Legal Precedents

1 Introduction 1.1 Bribery and corruption persist as significant problems in global commerce, notwithstanding numerous targeted initiatives to deter them. They inflict serious harm on communities where they arise. They: 1.1.1 divert funds and other assets away from those most in need; 1.1.2 impede economic and social progress; 1.1.3 harm enterprise, notably by pushing up the price of goods and services. 1.2 Our statutory duties are chiefly set by the Bribery Act 2010 ( BA 2010). BA 2010 applies to us as a UK organisation if bribery happens anywhere within our operations. 1.3 We conduct our business [ es ] with integrity, and in a frank and principled way. Each of us must act to ensure [ insert organisation’s name ] stays free from bribery or corruption. 1.4 This policy is central to that aim. It is fully endorsed by the [ insert, eg Board ]. It...

To: [ name ] of [ address ] Please note that: The [ name ] [ District ] [ Borough ] [ City ] Council (the Council) is satisfied that a statutory nuisance [ exists OR is likely to [ occur OR recur ] ] under section 79(1) [ specify which subsection ] of the Environmental Protection Act 1990 ( EPA 1990), originating from [ the premises at ] [ specify the address of the source of the nuisance ] and resulting from [ describe the matters which are causing the nuisance ]. This abatement notice is issued to you as you are [ the person responsible for the statutory nuisance OR [ the owner OR the occupier of ] the premises ]. What you are required to do [ You are required to abate......

As you may know, the Company is presently [ under investigation by the [ insert name of agency ] OR undertaking an internal investigation ] concerning [ insert allegations of fraud, bribery ]. [ External solicitors have been instructed to support the inquiry. ] This inquiry is strictly confidential, and we request that you preserve that confidentiality at all times and without exception. I ask that you attend a meeting with our legal team on [ insert date ] as scheduled. We consider that you may hold information that could aid our understanding of the facts connected to the issues under review and help clarify points further. Our wish to speak with you does not indicate that you are the subject of the investigation. Attending this meeting accords with your employment obligations, and we expect your full co‑operation in this respect. This letter sets out...

[ Insert the name and address of the proposed defendant ] Dear [ insert organisation name ] Letter before claim in proposed judicial review proceedings concerning [ insert brief description of decision, act or omission at issue ] [ Claimant OR Your client ]: [ insert proposed Claimant’s full name ] [ Defendant OR Our client ]: [ insert proposed Defendant’s full name ] Our [ firm OR department ] represents [ insert proposed Claimant’s full name ] in relation to a prospective judicial review of the Defendant’s [ decision OR act OR omission ] [ insert brief summary of decision, act or omission ]. This correspondence serves as [ our client’s OR the Claimant’s ] letter before claim, issued in line with the Pre- Action Protocol for Judicial Review. We have used the standard letter before claim format set out in Annex A to the Pre- Action Protocol for...

1 Management commitment Person accountable for the Product Safety Incident Plan ( PSIP) [ Insert name and contact details of senior person in the organisation responsible for leading, developing and periodically reviewing the policy, and reporting on its operation to the Board ] Plan Review Date [ Insert date of next plan review ] 1.1 [ Insert organisation name ] aims to ensure every product it [ produces AND/ OR distributes ] is safe, of high quality and meets all applicable legislation and standards. [ Insert organisation name ] evaluates those products and acts to remove, or, where that is not achievable, to reduce, any identified safety risks. 1.2 [ Insert organisation name ] achieves this through quality assurance, ongoing product monitoring [ , review of customer complaints and product returns, ] and risk assessment, in accordance with the relevant section of the PSIP. 1.3 The...

IMPORTANT SAFETY WARNING— PRODUCT [ RECALL OR [ insert details of alternate corrective action (eg replacement or repair) ] ] [ Insert product name ] [ Insert photographs of product ] We have learnt that [ a limited quantity of ] the [ insert product name ] could contain a fault......

