This Practice Note provides information on investigating, handling and reporting health and safety incidents in an office-based workplace. Other industry/workplace-specific requirements may apply in different working environments. Dealing with incidents Employers and others in control of work premises have a duty to maintain records and to report certain incidents such as serious injuries, death, disease or dangerous occurrences. For information about regulatory requirements concerning health and safety incidents, see Practice Note: Dealing with health and safety incidents—regulatory requirements. Key staff members Ensure that the person (or team of people) with overall responsibility for health and safety is of sufficient seniority to enable them to lead the assessment and management process when an incident occurs and oversee any measures put in place—see Practice Note: Dealing with health and safety incidents—regulatory requirements. Depending on the size and the nature of the business, an organisation may need to appoint other staff members to ensure it meets its health and safety duties. Any person(s) appointed to take on a particular role within the organisation

This Practice Note is intended for in-house lawyers and privacy and compliance professionals in private sector commercial organisations in the UK. It provides guidance on how to manage international transfers of personal data and explains the legal and practical challenges organisations face in relation to international data transfers. It reflects ICO guidance on international transfers, including in relation to transfer risk assessments (TRAs), also known as data protection tests. This Practice Note is not intended for public sector organisations. The data protection regime on international transfers Where you transfer personal data internationally (outside the UK), you must satisfy and comply with requirements in Chapter V of the UK GDPR. These requirements are set out in Articles 44–50 of the UK GDPR and are referred to in this Practice Note as the transfer rules. They apply even when the receiver of the information is subject to the UK GDPR. To comply with the transfer rules and wider data protection regime, you should consider: • is there an alternative to transferring personal data outside

It is often said that running a business means taking risks and that the biggest risk an entrepreneur can take is not to think about risk at all. A prudent organisation identifies the risks to which it is exposed and controls those risks where possible. This Practice Note aims to help you to understand what is meant by legal risk and provides practical guidance on how to manage legal risk. It is intended for in-house lawyers of commercial organisations based in the UK. Most of the best practice steps in basic legal risk management will be second nature to seasoned in-house lawyers. These are probably things that you do all the time, as part of your day-to-day job. However, the growth of risk management as a strategic business tool, combined with the increasing expectation that in-house lawyers will be actively involved in formal risk management processes, require you to step back from approaching legal risk management as a reactive day-to-day activity. Proactive and strategic legal risk management necessitates consideration of wider legal issues,

What is modern slavery? Modern slavery is a term used to describe forms of slavery, human trafficking and exploitation. The Modern Slavery Act 2015 (MSA 2015) covers four activities, which are defined by reference to the European Convention on Human Rights (ECHR), article 4: Slavery Exercising powers of ownership over a person Servitude The obligation to provide services is imposed by the use of coercion Forced or compulsory labour Work or services are exacted from a person under the menace of any penalty and for which the person has not offered themselves voluntarily Human trafficking Arranging or facilitating the travel of another person with a view to their exploitation All businesses are encouraged to take sustained and concerted action to ensure they are not profiting directly or indirectly from modern slavery. As well as being ethically and morally important, MSA 2015 is intended to push issues of modern slavery and human trafficking up the corporate agenda. MSA 2015, s 54 requires large commercial organisations

This Practice Note is a ‘How to’ guide which sets out how to prepare and implement a successful personal development and appraisal process. The essence of any performance management process is the relationship between employee and manager. Both should know what needs to be done to meet their own goals and contribute to those of the organisation as a whole. This Practice Note takes into account Acas guidance on performance management. The importance of appraisals An effective performance management process focuses on: • aligning the workforce with the strategic aims of the business • improving employee performance • supporting employee development and retention • driving better business results Good performance management helps employees and managers to understand: • what the business is trying to achieve • their role in helping the business achieve its goals • the skills and competencies that they need to fulfil their role • the standards of performance required • how they can develop their performance and contribute to the development of the business • how they are doing • when there are performance

Many managers are concerned about managing teams they don’t see in person on a regular basis, but there are plenty of success stories which prove that remote teams can be highly productive. This Practice Note explores: • getting the basics right • striking the right balance when it comes to keeping in touch • team bonding • agreeing a flexible approach • managing by task not time • setting goals and measuring outcomes • supervision v micro-management • things to consider when conducting virtual one-to-ones (121s) or having difficult conversations, and • agreeing appropriate boundaries Getting the basics right The biggest single mistake made by many managers when it comes to managing remote teams is the assumption it is the same as managing a team of people who work together in the same office. It is not. The good news is that there are lots of transferable skills you can use, such as goal setting and coaching, but there are a range of other things you need to consider as well. While

