Firm Regulation

All law firms in Saskatchewan are registered with the Society. New firms in Saskatchewan must complete the Firm Registration Form, and all firms must appoint a primary contact person as a Designated Representative (“DR”). The DR acts as the point person or liaison for the firm and is responsible for all communications on behalf of the firm with the Law Society. The DR is also responsible for completing the online Practice Management Assessment Tool (“Assessment Tool”) and Annual Report. The DRs obligations may be completed with support and assistance from others within the firm, as needed. The obligations of the DR are found here.  

The Designated Representative Hub (“DR Hub”)  

The DR Hub launched in the spring of 2021, and houses regular updates, Assessment Tool resources, and documents specifically for Designated Representatives. The DR Hub works in tandem with the DR Update Email, making DR communications and information easy to find.  A member login is required to access the DR Hub.    

The Law Firm Practice Management Assessment Tool (the “Assessment Tool”) was developed by the Prairie Law Societies. The Assessment Tool is a central feature of the Law Society’s proactive approach to regulating law firms, which include sole practitioners. There are two versions of the Assessment Tool accessible – one for sole practitioner firms and one for multi-lawyer firms. Completion of the Assessment Tool is mandatory.  

The Assessment Tool process is an educational exercise and a learning opportunity for both firms and the Law Society. The primary goal of the Assessment Tool is to encourage firms to examine their practice management systems and to evaluate the extent to which firm policies and processes address core areas of professional, ethical firm practice. Additionally, this process will provide the Law Society with information about where firms may require additional practice resources and support. The Assessment Tool will help a law firm identify gaps in policies and procedures to improve practice management, where necessary, and to manage risk. 

Implementation of the Assessment Tool began in April 2021, and is gradual in nature rolling out over three years. In most cases firms will only be required to complete the Assessment Tool once every three years. The Law Society will contact the DR when a firm has been scheduled to complete the Assessment Tool.  A firm will have 3 months to complete the Assessment Tool. There are workbooks and additional resources to support the DR’s in completing the Assessment Tool.

Law firms who have not been contacted may choose to complete the Assessment Tool during the current quarter by contacting us at [email protected].   

The Law Society believes that prudent law firms put appropriate policies and procedures in place to ensure that legal services are provided in accordance with the Objectives set out in the Assessment Tool. The Objectives are grouped together under Practice Management Principles that are aimed at implementing controls to manage risk for firms; enhancing client services; promoting infrastructure that supports ethical practice; and contributing to the overall financial soundness and profitability of the firm.   

Principles

The cornerstones of the Assessment Tool are the seven Practice Management Principles (“Principles”), which represent key aspects of professional, ethical firm practice. The Principles are sufficiently high-level to be adapted to different practice contexts, yet concrete enough to establish clear, basic standards for firm conduct. 

1. Competence and Capacity 
2. Client Management
3. File Management and Record Keeping 
4. Financial Management and Operational Sustainability 
5. Relationships with Third Parties and the Administration of Justice
6. Equity, Diversity and Inclusion
7. Access to Legal Services

Objectives

The Assessment Tool contains 49 Objectives which reflect the outcomes that firms should strive to achieve in addressing each Principle. While many of the Objectives relate to individual duties of lawyers under the Code of Conduct (the “Code”), it is important to keep in mind that the Assessment Tool is aimed at assisting the law firm to improve practice management and develop a firm culture that promotes adherence to the Code generally. Nothing in the Assessment Tool abrogates the individual responsibilities of lawyers under the Code. 

Practices

To assist the DR in assessing the strength of the firm’s policies and processes, the Assessment Tool includes a detailed list of practice examples (“Practices”). The Practices encourage firms to undertake a detailed review of their practice management systems and think about the areas where the firm is doing well and where more robust policies and processes may be necessary. The Practices highlight regulatory requirements and provide guidance on the types of policies, procedures, processes, methods, steps and systems that a prudent law firm might employ to satisfy each Principle and its associated Objectives. Practices are provided as guidance and examples of measures that could be put in place to improve a firm’s performance on each Objective.  

The Practices the firm ultimately decides to use will be dependent on type and size of the firm’s practice. A law firm is not required to adopt or implement all the suggested measures but is encouraged to have some measures in place in order to meet each Objective, paying particular attention to the regulatory requirements associated with each Objective. These measures can take any of the following forms that are communicated well to all personnel, as appropriate: a policy; a resource (such as a template or guideline); or an established practice.

Completion of the Assessment Tool

Following completion of the Assessment Tool, the Law Society will download a copy of the firm’s report and no further reporting is required unless specifically requested. The firm is required to keep a copy of their completed report which can be downloaded upon completion on the Assessment Tool. The firm will have ongoing access to their Assessment Report with links to the relevant resources/ supports for the firm. Following the completion deadline, firms are encouraged to continue to use the online assessment process as an ongoing educational tool to track progress and access new and different resources.  

After completing the online Assessment Tool, the DR will:  

1. have a better idea of how the firm can meet regulatory and professional obligations; 
2. have chosen priorities for potential development; 
3. be acquainted with resources that could help; and 
4. have given feedback to make this process work better.

Assessment Tool Resources

The Assessment Tool contains a Master Library of over 400 Resources, which are drawn from the existing body of Law Society practice management materials, the Rules, the Code and a variety of other practice resources from various providers. 

The Resource list generated in the Assessment Tool is in response the firm’s self-assessment and can help to establish practices to meet the Objectives. Resources will be suggested in a firm’s Report that relate to any areas identified as gaps in policies and procedures or improve practice management where necessary, and to manage risk.  

If you are aware of additional resources that you think would be beneficial to include with the Assessment Tool or have any questions regarding existing resources, please let us know at [email protected].