigned within Chambers, the case record on the Lex system should indicate that the case has been re-assigned.

C.1.8 Members of Chambers are expected to cooperate in providing support to other members of Chambers so as to ensure that professional clients enjoy the most comprehensive services possible.

Receipt of papers

C.1.9 Each brief or set of papers must be assigned a case type classification. The object of the classification is to provide an analysis of the work done in Chambers. It is important to ensure that the classification is accurate.

C.1.10 When papers are received, the person booking the papers on to the Chambers computer should check whether the enclosures include a video or other object that might become detached from the instructions. If they do, the front of the papers should be clearly marked to the effect that they contain a video or other object.

C.1.11 When papers are received, a preliminary examination should be undertaken to see whether the client is publicly funded. If it appears that he or she is publicly funded, the public funding number and the date of issue of the certificate of public funding must be recorded on the Chambers computer.

C.1.12 If it appears from the face of the papers that they are urgent, the member of staff dealing with briefs and instructions should mark the papers clearly as being urgent and should note on the computer the date upon which it is required.

C.1.13 When Instructions are received or a diary booking is made an acknowledgement letter is emailed directly to the client in the absence of an email address the letter is sent by post. An acknowledgement of brief or instructions letter is automatically created on the LEX system and sent to the client if they have provided an e-mail address.

C.1.14 Each time a new professional client instructs a member of Chambers, the letter of acknowledgement should enclose the team work letter. Copies of the team work letters are shown in appendices App-C-04a (Ancillary), App-C-04b (Children), App-C-05a (Civil) and App-C-05b (Crime). These letters detail Chambers Terms of Business and client care standards. Terms of Business and client care standards for individual clients may also be detailed in their own service agreement.

C.1.15 If instructions are received directly by email, it is the responsibility of the recipient of the email to ensure that the papers are properly recorded on the Chambers system. Briefs,





attachments or correspondence provided by email will be forwarded on to Counsel and recorded on LEX however a hard copy will not be printed off to Counsel’s pigeon hole unless a specific request in response is made by that member.”

C.1.16 Briefs and instructions received without the name of the individual counsel identified will be assigned by the Senior Clerk or a delegate, after consultation with the professional client, to those qualified by experience, seniority and ability to undertake them and whose workload is likely to allow them to do so.

Direct professional access work

C.1.17 In Direct Professional Access work, the requirements of Annex F1 Licensed Access Rules and Annex F2 Public Access Rules to the Bar Code of Conduct must be satisfied. See the DPA Procedure (App-C-06).

Conditional Fee cases

C.1.18 Instructions and briefs, which are or are proposed to be the subject of conditional fee agreements, must be managed in accordance with Chambers’ CFA procedure (App-C-02).

C.1.19 When instructions are received which relate to High Cost Family Cases, the relevant protocol (App-C-03) must be complied with.

C.2 Preliminary examination on receipt of papers

C.2.1 Members of Chambers should where practicable examine all papers within 72 hours of receipt.

C.2.2 The objects of such preliminary examination are:

To ensure that the Member of Chambers is competent to undertake the work. To identify any conflicts of interest between lay and professional clients required

to comply with the BSB handbook; To identify any obvious omissions from the papers; To determine whether the work can be completed in the time required, having

regard to any other commitments the Members of Chambers may have. To ensure that the Legal Aid Certificate (if any) covers the work to be done To determine whether the papers have been classified with the appropriate case

type To check whether a solicitor ought to be instructed in a Public Access case

C.2.3 Members of Chambers should draw any conflicts or omissions to the attention of their professional clients immediately and record the fact that they have done so.

C.3 Sensitive material

C.3.1 For the purposes of these Practice Management Standards, the following are to be treated as sensitive material: Video recordings of a child witness prepared to be admitted in evidence at a

criminal trial under section 32A of the Criminal Justice Act, 1988 and section 54 of the Criminal Justice Act 1991;

Video recordings of a child witness in any case which involves, or may involve allegations of the abuse of children;

Other material, including photographic and documentary material, the publication of which could reasonably give rise to a risk of harm to children if disclosed.

Other video recordings may be given to the Clerks for the purpose of safe keeping. Discretion will be exercised by Counsel as to what other material should be regarded as sensitive.

C.3.2 Members of Chambers must comply with the applicable parts of the BSB Handbook and with other relevant and applicable guidance in relation to video recordings of child





witnesses. Chambers Code of Conduct for Sensitive Materials (App-C-07) will be complied with at all times by barristers and staff.

C.3.3 Members of Chambers should apply the same rules, mutatis mutandis, to sensitive materials to which the provisions of the latest edition of the Bar Code of Conduct apply.

C.3.4 A safe shall be kept at Chambers premises in both Manchester and Preston for the purposes of keeping safe sensitive materials. Authorised members of staff only shall have access to each safe.

C.3.5 A database shall be maintained that records: The date and time and from whom the sensitive material was received In which safe (Manchester or Preston) it is located. A serial number identifying the sensitive material (which should be noted upon the

brief or instructions to which the sensitive material relates) The current whereabouts of the sensitive material if not currently in the safe provided

for the purpose The date and time and to whom the sensitive material was despatched.

C.3.6 The database must be updated only by an authorised member of staff.

C.3.7 A nominated member of staff shall check the database every month to ensure that it is accurate and that it properly reflects the contents of the safe for which he or she is responsible.

C.4 Security of instructions and enclosures

C.4.1 Instructions must be kept secure and complete at all times. In particular: Instructions should not be left unattended in motor vehicles. Members of Chambers should if possible avoid having more than one set of

instructions open on the desk at any time, so as to avoid getting papers mixed up. Members of Chambers should check that videos enclosed with instructions are

safely returned to the client. For our full security procedures see section G of the Deans Court Chambers

Practice Management Standard Manual

C.5 Time for completion of papers

C.5.1 Unless some other deadline is agreed with a professional client and except in unavoidable circumstances: Defences must be completed within 5 working days of receipt within Chambers Other pleadings must be completed within 10 working days of receipt within

Chambers All other papers must be completed within 20 working days of receipt within

Chambers.

C.5.2 If a Member of Chambers recognises that he or she will be unable to comply with a deadline for the return of papers, he or she should inform a clerk forthwith of that fact and should give an indication of when the papers will be returned.

C.5.3 It is the duty of the individual Member of Chambers that work cannot be completed in the time required: To notify the professional clients of that fact, To explain why the papers cannot be returned within the specified time-scale To indicate when the work can be expected to be completed and to change the

date that the work is required on the computer accordingly. To record the reasons for any delay.

C.6 Progress and monitoring

C.6.1 Every Friday morning, a member of the accounts team must prepare in relation to each member of Chambers a list recording: What paperwork the member of Chambers has received which has not yet been

returned to the professional clients;





Members have access to records of outstanding paperwork via Lex The date upon which the relevant work is required to be returned. A work in progress report

C.6.2 Each member of Chambers should, on receipt of the list: Ensure that the list reflects the current position with regard to paperwork; if the

list is inaccurate (because, for example, the papers have been misclassified, or because a different time scale has been agreed), he or she should inform the accounts team concerned of that fact;

Consider whether he or she will be able to complete the work set out on the list within the relevant time scales; and if unable to do so, he or she should inform a clerk forthwith of that fact.

C.6.3 When a new set of instructions is booked onto the Chambers system:

The system will generate an automatic email from the system to the relevant Member of Chambers telling him/her i) that a set of papers has been received and ii) the due date for return of the papers;

An acknowledgement letter is sent to instructing solicitors by email advising them of where they can find the terms and conditions on the chambers website.

The papers will then be put in the tray the relevant Member of Chambers of or sent to him/her via email (depending on how they arrived in);

2 working days prior to the due date the system will generate an automatic email from the system to the relevant Member of Chambers with a reminder of the due date requiring the Member to advise the clerks of any known or anticipated problems meeting the due date;

7 days after the due date the system will generate an automatic email from the system to the relevant Member of Chambers with a reminder of the lapsed due date requiring the Member to advise the clerks if and why the due date was not met and when it is likely to be met;

The clerks will send an email to the relevant Member of Chambers on an ad hoc basis as and when an instructing solicitor chases a set of papers.

C.6.4 The senior clerk should be informed in the event of persistent failure of a member of Chambers to adhere to time scales. He or she should after notifying the Chairman of the relevant Practice Group warn the member of Chambers concerned that the member of Chambers is in

persistent breach of the standards required of him or her; keep a written record of the relevant facts

C.6.5 The clerks will keep clients adequately informed of progress of their work especially with respect to potential clashes and/or unforeseen delays.

C.6.6 Contact with clients will invariably be verbal however clerks should ensure that they confirm issues in writing where there is potential for misunderstanding. Verbal warnings to clients regarding double-bookings are noted on a ‘warned’ line. Such aspects might include, but are not limited to the following: acknowledgement of postal instructions/briefs to confirm complicated fee negotiations return of paperwork by post (generally with a compliment slip only) issue of fee-notes when discussing complex costs assessment issues Dealing with dissatisfaction.

C.7 Completion

C.7.1 Whilst in Chambers, briefs and associated papers are kept ‘pink-ribboned’ together in the clerks’ room (whilst details are being logged) and in the barrister’s room unless they are being worked on or still to be reviewed and filed.





C.7.2 Papers must be promptly returned to professional clients, otherwise disposed of or retained as they may require.

C.7.3 The date and method of despatch and details of the documents returned must be recorded. If the papers have been marked to the effect that a video or other object should be enclosed, the accounts office staff must check that the video or object is with the papers, and if not, should require an explanation from counsel.

C.7.4 If papers are retained within Chambers after work has been returned to professional clients, a note should be made of the fact that papers have been retained and of what papers have been retained, so that the whereabouts of the papers concerned can be ascertained. Papers are retained in counsel’s own rooms.

C.7.5 If it appears to a member of Chambers that the papers have been classified with an inappropriate case type, he or she should draw the attention of the clerks to that fact, indicating what case type ought to be applied.

C.7.6 Members of Chambers should make an adequate record (which may be in abbreviated form or in the form of computer records) of their work and should retain it for not less than 6 years. The records should include the material normally contained in counsel's notebooks and copies or details of all paperwork sent out of Chambers.

C.7.7 A note should be made of the substance of advice given in conference and the relevant Barrister must keep a written note of the substance of advice given in conference.

C.7.8 If counsel has made an appearance in court at which no representative of his professional client was present, counsel should inform the professional client of the outcome of the hearing as soon as possible. A written note of the outcome of the hearing should be made.

C.8 Time recording

C.8.1 Barristers must maintain records of time spent on cases so that these records can be used to substantiate the fee-note raised.

C.8.2 Some work (for example, straightforward civil pleadings) attracts a standard fee. Such work should be marked with the standard fee and left with the accounts department for despatch.

C.8.3 In all other cases, Members of Chambers should make a written record of The time spent on the preparation of the work and in appearance in court.

Members of Chambers should make a precise record of the times spent on a case. The nature of the work done, and in particular, any features of the work justifying

an enhanced fee. In relation to "nonstandard work" members of Chambers should record the overall

time spent on preparatory/paper work and indicate how much of that time was spent on legal research.

In cases of any complexity or involving a specialist area, members of Chambers should provide a note setting out all relevant information e.g. that a non-specialist solicitor was relying substantially on counsel for guidance on the conduct of the case

C.8.4 The written record should be given to the clerks as soon as possible after the work has been done.

C.9 Recording of work for CPS

C.9.1 When instructions from the CPS are received in Chambers, the member of staff dealing with the papers should place with the papers the relevant CPS form, the purpose of which is to provide a complete record of all work done in relation to the instructions concerned.

C.9.2 Every Member of Chambers who acts in relation to instructions received from the CPS must make a note on the record form of his/her name, what he/she has done and when.





C.9.3 It is the responsibility of the person who undertakes the last piece of work in relation to any brief or set of instructions sent by the CPS to ensure that the CPS record form is handed in to the accounts office together with the instructions to which it relates.

C.10 Other communications

C.10.1 Members of Chambers and staff should ensure that a prompt response is given to all communications. It is Chambers objective to respond to messages left / communications received as soon as practical and wherever possible on the same day of receipt. Clients / callers will be notified if the person they wish to leave a message for is not likely to receive it for some while as they are out at court or elsewhere. Where appropriate, alternative contact numbers may be provided.

C.10.2 If the intended recipient of a telephone call is not available to take the call, then unless the caller expresses a contrary wish, a note recording the call should be sent by email or put on the voice mail of the member of staff or of Chambers unless this is impossible in which case a written note shall be placed in the member’s pigeon hole. The person to whom the message is addressed should return the call as soon as possible. All significant case-related conversations of note are recorded on the case history on the computer system.

C.10.3 All documents received in Chambers (whether by mail, DX, fax, hand or otherwise) must be processed as soon as possible and in any event: In the case of faxes, within 30 minutes or receipt; In the case of any other document, within 3 hours of receipt.

When Chambers has the use of a document scanner, all documents other than briefs and instructions should be scanned and the scanned image of should be placed with the record of the case to which it refers (if any) or stored at a convenient location for subsequent retrieval.

C.10.4 Faxes must be processed as follows: A clerk will identify whether the fax is exceptionally urgent and will pass the fax

to the recipient for their urgent attention All faxes are received via email and a record of receipt is kept for a period on 2

years in the dealt with items email folder.

C.10.5 Other documents must be left in the recipient's pigeon hole (or on the desk, in the case of staff). All case related communications will be logged on the Lex system prior to issue to the intended recipient.

C.10.6 Except in the case of initial instructions/briefs received by post, acknowledgements for other communications are not normally sent unless specifically requested by the sender. Acknowledgements are not sent / expected in the case of papers received / returned via courier or personal messenger.

C.10.7 The calls that cannot be dealt with at during the absence of the Preston Clerk will be redirected to Manchester. Details relating to civil queries will either be recorded and passed on to Manchester or the client given the Manchester number if they prefer.

C.10.8 Significant communications with professional clients must be recorded, including: Potential conflicts of interest Any factors liable to cause delay, and the reasons for them.

C.11 Email

C.11.1 Chambers' email box is set up to automatically send and receive. This box is inspected regularly and in any event not less than every 3 hours. In the absence of the designated email clerk who usually deals with e-mail, a deputy should undertake this task. Messages should be brought to the attention of the intended recipients as soon as possible.

C.11.2 Unless the contrary is stated, any communication required to be made under the Chambers constitution, Chambers practice management standards or procedures may be made by email.





C.11.3 Each member of Chambers should inspect, or arrange for a clerk to inspect, his or her own email box regularly and in any event not less than daily.

C.11.4 Before sending email Members of Chambers should consider whether, in the interests of privacy and confidentiality, the message should be encrypted.

C.12 Checking on compliance

C.12.1 The clerks are required to ensure each detail of the case record is completed when booking on. The amount of detail that is now required to be entered into the case record on LEX ensures that each check that has to be made (as detailed on previously used check lists) is covered, and LEX will not allow the case to be saved to the system until all the relevant information has been entered. In addition to this, a conflict check is also carried out prior to each booking / instruction that is entered on to the LEX system. Each brief is initialled by the clerk who carried this out to confirm this has been completed.

C.12.2 The Senior Clerk with the Quality Mark Committee will ensure that standards are monitored and reports made to Chambers/management committee meetings as appropriate.

Obtain the forms collated by the member of staff referred to above (every other month for review in the bi-monthly Chambers meeting)

Review turnaround times (using the Lex variance report)

The above information relating to the full 12 month period will be collated and reported on at the Annual Management Review.

