PARENTAL LEAVE RECORD FORM
Name
Staff/payroll number
Department
Job title
Child’s name
The employee is the child’s natural/adoptive* parent Yes No
The employee has parental responsibility for this child under the Children Act 1989 or Children (Scotland)
Act 1995
Child’s date of birth
Child’s date of placement for adoption (where applicable)
The child has been awarded disability living allowance Yes No
Parental leave already taken with previous employer (specify duration)
Parental leave taken since joining this firm
Dates Duration
Note: A separate record will be kept in respect of each child.
*delete where applicable
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Appendix 4 Shared Parental Leave Policy
SHARED PARENTAL LEAVE POLICY
Eligibility Criteria
To be eligible for shared parental leave, you (or your partner) must be entitled to maternity /
adoption leave, or statutory maternity / adoption pay (or maternity allowance from the
Government) and you must share the main responsibility for caring for the child with your
partner. In addition, you and your partner will also be required to follow a two-step process
to establish eligibility as follows:
Step 1 Continuity test:
If you are seeking to take shared parental leave, one parent / adopter must have worked
for the same employer for at least 26 weeks at the end of the 15th week before the week in
which the child is due (or at the week in which an adopter was notified of having been
matched with a child or adoption) and they should still be employed in the first week that
shared parental leave is to be taken.
The other parent /adopter has to have worked for 26 weeks in the 66 weeks leading up to
the due date and have earned above the maternity allowance threshold of £30 a week in 13
of the 66 weeks.
Step 2 Individual eligibility for pay:
To qualify for shared parental pay the parent / main adopter must, as well as passing the
Continuity test, also have earned an average salary of the National Insurance lower
earnings limit or more for the 8 weeks prior to the 15th week before the expected birth /
adoption.
If you and your partner meet the eligibility criteria:
You can effectively “convert” a period of maternity / adoption leave and pay into
shared parental leave and pay that can be taken by either parent.
Your partner can take shared parental leave concurrently with you when you are on
maternity leave or shared parental leave.
Shared parental leave does not have to be taken in a single continuous block, it can
be taken in chunks of as little as a week with our agreement.
When on shared parental leave you will be entitled to the same terms and
conditions that would have applied had you been at work, with the exception of pay.
Shared parental leave may be taken at any time within the period which begins on
the date the child is born or date of the adoption placement and ends 52 weeks after
that date.
Procedure for Requesting Shared Parental Leave and Pay
Here is how you and your partner should go about opting in to shared parental leave:
1. The mother / main adopter must bring their period of maternity / adoption leave to an end
by letting their employer know at least 8 weeks before the date she intends to curtail the
leave. NB maternity leave cannot be brought to an end before the end of the two week
(four if you work in a factory) compulsory maternity leave period. The balance of maternity
leave at that point becomes available for the partner to share as shared parental leave.
While this notice of curtailment of maternity / adoption leave can be given before or after
the birth / placement, if it is given afterwards, the notice is binding. However, if notice is
given before, there is a six-week window after the child's birth / adoption, during which a
mother / primary adopter who has previously stated she intends to share her leave can
change her mind and decide to remain on leave.
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2. Both you and your partner should let your respective employers know in writing that you are
eligible for and intend to take shared parental leave. You should also give an indication of
how much shared parental leave and pay each parent intends to take and when. As you
are one of our employees, please complete the form at Appendix 1.
3. If requested within 14 days of letting us know about your intention to take shared parental
leave, you should provide us with a copy of the child’s birth certificate, or if this is not yet
available, confirmation from your midwife or GP of the date of the child’s birth. In the case
of adoption you should provide details of the adoption agency, the date you (or your
partner) were informed of the adoption match, and the expected date that the child will be
placed with you. You must provide the information requested within 14 days.
4. The information about how and when you and your partner are intending to take shared
parental leave is non-binding – you are free to change your minds about how leave and pay
are to be allocated between you by letting your employers know of the variation in writing.
To do this, please complete the form at Appendix 2. We will need at least 8 weeks notice of
each period of leave, and you can submit a total of three requests. That is you can take up
to three periods of shared parental leave.
5. If you submit a request for a single continuous period of shared parental leave (e.g. a single
block of 12 weeks) this will be granted automatically.
6. If you submit a request for discontinuous leave (e.g. 6 weeks shared parental leave
followed by 2 weeks at work followed by another 6 weeks shared parental leave etc.) we
may need to discuss with you whether our business can support such a work pattern. If it
cannot we will try to agree an alternative arrangement with you, or we may need to refuse
the request.
7. We may ask you to stay in touch with work during your shared parental leave. This could be
for training purposes, meetings or just to keep generally up to date with the business. You
can work for up to 20 days without bringing your period of shared parental leave to an end.
Any days worked do not extend your leave period. When you work you will receive your
normal rate of pay inclusive of any shared parental pay. You are under no obligation to
undertake any work during your shared parental leave period, and we are under no
obligation to offer you any work. These 20 days are in addition to the 10 days available
during maternity or adoption leave.
8. While on shared parental leave you will continue to accrue your normal holiday entitlement.
We may ask you to take some or all of your outstanding holidays prior to commencing your
shared parental leave. We may also ask you to take some or all of the holidays you have
accrued on shared parental leave at the end of your leave period and prior to returning to
work.
This all sounds complex, but it is really quite simple. Here are some examples to help
clarify how shared parental leave works.
1. The mother / main adopter ends her leave after 26 weeks, and the balance of the leave
and pay - 26 weeks leave and 13 weeks statutory maternity / adoption pay is available
to be shared between the parents as they choose. The father takes 10 weeks leave and
pay, while the mother returns to work. He then returns to work and the mother takes the
remaining 16 weeks leave and 3 weeks pay.
2. Baby is born prematurely and the mother immediately commits to taking 27 weeks
maternity leave and pay leaving 25 weeks leave and 12 weeks pay to be shared with
the father. The father takes 2 weeks paternity leave when baby is born and then
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immediately takes the 25 weeks leave and 12 weeks pay. Both parents return to work
after 27 weeks having used all their shared parental leave.
3. The main adopter takes the first 10 weeks adoption leave and pay, and then commits to
returning to work at week 22. This then frees up 30 weeks shared parental leave and 17
weeks pay. His partner takes 12 weeks of leave and pay to coincide with weeks 11 to
22 of the main adopters adoption leave so she and the main adopter can look after the
child together. She then takes a further 8 weeks’ leave and last 5 weeks of pay while
the main adopter returns to work. When the partner then goes back to work, the main
adopter takes the last 10 week of shared parental leave.
In total the main adopter has taken 32 weeks leave and 22 weeks pay while the partner
has taken 20 weeks leave and 17 weeks pay.
Returning to Work from Shared Parental Leave
If you wish to alter your return date from shared parental leave, please ensure you give us
notice as follows using the form at
Appendix 2 Notice to Take or Vary a Period of Shared Parental Leave
If you wish to extend your SPL, at least 8 weeks notice from the originally agreed return
date.
If you wish to shorten your SPL, at least 8 weeks notice from the new return date.
If you return to work after a period of shared parental leave (including any maternity / adoption
leave) which was 26 weeks or less, then you are entitled to return to the same job that you left
with terms and conditions no less favourable than would have applied had you not been on
leave.
If you return to work from a period of shared parental leave (including any maternity / adoption
leave) which was greater than 26 weeks we will try to allow you to return to the same job you
left. If it is not practicable for you to return to your original job then you will be offered a suitable
alternative on terms and conditions no less favourable than would have applied had you not
been on leave.
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Appendix 1
Notice of Entitlement and Intention to Take Shared Parental Leave
(Please read the Policy on Shared Parental Leave)
If you wish to take shared parental leave, then you must submit this form to your manager at least 8 weeks
before the start of the first period of shared parental leave.
In order to calculate the amount of shared parental leave you are eligible for please complete the following.
Basic Details
Employee Name:
Are you the mother / main adopter of
the child or the partner of the mother /
main adopter?
Date on which mother or main adopter
commenced (or will commence)
maternity / adoption leave:
Notice of curtailment of maternity / adoption leave
Please complete this if you are the mother or main adopter. If on maternity leave, this date must be at
least two weeks after the birth of your baby (or four weeks if you are employed in factory work).
I wish my maternity / adoption leave to
end on the following date:
Signed: Date:
Please complete this if you are the partner of the mother or main adopter.
I confirm my partner’s maternity /
adoption leave ended / will end on the
following date:
Shared Parental Leave Details
Maximum number of weeks of shared
parental leave available (52 weeks
minus the number of weeks taken
according to the above dates)
Maximum number of weeks of shared
parental pay available (39 weeks minus
the number of weeks taken according to
the above dates)
Number of weeks of shared parental
leave / pay you intend to take
Number of weeks of shared parental
leave / pay the other parent intends to
take
Shared Parental Leave and Pay Dates
Please detail the start and end dates of
the shared parental leave/ pay that you
intend to take. This should tally with the
number of weeks you have indicated
above that you will take.
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The above dates do not constitute a formal binding request at this stage. However if you wish them to do so
please indicate “Yes”: Yes / No
If you indicate “No”, then please complete appendix 2 - Notice to Take or Vary a Period of Shared
Parental Leave for each period of shared leave requested.
Declarations
By the Employee
Please confirm your eligibility by ticking the appropriate boxes below and signing the form
I am the mother, father or main adopter of the child and will share the care of the child with my
partner named below
I meet the eligibility criteria for shared parental leave
If appropriate:
I meet the eligibility criteria for shared parental pay
I am the mother or main adopter and have completed the notice of curtailment of maternity /
adoption leave section and understand that this is binding subject to certain conditions outlined in
the policy
I consent to you retaining and processing the information contained in this form
Signed:______________________________________________ Date:______________
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By the Employee’s Partner
Name
Address
Name and Address of Employer
National Insurance Number
I confirm that I meet the following criteria for eligibility for shared parental leave:
I have worked either directly, for an agency or self-employed, for 26 weeks in the 66 weeks leading
up to the due date
I have earned above the maternity allowance threshold of £30 a week in 13 of the 66 weeks
I consent to your employee taking shared parental leave and shared parental pay as detailed above
If appropriate:
I am the mother / main adopter and confirm I have curtailed my maternity / adoption leave and pay
with my employer (or will have done so by the time your employee takes shared parental leave)
I consent to you retaining and processing the information contained in this form
Signed:______________________________________________ Date:______________
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Appendix 2
Notice to Take or Vary a Period of Shared Parental Leave
(Please read the Policy on Maternity, Adoption, Paternity and Parental Leave)
You should complete this form if you wish to request a period of shared parental leave / pay, or to vary a
previously approved period.
