Policies, Guidelines and Reference Documents

Terms and Conditions of Appointment (TO BE UPDATED)

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Part Four: Requirements

4.1 Employment Equity Requirements

The Department of Justice encourages a commitment to and implementation of the broad principles of employment equity in the workplace. Specific requirements differ depending on the size of a law firm and are outlined in the Department of Justice Workplace Equity Policy for Legal Agents

4.2 Security Requirements

In accordance with the Government Security Policy, all individuals who require access to sensitive federal government information and/or assets must have, as a minimum, a Reliability Status type security screening. All authorized counsel as well as members of their staff who will require access to Department of Justice files, must have, as a minimum, a Reliability Status type security screening. In certain circumstances or for special cases where access to Classified government information or assets will be required, legal agents and relevant members of their staff will require a higher level Security Clearance prior to being permitted such access.Records created during the conduct of assigned legal work are the property of the Department of Justice. In accordance with the Government Security Policy, Department of Justice file records must be properly secured at all times and they must only be accessible to personnel with the appropriate federal government security screening and/or security clearance.Security requirements are defined on a case-by-case basis. Legal agents must commit to ensuring compliance and cooperating fully with screening processes and procedures, and, obligations pertaining to the maintenance of active files and the return of closed files. Security requirements as well as supporting instructions and procedures may be defined through the letter of appointment and/or statement of work, as well as through instructions provided by the Instructing counsel during the tenure of the appointment .

4.3 Insurance

Legal Agents must carry law-practice insurance in the province or territory in which they practice in compliance with the requirements of the relevant law society or Bar Association.

4.4 Standard Technology Requirements

Legal agents may be required to communicate and transmit data in electronic format at their own cost. The use of specific document management software programs may be deemed mandatory. At a minimum, legal agents must commit to ensuring compliance with the computer hardware and software standards as defined through the letter of appointment and/or statement of work, or through instructions provided by the Instructing counsel during the tenure of the appointment.Where mandatory software programs are not defined, the Instructing counsel must be consulted prior to making use of software programs to ensure compliance with approved standards.   

4.5 Use of Technology: Best Practices

Legal agents are encouraged to use technology to streamline proesses and facilitate the sharing of information and documentation. Unless otherwise specified, legal agent firms must commit to adopting best practices as they relate to the use of technology:

• The use of templates and automated document assembly applications for the preparation of pleadings, submissions, contractual and other documents;
• The use of document management software programs for any matter that is document intensive (i.e., 100 documents or more);
• The use of software programs designed to help manage and present cases effectively and to organize and analyze facts, issues and documents.
• The use of standardized and automated procedures for the handling of recovery, litigation and transactional matters and to simplify and automate process relating to:
  • Calender management and tracking of key dates;
  • case and project management;
  • exchange of information between members of a legal team and Instructing counsel, as well as with other parties and their legal counsel and with other persons retained to assist with the transaction.
  • Document creation and generation

4.6 Reporting Requirements

Legal Agents must comply with case specific reporting and consulting requirements as established by the Instructing counsel. These requirements may be defined through the letter of appointment and/or statement of work, or through instructions provided by the Instructing counsel during the tenure of the appointment. Unless otherwise specified, a Legal Agent must:

• advise the Instructing counsel of significant developments which might affect the Government's exposure or that might require changes to the case plan and budget. This information must be communicated no later than 7 days from the date on which the developments become known to the legal agent;
• keep instructing counsel apprised on the status of pertinent matters and confirm or propose changes to case plan and budget;
• obtain the consent of the instructing counsel prior to committing to a trial date. Once a trial date has been set, the legal agent and instructing counsel will jointly develop a case plan.
• advise the instructing counsel promptly of any adverse decision or judgment so that a decision may be made with respect to an appeal and instructions provided as to the appropriate steps to take.
• submit to the instructing counsel for approval, all settlement proposals or requests for settlement authority.

4.7 Billing Requirements

Legal Agents must comply with billing requirements as outlined in Part Nine of the Terms and Conditions and in accordance with case specific instructions as established by the Instructing counsel. These requirements may be defined through the letter of appointment and/or statement of work, or through instructions provided by the Instructing counsel during the tenure of the appointment.

4.8 Training / Reference Materials

The Department of Justice will provide Legal Agents with a copy of relevant policies and training materials developed by the Department relating to the work for which they have been appointed.These materials remain the property of the Government of Canada and must be returned to the Instructing Counsel upon request, or upon termination of the Legal Agent's appointment.

4.9 Participation in In-House Training

A legal agent may be required to participate in in-house training and selected meetings on substantive and administrative matters relating to their appointment. In such instances, the Department of Justice will reimburse associated out-of-pocket expenses incurred (such as meals, accommodation and transportation) in accordance with established travel allowances and standards. Time spent attending the training sessions and becoming familiar with training materials provided by the Department of Justice, is not billable time.

4.10 Family Support Obligations

In accepting an appointment, legal agents are required to certify that they are in compliance with any family support orders or obligations by which they may be bound.

Part Five: The Working Relationship

5.1 Point of Contact with the Department of Justice

The Instructing counsel is the Legal Agent's point of contact with the Department of Justice with respect to policy, legal, procedural, financial or billing issues and advice arising during the course of the appointment. Where necessary, the Instructing Counsel will seek further direction from the appropriate authorities within the Department of Justice in accordance with departmental practice.The name of the Instructing counsel will be identified in the Letter of Appointment. A legal agent may be required to designate individuals within the firm to function as principal points of contact, as described in section 3.6. Where applicable, all communications with the Department of Justice should be made in accordance with such designations.

