People Management Procedures (May23)

Introduction

We recognise that the quality of our service to clients depends directly on you, and we strive to provide a working environment that will enable you to do your best in all your duties.

Purpose

These policies and procedures aim to inform you about how we manage recruitment and progression, inductions and staff exiting the firm. They also include key HR requirements in respect of holidays, absence from work and disciplinary action.

Scope

These policies and procedures apply to all employees, including managers, consultants and any third-party that they have been communicated to.

Responsibility

Nicola Robinson is ultimately responsible for our people management procedures and she will review them regularly to ensure that they remain effective.

Recruitment and progression

We consider our recruitment needs as part of our annual business planning process or whenever an existing post becomes vacant or through growth of the firm.

All aspects of our approach to recruitment will be in line with our Equality and Diversity Policy.

Publicising a new vacancy

The Directors will determine the appropriate strategy for developing a suitable field of candidates. Methods used may include personal contacts, advertising or use of recruitment agencies.

Selection

Selection is usually confined to interviews.

The interview questions will be decided in advance using the job description for the role as the basis for the interview. The same questions will be asked of each candidate in order to obtain an accurate overview of each candidate’s suitability to the role and to ensure equal opportunity for all candidates.

An interview assessment form will be completed for all interviewees, and this will be kept, along with the accompanying interview notes.

Unsuccessful candidates will be informed, in writing, that they have been unsuccessful and a reason for the decision will be given. Successful candidates will be issued with an offer of employment letter outlining the main terms of their employment.

References

Following a decision to employ an individual, agreed references will be sought. One reference will be obtained from the previous employer, with up to two further references being obtained, as appropriate.

Checks

Individuals being appointed will need to provide evidence of their identity. An adverse media search and a DBS criminal record check will also be carried out.

Additional regulatory checks are also required for all prospective employees who are to be employed in fee earning roles.

For prospective employees who are to be employed in the Accounts department, enhanced DBS checks and credit history searches will need to be undertaken.

Please see the firms AML Employee Screening Assessment.

Where appropriate, proof of the individual’s right to work in the UK will also be requested.

Records

Recruitment records are kept by Nicola Robinson for a period of 12 months from the date of the application or interview (the latter if the application proceeds to this stage), in order to provide feedback to candidates, if requested. These records will be securely destroyed after this time.

All external and internal candidates will be subject to the same recruitment procedure.

Joining the firm – induction procedure

Everybody joining the firm will have an induction. It is important that they learn about policies and procedures and the firm’s culture as quickly as possible, so they integrate into the firm in the shortest possible time. Induction material will primarily revolve around the firms’ policies and procedures, immediate training requirements that are apparent and any other departmental information relevant to the individual’s role.

Induction is the responsibility of Nicola Robinson but may also be carried out by a person nominated for the task.

Induction training will commence on the first day of any appointment and will cover:

the management structure of the firm and identity of the COLP, COFA and MLRO;
the range of work done in the firm and in the individual’s department;
key clients / sources of work;
the individual’s terms and conditions of employment;
any immediate training requirements – what they are and when they must be completed by; and
our key policies and procedures.

New staff must be asked if they have brought client information from a previous employer and whether appropriate consents have been sought from them and the clients involved. If consents have not been obtained the previous employer will be contacted and informed, and appropriate steps will be taken to remedy any data breaches that may have occurred as a consequence.

Existing employees who are transferring roles within the firm will also be required to undertake a documented induction process, which is to be overseen by their new line manager, to address any immediate training requirements and allow time to become familiar with the key policies relevant to the new role.

Leaving the firm – exit procedure

When anyone leaves the firm there are a number of steps that will be taken to ensure minimal disruption to the firm:

Arrangements will be made for the orderly handover of work. This will be done as early as possible to allow those taking over the work to discuss any matters with the individual before they leave the firm. In the case of informing clients, fee earners are required to discuss and agree the most appropriate approach to this with their line manager e.g., whether this is to be done by the departing or new fee earner. Arrangements will also be made to deal with the individual’s incoming e-mails once they have left the firm.
An exit interview will be held with the individual to discuss their reasons for leaving and any other relevant issues.
All property belonging to the firm must be returned to us including laptops, mobile phones and other IT equipment, keys to office buildings, etc.
The individual will be reminded that all confidential information including client contact details, information relevant to transactions and precedent know-how material must remain with us and should not be removed from our premises.
User accounts and access permissions to all of our systems and applications will be revoked on the individual’s last day of employment. Nicola Robinson will contact Colin Bailey (CB IT) to ensure that this is done.
All log-in details for external facilities will also be disabled and any subscriptions cancelled.
In the case of solicitors, the arrangements in relation to the cost of their current practising certificate must be discussed and agreed (e.g., it may be that a new firm may reimburse on a pro-rata basis).

It is the responsibility of Nicola Robinson to ensure that the exit procedures are completed prior to the individual’s departure.

References

We will often be asked to provide references for individuals leaving the firm or who have previously worked for us. All requests for references must be referred to Nicola Robinson.

