This Code of Conduct comprises the core principles of conduct and the standards requisite of Executive Committee members of the Sole Practitioners Group. For the purposes of this Code:
- "the Group" means Sole Practitioners Group an incorporated association and SSPG Limited.
- "the Executive " means the members of current Executive Committee as set out in accordance with the Constitution.
- “Executive Member” a member of the Executive Committee and includes a co-opted member;
- “Constitution" the current Constitution of the Sole Practitioners Group
- “the Subject” is the person subject to the complaint expressions not otherwise defined in this code shall have the usual legal meaning assigned to them.
1. Integrity
Integrity is the quality of being honest and having strong moral principles. The term has been described judicially as connoting “moral soundness, rectitude, and steady adherence to an ethical code”. It requires that members are impartial, independent and informed. Displaying integrity includes:
- acting professionally in your business dealings;
- displaying a proper understanding and appreciation of your role and responsibilities;
- being respectful of others at all times;
- being inclusive in all dealings with colleagues;
- not accepting or offering improper gifts, hospitality or other inducements;
- avoiding conflicts of interest, or, where a conflict arises, making sure that everyone involved is aware of the interest; at the first opportunity;
- recognising and considering the ethical issues arising from, and the interests of the groups or stakeholders who may be affected by, your choices decisions and actions;
- avoiding involvement in any unethical, misleading, illegal or covert behaviour;
- not knowingly ignoring (or turning a blind eye to) unethical, misleading, illegal or obscure behaviour; and
- avoiding bringing the profession into disrepute.
2. High standard of service/professional competence
A high standard of service or professional competence should be delivered throughout one’s working life and especially when dealing with the affairs of the Sole Practitioners Group. This involves an understanding of relevant developments of the wider implications and expectations of our members. This includes:
- communicating effectively and promptly with your colleagues and stakeholders to ensure that they are able to make informed decisions;
- acting within your level of competence so if you are cannot perform a task then this should be communicated effectively;
- upholding the requirements of the Constitution regulations and bye laws made under it;
- respecting the confidentiality of information acquired as an Executive Member through professional relationships save where there is a legal or regulatory requirement to disclose or report that information; and
- Adhering to the best practice on issues of equality and diversity and promoting compliance by others. As set out in the Equality Act 2010 and subsequent legislation.
3. Transparency
Transparency requires that Executive Members are clear and open in their business and professional conduct. This includes:
- being open and frank in any dealings;
- not being underhand in any transaction; and
- treating all work as if it was reported in the public domain;
- Members must not represent themselves as speaking officially for the Group unless specifically authorized, so as to avoid misrepresentations that may bind the Group.
4. Professional behaviour
4.1 Professional behaviour requires that members act in a way which conforms to the relevant laws of the jurisdiction in which they are residing. It requires them also to pay regard to all regulations which may have a bearing on their actions and to adhere to the byelaws, and this Code specifically which states that the following actions or inactions may result in disciplinary proceedings:
- becoming bankrupt or insolvent;
- being convicted of an offence which might bring discredit on the Group or the profession;
- failing to uphold this Code;
- behaving, by doing something or not doing something, in a way considered to bring the Group into disrepute;
- disobeying or failing to comply with decisions of the Executive Committee or Conduct Committee;
- breaching of the Constitution;
- failing to comply with a decision or any conditions made by the Conduct Committee; or
- bringing the Group into disrepute in any form of communication channel, including but not limited to, print, television, video or social media.
4.2 Communication
At all times members and Council Members must demonstrate and practice policies promoting dignity at work, prevention of harassment in all relations with Members, the Law Society (both staff and Council Members) and stake holders.
- The Code applies to all forms of communication and interaction, including;
- at face-to-face meetings;
- online or telephone meetings;
- In written communication;
- in verbal communication;
- in non-verbal communication;
- in electronic and social media communication, posts, statements and comments.
4.3 Members are representatives of sole practitioners’ interests generally and not a delegate for any particular group or section of the membership.
4.4 Council Members
An Executive Committee Member shall be deemed to vacate office as a Council member automatically in the following circumstances-
4.4.1 dies;
4.4.2 resigns;
4.4.3 retires at the end of their term;
4.4.4 ceases to be a member of the Group;
4.4.5 is adjudged bankrupt or has entered into a deed of arrangement with their creditors;
4.4.6 is subject to sections 15 or 16 of the Mental Capacity Act 2005 (capacity);
4.4.7 is subject to conviction of any criminal offence in any court other than motoring offences;
4.4.8 subject to disciplinary proceedings
4.4.9 suspended from practice as a solicitor indefinitely or for a specified period
4.4.10 by a resolution of the Executive Committee by a majority of votes cast of those present.
