DOOTSONS LLP OFFICE MANUAL
Contents
1 INTRODUCTION
1.1 The Office Manual
1.1.1 Use of The Manual
1.1.2 Updates to The Manual
1.1.3 Feedback on This Manual
1.1.4 Forms and Templates
Appendix 1A – Feedback on Office Manual
2 GENERAL
2.1 Our Firm
2.2 Statement of Purpose of the Firm
2.3 Services Offered
2.4 Business Plan
2.4.1 Financial Management
2.4.2 Office Insurance
2.4.3 Professional Indemnity Insurance
2.5 Management Structure
2.6 Firm Structure
2.6.1 Departments
2.6.2 Departmental Meetings
2.7 Supervisory Structure
Appendix 2A – Management Structure
Appendix 2B – Heads and Assistant Heads of Departments
3 PERSONNEL RELATIONS
3.1 Equality and Diversity
3.2 Contracts of Employment Riliance recommend
3.2.1 Variation to Contract of Employment
3.2.2 Flexible Working Policy
3.3 Job Description
3.4 Recruitment Policies
3.4.1 Recruitment of Solicitor/Lawyer
3.4.2 Recruitment of Legal Executive / Legal Support or Admin Staff
3.4.3 Personnel Records Storage, Retention and Destruction Riliance recommend
3.4.3.1 Storage
3.4.3.2 Retention and Destruction
3.5 Induction Programme
3.6 Personnel Appraisal Scheme
3.6.1 Guiding Principles of Personnel Appraisal
3.6.2 Appraisal Responsibility
3.6.3 Personnel Appraisal Forms & Procedures
3.6.4 Personnel Appraisal Report
3.6.5 Appraisal Follow Up Action
3.7 Training and Development Programme
3.7.1 Objectives of Training Programme
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3.7.2 Training of Partners and Fee Earners
3.7.3 Training of Support Staff
3.7.4 Training Responsibility
3.7.5 Identification of Training Needs
3.7.6 Day Release Courses
3.7.7 Training Attendance & Records
3.7.8 Legal Reference Materials
3.7.9 Use of Counsel, Experts and Outside Services
3.7.9.1 Considerations for Recommending Counsel or Expert
3.7.9.2 Procedure for Recommending Counsel or Expert
3.7.9.3 Counsel and the Client
3.7.9.4 Notifying Counsel or Expert
3.7.9.5 Advice from Counsel or Expert
3.7.9.6 Reviewing Counsel Advice
3.7.9.7 Using Counsel or Expert not on Approved List
3.8 Feedback
3.8.1 Staff or Departmental Meetings
3.8.2 Staff Survey Form
Appendix 3A – Equality and Diversity Policy Riliance recommend
Appendix 3B – Job Description (Solicitor) Riliance recommend
Appendix 3C - Job description (Legal Secretary)
Appendix 3D - Job description (Receptionist / Admin Assistant)
Appendix 3E - Job description (Cashier / Credit Control)
Appendix 3F - Job description (Legal Assistant / Legal Clerk)
Appendix 3G - Job description (Senior Solicitor)
Appendix 3H - Job description (Partner / Head of Department)
Appendix 3I – Interview Assessment Form
Appendix 3J – Request for Reference letter
Appendix 3K - Request for Professional Regulator
Appendix 3L – Induction Checklist
Appendix 3M – Pre-Appraisal Questionnaire
Appendix 3N – Personnel Appraisal Report
Appendix 3O - Staff Training Request Form
Appendix 3P – Course Evaluation Form
Appendix 3Q – Staff Survey Form
Appendix 3R - Flexible Working Policy and Application Form
Appendix 3S – Data Record Storage Retention and Destruction
4 OFFICE ADMINISTRATION
4.1 The Office Manager
4.2 Office Premises
4.2.1 Security of Office Premises
4.2.2 Power Off of Equipment
4.2.3 Health & Safety at Work
4.2.4 Fire Safety
4.2.5 Security of Personal Belongings
4.2.6 No Smoking Policy
4.3 Stationery
4.4 Office Equipment
4.5 Booking Of Meeting Rooms
4.6 Post, Recorded Delivery, DX, Fax & Courier
4.6.1.1 Incoming Mail (Post)
4.6.1.2 Incoming E-mail
4.6.1.3 Incoming Fax
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4.6.2.1 Outgoing Mail (Post)
4.6.2.2 Outgoing E-mail (and E-Mail Post)
4.6.2.3 Recorded Delivery
4.6.2.4 Sending DX post
4.6.2.5 Outgoing Fax
4.6.2.6 Courier Services
4.7 Telephone System and Directory
4.7.1 Extension Mobility
4.8 Application for Leave from the Office
4.8.1 Annual Leave / Holidays
4.8.2 Compassionate Leave on Special Grounds (Bereavement)
4.8.3 Leave of Absence for Official Reasons
4.8.4 Leave of Absence for Medical Reasons (Authorised Absence)
4.8.5 Sick Leave
4.8.5.1 Sick Leave Notification Procedure
4.8.5.2 Attendance Bonus
4.8.5.3 Minimum Attendance Standards
4.8.6 Parental Leave
4.8.7 Share Parental Leave
4.9 Additional Hours / Overtime pay (support staff/clerks only)
4.10 Travel & Other Expense Claims
4.11 Jury Service
Appendix 4A - Office Key / FOB Allocation Form
Appendix 4B - Recorded Delivery Form
Appendix 4C - Cisco 7912 User Phone Guide
Appendix 4D - Cisco 7960 User Phone Guide
Appendix 4E - Cisco Voicemail
Appendix 4F - Cisco Extension Mobility
Appendix 4G - Annual Leave Application Form
Appendix 4H - Sick / Authorised Absence Form
Appendix 4I - Additional Hours Claim Form
Appendix 4J - Parental Leave policy
Appendix 4K - Jury Service Policy and Authorisation
Appendix 4L – Annual Leave Policy
Appendix 4M - Parental Leave Policy
5 TECHNOLOGY SYSTEMS & USE
5.1 IT Department & Manager
5.2 Security of IT Systems
5.2.1 Passwords
5.2.2 Data Backup Policies
5.2.3 No Unauthorised Software Programmes
5.2.4 Download or installation of 3rd Party Materials
5.2.5 Anti-Virus Software
5.2.6 Security Risks
5.3 Use Of The Firm’s IT Systems
5.3.1 Misuse of The Firm’s IT Systems
5.3.2 Reporting Faults
5.3.2.1 Reporting Faults on Copiers
5.3.3 Inappropriate Use
5.3.4 Personal Use
5.4 Email Use Policy
5.4.1 General Email Use
5.4.2 Potential Torts and Other Liability
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5.4.3 Client Confidentiality
5.4.4
5.4.5 Signatures on Outgoing Emails
5.4.6 Language in Email Communications
5.4.7
5.4.8 No undertakings by Email
“Out of Office” Response
Filing of Email Messages
5.5 Internet Use Policy
5.5.1 Acceptable Use
5.5.2 Subscription to Online Service Providers
5.6 Website Control Policy / Management RILIANCE RECOMMEND
5.6.1 Person with overall responsibility RILIANCE RECOMMEND
5.6.2 Maintenance and hosting
5.6.3 Content responsibility
5.6.4 Our Website and third party links
5.6.5 Improving or ideas for our Website
5.7 Social Media
5.7.1 Introduction
5.7.2 General Policy re Personal Use
5.7.3 User Privacy
5.7.4 Types of Social Media
5.7.5 Application of This Policy
5.7.6 Social Media and our firm
5.7.7 Social Media and our staff
5.7.7.1 Policy regarding personal use of social media
5.7.8 Breaches of this policy
5.8 Intermittent Faults & Disaster Recovery Plan
5.8.1 Intermittent Faults (Hardware /Software)
5.8.2 Disaster Recovery
Appendix 5A - Internet and Email Policy
Appendix 5B - Outgoing Email Signature
Appendix 5C – Out Of Office Automated Response
Appendix 5D – Subscriptions to Online Service Providers
Appendix 5E – Data Backup and Disaster Recovery Policy
Appendix 5F – Social Media Policy
6 OUTSOURCED SERVICES
Appendix 6A Outsourced Services
7 FINANCIAL MANAGEMENT
7.1 Responsibility for Financial Management
7.1.1 Management Structure
7.1.2 Accounts / Credit Control Department Personnel
7.1.3 The Firm’s Account /Matter Management System (EVOLUTION)
7.2 Internal Financial Procedures and Controls
7.2.1 Monies Received
7.2.1.1 Cheques/Cash
7.2.1.2 Receipt of cash at Culcheth and Newton (transfer to Leigh)
7.2.1.3 BACS/CHAPS Payments
7.2.1.4 Verification Procedure
7.2.1.5 Cheque Transit Register
7.2.1.6 Cheque Payments
7.2.1.7 Payments out of Client Monies
7.2.1.8 Signing of Cheques
7.2.1.9 Amendments to Cheques
7.2.1.10 General Expenses
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7.2.1.11 Petty Cash
7.2.1.12 Billing / Invoicing
7.2.1.13 Write-Offs
7.2.1.14 Investigation and Clearance of Ledger Queries
7.2.1.15 Posting into Ledgers
7.2.1.16 Bank Reconciliation
7.2.1.17 Internet Banking
7.2.1.18 Documentation
7.2.1.19 Budgeting and Cash Flow Projections
7.3 Time-Recording
7.3.1 Time-Recording System
7.3.2 Time-Recording Procedures
7.3.2.1 Time-Recording Activity Codes
7.3.2.2 Time Recording Procedure Guide
7.3.2.3 Updating your timelines
7.3.2.4 Unknown Matters
7.4 Credit Management
7.4.1 Credit Collection Procedure
7.4.2 Client Balances Report
7.4.3 Managing Creditors and Suppliers
7.5 Management of Clients’ Accounts
7.5.1 Familiarity with the Governing Rules
7.5.2 Access to Clients’ Accounts Balances information
7.5.3 Transfer of monies from Clients’ Accounts to Office Accounts
7.5.4 Review of Clients’ Accounts Balances
7.6 Management Reports
7.6.1 Monthly Reports
7.6.2 Annual Reports
Appendix 7A – TTOUT Form
Appendix 7B – TTIN Form
Appendix 7C – Daily Cash / Cheque Form
Appendix 7D - Balance Write Off Form
Appendix 7E - Third Party Payee Cheque Authorisation Form
8 RISK MANAGEMENT
8.1 Operational Risk Management
8.2 Annual Risk Audit
8.3 Generic Risks
8.4 Generally Acceptable Categories of Work
8.5 Generally Unacceptable Categories of Work
8.6 Reporting Risk
8.6.1 Before
8.6.3 After
8.6.2 During
8.7 Money Laundering Risks
8.7.1 Anti Money Laundering Officer (AMLO)
8.7.2 Client Verification
8.7.2.1 Client Identification
8.7.2.2 All Clients
8.7.2.3 Reporting circumstances
8.7.2.4 Payments of cash into the firm
8.7.2.5 Queries
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8.7.3 Client Verification
8.7.3.1 Individuals
8.7.3.2 Partnerships/Unincorporated Businesses
