This Precedent Group/multiple office Dawn Raid Response Team Leaders details log is intended to be used by Dawn Raid Response Team Leaders

This instruction sheet contains instructions for the Response Team Leaders (typically the designated senior manager (eg CEO) and the lawyer(s) advising on the dawn raid) on handling a raid. Initial response Call lawyers (in-house and/or external) to tell them that a raid is in progress and arrange for a lawyer to be physically present for the duration of the raid. Lawyers and/or Compliance should be present for the entirety of the investigation. If it is not possible to have a lawyer present for the duration, ensure a live phone connection is in place. Immediately attend the premises • Address the investigators • Obtain any further information available in respect of what they are actually seeking • Identify any other premises which are being raided • Verify the investigators’ authority and take a photocopy of their IDs • Attempt to agree a method of searching with the investigators Ask to see the warrant/decision notice • If there is no warrant or other written documentation evidencing the investigators’ authority, consult with [insert name, eg external counsel] to determine whether the investigators may conduct the raid • If there is

In the event of a dawn raid, please complete this document list and ensure it is signed by the investigators once complete. Please keep copies of all the documents listed here and ensure they are numbered consecutively, in line with this list. Reference Document name Document location Matter in dispute Explanation Status 001 [Insert document name/title] [Describe document location] ☐ Relevance☐ Privilege☐ Other [Explain source of dispute] [Describe status of document and dispute] 002 [Insert document name/title] [Describe

Please complete this document list in the case of a dawn raid, and ensure it is signed, once complete, by the investigators. Please keep copies of all documents listed here and ensure they are numbered consecutively, in line with this list. 1 Documents seen/removed by investigators Reference Document name Document location Seen or removed? 001 [Insert

Please complete this document list in the case of a dawn raid and ensure it is signed by the investigators once complete. Please keep copies of all the documents listed here and ensure they are numbered consecutively, in line with this list. Reference Document name Document location Basis for privileged status 001 [Insert document name/title] [Describe

This Practice Note provides summaries of and links to different dawn raid lists and records to be used during a raid. See Precedents: Precedent Summary Dawn raid—record of raid details This Precedent can be used to make detailed written records, for your own benefit, of all materials considered by the investigators, questions asked and answers given, where the investigators

To: Response Team leaders[ at [x] site[s] ] From: [Office/location] Response Team Leader RE: Regulatory investigation—prompt attention required Confidential Dear All Regulatory authority investigators are on-site at [insert details of site subject to raid] to carry out an investigation today. I write to notify you of this situation and request you let me know immediately if investigators visit your site. We are co-operating fully with the authorities

To: [Individual’s name] From: Dawn Raid Response Team Leader RE: Regulatory investigation—prompt attention required Privileged and confidential Dear [insert name] As explained in my email of [insert date], investigators are on site conducting an investigation. I am writing again to notify you that the investigators are reviewing your electronic records and IT profile in connection with this investigation. As a result, you are not permitted to access your company computer accounts from any PC or laptop until further notice. You may

1. Immediate response Your first concerns should be contacting your lawyers, attending the premises, and assembling your Dawn Raid Response Team. Actions Contact the organisation’s legal advisor, whether in-house and/or external, and arrange for a lawyer to be physically present at all times during the raid and any interviews. If not already on-site, immediately attend the premises and address the investigators. Obtain any further information available in respect of what the investigators are actually seeking— ask to see the warrant/decision notice, or any other written documentation evidencing the investigator’s authority. Identify any other premises which are being raided. Verify the investigators’ authority and take a photocopy of their IDs. Contact and assemble the Response Team. 2. Preliminary assessment Your first instinct may be to tell affected individuals about the raid, but you need more information before you can decide whether this is necessary or desirable. Your initial focus should be on establishing the exact reason and scope

Please click for an excel version of this record. Please

This Practice Note sets out links to resources specifically relevant to the Dawn Raid Response Team members, which are available in the Dawn raid response team toolkit. The roles and duties of Response Team members are summarised in Precedent: Dawn raid—action

In the event of a dawn raid, investigators must be accompanied and monitored (shadowed) throughout. This is a key role and it is imperative that shadowers understand what is required of them. This Precedent Dawn raid Flowchart guides shadowers through handling a dawn raid. It is intended to be issued to shadowers in advance of a dawn raid occurring, but realistically is likely only to be used as and when a raid