C.13 Contact from members of the publicIf a member of Chambers is contacted in respect of work which can be undertaken on a direct/public access basis by council who are certified for direct/public access work. If chambers are contacted directly by a member of the public, s/he should be so advised and referred to the Senior Clerk for that respective practice group. If s/he has no legal representative capable of instructing counsel, s/he should be referred to the CLS directory, website or Call Centre.

C.14 Communications with the Legal Aid Agency Communications with and work for the Legal Aid Agency should comply with the prevailing requirements of the Legal Aid Agency quality standards as set out at https://www.gov.uk/legal-aid-agency-quality-standards





D Financial procedures

D.1 Definitions in this procedure

D.1.1 The person responsible to the Chambers meeting for the management of the financial affairs of chambers is called the Chambers Treasurer. The Chambers Treasurer is appointed by the Chambers Management Committee.

D.1.2 The person or body charged with the day-to-day management of the financial affairs of Chambers is called the Chambers accountant.

D.2 Strategic Management of Chambers Finances

D.2.1 The Chambers Treasurer shall prepare and circulate amongst members of Chambers prior to the annual general meeting of Chambers: An analysis of the income and expenditure of Chambers in the preceding year; Chambers Balance Sheet as at the end of the preceding year; An analysis of fees billed in the 4 preceding quarters, broken down into practice

areas as the Committee thinks fit. A budget setting out the proposed income and expenditure for Chambers in the

coming year; A statement of variance, indicating the difference (if any) between the income and

expenditure proposed in the previous years' budget and the actual income and expenditure for the relevant period.

Fee Income & Fee Collection Analysis for past 3 years

D.2.2 The Chambers Treasurer shall liaise with the Chambers Accountant at least once a year to determine the level of contribution to Chambers expenses to be made by way of Direct Debit by each member of Chambers. Collection by Direct Debit enables Chambers to forecast more accurately its income and thereby manage its expenditure more efficiently.

D.2.3 The level of contribution shall correspond with a fair estimate of the contribution that each member of Chambers is likely to be required to make based on reconciliation of expenditure against income both in forecast and actual terms.

D.2.4 The Chambers Treasurer shall notify each member of Chambers what level of contribution he or she is required to make and each member of Chambers shall forthwith put in hand arrangements for prompt payment of such contributions.

D.2.5 The Senior Clerk shall present to Chambers Committee during the bimonthly meeting: An analysis of the income and expenditure of Chambers in the preceding quarter; An analysis of fees billed in the 4 preceding quarters (every six months); A statement of variance, indicating the difference (if any) between the

expenditure proposed in the current years' budget and the actual income and expenditure for the relevant period (every six months);

Aged Debt position and fee collection information Average fee collection times are calculated by dividing aged debt with income for the year and dividing this figure by 365 this then provides the average fee collection times which must be monitored

D.2.6 The Senior Clerk reviews income, aged debt and work done reports every month and would report any concerns to the Chambers Treasurer at the earliest opportunity.

D.2.7 The Chambers Committee and annual Chambers’ meeting is the means by which Chambers finances are planned and monitored. These meetings will set financial targets and review policies and procedures as necessary to improve the management of Chambers’ finances.

D.3 Financial arrangements of individual members of Chambers





D.3.1 Members of Chambers must make prompt payment of any sum due from them to Chambers. The Accounts Manager will ensure for their part that payments to members are forwarded to their pigeon holes without delay.

D.3.2 Members of Chambers must ensure they make prompt declarations and payments for VAT purposes. If, for exceptional reasons, Chambers should make a payment on account of the VAT due from any member of Chambers, that member of Chambers shall forthwith reimburse Chambers.

D.3.3 The Chambers accountant will prepare a calculation of the liability of each member of Chambers to pay VAT; members of Chambers should furnish him in good time with VAT receipts for the calculation of input tax.

D.3.4 It is the responsibility of each member of Chambers to obtain such information as is necessary to enable him to calculate his liability to pay income tax. Our staff and/or the Chambers accountant should supply members of Chambers with the information they reasonably require as soon as possible after the request for information is made.

D.3.5 Members have access to and information on how to use Lex (in the form of user’s manual) and are able to obtain reports of fee-income; work billed and aged debt whenever they wish although Chambers advises that they should review such information at least quarterly.

D.4 Chambers expenses

D.4.1 The expenses of Chambers are sums reasonably incurred in the proper management of Chambers and which have been duly authorised.

D.4.2 The expenses of Chambers are funded by contributions from members of Chambers as follows: Each member of Chambers is liable to pay the rent due or an accommodation

charge equivalent to rent in respect of a room or part of a room in Chambers (whether for an allocated desk, a desk share, or by contributing to a common room) which shall reflect the use of any shelving or other storage used by him or her;

A charge will be raised in respect of each sheet processed by a member of the Chambers typing pool and in respect of each document printed on a Chambers printer.

A charge will be raised against members of Chambers using consumables provided by Chambers (for example, boxes of paper, pens, sticky labels, counsel’s notebooks).

A charge will be raised in respect of the telephone calls made from the extension of each member of Chambers.

The Chambers Treasurer will specify such charges from time to time. The charges will be levied with the intention that the monies raised should be

applied towards and should defray the costs of the Chambers typing pool and the consumables used by Members of Chambers respectively.

Each member of Chambers is required to make contribution towards the remaining expenses which shall include all costs and liabilities connected with or incidental to the remaining expenses.

D.4.3 The contributions are calculated as follows:

D.4.3.1 The expenses of Chambers to be discharged are forecasted annually and calculated on a monthly basis;

D.4.3.2 The professional income of each member of Chambers is calculated for the 12 months ending in the month in which payment is made;

D.4.3.3 So as to avoid a double liability to pay Chambers expenses, "the professional income" of any members of Chambers excludes any income in respect of which the member of Chambers concerned has contributed towards the Chambers expenses of another set of Chambers. This provision will be reviewed annually.





D.4.3.4 Each member of Chambers is required to contribute that proportion of the expenses to be met that his or her running total bears to the aggregate professional income of Chambers as a whole during the relevant 12-month period.

D.4.3.5 In the event that the professional income of any member of Chambers exceed twice the average of the aggregate professional income of all members of Chambers during the relevant 12 month period his professional income shall be deemed to have been equal to twice the aggregate professional income of all members of Chambers for all purposes connected with the calculation of the contribution to be made by him and the other members of Chambers.

D.4.4 Contributions are paid by means of monthly direct debit. Accordingly: Each member of chambers must provide the Accounts Manager with a direct debit

mandate when required to do so. Members of chambers will be notified 10 days in advance of the amount to be

drawn.

D.4.5 Interest shall fall due upon any overdue payment at the rate of 25% per annum compounded monthly. Interest is payable in respect of non-payment of the whole or any part of the monthly payments due under above.

D.5 Payments between members of Chambers

D.5.1 One member of Chambers is sometimes paid in respect of work undertaken by another member of Chambers.

D.5.2 A member of staff in the cash office is authorised to conduct an account for the purposes of reconciling payments between members of Chambers and for paying members of Chambers to whom money is due.

D.5.3 This procedure operates as follows: The instructed Advocate must submit a claim to Legal Aid Agency for all fees

(theirs and all work covered by Substitute Advocates) When payment is received the cheque is banked directly into DCC Number 2

account weekly On Monday the “Carter Contra Payments” and “Central Account Reconciliation”

reports are run and the paperwork prepared for Counsel showing how much they will be paid

On Tuesday payments are made to Counsel via Electronic Transfer of Funds from DCC Number 2 account to their individual accounts – paperwork is placed in their trays showing the amounts paid and for which cases

D.6 Day-to-day management of expenditure

D.6.1 The Accounts Manager or a member of the Accounts team under the Accounts Manager’s supervision will record all items of expenditure through the Accounts Package and ensure that the ledger is kept up to date. The Accounts Manager or a member of the Accounts team under the Accounts Manager’s supervision will also ensure that terms agreed are adhered to and that cheques are raised in sufficient time to enable them to be signed and issued without delaying payment.

D.6.2 If a member of Chambers receives a bill that is for the account of Chambers, then he should, if he has authority to do so, promptly signify that he approves the bill for payment by marking the bill to that effect. If he has no authority, he should forthwith pass it to a member of Chambers who has appropriate authority or to the senior clerk. If a member of staff receives such a bill, he should forthwith submit it to the Senior Clerk for approval. The Senior Clerk has authority to raise cheques for all items within the budget. Items outside the budget will go to the Chambers Committee meeting for approval.

D.6.3 The Accounts Manager or a member of the Accounts team under the Accounts Manager’s supervision is responsible for timely payment of bills. Copies of paid bills are kept by the accounts manager or a member of the Accounts team under the Accounts





Manager’s supervision, in a file, filed in cheque number order. The receipted invoice must be passed to the Chambers Accountants.

D.6.4 Chambers or a member of the Chambers Accounts Team (Carol Murray) under the Chambers Accountants supervision must ensure the timely payment of the following: rent or other costs connected with the occupation or ownership of Chambers

premises; Chambers VAT; Salaries, Expenses, PAYE, NI Contributions; lease finance; Other financial liabilities of Chambers.

D.6.5 The Accounts Manager will arrange a petty cash facility in Chambers; it will be the responsibility of a member of staff in the cash office to manage.

D.6.6 The petty cash float must be balanced monthly by the Accounts Manager. The Preston annex maintains its own petty cash and records. The account is reconciled by Chambers Accountants or a member of the Accounts team under the Chambers Accountants supervision quarterly.

D.6.7 The Chambers’ Accountants are also responsible for reconciliation of the bank statements at least monthly.

Purchasing Authority

D.6.8 The Senior Clerk and the Accounts Manager have the authority to authorise expenditure for Deans Court Chambers up to a limit of £500, within the current budget. If the item of expenditure falls outside or exceeds the current budget, then authority must be sought from the Chambers Treasurer or the Head of Chambers if the item of expense is urgent. All bills must be stamped and noted with the name of the person authorising the item of expenditure. The Accounts Manager or the Senior Clerk can authorise expenditure in excess of £500 in respect of recurring invoices relating to previously approved suppliers, such as for Chambers rent and accountancy fees.





E Procedure on fee collection

E.1 Aim of fee collection

E.1.1 Chambers aims to realise all fees as soon as possible. To this end, Chambers requires: The prompt issue of fee notes; Adequate and effective credit control.

E.1.2 Members of Chambers are required to co-operate with our staff to ensure that fees are demanded promptly and in any event within 3 months of the date upon which a fee could be raised. Failure to co-operate in the demanding of fees may cause all or any of the following: Loss of goodwill from or inconvenience to funders Additional administrative work for our staff Distortions in the distribution of chambers expenses Loss to other counsel involved in the case who rely upon the making of a claim

for payment in order to be paid themselves (in this practice rule called “dependent counsel”)

E.1.3 Fee Collection and billing is dealt with from Manchester

E.2 Withdrawal of credit

E.2.1 A member of staff in the cash office must, on receipt of the list published under the Bar Council Withdrawal of Credit Scheme, check to see whether any professional client who instructs Chambers appears on the list. If so, he/she should mark such fact on the record relating to the professional client concerned.

E.2.2 No instructions should be accepted within Chambers from such solicitors except in accordance with the Bar Council's Withdrawal of Credit guidelines.

E.3 Paperwork

E.3.1 If Counsel is satisfied that there is a standard fee due for any paperwork undertaken, the papers should be left in the cash office with a fee in respect of each piece of paperwork clearly marked. Otherwise, the papers should be left with a clerk together with a note of the work involved, so that the appropriate fee can be negotiated

E.3.2 In relation to "non-standard work" members of Chambers should prepare the note required above and leave it with the papers.

E.3.3 It is the responsibility of the person who marks the fees in relation to any piece of work to ensure that the marking complies with any agreements made with the client as to the applicable level of fees.

E.3.4 Fee notes for paper work should be sent with the papers when they are returned, except where solicitors have made alternative arrangements with the Senior Clerk.

E.4 Conferences and briefs

E.4.1 Each day, a member of staff in the cash office will check the diary for the previous day. He or she will ensure either that: A fee note has been prepared and sent to the solicitor concerned in respect of each

appearance or conference referred to in the diary Where no fee is agreed, the work is marked as “un-assessed” so it can be billed

through the monthly un-assessed reports.

E.4.2 Every month, an un-assessed fee report will be handed to the clerk responsible for that area of practice. The clerk will then issue a fee note in respect of any such matters where





possible, or failing that chase Counsel for billing information by email or placing a draft fee note in Counsels pigeon hole.

E.5 Civil fees

E.5.1 The procedure for collection of civil fees in Chambers is as follows: A fee note is raised in respect of each piece of work done. The fee note is

dispatched to the professional client together with the papers. Every day, a member of staff in the cash office produces a reminder fee note

relating to any fees remain outstanding 90 days after the issue of the fee note. The reminder is dispatched to the solicitor concerned. The process is repeated by letter at intervals of 90 days and subsequently by various means and subsequently by various means until the fee is paid.

Additionally, a member of staff in the cash office works through the aged debt profile of each barrister at least twice yearly but additionally if requested by the member as circumstances dictate. He/she uses his/her discretion in identifying debts of considerable age or magnitude for special chasing. He/she telephones or writes to find out from the professional client concerned why payment has not been made. He/she will contact the SRA as necessary.

E.5.2 Applications for payments on account in respect of legally aided cases are produced on 5th of each month in respect of those legally aided matters where the certificate is less than three years old. The cases are checked and the relevant forms forwarded to the Legal Aid Agency.

E.6 Criminal fees - privately paid

E.6.1 In the case of privately paid fees, a fee note is raised and the fees are dealt with as if they were civil fees.

E.7 Criminal fees - non-standard

E.7.1 The procedure for collection of non-standard legally-aided criminal fees in Chambers is as follows: The fee is assessed by the appropriate clerk The brief and a note of the fee assessed are sent to the cash office. The fee is recorded on computer. The brief and the fee claim (Red Corner Form, DCF-C-07) are sent to the

National Taxing Team with a request for payment on account if appropriate. When payment of a sum less than that claimed is tendered, the clerk shall, in

conjunction with the member of Chambers concerned, decide whether to seek a re-assessment of the fee.

E.8 Magistrates' Courts fees

E.8.1 The procedure for collection of magistrates' court fees in Chambers is as follows: Counsel completes a form CDS 8. Members of Chambers should complete such

forms as soon as possible. A copy of the CDS 8 is made and held on a file in the cash office. A record of the

fee claimed is made on the computer. The form CDS 8 is sent to the professional client together with a fee note. If payment is made, the copy CDS 8 form is removed from the file kept in the

cash office and the case is recorded on the computer as having been paid off. Where time permits, a member of staff in the cash office checks the file and

requests an explanation from the solicitor why no fee has yet been paid. The fees outstanding on these case are usually relatively low

If the solicitor is unable to furnish an adequate explanation, the member of staff concerned refers the enquiry to the Legal Aid Agency.





E.9 Graduated fees

E.9.1 The procedure for collection of graduated fees in Chambers is as follows Counsel completes an assessment form (DCF-C-07a or b). Members of Chambers

should complete such forms as soon as possible. A Graduated Fee Form is generated by a member of staff in the cash office using

the appropriate computer program. The Graduated Fee Form is retained on file until it has been signed by Counsel.

Members of Chambers should attend the cash office to sign the form as soon as possible. Preston Counsel will have their forms sent to DCC Preston to sign.

Appropriate graduated fee forms will be sent to the paying agency electronically if practical oblique feasible and otherwise will be mailed.

If payment is made, the copy assessment and form are removed from the file kept in the cash office and the case is recorded on the computer as having been paid.

Every 3 months, a member of staff in the cash office checks the file and submits a further copy of the Graduated Fees Form together with a letter requesting an explanation from the LAA why no fee has yet been paid in full. Any discrepancy is queried with the LAA by way of letter requesting re-determination.

