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Contributions by DG Legal

22

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 is intended for law firms. It provides information about preparing and implementing a successful business plan.

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.

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 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.

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.

First aid box or kit contents inventory
First aid box or kit contents inventory
Precedents

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 if you keep a copy 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.

First aid incident record
First aid incident record
Precedents

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.

First aid needs assessment
First aid needs assessment
Precedents

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.

First aid procedure—flowchart
First aid procedure—flowchart
Precedents

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.

First aid provision management lifecycle
First aid provision management lifecycle
Precedents

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

First aid provision—annual review
First aid provision—annual review
Precedents

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

First aid provision—schedule of testing
First aid provision—schedule of testing
Precedents

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.

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 key contacts list
Health and safety key contacts list
Precedents

This Precedent Health and safety key contacts list is intended to be used for recording the names and contact details of all personnel and other contacts who play a key role in delivering and maintaining the organisation’s health and safety arrangements.

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 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.

Workstation health and safety checklist for staff
Workstation health and safety checklist for staff
Precedents

This Precedent Workstation health and safety checklist will help ensure an organisation is meeting regulatory requirements and is able to properly assess the risks to employees’ health and safety. The results of any checks should be analysed and fed into the organisation’s ongoing health and safety planning processes.

Contributions by DG Legal Experts

33

Coronavirus (COVID-19)—safe working in an office environment before 19 July 2021 [Archived]
Coronavirus (COVID-19)—safe working in an office environment before 19 July 2021 [Archived]
Practice notes

ARCHIVED: This Practice Note has been archived and is not maintained. 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 prior to 19 July 2021. Other industry/workplace-specific requirements may apply in different working environments.

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 in an office-based workplace, including requirements relating to the reporting of injuries, diseases and other dangerous occurrences. For practical information about investigating, handling and reporting a health and safety issue, see Practice Note: How to manage health and safety incidents.

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.

Health and safety assessment and planning lifecycle
Health and safety assessment and planning lifecycle
Practice notes

This chart is provided for your information to help you navigate our health and safety assessment and planning Precedents. It is not intended to be capable of being edited.

Health and safety assessment and planning—regulatory requirements
Health and safety assessment and planning—regulatory requirements
Practice notes

This Practice Note covers regulatory requirements relating to health and safety in an office-based workplace and in particular, the requirements relating to health and safety risk assessment and your health and safety plan.

Health and safety in the workplace—regulatory requirements
Health and safety in the workplace—regulatory requirements
Practice notes

This Practice Note covers regulatory requirements relating to health and safety in an office-based workplace including requirements relating to the provision of safe workplace equipment and manual handling.

Health and safety policy—regulatory requirements
Health and safety policy—regulatory requirements
Practice notes

This Practice Note covers compliance and regulatory requirements relating to health and safety and, in particular, the requirements for a written health and safety policy. It covers health and safety requirements in an office-based workplace. Other industry/workplace-specific requirements may apply in different working environments.

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 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—business impact analysis
Business continuity plan—BCP—business impact analysis
Precedents

This Precedent business impact analysis can help you identify your key business functions or services and predict the potential consequences of those functions being disrupted. This could include functions such as client service, case management, data processing, HR, accounting functions, etc, which would, if they are interrupted or damaged, have a detrimental effect on your ability to operate. As part of the analysis, it is important to assess the amount of time for recovery before the business will suffer consequences. This will help you to determine which processes may be more critical to the business and help identify the maximum length of time that the organisation can manage a disruption to each of the key functions without threatening its viability. You can then set the point in time at which the key functions would need to be resumed in the event of a risk event occurring. Once you understand the potential impact and priority, you can more effectively document the critical activities required to deliver the key functions and put in place strategies and operational measures to respond to the event and limit the disruption.

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 makes up a part of our BCP suite of Precedents. It is intended to help you give detailed consideration to the actions that will be taken in the event that a specific business continuity 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 examples of mitigation measures you could 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.

Business continuity staff input survey
Business continuity staff input survey
Precedents

This Precedent business continuity staff input survey can be used to assess staff understanding of your firm’s business continuity plan and to help determine how you can improve the effectiveness of this plan further.

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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