DG Legal

This Practice Note provides guidance on managing financial risk and is intended for law firms. It reflects the SRA Standards and Regulations 2019 and additional financial management requirements that apply to Lexcel accredited firms. It also provides guidance on common financial risk tools.

This Practice Note explains what information and communication technology (ICT) is and how organisations can benefit from embedding it as well as considering what risks may be associated with its use. It also includes practical guidance on how to formulate, draft and implement a strategic ICT plan.

This Practice Note is intended for law firms. It provides information about the benefits of implementing a business plan and how to go about preparing and implementing a successful business plan.

This Practice Note is intended for law firms. It can be used to help you identify the information and data your firm holds and is responsible for (sometimes called your information assets), determine the associated risks (the information risks) and consider how information risks can be mitigated or removed altogether.

This Practice Note explains the key regulatory and statutory provisions governing the management and security of information and data, referred to as information management and security. This includes requirements imposed by the SRA, UK General Data Protection Regulation (UK GDPR), Computer Misuse Act 1990, Lexcel and the Information Commissioner’s Office.

This Practice Note it is intended for law firms. It considers practical steps you can take to seek to improve and maintain information and data security. Data protection law requires that you take appropriate technical and organisational measures against unauthorised or unlawful processing of, and accidental loss of or damage to, personal data. In addition, you have a professional duty to maintain client confidentiality.

This Precedent Consolidated schedule of ICT maintenance, servicing, issues and testing can be used to keep a record of any known information and communication technology (ICT) maintenance, servicing, issues or testing required for any of your equipment, applications or services.

This Precedent Emergency homeworking assessment for staff will help organisations undertake a form of remote risk assessment of individual arrangements when working from home is implemented at short notice, and without the opportunity to conduct an on-site assessment, eg in response to a business continuity event. It is intended to be completed by individual members of staff and covers health and safety, equipment and technology and information security. Information from the completed checklist can then be evaluated and fed into the organisation’s ongoing health and safety, resourcing and information security planning processes.

This Precedent Emergency homeworking risk evaluation can be used in conjunction with Precedent: Emergency homeworking questionnaire for staff to record your organisation’s evaluation of risks identified as arising from emergency homeworking arrangements that have had to be put in place. It includes sections to document the steps you may need to put in place to mitigate the risks.

This Precedent First aid box or kit contents inventory provides suggestions on what you may wish to include in a first aid box. It can be used as an aid to a periodic check of the contents of your box or kit to ensure necessary replacement items can identified and replaced, and can be used as your contents list in the box/kit itself. You are not required to maintain a first aid box or kit, but it is generally considered good practice that this would be the minimum step that every organisation should put in place. Depending on the size and purpose of your kit (ie for use in the office or for travel), you may require more than one of the components listed in this inventory.

This precedent record may be completed by your first aider(s) to record information about any incidents that necessitate the provision of first aid to employees or other individuals in your workplaces.

This Precedent First aid needs assessment can be used to record your assessment of your organisation’s first aid needs. This will help ensure you are meeting regulatory requirements and can properly provide first aid when required.

This first aid procedure flowchart is an example of the type of flowchart you can use to demonstrate your procedures for dealing with accidents where injuries have been sustained.

This workflow explains the steps you can take to ensure your first aid provision is managed appropriately.

This Precedent will help you to conduct an annual review of your first aid provision.

This Precedent First aid provision—schedule of testing can be used to record the results of your first aid testing. You should check or test your first aid arrangements on a regular basis to ensure they are effective and document those checks or tests, including the results and any actions taken, if applicable.

This precedent role profile is suitable for a first aider.

This Precedent: Health and safety employee consultation meeting agenda can be adapted to assist with the preparation for any meetings between management and the organisation’s employees or representatives in relation to health and safety (whether they are regular periodic meetings, or a one-off meeting in response to a particular issue). It may help to focus the discussions that take place at the meeting.

This Precedent can be adapted to assist with the taking of minutes of any meetings held between management and the organisation’s employees or their representatives in relation to health and safety.

This Precedent report may be completed for any health and safety incident and particularly, to report and record incidents that result in injury or work-related ill-health or to record other dangerous occurrences.