INTRODUCTION:

Our commitment

  1. We are committed to a creating an inclusive and positive environment in which everyone considers they are being treated fairly and equitably. We expect everyone to carry out their work and conduct themselves in a professional manner that promotes our values and the interests of Three Stone The Chambers of John McDonnell K.C. (“Chambers”).
  1. This policy explains what we consider to be inappropriate behaviour and what we will do if we have concerns about your conduct whilst employed or undertaking your pupillage with Chambers. We’ll explain to you any concerns we have about your conduct, listen to what you have to say and, where necessary, we’ll be clear about the behaviour we expect to see in future.
  1. We hope you never need this policy, but if you do, (a) if you are employed the Senior Clerk and (b) your Pupil Supervisor are here to support you.
  1. We know that being subject to disciplinary proceedings can be difficult. We will always try to establish the facts and resolve the matter as quickly as possible. We are committed to your wellbeing and this policy signposts you to other support if you need it.
  1. This policy is not part of your employment contract or pupillage agreement, and we can change it at any time. If you have any questions, please talk to the Senior Clerk or pupillage supervisor.
  1. The policy applies describes how we will deal with issues of misconduct at work and applies to all our employees and pupil barristers.
  1. In this policy:
  • ‘We’/‘us’ refers to Chambers as referred to above.
  • ‘You’ means all employees or pupil barristers] of Chambers.
  • ‘Manager’/‘Supervisor’ means all those who have responsibility for you
  1. Issues relating to employee’s performance are not dealt with through this policy and will instead be managed through our Capability policy. In some instances, a performance issue can become a conduct issue, and vice versa. 
  1. This policy does not apply to absence from work that is not conduct related. The Sickness Absence Policy or Absence from Training Policy will apply in cases where absence is due to sickness. 
  1. In some cases, formal disciplinary action may not be necessary in the first instance and issues can be handled most effectively though information action. Depending on the seriousness of the issues and whether the individual concerned is already subject to an active disciplinary warning, we encourage using an informal approach to resolve problems wherever possible.
  1. The formal disciplinary procedure will begin at our discretion. This may be when informal approaches have failed, or where an informal approach is not appropriate. We can implement the procedure at any stage, depending on the nature and gravity of the alleged misconduct.
  1. No formal disciplinary action will be taken against you until it is confirmed there is a case to answer. How we establish the facts to inform that decision will depend on the circumstances, and how serious the allegations are.
  1. We know that formal disciplinary processes can be stressful, so if there are things we can do to reduce the impact of the process on your wellbeing then, provided they are appropriate, we will. Sources of support are outlined at the end of this policy under ‘Further information and support’.
  1. We will ensure that you are treated fairly, which means you will be told the nature of the alleged misconduct against you and have an opportunity to explain your side of the matter before any formal disciplinary decision is made.
  1. It is the responsibility of the people involved in a disciplinary process to ensure that the matters discussed remain confidential. However, there may be situations in which it is necessary to provide information to others to ensure that the process is handled effectively and fairly, and that those who might be impacted by it are duly informed.
  1. Inappropriate access to, or disclosure of, personal or sensitive personal data (whether verbally or in writing) constitutes a data breach and must be reported to the person responsible for handling GDPR issues. It may also, in and of itself, constitute a disciplinary offence.
  1. Pupil barristers must note that inappropriate access to, or disclosure of, personal data may also constitute misconduct under the Bar Standards Board Handbook and you may therefore need to consider whether you have a duty to report your actions to them. You can seek confidential guidance on the relevant provisions for the Bar Council’s Ethical Enquiries Team, who are contactable on 020 7611 1307.
  1. Individuals may be subject to our disciplinary procedure for a wide variety of reasons. If an allegation or allegations of unacceptable or improper behaviour are made against you, we’ll make it clear whether we consider them to be misconduct or gross misconduct.
  1. Misconduct is when someone has behaved in an unacceptable or improper way. Unacceptable behaviour we view as misconduct that may amount to a disciplinary offence could include, but is not limited to, the following:

a. Persistent poor attendance and/or timekeeping
b. Unauthorised absence
c. Unreasonable refusal to follow an instruction issued by your Manager or Supervisor
d. Failure to observe our policies/procedures
e. Any act that has a negative impact on our reputation
f. Causing damage to our property
g. Any act that is inconsistent with our values
h. Working outside the UK without prior permission
i. Persistently being non-contactable.
j. Smoking or using an e-cigarette in Chambers or when engaged in an online meeting