8.7.3.3 Trusts
8.7.3.4 Corporate Clients
8.7.4 Instructions to Act Urgently
8.7.5 Client Account and Cash
8.7.6 Reporting
8.7.7 Types of Suspect Businesses
8.7.7.1 Cheques/Bank Drafts
8.7.7.2 False Companies
8.7.7.3 Corporate Contracts
8.7.7.4 Cash-Rich Businesses
8.7.7.5 Property
8.7.7.6 Foreign Properties
8.7.7.7 Investments
8.7.7.8 Cancelled Transactions
8.7.7.9 Not-for-Profit Organisations
8.7.8 Examples of Potentially Suspicious Circumstances
8.7.8.1 Unusual settlement/completion requests
8.7.8.2 Unusual Instructions
8.7.8.3 Large Sums of Cash
8.7.8.4 The Secretive Client
8.7.8.5 The Over Complex Transaction
8.7.8.6 Uneconomic Businesses
Appendix 8A Risk Assessment Form
Appendix 8B Customer Due Diligence Form
Appendix 8C Money Laundering Report Form
9 CLIENT CARE
9.1 Key Elements of our Service
9.1.1 Expertise
9.1.2 Confidentiality
9.1.3 Commitment
9.1.4 Courtesy
9.1.5 Communication
9.1.6 Professional Conduct
9.2 The Reception
9.2.1 Role of the Receptionist
9.2.2 Client Confidentiality in the Reception Area
9.3 Appropriate Dress and Demeanour
9.4 Solicitor / Fee Earner Responsibilities
9.5 Telephone Manners
9.5.1 Responsibilities of the Receptionist (Telephone Switchboard)
9.5.2 Responsibilities of Staff (Individual/Direct Dial Extensions)
9.6 Addressing Clients in Correspondence
9.7 Client Complaints
9.7.1 Preventing a Complaint
9.7.2 Dealing with a Complaint
9.7.2.1 What is a complaint
9.7.2.2 Complaints Partner
9.7.2.3 Awareness of Complaints Procedure
9.7.2.4 Complaints Received by The Legal Ombudsman
9.7.2.5 Incoming Post
9.7.2.6 Outset of Matter
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9.7.2.7 Referring a Client to The Legal Ombudsman
9.7.3 Documentation
9.7.3.1 Central Register
9.7.3.2 Recording the Complaint
9.7.3.3 Verbal Explanation
9.7.3.4 Outline Details of Complaint
9.7.3.5 Personnel Support
9.7.4 Complaints made to the Legal Ombudsman
9.7.5 Internal Complaints Review
Appendix 9A - Complaint Procedure Policy
Appendix 9B - Client’s Complaint Form
10 CASE MANAGEMENT
10.1
10.2 Procedures when the first appointment is held outside the office
10.3
10.4 Taking Instructions
10.5 10.2.15 Key dates
10.6
Case Progress
10.7 10.3.7 Matter progress
11.0 Final Review and Aftercare
10.4.4 File Closure procedure
Acceptance and Rejection of Instructions
Conflict of Interest
10.6.2 File opening
10.6.3 File Colours and Organisation
10.6.4 File Summary Sheets
Undertakings On Behalf Of The Firm
10.7.1 Routine Undertakings
10.7.2 Non-Routine Undertakings
Appendix 10A Cancellations of Contracts in a Consumer’s Home
Appendix 10B Cancellation Notice of Contracts in Consumer Home
Appendix 10C Authority to Cancel Contract in Consumer Home
Appendix 10D File Opening & Summary Sheet
Appendix 10E Fee Earner Codes
MEDIATION
This section is included but under review by AXP before final amendments if any
12.0 FILE MANAGEMENT
12.0
11.1 Acceptance and Rejection of Instructions
11.2 Conflict of interest, Client Verification and File Opening
11.3 File Summary Sheets
11.4 Taking Instructions
11.5 Key Dates
11.6 Case Progress
11.7 Undertakings on behalf of the Firm
11.8 Case Completion
Appendix 11A – File Opening Form
Appendix 11B – File Summary Sheet
Appendix 11C – Attendance Note
Appendix 11D – Risk Review Form
Appendix 11E – Notification to Central Undertakings Register …..
Appendix 11F – File Closure Checklist
13 FILE REVIEWS
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Appendix 13A File Review Policy
14 THIRD PARTY SERVICE PROVIDERS
Appendix 14A – Service Provider Form
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Updated version of previous Office Manual
Section: 1 – INTRODUCTION
Version: 1
Date: 23/12/14
1 INTRODUCTION
1.1 THE OFFICE MANUAL
The purpose of this manual is to–
a. Provide a clear statement of the Firm’s objectives and operating principles;
b. Describe the scope of responsibility of the main roles in the Firm; and
c. Prescribe the processes and procedures that govern all activity within the Firm.
It is intended as an introduction to the Firm for the new members of staff and as a point of
reference for all. The success of the Firm depends on each staff member of the knowing what
is expected of them and carrying out their responsibilities with dedication and
professionalism. Our continuing reputation as a Firm that delivers excellent standards of
service delivery and client care is critical if we are to retain existing clients and win new
ones.
To show our commitment towards achieving and maintaining those standards, the Firm is working
towards LEXCEL accreditation by the Law Society. We have already achieved accreditation with
the Law Society in two specific areas which are the Conveyancing Quality Scheme and Family Law
Panel. Janet Calvert and Rebecca Stringfellow, solicitors, are also members of STEP (Society of
Trust and Estate Practitioners).
We intend to obtain accreditation under the Wills and Inheritance Quality Scheme, WIQS, and
under LEXCEL for practice management.
As a staff member of the Firm, we expect to receive your support and compliance with the policies
and procedures set down in this Manual.
1.1.1 Use of this Manual
A copy of the Office Manual is issued to every new member joining the firm. An electronic
copy of the Manual is available as a shortcut on your PC desktop screen.
Hard copies of the manual for reference only, are freely available at each office reception.
You are expected to be familiar with the policies and procedures set out in this Manual.
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1.1.2 Updates to the Manual
To ensure that you refer only to the most up-to-date version of the Manual, you are advised to refer
to the electronic copy (via the shortcut on your PC desktop) or the hard copy at each Reception.
The Manual will be reviewed and updated every [12 months] or sooner, if the need arises. Only
Steve Rayson, with the consent of the Managing Partner, Andrew Stockton, is authorised to make
changes to the Manual; and it is his responsibility to ensure that the electronic copy and the hard
copies at the office receptions are up-to-date and contain the most recent amendments.
An e-mail of each amendment (including any new policies and procedures) and the date on which
it will come/came into force will be issued to every member of staff who must initial an
acknowledgement sheet to confirm that it has been brought to his / her attention.
1.1.3 Feedback on this Manual
Your feedback on the Manual is encouraged. To submit your feedback, please complete
Appendix 1A - Feedback On The Office Manual and return the completed form to Andrew
Stockton.
The feedback will then be reviewed and if approved by the Partners the necessary amendment/s
will be made by Steve Rayson and all staff e-mailed with notification of the latest update.
1.1.4 Forms and Templates
The Forms and Templates referred to in each section of the Manual are attached as appendices at
the end of the specific section unless they refer to PDF documents/user guides not contained in
this manual but accessible by clicking on the relevant hyperlink within the manual.
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Appendix 1A – FEEDBACK ON THE OFFICE MANUAL
FEEDBACK ON THE OFFICE MANUAL
Name:
Date:
Position:
Department:
Section of Office
Manual:
Recommendation:
Attachments: YES NO
Signature: 11 of 221
DOOTSONS LLP OFFICE MANUAL 19-03-15
Updated version of previous Office Manual
Section: 2 – GENERAL
Version: 1
Date: 23/12/14
2 GENERAL
2.1 OUR FIRM
Brief History and Profile of the Firm
The firm of Dootsons was established in 1895 when Thomas Robert Dootson opened his practice
from an office overlooking Market Place in Leigh Town Centre. From the outset the firm was deeply
involved in the local community and local business.
The firm became known by the name of Dootson Eckersley Hope on 1st May 1998 on the merger
of the two firms of Dootsons and Eckersley Hope (incorporating John C. Wilkinson). Dootsons
had two offices, one in Leigh and one in Culcheth. Eckersley Hope also had two offices, one in
Atherton and another in Leigh. The Leigh offices were close to each other in Church Street and on
merging the Partners decided to amalgamate both into one at numbers 61/63. The firm was further
expanded in January 2000 by the incorporation of Unsworths which also had an office in Church
Street which was later closed in January 2003. The firm became an incorporated Firm as Dootsons
LLP as from 1st May 2006.
On October 1 2012 the firm acquired the practice of Wilson, Bullough, Walton & Knowles of
Earlestown and in January 2013 the business was transferred to new premises in Newton le
Willows.
The Firm has no liability for pre 1st October 2012 Wilson Bullough Walton & Knowles work.
The firm currently has three main office locations, Leigh, Culcheth and Newton-Le-Willows with
a satellite office located in Hayes Accountants, Atherton. The satellite office utilises a meeting
room for client appointments in the Atherton area. Leigh and Newton office use the same DX box
number.