Role profiles

Nicola Robinson is responsible for drafting, updating and managing role profiles (job descriptions).

A copy of your role profile will be kept on your HR file and used in performance management reviews as appropriate.

Role profiles will contain the following information:

job title;
any prerequisites for undertaking the job in terms of qualifications or experience;
desirable qualifications and/ or experience for the job;
main duties, tasks and responsibilities; and
lines of accountability.

Holidays/Annual leave

The holiday year runs from January to December. We attach considerable importance to you taking your full holiday entitlement from a mental health and wellbeing perspective. Holidays cannot be carried over to new holiday years so please ensure you take your full entitlement during the holiday year (apart from in exceptional circumstances which must be authorised by the Directors).

It is your responsibility, in conjunction with your line manager, to ensure that arrangements are made for your work to be covered while you are away. Holiday dates must, therefore, be agreed in advance with your line manager.

We reserve the right to refuse holiday requests if there is a good business reason for doing so and will ensure that you are notified within one week of your request if the holiday request is going to be refused.

Basic holiday entitlement is 24 days holiday per year (pro rata for part time staff). The Directors can specify up to three days a year for holidays to be taken and any additional days are given at the direction of the Directors.

Absences

Any absence from work through sickness or any other reason (with the exception of approved holidays) must be notified to Nicola Robinson (or another director in their absence) on the first day of the absence so that suitable absence cover can be put in place. Contact should be made by telephone by direct dial (01538 758919) at the start of the normal business day.

For absences up to five working days, staff are required to complete and sign a Statutory Sick Pay Certificate countersigned by the Finance Director.

For absences of six working days or more staff are required to send a “fit note” signed by a medical practitioner to the Finance Director as soon as possible.

Whilst a member of staff is off sick statutory sick pay would be paid where appropriate, and any additional salary payment will be determined according to the employee’s length of service with the firm as follows:

0-12 months’ service – no entitlement to any paid sick leave

1-2 years’ service – 1 day’s paid sick leave

2-3 years’ service – 5 days paid sick leave

3 or more years’ service – 10 days paid sick leave

Appointments for visits to doctors or dentists should be arranged to occur outside office hours if possible or failing that near the beginning or end of the day. If the appointment has to involve taking time off work, advance notification should be given to the Finance Director.

Absence in order to care for another family member is not covered by our sickness policy and will count as unpaid leave unless agreed otherwise or taken as annual leave.

Any requests for compassionate leave should be made to a director.

All jury service applications should be made to Nicola Robinson and the jury summons documents must be produced. You should claim, from the court, the maximum amount to which you are entitled in respect of loss of earnings.

Maternity leave

Expectant mothers should visit the ‘Maternity pay and leave’ section of the gov.uk website for full details about their maternity entitlements [and see our Maternity/Parental Leave Policy].

Depending on a number of factors, including your time at the firm, you will have certain rights to:

time off for antenatal care;
maternity leave; and
maternity benefits.

If you become pregnant, please let Nicola Robinson know as soon as possible so that consideration can be given to any health and safety implications. We will also need to know the anticipated date of the birth, the date at which you wish to start your maternity leave and your proposed date of return to work, if you plan to do so, as soon as possible in order that we can plan cover for your position.

Antenatal care

Expectant mothers will be entitled to take time off during normal working hours to attend antenatal care. You are asked to try to arrange all such appointments near the beginning or the end of the working day, where possible, and to notify your line manager of any forthcoming appointments as soon as you know them.

Maternity pay

For details of your possible entitlement please see Maternity pay and leave: Overview – GOV.UK (www.gov.uk)

Staying in touch

During the period of absence please keep us informed of developments and particularly if your plans for a return-to-work change at any time. Furthermore, your rights regarding your return to work do vary according to whether you have taken ordinary or additional maternity leave – please, therefore, let us know as soon as possible.

All employees can work up to 10 days by way of ‘keeping in touch days’ during their maternity or adoption leave; these are optional, and both the employee and the firm need to agree to them. For more information, please see the ‘Employee rights when on leave’ section of the gov.uk website.

Paternity leave

Fathers wishing to take paternity leave should visit the ‘Paternity pay and leave’ section of the gov.uk website for more information.

Adoption leave

Those looking to take adoption leave should visit the ‘Adoption pay and leave’ section of the gov.uk website for more information.

Shared parental leave

Parents looking to take shared parental leave should visit the ‘Shared Parental Leave and Pay’ section of the gov.uk website for more information.

Disciplinary procedure

The disciplinary procedure is designed to ensure fair treatment for those whose job performance falls below expected levels and those involved in breaches of the firm’s policies and procedures.

Depending on the seriousness of the circumstances, the disciplinary procedure may be invoked at any stage, except in instances of gross misconduct which could lead to instant dismissal.

Stages of the disciplinary procedure

Verbal warning

A verbal warning may be sufficient to stop a situation of under-performance or poor behaviour escalating. Any such warning will clearly explain the reason for the warning and suggest corrective action.

A written record of the meeting will be held on the individual’s HR record for 12 months.

