Legal Risk Management in the Department of Justice
Appendix C: Data Collection Instruments (cont'd)
Evaluation of Legal Risk Management
Key Informant Interview Guide
Implementation of the LRM - Litigation Support Files
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21. Taking into consideration the litigation support files you have been involved with in the last two years, how often were legal risks identified or assessed?
- Frequently (75%-100% of files)
- Regularly (50%-74% of files)
- Occasionally (25%-49% of files)
- Rarely (1%-24% of files)
- Never (0% of files)
- Don't know
- Not applicable to my work
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22. In assessing legal risk, how often during the last two years have you or a member of the litigation support team…
- consulted the client department? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted DOJ litigation counsel (regional office, headquarters) handling the file? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted specialized units within DOJ (e.g. units within the Public Law Sector, or Policy Sector, etc.)? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted other potentially affected LSUs? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reassessed risk after the initial assessment? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- inputted risk assessments in iCase? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted the client department? Percentage of files:
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23. Please rate how useful you have found the LRM assessment grid/matrix through iCase or otherwise.
- Very useful
- Useful
- Not very useful
- Not at all useful
- Not applicable/have not used this tool
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24. Why do you find the LRM assessment grid/matrix not useful? (Check all that apply)
- The scale for the level of impact on the government (significant, moderate, minor) is not well defined.
- The scale for the likelihood of an adverse outcome (low - less than 30%; medium - 30%-70%; high - over 70%) does not have enough categories.
- The grid results in under-reporting the number of files that you believe are actually high risk.
- The grid results in over-reporting the number of files that you believe are actually high risk.
- The grid results in inconsistent risk level ratings across the DOJ.
- The grid does not take into account urgency or time (e.g. high risk but nothing will happen for several years).
- The grid does not capture other relevant aspects of risk (please specify)
- Other, please specify
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25. Why have you not used the LRM assessment grid/matrix? (Check all that apply)
- I am not aware of the LRM assessment grid.
- I do not know how to use the grid.
- The grid will not accurately capture risk.
- Other, please specify
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26. Please rate how useful you have found the iCase risk evaluation screen.
- Very useful
- Useful
- Not very useful
- Not at all useful
- Not applicable/have not used this tool
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27. Have you used another risk assessment tool?
- Yes, please specify
- No
a) Please rate the other risk assessment tool that you have used.
- Very useful
- Useful
- Not very useful
- Not at all useful
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28. In developing legal risk management strategies, how often during the last two years have you or a member of the litigation support team…
- consulted the client department? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted your manager? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted litigation or risk-related committee? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted LRM contact person for portfolio/ region/LSU? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted DOJ litigation counsel (regional office, headquarters) handling the file? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted specialized units within DOJ (e.g., units within the Public Law Sector or Police Sector, etc.)? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted other potentially affected LSUs? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- consulted the client department? Percentage of files:
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29. Please estimate the combined number of high-risk files (risk levels 7, 8, and 9) that you have been involved with in the last two years.
Estimated number of files: (enter 0 if none)
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30. Considering only your high risk files (risk levels 7, 8, and 9), how often during the last two years have you or a member of the litigation support team…
- reported these files to senior managers in DOJ headquarters? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to LSU managers? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to client officials? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to litigation or risk-related committees? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to portfolio managers? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- prepared Briefing Notes for these files? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- prepared Early Warning Notes for these files? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- assisted in the development of contingency plans for these files? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- Have you ever used dispute resolution for your high risk files (risk levels 7, 8, and 9)?
- Yes
- No
- In your risk level 7, 8, and 9 files, at what stage do you most often use dispute resolution options?
- Post-pleading
- Post-production of documents
- Post-discovery
- Just prior to trial or hearing
- Other, please specify
- Don't know
- reported these files to senior managers in DOJ headquarters? Percentage of files:
-
31. Please estimate the number of risk level 6 files that you have been involved with in the last two years.
Estimated number of files: (enter 0 if none)
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32. Considering only your risk level 6 files, how often during the last two years have you or a member of the litigation support team…
- reported these files to senior managers in DOJ headquarters? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to LSU managers? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to client officials? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to litigation or risk-related committees? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- reported these files to portfolio managers? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- prepared Briefing Notes for these files? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- prepared Early Warning Notes for these files? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- assisted in the development of contingency plans for these files? Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- Have you ever used dispute resolution for risk level 6 files?
- Yes
- No
- In your risk level 6 files, at what stage do you most often use dispute resolution options?
- Post-pleading
- Post-production of documents
- Post-discovery
- Just prior to trial or hearing
- Other, please specify
- Don't know
- reported these files to senior managers in DOJ headquarters? Percentage of files:
-
33. In the last two years, please estimate the number of files that you have been involved with where the risk level was reassessed from medium to high.
Estimated number of files: (enter 0 if none)
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34. Considering only files that you have been involved with that have been reassessed from medium to high risk in the last two years, how often have the following occurred after the risk level was raised?
- The number of counsel increased. Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- Senior counsel were assigned. Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- Increased consultations. Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- Increased reporting. Percentage of files:
- Frequently (75%-100%)
- Regularly (50%-74%)
- Occasionally (25%-49%)
- Rarely (1%-24%)
- Never (0%)
- Don't know
- Not applicable to my work
- The number of counsel increased. Percentage of files:
- Date modified: