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Contributions by DG Legal

33

Business planning—regulatory requirements
Business planning—regulatory requirements
Practice notes

This practice note covers regulatory requirements which must be observed when preparing a written strategy for operating and managing the firm’s business, commonly known as a business plan.

Drafting a business plan
Drafting a business plan
Practice notes

This Practice Note provides information about preparing and implementing a successful business plan.

Financial management 2019—law firms
Financial management 2019—law firms
Practice notes

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.

Financial management—regulatory requirements 2011 [Archived]
Financial management—regulatory requirements 2011 [Archived]
Practice notes

This Practice Note covers the regulatory requirements that must be observed to minimise any events that could affect your firm’s financial stability. This is sometimes referred to as managing financial risk. It also addresses additional financial management requirements that apply to Lexcel accredited firms.

Formulating an ICT plan
Formulating an ICT plan
Practice notes

This Practice Note provides information on formulating, drafting and implementing a strategic (information and communication technology) ICT plan.

Identifying information security risks—law firms
Identifying information security risks—law firms
Practice notes

This Practice Note is intended 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.

Information management and security—regulatory requirements—law firms
Information management and security—regulatory requirements—law firms
Practice notes

This Practice Note explains the key compliance, 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 and other regulations or best practice recommendations.

Mitigating information and data security risks—law firms
Mitigating information and data security risks—law firms
Practice notes

This Practice Note considers practical steps you can take to seek to improve and maintain information and data security. You must take appropriate technical and organisational measures against unauthorised or unlawful processing of, and accidental loss of or damage to, personal data.

Health and safety employee consultation meeting agenda
Health and safety employee consultation meeting agenda
Precedents

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.

Health and safety employee consultation meeting minutes
Health and safety employee consultation meeting minutes
Precedents

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.

Health and safety incident report and record
Health and safety incident report and record
Precedents

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.

Health and safety incident—flowchart
Health and safety incident—flowchart
Precedents

This is a general example of the type of flowchart that an organisation can use when an accident occurs at work and an injury has been sustained.

Health and safety issues register
Health and safety issues register
Precedents

This Precedent register can be adapted and used as a means of summarising the results of any reviews of your health and safety plan. Any new actions that have been identified as a result of those reviews may require the plan itself to be revised. This document may act as a useful summary of the changes.

Health and safety plan
Health and safety plan
Precedents

This Precedent Health and safety plan outlines arrangements and measures to control and manage the risks identified in a health and safety risk assessment and key issues to be addressed. It forms part of our health and safety suite of Precedents.

Health and safety policy review record
Health and safety policy review record
Precedents

You should review your Health and safety policy regularly and document your review exercise. This precedent record can be used for that purpose.

Health and safety priority action list
Health and safety priority action list
Precedents

This Precedent can be used to document urgent actions you have identified and wish to prioritise as a result of a health and safety risk assessment. It may be incorporated into your health and safety plan or maintained as a separate document.

Health and safety questionnaire
Health and safety questionnaire
Precedents

This Precedent health and safety questionnaire can be used to obtain direct input from your staff on health and safety issues.

Health and safety risk assessment
Health and safety risk assessment
Precedents

This Precedent Health and safety risk assessment can be used to document the health and safety risks you identify within your organisation.

Health and safety schedule of inspection and testing
Health and safety schedule of inspection and testing
Precedents

This Precedent Health and safety schedule of inspection and testing is intended to help you document your health and safety tests. You should test your health and safety arrangements regularly to ensure they are effective and document tests carried out, including the results of the tests and actions taken as a result of testing if applicable.

Health and safety—annual review
Health and safety—annual review
Precedents

This Precedent: Health and safety—annual review will help you to conduct an annual review of your health and safety arrangements.

Contributions by DG Legal Experts

32

Business continuity plan—BCP—a practical guide
Business continuity plan—BCP—a practical guide
Practice notes

This Practice Note explains what a business continuity plan (BCP) is and the regulatory requirements in relation to BCPs, and provides guidance on formulating a BCP.

Business continuity plan—BCP—lifecycle
Business continuity plan—BCP—lifecycle
Practice notes

This Practice Note Business continuity plan (BCP) lifecycle is designed to help you navigate our BCP Precedents.

Conducting a fire risk assessment
Conducting a fire risk assessment
Practice notes

This Practice Note provides information on conducting a fire risk assessment in an office-based workplace. You have a duty to ensure that appropriate steps are taken to ensure the effective planning, control and monitoring of preventative and protective measures in relation to fire risks in your workplaces. In order to identify the general fire precautions you need to take, you must make a suitable and sufficient assessment of the risks.

