SB Lawyer's Policies

Updated: 24th January 2024

2.1 Commitment to Quality and Client Care Policy

We are committed to delivering a high level of service to all our clients and to ensuring that both our quality system and manual are operating effectively. We endeavour to treat our clients fairly and with respect and in all cases to deliver a professional and courteous service. This is achieved by following the policies and procedures outlined in this manual.

In particular, we:

• appreciate that we owe a duty of confidentiality to our clients. To this effect, we maintain a Confidentiality Policy;
• consider whether a conflict of interest is present or has arisen in accordance with our Conflict of Interest Policy and procedures for the Identification of Conflicts;
• consider our client’s needs, vulnerabilities and specific requirements in accordance with our Vulnerable Clients Policy. We only accept the instructions where we are confident that we have the required resources, skills and procedures necessary to carry out the client's instructions in a competent and timely manner. To this end, any new matters are only accepted in accordance with our procedures for Accepting and Declining Instructions and ensuring specific roles are allocated to fee earners in accordance with our File Allocation procedure;
• deal with all enquiries from clients in accordance with our Client Enquiries procedure;
• provide services to clients in a manner that protects their interests and is compliant with the SRA’s Standards and Regulations and Transparency Rules. To this effect, we follow specific Client Care at the Start of the Matter procedures and ensure that we provide sufficient information to clients to ensure they can make an informed decision about our services;
• safeguard and promote the welfare of children and young people who access our services or who we may otherwise come into contact with while providing our services in accordance with our Safeguarding Policy;
• follow our Use of External Suppliers procedure when engaging the services of an external supplier;
• explain to clients their rights as data subjects and meet the standards required in relation to the handling and processing of data;
• take steps to prevent our involvement in financial crime, not least in relation to anti-money laundering, financial sanctions, anti-bribery and other key financial crime prevention compliance areas. Our policies are set out in our Financial Crime Prevention Manual;
• ensure that in the event that we are unable to continue to deal with our clients’ matter, they are referred properly to another legal provider in accordance with our Referrals procedure;
• take steps to promote equal opportunity, inclusivity and respect for diversity in relation to access to the legal services that we provide. We make reasonable adjustments to ensure that our services are accessible to all clients. Our services are provided in accordance with our Equality, Diversity & Inclusion Policy; and
• comply with the Modern Slavery Act 2015 in accordance with our Modern Slavery Policy.

All staff members are responsible for maintaining quality and high levels of client care within this practice. Compliance will be monitored through our regular file review process and by reviewing complaints conducted as part of our COLP’s compliance regime.

Linda Parish maintains overall responsibility for client care and will review our policy and manual annually to ensure that we are delivering an optimum service to our clients and to verify that our policy and procedures are in effective operation.

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2.2 Equality, Diversity & Inclusion Policy

We are committed to eliminating unlawful discrimination and promoting equality, diversity and inclusivity within our policies, practices and procedures. We aim to encourage, value and manage diversity, are committed to equality for all our staff members, including potential staff members and aim for all staff members to feel valued and included within the firm. These principles of equality of opportunity, non-discrimination and inclusivity also apply to our professional dealings with clients and others.

We treat everyone equally and with the same attention, courtesy and respect regardless of:

• sex (including pregnancy, maternity and paternity);
• marital or civil partnership status;
• gender reassignment;
• sexual orientation;
• race or racial group (including colour, nationality and ethnic or national origins);
• religion or belief;
• age (or perceived age);
• caring responsibility; or
• disability (past or present).

We take all reasonable steps to ensure that the firm and its staff do not unlawfully discriminate under:

• the Equality Act 2010
• the Employment Rights Act 1996;
• the Human Rights Act 1998;
• the Part-Time Workers (Prevention of Less Favourable Treatment) Regulations 2000;
• the Fixed-Term Employees (Prevention of Less Favourable Treatment) Regulations 2000;
• the Work and Families Act 2006;
• the Gender Recognition Act 2004;
• the Civil Partnership Act 2004; &
• any other relevant legislation in force from time to time relating to discrimination in employment and the provision of goods, facilities or services.

Our firm is particularly concerned that the principles of equality of opportunity, non-discrimination and inclusivity are maintained in the following areas:

• existing staff members

• progression including promotion and transfers
• performance management, learning and development including appraisals and training opportunities
• contributions to business development and opportunities to provide new services
• terms of employment, benefits, facilities and services
• grievance and disciplinary
• work allocation
• dismissals, resignations and redundancies

• job applicants

• recruitment and selection
• performance management, learning and development including appraisals and training opportunities
• contributions to business development and opportunities to provide new services
• terms of employment, benefits, facilities and services
• grievance and disciplinary
• work allocation
• dismissals, resignations and redundancies

• clients and access to our services

• engagement with third parties including suppliers and experts.

All staff are expected to pay due regard to the provisions of this policy and their obligations in the SRA’s Standards and Regulations and have personal responsibility for ensuring compliance with them when undertaking their jobs or representing our firm and which extends to their treatment of job applicants, existing or former employees, clients, external suppliers and/or visitors.

Discrimination

Discrimination may occur in a number of forms. The more common forms of discrimination are as follows:

• Direct discrimination: where someone is treated less favourably than another person because they are thought to have a protected characteristic (discrimination by perception) or because they associate with someone who has a protected characteristic (discrimination by association).
• Dual discrimination: where someone is treated less favourably because of more than one protected characteristic.
• Discrimination arising from a disability: where a person with a disability is treated unfairly because of something arising in consequence of a disability and that this treatment cannot be justified as a proportionate means of achieving a legitimate aim.
• Indirect discrimination: where the same rule is imposed on everyone, but which has the effect of excluding one group of people or putting them at a disadvantage because they cannot comply with the rule or only a proportion of the group could comply.
• Victimisation: where a person is subjected to a detriment because they have asserted their right not to be discriminated against because of a protected characteristic.
• Harassment: where there is unwanted conduct related to a relevant protected characteristic, which has the purpose or effect of violating an individual's dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment for that individual.