Gross misconduct

  1. Gross misconduct is unacceptable or improper behaviour of a very serious nature. What distinguishes misconduct from gross misconduct will depend on the circumstances and the nature and seriousness of the allegations. Acts that constitute gross misconduct are so serious or have such serious consequences that they may result in a final written warning, for employees: demotion or dismissal, or for a pupil barrister termination of your pupillage without notice for a first offence.
  1. Examples of gross misconduct could include, but are not limited to, the following:

a. Theft, fraud, deliberate falsification of records
b. Fighting, assault on another person, or threat of physical violence
c. Unauthorised use of or deliberate damage to our property, including buildings, fittings, or equipment
d. Serious incapability through alcohol or being under the influence of illegal drugs
e. Serious negligence which causes unacceptable loss, damage or injury
f. Deliberate acts of abuse, or abusive behaviour
g. Deliberate insolence
h. Persistent use of rascist, blasphemous and or obscene language
i. Discrimination, bullying, harassment or victimisation (see out harassment policy)
j. Serious acts of insubordination
k. Unauthorised access to, and/or use of computer records and electronic data
l. Breach of our IT policies, including accessing offensive or pornographic material or on line gambling and attempting to download material likely to damage our IT systems
m. Being convicted of a criminal offence or any action likely to bring us or if you are a pupil barrister bring the profession into disrepute
n. Acts falling within the provisions of the Bribery Act, including corruption and inappropriate acceptance or giving of gifts of hospitality, depending on the seriousness
o. Making a malicious or vexatious claim of any nature
p. Gross inefficiency, incompetence or negligence
q. Unauthorised use or disclosure of confidential information, including through social media, or leaving confidential information unsecured
r. Use of social media that is offensive, rascist, disrespectful or which might bring chambers into disrepute.
s. serious breaches of health and safety rules,
t. acting in an unprofessional manner on any premises that as a pupil barrister or an employee you are required to visit for the purpose of carrying out their work, including outside of the working hours.
u. If you are a pupil barrister acting in any of the ways identified by the Bar Standards Board as Serious Misconduct

  1. It can also be gross misconduct to threaten or attempt to do these things – or to lead someone to believe you have done so or plan to do so.
  1. If you’re accused, charged or convicted of a criminal offence (including getting a summons) and including a motoring offence, let your Manager Pupil Supervisor know right away, in writing. Your manager will speak to the Senior Clerk or chair of the Pupillage Committee and we will then decide whether to launch our own investigation and disciplinary process, depending on how serious the offence is, and how relevant it is to your employment  or pupillage. We will also consider whether a suspension from normal duties is required. 
  1. Pupil barristers have a duty under rC65 of the Bar Standards Board Handbook to report certain types of criminal offences and other forms of serious misconduct to your regulator. If you have not been called to the Bar, then you may instead need to report them to your Inn of Court. You can seek confidential guidance on the relevant provisions of the Handbook from the Bar Council’s Ethical Enquiries Team, who are contactable on 020 7611 1307.] 

25.   If you are a Manager or Pupil supervisor] and you have any concerns about the conduct of someone you manage and or supervise you should investigate promptly and thoroughly.

26.   Read through this policy and procedure and talk to the Head of Chambers, Treasurer or Secretary of the Management Committee before you speak to the person you have concerns about.

27.   If the misconduct is not serious or is a one-off incident, you can decide to raise your concerns informally, but you should still listen to the person’s explanation and make it clear what the expectation of behaviour is and what will happen if there is no improvement or any repetition – and make a note of the conversation.