Leigh office Culcheth office Newton office
61 - 63 Church Street 23 - 25 Jackson Avenue 141 High Street
Leigh Culcheth Newton-Le-Willows
Lancashire Warrington Merseyside
WN7 1AY WA3 4EJ WA12 9SQ
DX:22507 Leigh DX:13837 Culcheth DX: 22507 Leigh
Atherton satellite office
6 Eckersley Precinct
Alma Street
Atherton
M46 0DR
2.2 STATEMENT OF PURPOSE OF THE FIRM
The Firm is committed to its extensive private client base and involvement in the business
community and strives to provide a quality service. The Firm carries out work in residential and
Commercial property, Wills, Trust and Probate, Family, Company & Commercial, a limited amount
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of Personal injury and Litigation (the latter generally for existing clients and/or arising from work in
the other departments). In 2013 Dootsons launched its Mediation service.
The partners plan for the future identifies the main goals of the firm as:
To develop and maintain a reputation for the provision of specialist and quality professional
services in all its core areas.
To expand its company and commercial department
To continue to provide residential conveyancing services to the local community (and
beyond) and to develop such work particularly from internal referrals from other
departments within the firm.
To maximise the potential in the marketplace locally for complex/high value probate, trusts
and tax work in the Wills Trusts and Probate department and to expand the department.
To continue to provide a specialist and privately funded family law service to the local
community (and beyond) and to expand the services provided with other connected fields
eg collaborative law.
To continue to provide and develop those litigation services including personal injury for our
existing clients and where such work arises in the course of other work and it is within our
knowledge & expertise.
We plan to succeed in these goals by:
Consistently providing an excellent service to our clients. We view this as crucial. Most of
our work comes from clients who have instructed us in the past or who have been
recommended by those previous clients or professionals such as estate agents or
accountants. Our record of service and reputation is therefore vital to the future success of
the firm.
Developing relationships with potential and existing business introducers to convince them
that our services will enhance their service and reputation and by delivering on that
promise.
By conveying the right impression to our clients. This includes the greeting which the client
receives in reception, the efficiency with which we deal with telephone calls, the quality of
correspondence and the avoidance of any form of delay. We are a professional firm and
must convey that we meet high professional standards. This includes the following:
Courtesy : our clients must be treated with consideration and respect
Commitment : our clients expect us to attach urgency to dealing with their instructions
Knowledge : fee earners must have the necessary expertise
Premises : the office must reflect the values which are important to us
Dress : individuals must project the right professional image through dressing in a
way appropriate to a professional firm
Confidentiality : all clients must feel sure that their dealings with us will be treated in strict
confidence
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To continue to upgrade the firm's computer system and other technologies as appropriate
but to include case management to those departments where it is felt it will deliver
improvement in efficiency and/or cost effectiveness and the use of other technology.
To develop a culture amongst the staff which fosters enthusiasm, effective team-working,
acceptance of responsibility and the contribution of innovative ideas.
2.3 SERVICES OFFERED
The Firm aims to offer a high quality legal service and very high standards of client care to all its
clients. Services are offered in the following area:
Company and Commercial including partnerships and taxation matters relating to those
areas. Non-contentious employment. Commercial property work. A small amount of
commercial litigation.
Commercial Dispute Resolution
Family including divorce, separation of cohabiting couples, civil partnership dissolution,
children law – residence, contact, parental responsibility, pre-nuptial agreements and
cohabitation agreements.
Mediation (which was launched in November 2013)
Domestic Conveyancing.
Wills, Trusts, Probate and Taxation.
Litigation including landlord and tenant; probate, contract disputes, debt collection.
The services are provided from three main offices located at Leigh, Culcheth, Newton le Willows
and a satellite office at Atherton, by use of interview facilities at Hayes and Co’s offices.
The offices are open from 9am to 5pm Monday to Friday with pre-organised meetings at Leigh and
Culcheth available in the evening.
2.4 BUSINESS PLAN
The members maintain a comprehensive twelve month (Annual) Business Plan which is linked to a
budget. The Business Plan is reviewed regularly by the Members. The results of the reviews are
noted by the Managing Partner.
An outline plan looking at least two years ahead is also linked to the Annual Business Plan.
Although the Business Plan is confidential to the partners, employees are kept informed of future
plans and direction where appropriate.
2.4.1 Financial Management
The Firm maintains a computerised accounts system which enables it to monitor its financial
performance. Further development of programmes such as case management is under review.
The practice has the management and financial information necessary for monitoring income,
expenditure and cost for forward planning and employs a management Accountant to prepare and
advise on monthly management accounts and cash flow forecasts.
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2.4.2 Office Insurance
The office insurance for the practice, for the period 27th April 2014 – 26th April 2015 is covered by
AON Elite Office Insurance.
Click this link to view the policy 2014 – 2015 Policy No – OCELIM012441
2.4.3 Professional Indemnity Insurance
The practice maintains the Professional Indemnity Insurance to the appropriate rate in accordance
with S.37 of the Solicitors Act 1974. Professional Indemnity Insurance is applicable from 1st
October each year and it is the firm’s policy to obtain quotes from various PI brokers to achieve a
competitive price and comprehensive cover.
For the period 1st October 2014 – 31st March 2016 our PI cover is with AXIS Speciality Europe via
WILLIS (formerly known as Prime Risk Solutions PI Broker). Please note that the current cover is
for 18 months. The Excess Layer policy is with Newline Syndicate 1218 at Lloyd’s.
Click this link to view the policy Oct 2014 – Mar 2016 Policy No - B080123821P14
Click this link to view the Excess Layer policy Oct 2014 – Mar 2016 Policy No - 55252214A000
2.5 MANAGEMENT STRUCTURE & RESPONSIBILITIES
The Managing Partner of the firm is: Andrew Stockton
The Compliance Officer & Finance and Administration (COFA) is: Andrew Stockton
Information Technology Partner is: Andrew Stockton
Anti-Money Laundering officer is: Andrew Stockton
Training Partner is: Andrew Stockton
The Senior Partner of the firm is: Ian Howells
The Compliance Officer Legal Practice (COLP) is: Ian Howells
Client Care / Complaints officer is: Ian Howells
The management of the practice is principally organised through partner meetings which are held
at least every month and usually weekly.
The Management Accountants SummIT - Andrew Jackson / Laura Dowling
This role is on a part time basis and is usually covered
every Tuesday or Friday
The Accountants firm is: Jackson Stephen LLP (Peter Atkinson) who conduct
the Solicitors Accounts Rules audit
IT / Systems Manager is: Steve Rayson
The organisation chart sets out the chain of management responsibility and accountability of the
Firm. See Appendix 2A Management Structure
2.6 FIRM STRUCTURE
2.6.1 Departments
The Practice is organised into six Departments according to the areas of practice specialisation.
These are:
Commercial, Conveyancing, Family, Wills Trust & Probate, Mediation; Litigation.
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Each Heads of Department is responsible for:
a. acceptance or rejection of instructions (risk management), including the discontinuation of
matters;
b. the levels of service delivery;
c. supervision of and providing guidance to the solicitors’ and members of staff;
d. development of expertise and business;
e. financial management;
f. for their specific department.
2.6.2 Departmental Meetings
Departmental meetings involving the solicitors and members of staff of that department will be
conducted at regular intervals presided over by the Head of Department. These meetings are
intended to be a forum for exchange of news, information and views relating to work in general as
well as the practices of the Practice. Your feedback on management policies and procedures are
welcome and you should take this opportunity to share them.
2.7 SUPERVISORY STRUCTURE
Every member of the Practice shall be assigned a direct supervisor. The direct supervisor for each
fee-earner shall be a Head of Department or Member of the Firm who bears the following
responsibilities in relation to that fee-earner:
a. Supervise and guide the fee-earner
b. Conduct file reviews
c. Monitor the workload of the fee-earner to ensure that it is appropriate
d. Determine the acceptance or rejections of instructions and reallocation of work if necessary
(risk management)
e. Assist the fee-earner to deal with clients’ complaints raised against the fee-earner
f. Approval of requests for leave and expense claims
The name of the supervisor/line manager/head of department for each staff member of the Firm
shall be specified in the Job Description for all personnel commencing employment after
publication of this manual. Current employees, as at the date of issue of this manual, can refer to
the organisation chart.
DOOTSONS LLP OFFICE MANUAL 19-03-15 16 of 221
Appendix 2A – MANAGEMENT STRUCTURE
Managing Partner / COFA / Finance / IT
Partner / Anti-Money Laundering officer /
Training partner
Head of Department – Commercial
Head of Department – Wills Trust Probate
Andrew Stockton
Practice Accountant
Andrew Jackson / Laura Dowling
COMMERCIAL
Fee Earners Secretaries
Sarah Williams Joan Sanders
Lisa Angell
WILLS TRUST & PROBATE
Fee Earners Secretaries
Janet Calvert Christine Williams
Rebecca Stringfellow Janet Weston
Alexandra Nutter Kerry Eastman
Patricia Boardman Jacqui Wales
Pauline Mannion Pauline Dentith
Fee Earners LITIGATION
Paul Hatton Secretaries
Susan Bourne
DOOTSONS LLP OFFICE MANUAL 19-03-15 17 of 221
Senior Partner / COLP / Complaints Partner
Head of Department – Conveyancing
Head of Department – Family
Ian Howells
IT / Systems Manager / Admin
Steve Rayson
CONVEYANCING ADMIN
Clerks Secretaries Reception Cashiers
Carole Burns Janine Harrison
Beryl Murray (Lic Conv) Helen Cooke Angela Collier Susan Baines
Pauline Dentith
Amanda Robertson Janine Jones
Sandra Cornwell
Geraldine Davy
Nerys Crompton
Adele Dixon
FAMILY/MEDIATION
Fee Earners Secretaries
s Ainsley Pritchard Claire Houlton
Appendix 2B – HEADS & ASSISTANT HEADS OF DEPARTMENTS
Heads & Assistant Heads of Departments
DEPARTMENT HEAD ASSISTANT
Commercial Andrew Stockton Sarah Williams
Wills Trust & Probate Andrew Stockton Janet Calvert
Conveyancing Ian Howells
Ainsley Pritchard
Family Ian Howells Ainsley Pritchard
Mediation Ian Howells Paul Hatton
Commercial Dispute Andrew Stockton
Resolution / Litigation
DOOTSONS LLP OFFICE MANUAL 19-03-15 18 of 221
Updated version of previous Office Manual
Section: 3 – PERSONNEL RELATIONS
Version: 1
Date: 23/12/14
3 PERSONNEL RELATIONS
This section sets out the policies and procedures of the Firm relating to:-
a. Equality & Diversity Policy
b. Contracts of Employment & Job Description
c. Recruitment Policies
d. Induction Programmes
e. Personnel Appraisal
f. Personnel Training and Development Programmes
g. Feedback and Communication Policies
3.1 EQUALITY & DIVERSITY
Dootsons LLP is committed to eliminating discrimination and encouraging equality and diversity
through its policies and procedures. This applies to the firm’s dealings with staff and Partners,
other solicitors, clients and third parties.
