Professional & Financial Services

Professional, scientific and technical compliance checklist

Use this checklist to confirm you have met every regulatory obligation that applies to your professional, scientific or technical business — from workplace health and safety through to IPReg registration for patent and trade mark attorneys.

UK-wide
On this page
UK-wide

Work through every section that applies to your business. Tick off each item when you have confirmed it is in place.

Section 1 — Health and safety at work

  • Have you identified your general duties as an employer (or self-employed person) under the Health and Safety at Work etc. Act 1974?
  • Have you carried out a suitable and sufficient risk assessment covering the principal hazards of your operation — display screen equipment use, lone working (photographers on location, interpreters on assignment), studio electrical and lighting equipment, and manual handling of equipment?
  • If you employ five or more people, is the risk assessment recorded in writing?
  • Do you have a written health and safety policy (required if you employ five or more people)?
  • Have you appointed a competent person to assist with health and safety?

Section 2 — Fire safety

  • Have you carried out a fire risk assessment for all non-domestic premises — offices, design studios, photographic studios and any other workspace?
  • Are escape routes clear, signed and adequately lit?
  • Is fire detection and alarm equipment installed and regularly tested?
  • Have all staff received fire safety training?

Section 3 — Employers' liability insurance

  • If you employ anyone (including part-time, agency or contract workers under your direction), do you hold employers' liability insurance with at least £5 million cover?
  • Is the certificate displayed at your premises or accessible electronically?

Section 4 — Equality and data protection

  • Are you aware of your duties under the Equality Act 2010 (or equivalent Northern Ireland legislation) not to discriminate in employment or service provision?
  • Have you considered reasonable adjustments for disabled employees?
  • Have you registered with the Information Commissioner's Office (ICO) for data protection (unless exempt)?
  • Have you identified the lawful basis for each type of personal data you process — employee records, client information, photographs of identifiable individuals, translation project files?
  • Can you respond to a subject access request within one calendar month?

Section 5 — IPReg registration (patent and trade mark attorneys only)

  • If you practise as a patent attorney or registered trade mark attorney, are you entered on the statutory register maintained by IPReg?
  • Do you hold adequate professional indemnity insurance as required by IPReg?
  • Are you meeting your continuing professional development obligations?
  • Are you complying with the IPReg Code of Conduct?
  • If you exercise reserved legal activities (conduct of IP litigation, rights of audience), do you hold additional authorisation from IPReg?
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    What to do next

    If you have ticked every item that applies to your business, you have confirmed your obligations are met. Revisit this checklist whenever you take on new staff, change premises, expand into new service areas or begin practising as a patent or trade mark attorney.