Staff members & job applicants

We will appoint, train, develop, reward and promote staff members on the basis of merit and ability. We treat all job applicants equally and fairly and do not unlawfully discriminate against them. We do this by ensuring that we operate an open and fair recruitment process, using selection criteria which does not discriminate, and making fair and lawful decisions. In particular:

• assumptions that only certain types of persons will be able to perform certain roles will not be made.
• individual job applicants will be assessed according to their individual qualities and personal merit.
• qualifications or criteria including the requirement for the use of years of experience which may have the effect of inhibiting applicants will only be retained where they can be objectively justified.
• age limits which may have the effect of inhibiting applicants will generally not be permitted unless there is a particular objective justification for their requirement.
• where any criteria for recruitment and selection may have the effect of putting a person with a disability at a substantial disadvantage due to their disability, reasonable adjustments may need to be made to eliminate or reduce the disadvantage.

We consider all staff members equal and aim to create a working environment free from unlawful discrimination. This applies equally to voluntary positions and anyone undertaking work experience with us. This will, for example, include arrangements for employment, recruitment and selection, terms and conditions of employment, progression, access to training opportunities, conditions of service, access to promotion and transfers, grievance and disciplinary processes, dress code, work allocation and any other employment-related activities. In particular:

• our policies and procedures for performance management, learning and development are developed and reviewed to ensure that they are not discriminatory and do not normally result in an imbalance in treatment between staff members.
• terms of employment, pay, benefits, facilities and services available to staff members are reviewed regularly to ensure that they are provided in a way which is not discriminatory.
• qualifications or criteria for promotion, appraisal, transfer and training, such as length of service or years of experience, which may discriminate against certain staff member,s will only be permitted where they can be objectively justified.
• where any criteria for promotion, appraisal, transfer or training or the provision of terms of employment, pay, benefits, facilities, and services may have the effect of putting a person with a disability at a substantial disadvantage due to their disability, reasonable adjustments may need to be made to eliminate or reduce the disadvantage.

We aim to ensure that all staff members feel included and supported as valued members of our firm so they can work to the best of their ability. Inclusivity can take several forms, although we aim to ensure all staff members have the opportunity and are encouraged to:

• understand our firm’s purpose and values, so they can buy into our wider purpose and aims.
• understand how they can play a part in achieving our wider organisational goals.
• contribute ideas towards our business development and new business opportunities.
• raise suggestions to our firm’s management, knowing that these will be respected, valued and afforded an appropriate level of consideration.
• identify different ways to operate that may improve efficiency, productivity and/or staff wellbeing.
• notify us of any hidden disabilities or conditions, such as neurodivergence, that may impact upon their ability to work in the same ways or at the same levels of productivity or efficiency as other staff members. This may enable us to identify and implement any required reasonable adjustments.
• participate in staff networks or employee assistance programmes.
• look out for and report signs of inequality, discrimination and/or exclusion so these may be addressed by the firm as promptly as possible.

We aim to maintain an environment in which our staff feel comfortable raising any concerns they may have and in which they can be confident that such concerns will be dealt with fairly, openly and effectively. Where a staff member feels excluded within our firm, we will seek to rectify this and improve our inclusivity by:

• encouraging them to talk openly with another staff member whom they trust and believe will respect their feelings.
• demonstrating how their work is important to the firm.
• establishing if their feelings of exclusion have a specific founding, such as within a particular team, their work or the wider firm as a whole.

Clients and access to services

Wherever possible, we take steps to promote equal opportunity and non-discrimination in relation to access to the legal services that we provide, taking account of the diversity of the communities that we serve, to ensure that, subject to funding or other reasonable constraints, our services are accessible to all clients.

We are committed to meeting the diverse needs of clients. We take steps to identify the needs of clients in the community and we document in our Business Plan and within our quality procedures how we will meet clients’ needs and how we will ensure the services which we provide are accessible to all.

We consider the needs of clients with a disability and clients who are unable to communicate effectively in English. In particular, we consider the need to make reasonable adjustments to ensure that clients with a disability, vulnerability or particular need are not placed at a substantial disadvantage and do not pass on the costs of adjustments to these clients. We consider whether particular groups are predominant within our client base and, where possible, ensure that their needs are met. Where a client is unable to communicate effectively in English, either where this is not the client’s first language or where they suffer from a hearing or speech impediment and they require the services of an interpreter, the selection of any translator should be considered in accordance with our Use of External Suppliers procedure.

Experts & Third Parties

We do not unlawfully discriminate in dealings with experts and third parties. All experts and third parties are instructed from Central Register of Approved Experts and Counsel and have been assessed by the firm as being capable of meeting both our firm’s and our clients’ requirements. Experts and third parties are instructed because they satisfy our selection criteria in accordance with our Use of External Suppliers procedure.

Monitoring Diversity & Collating Equality Data

We monitor and record, at least annually, equality and diversity information about job applicants on the basis of gender, marital status, age, disability, religion and ethnic groups. We ask job applicants if they would be willing to complete our Equality & Diversity Monitoring Form, a copy of which is in (the hard copy of the Quality Manual) Appendix Two, noting that they have the right to refuse to do so or to choose only to answer selected questions at their own discretion.

We monitor and record equality and diversity information about existing staff members, including key personnel, on the basis of gender, sexual orientation, age, disability, religion, and ethnic groups, as well as other questions based upon the staff member’s social and educational background, as requested by the SRA. We ask staff members to complete the SRA’s diversity monitoring form as recommended and updated by the SRA from time to time, noting that staff members have the right to refuse to do so or to choose only to answer selected questions at their own discretion. The data is collated and submitted to the SRA as and when required, usually bi-annually. Diversity data collated for the purposes of the SRA’s bi-annual collection exercise is, where appropriate and where this does not lead to staff members being identifiable, published by our firm in accordance with the SRA’s requirements. The method of publication remains at our discretion but may include:

• a poster in our office reception and/or meeting room(s).
• an article in our internal or external newsletter.
• a page on our website, linked directly from our homepage.