All employees, whether part-time, full-time or temporary, will be treated fairly and with respect.
Selection for employment, promotion, training or any other benefit will be on the basis of aptitude
and ability.
See Appendix 3A Equal Opportunities, Diversity & Non-Discrimination Policy,
3.2 CONTRACTS OF EMPLOYMENT
A written contract of employment stating the terms of employment must be made between the Firm
and each person joining the Firm. The contract of employment is effective from the first day of
employment.
All contracts of employment must contain the terms of employment relating to –
a. Remuneration
b. Scope of Duties
c. Annual Leave / Sick Leave Entitlement
d. Termination
3.2.1 Variation to contract
Any variation to the employee’s contract of employment must be approved by either Andrew
Stockton or Ian Howells. Once the changes have been approved a Letter of variation to contract
must be issued to the employee for them to sign. A copy of the signed variation to contract letter is
then placed in the employees personnel file.
DOOTSONS LLP OFFICE MANUAL 19-03-15 19 of 221
Cashiers must also be notified, by the ITSA Manager, of any change to an employee’s contract as
this may affect an employee’s pay and holiday entitlement.
3.2.2 Flexible working policy
In order to maintain the continuity of its business and the wellbeing of its staff, the Firm will
consider all requests for flexible working on their individual merits and assess them based on the
needs of both the business and the employee. However employees should note that granting a
flexible working request is neither an automatic nor statutory right.
See Appendix 3R Flexible Working Policy RILIANCE RECOMMEND
3.3 JOB DESCRIPTION
It is the policy of the Firm that all members of staff have agreed job descriptions. These may be
any one of the job descriptions contained in Appendix 3B – 3H of this Manual or specifically
agreed with the Managing Partner or ITSA Manager where the job description is more specifically
defined to a unique role.
To ensure that the job description is kept up-to-date, the staff member is invited to comment on the
appropriateness of his or her job description and to suggest any amendments. If considered
appropriate by the Managing Partner, the amended job description will then replace the current
description on the member’s personal file.
3.4 RECRUITMENT POLICIES
The recruitment procedure describes the process by which the skills and experience of
candidates is matched with the Practice’s specific requirements so that the right appointment will
be made. The firm will take steps to ensure that applications are attracted from both sexes and all
races and from people with disabilities, and regardless of sexual orientation, marital status, age, or
religion, and will ensure there are equal opportunities,, in all stages of the recruitment process.
See Appendix 3A Equal Opportunities, Diversity & Non-Discrimination Policy
3.4.1 Recruitment of Solicitor / Lawyer
Recruitment of a new solicitor / lawyer for the Firm requires approval of the Members. It is the
responsibility of the Managing Partner and ITSA Manager to draft the job description and the
person specification, if none already exist, which should contain –
a. Educational and Professional Qualifications
b. Professional Experience
c. Personal Skills (e.g, language, industry-specific expertise etc)
d. Personal qualifications of special importance
e. Personal circumstances and client following
The Managing Partner will determine the appropriate strategy for introducing a suitable field
of candidates but may include –
a. The Firm’s website
b. Press Advertising
c. Personal Recommendations
Selection methods are confined to interviews conducted by the Managing / Senior Partner / Head
of Department. The interviewer shall use the Interview Assessment Form.
DOOTSONS LLP OFFICE MANUAL 19-03-15 20 of 221
See Appendix 3I Interview Assessment Form
References are taken from the candidate at the interview and must be followed up by the ITSA
Manager / Head of Department. One reference may be verbal provided a full written note is made
identifying the person giving the reference and an accurate resume of the discussion. A Request
for Reference letter is sent to at least two nominated referees. See Appendix 3J Request for
Reference letter. Checks are also made with any professional regulator (e.g. Law Society / SRA
or ILEX) for any qualified staff, see Appendix 3K Request for Professional Regulator.
3.4.2 Recruitment of Legal Executive / Legal Support Staff / Admin Staff
Recruitment of a new non solicitor role for the Firm requires approval of the Members. The specific
requirements are specified in the job description. Suitable candidates can be fielded from a variety
of sources including:
a. The Firm’s website
b. Press Advertising
c. Personal Recommendations
Candidates will be asked to submit a letter of application along with a resume setting out the skills,
knowledge and experience they have relating to the requirements of the job. A shortlist will be
prepared from the written applications and interviews with candidates on the selection list will be
conducted by one of the Partners.
If a suitable candidate is decided upon, the Practice shall issue a letter of offer which must include
a probationary period of at least three months, save in exceptional circumstances.
3.4.3 Personnel Records Storage, Retention and Destruction RILIANCE recommend SR version
See Appendix 3S Data Record Storage Retention and Destruction for statutory and non
statutory retention periods.
The firm holds information relating to employees which is subject to the Data Protection Act (DPA)
1998 and the firm may process both manually and by electronic means personal and sensitive data
for the purpose of the administration and management of their employment and/or the business of
the firm.
The firm may transfer part of the information held on employees to third parties where we are
required to do so by operation of law.
We may also transfer information to third parties where it forms part of the administration of the
employer/employee relationship. We may transfer your information to companies and
organisations that carry out processing operations on our behalf, such as payroll companies and
brokers. We will only do this if the arrangement:
is made or evidenced in writing
the data processor (i.e payroll company) will act only on instruction from us
the data processor agrees to comply with the obligations equivalent to those imposed
on by us by the DPA
Perhaps we need to include a statement on employment contracts and also some form of written
consent by other data processors such as SummIT, WILLIS etc
Any individual whose data is held by the firm may make a ‘subject access request’ i.e. a request to
see what data is actually held about them. All such request should be made in writing to …… who
will arrange for the firm to comply promptly with the request.
DOOTSONS LLP OFFICE MANUAL 19-03-15 21 of 221
Personnel records and recruitment records, including unsuccessful candidates, will be retained for
a reasonable period of time. This will protect against discrimination claims and could assist in the
event that the firm needs to recruit for the advertised position again within a short period of time.
3.4.3.1 Storage
All candidates should be informed of how long their information will be retained for.
Maybe a note on interview forms is required
All applications and interview notes will be stored electronically and a hard copy file stored
in a lockable cabinet.
All successful applications and current employee files will be stored electronically and a
hard copy file stored in a lockable cabinet.
3.4.3.2 Retention and Destruction
All applications and interview notes for unsuccessful candidates will be stored for 6 months
after which they will be securely destroyed. Electronically stored copies will also be deleted
from the system after this time period.
Current employee personnel files and training records (including disciplinary records and
working time records) will be stored for 6 years after the employment ceases, after which
they will be securely destroyed. Electronically stored copies will also be deleted from the
system after this time period.
3.5 INDUCTION PROGRAMME
When a new person joins the Firm, it is important that he or she becomes familiar with its policies
and procedures as quickly as possible. The aim of the Induction Programme is to assist new
members of the Practice integrate into the Practice in the shortest possible time to ensure
continuity of service to our clients.
The Induction Programme is set out in the Induction Checklist, see Appendix 3L Induction
Checklist. This Checklist sets out the steps to be taken to familiarise the member with the
policies and procedures of the Firm. The induction procedures may also be applied to existing
members of the Firm when they take up a new position / role within the Firm. Induction of new staff
and lawyers is the responsibility of the ITSA Manager assisted by cashiers, with assistance from
other members of staff as necessary, who are responsible for making sure that all the items on the
Induction Checklist are completed. Anti-Money Laundering training is also carried out shortly after
commencement of employment.
A formal record of induction training is completed over a number of days and placed on the staff
member’s personal file. The record which is the same for all offices and tailored where necessary,
lists the main areas to be explained to the new employee. The most important introductions and
explanations are carried out on the day of arrival with other areas including accounts, telephone
system and computer system basic training taking place as soon as possible afterwards but in any
event within three working weeks. Anti Money laundering training is also carried out shortly after
commencement of employment.
The completed Induction Checklist shall be stored in the member’s personal file.
3.6 PERSONNEL APPRAISAL SCHEME
The Firm operates a Personnel Appraisal scheme for all members of the Firm. The scheme
involves an Appraisal Interview by the Head of Department or Member in which a review of the
past performance of the Appraised is undertaken and the goals and strategy for the year ahead are
established.
DOOTSONS LLP OFFICE MANUAL 19-03-15 22 of 221
With two exceptions, all partners and staff are generally appraised annually and generally around
the following months (formal appraisals suspended as at 2009):-
Fee-earners: April/May
Support staff: April/May
Partners: October/November
Trainee solicitors are appraised by their Principal/Head of Department on a continuing basis and
upon change of work area discipline (if applicable). Because it is expected that their career
development and experience will increase rapidly in the initial years after admission, assistant
solicitors who have been admitted for less than three years will also be appraised on an ongoing
basis.
The Head of Department or appropriate fee earner is the appraiser. Administrative support staff
are appraised by their fee earner/line manager.
All appraisals are reviewed by the Managing Partner or by another Partner to whom the Managing
Partner may from time to time delegate the task.
3.6.1 Guiding Principles of Personnel Appraisal Scheme
a. A very important part of the Personnel Appraisal Scheme is that objectives are agreed upon
which will provide a framework for the demands of the coming year, including your
continued development as a valued member of the Practice.
b. The Personnel Appraisal Scheme will operate within these Guiding Principles –
Open – full guidance on the scheme is given in this Manual so that both parties know how
it works. Nothing recorded by the Appraiser will be kept secret from the Appraised
as both parties will sign the completed Appraisal Report.
Confidential – only the Head of Department, Assistant Head of Department and
Management will have access to the Appraisal Report aside from the Appraiser and
Appraised.
