Legal Precedents

From [ [ insert job title ], ] [ name ] As colleagues of [ insert organisation’s name ], we are proud of the value we deliver and of how we run our business. [ Insert organisation’s name ] is a [ describe business type ] with [ more than ] [ insert number ] colleagues, working across [ explain geographic reach ]. We must act together to prevent unethical behaviour from arising. To ensure this, [ Insert organisation’s name ] [ has OR is introducing ] an organisation-wide Code of ethics designed to make certain the right standards are upheld......

1 General Audit date [ enter the audit date ] Person conducting the audit [ record the name and job title of the person conducting the audit ] 2 External risks Complete the table with external risk factors that might affect business. All identified external risks should be added to risk register......

Probability rating Score Likelihood of risk materialising Benchmark 1 Very low Commonly anticipated only in truly exceptional situations. [ Up to [ 10 ]% probability of happening. ] 2 Low Not likely to occur within the next year in usual circumstances. [ [ 10–35 ]% likelihood of occurring. ......

Covering email Our Code of ethics explains the standards of conduct we are expected to follow so we preserve our integrity and good name. By understanding and adhering to the Code, we also reduce the risk of breaching laws and regulations, which keeps both the company and our people out of difficulty and safeguards our reputation. While most employees observe the Code and related policies, an organisation as large and varied as ours will inevitably face instances of individuals stretching or breaking the rules. The attached report highlights the most frequent Code breaches over the last year. We are sharing these insights to help you recognise and avoid situations that might result in a breach, and to clarify the kinds of behaviour you should report if you become aware of them. If you know, or even suspect, that anyone has violated the Code or...

This questionnaire aims to highlight possible business risks. Please take no longer than [ insert time, eg 30 minutes ] to complete it and send it to [ insert email address ]. [ If anything is unclear or you are uncertain about including something, please contact [ insert name and email address ]. ] 1 About you Your name [ insert name ] Your role [ outline your role within the business ] Your department [ insert department ] Briefly describe your department’s function [ In simple terms, say what your department does ] Any other relevant information [ add any other relevant information about your department, eg key major projects ] 2 Previous incidents Complete this section if any incidents listed in the table below have taken place in your department within the last [ insert time period, eg 12 months ]....

Please click to open the Precedent risk register. Please note this register is produced in Excel and, as a result, it cannot be downloaded into Word. What is a risk register? A risk register gathers and manages all of your risk information in one place. To build a sound register, start by pinpointing the risks your organisation encounters, and develop an appreciation of the organisation’s appetite for risk. The register then allows you to classify each risk the organisation faces, score each one, and decide on your response to every risk—e.g. reject or accept—and, where you accept the risk, to control or mitigate that risk. Depending on the scale and character of your business, you might keep separate registers by department or by risk type, with key priorities feeding into a single overarching register. For a sample privacy risk register, see Precedent: Privacy risk register. For a sample legal risk...

1 General information Report date [ Insert date ] Previous report date [ Insert date ] Name and role of submitter [ Insert name and status, e.g. Anti-bribery and Corruption Officer ( ABC Officer) ] 2 Action points arising from last report Action: [ Insert action point ] Person responsible: [ Identify person responsible for this action point ] Status: [ Describe status of the action point ] Action: [ Insert action point ] Person responsible: [ Identify person responsible for this action point ] Status: [ Describe status of the action point ] ...

1 Overall risk appetite [ Insert organisation name ] holds an overall [ low OR medium OR high ] appetite for risk. [ Insert organisation name ] will pursue its strategic aims in line with this risk appetite statement. 2 Risk appetite by category Risk category and description Strategic: risks that might cause business failure or obstruct achievement of strategic objectives. Examples Business development, corporate governance, weak succession planning, mergers and acquisitions, launching new lines, future-proofing, and choice of business location. Ability to adapt to shifts in internal and external operating conditions. Terrorism, pandemics, floods, fires, severe weather, earthquakes, or volcanic activity at a critical business site. Political, geo-political, or external stakeholder events that affect the organisation’s capacity to meet objectives. Customer-facing matters, e.g. changes in consumer preferences, competitor innovation, product liability, import and export controls (including trade sanctions), and other rival...

This Precedent presentation serves as a practical training resource to help you brief your Response Team Leaders on dawn raids and the key duties they must fulfil should one occur within your organisation......

This Precedent Developed to help you keep track of software patches across your organisation, and to record any known or reported issues. Please click now to open the register. Please note this register has been created in Excel format and therefore cannot be downloaded into Word at present......

