Element 02×Finance and Legal
Finance & Legal in Policies
Policies and Standards
What Finance & Legal owns here
This element holds the financial and legal standards — accounting policies, financial control, sanctions, contract law, tax and regulatory legal requirements.
Example documents, by tier
Policy 2
- Financial Crime PolicyIn 1 of 3 operator registersCompany-wideAlso in EI PSM · 01 Leadership, commitment and responsibilityNot process safetyNot safety case critical
- Internal Privacy NoticeIn 1 of 3 operator registersCompany-wideAlso in EI PSM · 02 Identification and compliance with legislation and industry standardsNot process safetyNot safety case critical
Standard 5
- Tax StrategyIn 1 of 3 operator registersCompany-wideAlso in EI PSM · 02 Identification and compliance with legislation and industry standardsNot process safetyNot safety case critical
- Standard for Competition and Anti-TrustIn 1 of 3 operator registersCompany-wideAlso in EI PSM · 02 Identification and compliance with legislation and industry standardsNot process safetyNot safety case critical
- Employee and Business Expenses StandardIn 1 of 3 operator registersCompany-wideAlso in EI PSM · 08 Operating manuals and proceduresNot process safetyNot safety case critical
- Corporate Credit Card StandardTypical exampleCompany-wideAlso in EI PSM · 08 Operating manuals and proceduresNot process safetyNot safety case critical
- Investment Decisions Approval StandardIn 1 of 3 operator registersCompany-wideAlso in EI PSM · 12 Management of change and project managementNot process safetyNot safety case critical
Why these belong here
"These are the rules that govern how money moves and how the company is contractually and legally bound."
What does not live here
- →The procedures executing the standards — (Plans and Procedures)E07 Procedures
- →The execution at period close or contract negotiation — (Execution of Activities)E08 Execution
- →The audit of compliance — (Assurance, Review and Improvement)E10 Assurance