John Allison will review all monitoring data, and they will be responsible for consideration of whether any remedial action should be implemented where any equality and diversity issues, including any under-representation of any protected characteristic groups, are identified. In such cases, the firm may seek professional advice from an employment specialist and/or the Equalities and Human Rights Commission in relation to the appropriate remedial action to be taken. It is recognised that such remedial action could include identifying specific training needs and/or taking positive action to increase employee diversity.

Implementation and Review

John Allison is responsible for implementing and monitoring our Equality, Diversity & Inclusion Policy. They are responsible for:

• ensuring that adequate resources are available to meet equality and diversity needs.
• providing equality & diversity information to the Legal Aid Agency as required in relation to staff and clients under the terms of the LAA Contracts;
• reporting to the Partners on compliance;
• collating and reporting diversity data to the Solicitors Regulation Authority as and when required and, where applicable, overseeing the publication of such data;
• promoting a culture of equality, diversity and inclusion awareness and compliance by means of education, training and overseeing arrangements for the sharing of information on equality, diversity and inclusion. This may include informing staff of any new updates on equality, diversity and inclusion, including bulletins or articles published by regulators and/or in the legal press;
• assisting any individual staff members who have been assigned responsibility for any specific equality, diversity and inclusion actions;
• considering whether clients have any vulnerabilities which may, in accordance with our Vulnerable Clients Policy, require us to take additional care and/or make reasonable adjustments to ensure that we meet their needs and provide our services in a manner in which facilitates their ability to make informed decisions;
• where appropriate, ensuring that all staff are included in business development planning and are encouraged to contribute ideas, knowing the management of the firm values these, regarding our firm’s services and new business opportunities, including trialling how we may operate differently to improve efficiency, productivity and/or staff wellbeing;
• ensuring that appropriate action is taken in relation to any non-compliance identified under this policy or barriers to equal opportunities; and
• reviewing this policy annually to verify it is in effective operation.

Equality & Diversity Training

Our equality, diversity and inclusion training and communication objectives are reviewed at least annually and detailed in our Business Plan. All staff members are informed of this policy as part of their induction.

We ensure that all managers and supervisors with responsibility for any of the areas of particular concern as set out above are provided with appropriate equality, diversity and inclusion training and/or written instructions, where necessary, which may be updated as required. Other staff members may also be required to attend training on compliance with equality, diversity and inclusion requirements. We identify additional equality, diversity and inclusion training needs as and when appropriate and address them as part of staff members’ training plans.

Non-compliance

We treat seriously all complaints of unlawful discrimination made by any staff, clients, barristers, experts or other third parties and will take action where appropriate.

Any staff member who believes that they may have been unfairly discriminated against is invited to raise a grievance in accordance with our Grievance Procedure. Staff members will not be victimised for raising a grievance in good faith. Grievances will be dealt with seriously in accordance with our Grievance Procedure, and the complainant will be informed of the outcome.

Where a staff member believes that a client or other third party has been unfairly discriminated against, or our non-compliance with this policy may result in a danger or illegality that may be of public interest, they may wish to raise their concerns as a protected disclosure in accordance with our Whistleblowing Policy.

Other complainants of unlawful discrimination,n including job applicants, clients and other third parties, are invited to raise a formal complaint which will be handled in accordance with our Complaints Handling Procedure.

Where acts of unlawful discrimination, harassment, victimisation and/or failure to comply with this policy by any member of staff are identified, they may result in disciplinary proceedings being instigated. We also monitor the number and outcome of complaints of discrimination.

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2.3 Vulnerable Clients Policy

As a business, we endeavour to ensure our services are available to all clients in a manner which may facilitate their ability to make informed decisions. We aim to ensure that the service we provide to vulnerable clients considers their needs and that we have proper regard for their mental capacity or vulnerability.

In accordance with our Equality, Diversity & Inclusion Policy, we recognise that there may be clients for whom we may need to make reasonable adjustments to ensure that we properly meet their needs. As a result of their vulnerability, some clients may lack the capacity to make decisions and provide us with instructions, and we may need to ensure that statutory or other safeguards are followed. For other clients, whilst they may have the capacity to make decisions and provide instructions, they may need us to provide extra support to enable them to engage with us and/or access our services fully.

Identifying vulnerable clients

A person may be vulnerable because of:

• physical disability;
• mental health issues;
• learning difficulties or low literacy;
• another illness or impairment;
• undue influence or duress;
• bereavement;
• drug or alcohol dependency issues;
• social or welfare issues; and/or
• a combination of any of the above factors.

It may not always be easy to identify vulnerability. Some signs may be obvious while others are only just perceptible or hidden. Staff members should not assume that a client will tell us of any difficulties.

Simple observation will identify many mobility problems, physical or sensory disabilities or more severe impairment of mental capacity. However, if we engage with any client primarily by telephone or other remote means, rather than seeing them face-to-face, it may not be easy to identify vulnerability.

Signs of vulnerability to be alert to, may include:

• a client asking the staff member to speak more slowly, speak up or repeat things;
• a client seeming confused/flustered;
• a client who sounds out of breath, indicating a lack of mobility due to age and/or illness;
• a client who says “my son/daughter/partner deals with these sort of things”;
• a client’s first language is not English; and/or
• a client who appears to struggle to understand.

It is important that staff members appreciate that they do not necessarily need to feel inhibited about asking for more information for fear of being intrusive. Many clients will be open about any disability they have or specific assistance they require and to discuss how you can best meet their needs.

To identify and deal appropriately with a vulnerable client, staff members will also need to use their active listening skills to:

• identify the client’s individual needs
• adapt their approach to suit the client’s needs.

Responding to the needs of vulnerable clients

All staff members need to be alert to the fact that they, as individuals, or the firm as a whole may be talking or otherwise corresponding with a vulnerable client and that they:

• may need us to provide additional support.
• may need us to make reasonable adjustments.

If a staff member identifies that a client may be vulnerable, they should consider the following when engaging with them, especially during telephone calls:

• be careful and be sure to explain everything very clearly
• speak clearly and slowly
• keep the call focused
• be patient and do not rush the client
• be prepared to repeat information if necessary
• clarify the client’s understanding, perhaps by asking them if there anything they would like you to explain
• offer alternatives to talking on the phone – letter/text/email and check if Large print or Audio is required
• check if there is a better time to call
• check if they need to talk to or involve anyone else before making their decision (i.e. trusted family member, guardian or carer)
• make sure the client is not flustered, agitated or in a confused or emotional state when they make their decision to proceed. If in any doubt, we must:

• offer to give the client more time to consider;
• check if there is a better time to call; and/or
• offer to “conference call in” a trusted third-party carer, guardian or family member if this would help.