You must have previously submitted a Notice of Entitlement and Intention to Take Shared Parental
Leave (appendix 1) and have had your eligibility for shared parental leave confirmed.
Name of Employee
Name of Partner
Requested Shared Parental Leave / Pay Dates
Start date End date Number of weeks leave Number of weeks pay
(if applicable)
Request to Vary Previously Requested Parental Leave / Pay Dates
Previously Approved Previously Detail the change you would like to request
Start date Approved End date
We confirm that we agree to the request / variation outlined above.
Signed: (Employee)____________________________________ Date:______________
Signed: (Employee’s Partner)_____________________________ Date:______________
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NOTIFICATION OF SHARED PARENTAL LEAVE BOOKING FORM
Instructions for completing this form
This form should be used where you wish to book a period of Shared Parental Leave (SPL) or where you
wish to vary an existing booking.
Any notice booking SPL must be given at least eight weeks before the first period of leave is due to start.
If you have not already submitted the Notification of Entitlement for Shared Parental Leave and/or Shared
Parental Pay Form, then you must do so at the same time as completing this form.
Note: You are unable to start a period of SPL before the child is born or before the end of the Compulsory
Maternity Leave Period. Additionally, you must have completed and returned the Notification of
Curtailment of Maternity Leave and Maternity Pay form.
Furthermore, any period of SPL must end on or before the date of the child’s first birthday.
You are entitled to submit three Notification of Shared Parental Leave Booking forms. Any request to vary
a previous booking will be counted as one such Notification.
Your details
Surname
First name(s)
Address
Postcode
[Choose one of the following two options]
[Dates of SPL
Please take this as notification that I wish to take the following periods of SPL.
From To
From To
From To
From To
From To
From To ]
[OR
Variation of Dates of Shared Parental Leave
I refer to my Notification of Shared Parental Leave Booking form dated [Enter date] and confirm that I wish
to vary the dates of shared parental leave as follows.
From To
From To
From To
From To
From To ]
This is my first/second/third [delete as applicable] Notification of Shared Parental Leave Booking Form.
Signed
Print name
DOOTSONS LLP OFFICE MANUAL 19-03-15 108 of 221
Date
Updated version of previous Office Manual
Section: 5 – TECHNOLOGY & SYSTEMS
Version: 1
Date: 23/12/14
5 TECHNOLOGY SYSTEMS & USE
The Firm has installed and made provision of IT systems and services to facilitate efficient and
timely delivery of legal services to our clients. The Firm is committed to continually updating and
improving its IT systems for the benefit of the Firm as well as to improve the working life of its staf.
These Policies -
a. Describe the roles and responsibilities of the IT Manager and the IT Department; and
b. Prescribe the guidelines and parameters of use that govern each type of IT facility or service.
5.1 IT DEPARTMENT & MANAGER
The IT Manager, Steve Rayson, has overall responsibility for the management and operation of the
Firm’s IT systems including computer hardware, networks, software applications and services
installed within the Firm as well as those provided through Application Service Providers
(collectively referred to as “the Firm’s IT Systems”).
The IT Manager’s duties include –
a. General maintenance and system housekeeping to ensure that the Firm’s IT Systems
are operating optimally, including ad-hoc trouble shooting and disaster prevention;
b. Keeping an inventory of the Firm’s IT Systems, software license agreements (including
version number, upgrades and register of authorised users), user logs, helpdesk and
troubleshooting reports; and conducting regular technical audits of the Firm’s IT
Systems to ensure that the inventory is complete and up to date;
c. Being responsible for the Firms’ overall IT strategy and planning – including a yearly
review of the Firm’s IT needs and resources, drawing up an IT Budget, wish list and
Implementation Plan, and making recommendations in relation to new legal technology;
d. Being responsible for all data backups, data security (including anti-virus and firewalls) and
implementing a disaster recovery plan;
e. Primary contact between the Firm and 3rd party IT Service Providers or Application
Service Providers related to the Firm’s IT Systems;
f. Devising and implementing a continuing IT Training programme to improve the IT skills of
the staff and enabling more effective use of the Firm’s IT systems.
5.2 Information Management Policy
5.2.1 What is Information Management?
Information management does not have an official definition but represents a combination of:
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Information systems used for handling data, information and knowledge eg library, precedents,
case management, files etc
Information technology are the tools which support our information systems represented by the
variety of hardware and software (both generalist and specialist) which is available to us
Business systems are operational processes and procedures for the conduct of our business and
which require the support of I.T while inevitably resulting in the development of IS.
Information assets is that information, data and knowledge that the business collects in the course
its activities, be it about client, the business, its employees or other 3rd parties with whom we deal.
Our Information Management Policy and Procedures are our approach to the identification,
monitoring, and safeguarding of these.
b) Our Approach to Information Management
The person with overall responsibility for the Information Management Policy is [...........]. This
responsibility includes conducting an annual review of the policy to ensure its effectiveness.
The firm has introduced information management systems and information technology to meet the
practice’s needs. We will seek to monitor and improve these systems on a continual basis.
An Information Plan is prepared as part of the annual business planning process and reviewed on
a six monthly basis. This will consider the development of I.S & I.T to support not only our current
operations but our business strategies and plans.
Our staff should recognise their individual and joint responsibility to follow relevant practices and
procedures in order to maintain day-to-day excellence in managing the information entrusted to the
practice by our clients and to maintain the practice’s own information management systems.
c) The Purpose
The purpose of our policy is to prevent mismanagement of our information management wherever
possible in order to avoid or at least mitigate the following (the list is not exhaustive):
• proceedings under the Data Protection Act 1998
• the inability to provide services
• reputational and/or financial damage
• negligence claims
• breaches of confidentiality
• breaches of the SRA Code of Conduct.
d) Register of information assets
The business carries out an audit of the principal information assets we hold on an annual basis.
This information is contained in the Information Management Risk Register (IMRR) and includes
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the main categories of information we hold in relation to our clients and the business itself along
with the security measures taken to protect them
In general terms the types of document to be held in the systems are:
- Practice documents (leases, etc.)
- Client documents (agreements, court orders, etc.)
- Staff documents (contracts, etc.)
- others (as required)
The IMRR also includes the arrangements for the safe disposal of assets once they are not longer
required by the firm.
e) Protection and security of information assets
Every member of staff is responsible for the protection and security of information assets entrusted
to them.
Staff should at all times do their best to ensure the accuracy, relevance and sufficiency of any
information they record in practice files or enter in the practice’s systems. They should seek to
maintain the quality of this information in accordance with the processes and procedures relevant
to their role and they will, at all times, seek to maintain the confidentiality and security of the
practice’s information assets.
The protection and security of assets is covered by sections later in this document but also
considered in the firm’s Business Continuity Plan.
f) Training & Awareness
The practice provides training to all staff on all relevant aspects of data protection, information
management and information technology as appropriate.
New staff joining the firm will be introduced to the information management policy of the practice as
part of their induction programme.
Staff moving between roles within the practice will receive training in the information management
processes and procedures relevant to their new role.
All staff will be alerted to changes in the practice’s information management policy and to changes
to any processes and procedures relevant to their current role. If necessary they will receive further
training or guidance in new processes and procedures.
Specific Areas of Information Management
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2) I.C.T System Security
The firm is increasingly reliant on information and communication technology (I.C.T) for the
preparation and delivery of its services to clients. This increases the significance of effective
computer management systems within the practice. There are also important rules and procedures
in relation to e-mail protocols and the use of the internet.
This policy is based on the recommendations of The Law Society and also incorporates mandatory
aspects of the SRA Code of Conduct and as such it is a matter of policy and procedure to be
adopted by our firm as a whole. It is the responsibility of all members of staff, fee earning and
support, to acquaint themselves with the content of the full policy and to adopt its use. Its
importance is such that it is contained in both the Information Management and Personnel Polices
sections of this Office Manual.
The firm keeps under review its I.C.T systems and as new technology is developed new policies
and procedures may be introduced. [...........] is responsible for the management of the I.C.T
system and also to review the firm's I.C.T requirements on an ongoing basis in the light of the
business plan and to make purchases whenever appropriate. He is also responsible for organising
on-going training on I.C.T use for all personnel in the practice.
2.1 System Risk Management
System management is the responsibility of […………….]
The firm has identified the following critical risks to our system:
• Fire
• Computer virus attack
• Theft
• Incompetence
• Malice
The firm has in place the following processes, procedures and technology to eliminate, minimise or
transfer the critical risks identified above:
• Virus protection system
• Management of system configurations
• Regular system backups
• Use of a router firewall on its internet connection
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• User passwords procedures
• Management of user accounts including restrictions of access and removal of users where
access is no longer required
• Continual training on I.T systems
• Restrictions on computer systems to prevent data being added or removed
• Business Continuity Planning
2.2 Use of Electronic Equipment
(a) System Security
The firm ensures the appropriate management and safe storage of electronic documents by
restricting the access permissions to certain electronic folders as and when appropriate.
Permissions are set on each individual document as appropriate to safeguard the integrity of each
document.
Passwords & Confidentiality
Where passwords are used staff:
• must choose and memorise a unique password - do not write it down or save it electronically
anywhere
• must not disclose the password to anyone else
• must not ask for another person’s password
• must change the password immediately if anybody else becomes aware of it
• follow any internal instructions with regard to the changing and safeguarding of passwords
Other Issues
If you anticipate that someone may need access to your confidential files in your absence you
should arrange for the files to be copied to somewhere where that person can access them or
arrange for a temporary password which is changed on your return.
If you are away from your PC you must lock it by using the Ctrl-Alt-Delete function
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If you have access to data on computers, whether in the office or at home or elsewhere, you must
take adequate precautions to ensure confidentiality so that neither the firm nor individuals are liable
to prosecution as a result of loss or disclosure which might cause distress or hardship to present,
former or potential employees and partner or to clients of the firm.
You are only allowed access to those parts of our computer system which you need in order to
carry out your normal duties.
(b) Downloading Data and Software
To ensure that no malicious content can be loaded onto our system, you should not load any data
from any kind of storage device onto the system without first obtaining the consent of a Partner.
Examples of data storage devices are
• Portable external hard drives
• Media player hard drives
• USB memory sticks
• DRD-RW drives
• CD and DVD disks
• Memory cards from cameras
Data storage devices which are to be copied onto the system must be formatted before use and
any transfer of data to any such device must be authorised by a Partner.
No electronic data, however stored, should be taken off site without specific authority of a Partner.