E.10 CPS work

E.10.1 The procedure for collection of fees for CPS (NOFF cases) work in Chambers is as follows: The member of staff in the cash office dealing with the fees requests a nomination

form from the CPS if none has been received. He/she checks to ensure that the nomination form accurately reflects the pre-

marked fee. A fee note is raised and sent to the CPS. The nomination form is retained on a file

in the cash office. If payment is made, the nomination form is removed from the file kept in the cash

office and the case is recorded on the computer as having been paid off. Every 3 months, a member of staff in the cash office checks the file and submits a

letter requesting an explanation from the CPS why no fee has yet been paid. In cases committed for trial after 29th September 2001, the procedure for

graduated fees is followed

E.11 Family work

E.11.1 In the case of privately paid matrimonial fees, a fee note is raised and the fees are dealt with as if they were civil fees.

E.11.2 In the case of legally aided cases under the Family Graduated fee scheme and family advocacy scheme, counsel should complete the internal pro forma and advocates attendance form which is passed to the Accounts office together with the papers /brief. The claim is then prepared for submission to the Legal Aid Agency and a fee note is sent to the instructing solicitor.

E.11.3 Collection of fees for publicly funded work should follow the same procedure as for civil cases in respect of collection and payments on account from the Legal Aid Agency

E.11.4 In High Cost Cases, the High Cost Cases Protocol (App-C-03) must be followed.





F Recruitment and Continuing Education

F.1 The Pupillage Secretary

F.1.1 Pupillage recruitment is to be dealt with by the Pupillage Secretary, who will serve as appointed by the Chambers AGM. The Pupillage Secretary will enlist members of chambers as the need arises. The Practice Groups are to appoint Liaison Officers to assist with this process.

Deans Court Chambers Pupillage Policy

F.1.2 The aim of Deans Court Chambers is to recruit excellent candidates with the capacity to succeed in any area of practice. Candidates will be recruited and appointed fairly, regardless of ethnic origin, gender, age, marital status, sexual orientation, political affiliation, religion or (subject to the physical requirements of practice) disability and in accordance with the Chambers policy in respect of the Equality and Diversity Code for the Bar.

F.1.3 The position of a pupil at Deans Court Chambers is more fully described in the Pupil Job Description (APP-F-01). Deans Court Chambers has a Pupil Competence Framework (APP-F-02) of skills that are related to this Job Description. Pupil Selection Criteria Narrative (APP-F-03) used in the recruitment process is intended to allow these qualities to be assessed as between candidates.

F.1.4 All Members of Chambers participating in the recruitment process are provided with copies of the document referenced in F.1.3.

F.2 “Conventional” pupils

Introduction

F.2.1 “Conventional” pupils are defined as those recruited through the OLPAS system. Chambers ensures that the timetable dictated by OLPAS (or any other common timetable adopted by the Bar Council in future) is followed. Pupillages offered are for a full twelve months. A pupillage award will be provided, the amount of which is to be decided by the Pupillage Committee, subject to budgetary approval, and in addition reasonable travel expenses will also be met. Compulsory training costs will also be met by Chambers.

F.2.2 Pupils will normally be offered pupillages on the basis that Chambers has room to accommodate a tenant providing that the pupil satisfies Chambers as to the merits of his or her application for a tenancy. The numbers of pupillages may vary each year and will be decided upon by the Pupillage Secretary, taking account of any representations received from Practice Groups regarding the need, if any, for recruitment. Practice Groups are expected to have made their representations at least 6 weeks prior to Chambers AGM. If the decision of the Pupillage Secretary is not accepted by a Practice Group, the need for and number of pupillages is to be decided at Chambers AGM.

Short listing

F.2.3 All applications for pupillage will be considered initially by the Pupillage Secretary together with a number of Members of Chambers (nominated by the Pupillage Secretary) to compile long lists of candidates for circulation to the Practice Groups. In reviewing applications, all applicants are compared to set criteria detailed on the Pupillage Selection Criteria (DCF-F-01) and scored on a Shortlist-Longlist Scoresheet (DCF-F-06). The Practice Groups are then to decide upon a shortlist of candidates who they would wish to invite to a first interview, again by reference to the Pupillage Selection Checklist, to be scored on a Shortlist-Longlist Scoresheet.





F.2.4 The short listed candidates will be invited for first interview by individual Practice Groups, to be conducted by a panel of at least two Members of Chambers (containing at least one silk or junior more than 10 years call). The panel will be nominated by the Practice Group Liaison Officers, subject to the convenience and availability of Members of Chambers. The interview panel will comprise, as far as possible, persons of different age, gender and social, racial or cultural background

Interviewing

F.2.5 Interviews are held in Chambers as dictated by the OLPAS timetable and are conducted by the selected panel. Each first interview will include standard questions, drawn up in advance of the interviews and put to all candidates. Disabled applicants who are interviewed should be asked at interview what adjustments, if any, may be needed to enable the candidate to practise as a barrister.

F.2.6 During each interview, committee members record striking features of the interview and their impressions using the Interview Scoresheet (DCF-F-07).

F.2.7 Time is allowed after each interview for a short exchange of views. No decision is taken, however, until all interviews are complete, when there is an opportunity for discussion and for the final decisions to be made.

F.2.8 Applicants are told at the conclusion of their interview when they can expect to be told of the outcome. For those progressing to second interview stage, this is usually within a matter of days. Unsuccessful candidates will be sent a letter or electronic OLPAS notification.

F.2.9 The committee members compare their candidate scores and list their preferences for second interview in descending order. All preferences are reviewed and debated until the shortlist is agreed.

Second Interview & Final Selection

F.2.10 Where candidates of sufficient quality have been seen on the first interview round, second interviews will be held.

F.2.11 Second interview candidates are to be conducted by a panel of at least three Members of Chambers (The interview panel will comprise, as far as possible, persons of different age, gender and social, racial or cultural background containing at least one silk or junior more than 10 years call). The format of the second interview may vary, according to the Practice Group promoting the candidate but will otherwise be as homogenous as possible. The panel will be nominated by the Pupillage Secretary subject to the convenience and availability of Members of Chambers. Members who sat on the First Interview may not also sit on the Second Interview. Following completion of the interviews, the panel members will list their opinions and candidate ratings, again using the Interview Scoresheet (DCF-F-07). The Chairs of both interview panels are then to discuss the position and make a final decision, subject to approval by the individual panels.

F.2.12 Unsuccessful candidates will be sent a letter informing them of this decision or online notification via OLPAS. Successful candidates will be sent an offer letter and/or electronic OLPAS notification. If accepted, Chambers will write again outlining the terms of pupillage.

Records

F.2.13 All records of short listing and selection decisions are kept in Chambers by the Secretary of the Pupillage Committee for a period of 3 years to demonstrate compliance with anti-discrimination legislation and to provide feedback to interested candidates if required.

F.2.14 Equal Opportunities monitoring data is reviewed following each recruitment drive and as detailed in the Equality Policy. Distribution of such monitoring questionnaires or





material which may be required to comply with the Equality Policy will be by letter or electronically via OLPAS.

Induction

F.2.15 Pupils attend Chambers for a pre-orientation day, usually during August, when they are shown around and introduced to key personnel. They are given the Induction Pack and asked to read it thoroughly before commencement of their pupillage.

F.2.16 The Induction Checklist is completed on the pupil’s first day in Chambers. Any questions arising from reading the Induction Pack are answered and a brief overview of each element is provided. The Induction Checklist (as used for staff) is completed accordingly and retained on the pupil’s records.

F.2.17 The Induction element on the Bar Council’s Training Checklist is completed by the Pupil supervisor on commencement of the pupillage and recorded as such.

Patterns of Pupillage

F.2.18 A pupil will have and be supervised by a formally-designated and approved pupil supervisor in accordance with the Code of Conduct Pupillage Guidelines which sets out the role and responsibilities of pupil supervisors. This includes ensuring that pupils have their provisional and practising certificates at the appropriate stages of their pupillage. The Role and Responsibilities of Pupils is explained during induction using the Code of Conduct as the reference for this.

F.2.19 The structure of the first 6 months of pupillage will be decided upon by the pupil’s pupil supervisor together with the Pupillage Secretary, and will wherever possible ensure that the pupil spends time with experienced practitioners from different disciplines, including civil, crime and family.

F.2.20 Prior to the interview referred to in F.2.21 below, an objective assessment of the pupil’s progress will be made and recorded on the Pupil Assessment Form (DCF-F-04). The report will be kept on the pupil’s record and verbal feedback given to the pupil as appropriate.

F.2.21 The progression of pupils towards tenancy is to fall within the responsibility of a Tenancy Chairman, who is to be appointed by the Head of Chambers and be a silk or junior of more than 10 years call. During the second 6 months (at least half way through) the pupil will be interviewed by the Tenancy Chairman, who shall co-opt at least 2 other Members of Chambers to carry out the interview with him. The panel shall not include any member of the initial interview panels nor shall it include the pupil supervisor, but it may include Members of Chambers who have provided an assessment under F.2.20 above and their objective assessments will be taken into account in any case. The interview panel shall also seek the views of the Senior Clerk and the Practice Group Liaison Officers.

F.2.22 The panel shall assess a candidate’s suitability for a tenancy by reference to the Tenancy Criteria (APP-F-04). It is to be noted that the required standard is one of predominantly good or excellence performance; it is not enough for a candidate to be personable and no better than competent. The panel shall, through its Chair, provide a written recommendation to Chambers as to whether the pupil is a suitable candidate for a tenancy in Chambers. Minutes of the review will be taken.

F.2.23 Chambers shall then hold a secret ballot of all practising Members of Chambers. The Applicant will be granted a tenancy unless 15% of all practising Members of Chambers vote against the application.

F.2.24 Save in the most exceptional circumstances (such as serious illness or bereavement) a “conventional” pupil will not be offered a further third 6 months.





F.2.25 The pupil will be notified whether they are to be offered a tenancy or not as soon as the outcome of the ballot is known. For those who are not offered a tenancy, Chambers will endeavour to assist in finding a placement elsewhere. It is Chambers policy not to allow squatting.

Fair Distribution of Work & Grievances

F.2.26 The clerks shall ensure that work is fairly allocated to ensure each pupil has equality of opportunity for development and earnings. Any concerns will be reported to the Pupillage Panel for review and action as appropriate.

F.2.27 Should a pupil feel at any stage that they are being unfairly treated with respect to work allocation (or any other aspect of their pupillage) they should discuss the matter with their Pupil Supervisor in the first instance.

F.2.28 Pupils are also allocated a mentor on commencement of their pupillage. The mentor is a Member of Chambers who was not involved in the selection and interview process. Grievances can be taken to the mentor if the pupil feels more comfortable with this process. If still dissatisfied, the Chambers Grievance Procedure (App-I-04) should be followed. The same procedure applies to all Members, pupils and staff. Pupils may be represented by their mentor in any grievance investigation.

Training Records & Pupillage Feedback

F.2.29 All Pupils will be issued with the Bar Council’s Common Law Training Checklist for completion throughout their pupillage and are expected to complete a Pupillage Diary in accordance with Bar Council requirements. The satisfactory completion and return of all such paperwork by a pupil within 28 days of completion of pupillage is a condition of their tenancy offer. Copies of the Checklist and diary will be kept in Chambers for a minimum of three years. The Pupillage Secretary shall ensure that all such records are retrievable for inspection if required.

F.3 Recruitment of existing practitioners

F.3.1 Existing practitioner

F.3.1.1 An existing practitioner is a person who has already completed pupillage or is otherwise qualified to practise at the Bar but who is not a member of chambers.

F.3.1.2 Existing practitioners shall be recruited to Chambers by the following procedures:

Open recruitment (below);

Specific recruitment (below);

F.3.2 Recruitment - general

F.3.2.1 The recruitment and selection of established practitioners must be in accordance with Chambers Equality and Diversity Policy.

F.3.2.2 Applications by existing practitioners must be treated with expedition and in the strictest confidence by all Members of Chambers and members of staff having knowledge of the same whether by virtue of the recruitment procedures or otherwise.

F.3.2.3 It is a disciplinary offence to disclose the making of an application by an existing practitioner to join chambers to any person who is not a member of chambers.

F.3.3 Recruitment panel





F.3.3.1 Recruitment of existing practitioners is dealt with by a Recruitment Panel.

F.3.3.2 The Recruitment Panel consists of between 6 and 8 Members of Chambers appointed by the Management Committee.

F.3.3.3 The Recruitment Panel must be selected with the aim of ensuring that, so far as practicable, all practice groups and all levels of seniority within Chambers are represented.

F.3.3.4 Each member of the Recruitment Panel must undergo diversity training which shall be recorded on the Fair Recruitment Training Register prior to taking office such as to meet the requirements of the Bar Standards Board relating to those who recruit.

F.3.3.5 The Recruitment Panel may delegate any of its functions, save for the interviewing of an applicant under paragraph below and the decision whether to grant an application for tenancy under paragraph below.

F.3.4 Criteria for recruitment.The Recruitment Panel must have regard to the following matters in deciding whether to grant an application to join chambers by an existing practitioner:

Whether the applicant has exceptional ability

The extent to which the applicant will fulfil a business need of the practice group in which the applicant is likely to practise.

The extent to which the applicant will fulfil a business need of Chambers as a whole.

Whether the recruitment of the applicant is conducive to the good order and running of Chambers

The results of the enquiry into the applicant’s standing referred to in paragraph below.

F.4 Open recruitmentThe open recruitment procedure applies where a practice group has identified a business need to recruit an existing practitioner which has been approved by the Management Committee.

F.4.1 The practice group in question must identify the qualities required to fulfil the business need with sufficient precision to enable the Recruitment Panel to make an objective assessment of any application made. The qualities required may include specialisation in a particular field of practice.

F.4.2 Chambers will advertise widely and through appropriate media an invitation for applications to join Chambers to fulfil the need identified. The advertisement must identify the qualities required of the applicant and will include a statement that Deans Court Chambers is committed to equality, diversity and social mobility. Applicants will be invited to inform Chambers in advance of any reasonable adjustments required to facilitate their application or prospective membership of Chambers.

F.4.3 Each application must be acknowledged and an EOM form must be sent to the applicant. All completed EOM forms will be retained in strict confidence by a member of staff nominated by the Senior Clerk for the purpose of equality monitoring exercises and shall not ordinarily be provided to the Recruitment Panel during the selection process.

F.4.4 At the closing date for applications, the Recruitment Panel must review each application against the criteria defined in the original advertisement to ensure that the recruitment process is conducted objectively. The Recruitment Panel must identify which, if any, of the applicants require to be interviewed.

F.5 Specific recruitmentThe specific recruitment procedure applies where an existing practitioner approaches a Member of Chambers with a view to making an application for a tenancy.





F.5.1 The Recruitment Panel must confer with the head of the practice group in which the applicant is likely to practise in order to identify whether the practice group has a business need that might be met by the recruitment of the applicant.

F.5.2 The Recruitment Panel shall determine whether the applicant requires to be interviewed. If the Recruitment Panel determine that the application will be rejected without the need for interview, the applicant shall be notified as soon as possible.

F.6 Consideration of applicantsIf an applicant requires to be interviewed, the following procedure applies.

F.6.1 At least 5 working days before the proposed date of the interview, the Recruitment Panel must Notify all members of chambers of the identity of the applicant Notify all members of chambers of the proposed date of the interview Invite observations upon the application within 3 working days. Remind members of Chambers that it is a disciplinary offence to disclose the

application to any person who is not a member of Chambers.