Threats to Safety

Occasionally, because of a particular vulnerability, it may be the case that a client may pose a threat to their own safety or the safety of others. Where a staff member has concerns that a client is angry, abusive or whose behaviour is so extreme that it poses a possible danger to health and safety, this should be reported immediately.

Reasonable Adjustments

Where staff members identify any vulnerabilities that may require other tailored reasonable adjustments to be made, they should notify Linda Parish in accordance with our Equality, Diversity & Inclusion Policy. Where special measures or reasonable adjustments are identified, this is evidenced in the case file.

Mental capacity

When we think about vulnerabilities, we should also consider mental capacity and the client’s ability to make decisions and give instructions. Staff members need to be satisfied that the client has demonstrated that they understand the service we are providing and that they are in agreement to proceed with the matter in question (with full understanding of what that means). Staff members must also be satisfied that we are acting in the client’s best interests by proceeding with the service.

Occasionally, it may become apparent that a client may lack mental capacity, either temporarily or permanently. There may be other instances where we feel that we cannot give the appropriate support to a client and that we are not acting in their best interests by continuing to advise or assist them. We may determine that a client needs health assistance or other safeguarding measures by another professional but may have to accept that we cannot compel a client to accept any recommendation or other adjustment.

Where a staff member has any concerns about a client’s capacity to give instructions or make decisions or believes the client may require additional measures to support them, the staff member should notify John Allison in order that they may determine how best to protect our client’s interests and whether our firm needs to make any reasonable adjustments or consider positive action. Where there are any other concerns about a client’s wellbeing, this may also require notification in accordance with our Safeguarding Policy.

Safeguarding

Staff members need to remain vigilant to incidents where any client’s appearance or behaviour cause suspicion of harm, abuse, neglect or exploitation which would require notification in accordance with our Safeguarding Policy.

Review

Linda Parish reviews our policy as part of our overall approach to client care at least annually to ensure that we are delivering an optimum service to our clients and to verify that our policy and procedures are in effective operation.

Performance Management, Learning & Development Policy

We recognise that our staff members are our most important resource and are committed to ensuring that all staff have access to the training they need both for their own development and to enable them to deliver a high-quality service.

We therefore wish to ensure that:

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2.4 Performance Management, Learning & Development Policy

We recognise that our staff members are our most important resource and are committed to ensuring that all staff have access to the training they need both for their own development and to enable them to deliver a high-quality service. We therefore wish to ensure that:

• staff have a clear understanding of what is expected of them and how they contribute to the success of the firm;
• staff members are competent to perform the tasks they are employed to carry out and are further developed in a way in which both the individual and the firm think appropriate;
• the firm has sufficient solicitor competencies across all practice areas and is able to provide a proper standard of service to its clients;
• solicitors in the practice meet the SRA’s Competence Statement, required of them personally;
• all identified and necessary training is completed on time;
• the firm identifies the necessary resources, training and support that staff members need to carry out their roles; and
• the firm recognises individual contributions from staff members.

Further information in relation to learning & development (including supervisor training & training evaluation) is outlined within our Staff Learning & Development and Supervision of Staff procedures.

Our Performance Management & Appraisals Procedure is designed to encourage good staff management practice and improved communication between the Partners and staff. All staff will be subject to an annual performance management appraisal. In addition, staff performance will be considered on an ongoing basis (through supervision methods) and where appropriate, further training or performance management tools will be utilised in line with this policy and our People Management procedures.

John Allison is responsible for our Performance Management, Learning and Development Policy and will review it annually to verify it is in effective operation.

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2.5 Confidentiality Policy

All staff members, including support staff and consultants, owe a duty of confidentiality to our clients. The duty to protect all information about a client’s affairs starts the moment the client first approaches us (i.e. before we formally accept their instructions) and continues both during and after the end of a case and even after the death of the client.

We will keep clients’ information confidential and will only use it for the purpose(s) for which it was provided or as is permitted in law (i.e. for dealing with complaints or regulatory investigations). All services are provided in a confidential environment.

Matters relating to a client’s case must not be discussed outside of the firm’s offices unless the fee earner is at an appropriate venue. Even then, care must be taken to ensure that we are not overheard by others who have no involvement in the case. Such venues include:

• Tribunals.
• Courts.
• Barristers Chambers.
• Clients’ homes (if appropriate).

It is the duty of all staff members to avoid breaches of confidentiality. Examples of breaches that could occur include:

• Mixing up clients’ records as a result of not filing information/documents properly;
• Discussing cases outside of the office (e.g. on public transport);
• Sending details of the client’s case to an incorrect address;
• Leaving client A’s file or papers open to view, e.g. on a desk or shelf, while meeting client B in the same room; or
• Leaving files lying around at the end of the day instead of replacing them in their proper place, e.g. a locked filing cabinet.

We have systems and controls in place to mitigate risks to client confidentiality.

Disclosure

We have a duty to disclose to clients all information of which the individual fee earner advising them is personally aware that is material to their case. In exceptional circumstances, it may be appropriate to consider breaching the client’s confidentiality. Such circumstances may include:

• the client gives specific, informed consent to non-disclosure or a different standard of disclosure arises;
• there is evidence that serious physical or mental injury will be caused to a person(s) if the information is disclosed to the client;
• where the client is a child and the child reveals information which indicates continuing sexual or other physical abuse but refuses to allow disclosure of such information;
• where an adult discloses abuse either by himself or herself or by another adult against a child but refuses to allow any disclosure;
• legal restrictions effectively prohibit us from passing the information to the client for instance, where we need to meet the reporting requirements in relation to money laundering set out in the Proceeds of Crime Act 2002, the terrorism legislation and the Money Laundering Regulations 2017;
• it is obvious that privileged documents have been mistakenly disclosed to us;
• where a court orders that material should be disclosed or a warrant permits a police officer or other authority to seize confidential material; or
• we come into possession of information relating to state security or intelligence matters to which the Official Secrets Act 1989 applies.