1 Internal team Product Safety Lead [ Name/contact details]; heads safety; ensures recall records. Product Manager [ Name/contact details]; accountable for products. R& D/ Design [ Name/contact details]; leads R& D/design; ensures traceability. Production [ Name/contact details]; person(s) leading production. Quality Assurance [ Name/contact details]; QA and risk; market surveillance. Purchasing [ Name/contact details]; procures raw materials, components or finished goods. Distribution [ Name/contact details]; liaises with distributors/wholesalers. Sales [ Name/contact details]; consumer sales; customer traceability. Customer Relations [ Name/contact details]; handles queries, concerns and complaints. Logistics [ Name/contact details]; transport, storage and disposal for corrective action. Communications [ Name/contact details]; PR, media and external communication. Legal and Compliance [ Name/contact details]; regulatory/standards compliance; regulator liaison; liability/insurance. Finance [ Name/contact details]; financial decisions. 2 External team Trading Standards Contact [...

I am legal counsel for [ insert organisation name ]. I act exclusively for [ insert organisation name ] and do not represent you. I am conducting this interview to obtain facts to enable me to provide legal advice to [ insert organisation name ]......

Before the [ insert name ] Magistrates' Court on [ insert date ] Defendant: [ insert name of the individual liable for the statutory nuisance OR, where appropriate, the owner of the premises from which the nuisance originates ] Address: [ insert address ] Matter of complaint That, on [ insert date ], a statutory nuisance, within meaning of Environmental Protection Act 1990, s 79(1) [ specify paragraph ], was present at [ specify the premises and its address ] and still persists now, and that [ name of person responsible for the statutory nuisance ] remains responsible for the statutory nuisance......

[ insert address of claimant's instructing solicitor ] [ insert date ] To: [ insert name of person or local authority responsible; and address ] [ insert name ], Existence of a statutory nuisance Notice under section 82(6) of environmental protection act 1990 We act for our client, [ insert name ], and hereby give you notice of [ his OR her OR its ] intention to commence proceedings against [ you OR your authority ] under the provisions of Section 82 of the Environmental Protection Act 1990......

Thank you for making the time to meet with us. As you know, we are carrying out an enquiry on behalf of [ insert organisation's name ] into matters connected to [ use general terms to describe the issues ]. We consider that you could improve our understanding further of events by sharing relevant details that will support the enquiry......

Precedent sample privilege log Click to access the Precedent sample privilege log. Please note this register was created in Excel, so it cannot be exported to Word. This Precedent sample privilege log is suitable when an organisation runs an internal investigation. It helps you catalogue documents covered by legal professional privilege, indicate whether they are redacted or fully withheld, and state the rationale. Use it to note whether access is limited by redaction or complete withholding, together with the underlying justification. It is equally applicable where an organisation faces an external investigation. Legal professional privilege ( LPP) shields documents from disclosure to third parties, including government agencies, regulators and claimants in civil proceedings. There are two categories of LPP: legal advice privilege litigation privilege See Practice Note: Internal investigations and legal professional privilege— Types of legal professional privilege......

Dear [ insert name ] We have been asked by [ Regulators and/or other agencies ] to provide documentation relating to [ Project X ]...

Legally privileged and confidential. Do not circulate further without prior reference to [ insert, eg Head of Legal ]. Date of report: [ insert date ]. Report prepared by: [ insert name of internal department or external law firm providing the report ]. Report provided to: [ Insert name ] – [ Insert job title ] [ Insert name ] – [ Insert job title ] [ Insert name ] – [ Insert job title ] 1 Executive summary [ Insert executive summary ] 2 Complaints/issues The allegation(s) or concern(s) notified are listed below: Allegation 1 [ Insert description of allegation 1 ] Allegation 2 [ Insert description of allegation 2 ] Allegation 3 [ Insert description of allegation 3 ] Allegation 4 [ Insert description of allegation 4 ] 3 Investigation process 3.1 Document review 3.1.1 Collection of electronic data (a) We have secured electronic material comprising forensic captures of laptops, desktop hard drives, mobile devices, USB...

