Complaints and Disciplinary Procedure

Introduction

  1. This is the complaints and disciplinary procedure for Furnival Chambers.
  2. This written procedure is drafted in compliance with the recommended Standards and Implementation Advice for the Practice Management for the Bar (April 1998) Edition. Where this written procedure conflicts with the recommended standards and implementation advice, it is the former that should be followed. The grievance procedure can be initiated in one of three ways: 1) The Head of Chambers or Senior Clerk can initiate it against a member of staff; 2) The Head of Chambers can initiate it against a member of chambers; 3) A referral is made by the grievance panel, or on appeal by or from Furnival Chambers (see grievance procedure).
  3. The facts of any alleged misconduct will be ascertained by the disciplinary panel. It shall normally consist of the Head of Chambers and Senior Clerk. Where the disciplinary matter relates to an alleged misconduct by the Head of Chambers or Senior Clerk then that individual should be replaced by a member or members of the chambers management company board [the Board]. Where the disciplinary matter relates to a member of the Board they should play no part in the handling of the disciplinary matter other than to make representations on their own behalf. Once the disciplinary procedure is initiated the disciplinary panel shall ascertain the facts of the matter. They shall conduct or authorise to be conducted on their behalf, such investigation as they deem appropriate. They should investigate the origin of the complaint and invite a member of chambers or member of staff concerned to make any such representations they think are appropriate. The member of staff or chambers concerned should be given the option of having someone speak on their behalf from within or outside chambers.
  4. Having undertaken such investigations as they consider appropriate the member of staff or chambers concerned or the representative should be given the opportunity to address the disciplinary panel on the matters before them. The member of staff or chambers concerned shall have copies of any written material and a synopsis of any verbal information that the disciplinary panel will take into consideration.
  5. Once the disciplinary panel are satisfied that they have all the relevant facts before them they should decide whether or not the act or omission has in fact occurred.
  6. If the disciplinary panel are of the opinion that the act or omission did not occur that is the end of the procedure and the individual concerned should be so informed and their personnel record noted accordingly.
  7. Where the disciplinary panel is of the opinion that the act or omission did occur then the disciplinary panel shall consider whether or not any such act or omission constitutes misconduct, gross misconduct or a breach of the code of conduct of the Bar.
  8. Where the disciplinary panel are of the opinion that the act or omission does not constitute misconduct, gross misconduct or a breach of the code of conduct that is the end of the matter and the individual’s personnel record, if appropriate, shall be amended accordingly.
  9. Where the disciplinary panel are of the opinion that the act or omission constitutes misconduct, gross misconduct or a breach of the code of conduct they should prepare a report for the Board. The report to the Board shall outline the nature of the complaint, outline the investigations that have been undertaken, outline the results of those investigations and any representations made by the member of staff or chambers concerned or their representatives. It shall state what facts they believe to be true and what facts they do not believe to be true and state whether or not they recommend to the Board whether misconduct, gross misconduct or a breach of the code of conduct has taken place.
  10. A copy of this report should be made available to the member of staff or chambers concerned.
  11. Where the disciplinary panel are of the opinion that their report ought to be made confidential they may seek a direction from the Board that the report will only be released to the member of staff or chambers concerned or their representative on the basis that they will maintain confidentiality of the contents of that report.
  12. Once the report has been considered by the Board they shall direct any further questions that they have to the disciplinary panel, they should give the member of staff or chambers or their representative the opportunity to question the disciplinary panel on any matters which are relevant. The Board shall give the member of staff or chambers or representative the opportunity to address the Board as to any finding they might make.
  13. The Board shall then consider whether or not they accept the disciplinary panel’s recommendation that the facts alleged constitute misconduct or gross misconduct or whether in fact there should be any further investigation.
  14. Where the Board is of the opinion that further investigations should be carried out they shall direct how and by whom those investigations are to be carried out and give the opportunity for the members of chambers or staff concerned to comment on the results of any further investigations. Once these investigations have been carried out the Board shall reconsider whether or not to accept the disciplinary panel’s recommendation of misconduct or gross misconduct.
  15. Where the Board is of the opinion that the facts alleged do not constitute misconduct or gross misconduct that is the end of the disciplinary procedure. Where the Board is of the opinion that the facts alleged constitute misconduct or gross misconduct they should inform the member of staff or chambers concerned of that and invite them or their representative to make representation as to the appropriate sanction in the circumstances.
  16. In deciding upon the appropriate sanction the Board may wish to seek guidance from the Bar Council, the Institute of Barrister’s Clerks or from such other sources as they deem appropriate.
  17. Coming to a conclusion on the appropriate sanction the Board shall consider what sanction was applied in any such similar cases. The Board shall also give due consideration to the age, experience and record of the individual concerned.
  18. Once a decision as to the appropriate sanction has been made the individual concerned shall be informed as soon as is practicable. The individual concerned shall be informed that they have the right of appeal. In the event that the individual concerned seeks to exercise the right of appeal the chambers administrator will seek to convene with the help of the most senior clerk not previously involved in the process a panel of clerks, chambers employees and barristers (consisting of no more than 5 people, with a minimum of 3) from outside Furnival Chambers.

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