BARMARK Requirements. Replacing QUALITY ASSURANCE FOR CHAMBERS

Transcription

1 BARMARK Requirements Replacing QUALITY ASSURANCE FOR CHAMBERS Page 1

2 INTRODUCTION TO THE BARMARK REQUIREMENTS Thank you for taking the time to request or download a copy of the BARMARK Requirements. BARMARK was launched on 5 July 1999, in order to recognise good practice management within chambers. The scheme is voluntary and is independently assessed by the British Standards Institution (BSI), with the final decision on awards taken by the Bar Councilʹs BARMARK Panel. This document represents a streamlining of the written requirements for BARMARK, which were previously contained in the Quality Assurance Document. This streamlining has been achieved without losing any actual requirements or important detail. We are sure that by providing your chambers with clearer requirements and guidance, the Bar Council will greatly be assisting you with the implementation of the requirements. The BARMARK Requirements are divided into the following sections: Section 1: Section 2: Section 3: Section 4: Section 5: Section 5A: Management Responsibility Client Care Finance Premises and Facilities Personnel and Equal Opportunities Pupillage Administration and Tenancy Selection. For ease of reference, you will find that information on the individual requirements, and the guidance on how these requirements should be implemented, are contained within separate columns. We would like to thank John Hele from BSI and Christine Kings and Stephen Graham from Outer Temple Chambers, for their hard work in drafting the BARMARK Requirements. Any queries on the BARMARK Requirements should be addressed to Alex Straker at The Bar Council: High Holborn, London WC1V 7HZ, DX: 240 LDE. E mail AStraker@BarCouncil.org.uk Page 2

3 SECTION 1 MANAGEMENT RESPONSIBILITY Requirement I. There shall be a written constitution which all members of chambers shall have agreed and abide by. The constitution could include : BARMARK review Rules for the chambers Financial arrangements Decision making processes. II. III. IV. There is a policy statement setting out core values and aims, objectives and standards for Chambers that is reviewed annually. The decision making structure is defined in writing, including the responsibilities and authority of the Head of Chambers and individual barristers, committees and support staff, for all activities of the chambers. There shall be a detailed Business Plan for one year ahead which is reviewed throughout the year and an outline plan for at least the next year or further years if appropriate. The chamber s policy statement should be reviewed at management meetings to look for improvement and innovation, and to ensure that objectives are being met. This could be shown through the use of organisation charts. Responsibility for monitoring and implementation of the plan and policies should be allocated. We would recommend that reviews be carried out quarterly. V. Planning anticipates future staff and resource requirements. Planning, facilities and resources should be reviewed and revised in the light of changing service delivery. VI. VII. VIII. IX. All barristers and support staff are aware and committed to the policy and plan. The management system shall be clearly documented. Arrangements for periodic meetings of Chambers, Management Committee and any other sub committee are agreed and set out, together with reporting processes. Chambers policies, plans and guidelines for their achievements have been developed and progress on their achievement is reported. Some method of showing the commitment would be useful. It is very useful for a chambers to have some form of manual that explains their systems and how they are controlled. There should be an explanation of how meetings are carried out and what their purpose is. This could be included in the Constitution. These should be reported as appropriate throughout the chambers. Page 3

4 Requirement X. Effective communication has been established between the management structure, with staff and external contacts. External contacts could include Suppliers Bar Council Consultants IT consultants H&S Consultants Solicitors for the chambersʹ use. XI. EO policy and practices and chambers development are reviewed. The EO policy should be reviewed at least once a year. XII. A procedure and controls shall be documented for dealing with sensitive material. Sensitive material can be cassette tapes, videotapes and/or sensitive documents. XIII. XIV. XV. XVI. Marketing material sets out information about Chambers facilities, complaints, client feedback and fee charging system. Chambers shall obtain customer feedback on the chambers performance and service levels on an annual basis. Client care procedures are reviewed at least annually and improvements identified and made where necessary. Chambers shall carry out an assessment of their ongoing compliance to the BARMARK requirements at least annually. Ensure that marketing material that is show on a web site carries the same information as that in hard copy. Chambers should ensure that the results from client feedback are discussed in management meetings. See Section 2 Client Care. The decisions for this should be taken through management meetings. This could be carried out through audits of the system or through the management committee structure. XVII. Every member of chambers has to be covered by the: Data Protection Act Bar Mutual. XVIII. Every member of chambers should ensure that they accrue the requisite number of CPD hours. A central record should be kept by chambers of hours completed by each member. Each member of chambers should also be aware of: Code of conduct requirements Relevant aspects of Employment Law Their responsibilities under Health and Safety legislation. The onus is on each member of chambers to ensure that they fulfil the CPD requirements, and promptly to provide the administrator of the central record with details of CPD hours as they are accrued and of any relevant changes. Page 4