Strictly Private & Confidential Do not distribute beyond [ insert organisation's name ] [ group ] From: [ Head of Legal ] To: [ recipients ] Subject: Retention of documents and data To address any prospective information requests from [ regulators including the SFO, FCA or any other agency ], [ insert organisation's name ], together with any of its [ parent corporations, subsidiaries (‘[ insert organisation's name ] Group’) ] affiliates, predecessors, successors, general partners, limited partners, officers, directors, or employees, may need to supply specified documents and records concerning [ Project X ]. Therefore, until you receive further instruction, please refrain from amending, deleting,......

1 General information Date: [ Insert date ] Name of the person completing this response form and action plan: [ Insert name ] Date the sanctions breach report form was received: [ Insert date ] Name of the person who submitted the sanctions breach report form: [ Insert name ] [ Customer OR Client ] name and reference ( If applicable): [ Insert name and reference ] 2 Investigation and result Have you examined the circumstances described in the breach form? Please outline the steps taken to look into the circumstances ☐ Yes ☐ No [ Insert details ] Has a confirmed breach been identified? ☐ Yes—proceed to section 3 ☐ No—move to section 4.1 and explain in detail in the conclusion why no breach has occurred 3 Actions following breach Guidance: once a breach is confirmed, it is essential to take...

Please provide the fullest possible details regarding this suspected breach. If you need assistance completing this form, contact [ insert, eg your sanctions compliance representative ]. Submit or email this form, along with any related documents, to [ insert, eg your sanctions compliance representative ]... 1 General Job title [ insert job title ] Department/team [ insert department or team ] Contact number(s) [ insert contact number(s) ] Email address [ insert email address ] 2 Information about the suspected breach Your report should set out all known information concerning the suspected breach. Where relevant, attach additional supporting material to this form......

1 Consider seeking external advice Recognising fully how intricate many sanctions frameworks are; the risk that offences may span several jurisdictions, and nuanced issues arising in relation to privilege and in‑house counsel, it is often prudent to obtain specialist guidance from external solicitors promptly at the earliest opportunity once any breach is identified. 2 Cease dealing with the sanctioned entity/person/funds etc Stop all dealings with any sanctioned entity/person/funds etc immediately. Hold the transaction, but do not return funds to the sanctioned entity or person. Where funds have reached the UK from a designated person outside the EU, government policy mandates that those funds are frozen on entry to the UK......

1 Opening statement from senior management 1.1 [ Name of organisation ] remains dedicated to preventing acts of modern slavery and human trafficking from arising within its operations and supply chain, and requires the same exacting standards from its suppliers. 1.2 [ Insert name ] holds overall accountability for identifying, assessing and managing modern slavery risk, and for leading the response on behalf of [ insert name of organisation ]. They are supported and scrutinised by [ insert details of senior level oversight mechanism ]. 1.3 [ Insert senior leader’s high-level statement affirming the organisation’s commitment to ensuring there is no slavery or trafficking within the organisation and its supply chain, and outlining the effectiveness of actions taken and/or further steps to be undertaken. ] 2 Structure of the organisation, our business and supply chains 2.1 [ Name of...

1 Introduction 1.1 We conduct our business [ es ] with integrity and fairness. All of us must work together to ensure our business [ es ] remain [ s ] entirely free from bribery and corruption. This policy is central to that commitment, and we are each bound by it. 1.2 [ Insert organisation’s name ] is proud to support charities and worthwhile causes, and remains committed to acting with the highest standards of probity as it continues to provide that support. 1.3 Bribery and corruption are, however, areas where how things look can sometimes matter more than what is true. Improper payments can be concealed as charitable or political donations. Even if a donation is offered with wholly innocent motives, if an external observer could reasonably place an adverse interpretation on it, the business, and the individual receiving it, are put at...