F.6.2 The Recruitment Panel must take into account any observations made by members of Chambers about the application. The Recruitment Panel may take any steps they feel necessary to investigate allegations about the applicant. The Recruitment Panel should act with all due expedition and should keep the applicant informed in the event that there is likely to be a delay in the recruitment process.

F.7 Financial Standing

F.7.1 Any applicant for a tenancy in Chambers shall be asked:(a) To provide a copy of the applicant’s previous 3 years’ accounts to the

interviewing panel;(b) Whether the applicant is now or has ever been the subject of a Bankruptcy order

or an individual voluntary arrangement;(c) Whether there is any information about the applicant that might embarrass, or be

detrimental to, Chambers, should the application be successful;(d) To provide an undertaking that the applicant will subscribe to Chambers

constitution and in particular to paragraph 5.2 thereof in the event that his application is successful.

F.7.2 The detail of the accounts referred to in paragraph F.7.1(a) shall remain confidential to the Interviewing Panel, but otherwise the applicant’s responses to these questions (including any failure or inability to respond) must be taken into account in deciding whether to offer the applicant a tenancy in Chambers.

F.8 Interviewing applicants

F.8.1 An applicant should not be offered a tenancy in Chambers unless he/she has been interviewed in accordance with the following procedure.

F.8.2 For any interviewing exercise, the Recruitment Panel must elect an interviewing panel consisting of at least 3 members of the Recruitment Panel. The interviewing panel must rate the applicant against any requirements identified for the application, and in the event that no requirements have been identified, in accordance with the person specification and checklist (Annex X).

F.8.3 The interviewing panel must take notes of the interview. The notes shall be referred to in the event that an applicant seeks feedback about his/her application. The notes shall be handed to the senior clerk immediately after the interview and he shall retain them for a period of 6 years.

F.9 Decision and notification

F.9.1 As soon as practicable after the interview has taken place, the Recruitment Panel must consider the views of the panel that interviewed the applicant. The Recruitment Panel





must then decide whether to offer the applicant a tenancy in Chambers. An application shall succeed only if a majority of the Recruitment Panel supports the application.

F.9.2 As soon as practicable after the determination of the application, the Recruitment Panel must notify the result of the application to (a) the applicant (b) all members of Chambers.

F.10 Continuing Education

F.10.1 Junior Members of Chambers who are uncertain about a point of law, practice or procedure are encouraged to seek advice from their former pupil master/mistress or from another experienced practitioner.

F.10.2 Members of Chambers should ensure that they are fully informed of the contents of Annexe C, “The Continuing Professional Development Regulations” of the Code of Conduct.

F.10.3 Members of Chambers must comply with the “Mandatory Continuing Professional Development Requirements” (“CPD”) set out in paragraphs 3, 4, and 5 of Annexe C (above) by completing the minimum hours of continuing professional development, appropriate to their date of call to the Bar.

F.10.4 It will be the responsibility of individual Members of Chambers, subject to CPD, to ensure that they complete the approved training record and to ensure that he/she gives a copy of the approved training record to the CPD co-ordinator (Nilufa Khanum) on the 1 st

October of each year. The CPD co-ordinator must keep the copies for three years.

F.10.5 Members of Chambers should keep themselves abreast of developments in areas of which they express expertise.

F.10.6 Members of Chambers will be assisted in complying with CPD requirements by the provision of in-house CPD approved seminars and the circulation of out-of-house CPD approved seminars which they may attend.





G Information SecurityG.1 Purpose

G.1.1 In accordance with the principles set out in our constitution and our on-going commitment to legal, regulatory and contractual compliance, all Members of Chambers and staff are required to comply with the Information Security Policy and the Management System (“ISMS”) that implements this policy.

G.1.2 Implementation of the ISMS ensures that members, staff and third party suppliers are committed to preserving the confidentiality, integrity and availability of all paper-based and electronic information controlled, processed or within their custody.

G.1.3 The Information Security Steering Committee (“ISSC”) is responsible for ensuring that adequate resources are provided to ensure efficient running of the Information Security Management System and to review the policy on an annual basis. However, the day-to-day management of the policy is the responsibility of the Information Security Manager.

G.2 Scope

G.2.1 The Information Security Policy applies to the following: Our premises in Manchester and Preston Our staff Barristers The hardware, software and data we use to manage the business of Chambers and all

data stored in Chambers or on devices run by or on behalf of Chambers as a whole The personally owned hardware, software and data kept by members of chambers and

staff used for work purposes

G.2.2 The following are explicitly excluded from the scope of our ISMS: The personally owned hardware, software and data kept by individual members of

chambers or staff which is not related to work purposes. The security of such is the individual responsibility of the member of staff/chambers. Members of Chambers will nevertheless be expected to comply with applicable chambers security policies

Barristers’ and staff homes Third party data/information processing/storage locations that are not under direct

control of chambers. However, third parties will be required to comply with applicable chambers security policies

G.3 Compliance with Statutory and Regulatory Obligations

G.3.1 The ISMS will comply with applicable UK and European law including but not limited to: The Data Protection Act 1998 (DPA); Computer Misuse Act 1990; Human Rights Act 1998; Regulation of Investigatory Powers Act 2000; The Copyright, Designs and Patents Act 1998; Privacy and Electronic Communications Regulations 2003 (PECR)

G.3.2 The ISMS will comply with applicable regulatory requirements including but not limited to; Bar Standards Board 8th Edition Code of conduct for the Bar; European Lawyers Code of Conduct 2006; Bar Council Email guidelines for the Bar and Bar Standards Board confidentiality

guidance; AGO Guidelines on Information Security and Government work





G.3.3 The legislation and regulatory codes that Chambers adheres to are listed in the following document: (Work in progress)

G.4 Acceptable Use of Assets Policy

G.4.1 Deans Court Chambers accepts that Email, Internet and Mobile Devices are essential components to the running of Chambers. However, their use can expose Chambers to risks if they are not sensibly used. We therefore expect that all staff and barristers acknowledge the procedures outlined below and follow them when practically possible.

G.4.2 Deans Court Chambers Asset List (DCF-G-06) is available for staff to use if they need guidance on hardware and software we use and its value.

G.4.3 Barristers should inform the Information Security Manager that they intend to buy new work equipment, e.g. laptops, MacBooks or tablets. The Information Security Manager can then advise them on software and ensure that it is compatible with Chambers system.

G.5 Email acceptable use policy

G.5.1 The following protocols should be used when sending or receiving sensitive e-mails: Use CJSM for legitimate business purposes relating to the Criminal Justice System.

You can use CJSM for day to day communications with organisations that you regularly pass sensitive emails to. CJSM must not be used to send information with a sensitivity level higher than RESTRICTED, as defined by the Government Protective Marking Scheme. For more information on CJSM, refer to the website http://www.cjsm.justice.gov.uk.

G.5.2 The following behaviour by a member of staff or a barrister is unacceptable: To use Chambers EMail to set up a personal business or send chain letters To forward confidential messages related to Chambers business to external locations To distribute, disseminate or store images, text or materials that might be considered

indecent, pornographic, obscene, illegal, discriminatory, offensive or abusive, a personal attack, sexist, racist or might be considered as harassment

To access copyrighted information in a way that violates the copyright laws To broadcast unsolicited personal views on social, political, religious or other non-

business related matters To transmit unsolicited commercial or advertising material To undertake deliberate activities that waste staff effort or networked resources To introduce any form of computer virus or malware into the Chambers network

G.5.3 For chambers policy regarding emails which contain sensitive data, please see PMS section C.11 (Management of briefs, instructions and other communications – Email).

G.6 Internet Acceptable Use policy

G.6.1 The following behaviour by a member of staff or barrister is considered unacceptable: To store, send or distribute any content or material which is restricted, prohibited or

otherwise unlawful, or which is likely to be considered offensive or obscene To store, send or distribute confidential information, copyright material or other

content which is subject to third party intellectual property rights, unless you have a lawful right to do so

To do anything, including store, send or distribute material which threatens or offends, violates the privacy of, or incites violence or hatred against, any person or class of persons, or which could give rise to civil or criminal proceedings

To do any other act or thing which is illegal, fraudulent or otherwise unlawful or which is in breach of any code, standard or content requirement of any other competent authority




http://www.cjsm.justice.gov.uk/


To access, monitor or use any data, systems or networks, including another person’s private information without authority

To compromise the security or integrity of any network or system including Deans Court Chambers network

To introduce any form of computer virus or malware into the corporate network To tamper with, hinder the operation of or make unauthorised modifications to any

network or system To broadcast unsolicited personal views on social, political, religious or other non-

business related matters To undertake deliberate activities that waste staff effort or networked resources

G.7 Mobile Devices Acceptable Use

G.7.1 This policy specifically deals with the use of barrister and staff owned smartphones, tablet computers and other devices on Deans Court Chambers network. This includes the use of email and storing of any company information on any portable electronic device not owned by Deans Court Chambers

G.7.2 Deans Court Chambers recognises that some employees who have not been issued with a company smartphone or other portable electronic device may wish to use their own device for business purposes. The use of any unauthorised device on Deans Court Chambers’ network is strictly prohibited and may result in disciplinary action. Deans Court Chambers permits the use of employees hardware under the following conditions

G.7.3 Permission Only devices authorised and checked by the IT department may be connected to

Deans Court Chambers network An email will be issued by the Data Protection Officer (or IT Administrator)

providing the user with the required authorisation to use their device on the network. Until this email has been received the user may not connect their device to the network.

G.7.4 Permitted Use and Restrictions Users may use their device to receive and send company email If the facility is available a BCC should be enabled to the users own Deans Court

Chambers email address so a copy of all sent email is forwarded to the users company inbox

Highly sensitive information or files should not be stored or sent from the device.

G.7.5 Security SIM card must have a PIN code that is requested whenever the device is turned on The device must also be protected with an operating system PIN code/password Voicemail must be protected by enabling your service providers PIN prompt if you

intend using the phone for Deans Court Chambers business. System default PIN’s should never be used and a new PIN assigned by the user If device encryption is available on your device this must be activated. Laptops must

be whole disk encrypted. Chambers recommends using standard OS encryption and advises use of Windows 8.1 Pro Bitlocker for PC users and Filevault 2 for Mac users. These are FIPS 140-2 or CCTM (CESG Claims Tested Mark) standard

Security applications must be installed on the device. This is to include as a minimum an antivirus product and a firewall. Free antivirus products are not permitted.

Any remote wipe feature must be enabled or a suitable application installed. Security updates must be enabled for all installed applications and the device.





Users should very carefully consider the risks when connecting to an unsecured wireless network. Such networks pose a high security risk and may result in the device being hacked.

The device should only be accessible by Deans Court Chambers employee and no other persons

Restricted material stored on mobile devices must be encrypted to and whole disc encryption is required.

G.7.6 Loss or Theft of device - Any loss or theft of the device must be reported to the IT department immediately. The user must wipe the device using the remote wipe application and report that this has been done to the IT department.

G.7.7 Old Devices and Leavers - When an employee either changes their device, no longer wishes to use it for Deans Court Chambers business or leaves the employment of Deans Court Chambers the following procedure must be followed:

The device must be passed to the IT department where it will be securely wiped of all user data.

The phone/device will be returned to the employee in a “factory restored” state with all information securely removed from the device.

G.7.8 In this Mobile Device Acceptable Use policy, compliance is required to meet the obligations of the Code of Conduct set out by The Bar Council.

G.8 Photocopier Retention Policy

G.8.1 The photocopiers are frequently used by barristers for printing legal case work. It is important that barristers have this option but it is a security breach when sensitive documents are left at the photocopier unattended. For this reason a Retention Policy has been set up.

G.8.2 When you print, your document will be stored in the photocopier HDD drive and you must follow a procedure at the photocopier to retrieve your document. To retrieve printing: Click the home button Click HDD File Retrieve Tick the files that are under your username Then tick ‘Print and Delete the Data’ Click ‘Print Now’ Collect Printing

G.8.3 Please note: This policy does not work with a Mac operating system.

G.9 Counsel’s Work Acceptable Use (Briefs, Instructions and other communications)

G.9.1 Information on the Acceptable Use of Counsel’s work when located at Deans Court Chambers is documented in Section C of the Quality Manual.

G.10 Remote Access Acceptable Use

G.10.1 The following procedures should be followed by staff and barristers when remotely accessing Deans Court Chambers’ network: To access the Deans Court Chambers network remotely you will need to log in with a

secure strong password





Under no circumstances should any user with remote access privileges provide their login password to anyone

Any user with remote access privileges must ensure that their Deans Court Chambers personal work device, which is remotely connected to the Deans Court Chambers network, is not connected to any other network at the same time

When connected remotely to Deans Court Chambers network must not use personal e-mail accounts or other external resources when conducting Deans Court Chambers business on the network

All devices that are connected to the Deans Court Chamber network via remote access must use the most up-to-date virus software and have suitable encryption.

G.11 Clear Desk, Clear Screen Acceptable Use

G.11.1 Clear Desk - When practically possible: Staff and barristers should clear away and secure any information including, but not

exclusively, work papers and removable media before leaving their desks Staff and barristers should store paper and computer media in suitable locked safes,

cabinets or other forms of security furniture when not in use, especially outside working hours

At the end of each session all sensitive information should be removed from the work place and stored in a locked area. This includes all patient identifiable information, as well as business critical information such as salaries and contracts.

Confidential, sensitive or classified information, when printed, should be cleared from printers immediately. Printers that have the ability to set a retention policy should be enabled

All office areas should be locked when they are not in use; keypad locks should be used at all times

The reception desk should be kept as clear as possible at all time, confidential information that has been delivered to reception should be given to the appropriate person promptly.

G.11.2 Clear Screen: Computers should not be left logged on when unattended and should be password

protected Computer screens should be angled away from the view of unauthorised persons Windows Security Lock should be password protection for reactivation; press

simultaneously the windows key ( ) + L to lock your computer.

G.11.3 Sensitive Data Areas

As it is difficult to maintain a clear desk policy in a Barrister Chambers, we employ a sensitive data area in chambers which incorporates the clerks rooms and pigeon hole areas which are only accessible through doors secured with numerical locks.

Numerical locks have been installed on doors throughout the Chambers to ensure that only those with the correct authorisation can access the Barristers rooms as these are the other areas in which sensitive data is stored.

G.12 Password Management

G.12.1 To ensure that access to the system is secure, a password management system has been implemented by Amberworks. This will force you to change your password every six months. You will be sent e-mail reminders so that when the time nears, you will be reminded

to change your password. To change the password, log in and then press CTRL-ALT-DEL and then select

‘Change Password’.





For desktops in Chambers: when the password expires, you will be prompted to enter a new password when you try to log on to your computer.

For personal laptops that are not permanently connected to the network: you will be prompted by e-mail when your password is near expiry. You should log on to https://mail.deanscourt.co.uk and go to Options and then Change Password.

For MacBooks: you will be prompted by e-mail when your password is near expiry. You should log on to https://mail.deanscourt.co.uk and go to Options and then Change Password.

When you have updated your password you will have to update your phones/tablets to match the new password very quickly.

If you do not change it quickly, after 20 failed log on attempts within 30 minutes, the account will be locked out for a further 30 minutes.

Your password must be 8 characters long and comprise of upper-case letters, lower-case letters, numbers and symbols.

G.13 Operational Procedures

G.13.1 Backup ProcedureA daily backup rotation scheme is in place with 10 tapes for each week day which are labelled week 1 and week 2. Backup tapes should be stored securely at all times and should be taken off-site every evening to the Administrators/Criminal Clerks home.

The procedure: Each day the backup tape is removed from the tape drive in the server cabinet and the

relevant replacement tape for that day is inserted. The server cabinet door is locked after use. The backup log is completed detailing the date, name of person responsible for the

backup tape on that particular date, backup tape details (day, week 1 or 2) and the overnight storage location of the backup tape.

