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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 - Advisory Files

35. Taking into consideration the advisory files you have been involved with in the last two years, how often were legal risks identified and 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
36. In assessing legal risk, how often during the last two years have you or a member of the advisory team…
1. 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
2. consulted specialized units within DOJ (e.g., units within the Public Law 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
3. 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
4. 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
5. 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
37. 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
38. 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 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)
- The grid is not relevant for advisory files as it is litigation-focused.
- Other, please specify
39. 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 is not relevant for advisory files as it is litigation-focused.
- The grid will not accurately reflect the level of risk.
- Other, please specify
40. 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
41. 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
42. In developing legal risk management strategies, how often during the last two years have you or a member of the advisory team…
1. 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
2. consulted the 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
3. consulted with specialized units within the 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
4. consulted with 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
5. 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
43. Please estimate the combined number of high risk files that you have been involved with in the last two years.

Estimated number of files: (enter 0 if none)
44. Considering only your high risk files, how often in the last two years have you or a member of the advisory team…
1. 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
2. reported these files to 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
3. 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
4. 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
5. recommended a strategic plan to minimize identified legal risks and mitigate the risk of litigation? 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
45. Please estimate the number of medium risk files that you have been involved with in the last two years.

Estimated number of files: (enter 0 if none)
46. Considering only your medium risk files, how often in the last two years have you or a member of the advisory team…
1. 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
2. reported these files to 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
3. 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
4. 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
5. recommended a strategic plan to minimize identified legal risks and mitigate the risk of litigation? 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
47. Please estimate the number of files that you have been involved with in the last two years where the risk level was reassessed from medium to high?

Estimated number of files: (enter 0 if none)
48. 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?
1. 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
2. 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

Implementation of the LRM - Legislative Services

49. Taking into consideration the legislative services files that you have been involved with in the last two years…
1. How often are legal risks identified and assessed? 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
2. How often are there concerns about a provision that cannot readily be addressed within the framework of your instructions? 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
3. How often are the files initially reportable under the Department of Justice Act or the Statutory Instruments Act? 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
50. Taking into consideration your work over the last two years, for those files where the proposal or its legal foundations are not clear, how often have you or a member of the legislation or regulatory drafting team….
1. used the Statutory Examination and Legal Risk Management in Drafting Services guidelines? 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
2. consulted others within the Legislative Services Branch (such as Advisory and Development Services Group, Legislative Revision Services Group)? 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
3. consulted the 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
4. 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
5. consulted with 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
6. consulted with Justice Policy Units? 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
7. consulted LRM contact person for your section? 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
8. asked for a formal legal opinion? 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
9. 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
10. inputted your 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
51. Please rate how useful you have found the Statutory Examination and Legal Risk Management in Drafting Services guidelines and its assessment grid/matrix.
- Very useful
- Useful
- Not very useful
- Not at all useful
- Not applicable/have not used this tool
52. Why do you find the Statutory Examination and Legal Risk Management in Drafting Services guidelines and its 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 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
53. Why have you not used the Statutory Examination and Legal Risk Management in Drafting Services guidelines and its assessment grid/matrix? (Check all that apply)
- I am not aware of the guidelines and assessment grid.
- I do not know how to use the grid.
- The grid will not accurately reflect the level of risk.
- Other, please specify
54. How useful have you found these tools?
1. LRM assessment grid/matrix (assess likelihood of adverse outcome and impact of loss for assessment of risk levels 1-9) through iCase or otherwise.
  - Very useful
  - Useful
  - Not very useful
  - Not useful
  - Not applicable, have not used this tool
2. iCase risk evaluation screen.
  - Very useful
  - Useful
  - Not very useful
  - Not useful
  - Not applicable, have not used this tool
3. Instrument choice framework.
  - Very useful
  - Useful
  - Not very useful
  - Not useful
  - Not applicable, have not used this tool
4. LRM Note to File reports.
  - Very useful
  - Useful
  - Not very useful
  - Not useful
  - Not applicable, have not used this tool
55. 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
56. Please estimate the combined number of high risk files (risk levels 6, 8, and 9) that you have been involved with in the last two years.

Estimated number of files: (enter 0 if none)
57. Considering only your high risk files (risk levels 6, 8, and 9), how often in the last two years have you or a member of the Legislative Services team…
1. consulted the 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
2. 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
3. consulted with the Legislative Services Branch Advisory Section or other specialized sections 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
4. brought these files to the attention of management in your unit? 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
5. completed an LRM Note to 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
6. recommended a strategic management plan to minimize identified legal risks and mitigate the risk of litigation? 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
7. prepared Briefing Notes? 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
8. prepared a contingency plan? 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
58. Please estimate the number of risk level 7 files that you have been involved with in the last two years.

Estimated number of files: (enter 0 if none)
59. Considering only your risk level 7 files, how often in the last two years have you or a member of the Legislative Services team…
1. consulted the 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
2. 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
3. consulted with the Legislative Services Branch Advisory Section or other specialized sections 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
4. brought these files to the attention of management in your unit? 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
5. completed an LRM Note to 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
6. recommended a strategic plan to minimize identified legal risks and mitigate the risk of litigation? 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
7. prepared Briefing Notes? 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
8. prepared a contingency plan? 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
9. prepared a Note to File on the level of risk? 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
60. Please estimate the number of files that you have been involved with in the last two years where the risk level was reassessed from medium to high?

Estimated number of files: (enter 0 if none)
61. 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 has senior counsel been assigned after the risk was raised?
- 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

Date modified:: 2022-05-12