5.2 Roles and Responsibilities of the Instructing Counsel

The Instructing counsel is responsible for instructing, monitoring and evaluating the work of the Legal Agent, ensuring that the Legal Agent is informed of pertinent departmental policies and providing advice and assistance when required. The responsibility for the verification of Legal agent accounts (with respect to the reasonableness of fees and disbursements) lies with or under the authority of the Instructing counsel.

5.3 Sharing Knowledge

Department of Justice counsel have extensive institutional and policy knowledge or legal expertise in particular areas. It is important to check with the instructing counsel as to who the appropriate Department of Justice representative(s) is/are to assist with useful insights or even prior products before initiating research.Legal agents are expected to access computer-based legal precedents, including forms and agreements, opinions and other resource materials, which may be resident in internal or external data banks.

5.4 Approval of the Instructing Counsel

Where, in accordance with the Terms and Conditions, the Legal Agent requires the approval of the Instructing counsel in order to proceed with an activity, the Legal Agent must obtain the approval, in writing, prior to proceeding. In rare situations, where circumstances warrant that the agent proceed with an activity without the prior written approval, the Legal Agent must notify the Instructing counsel about the situation at the earliest opportunity.

5.5 Communication with the Department of Justice

When communicating with the Department of Justice, Legal Agents may use the official language of their choice.

5.6 Correspondence with the Department of Justice

All letters to the Department of Justice must quote the Justice file number provided in connection with the particular matter as well as the Case and Billing Numbers identified in the letter of appointment. Sensitive or confidential correspondence or other similar material must not be sent by facsimile transmission except over secure lines approved by the Department of Justice.

Part Six: Information Management

6.1 Ownership of File Records

All documents or materials created during the conduct of work associated to a legal agent appointment, are the property of the Department of Justice.Ownership of the product of legal research, regardless of whether it is in the form of handwritten notes, an e-mail, or a memorandum of law (draft or formalized) resides with the Department of Justice. Legal agents must ensure that a copy of all work product is available in Departmental databases of legal work product.Legal Agents must comply with written procedures received from the Instructing counsel regarding the maintenance of active files and the return and archiving of closed files.

6.2 Security Requirements

In accordance with the Government Security Policy, Department of Justice file records must be properly secured at all times and they must only be accessible to personnel with the appropriate federal government security screening and/or security clearance.See Section 4.2 on Security Requirements and Government Security Policy.

6.3 Retaining, Archiving and Returning Records

All records created during the conduct of work associated to a legal agent appointment must be returned to the Department of Justice upon conclusion of the file and in accordance with the instructions provided by instructing counsel.

Department of Justice records in the possession of a legal agent shall only be destroyed further to written permission or instruction from instructing counsel.For audit purposes, it is suggested that Legal Agents retain financial information records, such as original timesheets and supporting disbursement documentation, for five years after closing the file.These procedures enable compliancy with the National Archives Act, the National Security Act and the Access to Information and Privacy legislation.

Part Seven: Release of Information

7.1 Confidentiality

Confidentiality is expected at all times. Members of legal agent firms may not discuss Department of Justice legal matters outside of the firm and with colleagues within the firm except as may be necessitated on a need-to-know basis by case strategy or to further the interests of the file.

7.2 Inquiries

It is the policy of the Department of Justice that only designated spokespersons release information to members of Parliament, media representatives or members of the general public. As a legal agent, you are not designated as such a spokesperson.

7.3 Duty to Notify

Where contacted by the media and/or receive a media inquiry, legal agents are required to immediately notify the Instructing counsel. The Instructing counsel will then determine and instruct as to the best course of action.Inquiries on routine matters, such as trial dates, do not need to be brought to the Instructing counsel's attention, unless the circumstances warrant it.

7.4 Initiating Media Contact

Other than on routine matters Legal Agents must not initiate contact with the media in respect of any matter arising in the course of their appointment without specific approval from the Instructing counsel.

7.5 Access to Information Matters

7.5.1 Legal Opinions

Legal Agents are not to provide legal opinions to law enforcement agencies or federal government departments regarding access to information requests. Any such request must be directed immediately to the Instructing Counsel.

7.5.2 Processing requests filed under ATIP legislation

The Access to Information and Privacy (ATIP) Office of the Department of Justice is responsible for processing all requests received by the Department under the Access to Information Act (ATIA) and the Privacy Act (PA). Subsection 4(1) of the ATIA gives individuals a right of access to records under the control of a government institution. Subsection 12(1) of the PA provides individuals a right of access to his or her “personal information” held by a federal government institution.Legal Agents records relating to Department of Justice matters are deemed to be under the “control” of the Department of Justice for the purposes of ATIA and PA. Legal Agents must submit all requested records to the Department of Justice Access to Information and Privacy Office in accordance with the instructions provided by the Instructing counsel. There is a strict 30-day statutory deadline under the ATIA and PA; therefore, Legal Agents must act promptly in response to the Instructing counsel's request.Legal Agents are not to provide any records to any other federal, provincial or municipal government institutions regarding ATIA or PA requests. Requests for such records should be directed immediately to the Instructing counsel. 

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