At the end of the working day the backup tape is removed from the premises and stored off-site at a staff member’s home.

The following working day the backup tape is returned to the chambers server cabinet and the backup process starts again.

The backup software is configured to automatically alert the Administrator as to the status of any backup performed. It will be reviewed on a daily basis and any faults will be reported to IT support. Tape drives used for backups will be cleaned using the cleaning cartridge on a regular

basis. The cartridge should be marked each time it is used. The Administrator is responsible for changing the backup tapes each day. On days

where this is not possible, a clerk performs this task.

G.13.2 Secure Disposal of Media Equipment Organisations have a legal responsibility to dispose of redundant equipment

responsibly and ensure that the data held on such equipment is securely deleted, especially is it contains 'personal data' within the meaning of the Data Protection Act.

The Information Commissioner has the power to award fines of up to £500,000 for breaches of the Date Protection Act.

Chambers old or broken electronic equipment should be stored in the Communications room, which is locked at all times.

When the room is at full capacity, the Administrator should make a list of all redundant equipment and then access FM Recycling who securely dispose of equipment free of charge (http://www.fmrecycle.co.uk).

The service tag for hardware destroyed is to be recorded on the back of the certificate of destruction and the asset inventory updated.

The Administrator should send an e-mail to Counsel to ask if they have any hardware with sensitive data on that they would like securely disposing of for a fee.

G.13.3 New Employee Procedures




http://www.fmrecycle.co.uk/

https://mail.deanscourt.co.uk/

https://mail.deanscourt.co.uk/


When a new barrister or staff member is employed by Chambers, the Administrator must ensure that they have online facilities ready to use before they begin. The new employee will need a user profile, e-mail address, LEX profile, access to a photocopier and CJSM (when relevant).

The Accounts Manager will enter appropriate details of the new employee onto their user profile on LEX.

On the employee’s first day, the Administrator will issue their passwords, CJSM instructions and will help them to set up the LEX diary, e-mail and remote desktop onto their laptop and other devices (phone). The Administrator will also connect them to a printer or photocopier of their choosing.

The Administrator should enquire as to what encryption software they currently use and advise them to set up PGP Whole Disk Encryption through PST.

G.13.4 Termination of Employment Responsibilities

When a barrister or staff member leaves Chambers employment, the Administrator must ensure that the user no longer has access to their user profile or e-mail inbox. The Administrator should immediately remove the user from all e-mail groups, change the user's password and disable the user's account.

This process ensures that the inbox is still intact in case a clerk needs to access it for future reference. If access is needed, the clerk should inform the Administrator and offer a valid reason.

The users LEX password must be changed immediately. Once the diary is clear, they can be removed from the system by their former clerk or the Administrator.

The Administrator should inform the employee of this process before they leave Chambers employment. Their account can be set up to forward any incoming e-mail to an alternative address.

G.14 Use of Couriers G.14.1 Couriers are an essential component to the running of Chambers. Members of Counsel

often need papers couriered to them on the day, rather than overnight by the Royal Mail post. However, Chambers are aware of the risks involved with using couriers and take steps to ensure the protection of data. Data Direct are Chambers recommended courier service, all members of counsel

should store Data Directs’ number in their phone: 07801 867 202. If Counsel has requested a courier but they are not at home to receive it, they should

contact Data Direct and make alternative arrangements. It is the responsibility of Counsel to ensure someone will be at home to take receipt of

the papers or to tell the clerks that they have a secure external location to leave papers.

Counsel should never give papers to a courier out of working hours or near the end of the working day to take back to Chambers, as there is a danger that the courier will store the papers in an unsecure location overnight, i.e. their car.

Where possible, Counsel should not keep papers at home unless it is a current case that they are working on.

Clerks should attach Counsel’s number to the papers, in case the courier needs to contact them urgently.

G.15 Roles & Responsibilities / Reporting Security Breaches

G.15.1 Staff and Barristers: It is the responsibility of staff and barristers to report any security breaches or weaknesses in security controls.

Staff and Barristers should adhere to these guidelines whilst acting on behalf of Deans Court Chambers, should you have any involvement in a security breach it is your responsibility to report it to the Information Security Manager so efforts can be





made to rectify the breach or for corrective actions to be put in place.

To report a vulnerability or weakness you should fill in the Information Security Vulnerability Report (DCF-G-10) and report it to the Information Security Manager.

To report an incident you should fill in the Information Security Incident Report (DCF-G-09) and report it to the Information Security Manager.

Outside suppliers (STE Waste, Amberworks, Data Direct) need to report any data security breaches within 24hrs of the event. Any breaches of information security are to be reported to Information Security Manager. It is the responsibility off the Information Security Officer to ensure that outside suppliers are aware of and adhere to these procedures having signed the confidentiality agreement.

It is mandatory that Staff and Barristers take a test (APP-G-07 Barristers & APP-G-08 Staff) to show that they have read the training manuals (APP-G-05 Barristers & APP-G-06 Staff) associated with this section and other important sections of the Practice Management Standards.

G.15.2 Information Security Manager: is responsible for creating, publishing and updating this procedure

G.15.3 Information Security Committee: Information Security and Quality (Senior Clerks where appropriate) are responsible for reviewing this procedure (at least annually or if there is an organisational change)

G.16 Related Documents

G.16.1 Below is a flowchart to show the relationships between the Information Security Policy documents:

G.17 Change Control Process

Although individual employee’s computers are set to automatically update their software in regards to Windows OS, Microsoft Office, McAfee Enterprise, the IT Manager is still required to monitor and record software and hardware updates which involve the terminal servers on which sensitive data is stored. A record of these updates is recorded on the IT Hardware and Software update log DCF-G-11 (to be approved by ISSM)




G: Information Security Policy

APP-G-03: Risk Assessment Procedure

DCF-G-06: Asset

Inventory

DCF-APP-04: Information

Classification Matrix

DCF-G-03: Risk Assessment Log

DCF-G-04: Risk Treatment

Plan

APP-G-01: Control of Documents and

Records Procedure

DCF-G-05 Document Template

DCF-G-01: Documents and Records Control

Log

APP-G-02: Corrective and Preventative

Actions Procedure

DCF-G-07 Incident Report

Form

DCF-G-08 Vulnerability Report Form

DCF-G-02: Corrective and Preventative Actions Log

PMS-A.4: Internal Audit Procedure (PMS Manual)

Audit Checklist:

Crime

Audit Schedule

Audit Checklist: Civil and Family


G.18 Queries

G.18.1 If you have any feedback or queries on Information Security, please contact Chambers Information Security Officer on 0161 214 6000.





H Procedure on Chambers Premises and Facilities

H.1 Administration

H.1.1 Members of Chambers must comply with paragraph 403 of the Code of Conduct (Administration and conduct of independent practice). In doing so, it is the aim of Chambers to ensure that Chambers makes proper use of its premises, facilities and equipment and plans its future resource needs via the annual review process. Chambers shall ensure that an adequate budget is provided to ensure premise are accessible, safe and secure and meet all legal requirements.

H.1.2 All members of Chambers are required to maintain all necessary professional indemnity cover. This process is coordinated by Steven Byrne who coordinates payments to Bar Mutual on behalf of the members by production of the relevant data for review, and completion of the forms for approval by the barristers.

H.1.3 The Management Committee has responsibility for ensuring that adequate resources are provided and utilised efficiently although the day-to-day management of this task is the responsibility of the Chambers Administrator.

H.2 Compliance with statutory obligations

H.2.1 The Chambers Committee must ensure that Chambers meet its statutory obligations, including (without prejudice to the generality of the foregoing) The Management of Health and Safety at Work Regulations, 1999; The Workplace (Health, Safety and Welfare) Regulations 1992; The Provision and Use of Work Equipment Regulations 1998; The Health and Safety (First Aid) Regulations 1981; The Health and Safety (Display Screen Equipment) Regulations 1992; The Employers' Liability (Compulsory Insurance) Act 1969; Control of Asbestos At Work Regulations 2002 Control of Substances Hazardous to Health Regulations 2002. Manual Handling Operations Regulations 1992 Personal Protective Equipment at Work Regulations 1992 Disability Discrimination Act 1995 Data Protection Act 1998 The Freedom of Information Act 2000

H.2.2 The Head of Chambers must, by himself or his delegate, consider at intervals of not more than a year, the statutory obligations upon Chambers and the manner in which such obligations are being discharged. He shall, following such review, take such steps as he thinks fit to ensure that such obligations are being properly discharged and to update Chambers Health & Safety policy and procedures where relevant.

H.3 Health and Safety

H.3.1 Chambers has a detailed Health & Safety Policy (App-H-01) which addresses: health & safety risk assessments fire assessments and certification emergency procedures first aid procedures and accident reporting guidance on safe working and safe use of equipment

H.3.2 Chambers Health and Safety Policy was drawn up by Health & Safety Consultants. It should be reviewed annually by the Health and Safety Committee. The Health and Safety





Representative should undertake a risk assessment annually and should report their findings to the Health & Safety Committee who will report to Chambers Management Committee

H.3.3 Guidance on premises and personal security is detailed separately in Chambers Security Measures (App-H-02).

H.4 Other insurance

H.4.1 The Chambers Committee have appointed Anthony Singh who is required to maintain adequate contents insurance on the property of Chambers. Alice Glover assists him in dealing with the insurance brokers prior to renewals. He must ensure that adequate indemnity is afforded against all risks that it would be prudent to guard against including Employer’s and Public Liability.

H.5 Purchasing

H.5.1 The authority to make purchases is set out in the Chambers constitution. Chambers Committee may delegate the authority to purchase to members of Chambers or to members of staff. A list of those suppliers and their respective goods and/or services is held and kept up to date by the Chambers Administrator. The Supplier and Authorities Lists are shown in APP-H-03. Regular contractors who have access to locations with sensitive data around must sign a Confidentiality Undertaking (DCF-G-09).

H.5.2 A receipt must be obtained for any goods or services purchased on behalf of Chambers. The receipt must be retained and presented to the Chambers Accountant on demand.

H.5.3 A record of all purchases will be maintained on QuickBooks. The purchase must be appropriately classified and recorded on the Chambers computer.

Stationery purchases

H.5.4 The purchase of everyday items of stationery is the responsibility of the Accounts office staff. The Clerk at Preston may place orders verbally to suppliers; however the account administration and invoice payment is dealt with by Manchester.

H.5.5 The procedure they use is as follows: Orders are placed by telephone by the Accounts office staff or Preston Clerks. Goods delivered to Chambers are signed for by the staff on reception, but are

checked against the delivery note by the cash office staff. If the delivery is incorrect, the cash office staff will contact the suppliers. A copy of the delivery note is kept as evidence of receipt and inspection of the goods

Any items for return will be clearly marked as such to prevent inadvertent use by other members of staff.

Goods in bulk are to be stored in the Accounts Room or Stationary Cupboard. A convenient supply of stationery is kept in a secure cupboard in the cash office. Goods ordered for individuals are taken to their rooms and charged to their accounts on receipt of an invoice.

Goods are generally packed away by the office junior or by another designated person who has been trained in the lifting of loads.

H.6 Library and book-borrowing

H.6.1 The Chambers Committee shall appoint a Librarian who is responsible for the maintenance and upkeep of Chambers library. A Library Resources List of all subscriptions and books shall be kept on the Shared Drive. This list will be updated annually. Members who require more up to date information as to resources held by Chambers can make a request to the Accounts Department via the ‘QuickBooks’ software.

H.6.2 For the convenience of other Members of Chambers, those who use a book from the library should return the book to the library as soon as possible.





H.6.3 Members of Chambers may be prepared to lend books that are their own personal property. Those who borrow books should show the owners the courtesy of: Asking permission to borrow the book, if possible Leaving a note, if it is not possible to ask permission.

H.6.4 Members based at Preston have access to the Electronic Law Reports through the Chambers computer system. Library books can be transferred between premises if necessary. They also have the use of the Library at the Crown Court.

H.6.5 The librarian must ensure that up-to-date copies of the following publications are available to members of chambers: “Counsel” magazine and CPS Standard Instructions Handbook. Members of chambers should be aware that the following publications are available on the internet: Code of Conduct for the Bar, Practice Management Guidelines and Standards, Funding Code, “Focus”

H.7 Equipment

H.7.1 An inventory of all equipment with a value of more than £100 in Chambers must be maintained by a person nominated by the Accounts Manager. The inventory identifies The make, model and type of the equipment; The name of the supplier and/or servicing organisation of the equipment; If the equipment is not owned by Chambers, the name of the owner of the

equipment and the terms upon which it is held, setting out the agreement number and the expiry date of the agreement;

By whom the equipment is insured; Details of any scheduled maintenance to be carried out to ensure it continues to

function efficiently; Location (Manchester / Preston)

H.7.2 The Chambers Administrator is charged with maintaining an inventory of all equipment in Chambers must perform an annual audit of all equipment in Chambers to ensure all equipment remains safe and functional and where appropriate, replacement can be planned and budgeted for. In conducting this annual review, the Asset Inventory (DCF-G-06) is reviewed to ensure that any new equipment has been added and that the servicing / supplier details are correct.

H.7.3 A central file of all equipment contracts and/or servicing agreements is held by the Chambers Administrator. This includes the computer hardware and software which is Chambers’ pivotal management tool for clerking. Records of maintenance and repair carried out under those agreements are also kept in the file. Repair and maintenance of equipment at Preston is coordinated by the Chambers Administrator at Manchester.

H.8 Accommodation & Security

H.8.1 Chambers premises, both inside and out shall be kept in a good state of repair and furnished to a standard expected of a leading Chambers. The Chambers Administrator, assisted by the Buildings Manager, is responsible for monitoring the premises and planning of repairs and refurbishments. This is done by a monthly check on repairs. Sebastian Clegg is consulted if the budget is to be exceeded. Tim Edge and Alex Taylor, who deal with Equality and Diversity, assist in making arrangements for compliance with the Disability Discrimination Act 1995.

H.8.2 Every member of Chambers and every member of staff shares the responsibility of ensuring that the building is kept secure.

H.8.3 Before leaving the building, people must check whether any other person is present in the building. This can be done by sounding the alarm three times. Full instructions for setting and disarming the alarm system can be found in the Induction Manual. If, but only if, no other person is present in the building, the alarm must be set.

H.8.4 The first person who arrives in the building in the morning should disarm the alarm. If it appears to him or her that the alarm has not been set, he or she should report that fact to





the Facilities Administrator as soon as possible. Full Security Measures are shown in App-H-02. These also detail measures specific to the Preston Annex.

H.9 Contingency Planning

H.9.1 Chambers has a Contingency Plan (App-H-06) in place which details how Chambers will remain operable should it be affected by ‘crisis’ events such as fire, theft, flood or terrorism. This plan is reviewed annually during the internal audit to ensure it remains appropriate to Chambers activities and to threats perceived to be relevant.

H.10 Resources Review

H.10.1 Resources are reviewed, as part of the Strategic and Annual Planning processes to ensure that Chambers has adequate resources to ensure the quality of service required by its clients. The review includes: planning future premises, facilities, resource requirements - particularly in light of

any changing services / service delivery processes; taking into account restrictions and the implementations of this to service /

standards; Assessment to ensure resources are safe and functional and being used effectively

and efficiently.

H.10.2 Anyone in Chambers can put forward ideas regarding use of resources and future requirements via a member of the Admin Review / Management Committees. More detailed proposals may be put forward in the form of a research paper / report by the person nominated to investigate the resource issue.