Consistent – the same guiding principles will be used in the appraisal of all members of the
Practice. Fee-earners and staff will complete their respective Appraisal Forms.
Objective – the appraisal will focus on actual conduct, performance and personal attributes,
not on generalisations or personalities.
Self-Assessment – the member being appraised is encouraged to contribute fully to the
appraisal as a form of self-assessment; and to receive the comments constructively in a
problem-solving, objective-setting frame of mind.
Forward Looking – the greatest value of reviewing past performance is to identify the
successes which can be built on and problems that can be resolved by both the
Management and the member working together. The appraisal will also identify training
needs and new opportunities for personal development.
3.6.2 Appraisal Responsibility
The Appraisal will be conducted by the Head of Department or the Supervising Partner.
The Managing Partner will have the overall responsibility for administering the appraisal
procedures.
DOOTSONS LLP OFFICE MANUAL 19-03-15 23 of 221
3.6.3 Personnel Appraisal Forms & Procedures
These procedures define the scope of responsibilities and sets out the processes for conducting
the Personnel Appraisal.
A Pre-Appraisal Questionnaire will be issued to you a reasonable time before the date of your
appraisal interview. See Appendix 3M Pre-Appraisal Questionnaire
You will be kept informed of the date and time of the Appraisal Interview.
The Appraiser should ensure that sufficient time is allocated for the interview and that neither party
is interrupted during the course of the interview.
Using the Personnel Appraisal Report as a guide, the appraisal interview should cover these four
key elements:
a. Review of the Job Description
b. Review of the member’s achievements for the Past Year, including (for fee-earners) the
achievement of time recording, billing and fees collected targets for the year
c. Agreed objectives and plan for the next year
d. Identification of appropriate training or development needs.
3.6.4 Personnel Appraisal Report
On completion of the Appraisal Interview, the Appraiser w ill complete the Personnel Appraisal
Report. Two copies are signed - one copy is retained by the Practice and the other is given to you.
The Appraiser will hand the completed and signed report to the Managing Partner. This Report
will be filed in your personal file. See Appendix 3N Personnel Appraisal Report.
3.6.5 Appraisal Follow Up Action
It will be the immediate responsibility of the Appraiser to follow up with any action that was agreed
as part of the appraisal which may necessitate discussion with the Managing Partner or Training
Partner to be raised at the next management meeting. The Appraiser will keep you informed of
follow-up action being taken.
3.7 TRAINING AND DEVELOPMENT PROGRAMME
The Firm aims to maximise job satisfaction and performance levels of all its staff through
the provision of appropriate training.
3.7.1 Objectives of Training Programme
The Firm regards the training and development of all its staff as being vital to its future and to
achieving its goals. It is the policy of the Firm to ensure that all staff are competent to perform
the tasks that they are responsible for and that professional development is continually
addressed in a manner which is appropriate to a dynamic and progressive Firm.
3.7.2 Training of Partners and Fee Earners
The Firm is a member of the CLT and MBL subscription scheme and therefore qualifies for up to
50% discount on most training courses. External courses should generally be CLT or Liverpool
Law Society (LLS) unless there is a course of particular significance organised by another provider
at reasonable cost.
DOOTSONS LLP OFFICE MANUAL 19-03-15 24 of 221
Any fee-earner attending an external course will be encouraged to offer a lunchtime talk or at a
departmental meeting to explain the contents of the course or to circulate a synopsis of the content
of the course and copies of the course notes to the relevant Department.
3.7.3 Training of Support Staff
Support staff training on the firm’s computer system is conducted generally within the department
and organised by the Head of Department or ITSA Manager. General instruction on IT and
computers is available from the ITSA Manager, who may organise short courses on applicable
subjects from time to time
3.7.4 Training Responsibility
The Training Partner is responsible for planning, co-ordinating and overseeing the training needs
of each member of the Practice. He will also present an annual training budget and an
implementation plan for approval by the Partners.
Any further training requirements should be raised with the Head of Department and with Sue
Baines / Janine Harrison initially. Approval will then be sought from the Training Partner.
3.7.5 Identification of Training Needs
Training needs are identified at Personnel Appraisal interviews. Further training needs may also
be identified during normal business operations. All members of the Practice are encouraged
to be on the look out for appropriate training activities and courses that would further develop
their skills and professional expertise.
An application to attend an appropriate training course may be made to the Training Partner
by using the Staff Training Request Form. See Appendix 3O Staff Training Request Form
3.7.6 Day Release Courses
The partners are prepared to consider day or part-day release courses on merit from any member
of staff. Applications should be made through the Head of Department to the Managing Partner.
3.7.7 Training Attendance & Records
All staff who have been granted permission to attend a training course must be present for the
duration of the course. Upon completion of the training, you must confirm your attendance at the
course and complete a Course Evaluation Form. See Appendix 3P Course Evaluation Form.
Not sure this is currently done maybe it has just been forgotten about ADS note – needs a
reminder
3.7.8 Legal Reference Materials
The practice subscribes to the following on-line legal resources -
Lexis Nexis http://www.lexisnexis.com/uk/legal
Practical Law http://uk.practicallaw.com/login
For all relevant fee earners and support staff (if applicable) for the purpose of legal
reference/research. Each user is assigned a username and password for each of the online
services.
DOOTSONS LLP OFFICE MANUAL 19-03-15 25 of 221
THINK THIS NEXT SECTION (Counsel & Experts) REALLY NEEDS TO BE MOVED TO
SECTION 14– THIRD PARTY SERVICE PROVIDERS – so if you agree I will move it and re-
assign numbering and hyperlinks
3.7.9 Use of Counsel, Experts and Outside services
Not sure the bit about Ian below is correct as when I asked, he passed me on to AXP / PH so
I don’t believe he does review the lists. Therefore, should the Counsel & Experts process be
reviewed
The Firm maintains a Central List of Counsel and Experts which is reviewed regularly by Ian
Howells. All departments are responsible for passing information on counsel and other professional
contacts to be included in the list, via the Head of Department and Ian Howells for authorisation, to
Ian Howells’s secretary for inclusion in the document using a Counsel and Expert Form, see
Annex J. (NOT INCLUDED IN THIS MANUAL) DO WE STILL USE THIS FORM – NOT
CONVINCED WE DO The Central List is maintained in an electronic form for instant accessibility
to all staff.
The list identifies counsel and experts as follows:
A approved without reservation
B approved with reservation
C not approved for use by the firm
Click here to access Family Department Counsel & Experts Register
Click here to access Litigation Department Counsel & Experts Register
3.7.9.1 Considerations for Recommending Counsel or Expert
When considering the use of an expert the following criteria are the minimum to be used.
Recommendation
Quality of service
Expertise
Value for money
Speed of response
3.7.9.2 Procedure for Recommending Counsel or Expert
Those experts who have provided an effective service to the firm in the past will be annotated with
an ‘A’ in the Partner Authorisation box. When a new expert is first instructed, steps are to be taken
to verify their suitability, such as by checking their professional status or receiving a reliable
recommendation and a “Counsel and Expert” Form raised. The form should be completed fully
listing the name, address, telephone number and the field, expertise or reason for their use and
any notes applicable i.e. a medical expert may be thorough and excellent at providing a written
report but may be poor at performing in court.
These notes will then be entered in the list to enable fee earners in future when deciding which
expert to appoint for a particular matter.
If the services prove to be satisfactory the fee earner contracting the services completes the form
on how the counsel or expert performed, recommending that they be entered onto either the ‘A’ or
‘B’ list as appropriate. The form should be attached to the Experts/Counsel tag and a copy must
be delivered to the ITSA Manager.
NOT SURE HOW THE ABOVE FITS IN WITH THE NEW LISTS PROVIDED BY Paul & Ainsley –
perhaps we need to review the procedure or amend Ainsley’s and Paul’s forms
3.7.9.3 Counsel and the Client
DOOTSONS LLP OFFICE MANUAL 19-03-15 26 of 221
In most matters, clients will leave the choice of expert up to the fee earner. However, the client
should be consulted about the use (and where appropriate about the selection of all experts/other
suppliers) and should be advised of the name and status of the individual, for what purpose they
are being instructed, and how long they might take to respond and at what cost (where
disbursements are to be paid by the client).
Consultation on the selection of experts/suppliers is particularly important in circumstances such as
the following:-
Where the client does not want to use a particular medical examiner for reasons of
personal experience or knowledge.
In some sensitive cases, the appropriate use of female/ethnic/minority group experts may
be preferred.
When the client actually asks to be involved in the selection.
In the unlikely event of a client choosing an expert who has been given a ‘C’ the reservations of the
firm should be mentioned, but the client has the right to override the firm’s reservations subject to
normal professional standards on the propriety of all actions taken for clients. Care should be taken
to ensure due regard to the law relating to defamation.
3.7.9.4 Notifying Counsel or Expert
Experts will receive instructions through letter (including email and fax) brief, telephone
conversation or at a meeting and the level and type of service required must be specified. Where
instructions are provided orally they must be confirmed subsequently in writing. In all cases a note
of instructions or a copy of them must appear on the matter file.
3.7.9.5 Advice from Counsel
Advice/reports from Counsel should be in the form prescribed by the Bar Council.
On receipt of advice from any counsel or expert the fee earner receiving it should consider its
suitability and value and check it against the original instructions given. In checking reports for
adequacy, fee earners should assess the report received in relation to the original instructions
given and not to criteria relating either to the expertise of the author or the bias of the report
towards (or away from) the client.
3.7.9.6 Reviewing Counsel Advice
If the fee earner considers the advice received inappropriate he or she should refer to the Head of
Department it back to the expert with a detailed request for the improvement which is felt to be
necessary to bring it into line with the firm’s expectations. If the standard of advice remains
unsuitable, consideration should be given to the non-payment of the fee and the situation reported
by memo to the ITSA Manager with a recommendation that the individual be considered for
downgrading to a ‘C’ identification. Details of any adverse findings must be given to any Barrister
the firm uses who has the Quality Mark for Barristers, other than in exceptional circumstances e.g.
the feedback has come from the client and he or she is not happy for his/her comments to be
passed on. The failure to meet the firms’ requirements is to be noted on a Form J and passed to
the Managing Partner for recording on the Central List with a copy to the client file.