We do not continue to act for a client to whom we cannot disclose material information unless one of the above exceptions applies. If a fee earner considers that they should withhold material information from a client, they must discuss the case and obtain authority from a Partner before doing so.

Where our duty of confidentiality to one client comes into conflict with our duty of disclosure to another client, our duty of confidentiality takes precedence. We do not act for client A in a case where client A has an interest adverse to client B and client B is a client for whom we hold confidential information which is material to client A except in the circumstances allowed by the SRA’s Standards and Regulations and authorised by our COLP (please revert to our Conflicts of Interest Policy).

Consents

All information provided to us about a client and their case is treated by us as confidential. This means that we do not disclose information about the client’s case unless required or permitted by law or if the client consents. However, we recognise that the Solicitors Regulation Authority, the Legal Aid Agency or a quality assurance auditor may need to see our casefiles for the purpose of audit.

Where we need to seek consent from a client (for instance to use their data for marketing purposes or to make it available to an external auditor, other than in legally aided cases where no consent is required) we will seek (primarily when we send the client care letter) individual consent for each of the purposes for which we seek to process the data. We do not use deemed consent or opt out consent options. All consents sought will be clearly worded; individual and opt in. Details of any necessary consents will be recorded on the relevant client file.

External Data Processors

We may have to share some or all of a client’s information with other third parties. This may include barristers, experts and other third parties who we need to instruct to assist us with a matter.

An external supplier to whom we transfer client or personnel data to process or hold will likely be a Data Processor (as defined under the relevant data protection legislation). As such it is our policy that we only commission the services of external data processors where we are satisfied that they take all appropriate steps to ensure that our clients’ confidential information will be protected and that they are compliant with the terms of the UK GDPR.

Wherever we use external Data Processors we will do so in accordance with our Outsourcing Policy and will ensure that they have appropriate data protection and security measures in place and that we have a clear written agreement with them.

Compliance

The induction process covers our confidentiality policy. Furthermore, all staff members are asked to sign a confidentiality agreement to confirm they understand the importance of confidentiality. A copy of our confidentiality agreement can be found in (hard copy of Quality Manual) Appendix Three.

If an alleged breach of confidentiality occurs, the incident is investigated and may either be dismissed or steps may be taken to avoid a reoccurrence of the breach, e.g. by arranging staff training or seeking legal advice about the firm’s position.

John Allison is responsible for overseeing our Confidentiality Policy and will review it annually to ensure that it remains effective.

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2.6 Conflict of Interest Policy

We are committed to acting professionally and with integrity and that includes maintaining an effective and compliant approach to identifying and managing conflicts of interest.

Conflicts of interest can arise between the firm (including individuals working within the firm) and current clients ("own interest conflict") and two or more current clients ("client conflict"). There may also be situations where the interests of a current client may conflict or cause difficulties in relation to our duty of confidentiality to a former client.

Definition of a Conflict

There are two main categories of conflict of interest as set out in Rules 6.1 and 6.2 of the SRA Code of Conduct for Solicitors:

• Own interest conflict: where there is a conflict between the personal or commercial interests of our firm or a staff member and our duty to act in the best interests of our client in their matter or a related matter or significant risk that it may conflict
• Client conflict: where we owe separate duties to act in the best interests of two or more current clients in relation to the same matter or particular aspect of it, and those duties conflict, or there is a significant risk that those duties may conflict. There would need to be a reasonable degree of relationship between the two matters for them to be related. Generally, any matters which concern the same asset or liability will be related.
• Words

A client conflict of interest means a situation where our separate duties to act in the best interests of two or more clients in the same or a related matter conflict. This would apply if we were currently acting, or intending to act, for two or more clients (e.g. acting at the same time and not if one was a former client).

The position in relation to our acting for a client, even if we previously acted against them or where a current client has an adverse interest in a former client, is not covered by Rules 6.1 and 6.2 of the SRA Code of Conduct for Solicitors but there are confidentiality and disclosure considerations which apply as for client conflicts.

Other confidentiality issues

Our duties of confidentiality and disclosure in accordance with Rules 6.3 to 6.5 of the SRA Code of Conduct for Solicitors may create a conflict of interest. We may encounter a situation in which we have information that is confidential to a current or former client but is material to the new client’s matter. Our duty of confidentiality to one client will need to come before our duty of disclosure to the other client and we may not be able to act for both because we will not be able to comply with both duties simultaneously.

Therefore, we factor into our considerations whether we are in possession of information which is confidential to a current or former client but which may be material to a current client’s matter.

Where we are acting for a client on a matter, we need to make the client aware of all information material to the matter of which we have knowledge, subject to some exceptions, including where the client is able to provide us with informed consent, given or evidenced in writing, to the information not being disclosed to them.

Where a client in a matter has an interest adverse to the interest of another current or former client, for whom we hold confidential information which is material to that matter, we will not act unless:

• effective measures have been taken which result in there being no real risk of disclosure of the confidential information; or
• the current or former client whose information we hold has given informed consent, given or evidenced in writing, to our acting, including to any measures taken to protect their information.

We are aware of the risks that this may be very difficult to achieve in practice and so will only act in circumstances:

• where we are confident that we can act in full compliance with rules 6.3 to 6.5 of the SRA Code of Conduct for Solicitors;
• where we feel it is in the client's best interests to do so; and
• the benefit for our firm acting for all of the clients outweighs the risks.

Procedures

The firm has procedures in place for the undertaking of checks for conflicts of interest and for assessing and managing the risk of conflicts. In any cases where a staff member considers that there may be an actual or significant risk of conflict of interest, they must notify their supervisor and report the matter to John Allison in accordance with our Identification and Management of Conflicts of Interest procedure. They cannot accept the instructions or continue to act unless this has been approved by John Allison and recorded in our Central Register of Conflicts.

