All staff must report any acts or omissions that may give rise to a potential negligence claim against the firm. This applies even if you believe the mistake can be rectified. Completed forms must be sent as soon as possible to [insert name of person nominated to receive forms]. 1 Your details Name of person making report [insert name] Your department [insert

1 Objectives Provide a summary of your key objectives here. For example: To comply with the requirements of the Bribery Act 2010, we need to ensure all our employees have carried out the online training on our anti-bribery and corruption policies and procedures. This needs to be completed by [insert date]. All employees need to understand that they must have completed the online training, including the self-assessment form, by this date. 2 Budget Provide details of any budget you can make available for the project here. For example: We have budgeted £[insert figure] for promotional materials. All training materials have already been commissioned and paid for. Please charge to cost code [insert]. 3 Audience details 3.1 Audiences involved Set out here details of all the people you need to communicate

1 Objectives Provide a summary of your key objectives here. For example: To comply with the requirements of the Bribery Act 2010, we need to ensure all our employees have carried out the online training on our anti-bribery and corruption policies and procedures. This needs to be completed by [insert date]. All employees need to understand that they must have completed the online training, including the self-assessment form, by this date. 2 Audience details 2.1 Audiences involved Set out here details of all the people you need to communicate with. Depending on the size of your business and/or project, you may wish to arrange this by individual, by team or by division. Think about whether they will have any special message requirements, where they are based and any language considerations. Your communications team should then be able to recommend how best to reach them. For example: Group/Individual Special message required? Location Language CEO Yes—need to involve in communications plan London English Senior Leadership Team Yes—need

You may also find it helpful to refer to Practice Note:

This Practice Note walks you through a process for compiling quality, effective internal communications. It contains some simple ‘do’s and don’ts’ and links to examples of Precedent internal communications. Consider your audience A good starting point is to consider your audience: who are your intended recipients? Consider how your message might be received. Will the recipient feel positive, negative or indifferent? You should adapt your approach/style accordingly. Consider how much time your audience will be able to give the message, and tailor the length to suit. You should avoid writing any email more than 150 words long, and ensure any reminders and follow-up notes are shorter than the originals. You should also consider whether the message will be best received from you or someone else. This will depend on the particular circumstances of the communication, but could include a project champion or a crisis team lead. Consider content and style Always start with your key point. Use clear language and avoid jargon. Make sure to highlight any next steps or required actions, and explain why

This Internal communications—designing effective messages—checklist helps you compile quality, effective internal communications. There is a section for you to mark whether you have completed each step and also to insert comments or note action points. Consider your audience Suggested step Comment/Action ☐ Consider how your audience might receive the message—will they feel positive, negative or indifferent? [Insert any comment/action required] ☐ Consider how much time your audience will be able to give the message and tailor the length to suit. [Insert any comment/action required] ☐ Consider whether the message will be best received from you, or from someone else, eg project champion or crisis team lead. [Insert any comment/action required] Consider

Having in place a well thought-out and accessible structure on internal communications could help an organisation to ensure internal communications are managed effectively and efficiently. You should therefore: • identify key members of staff and obtain their input • formulate an internal communications plan • implement the plan, and • review the plan This Practice Note deals with formulating, implementing and reviewing a plan to manage communications. It is intended for use by in-house legal and/or compliance teams. When should I use a communication plan? Communicating effectively with colleagues can make the difference between an initiative or critical message succeeding or failing, particularly if you work in a large organisation or one where colleagues are dispersed across many different offices. It is worth spending time putting a formal plan together for any of the following types of project: • roll-out of a new or updated policy to your business • implementation and training on a new system or procedure • breaking difficult news, such as relocation or redundancy • communicating critical messages, eg in a crisis situation—see also Practice Note: Managing communications in

Preliminary steps Before any action is taken it is important to consider: • what is the event which has created the suspicion of fraud in the company? • what is the financial impact this has had on the company—what is the loss? • when and how did this loss occur? • who is responsible for this loss? • is there any evidence pointing towards the involvement of the person responsible? Taking early steps to identify and protect privileged material Carefully consider which documents may be protected by legal professional privilege (LPP). See Practice Notes: Legal professional privilege in criminal proceedings, Maintaining privilege during criminal investigations and Section 2 notices requiring production of documents. Where multinational companies are concerned, also consider Practice Note: Issues of privilege in cross-border criminal investigations. Indicators of fraud There are types of behaviour which may be indicators of fraud within a company. Where internal fraud is suspected within the company in respect of an individual or team, the following indicators should be considered: • is there a genuine contractual basis

A complaint can include any expression of dissatisfaction that alleges the complainant has suffered (or may suffer) financial loss, distress, inconvenience or some other detriment. Complaints may be received in writing (eg letter, email, social media, or online review platforms) or verbally, in person or by telephone. If a client or other person connected with a matter on which you are working or for which you are supervisor raises a concern or complaint, you must report it to [insert name of person responsible for handling complaints] using this Internal complaint report form. You must report complaints as soon as possible and without delay. Some minor service issues can be put right before they become complaints, eg if a complainant is simply seeking a missing update and is satisfied once it’s provided, they may not wish to engage

1 Introduction 1.1 We are committed to providing a high-quality legal service. We acknowledge that we may not always get it right, so if something has gone wrong, including in relation to the bill, we ask that clients tell us. 1.2 It is vital that we handle complaints promptly and fairly. 1.3 This procedure describes how we handle complaints we receive and ensure we comply with our regulatory obligations. It is intended for internal use and should not be disclosed to clients or other third parties. We have a separate external complaints policy, which can be accessed [state where or how]. 1.4 [As a firm, we have taken the decision to align our process with the Model Complaints Resolution Procedure (MCRP) developed by the Legal Ombudsman (LeO) and to state this in client-facing materials. Under the MCRP, complainants are provided with a link to resources on LeO’s website and will therefore be aware of how the process is intended to work.] 2 [ What is a complaint? 2.1 A complaint can include any expression of dissatisfaction that alleges the complainant has suffered (or may suffer) financial

Internal dispute resolution (IDR) is a means of dealing with member grievances in connection with their pension scheme with the objective of avoiding external interference.

THIS PRACTICE NOTE APPLIES IN RELATION TO OCCUPATIONAL PENSION SCHEMES The legal framework for an occupational pension scheme’s internal dispute resolution procedure (IDRP) is set out in: • sections 50, 50A and 50B of the Pensions Act 1995 (PA 1995), and • the Occupational Pension Schemes (Internal Dispute Resolution Procedure Consequential and Miscellaneous Amendments) Regulations 2008, SI 2008/649 The Pensions Regulator’s General Code of Practice also includes a section on dispute resolution procedures. Scope of IDRP Pension scheme trustees have a duty to establish, run and manage a scheme’s IDRP. The IDRP enables scheme members, or those with an interest in the scheme, to challenge decisions, acts or omissions relating to their scheme benefits or the pension scheme. Individuals considered to have an interest in the pension scheme include those who have ceased, or claim to have ceased, to be a member or beneficiary of the scheme, or a prospective scheme member. This includes widows, widowers and surviving dependants. Complaints relating to the employer are outside the scope of the IDRP process. Scheme