Legal Risk Management in the Department of Justice

• Previous Page
• Table of Contents
• Next Page

Appendix C: Data Collection Instruments (cont'd)

Evaluation of Legal Risk Management
Key Informant Interview Guide

Implementation of the LRM - Policy and Program Development

• 62. Taking into consideration the policy and program development files you have been involved with in the last two years, how often are 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

• 63. In addressing legal risk, how often during the last two years have you or a member of the policy 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 relevant ADM level 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
  4. consulted relevant federal/provincial/ territorial working groups? 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 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
  6. consulted other affected portfolios? 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 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
  8. consulted relevant external experts? 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. consulted LRM contact person for portfolio/ region/sector? 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. used the instrument choice framework? 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
  11. reported legal risks 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
  12. documented risks in 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
  13. 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

• 64. Please rate how useful you have found the LRM assessment grid/matrix.

  • Very useful
  • Useful
  • Not very useful
  • Not at all useful
  • Not applicable, have not used this tool

• 65. 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
  • Other, please specify

• 66. 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 policy files as it is litigation-focused.
  • The grid will not accurately reflect the level of risk.
  • Other, please specify

• 67. Do you regularly use another risk assessment tool to assist you in your policy work?

  • 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

• 68. Does your unit/section identify the risk level of policy files (e.g., high, medium, low)?

  • Yes
  • No
  • Don't know

Implementation

• 69. How do you communicate legal risk to the federal government? (Check all that apply)

  • Briefing Notes
  • Memoranda to Cabinet
  • Treasury Board Submissions
  • Other, please specify
  • Don't know

• 70. Does your region/portfolio/sector/unit monitor the number of high risk files?

  • Yes
  • No
  • Don't know

• 71. Does your region/portfolio/sector/unit monitor legal risk trends in litigation?

  • Yes
  • No
  • Not applicable
  • Don't know

• 72. Overall, are there sufficient guidelines to assist you in performing LRM?

  • Yes
  • No

• 73. Are you aware of other guidelines that would assist you?

  • Yes, please specify
  • No

• 74. Do you know the contact person for LRM for your region/portfolio/sector/unit?

  • Yes
  • No
  • Not applicable/Do not have a contact person.

• 75. In general, what percentage of your time is spent on LRM, including activities such as identifying and assessing legal risks and trends; communicating and reporting legal risks; and mitigating and managing legal risks?

  • None
  • 1% - 5%
  • 6% - 10%
  • 11% - 25%
  • More than 25%
  • Don't know

• 76. Please indicate which response best reflects your view of LRM.

  • LRM is essential to successfully manage my files.
  • LRM is helpful to successfully manage my files.
  • LRM is unnecessary to successfully manage my files.
  • LRM detracts from my ability to successfully manage my files.

• 77. How useful have you found the following structures or tools for LRM?

  1. Instrument Choice
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  2. Scanning News
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  3. Early Warning Report
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  4. Briefing Notes
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  5. Summary of High Impact Litigation (Top 100)
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  6. LRM Practice Group
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  7. Thursday Group
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  8. Radar Screen
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  9. iCase LRM reports
     • Very useful
     • Useful
     • Not very useful
     • Not at all useful
     • Have not used/Not aware of this tool
     • N/A
  10. Joint DOJ-client risk-related committees
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  11. DOJ litigation or risk-related committees
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  12. JUSnet intranet on LRM
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  13. Judicial Review Toolkit
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  14. Civil Actions Toolkit
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  15. Checklist - Roles and Responsiblities
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  16. Civil Actions
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  17. Contingency Planning Toolkit
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  18. Critical Path Template for High Impact Cases
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  19. Dispute Resolution Options
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  20. Effective Communication of Legal Risk
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful
      • Have not used/Not aware of this tool
      • N/A
  21. Have you used other structures or tools?
      • Yes, please specify
      • No
  22. Please rate the other risk structure or tool that you have used.
      • Very useful
      • Useful
      • Not very useful
      • Not at all useful

• 78. The following statements are about the support necessary for LRM (human, financial, information, training, technological). Please indicate your level of agreement.

  1. DOJ provides sufficient financial resources to support LRM.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know
  2. DOJ needs to have more staff dedicated to LRM.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know
  3. LRM takes up too much of my time.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know
  4. DOJ offers sufficient training opportunities for LRM.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know
  5. LRM needs more technological support.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know

Results of the LRM Initiative

79. The following statements are about possible results of LRM. Please indicate your level of agreement with each statement.

1. My office/unit/section has built effective LRM partnerships with its clients.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
2. Understanding of LRM has improved among client departments/agencies.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
3. Client departments/agencies are more aware of their legal risks.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
4. Client departments/agencies routinely consider legal risks in the development and implementation of policies, programs and legislation.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
5. LRM has been successful in avoiding or mitigating legal risks.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
6. LRM has reduced government liabilities.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
7. Risk assessments are used in resource allocation and planning by the DOJ.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond
8. LRM has improved the quality of legal services provided to client departments/ agencies.
   • Strongly agree
   • Agree
   • Disagree
   • Strongly disagree
   • Don't know/I am not in a position to respond

Possible Areas of Improvement

• 80. The following statements are about possible areas of improvement for LRM. Please indicate your level of agreement with each statement.

  1. DOJ needs to develop more national standards for LRM.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond
  2. DOJ needs to develop consistent LRM practices.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond
  3. LRM needs to remain flexible to meet the needs of regions/client departments/ agencies.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond
  4. LRM communication strategies within DOJ should be improved.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond
  5. LRM partnerships with client departments/ agencies should be improved.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond
  6. DOJ needs to do more to share best practices/lessons learned.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond
  7. DOJ needs to provide more training to counsel on LRM.
     • Strongly agree
     • Agree
     • Disagree
     • Strongly disagree
     • Don't know/I am not in a position to respond

• 81. Do you have any suggestions for how to improve LRM?

Thank you for filling out our survey!

Don't hesitate to contact us:
Susan Kelly
Evaluation Division
(613) 957-7657

• Previous Page
• Table of Contents
• Next Page