28.   If the misconduct is more serious, or has happened before, it may be appropriate to deal with it formally.

29.   If at any point you begin to think the issue is not a disciplinary one and should be treated as a performance or a sickness concern, talk to the Head of Chambers, Treasurer or Secretary of the Management Committee. It may be appropriate for you to suspend the process and to deal with it under as a matter of performance or Sickness absence policy instead.

 

Informal action

  1. Minor misconduct can generally be dealt with through informal action. Informal action will usually take the form of a conversation between you and your Manager/Pupil supervisor.
  2. During the meeting, your Manager or Pupil supervisor will:

a. Outline their concerns and expectations of you, and the impact that your actions may have had on others, including chambers
b. Listen to your explanation carefully
c. If required, ask further questions to help them understand your position and check that they have all the relevant information
d. Discuss any support needs that you may have, and any improvements that they feel will be necessary for you to make
e. Confirm any review and monitoring periods, if applicable.

  1. Following the meeting, your Manager or Pupil supervisor will send you a written summary of your discussion. They may also share the summary with the Head of Chambers, Treasurer or Secretary of the Management Committee to hold on file for reference.
  1. If your discussion with your Manager or Pupil supervisor fails to result in an improvement, or if your Manager or Pupil supervisor considers your actions to be too serious to deal with informally, then we may take formal action instead.

Formal action

Establishing the facts

  1. We will always seek to establish the facts before disciplinary decisions are made. Depending on the circumstances:

a. The matter may go straight to a disciplinary meeting following a conversation about the concerns, for example, if the issue is straightforward and it is possible to quickly establish the facts, or
b. We may commission a formal investigation before the disciplinary meeting, and/or
c. It may become evident during the disciplinary meeting that further investigation is necessary, and/or
d. We may need to interview other people before or after the disciplinary meeting

Investigating the disciplinary matter

  1. If a formal investigation is necessary, this may be carried out by your Manager or Pupil supervisor. Alternatively, we may appoint another person in chambers who is not connected with your case or an external investigator (the ‘Investigator’) to conduct the investigation. The decision on who will carry out the investigation and hold any investigatory meeting(s) with you will be made by Head of Chambers or his appointed deputy.
  1. The investigation will be conducted as quickly as possible and in as confidential a manner as possible. You will first be invited to attend an investigatory meeting with the Investigator. During the meeting, the Investigator will outline the allegations that have been made against you and give you an opportunity to respond to them. The Investigator may ask further questions to help them understand your position and check that they have all the relevant information.
  1. There are occasions on which it may become evident during the meeting that the Investigator may need to obtain written statements from other relevant people. In these circumstances, the Investigator may adjourn the meeting and notify you when they are ready to reconvene. Any adjournments will be for no longer than is necessary to ensure that your disciplinary investigation is handled fairly and proportionately. Persons giving statements may request anonymity and we will respect that. However we will consider what weight we should give to statements that the person is only prepared to make anonymously.
  1. We will make all reasonable efforts to allow you to be accompanied to an investigatory meeting, if you request it.
  1. The Investigator will be impartial and will not therefore determine the outcome of any formal disciplinary process. That decision will be made by another person in chambers who is not connected with your case (the ‘Disciplinary Manager’). Following the investigation meeting, the Disciplinary Manager may choose to:

a. Dismiss the matter on the grounds that there is no case to answer
b. Take informal action, such as suggesting that an alternative dispute resolution processes be followed to prevent the matter from escalating any further
c. Arrange a disciplinary meeting

  1. You should take all reasonable steps to attend the investigatory meeting(s). If you or the person who be accompanying you, can’t make the date that the Investigator has proposed, you may suggest an alternative one. You should set out the reasons for your request in writing and the date that you suggest should be within 5 working days of the one proposed by the Investigator. The Investigator will then consider your request and confirm whether they can accommodate it.
  1. Where you fail to attend an investigatory meeting more than once and without compelling reasons, then the Disciplinary Manager may determine the outcome in your absence. They will inform you of their intention to do so in writing and will share the outcome with you in writing thereafter.