The sanctions regime applies to all businesses. This Practice Note explains what this means for you. See also Practice Note: Sanctions—systems and controls, which provides practical guidance on establishing systems and controls to ensure compliance with the financial sanctions regime. What are sanctions? Sanctions are international measures aimed at: • encouraging a change in the behaviour of a particular country or regime • applying pressure on particular countries or regimes to comply with certain objectives • preventing and suppressing terrorist financing They are also used as a last resort enforcement tool when international peace and security has been threatened. Sanctions can target countries, regimes, organisations, individuals and entities. For a full explanation, see Practice Notes: Understanding the financial sanctions regime and Understanding the UK trade sanctions regime. The law The sanctions regime applies to all businesses. Sanctions are commonly classified by the nature of the prohibition, ie: • financial sanctions • director disqualification sanctions • trade sanctions • immigration sanctions • transport sanctions Financial and trade sanctions are the most pervasive. Financial

The sanctions regime applies to all law firms. This Practice Note explains what this means for you. See also Practice Note: Sanctions—systems and controls—law firms, which provides practical guidance on establishing systems and controls to ensure compliance with the financial sanctions regime. What are sanctions? Sanctions are international measures aimed at: • encouraging a change in the behaviour of a particular country or regime • applying pressure on particular countries or regimes to comply with certain objectives • preventing and suppressing terrorist financing They are also used as a last resort enforcement tool when international peace and security has been threatened. Sanctions can target countries, regimes, organisations, individuals and entities. For a full explanation, see Practice Notes: Understanding the financial sanctions regime and Understanding the UK trade sanctions regime. The law The sanctions regime applies to all law firms—there is no distinction in the sanctions regime between regulated and non-regulated sectors or activities, as there is under the anti-money laundering, counter-terrorist financing and counter-proliferation financing regime. Sanctions risk can therefore

Sanctions are intended to have a serious effect on the individuals, organisations and regimes they target. There is therefore a corresponding risk that sanctions targets may seek to circumvent the effect of sanctions. Understanding the risks of being involved in sanctions evasion and the warning signs and red flags to look out for should be a key part of your screening process. Failure to identify and manage red flags could expose you to criminal sanctions and/or regulatory and government fines. The methods used to evade sanctions are generally complex and sophisticated. You are unlikely to be dealing with a direct sanctions target, who could be identified through screening relevant sanctions lists, so you will need to be thorough with your due diligence investigations to determine whether a particular transaction would breach sanctions. If red flags are raised at any point in your due diligence, you need to get to the bottom of them. This Practice Note considers the risks to your organisation of being involved in sanctions evasion. It suggests good practices you

The SRA’s Sectoral Risk Assessment—Anti-money laundering, terrorist financing, proliferation financing and sanctions identifies supply-chain risk as an established transaction risk. Supply-chain risk may arise where a firm is involved in only part of a wider matter and has limited visibility over the broader transaction, end beneficiary or end use of its services. The Legal Sector Affinity Group (LSAG) also addresses supply-chain risk in its anti-money laundering (AML) guidance for the legal sector. However, this risk is not confined to the legal sector. It also not confined to the regulated sector—any business supply chain can be affected, regardless of whether or not the organisation conducts work caught by the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017), SI 2017/692. Supply-chain risk is also relevant to sanctions compliance. The SRA notes that supply-chain complexity can reduce visibility over who ultimately benefits from a service and make it more difficult to assess associated sanctions risk. The financial sanctions regime applies across

Construction analysis: What issues may arise if a construction project doesn’t live up to expectations? Hamish Lal, partner and head of the contentious and non-contentious construction law department at Jones Day in London, considers what practical guidance lawyers can give their clients.

This Practice Note is intended for general private-sector commercial organisations in the UK. It identifies common risks associated with using artificial intelligence (AI) in your business and suggests ways in which those risks can be managed. This Practice Note is not intended for organisations that develop or deploy AI solutions as a commercial offering for third parties. There is separate guidance for technology companies—see Practice Note: Artificial Intelligence—UK regulation and the National AI Strategy. What is artificial intelligence? There is no single definition of AI. Broadly speaking it is the simulation of human intelligence in machines, generally computer systems. Several types of AI are used in the commercial environment, including generative, predictive and extractive AI. Generative AI An AI tool that generates new, realistic content in the form of text, audio, computer code, data or images etc, eg using an AI tool to: • generate a marketing blog post • improve an email you have already written • write a product description or a job description • write a script