Legal Risk Management in the Department of Justice
Appendix C: Data Collection Instruments (cont'd)
Evaluation of Legal Risk Management
Focus Group
Moderator's Guide
Introduction
Hello everyone. Thank you for coming to our meeting. My name is (name), and I work for PRA, an independent research company. We have been hired by the Department of Justice (DOJ) to conduct an evaluation of legal risk management in the DOJ. The purpose of the evaluation is to examine how legal risk management has been implemented in the Department of Justice and to assess whether the structures and processes put in place to support legal risk management are contributing to the effective management of legal risk in the federal government. The results of the evaluation will be used to provide strategic advice to senior management of the Department.
As part of this study, we are holding three discussion groups like this one with selected client departments and agencies.
Before we begin, I have some meeting guidelines I would like to review.
- There are no right or wrong answers, so please feel free to provide your honest opinions.
- If you have a cell phone, please make sure that it is turned off.
- Because we are audio-taping our discussion, please try to speak up and talk one at a time. We audio-tape the group in order to make sure that our notes accurately reflect what everyone says. In our report, we will not use your name or any information that might identify you or your department or agency. After the report is complete, we destroy the tapes.
Does anyone have any questions?
Please feel free to discuss the questions in the official language of your choice.
- To begin our discussion, what do you consider to be the respective roles of the DOJ and client departments and agencies in legal risk management?
I'd like to ask a few questions about the consultations between your department or agency and the DOJ concerning legal risks.
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What are your expectations for the frequency and content of consultations with DOJ lawyers concerning the assessment of legal risk, in particular the impact of the legal risk on your department/agency? (Probe: Do you agree with DOJ counsel's risk assessments? If not, why not? Which level of the client department/agency management should be consulted in assessing the potential impact of the legal risk [e.g., regions, headquarters, both]?)
- What are your expectations for the frequency and content of consultations with DOJ lawyers concerning the management of legal risk? (Probe: Are you provided with options or alternative means of resolving disputes? Is contingency planning occurring? Do you find it useful?)
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How do you prefer that legal risks be communicated? (Probe: a number on a risk rating grid, percentage likelihood of adverse outcome, high/medium/low). Is consistent language used in communicating legal risk? Does that matter to you?
- Do DOJ communications about legal risk assist your department or agency with its corporate decision making? (Probe: Do legal risks affect your department or agency's priorities, strategic planning, allocation of resources?)
I'd like to explore a bit further the partnership between the DOJ and your department or agency with respect to legal risk management.
- What factors affect your department/agency's level of involvement in legal risk management? Are there any barriers to engaging with the DOJ on managing legal risk? (Probe: cost recovery; perceptions of DOJ - its role does not extend to policy and program advice, DOJ seen as roadblock, etc.)
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Has your department/agency experienced any benefits from legal risk management? (Probe: Has your department or agency's awareness of legal risks improved? Has legal risk management helped your department or agency to avoid or mitigate legal risks? Has legal risk management affected your relationship with the DOJ?)
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In your view, how could client-DOJ partnerships for managing legal risk be improved?
Thank you for your participation.
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