Conducting a first aid needs assessment
Conducting a first aid needs assessment
Practice notes

This Practice Note provides information on conducting a first aid needs assessment.

Conducting a health and safety risk assessment
Conducting a health and safety risk assessment
Practice notes

This Practice Note provides information on conducting a health and safety risk assessment in an office-based workplace.

Coronavirus (COVID-19)—safe working in an office environment
Coronavirus (COVID-19)—safe working in an office environment
Practice notes

This Practice Note considers employers’ health and safety obligations and the implications of the coronavirus (COVID-19) for office working procedures and workplace safety. It covers health and safety issues in an office-based workplace and reflects government guidance on working safely during the coronavirus pandemic in offices and contact centres. Other industry/workplace-specific requirements may apply in different working environments.

Dealing with health and safety incidents
Dealing with health and safety incidents
Practice notes

This Practice Note provides information on investigating, handling and reporting health and safety incidents.

Dealing with health and safety incidents—regulatory requirements
Dealing with health and safety incidents—regulatory requirements
Practice notes

This Practice Note covers regulatory requirements relating to health and safety incidents including requirements relating to the reporting of injuries, diseases and other dangerous occurrences.

Display screen equipment—regulatory requirements
Display screen equipment—regulatory requirements
Practice notes

This Practice Note covers regulatory requirements relating to the use and care of visual display screen equipment.

Fire safety in the workplace—regulatory requirements
Fire safety in the workplace—regulatory requirements
Practice notes

This Practice Note covers regulatory requirements relating to fire safety in an office-based workplace, including in relation to duties of the responsible person, general fire precautions, signs and signals, and high risk activities and dangerous substances. Building regulations are outside the scope of this Practice Note.

First aid in the workplace—regulatory requirements
First aid in the workplace—regulatory requirements
Practice notes

This Practice Note covers regulatory requirements relating to first aid in an office-based workplace, including requirements relating to the provision of first aid kits, first aiders and first aid rooms.

Business continuity plan—BCP
Business continuity plan—BCP
Precedents

This Precedent business continuity plan contains suggested procedures to help you ensure that if your business is interrupted, you can become fully operational as quickly as possible and, in doing so, protect your staff, clients or customers and any other parties with whom you have dealings.

Business continuity plan—BCP—annual review
Business continuity plan—BCP—annual review
Precedents

This Precedent will help you to conduct an annual review of your business continuity arrangements.

Business continuity plan—BCP—cascade system
Business continuity plan—BCP—cascade system
Precedents

This is a Precedent cascade or communication system that you can use as part of your business continuity plan (BCP) procedures. You should ensure all staff are covered.

Business continuity plan—BCP—key contacts list
Business continuity plan—BCP—key contacts list
Precedents

This Precedent business continuity plan (BCP) key contacts list is a schedule for recording the names and contact details of all personnel and other contacts and suppliers who play a key role in delivering and maintaining the organisation’s BCP and recovery process.

Business continuity plan—BCP—priority list of functions and detailed risk assessment
Business continuity plan—BCP—priority list of functions and detailed risk assessment
Precedents

This Precedent Business continuity plan (BCP) priority list of functions and detailed risk assessment can help you give further detailed consideration to the actions that will be taken in the event that a specific risk materialises. It also encourages you to review the key elements of the business that are needed to continue trading while considering the impact to those functions that a business interruption might have. This Precedent is produced in partnership with DG Legal.

Business continuity plan—BCP—risk evaluation
Business continuity plan—BCP—risk evaluation
Precedents

This Precedent risk assessment provides examples of the sorts of matters you should consider and apply to your own business in conducting your business continuity plan risk assessment. This table is illustrative of common business continuity risks faced by organisations. The specific risks to individual organisations may vary.

Business continuity plan—BCP—schedule of testing
Business continuity plan—BCP—schedule of testing
Precedents

This is a Precedent for a Business continuity plan (BCP) schedule of testing. You should test the BCP to ensure it is effective and document tests carried out and include results and actions taken as a result of testing. You can use this Precedent for that purpose.

Business continuity plan—BCP—Training materials
Business continuity plan—BCP—Training materials
Precedents

This Precedent presentation has been designed as an aid to train your staff on your Business continuity plan (BCP) arrangements.

Fire warden role profile
Fire warden role profile
Precedents

This Precedent Fire warden role profile is suitable for a fire warden with overall oversight of fire safety in your organisation.

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