3.7.9.7 Using Counsel or Expert not on Approved List
A Counsel & Expert Form is to be appended to the matter file indicating as to why the expert or
Counsel was used if they do not at the time appear on the approved list.
DOOTSONS LLP OFFICE MANUAL 19-03-15 27 of 221
3.7.9.8 Appointing other Solicitors as Agent
If another solicitors firm is appointed as Agent in any matter then unless they appear on the Central
Register then a Counsel & Expert Form must be completed in the usual way.
3.8 FEEDBACK
The Firm aims to establish an environment that:
a. fosters open and regular communication between the Management and staff members of
the Firm; and
b. encourages a culture of feedback that results in continuous improvement to internal
processes and improvement of the working lives of all staff of the Firm.
3.8.1 Staff or Departmental Meetings (are staff meetings happening ?)
The main communications strategy for members of staff is the operation of a staff
committee, which will meet regularly once every quarter on ??? [ month day etc ]. The meeting is
open to all members of staff and everyone is encouraged to attend.
The staff committee meetings are presided over by elected representatives who will present
the feedback and suggestions for improvement to the Managing Partner.
Suggestions on issues or areas of interest for discussion at the Staff Focus Group meetings should
be provided to the designated Focus Group Coordinator prior to each meeting.
The aim of the staff committee meeting is to provide a platform for –
a. Members of staff to provide feedback to the Managing Partner;
b. Members of staff with key responsibilities (eg, IT, Office Administration, File Opening,
HR etc) to inform staff of changes or new procedures in these areas; and
c. Members of staff who have attended training or who have experience to share to
disseminate their training / experience to other members.
3.8.2 Staff Survey Form
A Staff Survey will takes place once a year. The aim of this survey is to obtain feedback and
suggestions for improving the internal processes and working conditions of the Firm. All staff
requested to complete and return the form within 14 days from the date of issue of the survey.
See Appendix 3Q Staff Survey Form
The results of the Staff Survey will be disseminated and openly discussed at the next Staff
Focus Group Meeting after the conclusion of the Survey.
DOOTSONS LLP OFFICE MANUAL 19-03-15 28 of 221
Appendix 3A - EQUALITY & DIVERSITY POLICY
Equality & Diversity Policy
The Equality Act 2010 which became law in 2010 has added significant impetus for all
organisations to have a clear statement of their Equality Policy in relation to equal opportunities
and diversity in the workplace.
POLICY STATEMENT
1. Dootsons recognises that discrimination and victimisation is unacceptable and that it is in
the interests of the Firm and its employees to utilise the skills of the total workforce. It is the
aim of the Firm to ensure that no employee or job applicant receives less favourable
facilities or treatment (either directly or indirectly) in recruitment or employment on grounds
of age, disability, gender / gender reassignment, marriage / civil partnership, pregnancy /
maternity, race, religion or belief, sex, or sexual orientation (the protected
characteristics).
2. Our aim is that our staff will be truly representative of all sections of society and each
employee feels respected and able to give of their best.
3. We oppose all forms of unlawful and unfair discrimination or victimisation. To that end the
purpose of this policy is to provide equality and fairness for all in our employment.
4. All employees, whether part-time, full-time or temporary, will be treated fairly and with
respect. Selection for employment, promotion, training or any other benefit will be on the
basis of aptitude and ability. All employees will be helped and encouraged to develop their
full potential and the talents and resources of the staff will be fully utilised to maximise the
efficiency of the business.
5. Our staff will not discriminate directly or indirectly, or harass customers or clients because
of age, disability, gender reassignment, pregnancy and maternity, race, religion or belief,
sex, and sexual orientation in the provision of the Firm’s services.
6. This policy and the associated arrangements shall operate in accordance with statutory
requirements. In addition, full account will be taken of any guidance or Codes of Practice
issued by the Equality and Human Rights Commission, any Government Departments, and
any other statutory bodies.
OUR COMMITMENT
To create an environment in which individual differences and the contributions of all our
staff are recognised and valued.
Every employee is entitled to a working environment that promotes dignity and respect
to all. No form of intimidation, bullying or harassment will be tolerated.
Training, development and progression opportunities are available to all staff.
To promote equality in the workplace which we believe is good management practice
and makes sound business sense.
We will review all our employment practices and procedures to ensure fairness.
Breaches of our equality policy will be regarded as misconduct and could lead to
disciplinary proceedings.
This policy is fully supported by senior management and has been agreed with the
Partners.
The policy will be monitored and reviewed annually
DOOTSONS LLP OFFICE MANUAL 19-03-15 29 of 221
RESPONSIBILITIES OF MANAGEMENT
Responsibility for ensuring the effective implementation and operation of the arrangements
will rest with the Managing Partner. The Partners will ensure that they and their staff
operate within this policy and arrangements, and that all reasonable and practical steps are
taken to avoid discrimination. Each manager will ensure that:
all their staff are aware of the policy and the arrangements, and the reasons for the
policy;
grievances concerning discrimination are dealt with properly, fairly and as quickly as
possible;
proper records are maintained.
The Managing Partner will be responsible for monitoring the operation of the policy in
respect of employees and job applicants, including periodic departmental audits.
RESPONSIBILITIES OF STAFF
Responsibility for ensuring that there is no unlawful discrimination rests with all staff and the
attitudes of staff are crucial to the successful operation of fair employment practices. In
particular, all members of staff should:
comply with the policy and arrangements;
not discriminate in their day to day activities or induce others to do so;
not victimise, harass or intimidate other staff or groups who have, or are perceived
to have one of the protected characteristics.
ensure no individual is discriminated against or harassed because of their
association with another individual who has a protected characteristic.
inform their manager if they become aware of any discriminatory practice.
CLIENTS AND HOME VISITS
The Firm offers clients interviews in ground floor offices with adjacent parking at Leigh and
Newton offices.
Home interviews, subject to compliance with the home ????? procedures (see later), are
offered to those who are able to establish that they have a disability and are unable to
attend at Newton or Leigh offices. It is anticipated that most clients will be able to make
suitable arrangements to attend the Firm’s premises. For those clients where this is not
possible no additional charge will be made for attending the client home.
SHOULDN’T WE MENTION THAT TWO MEMBERS OF STAFF MUST BE PRESENT
WHEN VISITING A CLIENT’S HOME
THIRD PARTIES
Third-party harassment occurs where a member of staff is harassed, and the harassment
is related to a protected characteristic, by third parties such as clients or customers.
Dootsons will not tolerate such actions against it’s staff, and the employee concerned
should inform their manager / supervisor at once that this has occurred. Dootsons will fully
investigate and take all reasonable steps to ensure such harassment does not happen
again.
RELATED POLICIES AND ARRANGEMENTS
DOOTSONS LLP OFFICE MANUAL 19-03-15 30 of 221
All employment policies and arrangements have a bearing on equality of opportunity. The
Firm’s policies will be reviewed regularly and any discriminatory elements removed.
RIGHTS OF DISABLED PEOPLE
The Firm attaches particular importance to the needs of disabled people.
Under the terms of this policy, managers are required to:
make reasonable adjustment to maintain the services of an employee who becomes
disabled, for example, training, provision of special equipment, reduced working hours.
(NB: managers are expected to seek advice on the availability of advice and guidance
from external agencies to maintain disabled people in employment);
include disabled people in training/development programmes;
give full and proper consideration to disabled people who apply for jobs, having regard
to making reasonable adjustments for their particular aptitudes and abilities to allow
them to be able to do the job.
EQUALITY TRAINING
A series of regular briefing sessions will be held for staff on equality issues. These will be
repeated as necessary. Equality information is also included in induction programmes.
Training will be provided for managers on this policy and the associated arrangements. All
managers who have an involvement in the recruitment and selection process will receive
specialist training.
MONITORING
The Firm deems it appropriate to state its intention not to discriminate and assumes
that this will be translated into practice consistently across the Firm as a whole.
Accordingly, a monitoring system will be introduced to measure the effectiveness of
the policy and arrangements.
The system will involve the routine collection and analysis of information on
employees by gender, marital status, ethnic origin, sexual orientation, religion /
beliefs, grade and length of service in current grade. Information regarding the
number of staff who declare themselves as disabled will also be maintained.
There will also be regular assessments to measure the extent to which recruitment
to first appointment, internal promotion and access to training/development
opportunities affect equal opportunities for all groups.
We will maintain information on staff who have been involved in certain key policies:
Disciplinary, Grievance and Bullying & Harassment.
Where appropriate equality impact assessments will be carried out on the results
of monitoring to ascertain the effect of the Company policies and our services /
products may have on those who experience them.
The information collected for monitoring purposes will be treated as confidential and
it will not be used for any other purpose.
If monitoring shows that the Firm, or areas within it, are not representative, or that
sections of our workforce are not progressing properly within the Firm, then an
action plan will be developed to address these issues. This will include a review of
DOOTSONS LLP OFFICE MANUAL 19-03-15 31 of 221
recruitment and selection procedures, Firm policies and practices as well as
consideration of taking legal Positive Action.
GRIEVANCES/DISCIPLINE
Employees have a right to pursue a complaint concerning discrimination or victimisation via
the Company Grievance or Harassment Procedures.
Discrimination and victimisation will be treated as disciplinary offences and they will be
dealt with under the Firm’s Disciplinary Procedure.
REVIEW
The effectiveness of this policy and associated arrangements will be reviewed annually
under the direct supervision of the Managing Partner.