I Personnel procedures

I.1 General

I.1.1 Deans Court Chambers staff performs an invaluable service to Chambers. They must be treated with courtesy and respect.

I.1.2 A senior member of Chambers is nominated to liaise between Chambers and members of staff. The member of Chambers currently charged with this task is Mr Ryder.

I.1.3 The Senior Clerk is charged with the efficient management of all the clerking and administrative staff in Chambers.

I.2 Recruitment

I.2.1 Chambers Committee is charged with the recruitment of new staff. The task of recruitment will usually be delegated to a sub-committee.

I.2.2 Before a new member of staff is recruited, consideration should be given to the following matters: What function the proposed new member of staff is to fulfil. Consideration should

be given to whether a re-deployment of existing staff should be undertaken. A job description should be drafted which should detail the principal tasks to be undertaken by the proposed new member of staff.

What budget is allocated for the recruitment proposed. In considering the budget, consideration should be given to the "hidden costs" of employment such as NIC, the costs of training and the like.

The form of the contract of employment for the proposed recruit. What form of advertising is to be employed. In deciding not to advertise for a

post, Chambers Committee or its delegates must give careful consideration to whether the requirements of the Bar Equality Code have been met.

I.2.3 Applications for any post should be retained for a period of 6 years in case of a complaint of discrimination. The records will be able to demonstrate compliance with non-discriminatory practices and will also enable Chambers to provide feedback to unsuccessful candidates should they enquire as to the reasons why they were not successful.

I.2.4 Chambers Committee or its delegates should select the person best able to fulfil the job description within budget. Candidates will be recruited and appointed fairly, regardless of ethnic origin, gender, age, marital status, sexual orientation, political affiliation, religion or (subject to the physical requirements of the employment in question) disability and in accordance with the Chambers policy in respect of the Bar Code for Equality.

I.2.5 The following recruitment process has been adopted to ensure that the principles outlined above and in Chambers Equality Policy are applied: A Person Specification, defining the skills, qualifications, training and qualities of

the person required is drawn-up prior to advertising (this may already be documented for existing roles or may be drawn-up from scratch for a new position;

Advertisements define the person specification in outline and also state that Chambers is an Equal Opportunities Employer and positive encouragement is given to minority groups to apply. Advertisements are placed in media relevant to the position and to ensure that the position is promoted as widely as possible;





CV’s and letters of application are requested and on receipt each application is acknowledged in writing. An EOM form is sent out at the same time.

Applications are reviewed against the person specification by a minimum of two people and a short-list of candidates selected for interview. This will usually be the Senior Clerk plus one other according to the position to be filled;

An Interview Checklist (DCF-I-01) and interview questions are prepared in advance of the interview to draw out characteristics of the person related to the person specification. The interview questions prepared give due consideration to the Bar Council’s Guidance on potentially discriminating questions (Appendix 1 of the Bar Council’s Equality Code).

Interviews are conducted by a minimum of two persons. This will usually be the Senior Clerk plus one other according to the position to be filled;

Although interviews will vary to cover all aspects of the person’s career / personal history to date, interviewees are all asked the same pre-set questions. Notes are made during and/or following the interview to support the interviewers findings; These notes will be retained for a minimum of 12 months;

A rating is applied to all characteristics for each candidate so that they can be objectively compared and the best candidate selected. This information is recorded on the Interview Checklist by the two interviewers who keep separate records and only compare findings on completion of all interviews;

Findings are compared, debated and a selection made. If a suitable candidate has not been found, the second interviews may be held or the whole process may be repeated.

References will be taken up (if appropriate).

I.2.6 Once a suitable candidate is found, s/he is made a written offer of employment provided that the references (if any) are acceptable. The candidate will invariably be contacted informally by phone prior to this to ensure they are likely to accept the offer and to agree a start date.

Induction & On-going Training

I.2.7 On the employee’s first day of employment, s/he will receive induction training to speed the orientation process as quickly as possible. This involves a review of the Induction Pack (App-I-01A Contents) and all elements listed on the Induction Checklist (DCF-I-02). (NB: Induction Contents List and Checklist [App-I-01B and DCF-I-03] are used for pupils and tenants).

I.2.8 The Senior Clerk is responsible for ensuring that induction training takes places but the actual task may be delegated to one or more competent members of staff. The Induction Checklist is signed on completion and kept on the employee’s personnel file.

I.2.9 Within a week of commencing employment, new recruits must have their attention drawn to the existence of these Practice Management Standards and in particular to such parts as concern them.

Within 2 months of commencing employment new recruits: Must be given a written statement of his/her terms of employment. This statement

will include details for claiming expenses back and procedures for sickness reporting.

Must be given a job description. It is the task of the Senior Clerk to draft the job description if none has been drafted.

When any new member of staff is appointed, the Senior Clerk should consider, if necessary in conjunction with other members of staff, what training is required and who should administer the training. The areas in which training will be administered will be noted in writing and will form part of the new employee’s training log.

I.2.10 Training needs are identified via the annual appraisals, through supervision in general and via the various meetings which take place in Chambers. Any member of staff who





considers they require extra training may raise the matter with their immediate supervisor or during a staff meeting for consideration.

I.2.11 The Senior Clerk should make arrangements for the recruit to undergo the necessary training at the earliest convenient time.

I.3 Procedures common to all employees of Chambers

I.3.1 Each employee of Chambers should have:- A staff contract of his or her employment (App-I-02 Example) A job description (App-I-03 Example)

I.3.2 Each employee of Chambers should be properly trained in matters relating to these Practice Management Standards, Health and Safety and Equal Opportunities.

I.3.3 Members of staff may have recourse to the staff Grievance Procedure (App-I-04)

I.3.4 Members of staff are subject to the staff Disciplinary Procedure (App-I-05)

I.3.5 All staff are required to comply with the holiday request and allocation process explained in the contract of employment. The Accounts Manager keeps records of all holidays taken on a holiday planner and monitors this against each person’s allowance.

I.3.6 All staff are required to comply with the sickness reporting procedure explained in their Contract of Employment. The Accounts Manager will monitor absence through sickness and keep records of the same (also on Lex). Any concerns will be raised with the employee in the first instance. Thereafter, personnel may become subject to the disciplinary process if it is thought they are abusing the sickness procedure.

I.3.7 The issues of Health & Safety and Equal Opportunities are dealt with separately in above and below respectively.

I.4 Annual Review

I.4.1 Near the end of the calendar year, the Chambers Committee must review the arrangements in relation to staff in order: To fix the levels of remuneration of staff for the following year; To consider whether the provision of staff is appropriate for the service Chambers

seeks to provide (taking into account Chambers Strategic and Annual Plans) , and if not, to prepare recommendations for the Chambers’ annual meeting;

To consider collective training needs (also taking into account Chambers development issues and issues raised via individual reviews).

I.4.2 Before fixing the levels of remuneration for the following year, Chambers Committee will receive recommendations from the Member of Chambers charged with liaison with staff. It will also consider the views of the Senior Clerk.

I.4.3 Before considering whether the provision of staff is appropriate for the service Chambers seeks to provide, Chambers Committee will canvass the views of the Member of Chambers charged with liaison with staff, the practice groups within Chambers and the Senior Clerk.

I.4.4 Any ideas for collective training will be forwarded to the Senior Clerk for inclusion in the Collective Training Plan which incorporates training needs for all Chambers personnel including members as a whole and those with individual responsibility for management issues.

Remuneration

I.4.5 It is Chambers policy to undertake a review of staff remuneration towards the end of the calendar year with a view to implementing any changes at the beginning of the next calendar year.





I.4.6 Chambers will not otherwise authorise a change in the remuneration of staff except in exceptional circumstances.

I.4.7 Employees’ salaries are paid monthly, the relevant deductions for TAX and NIC being calculated by chambers accountants. The accountants prepare and auto pay form which is signed by either the Senior Clerk or the Head of Chambers, this form is submitted to the chambers bank who make the payments electronically to the bank account of each employee on the 15th of each month.

Performance

I.4.8 Appraisals are conducted at least annually to consider those issues important to personnel development as detailed below. The appraisal process is kept as informal as possible but everyone should recognise that it is important to take time out to give due consideration to such issues away from the interruptions of normal working routine.

I.4.9 Appraisals will be conducted with the Senior Clerk or Accounts Manager prior to the annual review of remuneration, which takes place in November and implemented in January of the following year. The Senior Clerk’s appraisal is to be conducted by Head of Chambers and another member of Chambers. An Appraisal Form (DCF-I-05) is completed to record the outcome of the appraisal. One copy is given to the employee for reference and the original is kept on their confidential personnel file.

I.4.10 Appraisals consider the following subjects and are reflected on the Appraisal Form:a) Job Description Review: to ensure that all tasks and responsibilities are still

relevant, being adhered to and to see whether the Job Description needs to be updated;

b) Personal Development: Identify Training Requirements: to maximise the individual’s

contribution to the Chambers and benefit the person’s development; Results of Training: to look at the results of any training undertaken, to

review the skills learned and to assess any impact on the individual’s development and how this has contributed to the person’s job, to practice management and to Chambers overall;

c) Achievement of Objectives: to review minutes of last meeting including the achievement of objectives set at the last appraisal;

d) Performance Review : based on a random survey of selected members of Chambers;

e) Quality / Efficiency Improvement: to discuss the employee’s ideas for improvements to the job itself, the practice management / support staff function and to Chambers overall;

f) Future Work: to plan priorities, objectives and targets for the coming year;g) Any other Business and approximate date of next appraisal.





J Client Care Procedures

J.1 Informal complaints

J.1.1 If a person expresses serious dissatisfaction with the service provided by Chambers as a whole or by a member of Chambers or a member of staff, the person to whom the dissatisfaction was expressed should ask the aggrieved person whether he or she wishes to make a formal complaint. If the aggrieved person says that he or she wishes to make a formal complaint, the following procedure shall apply.

J.1.2 In any case, all client feedback is recorded in the log book or on a Complaint Form (depending on the nature of the complaint) and reviewed by the Senior Clerk to assess the need for:

Appropriate redress : as a compensatory / goodwill measure for the clientRemedial Action : where the problem is not beyond correcting

Improvement Action : to look at the root cause of the problem and implement changes to prevent the problem from recurring

The logbook (held at Manchester) will be monitored by the Senior Clerk to ensure that client feedback is dealt with in an appropriate manner. The logbook will also be reviewed every four months to assess whether any trends are developing or recurring and to report on those findings to the Management Committee. An annual review will also be conducted for the same purpose with the report being made to the Annual Management Review.

J.2 Central point of contact and recording

Complaint coordinator

J.2.1 Any complaint about the service provided by Chambers as a whole or about any Member of Chambers or member of staff must be notified immediately to the Senior Clerk. If the complaint is in respect of a Member of Chambers, the Senior Clerk will liaise with the Head of Chambers to ascertain if another Member of Chambers should deal with the complaint. If the complaint is against the Senior Clerk, it must be forwarded to the Head of Chambers.

J.2.2 The complaints coordinator is: In the case of a complaint about the senior clerk, a person delegated by the Head

of Chambers. In any other case, the Senior Clerk or a Member of Chambers nominated by the

Head of Chambers. In the case of a complaint made against the Head of Chambers, the Deputy Head

of Chambers

J.2.3 The complaint coordinator will keep a record of each formal complaint in the form of a Complaint Record (DCF-J-01).

J.2.4 The record, which must be preserved for 6 years from the date of resolution of the complaint, should show and/or include copies of: The name and address of the complainant; The nature of the complaint; The Member of Chambers or member of staff responsible; What steps have been taken to investigate and resolve the complaint; What steps will be taken to prevent the problem from recurring (where relevant); All correspondence (including email) and all other documents generated in response

to the complaint.





J.2.5 The Senior Clerk will maintain central records of complaints although each complaint may have its own individual file. All such records will be monitored to ensure that complaints and other problems are progressed and resolved as speedily as possible.

J.3 Notification to complainant

J.3.1 The complaint coordinator should within 7 days provide the complainant with a copy of Chambers’ complaints procedure and notify the complainant: That he or she is the complaints coordinator, with whom the complainant should

make contact; That the complaint is under investigation Of a date by which he or she will make contact again.

J.4 Investigation

J.4.1 The complaint coordinator should undertake all necessary investigations and give every relevant person the opportunity to state their opinions on the circumstances giving rise to the complaint.

J.4.2 The complaint coordinator should consult the Head of Chambers as to the complaint, its investigation and his or her intended action before communicating the result of his or her investigations to the complainant.

J.5 Conclusion of investigation

J.5.1 If the complaint coordinator does not find the complaint to be justified, she should inform the complainant of that fact, and should say why.

J.5.2 If the complaint coordinator finds the complaint to be justified, she should: Inform the complainant that the complaint was found to be justified; (in conjunction with the Head of Chambers), determine what form of remedial

action (including compensation) is appropriate; Explain to the complainant what form of remedial action is proposed;

J.5.3 If appropriate, inform the complainant of his or her right to refer the matter to the Bar Council under the Complaints Rules.

J.6 Potential claim

J.6.1 Any complaint that involves an allegation of negligence or a potential claim upon the Professional Indemnity Insurance of a Member of Chambers must be notified forthwith to the attention of the insurers.

J.7 Independent assessment and conciliation

J.7.1 The complainant may at any stage elect to apply for independent assessment and conciliation and will be informed as such in their complaint acknowledgment letter.

J.8 Remedial action

J.8.1 When a complaint has been investigated, the Senior Clerk shall decide whether any changes in procedures or other steps are required to reduce the possibility of such a complaint arising again. If it is concluded that action requires to be taken, the proposed course of action will be noted on the Complaint Form and if necessary a further detailed report prepared. The matter will then be put forward to the Management Committee for consideration.

J.8.2 A review of formal/informal complaints is conducted for every other bi-monthly management meeting and the results presented to the management committee for consideration.

J.8.3 An overall annual review of all complaints (both formal and informal) will be undertaken by the Senior Clerk to detect any emerging or recurrent trends. Where any adverse





trends are found to exist, preventive action will be instigated to stop them worsening and/or to endeavour to eliminate the problem.

J.9 Client Surveys

J.9.1 Client opinions are pro-actively canvassed in the following ways. The results of these surveys are used to input information into the Strategic and annual Marketing Plans to ensure that Chambers continues to focus on client needs and expectations.

A) Structured Surveys

J.9.2 We seek Client feedback through Client Surveys from time to time as directed by the Marketing Committee and in any event at least once every 3 years. Additionally, we consider formal and ad-hoc feedback from clients in the quarterly and annual reviews. We make improvements to our services where appropriate.

J.9.3 A broad cross-section of Chambers clients is taken taking into account the firm’s size, longevity of relationship, the amount of business received and frequency of instruction.

J.9.4 The results of these surveys are collated by the Marketing Committee and presented to the Marketing Committee and Chambers for discussion and to agree on appropriate actions. Actions arising are minuted as part of the usual meeting minutes and implemented and monitored accordingly.

B) Informal Surveys

J.9.5 In addition to the surveys undertaken in A), clients are also canvassed informally as to their opinions over lunch/drinks meetings whereby members/staff of Chambers obtain information regarding clients experiences when using Chambers services. To ensure the information is of use to Chambers and especially the Marketing Committee, and is consistent regardless of who hosts the client meetings, a Client Opinion Checklist (App-J-02) is used as an ‘aide memoir’.

J.9.6 The results of the discussions are recorded following the meeting, collated by the hosts and presented to the Marketing Committee for discussion and action as above.

C) Feedback to Members

J.9.7 As well as providing useful information for Chambers development, the surveys are used to assess issues relating to individual members. Where more than one survey cites the same positive or negative trait relating to a member, they will be advised so they can apply their own corrective action measures.