Reasonable adjustments

  1. Any individual who requires any reasonable adjustments during the disciplinary process, including during the investigation, should raise this with the person who will be conducting the meeting in sufficient time for them to make any arrangements necessary.

Suspension from chambers

  1. There may be circumstances in which we need to suspend you while we investigate the allegations against you and, where applicable, prepare for and conduct your disciplinary meeting.
  1. Suspension is not a form of disciplinary action and, if you are suspended, it does not mean that we have already decided that you have done something wrong. We will only suspend you where we think it is necessary to ensure a fair investigation can be carried out and we will endeavour to ensure that the period of suspension will be for as short a period as reasonably possible. During your suspension, you will continue to receive your salary or pupillage award in full.
  1. We will consider alternatives to suspension, such as reducing your duties or work allocation, limiting contact with clients or other people who are external to chambers, or removing your access to one or more of our systems, before taking a decision.
  1. If we decide to suspend you, you will receive written confirmation of our decision from your Manager or Pupil supervisor or the Head of Chambers (or his deputy). Their letter to you will include a summary of the allegations that have been made against you and will also set out how long your suspension will last for, and the terms associated with it. If we need to extend the period of suspension for any reason, your Manager or Pupil supervisor or the Head of Chambers or his deputy will confirm this to you in writing.
  1. During the period of your suspension you should not:

a. Come into Chambers or attend Chambers’ events
b. Carry out work for Chambers or for your pupil supervisor if you are a pupil barrister in your non-practising period
c. Remotely access Chambers IT systems or electronic resources
d. Contact members of Chambers or staff

Without the prior written approval of the Head of Chambers.

  1. You must make sure to arrange that you are available to attend any necessary meetings.

Invitation to a disciplinary meeting

  1. If the Disciplinary Manager decides that there is a case to answer, they will invite you to a disciplinary meeting. You will receive at least 5 working days’ notice of the meeting and in their invitation, the Disciplinary Manager will set out the:

a. Details of the alleged misconduct and any other relevant allegations, including copies of the written evidence that will be used during the meeting
b. Arrangements for the meeting, including who will be present
c. Highest possible sanction that could be issued to you if the allegations are substantiated

  1. If they are not conducting the meeting themselves, the Head of Chambers or his deputy will be present during the meeting to advise on the process, policy and procedure. The Disciplinary Manager may record the meeting with the consent of those in attendance, to ensure that accurate notes can be taken. They may also appoint another person in chambers to attend the meeting to take a summary note of the key issues and the outcomes that have been reached.
  1. You and, where applicable, the person accompanying you, may not record the meeting, either obviously or covertly.

Being accompanied at disciplinary meetings

  1. Any individual who is involved in a formal disciplinary process may be accompanied at the disciplinary meeting by a neutral colleague or if you are an employee or by a full-time trade union representative, but not by anyone acting in a legal capacity.
  1. You do not have to be accompanied but, if you do wish to be, you must also notify the person who will be conducting the meeting at least two working days in advance of the meeting. You must provide them with details of who will be there and in what capacity and allow them sufficient time to make any arrangements necessary.
  1. During the meeting, the person that you have chosen to accompany you can lend you their support, or take a more active role by:

a. Summarising or explaining your position
b. Asking questions or seeking clarification on your behalf

  1. However, they will not be permitted to answer any questions that are put to you by the person who is conducting the meeting.

 

The disciplinary meeting

  1. During the meeting, the Disciplinary Manager will:

a. Explain what the alleged misconduct is and any impact
b. Clarify what evidence will be considered, including any witness statements
c. If applicable, confirm any action already taken to support you to improve your conduct
d. Give you the opportunity to respond to the allegations and set out any mitigating factors that you think the Disciplinary Manager should consider