If such authority is given and confidential data of any sort is removed from the office it should be
held securely and returned to the office as soon as possible and immediately erased from the data
storage device it has been temporarily saved to
No software should be loaded on to the system without express permission. Software includes
business applications, entertainment software, games, screen savers and demonstration software.
Disks from unknown sources or from home must not be used on the system without permission
and without prior checking for viruses
c) Saving Documents
All documents should be saved to the appropriate folder and not to local drives or the ‘my
documents’ folder.
d) Use of Personal I.T equipment in the office
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Personal IT equipment must not be connected to the firm’s I.T systems for any reason and to do so
may be a disciplinary offence. Examples of personal I.T equipment include
- laptops
- gaming devices
- iPods
- digital cameras
- GPS systems
- MP3 players
- mobile telephones
- handheld/palmheld computer or personal digital assistant (PDA)
All members of the firm are permitted to make use of personal IT equipment not connected to the
firm’s IT systems, during their own time.
e) Laptops
Care must be taken by all members of staff when carrying the firm’s laptop computers outside of
the office. Laptops must never be left unattended at all, they must not be left in cars whether
locked or not. Any loss of a firm’s laptop must immediately be reported to a Partner
f) Accessing the System from Outside the Offices
The system has the capability for employees to access the system from home, lap top or other
external computer equipment. The principles, policies and procedures that apply to use within the
firm apply to such situations and all staff involved must be conscious of this in their work. Although
the firm has firewalls and security systems in place it is expected that anyone working on external
I.T must ensure that their personal equipment also has anti-virus and firewall facilities installed to
prevent security risks from external access. Care should be taken when using wi-fi facilities in
public places eg coffee shops as this is easily accessed by unauthorised third parties so
consideration should be given as to its use and what data might be vulnerable as a result.
g) General
(i) Configurations and procedures learned or used elsewhere should not be used
(ii) All active applications should be closed before logging out
(iii) All systems should be shut down and switched off before leaving (as should printers by the
last employee to leave an area). Staff must ensure that their machine has correctly
shutdown before leaving
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(iv) Staff are not allowed to make any changes to the configuration or connections on a p.c. Any
changes must be authorised.
h) Disciplinary Action
Failure to follow the rules and guidelines as outlined above may be a disciplinary matter and if
appropriate will be dealt with under our Disciplinary Procedure
3) Data Protection
a) The firm is required to comply with legislative and regulatory provisions governing the
management and storage of personal information most notably the Data Protection Act 1998. It is
the responsibility of [.............] to ensure that:
• the firm is registered with the Information Commissioner for all necessary activities under the Act
• there is a process of continual review to determine whether any changes in the firm's registration
are required as a result of changes in the nature of the business
• the details of the firm as registered are kept up to date
• ensure that all personnel are aware of their obligations under data protection law and are
provided with any update as to how they are required to support the practice in ensuring
compliance.
b) The Data Protection Act 1998
The Act establishes a framework of rights and duties which are designed to safeguard personal
data. As a business this firm retains both in terms of running the business so for instance
information about you as employees but it also very obviously retains information about our clients.
The framework under the Act balances the legitimate needs of organisations to collect and use
personal data for business and other purposes with the right of individuals to receive respect for
the privacy of their personal details.
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c) Personal Data
Protection of personal data and respect for individual privacy are recognised as fundamental
considerations in the day to day operations of the business.
A firm must comply with the Act if it or its staff process personal data. 'Personal data' means data
which relates to a living individual who can be identified either:
• from the data, or
• from the data and other information which is in your possession, or is likely to come into your
possession, and includes any expression of opinion about the individual and any indication of
your intentions or those of any other person in respect of the individual
d) Meaning of “Processing”
“Processing” includes obtaining, recording, holding or disclosing information or data and carrying
out operations on the information or data.
All data covered by the Data Protection Act (which includes not only computer data but also
personal data held within a filing system) must be:
• fairly and lawfully processed
• processed for limited purposes
• adequate, relevant and not excessive
• accurate
• not kept longer than necessary
• processed in accordance with the data subject's rights
• secure
• not transferred to countries without adequate protection
In relation to these principles:
Fairness will relate to “sensitive personal data” including information held by the firm as to a
person’s physical or mental health, the commission of any offence and any proceedings for such
an offence (including the outcome or sentence in such proceedings), the person’s political
opinions, religious or similar beliefs, sexual orientation or membership of a trade union.
We will consider:
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• whether anyone has been misled by the firm in how the data has been obtained
• whether the person from which the information was obtained has been deceived or misled as to
the purpose or purposes for which the data will be processed
• Whether we have informed the data subjects of our identity, the purpose or purposes for which
the data are intended to be processed and anything else which we think is necessary in order to
make the processing fair
We will take reasonable steps to ensure the accuracy of the data - 'reasonable' depends on the
purpose of the processing.
Personal data processed for any purpose or purposes will not be kept for longer than is necessary
and for that purpose data retention and review schedules will set up appropriate retention and
destruction schedules.
The DPA gives data subjects a number of rights, the foremost of which is the right to have access
to their personal data where permitted under the Act.
Data subject rights also include prevention of processing for direct marketing purposes and these
rights will be considered in any marketing activities we may undertake.
We have a duty to take appropriate technical and organisational measures against unauthorised or
unlawful processing of personal data or accidental loss or destruction of, or damage to, personal
data. Our IMRR and our firm wide Risk Register takes this fact into account and appropriate
policies and procedures will be maintained to protect against damage, loss or destruction of data.
We will also take steps to ensure the reliability of any employees who have access to personal
data.
e) Data Protection and Staff Members
The firm holds information relating to employees which is subject to the Data Protection Act 1998
and the firm may process both manually and by electronic means personal and sensitive personal
data for the purposes 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:
(i) is made or evidenced in writing
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(ii) the data processor will act only on instruction from us; and
(iii)the data processor agrees to comply with obligations equivalent to those imposed on us by the
DPA.
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 requests should be made in writing to
[............] who will arrange for the firm to comply promptly with the request.
f) Confidentiality
The DPA 1998 deals specifically with the processing of data whether in paper or electronic format.
However there is a natural overlap with the subject of confidentiality which is covered elsewhere in
this Office Manual and with which all personnel have a responsibility to familiarise themselves.
g) Disciplinary Action
Failure to follow the rules and guidelines as outlined above may be a disciplinary matter and if
appropriate will be dealt with under our Disciplinary Procedure
5.2 SECURITY OF IT SYSTEMS
To maintain the integrity of the Firm’s data and to ensure that the Firm’s IT Systems operate with
optimal efficiency in a virus-free environment, these policies and procedures sets out the areas of
personal responsibility in relation to the same.
In this paragraph, the “IT Department” refers to the IT Manager and the support staff working under
the IT Manager.
5.2.1 Passwords
You have been issued passwords that allow you access to one or more of the following
facilities in the Firm - your workstation, your software applications, such as Evolution, Case
Control and online services you have been subscribed to. These passwords are issued to prevent
unauthorised use of these facilities by third parties. It is your responsibility to keep your
password(s) secure. You will be prompted by the network server to change your main log on
password every month. Please do so when prompted.
Your main LOG ON password must consist of 8 alphanumeric characters and contain at least one
uppercase letter.
You are requested not to “recycle” your passwords or use your date of birth or family names.
Do not disclose your password or otherwise enable access to secure facilities to unauthorised third
parties, regardless of whether they are a member of staff. If you have reason to believe that your
password is no longer secure, or you have forgotten your password, you must contact the IT
Manager to re-issue you with a new one.
5.2.2 Data Back Up Policies
Currently, the data backup is on a two week cycle with two tapes per backup. Each backup tape is
marked accordingly
i.e. Monday1A and Monday1B
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The Monday1A tape is placed in the backup server ready for the overnight job. This tape should
have ejected the following morning, at which point the Monday1B tape is inserted and when this
tape has ejected this completes the backup job for Monday. Then the Tuesday1A tape is inserted
and the whole process repeated. Both tapes for each day (Monday1A & 1B) must be taken offsite
that evening.
The following week will commence with the Monday2A & 2B tapes.
5.2.3 No Unauthorised Software Programmes
You are not permitted to download from the Internet or install through any removable
media (USB stick / drive ) any software programmes into the Firm’s IT Systems (whether
licensed or not). If a software programme is required to be installed in the course of your work,
make your request known to the IT Manager who will be responsible for evaluating the software
and making the appropriate recommendation. The IT Department shall be responsible for all
downloads and installations of software.
5.2.4 Download or installation of 3rd Party Materials
Where, in the course of your work, you need to download material from the Internet, in an email
attachment or USB stick / drive (other than text files from parties known to you and are involved
in an ongoing matter or from trusted sites), you must seek and obtain authorisation from the IT
Department who will carry out appropriate anti-virus scanning and ensure that safeguards against
malicious software codes are in place prior to the download.
5.2.5 Anti-Virus Software
The Firm’s IT Systems (Servers) is protected by SOPHOS and regular virus-definition updates are
supplied and automatically installed under the terms of the licence
5.2.6 Stay Alert to Security Risks
To keep the Firm’s IT Systems virus-free, exercise caution when opening email messages from
unidentified parties. Do not open any email attachment unless you recognise the sender AND you
are expecting an attachment from the sender. Delete suspicious emails from your mailbox or alert
the IT Department if you are unsure of what action to take.
5.3 USE OF THE FIRM’S IT SYSTEMS
In this section, the term “the Firm’s IT Systems” includes the office equipment such as
photocopiers, scanners, franking machines, system/s (servers and operating systems), telephone
system, digital dictation etc.
5.3.1 Misuse of Firm’s IT Systems
The Firm has made, and continues to make, a substantial investment in the upgrade and renewal
of the Firm’s IT Systems. You are expected to exercise an appropriate degree of care when
handling such equipment. Misuse of the Firm’s IT Systems resulting in damage or loss is
misconduct which may result in disciplinary action. It is the user’s responsibility to keep their
workstation area, keyboard, mouse and monitor clean at all times.
5.3.2 Reporting Faults
Faults may manifest themselves as either application or hardware based. If you experience a
problem with a software application then this might easily be resolved by closing down and re-
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opening the specific Programme/application. If the fault persists or you learn that other members of
staff are also experiencing the same fault then report it to the IT Department.
Hardware faults, such as your PC (Wyse or Neoware units), should be reported to the IT
department. Do not attempt to swap any equipment, mouse, keyboard etc., with any spare/s that
maybe located (on other machines) in your office.
Only swap equipment out once you have informed the IT department and by doing so a
replacement part can then be despatched.