John Allison will advise as to whether the firm may continue to act and/or whether other steps must be followed and will oversee the recording of relevant details of the conflict in our Central Register of Conflicts.

Where it is determined that there is not a conflict of interest and no suggestion that we hold material confidential information about another client, we may accept the instructions or continue to act. It is our policy that we will consider all aspects and endeavour to always be sure that it is in each client's best interests for us to act.

Acting where there is a Conflict or Significant Risk of Conflict

Own Interest Conflict

We can never act where there is an own interest conflict or a significant risk of an own interest conflict with a new or existing client. However, whether there is an own-interest conflict will depend on the circumstances. Unless the circumstances of the matter show otherwise, fee earners must assume that there is an own interest conflict wherever our firm is instructed to:

• act against an entity in which our firm or a staff member has an interest (unless this is simply a minority shareholding in a publicly listed company).
• act against any key suppliers or funders.
• act in a matter where our organisation, a staff member or our management committee is the opposing party, whether contentious or non-contentious.
• advise on a matter in which our firm or a solicitor is potentially negligent. For example, the wrong advice has been given to the client or the wrong action taken on their behalf.
• act against a major client even if there is no direct client conflict.

It may also arise where a client instructs the firm to proceed on a matter based on facts we know to be untrue, in which case our own duty to the Court may conflict with our duty to that client. When there is an own-interest conflict or a significant risk of an own-client conflict, we cannot act, and there are no exceptions to this. It will, therefore, not be possible to act by obtaining our client's consent to act or advising the client to obtain independent advice as to whether to allow us to continue to act.

Client conflicts

We must not act for two or more clients in relation to the same matter (or a particular aspect of it) or a related matter (or a particular aspect of it) where the firm's separate duties to act in the best interests of each of those clients would conflict, or there is a significant risk that those duties may conflict.

If there is a conflict, or a significant risk of a conflict, between two or more current clients, our general position is that we cannot accept instructions or do not act for all or both of them, except as allowed for by the SRA’s Standards and Regulations in relation to conflicts of interest but also in relation to confidentiality and disclosure.

We do not act for clients whose interests are in direct conflict, for example, a claimant and defendant in litigation. The general position is that, where there is a conflict, we cannot accept instructions unless the affected clients fall into one of two exceptions, namely where:

• there is a substantially common interest in relation to a matter or a particular aspect of it.

In this case, there must be a:

• clear common purpose between the clients in relation to any matter or a particular aspect of it.
• strong consensus between the clients on how that common purpose is to be achieved.

• the clients are competing for the same objective.

This means any situation in which two or more clients are competing for an objective which, if attained by one client, will make that objective unattainable to the other client or clients. In this case, the objective must be:

• an asset, contract or business opportunity.
• which two or more clients is seeking to acquire or recover through a liquidation (or another form of insolvency process) or by means of an auction or tender process or a bid or offer, but not a public takeover.

Even if either of the above exceptions applies, the combined effect of the SRA’s rules relating to conflict, confidentiality and disclosure is that, in the case of a client conflict, we can only act if:

• all the clients have given informed consent, given or evidenced in writing, to our acting, which means that we have explained all the relevant issues and risks to the clients and have a reasonable belief that they fully understand those issues and risks;
• where appropriate, we put in place effective safeguards to protect our client's confidential information; and
• we are satisfied it is reasonable for us to act for all the clients, including whether we feel it is in their best interests to do so, and the benefit for our firm acting for all of them outweighs the risks.

We would not act for clients who cannot be represented fairly and with balanced judgment or may be prejudiced by the lack of separate representation.

Other conflicts

We may be instructed to act for a client where we previously acted against them, or we identify that a current client has an adverse interest to a former client.

A conflict of interest can also arise relating to a client if we are acting for another client on a related matter.

These are not technically ‘client conflicts’ but the same confidentiality and disclosure considerations apply. There will be considerations regarding our duties of confidentiality and disclosure in Rules 6.3 to 6.5 of the SRA Code of Conduct for Solicitors. There are safeguarding requirements that must be met to comply with the SRA Code of Conduct requirements. In all cases, even if we can meet all relevant safeguarding confidentiality requirements, we will consider whether it would be appropriate and in the client’s best interests to act.

Responsibility

It is the responsibility of John Allison to consider all circumstances and decide if the instructions can be accepted and/or if further action is required.

Interests

All staff members are required to notify John Allison if they have any personal knowledge of or any close connection with a client or potential client or other parties involved in a matter on which they are working. They must also notify John Allison of any interest they have in third-party organisations in order that they may be recorded in our Central Register of Business Interests.

Review

John Allison is in charge of this policy and our Identification and Management of Conflict of Interests procedure and will review them annually to ensure that they remain effective.

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2.7 Environmental Policy

We are committed to behaving responsibly and minimising our environmental impact. However, we recognise that we are not experts on climate change and, therefore, must seek external expertise to help us achieve our climate targets. In light of this, we have reviewed the following resources published by the Law Society:

• creating a climate-conscious approach to legal practice https://www.lawsociety.org.uk/Topics/Climate-change/Tools/Creating-a-climate-conscious- approach-to-legal-practice;
• The Law Society guide: Net zero: what solicitors can do
• The Law Society guide: Race to net zero tools

In considering the environment, we have resolved to:

• encourage environmental responsibility amongst our staff members and include environmental consideration when making purchases and travelling for business.
• encourage staff to opt for more climate-friendly modes of transport, including cycling and walking. Where these are not appropriate, particularly in the course of our business, staff are encouraged to choose shared transport options including trains and buses in place of using private transport.
• support energy suppliers working to provide 100% clean energy.
• minimise our consumption of natural resources and manage waste, in particular with respect to food and drink packaging, through responsible disposal and reuse and recycling, including paper, cardboard, plastic and ink cartridges.
• where appropriate, encourage staff not to print documents or, where printing is necessary, to print documents double-sided.
• minimise our use of electricity by ensuring all electrical equipment is turned off when not in use.
• minimise our use of electricity, specifically with respect to lighting, by turning off lights in unoccupied rooms and switching to energy-efficient lightbulbs.
• encourage environmental responsibility amongst our contractors, suppliers, and staff and include environmental considerations in our purchasing and procurement processes.