5 SECTION 2 CLIENT CARE Requirements i) The effectiveness of clerking procedures should be reviewed quarterly. ii) Where appropriate the client shall normally be informed of the basis on which fees will be charged and this information recorded. iii) Chambers shall have a complaints system. By inclusion on the agenda of the chambers management Committee. This should include complaints. This does not apply to standard fee cases and cases where standard rates apply, where there is an arrangement already agreed or where alternative arrangements have been made. This should be written and its existence advertised and available on request. iv) There shall be systems covering diaries, fees and work management. These diaries can be electronic or in hard copy, but must ensure that there are no clashes of activities or that these are known and dealt with. v) A procedure shall be documented for dealing with potential clashes of professional commitments. How clashes are dealt with should be clearly explained through a documented procedure. vi) Unless in the most exceptional of circumstances no brief or instructions should be returned or reallocated without the consent of professional clients. Every assistance should be provided by chambers to find a suitable replacement in or out of chambers. When the professional client is not available to discuss return or reallocation a detailed note should be kept of the circumstances. vii) All briefs, instructions and where appropriate associated material should be registered and date stamped on arrival and acknowledged. Associated material could include: Cassette tapes Video tapes Evidence. viii) The clients should be advised of the likely time scale for completion of the work on the receipt of instructions. How does the chambers notify the likely time scales for the brief? ix) Briefs shall be submitted to and examined by counsel within specified and monitored time scales. Systems should be in place to deal with counsel being away from chambers for extended periods. Page 5

6 Requirements x) The progress of work shall be monitored regularly and clients kept informed of progress. Clients should be advised promptly of any delaying factors. xi) xii) xiii) xiv) Details of work shall be recorded to support fees. There shall be a system in place to ensure confidentiality in chambers. Procedures for bringing attention to messages, letters, faxes, e mails and telephone calls by the person concerned should be in place. Procedure for location, control, filing, storage and return of papers should be in place. There should be a fee recording mechanism. Potential for conflict should be identified and appropriate action taken. on e mails should include, virus protection, procedures for forwarding e mails when members are away from chambers and for ensuring that confidentiality is observed. Ensure that the review of e mails does not lead to the possibility of a conflict. Papers should be returned as soon as possible after the brief has been completed. There should be a process for recording when the papers have been returned. Page 6

7 SECTION 3 FINANCE Requirements I. There shall be clear allocation of responsibilities and authorities for financial management within chambers. The responsibilities for financial management should be clearly stated and may be defined in the constitution. II. Policy and arrangements for timely payments of bills, VAT, rent, salaries, financial liabilities, issue of fee notes, and effective pursuing of fees and petty cash. There should be clear policies for all areas to do with finance which are known to all members and staff within the chambers. III. Financial system information and analysis shall be fed into organisational and forward plans. Financial information should be collected in an agreed format for forward planning purposes. IV. There shall be reviews to monitor and revise plans, set targets, plan initiatives and review procedures to ensure financial control shall be carried out. On a regular basis (probably monthly) the financial situation of the chambers should be reviewed and action taken to meet objectives. This should include the solvency of the chambers. V. There shall be an annual budget for expenditure. There should be an annual budget for all forms of expenditure that the chambers is likely to incur. VI. VII. VIII. IX. There shall be an annual account of income and expenditure. There shall be an annual balance sheet. Analysis of income and work billed is carried out and acted upon. List of aged debtors shall be produced and acted upon. There should be a regular analysis for each barrister of the work billed and income received. Acceptable time scales should be agreed, with a recommendation that this is at least quarterly by: Client Barrister Work type. X. Reconciliation of bank statements shall be carried out. XI. Monthly statements of income, expenditure, fees paid and unpaid shall be monitored and acted upon. This should be carried out in connection with profit and loss. This should be carried out and reported to the regular management meetings. Page 7