Verbal warnings can be issued by a director.

First written warning

A first written warning will set out:

the performance issue;
the improvement that is required;
the potential consequences of further misconduct or failure to improve;
the timescales for achieving this improvement;
the review date; and
any support or training that the firm will provide to assist the individual.

Failure to improve after a first written warning may lead to a final written warning and, ultimately, dismissal.

First written warnings can be issued by a director. A copy of the written warning will be held on the individual’s HR record for 12 months and their performance will continue to be monitored during this time.

Final written warning

A final written warning will be issued where:

within 12 months of the first written warning, there has been a repeat of the misconduct that the warning related to or the poor performance has continued; or
there has been a serious case of misconduct for which a first written warning would not be sufficient; or
an offence amounting to gross misconduct has occurred.

A final written warning can only be issued by Timothy Halliday (COLP). It will remain on the individual’s HR record for 12 months.

Dismissal and other sanctions

An individual may be dismissed if –

there has been a repetition of the conduct or poor performance for which the final written warning has been issued; or
an offence constituting gross misconduct has occurred.

A decision to dismiss an individual can only be made by Timothy Halliday (COLP).

Where appropriate, other sanctions may be considered such as suspension, demotion or transfer (if permitted in the contract of employment). If any of these sanctions are considered, they will be discussed in full, with the individual, before they are issued.

Gross misconduct

It is impossible to list every type of behaviour that amounts to gross misconduct.

However, we consider the following acts to be gross misconduct which may justify instant dismissal:

improper use of/or disclosure of information concerning the firm or our clients;
any conduct which may impact on the integrity and reputation of the firm;
theft;
fraud or deliberate falsification of records;
malicious and deliberate damage to property and equipment;
breaching statutory health and safety regulations;
negligent behaviour endangering life;
physical violence or bullying;
unlawful discrimination or harassment;
serious insubordination;
assault;
serious incapability through the influence of alcohol or drugs;
causing loss, damage or injury through serious negligence;
a serious breach of confidence;
a serious or potentially serious error in advice given to a client;
a serious breach of the firm’s policies and procedures; and
a serious breach of regulatory requirements and/or relevant legislation.

General principles for implementing the disciplinary procedure

No disciplinary action will be taken until the matter in question has been fully investigated.
Any invitation to attend a disciplinary meeting must be made in writing and the individual must be given adequate time to prepare for the meeting and be informed of the right to be accompanied.
Individuals will have the right to appeal any disciplinary action.
Records will be kept of all meetings.

Appeals

If an individual is unhappy with the disciplinary action issued, they may appeal against the decision by writing to Nicola Robinson within 5 days of such action being issued, explaining why they disagree with that action.

Timothy Halliday will then review the matter and the final decision will be notified in writing to the individual within 14 days of the review.

Reporting misconduct

In accordance with the SRA Standards and Regulations, we are obliged to promptly report to the SRA any serious misconduct by an individual that comes to our attention.

Grievance procedure

We want everybody to feel happy at work and, where issues arise, we want to make sure that they are dealt with promptly and effectively. To ensure that we are able to do this, we have a grievance procedure in place.

Raising a grievance

If you have a grievance at work and it is not possible to resolve the grievance informally, you should raise the matter formally and without unreasonable delay with Nicola Robinson or another appropriate person who is not the subject of the grievance. This should be done in writing and should set out the nature of the grievance.

Responding to a grievance

Upon receipt of a formal grievance, we will arrange for a formal meeting to be held without unreasonable delay. You will be given the opportunity to fully explain your grievance and how you think it should be resolved. Where appropriate, we will adjourn the meeting to allow time for any investigation that may be necessary.

Right to be accompanied

Individuals have the right to be accompanied by a fellow worker at the grievance meeting and they must tell us who will be accompanying them, prior to the meeting, to allow us to make arrangements for the meeting. The companion will be allowed to address the hearing and sum up the case but they cannot answer questions on the individual’s behalf.

Decision

Following the grievance meeting, we will decide what action, if any, to take. We will inform the individual of our decision, in writing, without unreasonable delay. Where appropriate, we will also set out what action we intend to take to resolve the grievance. Individuals will be able to appeal our decision if they are not happy with it.

Appeals

If an individual wants to appeal our decision, they should inform us, in writing, of the grounds for the appeal, without unreasonable delay.

We will inform the individual of the date and time that the appeal will be heard. Where possible, we will try to ensure that a person that was not previously involved in the case hears the appeal.

Individuals have a right to be accompanied at any appeal hearing.

The outcome of the appeal will be communicated, in writing, without unreasonable delay.

Dress and demeanour

The way that we look says a lot about the firm. Each of us is individually representing the firm to everybody that we are in contact with, and our personal image is a reflection of this.

As a firm, we expect a high standard of personal appearance, dress and hygiene.

Regardless of your role, you are expected to dress in smart business clothing when working in the office, irrespective of whether you will be seeing clients/suppliers that day.

Review of these procedures

These procedures will be reviewed at least annually by Nicola Robinson.

May23

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