The Purpose and Process of the Assessment Tool

The Assessment Tool is part of the proactive approach to firm regulation in Saskatchewan, promoting competency and providing firms with resources supporting best practices. The assessment process assists firms to implement controls to manage risk, enhance client services, and promote infrastructure that supports ethical practice.

In accordance with Part 9 (Firm Regulation) of the Law Society of Saskatchewan Rules, the Designated Representative (DR) is responsible for ensuring the completion of the Assessment Tool.

The Assessment Tool is structured around seven practice management principles which serve to assist the DR in assessing the strength of the firm’s policies and procedures. A detailed list of objectives and practice examples, associated with each principle, highlight regulatory requirements and provide guidance on the types of policies, procedures, processes, methods, steps, and systems that a prudent firm might employ.

During the initial three-year cycle, a total of 296 firms completed the assessment process:

• 187 sole practitioner firms
• 109 multi-lawyer firms

The results of the initial cycle highlight trends and outcomes that support the work of the Law Society in identifying and developing a better understanding of the needs and priorities of sole practitioners and multi-lawyer firms across the province. The engagement of the DRs in the assessment process has been exceptional and specific feedback has resulted in the development of new resources. Ongoing feedback and assessment outcomes will continue to determine future areas of focus.

Results

The vast majority of firms engaged positively with the self-assessment process across all seven principles, including thoughtful input and reflection identifying:

• areas of need for resources and support where there are gaps in their processes or procedures
• steps and resources to enhance their existing processes and procedures
• one or more areas of priority for focused improvement over the next three years
• areas of excellence, where they have met or exceeded best practices

The Law Society evaluates the results, or scoring of the objectives and practices, and any specified areas of priority to identify:

• themes to guide the development of resources
• areas of support required
• opportunities to strengthen the Assessment Tool

The charts below represent the averaged self-assessed experience of firms, on a scale of one to five, in areas where they are doing well (highest scoring) and areas of need (lowest scoring) where additional support or resources may be needed. The results focus on the objectives, practices, and areas of priority.

Objectives

Practices

Areas of Priority

Areas of Need

The greatest areas of need identified by firms are found in the following three principles:

• client management
• access to legal services
• equity, diversity, and inclusion

The data from the Assessment Tool has identified unique areas of need for support and resources as between multi-lawyer firms and sole practitioner firms. Distinctions are also being explored between urban and rural firms, and for different types or areas of practice. The Law Society will continue explore this data and be guided by the information and feedback received through the assessment process.

Survey and Feedback Insights

The collective majority of responses from the anonymous survey regarding the Assessment Tool indicated overall positive feedback, with 84% of survey respondents indicating that time spent completing the Assessment Tool was time well spent. Additionally, 62% of survey respondents identified an area of practice management that they had not previously considered, and 88% found the individual results reported within the dashboard to be helpful.

To increase timeliness and ease of access to the survey and providing feedback, this process has been automated. DRs receive an automated notification on the Assessment Tool platform once the assessment process is completed.

Tool and Dashboard Improvement

There have been many updates to the Assessment Tool and to the dashboards, based primarily on the use and functionality feedback. These improvements will continue to be made in real time to improve user experience.

Resource Development

The library of online resources used to populate the recommended resources contained in a firm’s Assessment Report has grown to over 500 linked resources and is updated regularly with resources from Saskatchewan and many other jurisdictions.

The Law Society has developed new resources, and existing resources will continue to be evaluated to determine future areas of focus. Resources that have recently been developed or updated to support practice management include:

• Guide to Advancing Equity, Diversity and Inclusion for Legal Workplaces
• Health and Wellness webpage
• Monthly Pooled Trust Account Reconciliation Review Checklist
• Practice Management Course Frequently Asked Questions
• Retirement Guide (coming soon!)
• Sole Practitioner/Small Firm webpage
• New Sole Practitioner/Small Firm Practice Management Course (member login required)
• Sole Practitioner/Small Firm Start-up Frequently Asked Questions
• Successor Listing webpage and Succession Planning Resource (member login required)
• Unclaimed Trust Funds Guidance and Form A-9
• Virtual Verification of Client Identity Using Authentication Technology

The Law Society appreciates the diligent and thoughtful work of Designated Representatives in completing the Assessment Tool to date and in the future. The Law Society is happy to receive any feedback or inquiries regarding the Assessment Tool or firm regulation more generally at [email protected]. Thank you!