J.10 Seminar / Training Management

J.10.1 To promote Chambers services, the Marketing Committee arranges seminars for client training. Training conducted by Chambers has been CPD accredited by the Law Society. CPD accreditation can also be obtained from the General Council of The Bar upon providing evidence of the training material





K Equal Opportunities

K.1 Introduction

K.1.1 Deans Court Chambers is committed to the implementation and promotion of equal opportunities and to ensuring the absence of direct or indirect discrimination on grounds of race, colour, ethnic or national origin, nationality, citizenship, gender, age, sexual orientation, marital status, disability, religion or political persuasion. Such a commitment entails that positive steps be taken to identify and eliminate possible areas of discrimination in relation to:• The recruitment of pupils, tenants and staff• The treatment of pupils, tenants and staff both professionally and socially• Relations between staff, pupils and tenants both professionally and socially• The treatment of lay and professional clients

K.1.2 Underlying this Code of Conduct is our intention that every individual should be accorded equal dignity and respect and be judged on merit and ability alone, free from judgements or treatment founded upon prejudice or assumptions of collective characteristics. To this end, this Code provides a framework for the promotion of equal opportunities and the internal resolution of complaints involving members of chambers be they pupils, squatters, tenants or members of staff. This statement of Equal Opportunities Policy has been framed having regard to the ACAS Codes of Conduct and have been drafted to reflect current good industrial relations practice. As such, this Policy is and remains subject to review and revision by the Equality Officer and Personnel Counsel.

K.2 The Legislation

K.2.1 The Code reflects the legislative framework provided by Parliament including:Equality Act 2010The Employment Rights Act 1996

K.2.2 The Equality Act 2010 (section 47) provides that:(1) A barrister must not discriminate against a person—

(a) in the arrangements a barrister makes for deciding to whom to offer a pupillage or tenancy;

(b) as to the terms on which a barrister offers a person a pupillage or tenancy;(c) By not offering a person a pupillage or tenancy.

(2) A barrister must not discriminate against a person who is a pupil or tenant—(a) as to the terms on which a person is a pupil or tenant;(b) in the way a barrister affords a pupil or tenant access, or by not affording a pupil

or tenant access, to opportunities for training or gaining experience or for receiving any other benefit, facility or service;

(c) by terminating the pupillage;(d) by subjecting a pupil or tenant to pressure to leave chambers;(e) By subjecting a pupil or tenant to any other detriment.

(3) A barrister must not, in relation to a pupillage or tenancy, harass—(a) the pupil or tenant;(b) A person who has applied for the pupillage or tenancy.

(4) A barrister must not victimise a person—(a) in the arrangements a barrister makes for deciding to whom to offer a pupillage or

tenancy;(b) as to the terms on which a barrister offers a person a pupillage or tenancy;(c) By not offering a person a pupillage or tenancy.

(5) A barrister must not victimise a person who is a pupil or tenant—(a) as to the terms on which a person is a pupil or tenant;





(b) in the way a barrister affords a pupil or tenant access, or by not affording a pupil or tenant access, to opportunities for training or gaining experience or for receiving any other benefit, facility or service;

(c) by terminating the pupillage;(d) by subjecting a pupil or tenant to pressure to leave chambers;(e) By subjecting a pupil or tenant to any other detriment.

(6) A person must not, in relation to instructing a barrister—(a) discriminate against a barrister by subjecting the barrister to a detriment;(b) harass the barrister;(c) Victimise the barrister.

(7) A duty to make reasonable adjustments applies to a barrister.(8) The preceding provisions of this section (apart from subsection (6)) apply in

relation to a barrister's clerk as they apply in relation to a barrister; and for that purpose the reference to a barrister's clerk includes a reference to a person who carries out the functions of a barrister's clerk.

(9) A reference to a tenant includes a reference to a barrister who is permitted to work in chambers (including as a squatter or door tenant); and a reference to a tenancy is to be construed accordingly.

K.2.3 Section 204 of the Bar Code of Conduct of England and Wales States that:A practising barrister must not, in relation to any other person (including a lay client, professional client, another barrister, pupil or student member of an Inn of Court) on grounds of race, ethnic origin, sex, religion or political persuasion, treat that person for any purpose, less favourably than he or she would treat other such persons.

By virtue of Section 802 (1) of the Code, a failure to comply with the Code shall constitute professional misconduct rendering a barrister liable to disciplinary proceedings.

K.3 Organisation for Equality

K.3.1 Chambers has an established organisation in place to ensure this policy and related procedures are implemented and complied with. This involves the follows personnel / authorities: The Equality Officer is responsible for:

• Monitoring changes in legislation and updating Chambers policy and procedures accordingly

• Promotion of this policy within Chambers and externally where appropriate• Analysis and review of Equal Opportunity monitoring data• Review of reports to ensure the fair distribution of work to pupils / junior

members;• Training of Staff and all Chambers personnel in matters of equality awareness

including but not limited to matters concerning disability The Senior Clerk is responsible for:

• Ensuring the fair distribution of unallocated work to pupils and very junior members

The Equality Officer is responsible for:• The informal resolution of grievances touching and concerning issues of equality

in the first instance;• Where following the involvement of the Equality Officer the grievance is not

capable of resolution, the matter shall fall to be dealt with in accordance with Stage II of the Chambers Grievance Procedure and thereafter proceed in accordance with the Staff Grievance Procedure

The Head of Chambers is responsible for:• Final resolution of grievances or referral to outside sources if this is not possible

K.4 Defining Discrimination





K.4.1 A member of chambers, whether tenant, pupil, squatter or member of staff must not act in relation to another member of chambers, to a present or aspiring member of the Bar or to a lay or professional client in a manner which directly or indirectly is either discriminatory, consists of harassment or victimises that person on grounds of race, colour, ethnic or national origin, nationality, citizenship, gender, age, sexual orientation, marital status, disability, religion or political persuasion.

K.4.2 Indirect discrimination occurs where:a) a requirement or condition is applied equally to everyone but a considerably smaller

proportion of one gender or group than of the other persons to whom it applies can comply with it;

b) A particular individual cannot comply with the requirement;c) It results in a detriment to them andd) The requirement cannot be shown to be objectively justifiable in spite of its

discriminatory effect.

K.4.3 Harassment creates an intimidating and unpleasant working environment which may affect career advancement and thereby constitute discrimination. It is defined as unwelcome conduct which is offensive to the recipient in that it affects their dignity, where such conduct would not have occurred but for the collective qualities or characteristics of the recipient. Such conduct will be considered as harassment whatever the motive or intention of the perpetrator. It should never be assumed that because a similar remark or act did not appear to cause offence in the past that it is therefore inoffensive. A more detailed Harassment Policy is attached to this document as Appendix 2.

K.4.4 Victimisation consists of less favourable treatment to those who have brought proceedings, or given evidence or information for the purpose of legal or disciplinary proceedings or made a complaint based upon an allegation of discrimination. Such treatment is unlawful under the Equality Act 2010 and will also breach paragraph 204 of the Code of Conduct.

K.5 Grievances

K.5.1 Anyone who considers that they have been subject to discrimination has recourse to Chambers Grievance Procedure shown in Appendix 1. A similar process for anyone who feels they are subject to harassment is in place and is defined in the Harassment Policy shown in Appendix 2.

K.6 The Selection of Pupils and Tenants

K.6.1 It is paramount, given the nature of entry into the profession, that the selection criteria for pupillage and tenancy should be free from discrimination. Deans Court Chambers therefore as a set of Chambers undertakes that the recruitment policy towards pupils and tenants should: Be transparent, set out in a document which is available to all on request Not be subject to change during the selection process; Be based on objective and explicit criteria which relate to the demands of the work; Save in exceptional circumstances, be applied equally to all potential recruits; Be free from assumptions based on stereotypical views or expectations of the

behaviour and characteristics of any particular group; Not be subject to the will or unexplained veto of any one person alone, but instead

reflects the views of a broad spectrum of people.

K.6.2 The selection process for staff is described in Chambers Procedures Manual and that for pupils is described in the Pupillage Recruitment Policy. The procedures for tenants recruited from outside the pupillage process are as follows: 1. Selection criteria will be drawn up and agreed prior to promoting the vacancy/s;





2. The vacancy/s will be promoted openly in relevant media such as Bar News and will include the minimum requirements for applicants. The advertisement will advise applicants to write to Chambers with their CV and letter of application;

3. EOM forms will be issued to all applicants attached to the acknowledgement letter;4. EOM forms will be detached for analysis before the selection process starts and will

not be seen by those involved in the selection process;5. Applicants will be individually reviewed by a panel of 5 members who will each

draw up their own short-list for comparison and debate until an agreed shortlist is arrived at;

6. Interviews will be conducted and comments / scores recorded on the Tenancy Selection Form;

7. Panel members will draw-up their own shortlists individually as before and then compare and debate with other panel members until an agreed selection of one or more candidates is made;

8. The panel will recommend the proposed new member(s) to Chambers who will have opportunity to meet the proposed new member(s) and then vote in accordance with the Constitution;

9. All new members must sign up to the Constitution which includes the requirement to abide by Chambers Policies and Procedures including this Equal Opportunities Policy.

K.7 Equality of Opportunities in Chambers

K.7.1 The allocation of work to all members of chambers, working pupils and squatters must be carried out in a manner that is fair to all and without discrimination. Selection of counsel shall be on the basis of the skills and experience required for the particular case. In particular, no applicant for pupillage or tenancy shall suffer discrimination: In the arrangements which are made for the purpose of determining to whom it

should be offered, In respect of any terms on which it is offered, or by a refusal, or deliberate omission,

to offer it to him or her.

K.7.2 Furthermore, no pupil or tenant shall suffer discrimination: In respect of any terms applicable to him or her as a pupil or tenant; In the opportunities for training, or gaining experience, which are afforded or denied

to him or her; In the benefits, facilities or services which are afforded or denied to him or her; In the volume or type of work which is offered or denied to him or her; By termination of his or her pupillage or by subjecting him or her to any pressure to

leave chambers or other detriment.

K.8 Monitoring

K.8.1 In seeking to identify and eliminate sources of unintended discrimination, chambers shall through the Equality Officer and Personnel Counsel monitor:• The recruitment of applicants for employment, pupillages and tenancy;• the allocation of work between pupils in chambers• the conduct of appraisals • the evaluation of staff performance

K.8.2 The monitoring data will be analysed at least once per year (or following specific recruitment drives where this is more appropriate) and where under-representation of a particular group is identified, chambers will seek to improve the position of the under-represented group. However, chambers will not engage in positive discrimination or quotas as both these practices are unlawful in the United Kingdom.

K.8.3 EOM forms will be issued to all applicants of vacancies open for employment, tenancy or pupillage. This will be via attaché to the acknowledgement letter. On receipt, the





EOM forms will be immediately removed from their application. All forms will be forwarded to the Equality Committee / Officer who will analyse the data and review the results.

K.8.4 Reasonable adjustments in order to remove or reduce substantial disadvantage for disabled people working with chambers or receiving legal services

K.8.5 Chambers is committed to making reasonable adjustments to remove or reduce substantial disadvantage for disable people working with chambers or receiving legal services. The policy covers all employees of chambers, barristers, clerks, pupils, mini-pupils and visitors to chambers and can be found at Appendix 4.

K.9 Parental Leave

K.9.1 Parental leave in the event of birth or adoption is available to members of chambers in accordance with the Parental Leave Policy shown in Appendix 3 to this policy.

K.9.2 The maternity policy for employees is in accordance with the Statutory requirements. Paternity leave of one week is allowed for partners which is in addition to the usual holiday allowance.

K.10 Communication of Equality Policy

K.10.1 A copy of this policy will be provided to all members, employees, pupils and mini-pupils of Chambers. Awareness training will be provided for existing staff, members and pupils so that everyone is aware of the policy and related procedures, especially behaviour that is unacceptable within the working environment, the harassment policy, procedures for making complaints and assistance available.

K.10.2 All new personnel will receive awareness training as part of their induction training.

K.10.3 Chambers commitment to Equality will also be promoted in publicised materials where appropriate such as the brochure, web-site and training materials.

K.10.4 It shall be the obligation of all Chambers personnel to monitor and report upon any discriminatory practices and or treatment in the management of Chambers Personnel and or the provision of services for and on behalf of Chambers. Any failure to report such practices or treatment shall constitute a disciplinary offence which may lead to the imposition of a disciplinary sanction.

K.10.5 Any act of discrimination, victimisation or harassment shall constitute gross misconduct and all or any employees participating in such conduct whether directly or indirectly will be liable to disciplinary proceedings including summary dismiss





Appendix 1: Complaints / Grievances ProcedureIntroductionChambers recognises that this is a particularly sensitive area where fear of adverse judgement may prevent a complaint being made in the first place. It is chambers’ policy, therefore, that as far as is practicable, names of complainants shall not be released (save to those persons conducting the investigation and to the person complained against) without their consent. Equally, complainants will not be victimised or suffer detriment because of a complaint made in good faith. The types of circumstances that may give rise to complaint are:

• Selection of pupils, tenants and staff from internal or external applicants• Conduct of pupillage• Distribution of work in chambers• Pressure or instruction to discriminate in the distribution of work• Harassment or other discrimination originating within or outside chambers

The ProcedureA person who thinks they are the subject of discrimination, harassment or victimisation may choose to deal with the matter in several ways as set out below.

1) Raising ConcernsWhere an aggrieved person wishes to voice a concern and no more, they can approach either a member of the Equality Committee or the Director of Chambers for a confidential discussion. This process is intended to serve as a means of support, advice and guidance without recourse to the informal or formal procedure.

2) Informal complaintThe second option is the lodging of an informal complaint. This can be done orally either to a member of the Equality Officer or Senior Clerk as they deem appropriate for a confidential discussion.

An informal complaint is designed to act as a method of resolving disputes without the need for a formal investigation to determine the issue. If the complaint concerns the conduct of a person in chambers, it may be that such a person can be made aware that they are causing offence and so cease the offending behaviour. Alternatively, where the complaint concerns a decision taken within chambers, it may be that such a decision can be reviewed or, if appropriate, overturned. An informal complaint may also be made for the purposes of seeking advice.

3) Formal ComplaintThe third option is the lodging of a formal complaint. This must be in writing and must set out the allegation(s) complained of so as to enable Chambers to carry out a thorough investigation of all the matters concerned. The complainant has a right to make representations and/or to be accompanied within all hearings, as does the person whom the complaint has been lodged against. An investigation should not, save in exceptional circumstances, last longer than six weeks from the date of the complaint. Following an investigation, a representative panel (Equality Committee plus Head of Chambers) of at least three members of Chambers will determine the issue. No member of such a panel should have a conflict of interest between themselves and the complainant. If actual or potential discrimination has been found, remedial steps will be taken immediately. These may include a re-evaluation of a decision, a further opportunity to be considered for an interview or a pupillage, tenancy, brief or post as the case may be, a change in working practices, further advice, training or support, comparative monitoring of work allocation and any other action including disciplinary steps against the offender that appear to the panel to be appropriate.

4) External HelpNumerous organisations are available for advice and these are listed in Appendix 3 to this Policy. Every complainant has a right to consult with the Bar Council Equal Opportunities Officer for confidential advice and to lodge a formal complaint of professional misconduct with the Bar





Council. Complainants of unlawful discrimination have a legal right to apply, subject to time limits, to the County Court or for Chambers’ employees, to the Industrial Tribunal.

Sources of external assistance are shown in Appendix 5 to this Policy.

5) Appeal In the event that of any employee having lodged a formal complaint in accordance with clause 3 and remaining dissatisfied with the determination reached in accordance with that clause, he/she shall have a right of appeal in connection with such complaint and such determination. Notice of appeal shall be given to the Senior Clerk within 7 days of the decision complained of and shall thereafter proceed in accordance with Stage II of the Chambers Grievance Procedure.