Review

We are committed to ensuring that our policy remains effective. Staff are encouraged to make further suggestions in relation to initiatives we could undertake. If a staff member has a suggestion, they should contact John Allison, who is responsible for this policy and will review it annually to verify it is in effective operation.

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2.8 Safeguarding Policy

We are fully committed to safeguarding and promoting the welfare of children, young people, and vulnerable adults who access our services or with whom we may otherwise come into contact while providing them.

We aim to ensure that our practices consider the risks associated with safeguarding the needs of any children, young people and vulnerable adults that may be impacted by our contact with them or to other related individuals. We acknowledge our responsibility to promote the welfare of children, young people and vulnerable adults, to keep them safe and to act in a way that protects them. We take all reasonable steps to ensure that our policy and procedures have been drawn up based on legislation and guidance which set out the framework for safeguarding children, young people and vulnerable adults, including:

• the Children Act 1989;
• the Sexual Offences Act 2003;
• the Children Act 2004;
• the Children and Young Persons Act 2008;
• the Care Act 2014;
• the Children and Families Act 2014;
• Serious Crime Act 2015;
• Modern Slavery Act 2015;
• the Data Protection Act 2018;
• the UK GDPR;
• Government guidance on safeguarding children;
• Resolution guidance on safeguarding children and young people;
• Family Mediation Council’s Code of Practice;
• NSPCC guidance on safeguarding and child protection; and
• any other relevant legislation in force from time to time or any new or updated guidance relating to the safeguarding of children, young people and vulnerable adults.

Child Protection

Child protection is a central part of but not separate to safeguarding. We recognise it is the process of protecting individual children identified as either suffering, or at risk of, significant harm as a result of abuse or programme of work. It also includes measures and structures designed to prevent and respond to abuse.

We recognise that safeguarding and promoting the welfare of children and young people specifically includes:

• protecting children and young people from maltreatment;
• preventing impairment of children’s and young people’s health or development;
• ensuring that children and young people grow up in circumstances consistent with the provision of safe and effective care; and
• taking action to enable all children and young people to have the best outcomes.

Risk Evaluation

As part of our approach to risk, we have identified the range of potential risks to children, young people and vulnerable adults from our firm’s services, especially in Families and have conducted a focused evaluation process to mitigate those risks by taking all reasonable steps to promote safe practice and ensure the welfare and protection of children, young people and vulnerable adults from harm, abuse, neglect or exploitation.

The results of this risk evaluation process have led to the formation and development of this Safeguarding Policy and the implementation of the following procedures.

Implementation and Review

We have appointed Linda Parish to be our Named Person for Safeguarding and assume responsibility for dealing with any child protection and safeguarding concerns and for implementing and monitoring this Safeguarding Policy. They are responsible for:

• conducting necessary risk assessments to ensure that our Safeguarding Policy and our safeguarding procedures are sufficient;
• promoting a culture of awareness and compliance by means of education and training and overseeing arrangements for the sharing of information on safeguarding and child protection. This may include providing updates to staff members and informing them of any new guidance;
• ensuring all staff members understand their responsibility to protect children, young people and vulnerable adults from harm, abuse, neglect or exploitation;
• ensuring all staff members follow our safeguarding procedures;
• ensuring all staff members report any concerns about a child, young person and vulnerable adult in accordance with this policy;
• ensuring that children, young people and vulnerable adults are enabled to express their concerns or views and are made aware of our Complaints Handling procedure;
• ensuring that any concerns, incidents or reports about a child, young person and vulnerable adult are dealt with appropriately, including being:

• recorded;
• acted upon;
• referred on where necessary; and
• followed up to ensure issues were addressed.

• liaising and working with:

• the Police;
• the Local Authority Children’s Services or Adult Social Care Safeguarding Team;
• in matters involving Lasting Powers of Attorney or deputyship, the Office of the Public Guardian; and/or
• in matters involving financial abuse of a state pension and/or benefits, the Department for Work and Pensions.

• in accordance with our Compliance Policy, ensuring that appropriate action is taken in relation to any non-compliance identified under this Safeguarding Policy; and
• reviewing this policy annually to verify it is in effective operation.

Safeguarding Procedures

All front-line staff members will be required to:

• undertake an induction and, where relevant, advanced or refresher training to ensure they have an awareness of the signs and indicators of harm, abuse, neglect or exploitation
• place the safety and welfare of children, young people and vulnerable adults above all other considerations
• remain vigilant to incidents where:

• a child, young person’s or vulnerable adult’s appearance or behaviour cause suspicion of harm, abuse, neglect or exploitation
• a child, young person or vulnerable adult says that they do not feel safe
• a child, young person or vulnerable adult alleges that harm, abuse, neglect or exploitation is taking place or has taken place in the past
• a third party alleges that that there has been an incident of alleged harm, abuse, neglect or exploitation against a child, young person or vulnerable adult
• a vulnerable adult appears to lack the mental capacity to make an informed decision or provide instructions, or where they appear to be under undue influence or pressure

• act calmly and professionally when responding to a child, young person, vulnerable client or third party when harm, abuse, neglect or exploitation is alleged or signs and indicators are seen or heard
• make an informed, professional judgment when taking action in cases of suspicions of harm, abuse, neglect or exploitation
• report any concerns they may have about the welfare of a child, young person or vulnerable person (see below).

Staff members are never to investigate or take sole responsibility for a situation where there is an allegation or suspicion of harm, abuse, neglect or exploitation against a child, young person or vulnerable adult. However, initially, staff members may need to talk to the person about what they have said or what they have observed. It is important that staff members appreciate that they do not necessarily need to feel inhibited about asking for more information for fear of being intrusive. Staff members are encouraged to:

• listen carefully to what is said.
• reassure the person that they have done the right thing.
• allow the person to talk at their own pace and without asking leading questions.
• try to avoid compromising potential evidence.
• as soon as possible afterwards, make a full and accurate written record of what was said, heard or witnessed.
• respect confidentiality and keep written records secure.