5.3.2.1 Reporting Faults on Copiers
Copier faults such as paper jams, if not easily rectified by a member of staff, should be reported to:
Network Print Solutions – Steve Tipton 07866 315394
5.3.3 Inappropriate Use
The uses of the Firm’s IT Systems to create, copy, transmit or disseminate inappropriate, illegal or
offensive material is strictly prohibited.
For our purposes, inappropriate material (whether text, image, video, data or programmes) is
material that the Management perceives to be pornographic or obscene or contains racial, sexual
or religious tones that does or could cause offence to any party, and includes material that
contains or involves –
• defamatory or illegal material
• unlicensed software, or pirated films or music
• breach of client confidentiality
• professional misconduct
• breach of the Firm’s security polices.
Misuse as described above will lead to disciplinary proceedings which could lead to an employee’s
dismissal.
5.3.4 Personal Use
While the Management recognises and accepts that occasionally you may need to use the
Firm’s IT systems (eg, your workstation, copiers, scanners, email or Internet access) for your own
personal use, it must be limited to brief and reasonable use that does not interfere with the timely
and diligent performance of your normal office duties.
The use of the Firm’s IT Systems to generate private profit for you or third parties unrelated to the
business of the Firm or involves inappropriate material as described in section 5.3.3 above is
strictly prohibited.
Misuse as described above will lead to disciplinary proceedings which could lead to an
employee’s dismissal.
5.4 EMAIL USE POLICY
This section covers general guidelines for Internet and E-mail use however, staff should familiarise
themselves with the Firm’s Internet & E-Mail Policy statement.
See Appendix 5A Internet and Email Policy
5.4.1 General Email Use
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The office email is a business tool and should be used in an appropriate manner as befitting the
professional and business environment of a law Firm.
The use of office email to transmit, share, disseminate or broadcast inappropriate material is
prohibited. “Inappropriate material” is described in section 5.3.3 above.
Personal or social use of the email is governed by the paragraph on Personal Use of
Firm’s IT Systems in section 5.3.4 above. You are hereby notified that copies of all emails are
stored on the Firm’s servers that are routinely accessed by the IT Department, and are therefore
not necessarily private.
5.4.2 Potential Torts and Other Liability
The Firm is regarded as a publisher of messages delivered on the office email and you are
reminded of the potential hazards of careless email messages that contain defamatory or
other content that may open the Firm to liability. As legal privilege may not extend to all
correspondence, you are strictly prohibited from making injurious or offensive remarks about your
client, opponent, witness’s legal counsel or any other party by email or other forms of
communication.
5.4.3 Client Confidentiality
Where the email contains confidential information, you should obtain the prior informed
consent of the client on the use of email as a means of delivery of the confidential information.
5.4.4 Signatures on Outgoing Emails
All outgoing emails must bear the prescribed outgoing email signature, See Appendix 5B
Outgoing E-Mail Signature, bearing the persons name, the Firm’s name, the persons direct
telephone and fax numbers, email address, website address, disclaimer and confidential warning.
5.4.5 Language in Email Communications
All outgoing emails must be written in polite formal language generally adopted for any
other form of written communication when addressing a client or legal counsel. Informal or
inappropriate communication through email may open the Firm to legal liability or risk of
embarrassment. If in doubt, do not send anything by email that you would not be prepared to send
on the Firm’s letterhead.
5.4.6 No undertakings by Email
No undertakings may be given by email (except in wholly exceptional cases and authorised by the
Managing Partner or Head of Department).
The Firm has subscribed to the Riliance risk and compliance management systems, which forms
an integral part of its risk and compliance management strategy. Please refer to the separate
section on Riliance and in particular the undertakings section.
5.4.7 “Out of Office” Response
Facilities are available to divert your email to another recipient in the Firm (e.g. your leave
cover) while you are away for a period of time and unable to respond to incoming mail.
See Appendix 5C Out Of Office Response for a guide on a typical out of office automated
response.
5.4.8 Filing of Email Messages
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All client/matter related email messages should be saved in Evolution ( the Firm’s Client / Matter
management system) and/or be printed and filed in the matter file. The policies and procedures
relating to filing of matter work in this Manual apply to email as well as ordinary correspondence by
fax and mail.
Procedures for saving and filing e-mails can be found at section 4.6.2.2
5.5 INTERNET USE
See Appendix 5A Internet and Email Policy
5.5.1 Acceptable Use
Access to the Internet is available on all workstations and via your Published Desktop application.
Acceptable use of the Internet includes legal research, client or client industry research and
access to online services described in section 5.5.2. Personal or social use of the Internet
is governed by the paragraph on Personal Use of Firm’s IT Systems above.
“Inappropriate Use” in this instance shall also include visiting sites that contain pornographic or
obscene material or contains racial, sexual or religious tones that does or could cause offence to
any party.
5.5.2 Subscription to Online Service Providers
The Firm maintains an ongoing subscription to the following on-line services.
See Appendix 5D Subscriptions to Online Services
Only specified staff members of the Firm who have undergone training and who are responsible for
conducting the specific searches / online filing have been given passwords to access these
services. If you need to use any of the online services, make your request known to the
person listed against the appropriate service in Appendix 5D and she will take you through the
correct payment authorisation procedures (if any) and give you instructions on how to use the
service.
5.6 WEBSITE CONTROL / MANAGEMENT RILIANCE recommend SR version
5.6.1 Person with overall responsibility
The person with overall responsibility for the website is Steve Rayson (IT Manager).
His responsibilities include:
Ensuring the website contains all the information about the firm as required by the SRA
Code of Conduct 2011 and by any legislation relevant to the business
Ensuring compliance with the Equality & Diversity Act 2010 and in doing so consider the
site’s accessibility for this who are less able
Ensuring the provision of a privacy notice explaining how any data collected from visitors
will be managed by the practice.
Updating of content on department pages as and when required
Updating of news articles as and when required
Updating/uploading of department information leaflets as and when required
Updating of Job Vacancies as and when required
5.6.2 Maintenance and hosting
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The web site is maintained/supported and hosted by Carpe Diem.
Carpe Diem Inc Ltd
60 High Street, Newton Le Willows, Merseyside, WA12 9SH
Tel: 01925 299846
Their responsibilities include:
Support of website
Hosting
Making any technical or design amendments, which is beyond the scope of Steve Rayson’s
role, as an when required and only when authorised by a Partner.
No technical or design amendments are to be undertaken without a written quotation from
Carpe Diem and all costs authorised by a Partner
5.6.3 Content responsibility
It is the responsibility of the Partners and Heads of Department to provide the content for the
website which include:
Ensuring content does not infringe copyright
Ensuring any publicity conforms to the Solicitors Code of Conduct 2011
Department page content
Leaflet content
News articles content
Staff profile content
They will also need to be satisfied that a review period or expiry date has been set for
content, news articles and leaflets
Final responsibility for approving new or revised documents/articles for publication on the website
rests with:
Andrew Stockton, Ian Howells, Ainsley Pritchard, Paul Hatton and Janet Calvert
5.6.4 Our Website and third party links
The website will specify that the jurisdiction and applicable law to be invoked as that of England
and Wales in the event of any dispute arising as a result of content posted on the firm’s website.
The decision to link the firm’s website with that of any other organisation and the management of
the arrangements will be the responsibility of Andrew Stockton (Partner). Such links will be
governed by a contract signed on behalf of the firm. The contract will specify sites to which the
firm’s website is linked; address any legal and business implications; specify the circumstances of
accessing the linked site; include relevant disclaimers and address copyright issues.
5.6.5 Improving or ideas for our Website
If you have any suggestions for how our site could be improved please contact Andrew Stockton or
Ainsley Pritchard.
5.7 SOCIAL MEDIA RILIANCE recommend Riliance sourced with SR amends
5.7.1 Introduction
The growth of the use of social media by clients is resulting in a corresponding expectation that the
legal profession should also embrace it as part of its working practices. Social media activity is
beneficial for engaging with clients and other professionals and can be used to allow greater
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access to legal information and resources. It also provides greater opportunities for professional
networking and it can be used to debate, share opinions and share experiences by 'posting' or
commenting in public spaces.
However as well as the benefits of using social media it is important that there is an awareness of
the potential risks involved. In particular the potential blurring of the boundaries between personal
and professional use, and the importance of recognising that the same ethical obligations apply to
professional conduct in an online environment.
5.7.2 General Policy re Personal Use
The minimal personal use by staff of the firm’s facilities and of their own devices such as mobiles,
iPads etc is acceptable for social media purposes provided:
the use is minimal and mainly out of normal working hours ie during lunch breaks or outside
core hours of work.
the usage does not interfere with client or business commitments
the usage complies with other related policies,
Continued use of our facilities for all staff is based on the understanding that this use is not abused
or overused. Such abuse or overuse could be deemed an individual disciplinary matter.
5.7.3 User Privacy
On occasions it is necessary for the firm to monitor correspondence and communications to ensure
the effective operation of its IT systems and to ensure that professional standards are maintained.
There might therefore be occasions when it is necessary to check e-mail/internet/social media
communications on their way to or from a member of staff.
We trust employees not to misuse their use of these facilities. However, because employees are
allowed to use e-mail/internet for personal reasons, it may be impractical to conduct monitoring as
described above, which does not in some way infringe on the privacy of employees. Staff are
therefore deemed to understand the need for occasional monitoring and consent to it unless they
submit a written objection to this to the Partners. The firm for its part undertakes not to intrude to
an unnecessary extent into private e-mails or to use/repeat/circulate any information which may
come to its knowledge by way of the monitoring.
5.7.4 Types of Social Media
Social media are web-based and mobile technologies that turn communication into active dialogue.
There are many different types of social media channels, which attract specific audiences for
different purposes. These include:
forums and comment spaces on information-based websites, for example BBC Have Your
Say
social networking websites such as Facebook, LinkedIn and LegalOnRamp
video and photo sharing websites such as Flickr and YouTube
weblogs, including corporate and personal blogs
micro-blogging sites such as Twitter
forums and discussion boards such as Yahoo! Groups or Google Groups
online wikis that allow collaborative information sharing such as Wikipedia
any other websites that allow individual users or companies to use simple publishing tools
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5.7.5 Application of This Policy
These rules apply to the use of social media whether:
a) during office hours or otherwise
b) it is accessed using the practice’s I.T facilities and equipment
c) it is accessed using equipment belonging to members of staff
It applies to all individuals at all levels and grades including consultants, locums, casual and
agency workers, work experience or volunteers regardless of working arrangements.