This Precedent presentation This Precedent presentation serves as a training resource to help you brief employees on dawn raids and what they must do if one occurs at your organisation. A dawn raid may take place at any company, large or small, so you should remain alert to the possibility of a raid. Preparing in advance for a potential dawn raid is vital......

We conduct our businesses with integrity. We must all act together to keep our businesses free from bribery and corruption. This FAQ, which is central to that aim, sets out how we can achieve our business objectives in a way that aligns with our commitment to prevent bribery and corruption. 1 What are charitable donations? A charitable donation is a contribution made by an individual or a company to a non-profit organisation or charity. A charity is any group of persons or a trust established solely for charitable purposes. Such donations may include cash, access to venues, equipment, employees’ time, or other benefits provided to a charity, or to a person or organisation nominated by or associated with a charity. Most charities are unconnected with politics and hold no decision-making authority or influence over procurement decisions, so the chance that a donation to them is...

Because we may bear responsibility for bribery, the facilitation of tax evasion, and fraud carried out by an agent or intermediary representing us, we need assurance, prior to appointing any agent or intermediary (and for the duration of the relationship), that they will refrain from such conduct or related serious wrongdoing whatsoever. Accordingly, our measures to prevent crime oblige us to perform suitable due diligence concerning any third parties who act for us, to......

1 Introduction 1.1 We have undertaken an organisation-wide comprehensive review of fraud, carefully addressing: 1.1.1 the threat of not preventing fraud perpetrated in our name; and 1.1.2 the threat of our organisation itself becoming a victim of fraud. 1.2 This document sets out the risks considered, the findings reached, and the specific action points we judge necessary as a consequence of this review......

STOP PRESS This document is being revised to account for commencement of the Data ( Use and Access) Act 2025 ( DUAA 2025), which alters the UK GDPR and the Data Protection Act 2018......

1 Identify and document why the organisation processes personal data Avoid scouring the organisation for personal data without focus; consider the functions your organisation performs that involve processing personal data. First, identify which operations involve personal data in practice. Determining the reasons or purposes for processing is usually reasonably simple. Creating a diagram or visual map can aid your thinking. An example is shown below: 2 Document the various activities that take place to achieve each ‘purpose of processing’ Record the different activities undertaken to deliver each ‘purpose of processing’. List each step or task that contributes to the outcome for that purpose. Again, producing a diagram or visual map can be useful. This is depicted below, using the ‘staff administration’ purpose identified at stage 1......

Message from [ CEO ] At [ insert organisation’s name ], we are immensely proud of how we run our business and of the difference we make in the communities where we live and operate. Our culture, rooted in integrity and the highest ethical standards, sits at the heart of everything we do. [ Insert organisation’s name ] has [ more than ] [ insert number ] colleagues and works across [ explain geographic reach ]. This Code sets out the fundamental standards and policies that govern our operations. It details expected behaviours in the workplace and marketplace, and acknowledges our responsibility to the environment and the communities where we trade. It further guides each of us in addressing legal and ethical issues. [ Our suppliers and contractors must also align with key aspects of the Code via our Supplier code of conduct. ] Please...

Bribery and corruption Bribery and corruption continue to pose serious challenges in global trade, despite sustained initiatives to prevent them. When they occur, the effects are highly harmful and can, among other outcomes: divert funds and other resources away from those who need them most; impede economic and social development; damage business, including by pushing up the cost of goods and services. A bribe may consist of cash payments, gifts, favours, any item or service of value, or another benefit or financial advantage. Bribery arises where anyone authorises, offers, solicits, gives, receives or accepts anything of value, or any financial or other advantage, in exchange for favourable treatment or the improper performance of a function or activity by a company, government authority, official, employee or private individual. Most countries have laws that prohibit bribery and corruption......

A bribe means a monetary payment or any other benefit or gain, given whether directly or indirectly, that is meant to prompt or sway, or that results in prompting or swaying, an individual, company, or public authority to carry out their roles, including business and public duties, improperly......

This flowchart should be used to ensure every relevant consideration is addressed before a charitable or political donation approval request is either authorised or refused accordingly. Notes Note 1— Legal/regulatory environment Assess the legal and regulatory context—do the laws of the territory, or rules binding the recipient, lawfully permit this kind of donation? If not, the approval request must be refused. Note 2— Intention Always evaluate the motive underpinning the proposed donation carefully......