Children and Young People

In addition to the above, all staff members working directly with children or young people under the age of 18:

• will be required to maintain a valid Disclosure and Barring Service (DBS) certificate (enhanced where required)
• in a one-to-one situation with a child or young person, where privacy and confidentiality are important, endeavour to try to make sure that another adult knows the contact is taking place and the reasons why. If possible, to ensure another adult is in sight and that the child or young person knows another adult is around.

Vulnerable Adults

In accordance with our Vulnerable Clients Policy, all staff members need to be alert to signs of vulnerability and that a vulnerable client may need us to provide additional support or to make reasonable adjustments.

Training and enforcement

In accordance with our overall approach to People Management procedures, all staff (including agents where relevant) are provided with training on this policy and safeguarding procedures. In particular:

• training is provided to all staff members during their induction
• periodic or update training is provided for all relevant front-line staff members within the firm.

All training is planned, evaluated and recorded in firm-wide and/or individual training plans and records, as appropriate, in accordance with our Training Plans procedure. Failure to comply with this policy by any staff member will invoke our Disciplinary Procedure and may result in disciplinary proceedings and/or and reporting to the police, relevant regulatory authority or other body, as applicable.

Raising Safeguarding Concerns

If any staff member is concerned about a child, young person and vulnerable adult, they must inform Linda Parish, our Named Person for Safeguarding. Where a staff member believes that a child, young person and vulnerable adult is at immediate risk of harm, abuse, neglect or exploitation, they must take immediate steps to protect that person. This includes:

• notifying our Named Person for Safeguarding in accordance with this policy immediately. If our Named Person for Safeguarding is not in the office or otherwise not contactable within two hours, the staff member must refer the matter to the most senior manager or other staff member in the office
• wherever possible, ensure that the child, young person or vulnerable adult is kept safe and away from the person against whom the allegation is made.

Upon receiving a report, our Named Person for Safeguarding will discuss further with the relevant staff member the concerns and conduct a risk assessment to determine if there are safeguarding concerns to action and/or whether measures should be taken to safeguard the needs of the child, young person and vulnerable adult.

Depending on the outcome of the risk evaluation and/or assessment of the safeguarding concerns, in circumstances involving a child or young person, our Named Person for Child Protection may need to:

• seek advice and clarification about a situation from the NSPCC 24hour National Child Protection Helpline on 0808 800 5000
• make a telephone referral to the Police and/or the Local Authority Children’s Services and follow this up, where required, with a written referral. The timing of such referrals must reflect the level of perceived harm but must not usually be longer than one working day after the identification of harm or risk of harm
• follow up with the Police or Local Authority Children’s services to ensure issues are addressed
• where practicable, discuss concerns with the parent or carer and seek agreement for the referral to the Police or Local Authority. Where a decision is made not to seek permission before making the referral, the full reasons for this must be recorded.

Where safeguarding concerns are raised regarding a vulnerable adult, our Named Person for Safeguarding may need to:

• make a telephone referral to the Police, the Local Authority Adult Social Care Safeguarding Team, the Office of the Public Guardian and/or the Department for Work and Pensions and follow this up, where required, with a written referral. The timing of such referrals must reflect the level of perceived harm but must not usually be longer than one working day after the identification of harm or risk of harm
• follow up with any organisation to whom concerns have been referred to ensure issues are addressed
• where practicable, discuss concerns with the vulnerable adults, or where they lack mental capacity with an appropriate individual, and seek agreement for the referral to an appropriate external organisation as listed above. Where a decision is made not to seek permission before making the referral, such as where the client lacks capacity and no appropriate individual is identified, the full reasons for this must be recorded.

In all cases, our Named Person for Safeguarding will make a detailed, written record of the risk evaluation and assessment process, decisions made and/or any action taken.

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2.9 Modern Slavery Policy

Modern slavery is the severe exploitation of other people for personal or commercial gain and can take various forms including forced and compulsory labour and human trafficking. It is a crime and a violation of fundamental human rights.

Our firm has a zero-tolerance approach to modern slavery and we ensure we take steps to identify whether there is any action we need to take to comply with the Modern Slavery Act 2015 or other relevant legislation or guidance.

Risk Review

As part of our approach to risk management, our Risk Manager evaluates the extent to which we are required to take any steps under modern slavery legislation.

The results of this review are documented, at least annually, as part of our Risk Register and are used to evaluate the effectiveness of this policy and whether changes are needed to any procedures in this Quality Manual.

Having regard to the size and nature of our practice, we have determined that we do not need to take any particular steps to ensure that slavery and human trafficking is not taking place in our own business or within our supply chain. We do not fall within the remit of section 54 of the Modern Slavery Act 2015 which requires other larger commercial organisations that supply goods or services to prepare a Slavery and Human Trafficking Statement for each financial year.

We have reached this decision in light of the following:

• we do not have a total annual turnover equal to or exceeding the amount set by the Secretary of State, currently £36 million
• the complexity of the firm and the types of supply chains in which we are involved do not raise particular levels of risk or exposure.

Commitments

We are, however, committed to:

• acting ethically and with integrity in all our business relationships and our internal procedures
• being alert to risks, however small
• promoting a culture of awareness and compliance by means of education and training and overseeing arrangements for the sharing of information on modern slavery. This may include, providing updates to staff members and informing staff members of relevant guidance
• ensuring all staff members understand their responsibility to be alert and to raise suspicions of incidents of harm, abuse, neglect or exploitation or any similar concerns.

In addition to the above, as part of our Use of External Suppliers procedure, we remain alert to any suspicions of incidents of harm, abuse, neglect or exploitation or any similar concerns about the direct activities of any suppliers or contractors or other third parties within the extended supply chain. We may terminate a supply arrangement at any time should any instances of modern slavery come to light.

We are fully committed to the highest possible standards of openness, honesty and accountability and actively encourage all of our staff members who have any concerns related to our activities or our supply chains to report them in accordance with our Whistleblowing Policy. We will treat all such disclosures in the strictest confidence and will endeavour to provide advice and guidance on any action to be taken.

Review

John Allison reviews this policy annually to verify it is in effective operation.

029 2046 1480help@sblawyers.co.uk