  1. The Disciplinary Manager may ask further questions to help them understand your response(s) and check that they have taken everything necessary into consideration. They will also give you the opportunity to ask questions and, where relevant, suggest others that you think they should speak to about the allegations.
  1. There are occasions on which it may become evident during the disciplinary meeting that further investigation is required. In these circumstances, the Disciplinary Manager will adjourn the meeting and notify you when they are ready to reconvene. Any adjournments will be for no longer than is necessary to ensure that your case is handled fairly and proportionately.
  1. After hearing all the evidence, the Disciplinary Manager will adjourn the meeting to consider the evidence, reflect on your discussion, and decide on the outcome. They will share a copy of the notes from the meeting with you as soon as is reasonably practicable. If you disagree with any aspect of the notes, the Disciplinary Manager will make a note of your comments and share them with the Head of Chambers or his deputy to hold on file.
  2. You should take all reasonable steps to attend the disciplinary meeting. If you, or the person who be accompanying you, can’t make the date that the Disciplinary Manager has proposed, you may suggest an alternative one. You should set out the reasons for your request in writing and the date that you suggest should be within 5 working days of the one proposed by the Disciplinary Manager. The Disciplinary Manager will then consider your request and confirm whether they can accommodate it.
  1. Where you fail to attend a disciplinary meeting more than once and without compelling reasons, then the Disciplinary Manager may reach a decision in your absence, based on the evidence available at the time.

Deciding and communicating the outcome

  1. Following the disciplinary meeting and any investigation, the Disciplinary Manager will review the evidence and determine an outcome, and whether any disciplinary or other action is justified.
  1. They will inform you of their decision in writing as soon as reasonably practicable and usually within 10 working days. If this is not possible they will let you know when you can expect the decision and keep you informed. We will always aim to conclude the disciplinary process as quickly as we can.
  1. If disciplinary action is necessary it may take one of the following forms:

 

1.       Verbal warning

If the misconduct is proven, but is minor and is the first occurrence, or if it is resolved informally by your Manager/Pupil supervisor, or if the Disciplinary Manager decides you might reasonably not have known it was misconduct, you might receive a verbal warning.

A note of the verbal warning will be placed on your file and will remain ‘live’ for 6 months. It will be disregarded for disciplinary purposes after that time.

2.       First written warning

A first written warning might be issued in circumstances where you have failed to demonstrate any improvement following informal action, or if the misconduct is not serious enough to warrant more formal action being taken.

The warning will be placed on your file and will remain ‘live’ for 6 months. It will be disregarded for disciplinary purposes after that time. 

3.       Final written warning

If you have a current ‘live’ written warning about conduct, then further misconduct may warrant a final written warning.

A final written warning may also be warranted where a first offence of misconduct is sufficiently serious but would not justify dismissal or termination of  your written pupillage agreement].

The warning will be placed on your file and will remain ‘live’ for 12 months, but in exceptional circumstances could remain in effect for longer. It will be disregarded for disciplinary purposes after that time, subject to your satisfactory conduct and provided there has been no further misconduct of any kind.

The final written warning will make it clear that further misconduct may lead to your dismissal or the termination of your written pupillage agreement. The letter confirming the outcome will also explain how you can appeal against the decision.

  1. Dismissal or action short of dismissal

If you have a current ‘live’ final written warning, but your conduct has not improved, or if you’ve done something so serious it counts as gross misconduct, the Disciplinary Manager has the power to dismiss you or terminate your written pupillage agreement or extend your final warning.

If you are an employee they may also decide on another action, such as demotion, redeployment to another post (where one exists), or loss of pay.

  1. If the decision is made to dismiss you or terminate your written pupillage agreement, we will write to you explaining why you have been dismissed or had your written pupillage agreement terminated, and when your last day is. We’ll also explain how you can appeal.
  1. Whether you are entitled to notice will depend on the reason for dismissal. If you are dismissed for misconduct, you will be entitled to your period of notice or payment in lieu of notice, as set out in your employment contract. If you are dismissed for gross misconduct, we may terminate your employment with immediate effect, without notice, including for a first offence.
  1. If your pupillage is terminated you may be required to repay any advances on your award and cease to receive monthly payments in accordance with our written Pupillage Agreement.