DOOTSONS LLP OFFICE MANUAL 19-03-15 32 of 221
Appendix 3B - Job description (Solicitor)
JOB DESCRIPTION (Solicitor)
Job title: Department:
Solicitor Last reviewed:
Name:
Responsible to: [Member/Head of Department]
Responsible for: [Roles]
Main job purpose:
To undertake fee-earning work for commercial and private clients of the Firm. To Act as the supervisor
for :
Duties and responsibilities (regular activities in order of importance):
1. To manage all client work allocated by the Head Of Department or Members, and in accordance
with the detailed procedures and quality standards contained in the Firm’s office manual
2. To ensure that all client work is progressed expeditiously and that the client is kept regularly
informed on progress and costs
3. At all times to exercise high standards of client care in a professional and pleasant manner
4. To ensure confidentiality and security of all of the Firm’s and client documentation and information.
5. To achieve agreed levels of billing and time recording
6. In close liaison with the Accounts department and Head of Department, to have overall
responsibility for credit control on own matters
7. To comply with the Solicitors Code of Conduct Rules 2011 and Solicitors Accounts Rules 2011
8. To maintain clear and precise communications with other personnel of the Firm
9. To ensure good working relationships with external institutions and organisations
10. To supervise, support and develop immediate support staff and fee earning staff as agreed with
the Head of Department
11. To take responsibility for and attend to your CPD needs
12. In conjunction with the Firm, to comply with the relevant training requirements of the SRA and to
assist with in-house training as may be required
13. In liaison with the head of Department and Members, to be active in promoting the services of the
Firm and its image and ethos
14. To carry out any other duties and responsibilities that may be required by the Members
Person Specification
a Suitable number of years experience to carry out the role
b Sound level of IT and communication skills in English and other languages
c Good organisational skills
DOOTSONS LLP OFFICE MANUAL 19-03-15 33 of 221
Appendix 3C - Job description (Legal Secretary)
JOB DESCRIPTION (Legal Secretary)
Job title: Department:
Legal secretary Last reviewed:
Name:
Responsible to: [Partner/Head of Department]
Responsible for: [Roles]
Main job purpose:
To provide a total support service to the partner/manager to enable him/her to operate at optimum
efficiency, including but not limited to the main responsibilities given below. The legal secretary is
expected to use a high degree of self-management and initiative.
Duties and responsibilities (regular activities in order of importance):
1. To prepare correspondence and documents using audio typing, word processing or digital
dictation methods.
2. To administer filing systems which will include daily filing and the opening, closing, storage and
retrieval of client files in accordance with the detailed procedures contained in the office manual.
3. To prepare mail and enclosures for despatch.
4. To arrange for all copying to be done.
5. To make appointments, arrange meetings and maintain an up-to-date diary for the partner.
6. To prepare the conference room for meetings as necessary and ensure that it is clear and tidy at
the end of the meeting.
7. To provide refreshments when asked to do so for clients.
8. To provide support to other secretaries as required.
9. To provide guidance to junior and temporary secretaries as required.
10. To attend clients both in person and on the telephone and to provide such communication in a
professional and friendly manner in keeping with the practice’s standards for client care.
11. To undertake any specific training when required to do so and take responsibility for own self-
development.
12. To ensure the confidentiality of all practice and client documentation and information.
13. To promote the practice when and where possible.
14. To maintain professional standards at all times.
15. To carry out any other duties and responsibilities that may be required by the Firm including but
not limited to
a. General data entry into the firms client / matter database
b. Prepare post and DX for despatch
c. Collect DX from local DX box
DOOTSONS LLP OFFICE MANUAL 19-03-15 34 of 221
d. Act as receptionist or relief receptionist depending on hours worked and
holiday/sickness cover
e. Assistance in court documentation, including preparation of court documents, copying
etc.
f. Provide assistance in any operational and administrative
capacity to include –
client/matter file opening
archiving of client / matter files on system and off site storage
or retrieval of such
Person Specification
a Prior working experience of work.
b Display a pleasant, but confident manner in dealing with colleagues and clients. Tact and
resilience are essential qualities.
c An effective communicator, both orally and in writing, having a good command of English (and
other languages).
d Efficient and well organised, with good control of diary systems.
e Appropriate typing or similar qualifications.
f Good spelling and grammar skills.
DOOTSONS LLP OFFICE MANUAL 19-03-15 35 of 221
Appendix 3D - Job description (Receptionist / Admin Assistant)
JOB DESCRIPTION (Receptionist / Admin Assistant)
Job title: Department:
Receptionist / Administration Assistant Last reviewed:
Name:
Responsible to: [Partner/Head of Department]
Responsible for: [Roles]
Main job purpose:
To manage centralised telephone call handling system for all incoming calls to the Firm. Dealing with
telephone enquiries from clients and distributing the calls to the appropriate staff member. To carry out
full administrative duties associated with back office functions of the Firm.
Duties and responsibilities (regular activities in order of importance):
1. Answering telephone calls and enquiries from clients, other solicitors and ????? and putting calls
through to staff members with sufficient information to enable them to take the call
2. General data entry into the firms client / matter database
3. Prepare post and DX for despatch
4. Collect DX from local DX box
5. Act as receptionists or relief receptionists depending on hours worked and holiday/sickness cover
6. Assistance in court documentation, including preparation of court documents, bundles, copying etc
7. Provide assistance in any operational and administrative capacity to include
client / matter file opening
archiving of client / matter files on system and off site storage or retrieval of such
8. To provide refreshments when asked to do so for clients
9. To provide support to other staff members as required
10. To undertake any specific training when required to do so and take responsibility for own self-
development
11. To ensure the confidentiality of all practice and client documentation and information
12. To promote the practice when and where possible
13. To maintain professional standards at all times
DOOTSONS LLP OFFICE MANUAL 19-03-15 36 of 221
Person Specification
a Prior working experience of work.
b Display a pleasant, but confident manner in dealing with colleagues and clients. Tact and
resilience are essential qualities.
c An effective communicator, both orally and in writing, having a good command of English (and
other languages).
d Efficient and well organised, with good control of diary systems.
e Good spelling and grammar skills.
DOOTSONS LLP OFFICE MANUAL 19-03-15 37 of 221
Appendix 3E - Job description (Cashier / Credit Control)
JOB DESCRIPTION (Cashier / Credit Control)
Job title: Department:
Cashier / Credit Controller Last reviewed:
Name:
Responsible to: [Partner/Head of Department]
Responsible for: [Roles]
Main job purpose:
Trained in the principles of book-keeping and credit control and preferably with sound experience in
legal cashiering
Duties and responsibilities (regular activities in order of importance):
1. Daily banking functions including bank reconciliations
2. The administration and reconciliation of petty cash
3. The processing of client and office accounting transactions including postings
4. The preparation of cheques
5. The processing of bank transfers
6. The control of designated client deposit transfers
7. The preparation and issue of credit control advice and pursuit of outstanding debts in accordance
with credit control procedures
8. The administration of the purchase ledger
9. Financial management reporting as required
10. The preparatory work for the annual accounts
11. Administration of practising certificates
12. the preparatory work for the annual SRA audits
13. To carry out any other duties and responsibilities that may be required by the Firm including (but
not limited to):
Answering telephone calls and enquiries from clients, other solicitors and ????? and
putting calls through to staff members with sufficient information to enable them to take
the call
General data entry into the firms client / matter database
Prepare post and DX for despatch
Collect DX from local DX box
Act as receptionists or relief receptionists depending on hours worked and
holiday/sickness cover
Assistance in court documentation, including preparation of court documents, bundles,
copying etc
DOOTSONS LLP OFFICE MANUAL 19-03-15 38 of 221
Provide assistance in any operational and administrative capacity to include
client / matter file opening
archiving of client / matter files on system and off site storage or retrieval of such
Person Specification
a Prior working experience of work.
b Display a pleasant, but confident manner in dealing with colleagues and clients. Tact and
resilience are essential qualities.
c An effective communicator, both orally and in writing, having a good command of English (and
other languages).
d Efficient and well organised, with good control of diary systems.
e Good spelling and grammar skills.
f Good telephone manner, polite, confident and helpful. Calmness and politely assertive/confident
that the firm can and will assist
DOOTSONS LLP OFFICE MANUAL 19-03-15 39 of 221
Appendix 3F - Job description (Legal Assistant / Legal Clerk)
JOB DESCRIPTION (Legal Assistant / Legal Clerk)
Job title: Department:
Legal Assistant / Legal Clerk Last reviewed:
Name:
Responsible to: [Member/Head of Department]
Responsible for: [Roles]
Main job purpose:
To undertake fee-earning work and provide a profitable contribution to the work of the department.
Duties and responsibilities (regular activities in order of importance):
1. To manage all client work allocated by the Head Of Department or a Member, and in accordance
with the detailed procedures and quality standards contained in the Firm’s office manual.
2. To ensure that all client work is progressed expeditiously and that the client is kept regularly
informed on progress and costs.
3. At all times to exercise high standards of client care in a professional and pleasant manner.
4. To ensure confidentiality and security of all of the Practice’s and client documentation and
information.
5. To achieve agreed levels of billing and time recording
6. In close liaison with the Accounts department to be responsible for overall responsibility for credit
control on own matters
7. To comply with the Solicitors Code of Conduct Rules 2011 and Solicitors Accounts Rules 2011
8. To maintain clear and precise communications with other personnel of the Firm
9. To ensure good working relationships with external institutions and organisations
10. To supervise, support and develop immediate support staff
11. To take responsibility for and attend to self development
12. In conjunction with the Firm, to comply with the relevant training requirements of the Law Society
and to assist with in-house training as may be required
13. In liaison with the head of Department and Members, to be active in promoting the services of the
Firm and its image and ethos
Person Specification
a Suitable number of years experience to carry out the role
b Sound level of IT and communication skills in English and other languages
c Good organisational skills
DOOTSONS LLP OFFICE MANUAL 19-03-15 40 of 221
Appendix 3G - Job description (Senior Solicitor)
JOB DESCRIPTION (Senior Solicitor)
Job title: Department:
Senior Solicitor Last reviewed:
Name:
Responsible to: [Member/Head of Department]
Responsible for: [Roles]
Main job purpose:
To undertake fee-earning work for commercial and private clients of the Firm. To Act as the supervisor
for :
Duties and responsibilities (regular activities in order of importance):
1. To manage all client work allocated by the Head Of Department or Members, and in accordance
with the detailed procedures and quality standards contained in the Firm’s office manual
2. To ensure that all client work is progressed expeditiously and that the client is kept regularly
informed on progress and costs
3. At all times to exercise high standards of client care in a professional and pleasant manner
4. To ensure confidentiality and security of all of the Firm’s and client documentation and information.
5. To achieve agreed levels of billing and time recording
6. In close liaison with the Accounts department and Head of Department, to have overall
responsibility for credit control on own matters
7. To comply with the Solicitors Code of Conduct Rules 2011 and Solicitors Accounts Rules 2011
8. To maintain clear and precise communications with other personnel of the Firm
9. To ensure good working relationships with external institutions and organisations
10. To supervise, support and develop immediate support staff and fee earning staff as agreed with
the Head of Department
11. To take responsibility for and attend to your CPD needs
12. In conjunction with the Firm, to comply with the relevant training requirements of the SRA and to
assist with in-house training as may be required
13. In liaison with the head of Department and Members, to be active in promoting the services of the
Firm and its image and ethos
14. To carry out any other duties and responsibilities that may be required by the Members
15. To have special regard for the needs and interests of any member of staff within an area of
responsibility delegated to a Member
16. To advise and supervise any member of staff and especially within an area of responsibility
delegated to the solicitor
17. To contribute towards training both in respect of staff and own self-development
18. To undertake staff appraisals
DOOTSONS LLP OFFICE MANUAL 19-03-15 41 of 221
19. To communicate the needs of the Firm especially to all members of staff within an area of
responsibility delegated to the solicitor
20. To undertake any special management responsibility
21. To be familiar with and comply with the requirements of the Firm’s Office Manual and Quality
Standards procedures.