5.7.6 Social Media and our firm
The firm currently uses LinkedIn to promote its profile or services. If at a later date it is considered
that another appropriate form of media is required then a specific approach to the choice of media,
its use and management will be decided upon by the Partners. The potential for its use will be
included as part of the bi-annual business review.
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5.7.7 Social Media and our staff
5.7.7.1 Policy regarding personal use of social media
Although the firm does not actively participate in social media, with the exception of LinkedIn, it is
recognised that members of staff may do so in a personal capacity. While we would not wish to
restrict personal use of social media in using it all personnel must:
Never use social or any other media to make any defamatory or damaging comments about
the business, colleagues within the workplace, or those associated with the firm, including
clients.
Understand that comments or behaviour made via social media about the firm, work
colleagues, clients, or those associated with the firm, which are offensive, discriminatory, or
defamatory or that may result in reputational damage for the firm may give rise to
disciplinary action, even if the comments or behaviour are not made using the firm’s
equipment or during working hours.
Understand that if they have some relation to work by the firm’s name being linked to the
comments/behaviour, or some relation to work by nature of the contents of the comment or
nature of the conduct, or they are about or target someone associated with the firm, then
such conduct may well be sufficient for the matter to be viewed as work related and so a
disciplinary matter.
Never use social media in a way which breaches any of our own internal policies e.g in
relation to the SRA Code of Conduct, confidentiality, equality & diversity, data protection,
etc (not an exclusive list)
Never register any firm email addresses on social media sites.
Never disclose any business trade secrets or confidential information relating to the
business and/ or its employees on social media sites
Never disclose any work related issue or material that could identify an individual who is a
client or work colleague, which could adversely affect the firm, a client or our relationship
with any client.
Never suggest that any views expressed on social media are the views or opinions of the
firm.
5.7.8 Breaches of this policy
Breaching this policy may result in disciplinary action under our Disciplinary Procedures. A
member of staff may be required to remove postings which are deemed to breach this policy and
failure to comply with such requests may in itself be deemed a disciplinary issue.
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5.8 INTERMITTENT FAULTS & DISASTER RECOVERY PLAN
5.8.1 Intermittent Faults (Hardware / Software)
In the event of an intermittent fault:
ConcordeIT
For a hardware fault, on a server then this is covered by a support contract
with ConcordeIT with an SLA of a 4 hour fix.
Contract No NW05201352 Server hardware faults
Telephone: 08432 480022
Contract NW05201351 CISCO Call Manager Telephone system or
Telephone 08432 480022 Inter office links and Internet
Advanced Computer Software (formerly know as AIM)
For software (operating systems or application) these are covered by Advanced
Computer Software and supports Operating Systems (Servers), Evolution, Case
Control, MS Word and Outlook
Contract No
Telephone: 03300 602 102 option 2 then 5 then 3
Bighand
For the support of the Bighand digital dictation software application (not the
equipment)
Contract No
Telephone: 0207 9405910
Oyez
Supports Oyez Forms
Contract No
Telephone: 08450 175517
There is no 3rd party support for the Wyse / Neoware units and if a fault should occur on one of
these units and it is not rectified by powering the unit off / on then the fault should be reported to
the IT Manager. There should be sufficient spare Wyse / Neoware units at each office for the users
to work at another desk, until the faulty unit is replaced.
5.8.2 Disaster Recovery
See Appendix 5E Data Backup Policy and Disaster Recovery
All our servers are housed in a server room within a single storey concrete floor brick and tile
outrigger at the rear of the main office, air conditioned, separated by fire doors. The whole property
was refurbished and re-wired in 1992 to NICEIC standards.
Informal discussions take place with hardware/software suppliers re: availability of back kit in the
event of a disaster and they have indicated a willingness to supply.
In the event of major catastrophe Fee-earning and support staff would be located at one of three
serviced offices locally which are available on short term lets/licences..
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Our IT Manager would contact our current IT hardware support company, ConcoredIT, and request
either loan servers, if available at the time, or new servers. These would then be installed at our
Culcheth office and the estimated timescale to invoke and complete this procedure, including
software installation, and to be fully operational could be up to five days.
Communication would be through the use of company mobiles until the phone system is restored.
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Appendix 5A Internet and E-Mail Policy statement
Dootsons Solicitors
Internet and Email Usage Policy and Guidelines
1. Introduction
1.1 This policy sets out the obligations and expectations on employees of the Firm including
contractors and temporary staff, who use the Firm’s IT facilities for internet and email
purposes. IT facilities are provided to assist with day to day work. It is important that they
are used responsibly, are not abused, and that individuals understand the legal
professional and ethical obligations that apply to them.
2. Authorisation
2.1 No person is allowed to use the Firm’s IT facilities who has not previously been authorised
to do so by the Firm’s IT Department / Line Manager. Unauthorised access to IT facilities is
prohibited and may result in either disciplinary action or criminal prosecution.
3. Legislation
3.1 All users shall comply with the relevant legislation. This includes the following:
3.2.1 Data Protection Act 1998/Freedom of Information Act 2000
Any information which the Firm holds is potentially disclosable to a requester under one of
these pieces of legislation. This includes emails too.
Users need to be sure that they are not breaching any data protection when they write and
send emails. This could include but is not limited to:
Passing on personal information about an individual or third party without their
consent.
Keeping personal information longer than necessary.
Sending personal information to a country outside the EEA.
3.2.2 Email should where possible be avoided when transmitting personal data about a third
party. Any email containing personal information about an individual may be liable to
disclosure to that individual under the Data Protection Act 1998. This includes comment
and opinion, as well as factual information. Therefore this should be borne in mind when
writing emails, and when keeping them.
Computer Misuse Act 1990
This Act makes it an offence to try and access any computer system for which authorisation
has not been given.
3.2.3 Copyright Design and Patents Act 1988
Under this Act it is an offence to copy software without the permission of the owner of the
copyright.
3.2.4 Defamation Act 1996
Under this Act it is an offence to publish untrue statements which adversely affect the
reputation of a person or group of persons.
3.2.5 Terrorism Act 2006
This Act has makes it a criminal offence to encourage terrorism and/or disseminate terrorist
publications.
3.2.7 Telecommunications (Lawful Business Practice) (Interception of Communications)
Regulations 2000.
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This allows for any organisation to monitor or record communications (telephone, internet,
email, and fax) for defined business related purposes.
4. Responsibilities
4.1 All Users are expected to act in a manner that will not cause damage to IT facilities or
disrupt IT services. Any accidental damage or disruption must be reported to the IT
department as soon as possible after the incident has occurred. Users are responsible for
any IT activity which is initiated under their username.
4.2 Use of the Internet
Use of the Internet by employees is encouraged where such use is consistent with their
work and with the goals and objectives of the Firm in mind. Reasonable personal use is
permissible subject to the following:
Users must not participate in any online activities that are likely to bring the Firm into
disrepute, create or transmit material that might be defamatory or incur liability on the
part of the Firm, or adversely impact on the image of the Firm.
Users must not visit, view or download any material from an internet site which contains
illegal or inappropriate material. This includes, but is not limited to, pornography
(including child pornography), obscene matter, race hate material, violence condoning
messages, criminal skills, terrorism, cults, gambling and illegal drugs.
Users must not knowingly introduce any form of computer virus into the Firm’s computer
network.
Personal use of the internet must not cause an increase for significant resource
demand, e.g. storage, capacity, speed or degrade system performance.
Users must not “hack into” unauthorised areas.
Users must not download commercial software or any copyrighted materials belonging
to third parties, unless such downloads are covered or permitted under a commercial
agreement or other such licence.
Users must not use the internet for personal financial gain.
Users must not use the Internet for illegal or criminal activities, such as, but not limited
to, software and music piracy, terrorism, fraud, or the sale of illegal drugs.
Users must not use the internet to send offensive or harassing material to other users.
Use of the internet for personal reasons (e.g. online banking, shopping, information
surfing) must be limited, reasonable and done only during non-work time such as lunch-
time.
Use of gambling sites, online auction sites and social networking sites such as, but not
limited to, Facebook, LinkedIn, Youtube, Twitter, Bebo, Flickr, MySpace etc is not
permissible.
Staff may face disciplinary action or other sanctions (see below) if they breach this
policy and/or bring embarrassment on the Firm or bring it into disrepute.
4.3 Use of Email
Emails sent or received on the email system form part of the official records of the Firm;
they are not private property. The Firm does not recognise any right of employees to
impose restrictions on disclosure of emails within the Firm. Emails may be disclosed under
the Freedom of Information Act, as part of legal proceedings (e.g. tribunals), and as part of
disciplinary proceedings. Users are responsible for all actions relating to their email
account/pc username and should therefore make every effort to ensure no other person
has access to their account.
When using The Firm’s email, users must:
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ensure they do not disrupt the Firm’s wider IT systems or cause an increase for
significant resource demand in storage, capacity, speed or system performance e.g. by
sending large attachment to a large number of internal recipients.
ensure they do not harm the Firm’s reputation, bring it into disrepute, incur liability on
the part of the Firm, or adversely impact on its image.
not seek to gain access to restricted areas of the network or other “hacking activities” is
strictly forbidden
must not use email for the creation, retention or distribution of disruptive or offensive
messages, images, materials or software that include offensive or abusive comments
about ethnicity or nationality, gender, disabilities, age, sexual orientation, appearance,
religious beliefs and practices, political beliefs or social background. Employees who
receive emails with this content from other employees of the Firm should report the
matter to their line manager or supervisor.
not send email messages that might reasonably be considered by recipients to be
bullying, harassing, abusive, malicious, discriminatory, defamatory, and libellous or
contain illegal or offensive material, or foul language.
not upload, download, use, retain, distribute, or disseminate any images, text, materials,
or software which might reasonably be considered indecent, obscene, pornographic, or
illegal.
not engage in any activity that is likely to
o Corrupt or destroy other users’ data or disrupt the work of other users
o Waste staff effort or Firm resources, or engage in activities that serve to deny
service to other users
o Be outside of the scope of normal work-related duties – for example,
unauthorised selling/advertising of goods and services
o Affect or have the potential to affect the performance of damage or overload the
Firm’s system, network, and/or external communications in any way
o Be a breach of copyright or license provision with respect to both programs and
data, including intellectual property rights
not send chain letters or joke emails from a Firm’s account.
Staff who receive improper email from individuals inside or outside the Firm, should discuss
the matter in the first instance with their line manager or supervisor.
Personal use of the Firm’s email is not permitted.
5 Good Practice
5.1 The Firm has good practice guidelines for dealing with email when staff are out of the office
for longer than three days. When activating the "out of office" facility messages should
name an alternative member of staff for correspondents to contact if necessary. This will
ensure that any important messages are picked up and dealt with within required
timescales.