Appealing the decision

  1. You have the right to appeal against the outcome of your formal disciplinary if you are not content with the process that was followed or feel that the outcome was wrong.
  1. The purpose of an appeal is to review the disciplinary decision and not to re-hear the matter or consider it afresh. For example, suitable grounds for an appeal could be based on the process that the Disciplinary Manager followed to make their decision, or that the outcome was too severe, manifestly wrong or, in the case of dismissal, unfair.
  1. If you wish to make an appeal, you should do so in writing and within five working days of you receiving the disciplinary outcomes letter from the Disciplinary Manager. If you do not lodge an appeal within five working days, you will be deemed to have accepted the decision of the Disciplinary Manager and will have no further right to challenge it thereafter.
  1. Your submission should explain which parts of the letter you believe are wrong and why you disagree with them. You should not include additional evidence unless you can demonstrate it is relevant to the grounds for appeal and was not available during the disciplinary meeting or, where applicable, investigation.
  1. The Chambers Management Committee is responsible for handling appeals. You should submit your appeal to any member of the Management Committee who has not been responsible up to that point for the Disciplinary Procedure. If the complaint relates to a member of the Management Committee you should submit your appeal to the next most senior member of the Bar in Chambers (K.C.’s rank above juniors for these purposes instead) (the ‘Appeal Manager’).
  1. Once they have received your appeal, the Appeal Manager will send you an invitation to attend an appeal meeting with them within 5 working days. If this is not possible for any reason, they will keep you informed and arrange for the meeting to take place as soon as practicable. If you are appealing against a decision to dismiss, the appeal may be heard after the dismissal has taken effect.
  1. Depending on their involvement in the disciplinary process to date, the Head of Chambers or his deputy may be present during the meeting to advise on the process, policy and procedure. The Appeal Manager may record the meeting with the consent of those in attendance, to ensure that accurate notes can be taken.
  1. You and, where applicable, the person accompanying you, may not record the meeting, either obviously or covertly.
  1. During the meeting, the Appeal Manager will give you an opportunity to put forward any concerns that you have about the original decision-making process and outcomes, and to raise any new evidence that is relevant to your disciplinary and was not available during the investigation or disciplinary meeting. The purpose of the appeal meeting is to clarify whether the procedure that the Disciplinary Manager and/or Investigator followed was fair, and/or that the decision by the Disciplinary Manager was fair. To that end, you may not use the appeal meeting to request a complete re-hearing of the issues raised, nor to present new evidence that was available prior to your appeal and/or is not directly connected to your complaint.
  1. The Appeal Manager will consider your appeal and either provide you with a verbal decision at the end of your appeal meeting, or as soon as practicable thereafter. They will also confirm their decision, in writing, within two working days of having relayed it to you.
  1. The Appeal Manager’s decision will be final and will take one of two forms:

a. Upheld (i.e. the procedure and/or outcomes were fair)
b. Overturned (i.e. the procedure and/or outcomes were not fair).

  1. Where the Appeal Manager decides to uphold the decision, they will either uphold the original outcome or, where appropriate, substitute it for a lesser one.

 

Appeal against dismissal  or  termination of your pupillage agreement]

  1. If you have been dismissed or your pupillage agreement has been terminated] following a disciplinary process and you successfully appeal this decision, then the decision to dismiss you or terminate your written pupillage agreement] will be revoked and if you are an employee there will be no break in your length of service.
  1. If you are an employee depending on the circumstances, dismissal may be replaced by an alternative sanction.
  1. If you appeal against dismissal or termination of your pupillage agreement] and your appeal fails, the effective date of termination will be the date on which you were originally dismissed or your pupillage agreement was originally terminated].

 

Further information and support

  1. We recognise that being involved in a disciplinary process can be worrying. [Our confidential Employee Assistance Programme / The Assistance Programme advertised by the Bar Council, Legal Practice Management Association, and Institute of Barristers’ Clerks is available to their respective members, including pupil barristers, and] is available 24 hours a day and can provide support if you are anxious, stressed or want to talk to someone independent.
  1. If you have any questions about this policy, you can contact the Senior Clerk, or the Chambers’ Treasurer or Secretary.

 

 

July 2025