6) ConfidentialityAll or any investigations and hearings arising within the course of the Grievance Procedure shall be conducted and remain confidential to the parties. Any breach of such confidentiality may (save where in accordance with due process of law) constitute misconduct and likely give rise to disciplinary proceedings. Provided that nothing within this clause shall operate so as to preclude the exercise of any statutory right vested in the employee.





Appendix 2: Harassment Policy

Statement of Policy

Deans Court Chambers is committed to providing a working environment in which all individuals including members, pupils, mini-pupils, employees, clients and the public are treated with dignity and respect. Chambers aims to promote a working environment that is conducive to the professional growth of its members and employees and to the promotion of equality of opportunity.

Deans Court Chambers will not tolerate any form of harassment and will take all necessary steps to ensure that its members and employees are not subject to harassment. Harassment constitutes professional misconduct and is prohibited by the Bar Council’s Code of Conduct. Harassment on the grounds of sex, race or disability is unlawful under the Equality Act 2010.

The Scope of the Policy

This policy applies to all members and employees of chambers, to pupils and to mini-pupils. The policy applies to:

• All premises where chambers’ business is conducted;• All chambers’ related activities performed at any other site away from the chambers;• Any social, business or other function where conduct or comments may have an effect on chambers

or relationships within chambers.

Definition of Harassment

The essence of all harassment is that it is unwelcome conduct that is offensive to the recipient. The test is a subjective one and the fact that one person may be able to ignore or deal comfortably with certain behaviour does not mean that it is acceptable if directed at another.

Chambers prohibits any behaviour which causes offence or distress to another and which is perceived by that person as relating to or arising from his or her race, religion, political belief, sex, sexual orientation or disability and which constitutes less favourable treatment on such grounds. Harassment may take a variety of forms and includes behaviour:

• Which is unwanted by the recipient and perceived as hostile or threatening• Which causes a hostile or threatening working environment• Where rejection or submission is used as a basis for decisions concerning the recipient e.g.,

decisions relating to the award of pupillage, appointment of tenancy, promotion or other opportunities for career development.

The following are examples of behaviour that may amount to harassment:• Physical or sexual assault. These are criminal offences and the victim should be encouraged to

report the incident to the police• Requests for sexual favours in return for career advancement• Unnecessary or avoidable physical contact• Compromising suggestions or invitations• Display of pornographic or offensive materials including on computer screens• Bullying• Exclusion from social networks and activities or other forms of social isolation• Jokes or abuse or ridicule relating to a person’s sex, ethnicity, sexual orientation, religion, political

persuasion or whether they have a disability, including any sent by e mail• Suggestive remarks or looks• Offensive remarks or ridicule• Dealing inappropriately or inadequately with complaints of harassment





Harassment is unlawful under the Equality Act 2010. In addition to the above unwanted conduct, it can arise where a person engages in any kind of unwanted sexual behaviour (or gender reassignment or sex related behaviour).

Complaints of harassment may be raised informally in the first instance with either of Chambers’ Equality and Diversity Officers (currently Timothy Edge and Alex Taylor), the Head of Chambers or another senior member of chambers who will agree an appropriate response. Formal complaints should be made under the Deans Court Chambers’ grievance procedure.

Harassment is misconduct for employees or a breach of the Bar Code of Conduct for barristers. Allegations of harassment will be dealt with under the Deans Court Chambers’ disciplinary procedure.

Chambers is committed to ensuring that no-one who makes an allegation of harassment in good faith should be subjected to any detriment as a result. Any victimisation of a complainant, witness or anyone else involved in the investigation of a complaint will be viewed as a disciplinary matter.

A copy of this policy is provided to all those for whom chambers constitutes a working environment, including members of chambers, pupils, squatters, clerks and other employees, temporary workers, those who provide services to chambers such as contract cleaners, accountants and IT consultants, and mini-pupils and work experience students.

This policy was adopted on 24.11.12 and will be reviewed annually.

Resolving Complaints of Harassment

Chambers is committed to providing a supportive environment in which to resolve problems of harassment, and has put in place a number of options for resolving problems. A non-adversarial approach will be adopted. A person therefore subject to harassment may, at their choosing, deal with the matter in a number of ways.

A person experiencing harassment is encouraged to raise a complaint at an early stage, preferably through the informal procedure. Raising a complaint at an early stage is more likely to result in a satisfactory resolution. If left unresolved, the harassment may escalate to the point where the situation becomes much more difficult to deal with effectively.

Any member, employee, pupil or mini-pupil in chambers has the right to bring to the attention of an appropriate person any behaviour that they consider to be contrary to the harassment policy, irrespective of whether they are the recipient of the harassment. A member or employee of chambers who witnesses behaviour that they consider contravenes the harassment policy should take immediate action to indicate that such behaviour is unacceptable as failure to do so could be interpreted as condoning such behaviour.

Voicing a concern

When an incident of harassment occurs, the recipient should communicate their disapproval and objections immediately to the harasser and request the harasser to stop. If the harassment does not stop or if the recipient is uncomfortable about addressing the harasser directly, he or she may raise the matter informally.

Where an aggrieved person merely wishes to voice their concerns, they can approach either a member of the Equality Committee or the Director of Chambers for a confidential discussion. This is primarily intended to provide support and advice without the matter going any further.

Informal complaint

The second option is the lodging of an informal complaint. This can be done orally to either a member of the Equality Committee or with the Chambers Director. An informal complaint is designed to act as a method of resolving disputes without the need for a formal investigation to determine the issue. If the





complaint concerns the conduct of a person in chambers, it may be that such a person can be made aware that they are causing offence and so cease the offending behaviour.

Formal complaint

The third option is the lodging of a formal complaint. This must be in writing and must set out the allegation(s) complained of so as to enable chambers to carry out a thorough investigation of all the matters concerned. The complainant has a right to make representations and/or to be accompanied, as does the person whom the complaint has been lodged against. An investigation should not, save in exceptional circumstances, last longer than six weeks from the date of the complaint. Following an investigation, a representative panel of at least four members of chambers (Equality Committee plus Head of Chambers) will determine the issue. No member of such a panel should have a conflict of interest between themselves and the complainant. If harassment has been found, remedial steps will be taken immediately. These may include any of the following:

• Formal apology• Counselling• Written warning• Change of work assignment• Report to the relevant Inn recommending the removal of pupil master/mistress status• Suspension or discharge of member or employee• Referral to Professional Conduct Committee (PCC).

In addition to the sanction that may be imposed on a member, pupil or an employee by chambers as part of a complaint resolution, members of chambers who engage in harassment may be liable for damages in the event of a civil lawsuit or may face further sanctions imposed by the Bar Council’s Professional Conduct and Complaints Committee.

Standard of Proof

It should be noted that the standard or proof applied may differ according to the complaints process involved. The PCC apply the criminal standard, beyond reasonable doubt, to complaints alleging professional misconduct by a barrister. In industrial tribunals or county courts the civil standard, balance of probabilities, applies.

Victimisation

Chambers is committed to ensuring that no one who brings forward a harassment concern in good faith is subject to any form of reprisal. Any victimisation of a complainant, witness or anyone else involved in the investigation of a complaint will be viewed as a disciplinary matter. The raising of such a complaint will not have any adverse consequences for the complainant, particularly in relation to tenancy and promotion decisions.

Pupil Masters/Mistresses

Pupillage is a period of professional training and Chambers regards it as inappropriate for a sexual relationship to develop between a pupil master/mistress, any other member or employee of chambers and a pupil. No member of chambers may participate in decisions concerning a pupil where they are or have been in a relationship with that pupil.

Avenues of Further Redress

In addition to the chambers’ procedures there are a number of other avenues of redress. These include:

• Raising a complaint with the relevant Inns Students’ Officer about a sponsor or pupil master/mistress. The Inns’ complaints process will determine the outcome of such complaints;

• Complaint to the Bar Council’s Professional Conduct and Complaints Committee where the alleged harasser is a barrister;





• Take action in the county court or industrial tribunal alleging harassment as a form of unlawful direct discrimination;

• Report the matter to the police where an act of harassment is a criminal offence e.g., assault, indecent assault or rape;

• Through the Bar Council’s Equal Opportunities Officers / the Bar Council’s Mediation Panel members. Their role is to advise the complainant and, with his or her permission, seek to mediate between the complainant and the alleged harasser. The Panel can be approached in confidence and will aim to achieve an end to the conduct complained of without necessarily finding fault or blame and without the imposition of sanctions.

The Bar Council’s Equal Opportunities Officers are available at the Bar Council to offer advice in confidence to any recipient of harassment or to any member of chambers responding to a complaint of harassment.

Other external sources of help are detailed in Appendix 5 to this Policy.





Appendix 3: Parental Leave Policy

Definitions

1. “Parental leave” refers to leave taken by the main carer of a child following birth or adoption. This could be the mother, father or adoptive parent of either sex.

Aims and purpose 2. It is the aim of this policy to:

• encourage members following parental leave to return to chambers and continue to build successful practices;

• prevent discrimination on grounds of parental responsibility; • encourage and support members taking time off following the birth or adoption of a child

without suffering financial hardship;• comply with the requirements of the Code of Conduct and accompanying Guidelines.

Circulation

3. This policy is circulated to all members, clerks and staff all of whom are required to:• read and understand the policy; and • understand their role in relation to the policy.

Review of this Policy 4. This policy is reviewed by chambers Equality and Diversity Officer every two years.

Parental Leave

5. Every member of chambers is entitled to return to chambers within a period of one year after giving birth or adopting a child for whom they are the primary carer.

6. A member of chambers taking a period of parental leave is entitled to 6 months’ free of chambers rent and expenses.

7. Members of chambers are required to notify chambers management and clerks of their intention to take a period of parental or adoption leave not less than 4 months before the commencement of the period of leave indicating the estimated commencement date and likely date of return.

8. If a member wishes to take more than 6 months’ rent free parental or adoption leave s/he should notify chambers’ management and clerks 12 weeks before the end of that period stating the estimated date on which s/he intends to return.

9. If a member wishes to take leave for a period longer than 12 months, this should be arranged with chambers management.

10. If a member is absent from chambers for more than 12 months without agreeing an extension with chambers management, her/his automatic right to return to chambers ceases unless such absence is due to consecutive births.

11. Where membership ceases by virtue of the provisions in paragraph 11, a member can re-apply to chambers in the usual way.

Arrangements during Leave

12. A member on parental or adoption leave is encouraged to maintain contact with chambers.





13. Head of Chambers will ensure that the member is: • offered opportunities to do appropriate work if this is requested and; • invited to training events, social occasions, marketing events and chambers meetings and;• is consulted on any significant issues affecting the practice of chambers and;• receives assistance with the re-establishment of their practice on return to work, including

(where requested) the arrangement of a “practice meeting” with the relevant clerk within two weeks before the member returns to work.

Undertaking work during leave

14. Informal working arrangements during a period of parental leave do not affect a member’s entitlement to the six month period free of rent, provided that the Head of Chambers is kept informed of the arrangements by the member of chambers and is satisfied that the level of work being undertaken does not constitute a return to practice.

Return from Leave

15. It is the policy of Deans Court Chambers to enable parents to work reduced hours on return from a period of parental or adoption leave. This should be discussed with chambers’ management and clerks.

Complaints

16. Any member who wishes to make a complaint regarding a breach of this policy should in the first instance contact either of chambers’ Equality and Diversity Officers.

Contact

17. Chambers Equality and Diversity Officers are Timothy Edge and Alex Taylor.

18. Alex Taylor is the point of contact for all queries regarding this policy.





Appendix 4: Reasonable Adjustments Policy

1. Deans Court Chambers is committed to making reasonable adjustments in order to remove or reduce substantial disadvantage for disabled people working with chambers or receiving legal services. This policy covers all employees of chambers, barristers, clerks, pupils, mini-pupils and visitors to chambers.

2. Circulation This policy is circulated to all members, staff, pupils, clerks and those who are required to read and understand it.

3. Definition of disability For the purposes of this policy the definition of disability follows that set out in the Equality Act 2010 s.6. A person is therefore disabled if s/he has a physical or mental impairment which has a substantial and long term adverse effect on his/her ability to carry out normal day-to-day activities. “Substantial” means more than minor or trivial and “long term” means 12 months or more”.

4. Types of reasonable adjustment This policy does not provide an exhaustive list of the reasonable adjustments that chambers will make for staff, barristers, pupils or visitors however the following types of adjustment that may be made are listed below:

a. Provision of information in alternative formats (e.g. large print, Braille etc) b. Paid leave for disabled employees of chambers c. Provision of auxiliary aids e.g. induction loops d. Provision of accessible conference room facilities e. Provision of a reader or interpreter

5. Staff, barristers and others in chambers Staff or barristers with specific requirements should make requests to Matthew Gibbons, Timothy Edge or Alex Taylor for reasonable adjustment decisions. All requests for reasonable adjustments will be considered on a case by case basis with the advice and assistance of one of chambers’ Equality and Diversity Officers and where it is not possible to make the adjustment requested possible alternatives will be discussed with the applicant.

6. Head of Chambers is responsible for considering whether or not disabled staff, barristers or pupils requires assistance during an emergency evacuation and if so whether or not a personal emergency evacuation plan is required for the individual/s concerned. If so, the plan will be developed in partnership with the individual concerned in order to ensure that adjustments to the emergency evacuation procedure may be made.

7. Visitors to chambers Barristers are responsible for considering reasonable adjustment requests for their visitors. They are also responsible for anticipating any likely reasonable adjustments that will need to be made for visitors whom they know to be disabled and are likely to require assistance. Visitor requests for specific reasonable adjustments may be made by contacting Matthew Gibbons on 0161 214 6000 or by e mail at [email protected].

8. Cost of making reasonable adjustments In no circumstances will Deans Court Chambers pass on the cost of a reasonable adjustment to a disabled person.

9. Monitoring and Review This policy is reviewed by chambers’ Equality and Diversity Officer every two years.





Appendix 5: Further Information

The Bar’s Equal Opportunities OfficersThe Race Relations CommitteeThe Sex Discrimination CommitteeThe Disability PanelThe General Council of the Bar3 Bedford RowLondonWC1R 4DB

Tel: 0207 242 0082Fax: 0207 831 9217

Society of Asian Lawyers (SAL)12 Michleham DownWoodside ParkLondonN12 7JM

Tel: 0208 446 4614

Royal Association for Disability and Rehabilitation (RADAR)12 City Forum250 City RoadLONDONEC1V 8AF

Tel. 0207 250 3222Fax. 0207 250 0212

Society of Black Lawyers (SBL)Unit 314 Brixton Enterprise Centre444 Brixton RoadLondonSW9 8 EJ

Tel: 0207 7735 6591

African, Caribbean and Asian (ACA)The Law Society Shop227/228 The StrandLondonWC2R 1BA

Tel: 0207 242 1222

Lawyers Group Commission for Racial Equality (CRE)Elliot House10/12 Allington StreetLondonSW1E 5EH

Tel: 0207 828 7022

Bar Lesbian and Gay Group (BLAGG)Direct Telephone NumberTel: 0207 820 1715

The Equal Opportunities Commission (EOC)Overseas HouseQuay StreetManchester

Tel: 0845 6015901

Royal National Institute for the Blind (RNIB)224 Great Portland StreetLONDONW1N 6AA

Tel. 0207 388 1266Fax. 0207 388 2034

Royal National Institute for the Deaf (RNID)105 Gower StreetLONDONWC1E 6AH

Tel. 0870 6050123