5.2 During periods of absence when highly important emails are anticipated, the employee (or
manager) should make arrangements for notification and access by another appropriate
member of staff.
5.3 Where sensitive and confidential information needs to be sent via email for practical
reasons, please be aware that email is essentially a non-confidential means of
communication. Emails can easily be forwarded or archived without the original sender’s
knowledge. They may be read by persons other than those they are intended for.
5.4 Users must exercise due care when writing emails to avoid being rude or unnecessarily
terse. Emails sent from the Firm may be interpreted by others as he Firm’s statement.
Users are responsible for ensuring that their content and tone is appropriate. Emails often
need to be as formal and businesslike as other forms of written correspondence.
DOOTSONS LLP OFFICE MANUAL 19-03-15 132 of 221
5.5 Users should delete all personal emails and attachments when they have been read and
should also delete all unsolicited junk mail. In the process of archiving emails, users should
ensure inappropriate material is not archived
5.6 The Firm provides a current and up to date automatic virus checker on all networked
computers. However, caution should be used when opening any attachments or emails
from unknown senders. Users must best endeavour to ensure that any file downloaded
from the internet is done so from a reliable source. It is a disciplinary offence to disable the
virus checker. Any concerns about external emails, including files containing attachments,
should be discussed with the IT / Line Manager.
6. Legitimate Access to Prohibited Material
6.1 There may be circumstances where Users feels that the nature of their work means that
they are required to access or use material prohibited under this policy. If so, this should be
discussed with the Line Manager concerned. The Firm is legally responsible for the content
and nature of all materials stored on/accessed from its network.
7. Remote Users
7.1 Users may sometimes need to use the Firm’s equipment and access the Firm’s network
while working remotely, whether from home or while travelling. The standards set out in this
document apply whether or not the Firm’s equipment and resources are being used.
8. Monitoring
8.1 All resources of the Firm, including computers, email, and voicemail are provided for
legitimate use. If there are occasions where it is deemed necessary to examine data
beyond that of the normal business activity of the Firm then, at any time and without prior
notice, the Firm maintains the right to examine any systems and inspect and review all data
recorded in those systems. This will be undertaken by authorised staff only. Any information
stored on a computer, whether the information is contained on a hard drive, USB pen or in
any other manner may be subject to scrutiny by the Firm. This examination helps ensure
compliance with internal policies and the law. It supports the performance of internal
investigations and assists in the management of information systems.
9. Penalties for Improper Use
9.2 Withdrawal of facilities
Users in breach of these regulations may have access to The Firm’s IT facilities restricted
or withdrawn.
9.3 Disciplinary Action
Breaches of these regulations may be dealt with under the Firm’s disciplinary procedures. It
may lead to termination of employment from the Firm.
9.4 Breaches of the law
Where appropriate, breaches of the law will be reported to the police.
DOOTSONS LLP OFFICE MANUAL 19-03-15 133 of 221
Appendix 5B – Outgoing Email Signature
Outgoing Email Signature
All Outgoing Email must contain the following sign off and disclaimer in the format below.
Only the office details and contact information will change.
SAMPLE :
User name
Position / Title
For and on behalf of
Office: 01942 673431
Direct Dial: 01942 263662
Direct Fax: 0207 067 9311
DX: 22507 Leigh
Website: www.dootsons.co.uk
61 - 63 Church Street, Leigh, Greater Manchester, WN7 1AY
This email and any attached files are confidential and intended solely for the use of the addressee. If you have received this email in error, please
notify the sender by return email and delete this message.
If you are not the intended recipient any disclosure, reproduction, distribution or other dissemination or use of this communication is strictly
prohibited.
Dootsons LLP (Limited Liability Partnership) Solicitors - Authorised and regulated by the Solicitors Regulation Authority, SRA number 00440531.
Members:- Ian Howells, Andrew Stockton.
Registered in England & Wales. Registered Office:- 61 - 63 Church Street, Leigh, Greater Manchester, WN7 1AY. Registration No:- OC318139.
VAT No:- 151907275.
DOOTSONS LLP OFFICE MANUAL 19-03-15 134 of 221
Appendix 5C – Out Of Office Automated Response
Out Of Office Automated Response
If you are going to be away for a period of time, please ensure that the following steps are
taken in relation to your incoming email
Using Microsoft Outlook’s Out Of Office Assistant
a. Ensure you enter a brief description of the duration of absence from the office and also
supply alternative contact details, such as staff name, phone numbers and / or e-mail
address.
b. Redirect your mail to another member of staff (your secretary or colleague)
SAMPLE :
I am currently out of the office and will be unable to respond to your e-mail until I return on
dd/mm/yy. If your enquiry is urgent then please contact A N Other on 019XX XXXXXX or e-mail A
N Other [email protected]
DOOTSONS LLP OFFICE MANUAL 19-03-15 135 of 221
Appendix 5D – Subscriptions to Online Service Providers
Subscriptions to Online Service Providers
Name of Service Details of Billing Persons Authorised
Annual subscription charge Andrew Stockton
Lexis Nexis Online Annual subscription charge Andrew Stockton
Practical Law
Government Gateway Per transaction
Land Registry Direct Per transaction
Pali Per transaction
Companies House
TM Group Commercial
Searchflow Commercial
Riliance – Compliance Steve Rayson, ADS/IH and
software all staff
DOOTSONS LLP OFFICE MANUAL 19-03-15 136 of 221
Appendix 5E – Data Backup Policies
Data Backup Policy and Disaster Recovery
1. This is prepared and signed off by the IT Manager / Head of IT Department.
2. It should contain details of the Firms’ data backup & recovery plan; including
description of storage devices and how they operate.
3. It should also contain procedures for off-site storage in the event of fire or other damage.
4. As far as possible, data backup should be automated. However, this Policy should also
prescribe individual roles and responsibilities for data backup within the Firm
Data Backup Policy
The Firm has a data-backup, restore and recovery procedure in place .All data backups are
performed via a dedicated server known as DEH-BACKUP, and using
HP Proliant ML350 server ( 4 x 146.8Gb Ultra 320 SCSI 10k)
Veritas Backup Exec 9.1 as our backup application software
Ultrium 460 tape drive
Ultrium 400Gb data cartridges (tape)
The overnight backup jobs commence at 6pm each evening Monday to Friday and both back up to
tape only, There are two jobs that run on the backup server (DEH-BACKUP) which are:
Remote servers this job is run first so as not to impact on network
Deh-backup to tape traffic and cause disruptions to users when logged on
This job starts mid way through the night and usually
completes around mid-day the following day
If the jobs were to run in the reverse order then this would cause the users to experience poor
performance when logged into applications.
REMOTE SERVERS
This back up consists of backing up two servers, our Exchange (DEH-EXCH1 & Database
(EVOLSVR) server.
DEH-EXCH1 - C: drive, Microsft Information Store (Mailboxes & Public folders), Shadow
Copy Components
EVOLSVR - C: drive (various folders), D: drive (various folders including WPDATA
which contains MATTERS, LIBRARY and MANAGEMENT folders and
their sub-folders)
Shadow Copy Components
DEH-BACKUP TO TAPE
This back up consists of backing up the TS Profiles and ARCHIVE from EVOL
The TSProfiles are all the user profiles
The Archive from EVOL is mainly all the department archive matters and all the live
Commercial matters which were moved from the Evolution server in order to reduce
the amount of disc space used.
DOOTSONS LLP OFFICE MANUAL 19-03-15 137 of 221
Frequency of back-up
Currently, the data backup is on a two week cycle with two tapes per backup. Each backup tape is
marked accordingly and each tape is loaded into the tape drive by the IT Manager or in his
absence one of the cashiers.
i.e. Monday1A and Monday1B
The Monday1A tape is placed in the backup server ready for the overnight job. This tape should
have ejected the following morning, at which point the Monday1B tape is inserted and when this
tape has ejected this completes the backup job for Monday. Then the Tuesday1A tape is inserted
and the whole process repeated. Both tapes for each day (Monday1A & 1B) must be taken offsite
that evening.
The following week will commence with the Monday2A & 2B tapes.
The previous night’s backup tapes are taken off site each evening by the IT Manger or in his
absence one of the cashiers.
All tapes not in use or off site are stored in a lockable safe in the IT Manager’s office.
Restore
Data can only be restored from the tapes as long as it exists on the tapes and doesn’t go beyond
the two week backup cycle or it hasn’t been deleted prior to a backup and the data has only just
been requested.
Disaster Recovery
All our servers are housed in a server room within a single storey concrete floor brick and tile
outrigger at the rear of the main office, air conditioned, separated by fire doors. The whole property
was refurbished and re-wired in 1992 to NICEIC standards.
Informal discussions take place with hardware/software suppliers re: availability of back kit in the
event of a disaster and they have indicated a willingness to supply.
In the event of major catastrophe Fee-earning and support staff would be located at one of three
serviced offices locally which are available on short term lets/licences..
Our IT Manager would contact our current IT hardware support company, ConcoredIT, and request
either loan servers, if available at the time, or new servers. These would then be installed at our
Culcheth office and the estimated timescale to invoke and complete this procedure, including
software installation, and to be fully operational could be up to five days.
Communication would be through the use of company mobiles until the phone system is restored.
DOOTSONS LLP OFFICE MANUAL 19-03-15 138 of 221
Appendix 5F – Social Media Policy
Policy regarding personal use of social media
Although the firm does not actively participate in social media, with the exception of LinkedIn, it is
recognised that members of staff may do so in a personal capacity. While we would not wish to
restrict personal use of social media in using it all personnel must:
Never use social or any other media to make any defamatory or damaging comments about
the business, colleagues within the workplace, or those associated with the firm, including
clients.
Understand that comments or behaviour made via social media about the firm, work
colleagues, clients, or those associated with the firm, which are offensive, discriminatory, or
defamatory or that may result in reputational damage for the firm may give rise to
disciplinary action, even if the comments or behaviour are not made using the firm’s
equipment or during working hours.
Understand that if they have some relation to work by the firm’s name being linked to the
comments/behaviour, or some relation to work by nature of the contents of the comment or
nature of the conduct, or they are about or target someone associated with the firm, then
such conduct may well be sufficient for the matter to be viewed as work related and so a
disciplinary matter.
Never use social media in a way which breaches any of our own internal policies e.g in
relation to the SRA Code of Conduct, confidentiality, equality & diversity, data protection,
etc (not an exclusive list)
Never register any firm email addresses on social media sites.