8 SECTION 4 PREMISES AND FACILITIES Requirements I. Appropriate resources shall be available for the intended delivery of services. This should be discussed and reviewed at management meetings. II. III. IV. Premises shall be accessible and meet all legal requirements and be safe and secure. Responsibilities for different activities shall be defined. Purchasing policies and authorities shall be implemented. Access to adequate and up to date library facilities shall be available. Premises should be reviewed annually to ensure they meet legal requirements. Responsibilities should be allocated where necessary for different activities within the chambers in connection with the premises. Authorities for purchasing should be defined and documented. Library facilities should be available either in hard copy or electronic. There should be an inventory of the information available that is kept up to date. V. Arrangements shall be available for the organisation, control and review of measures required under Health and Safety legislation. This should be reviewed regularly and should include First Aid. VI. A crisis contingency plan shall be available. This should include the contact details for all members and staff of the chambers. A copy of the plan should be maintained on and off site. VII. Procedures shall be available for nominated staff to back up copies of computer records for storage off site. Records should regularly be backed up, usually on a daily basis. Tapes should be taken off site. VIII. There shall be regular reviews of the anti virus system. Anti virus software should be regularly updated. Page 8

9 SECTION 5 PERSONNEL AND EQUAL OPPORTUNITIES Requirement I. Procedures for staff recruitment, induction, sickness reporting, disciplinary and grievance shall be documented and implemented. This will probably be done through an employee handbook. II. III. IV. Recruitment, employment and client care practices conform to antidiscrimination legislation and equal opportunities policy. There shall be written contracts of employment and/or service. All personnel shall have a written job description and an understanding of the duties and conduct expected of them. Job vacancies should be publicised appropriately and the policies should be made clear within chambers. This will apply to all employed staff. All staff should have a written job description which clearly explains their roles and responsibilities. V. There shall be evidence that equal opportunities policies and procedures are implemented and reviewed in all relevant areas. VI. Annual staff appraisals shall be conducted and documented. How does the chambers show its commitment to EO and how is this reviewed. There should be an opportunity for staff to put forward their views. VII. There is an Equal Opportunities policy setting out chambers policies and procedures relating to recruitment, disability, access, training, practice development, monitoring etc. These need not all be in the same document. VIII. Training needs (including equal opportunities training where appropriate) are identified and acted upon for staff and barristers. There should be an annual review of training needs for all staff and members of chambers. These needs should then be acted upon. IX. There shall be evidence of monitoring and follow up action on recruitment and career development by gender, ethnicity and disability. Monitoring information should be collated and acted upon. X. Staff dealing with fees shall be aware of the provisions of the Enterprise Act 2002 relating to cartel offences and prohibiting price fixing. A record shall be kept demonstrating that staff have been notified of the relevant provisions of the Act. Page 9

10 SECTION 5A PUPILLAGE ADMINISTRATION AND TENANCY SELECTION Requirements I. The number and type of pupillage offered, funding and selection procedures shall be set out in writing. There should be a clearly defined process for pupillage, which states how decisions are made on the number etc of pupils each year. II. III. IV. Role and duties of pupil supervisors and pupils shall be set out in writing. Method of fair distribution of work for pupils shall be established, implemented and reviewed and recorded. There shall be objective assessments of pupils progress at agreed intervals. These should be in line with the Bar Council s recommendations. There should be a system in place for the fair distribution of work to pupils. Pupils should be made aware of this. These reviews should be a 2 way communications process which give the pupils a chance for their feedback. V. The selection policy and procedures for tenants shall be clearly defined. When pupils have completed their pupillage they should be made aware of the process by which tenancies are, or are not, offered. VI. Pupillage recruitment, management of pupillage and tenancy selection shall be reviewed annually. This review should be included in a management meeting and recorded. Page 10