Fee Earning
a. To ensure the confidentiality and security of all Practice and client documentation and information
b. To maintain high standards in the processing of client work, both in respect of professional
standards and client care
c. To maintain good professional working relationships with external institutions and organisations
d. To adhere to agreed practice procedure as determined from time to time
e. To achieve agreed financial targets, both in respect of fee income and the recording of chargeable
hours
f. To provide advice, guidance and thorough supervision to subordinate fee-earners and support
staff within an area of responsibility delegated to the partner
g. To develop leadership skills and the ability to optimise team performance
h. Through training and other means, to keep fully up to date with relevant legislation and practice
i. To monitor and help develop systems and procedures within the partner’s work area, including the
use of technology
j. To market the Practice’s client services
k. To assist in the development of new products and service opportunities
Person Specification
a Admission as a qualified solicitor of the Law Society
b Minimum of 10 years post-admission experience in
c Good organisational skills
DOOTSONS LLP OFFICE MANUAL 19-03-15 42 of 221
Appendix 3H - Job description (Partner / Head of Department)
JOB DESCRIPTION (Partner / Head of Department)
Job title: Department:
Partner/Head of Department Last reviewed:
Name:
Responsible to: [Members]
Responsible for: [Roles]
Main job purpose:
1. Effectively manage the department and ensure the proper supervision and quality of work for all
staff.
2. Participate in determining the strategic business plan and direction of the practice.
Duties and responsibilities (regular activities in order of importance):
1. Management of the department
1.1 Effectively manage the department to maximise productivity and income generation.
1.2 Implement management decisions relevant to the department.
1.3 In consultation with the senior partner:
(a) Ensure sufficient staffing levels throughout practice.
(b) Ensure all staff has regular performance reviews by agreed deadlines.
(c) Investigate grievances.
(d) Deal with disciplinary situations through effective interviews.
(e) Agree targets for all fee earning staff.
(f) Encourage and foster career development.
(g) Monitor and achieve the agreed budgets and fee income for the department.
1.4 In consultation with the training partner, ensure adequate and appropriate training is
undertaken.
1.5 Ensure compliance within the department with all practice management and other standards
approved by the senior management team.
1.6 Ensure compliance with the strategic business plan and in consultation with the business
development partner periodically review the business plan as it relates to the department.
1.7 Take responsibility for the financial performance of the department, time and bill figures,
matter starts and file closures.
1.8 Supervise file management of the department, maintaining a system of file reviews and
ensuring client care/file closure procedures are adhered to.
1.9 Hold regular supervision meeting with fee earners, monthly for new/inexperienced staff or
where there is a cause for concern; quarterly for senior/experienced staff.
1.10 Oversee allocation of work and ensure appropriate workloads in terms of both quality and
type.
DOOTSONS LLP OFFICE MANUAL 19-03-15 43 of 221
2. Monthly reports
2.1 Submit department reports at each management meeting.
2.2 Submit all matters on which decisions are required to other managers.
2.3 Prepare reports in agreed format and by agreed deadlines.
3. Marketing and entertaining
3.1 In consultation with the [business development partner/director], develop and update the
marketing plan, as part of the strategic business plan, and update this information (six
monthly).
3.2 Ensure compliance with the marketing plan.
3.3 Chair marketing committee meetings to raise the practice’s profile and increase sources of
work.
3.4 Prepare an annual expenditure budget and monitor expenditure against the budget in
respect of marketing, entertainment and related items.
4. Carry out any other duties and responsibilities that may be required by the managing
partner/Members
DOOTSONS LLP OFFICE MANUAL 19-03-15 44 of 221
Appendix 3H - re: ADS comments of where definition is – as stated in a)
SR doesn’t know as this policy is what was in the current/old office manual.
SR – SEE COMPLETE NEW POLICY TO REPLACE THE ONE BELOW
Equal Opportunities, Diversity & Non-Discrimination Policy
EQUAL OPPORTUNITIES, DIVERSITY & NON-DISCRIMINATION POLICY
EMPLOYEES AND PARTNERS
GENERAL STATEMENTS
The Firm is committed to providing equal opportunities in employment. This means that all job
applicants, employees and partners will receive equal treatment regardless of race, colour,
nationality, ethnic or national origins, sex (including marital status, pregnancy, maternity, paternity),
sexual orientation (including civil partnership status), gender reassignment, age, religion or belief
or disability.
The Firm will take such steps, and make such adjustments, as are reasonable in all the
circumstances in order to prevent any employee or partner who is disabled from being placed at a
substantial disadvantage in comparison with those who are not disabled.
It is good business sense for the Firm to ensure that its most important resource, its staff, is used
in a fair and effective way.
LEGISLATION AND SOLICITOR’S CODE OF CONDUCT 2011
LEGISLATION:
The Equality Act 2010 received Royal assent on 8th April 2010 and its core provisions are in force
as from 1st October 2010. The Act simplifies and brings into one Act existing discrimination law
including:-
The Equal Pay Act 1970
The Sex Discrimination Act 1975
The Race Relations Act 1976
The Disability Discrimination Act 1995
The Equality Act 2006 Part 2
The Employment Equality (Religion or Belief) Regulations 2003
The Employment Equality (Sexual Orientation) Regulations 2003
The Employment Equality (Age) Regulations 2006
The Equality Act (Sexual Orientation) Regulations 2007
It is unlawful to discriminate against individuals either directly or indirectly with reference to the
following characteristics which are protected under the Act:-
age, disability, gender re-assignment, marriage and civil partnership, pregnancy and maternity,
race, religion or belief, sex, sexual orientation.
CODE OF CONDUCT:
Rule 6 of the Solicitors Code of Conduct 2007 prohibits, amongst other things, unfair and
unreasonable discrimination by Solicitors “in their professional dealings with clients, staff, other
Solicitors, Barristers or other persons”.
FORMS OF DISCRIMINATION
The following are the kinds of discrimination that are against the firm’s policy:
DOOTSONS LLP OFFICE MANUAL 19-03-15 45 of 221
(a) Direct discrimination, where a person is less favourably treated because
they have a “protected characteristic” (discrimination by perception) (see
definition above) or they are thought to have a “protected characteristic” or
they associate with someone who has a “protected characteristic”
(discrimination by association).
Under the Equality Act 2010 there is a new category of dual discrimination,
which allows claims of discrimination to be brought in relation to a
combination of two “protected characteristics”. These only apply to direct
discrimination and to certain of the “protected characteristics” ; age,
disability, gender re-assignment, race, religion or belief, sex or sexual
orientation.
(b) Indirect discrimination, where a policy or practice that applies to everyone,
particularly disadvantages people who share a “protected characteristic”.
This does not apply to pregnancy or maternity.
(c) Discrimination arising from disability, where a person discriminates
against a disabled person if he/she treats them unfavourably because of
something arising in consequence of their disability, and this treatment
cannot be justified as a proportionate means of achieving a legitimate aim.
(d) Duty to make adjustments:-
(i) where a provision, criteria, criterian or practice puts a disabled
person at a substantial disadvantage in relation to a relevant matter
in comparison with persons who are not disabled, the person to
whom the duty applies must take reasonable steps to avoid the
disadvantage
(ii) where a physical feature puts a disabled person at a substantial
disadvantage in comparison with persons who are not disabled, the
person to whom the duty applies must take reasonable steps to avoid
the disadvantage
(iii) where a disabled person would, but for the provision of an auxiliary
aid, be at a substantial disadvantage in comparison with persons
who are not disabled, the person to whom the duty applies must take
reasonable steps to provide the auxiliary aid
(e) Victimisation, where an employer or service provider subjects a person to a
detriment because the person has carried out (or the employer or service
provider believes they have or may carry out) what is referred to as a
“protected act”. A protected act is any of the following:-
Bringing proceedings under the Act
Giving evidence or information in proceedings brought under the Act
Doing anything which is related to the provisions of the Act
Making an allegation that another person has done something in breach of
the Act
(f) Harassment is defined as “unwanted conduct related to a relevant protected
characteristic which has the purpose or effect of violating an individual’s
dignity or creating an intimidating, hostile, degrading, humiliating or offensive
environment for that individual”. Harassment within the meaning of the Act
applies to all protected characteristics except for pregnancy and maternity
DOOTSONS LLP OFFICE MANUAL 19-03-15 46 of 221
and marriage and civil partnership. The Act specifically prohibits three types
of harassment:
(i) harassment related to a “relevant protected characteristic”
(ii) sexual harassment
(iii) less favourable treatment of a service user because they submit to or
reject sexual harassment related to sex or gender re-assignment
POSITIVE ACTION
To assist people who share a “protected characteristic” and suffer disadvantage or the
consequences of past or present discrimination, the Act contains provisions which enables service
providers, public bodies and other associations to take action to achieve more effective quality
outcomes. The use of positive action generally is entirely voluntary.
DOOTSONS LLP OFFICE MANUAL 19-03-15 47 of 221
Appendix 3I – Interview Assessment Form NAME OF APPLICANT:
Interview Assessment Form
VACANCY FOR:
FACTOR COMMENTS RATING
A= Excellent, B=Good,
C=Average, D=Poor, E=Very Poor
ABCDE
Qualification
Training
Knowledge &
Skills
Relevant
Experience
Personality
References:
1.
2.
Recommendations and Actions:
INTERVIEWER DATE OF INTERVIEW
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