Never disclose any business trade secrets or confidential information relating to the
business and/ or its employees on social media sites
Never disclose any work related issue or material that could identify an individual who is a
client or work colleague, which could adversely affect the firm, a client or our relationship
with any client.
Never suggest that any views expressed on social media are the views or opinions of the
firm.
Breaches of this policy
Breaching this policy may result in disciplinary action under our Disciplinary Procedures. A
member of staff may be required to remove postings which are deemed to breach this policy and
failure to comply with such requests may in itself be deemed a disciplinary issue.
DOOTSONS LLP OFFICE MANUAL 19-03-15 139 of 221
Updated version of previous Office Manual
Section: 6 – OUTSOURCED SERVICES
Version: 1
Date: 23/12/14
6 OUTSOURCED SERVICES
The Firm has outsourced the maintenance of specific office equipment and arranged for
legal support services to be provided by third party providers. The names, contact details and
key service arrangements of these maintenance contracts are listed in Appendix 6A Outsourced
Services.
In the event of any services being required, the IT Manager should be informed who will make the
necessary contact with the service provider.
In the event of their (IT Manager) absence, the supplier can be contacted directly.
DOOTSONS LLP OFFICE MANUAL 19-03-15 140 of 221
Appendix 6A – Outsourced Services
Outsourced Services
Maintenance Provider Contact Details Personnel in Key Service
Services Charge Arrangements
Air- Conditioning Arctic 01942 672137 Steve Rayson Ad-hoc – as and
Refrigeration 07885 287648 when required
Electrical Shaw Electrical 01942 992098 Ad-hoc – as and
Chris or Dave Steve Rayson when required
Whitehead
Mon – Fri 9-5
Servers ConcordeIT 08432 480022 Steve Rayson excluding Bank
08432 480022 Steve Rayson
Cisco Call ConcordeIT 0207 9405910 Steve Rayson Holidays
Manager Mon – Fri 9-5
excluding Bank
Digital Dictation BigHand
Holidays
Photocopiers Network 07866 315394 Steve Rayson Mon – Fri 9-5
Print Solutions Steve Tipton Steve Rayson excluding Bank
Desktop PCs
(Wyse & In house support Holidays
Neoware units) PDQ Mon – Fri 9 -5
Courier Service excluding Bank
WEBSITE Carpe-Diem 01925 295645 Steve Rayson Holidays
SUMM.IT
Management Andrew Jackson Hosting of
Accounts Laura Dowling website
DOOTSONS LLP OFFICE MANUAL 19-03-15 141 of 221
Updated version of previous Office Manual
Section: 7 – FINANCIAL MANAGEMENT
Version: 1
Date: 23/12/14
7 FINANCIAL MANAGEMENT
Sound financial management is key to the survival and success of the Firm. Proper
financial planning, prudent cash flow management and the implementation of internal financial
procedures and controls will result in lower risk, better cash flows and higher profitability.
The Firm has invested in a Practice and Legal Accounting Management System (PMS) called
Evolution which will capture and store all financial transactions and provide matter and financial
data and reports.
Evolution is the core system in the Firm which provides the following functions:
a. File opening
b. Maintenance of central index of clients and matters
c. Conflict searching
d. Monitoring number and type of matters assigned to each fee-earner
e. Time-recording
f. Saving of client / matter documents
f. Billing
g. Disbursement tracking
h. Office and Clients’ Accounts management
i. Recording key dates
j. File closure
7.1 Responsibility For Financial Management
7.1.1 Management Structure
Whilst all Partners/Members have a responsibility for the financial management of the Firm, the
Partner/Member that is designated (who is also the Compliance Officer Finance and Administration
COFA) has the direct responsibility for overseeing and managing the financial affairs of the Firm.
The Partner works closely with the heads of department and the Accounts Department staff to
oversee the day-to-day and longer term financial affairs of the Firm.
The Partner’s responsibilities include:
a. Ensuring that sound internal financial controls and procedures are in place for all financial
transactions;
b. Overseeing the preparation of financial statements such as profit and loss statements,
balance sheets and cash flow reports;
c. Responsibility for budgets and cash flow forecasts and reviews;
d. Implementing cash management and credit control strategies;
e. Overseeing the performance of the Accounts Department.
Individual solicitors are responsible for the financial management of their matters and are
DOOTSONS LLP OFFICE MANUAL 19-03-15 142 of 221
expected to comply with the Legal Profession ( see Solicitors’ Accounts Rules). If you are
unsure about any aspect of financial management, especially in relation to client monies, please
refer to one of the Partners.
7.1.2 Accounts / Credit Control Department Personnel
The duties of the Accounts Department personnel should be segregated so that the same
individual does not have complete control over the management of funds.
The Accounts Department comprises of two accounts personnel:
Janine Harrison - Accounts
Susan Baines - Credit Control / Accounts
7.1.3 The Firm’s Account /Matter Management System (EVOLUTION)
The system administrator of Evolution is Steve Rayson (IT Manager) who is in charge of all system
settings and configurations. All queries on the use of the Evolution shall be re-directed to the
system administrator.
Evolution is supported by Advanced Computer Software Group who provides updating, servicing
and support services.
No person should access Evolution until they have received training on the use of the system from
the System Administrator.
7.2 Internal Financial Procedures and Controls
7.2.1 Monies Received
This section describes the procedures for the receipt of cheques and cash at each office.
Whenever cash is received by any member of staff, the staff member is responsible for
ensuring that the cash is counted in the Client’s presence and either taken directly to the
Accounts Department for custody and appropriate action or if at Culcheth or Newton office refer
to the procedure at section 7.2.1.2. Cash must never be left unattended. Cash must be counted in
the client’s presence, and a receipt must be issued.
7.2.1.1 Cheques/Cash
Cheques and/or cash (subject to a £500 limit) can be received either in the post/DX or handed in
by a client. The Receptionist/Fee Earner logs the item on the daily Cheques and Cash Sheet, fills
in a chitty and passes this through to the Accounts Department, and a carbon copy of the chitty is
passed to the Fee Earner responsible to be placed on the file.
Pink accounts vouchers / chitties are for client monies
Blue accounts vouchers / chittes are for office monies
7.2.1.2 Receipt of cash at Culcheth and Newton (transfer to Leigh)
Any amount of cash received must be placed in a red coloured envelope together
with the corresponding chitty.
Once the cash is placed in the envelope it must be sealed and the envelope signed
by two members of staff.
If, during the day, more cash is received then another envelope must be used,
sealed and signed.
DOOTSONS LLP OFFICE MANUAL 19-03-15 143 of 221
If, in your absence, other members of staff cover reception duties then please make
them aware of the procedure.
7.2.1.3 BACS/CHAPS Payments
The Fee Earner completes a TT IN form with the relevant details of amount, client name, file
reference and payment details and passes this through to the Accounts Department. Accounts
notify the Fee Earner when the money is received and process accordingly.
See Appendix 7A TT Out Form
7.2.1.4 Verification Procedure
These requirements are necessary to ensure that monies are sent to the correct accounts and to
avoid being defrauded by some very sophisticated criminals. Very recently there has been a case
where a fictitious branch office of a well-established firm was set up together with bank accounts in
order to commit a fraud.
If the information and documentation set out below are not supplied the TTOUT will not be sent:
1 ALL TTOUT forms must have attached to them a copy of the replies to
requisitions/letter/mortgage redemption statement/email/ telephone note(whether
handwritten or typed) containing the bank details of the recipient and a contact number
to enable cashiers to verify the account information. We need to have a document
(letter or email) from the recipient confirming the bank details.
2 Where the recipient is one office of a multi-office firm you must provide the contact
details of the head office
3 Cashiers will check solicitors’ or financial institutions’ bank details against the database
we now hold before processing for payment. Where we do not already hold details or
where there are differences, cashiers will contact the finance dept of the recipient firm
or institution or the client to confirm details.
4 Please look carefully at any document which provides those details – could it have been
doctored or amended in any way before issue to us? Is it copied/original/handwritten
etc? If in doubt raise with IH/ADS/Cashiers. Check the document for obvious
discrepancies – altered names or numbers, different font and font size etc. Anything
remotely suspicious must be double-checked and the account details confirmed with
company/firm/client/other to whom the monies are to be sent
5 Check bank details against the name of the bank – all banks have a sort code (see
below). If there is an obvious discrepancy then this should be flagged to cashiers at an
early stage.
6 Inevitably these additional checks will cause delay in transferring monies if left to the
last minute. The sooner the TTOUT and supporting documentation is produced to
cashiers the sooner they can check out the recipient account.
7 ALL TTIN forms must be accompanied by a document confirming the source of those
funds – this is important for anti-money laundering checks
Usual Bank sort codes
Alliance & Leicester 72-xx-xx Bank of Scotland 12-xx-xx or 80-xx-xx Barclays 20-xx-xx
Co-Operative 08-xx-xx Halifax 11-xx-xx HSBC 40-xx-xx
Lloyds TSB 30-xx-xx or 77-xx-xx Santander 09-xx-xx
Royal Bank of Scotland 16-xx-xx or 83-xx-xx
Natwest 01-xx-xx, 51-xx-xx, 52-xx-xx, 53-xx-xx, 54-xx-xx, 56-xx-xx, 60-xx-xx
DOOTSONS LLP OFFICE MANUAL 19-03-15 144 of 221
Most monies are received by cheque through the post. Monies received in the morning must be
sent to the Accounts department by 12 pm to ensure it is credited to the Firm’s bank account on
that day. Monies received later in the day are to be passed as soon as possible to the Accounts
department, who will place the cheque in a locked safe for overnight storage.
See Appendix 7B TT IN Form
7.2.1.5 Cheque Transit Register
The firm has put in place procedures for the authorisation of payment into the firm’s client account
of third party payee cheques in circumstances where this is appropriate. This is likely to arise most
particularly in the Wills Trust and Probate Department where the nominee on the cheque has been
incorrectly stated as payable to a person or persons other than made payable to the firm (clearly
this only applies when we are acting in the estate and have the authority of the Executor or
beneficiaries if appropriate).
Cheques should be recorded on the Daily Cheque list as normal.
See Appendix 7C Daily Cheque Form
The authorisation form for the banking of third party payee cheques is located at See Appendix 7E
Third Party Payee Cheque Authorisation Form
The Fee Earner should complete or check the form (if completed by the secretary) and sign it
having checked that it is appropriate for payment to be made into the firm’s client account.
Authorisation for the payment of the cheque into the firm’s client account must then be given by
one of the members of the LLP, save that in the event of a cheque for £500.00 or more, two
members of the LLP must sign the form. The signed form is then passed to Cashiers who will
arrange for the payment to be paid into client account.