5. Conduct Committee
5.1 Purpose Under the Constitution the Executive Committee shall create a standing Conduct Committee to investigate complaints referred to them for investigation and decision. The Conduct Committee will have absolute discretion as to how they manage their proceedings.
5.2 All discussions and documents shall remain private and confidential and shall not be disseminated without the express consent of the Chair of the Conduct Committee.
5.3 Membership
The Conduct Committee shall be comprised of a minimum of three and a maximum of five Executive Committee members who shall be chosen by the Executive Committee in a secret ballot
- Each Executive Member present shall be allocated five votes.
- Two members of the Executive, not standing for election, will count the votes and report the outcome to the Executive.
- Appointments will be made to the five members with the most votes.
5.4 Quorum
The Conduct Committee can act with a quorum of three members, in respect of all proceedings.
5.5 Method of Operation
5.5.1 Complaints in the first instance shall be made to the Chair of the Executive Committee, who shall acknowledge receipt to the Complainant and advise that it shall be referred to the Conduct Committee for further action.
5.5.2 On receipt of the referred complaint the Committee shall notify the Subject of the complaint within 14 days.
5.5.3 The Committee shall engage with the Complainant to establish the basis of the complaint and request such further information or details that would clarify the basis of the complaint.
5.5.4 The Committee in the first instance must be satisfied that there is a real prospect that the complaint will be proven on the balance of probability, based only on the evidence provided
5.5.5 The Committee shall consider the complaint and invite the Subject to respond within a reasonable time in the first instance, 14 days.
5.5.6 The Committee shall diligently investigate all reasonable lines of inquiry.
5.5.7 After the evidence of both parties has been carefully considered the Committee shall decide if the complaint is proven, based on a simple majority of votes.
5.5.8 If there is more than one complaint for a Subject, each one shall be dealt with separately on its merits
5.5.9 The report into each complaint shall include:-
- Details of the complaint
- Findings on each charge
- Penalty, sanction or condition it recommends for each complaint proven.
6. Informal Decisions
Not all referrals may require or warrant a formal response. Wherever possible an informal response maybe more suitable by way resolving the matter.
6.1 An informal resolution is a more proportionate way of dealing with relatively minor allegations, one-off incidents or underlying disagreements between individuals. By dealing with a matter at the initial assessment stage, as if there had been no formal investigation so the Conduct Committee can balance the interest in resolving a matter quickly and satisfactorily against the interest in the Complainant having their complaint upheld or the Executive Member’s desire to clear their name.
7. Right of Appeal
7.1 Once the Conduct Committee has reached a decision by a majority, the Subject shall be informed of the decision and the written report provided to them.
7.2 A right of appeal will be provided and 14 days will be given for the Subject to reply to the Conduct Committee’s decision.
7.3 If no notice of intention to appeal is received within the time specified, the Conduct Committee shall be deemed to have discharged their duty and the matter will be closed.
7.4 The Conduct Committee shall accept an appeal by way of a review only. The Conduct Committee's decision can only be overturned if it is proven that the decision was not reached in accordance with this Code.
7.5 The Conduct Committee additionally may reject the appeal, if is frivolous, vexatious or without merit in their absolute discretion.
8. Voting
All voting will be carried by a majority of Conduct Committee members present. Where there is an equality of votes the Chair of the Conduct Committee shall have the casting vote.
9. Suspension
Whilst any investigation or appeal is ongoing the Subject shall be suspended from all Executive Committee proceedings and events.
9.1 Under their own authority an Executive Member may be suspended by the Chair of the Executive Committee or by a majority vote of the Executive Committee present. In these circumstances, the Conduct Committee shall receive a referral in respect of the actions that led to the suspension but not consider whether it was properly reached so they can decide what further appropriate action should be taken with reference to evidence and facts provided. The Conduct Committee may reach any resolution that they consider to be appropriate.
10. Meetings
The Conduct Committee may meet as often as they deem necessary. Meetings may be held face to face, remotely by telephone or by video.
11. Conflict
11.1 It is the Conduct Committee member's responsibility to declare a conflict or potential conflict when dealing with a complaint, appeal or sanction.
11.2 If a Conduct Committee member fails to do so, it will be deemed as a breach of this Code.
11.3 If the conflict is accepted by the Conduct Committee, the Conduct Committee member will recuse themselves from any related proceedings.
12. Sanctions
May include suspension, removal, censure, written warning, conditional discharge, or such penalty as deemed appropriate in all the circumstances.
Review
This Code should be reviewed regularly but at least annually.
Term of Years
The Conduct Committee shall in remain in place for a term of three years. Thereafter elections shall take place to constitute a new Committee. At the discretion of the Chair of the Executive Committee, the Conduct Committee member’s terms may be extended by one year, if required.