The firm has made arrangements with its bankers, Royal Bank of Scotland, for this procedure to be
carried out and the Firm has given certain assurances and indemnities to the Bank in respect of
this procedure and therefore it is vital that proper consideration is given prior to a request being
made to a member of the firm that it is appropriate for this procedure to be carried out.
7.2.1.6 Cheque Payments
The Fee Earner/Secretary types the letter and fills in a chitty with payment details. Residential
Conveyancing complete a computerised chitty as per the Case Control system, all other
departments complete a hand written chitty. The letter and chitty are both sent to the Accounts
Department. Accounts process the cheque and attach it to the letter and both are sent to a
Member for authorisation and signature of the cheque. The letter and cheque are then sent out in
the post.
7.2.1.7 Payments out of Client Monies
Cheque payments from client monies are as per the procedure above. For CHAPS/BACS
payments the Fee Earner completes a TT OUT Form and sends to the Accounts Department.
Verification Procedure
These requirements are necessary to ensure that monies are sent to the correct accounts and to
avoid being defrauded by some very sophisticated criminals. Very recently there has been a case
where a fictitious branch office of a well-established firm was set up together with bank accounts in
order to commit a fraud.
DOOTSONS LLP OFFICE MANUAL 19-03-15 145 of 221
If the information and documentation set out below are not supplied the TTOUT will not be sent:
1 ALL TTOUT forms must have attached to them a copy of the replies to
requisitions/letter/mortgage redemption statement/email/ telephone note(whether
handwritten or typed) containing the bank details of the recipient and a contact number
to enable cashiers to verify the account information. We need to have a document
(letter or email) from the recipient confirming the bank details.
2 Where the recipient is one office of a multi-office firm you must provide the contact
details of the head office
3 Cashiers will check solicitors’ or financial institutions’ bank details against the database
we now hold before processing for payment. Where we do not already hold details or
where there are differences, cashiers will contact the finance dept of the recipient firm
or institution or the client to confirm details.
4 Please look carefully at any document which provides those details – could it have been
doctored or amended in any way before issue to us? Is it copied/original/handwritten
etc? If in doubt raise with IH/ADS/Cashiers. Check the document for obvious
discrepancies – altered names or numbers, different font and font size etc. Anything
remotely suspicious must be double-checked and the account details confirmed with
company/firm/client/other to whom the monies are to be sent
5 Check bank details against the name of the bank – all banks have a sort code (see
below). If there is an obvious discrepancy then this should be flagged to cashiers at an
early stage.
6 Inevitably these additional checks will cause delay in transferring monies if left to the
last minute. The sooner the TTOUT and supporting documentation is produced to
cashiers the sooner they can check out the recipient account.
7 ALL TTIN forms must be accompanied by a document confirming the source of those
funds – this is important for anti-money laundering checks
Usual Bank sort codes
Alliance & Leicester 72-xx-xx Bank of Scotland 12-xx-xx or 80-xx-xx Barclays 20-xx-xx
Co-Operative 08-xx-xx Halifax 11-xx-xx HSBC 40-xx-xx
Lloyds TSB 30-xx-xx or 77-xx-xx Santander 09-xx-xx
Royal Bank of Scotland 16-xx-xx or 83-xx-xx
Natwest 01-xx-xx, 51-xx-xx, 52-xx-xx, 53-xx-xx, 54-xx-xx, 56-xx-xx, 60-xx-xx
An up to date Bankruptcy search must be attached for all payments going to a client, together with
a copy of the clients’ bank details, in whatever format they provided them to us. Where a
bankruptcy search shows an entry against a client’s name a copy of the search report must be sent
to the client with a form for the client to sign and return confirming it does or does not relate to
them. The form must be placed on the client file and a copy attached to the cheque request.
For purchase monies or mortgage / loan redemptions, a copy of the replies to requisitions /
redemption statement must be attached.
Accounts will check the ledger to ensure sufficient funds are available. The payment is then
entered into Bankline which is the RBS online banking system. The form is then taken to a Member
who logs into Bankline with their own login details, checks the details and authorises the payment
using the card & keypad authentication devices provided by RBS.
DOOTSONS LLP OFFICE MANUAL 19-03-15 146 of 221
7.2.1.8 Signing of Cheques
Cheques can only signed by Members
Office Account cheques exceeding £10,000 require 2 Members’ signatures.
Cheques should never be signed in blank.
Cheques should be in running order and the Accounts Department should check the sequence
of cheques issued when they undertake the bank reconciliation.
7.2.1.9 Amendments to Cheques
No cheque, whether drawn on Clients’ Accounts or Office Account, should be amended in
any way without reference to the signatories and the Accounts Department. If the amount of a
cheque needs to be altered, then the cheque must be returned to the Accounts Department so
that the related accounting transactions can be altered or the cheque re-issued.
7.2.1.10 General Expenses
General expenses which are not disbursements incurred in a matter should only be authorised
by a Partner.
7.2.1.11 Petty Cash
All petty cash transactions shall be controlled by the Accounts Department. The accounts shall
record all petty cash transactions in Evolution. The petty cash shall be controlled by two
designated person in the Accounts/Credit Control Department (Janine Harrison / Sue Baines), and
kept in a locked safe. The petty cash float shall not at any time exceed:
Leigh office £400
Culcheth office £250
Newton office £250
7.2.1.12 Billing / Invoicing
The Fee Earner / secretary types the bill in triplicate and prepares a time printout from Evolution
and completes a yellow chitty in duplicate ( one copy for the file). The bill should be approved by
the Head of Department and signed by a Partner and sent to the Accounts Department where it will
be input onto the client’s ledger and allocated a bill number. One copy is retained by Accounts and
two are returned to the Fee Earner., one for the file and one copy to be sent out to the client.
Bills are not to be sent out without a bill number
Bills should be issued to clients within two working days of entry on the accounts systems unless
otherwise authorised by a Head of Department
7.2.1.13 Write-Offs
Writing off of any outstanding bills can only be authorised by a Partner (Ian Howells or Andrew
Stockton) on recommendation of a Head of Department. A Balance Write Off form must be
completed. See Appendix 7D Balance Write Off Form
DOOTSONS LLP OFFICE MANUAL 19-03-15 147 of 221
7.2.1.14 Investigation and Clearance of Ledger Queries
Inevitably from time to time, you may have queries on Client Ledger accounts. Whilst the
Accounts Department will afford all possible help, you should first carry out your own
checks to clear the query.
7.2.1.15 Posting into Ledgers
All financial transactions, including receipt of money, payment of money, and debtor and
creditor invoices shall be posted into Evolution as soon as possible so that the information in the
system displays the latest information.
Unless otherwise notified, the Accounts Department will make an assumption that all prepared
cheques and invoices will be issued as soon as the transaction has been duly authorised, and
will effect the ledger posting accordingly.
If the issuance of the cheque or invoice is delayed, you shall be under an obligation to inform
the Accounts Department accordingly.
7.2.1.16 Bank Reconciliation
The monthly reconciliations and adjustments should be prepared by the Accounts Department and
signed off by a Partner.
7.2.1.17 Internet Banking
The Firm has Internet banking facilities. The login and password details to access the
Internet banking facility shall be controlled by the Finance Manager who shall also be
responsible for monitoring the flow of funds via the Internet banking facility daily. No banking
transaction shall be effected over the Internet.
7.2.1.18 Documentation
The Accounts Department shall maintain proper and complete documentation of each financial
transaction, including:-
a. All Payment Requisitions, supporting invoices and other documentation;
b. All debtor and creditor invoices;
c. All bank-in slips, telegraphic transfers, and bank statements;
d. All Clients’ Accounts transfer requisitions;
e. All memos of journal entries/adjustments
The Accounts Department shall file all documents in an orderly fashion.
Financial records shall be retained for such length of time as prescribed by the Law Society or
under the relevant legislation, this is currently seven years.
7.2.1.19 Budgeting and Cash Flow Projections
The Firm’s financial year end is 30th April. A budget is agreed by the Members at the start of every
financial year and fee budgets and targets notified to Heads of Departments. Management
accounts are prepared monthly comparative to budget and cash flow forecasts for 13 week periods
are regularly updated.
The Firm is in the process of implementing a system of profit centre accounting which will produce
detailed profit and loss statements for each department, with support and overhead costs being
allocated to the various departments.
DOOTSONS LLP OFFICE MANUAL 19-03-15 148 of 221
7.3 Time-Recording
Fee Earners are required to keep records of the time spent on each matter, except for matters
which are on a fixed-fee basis. Time records are useful for the following reasons:
a. It helps the Firm to ascertain the cost and profitability of matters and the
performance of Fee Earners;
b. Time spent on a matter is a key factor to be considered in Billing;
c. Clients may require a breakdown of the work done on a particular matter;
d. Fee earners constantly underestimate the time that they spend on a matter.
Fee Earners handling matters which are fixed-fee and process-driven, such as Conveyancing, debt
recovery, accident claims should record time on a sample basis to ascertain the average amount
of time and costs for such matters.
7.3.1 Time-Recording System
Fee Earners should record all time, chargeable and non-chargeable, spent on each client file or
matter in the Evolution system. Evolution computes the total time expended on the matter by each
fee-earner and produces relevant reports which assists in the management of the Firm and the
particular matter for the client.
Unless otherwise noted on annual or other appraisal all fee earners are expected to achieve 5
chargeable and recoverable hours per full working day.
7.3.2 Time-Recording Procedures
Time is recorded in six minute units, and rounded to the next nearest unit. Eg: 7 minutes = 2 units
7.3.2.1 Time-Recording Activity Codes
Chargeable Non Chargeable
001 Letter Out 801 Leigh Administration
002 Letter In 802 Holidays 7 Sickness
003 Tel Call Made 803 Business Development
004 Tel Call Receievd 804 Education & Training
005 Attend Client 805 Culcheth Administration
006 Attend Other 807 Swearing
007 Prep & Per 808 Client N/C
008 Travel 809 Bill Preparation N/C
009 Waiting 810 Atherton Administration
010 Advocacy 811 Client Complaint
011 ATT W/Counsel 812 Debt Collecting
012 Attendance Counsel In Conf 813 Newton Administration
013 WBWK BFWD WIP
Time entries should be recorded as soon as possible after the activity is done.
7.3.2.2 Time Recording Procedure Guide
When entering time you should:
Select Time Recording – Online Time Recording from the Evolution menu bar
This will open your Time Recording Timesheet
You now have two options to record time – Manual or Timed
To manually record time select Insert or
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