LAW SOCIETY OF ALBERTA STRATEGIC PLAN 2014 - 2016
LawSocietyofAlberta
INTRODUCTION The Law Society of Alberta regulates the legal profession and the almost 9,000 lawyers who practice law in the province, promoting a high standard of legal services and professional conduct. In the Public Interest One key concept applies to all of the Law Society's regulatory work: “a legal profession regulated in the public interest is fundamental to a free and democratic society”. It is a core value of the Law Society that this is best achieved by way of an independent and independently regulated legal profession. Independent regulation in the public interest is essential to maintaining public confidence in legal services, promoting public awareness and understanding, and providing safeguards in the delivery of legal services to Albertans. The Law Society is governed by a 24-member Board of Directors, also known as Benchers. Twenty are lawyers elected by Alberta lawyers and four are public representatives appointed by the Minister of Justice and Solicitor General. The Board oversees the work of the organization using a strategic planning process to articulate and prioritize strategic goals and to focus the Law Society’s energy and resources on strategic initiatives which will achieve the Law Society’s vision, mission and goals. Strategic Plan 2010 – 2013 In 2010, the Law Society of Alberta adopted a three-year strategic plan. The plan was developed in response to an increasingly complex and changing regulatory environment, which continues to evolve. The role and responsibilities of lawyers continue to evolve due to rapid advances in technology, changes in the legal and regulatory environment, and increasing expectations of the public. The Law Society as regulator must remain insightful, innovative and nimble to properly serve and protect the public interest. Strategic Plan 2014 – 2016 The 2014 – 2016 strategic plan enables the Benchers to make some changes to the way the Law Society carries out its duties. The vision for the Law Society includes adding proactive measures to assist Alberta lawyers with compliance through education and support, as well as taking corrective action when standards are not met.
Strategic Plan 2013 – 2016
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LawSocietyofAlberta
VISION The Law Society of Alberta will be recognized as a model for protecting the public interest and preserving the fundamental principles of justice through an independently regulated and trusted legal profession.
MISSION Serve the public interest by promoting a high standard of legal services and professional conduct through the governance and regulation of an independent legal profession.
VALUES The Law Society values:
Integrity – honest and ethical behavior.
Transparency – open and clear processes and communications.
Fairness – fair and consistent treatment of people.
Competency – best practices, high standards and pursuit of excellence.
Independence – independent and independently regulated legal profession.
Respect – inclusion, diversity and equity in the profession and in the Law Society.
OPERATING PRINCIPLES Our Public Profile
Act in the public interest.
Maintain and advance the principles of justice and the rule of law.
Facilitate access to legal services for Albertans.
Be accessible, open and responsive.
Treat people with dignity and respect.
Communicate “who we are and what we do”.
Our People – Employees and Volunteers
Innovate.
Celebrate success and learn from experience.
Foster an inclusive, diverse and respectful organizational culture that promotes collaboration, teamwork and employee engagement.
Maintain a positive, supportive and productive working environment.
Clearly define roles, responsibilities, decision-making authority and accountabilities of employees and volunteers.
Evaluate performance regularly to reinforce strengths and address performance issues.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
Provide opportunities for people to further develop the knowledge, skills and expertise needed to continuously improve their performance.
Encourage employees to take leadership roles within the organization and provide opportunities to develop leadership skills.
Expect leaders to lead by example and make informed, principle-based and timely decisions that are in the best interests of the organization.
Ensure consistent compensation practices are applied across the organization.
Our Business Practices
Provide user-friendly, high-quality customer service.
Ensure professional standards and regulatory processes are clear, transparent and consistently applied.
Operate proactively within an evolving regulatory environment.
Drive innovation and inspirational leadership.
Use a strategic management approach to lead the organization, including a shared vision, clear strategic goals, measurable outcomes and supporting strategies.
Align the allocation of resources with strategic plan priorities and measure organizational performance against the plan.
Base major decisions upon a sound business case.
Ensure effective financial stewardship and risk management.
Provide a healthy and secure workplace.
STRATEGIC GOALS The Law Society of Alberta will realize its vision and mission by achieving the following strategic goals:
Model Regulator. Regulate to ensure high ethical standards and competence of Alberta lawyers.
Public Confidence. Reinforce the confidence of the public and other stakeholders in the Law Society.
Principles of Justice. Uphold and preserve the principles of justice fundamental to a free democratic society, particularly solicitor-client privilege, the rule of law, and the independence of courts and lawyers.
Access to Justice. Promote access to legal services and meaningfully contribute to the access to justice discussions.
Organizational Culture and Capacity. Ensure the Law Society has the required organizational infrastructure, business supports and high performance culture in place to achieve its mission and strategic goals.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
LAW SOCIETY OF ALBERTA STRATEGIC PLANNING FRAMEWORK
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
GOAL 1: Model Regulator. Regulate to ensure high ethical standards and competence of Alberta lawyers. Strategies 1. Set Standards: Reinforce standards for admission of lawyers to and the conduct of lawyers in the Alberta Bar.
Key Results •
Meet or exceed national standards for admission to the Alberta Bar.
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Both proactive and reactive measures assist Alberta lawyers to
1.1 National Admission Standards Project: Complete project, including articulating admission standards and a testing regime to ensure that all entrants to the bar meet the standards. 1.2 Establish effective processes for evaluating competence on readmission or reinstatement. 1.3 Code of Conduct: Continue to contribute to the ongoing refinement of the National Model Code and amend the Alberta Code as required. 1.4 Trust Safety: Continue to implement and refine the controls used to regulate the way lawyers manage trust property. 2. Educate and Support: Educate lawyers and promote competence, ethical practice, and civility.
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deliver high quality legal services,
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avoid professional negligence,
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properly manage trust funds; and
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demonstrate high levels of ethical behavior in their practices.
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Lawyers practice ethically and competently.
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Reduced risk of professional negligence and misuse of trust funds.
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Reduced risk to the public and the profession.
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Increased levels of Law Society customer service.
2.1 Ensure lawyers actively review and enhance their Continuing Professional Development plans. 2.2 Support the efforts of lawyers to achieve and maintain standards for competence and ethical practice. 2.3 Assist lawyers and their families to identify and address underlying problems that may affect a lawyer’s ability to competently practice law. 2.4 Promote a professional culture of integrity, life-long learning and public service. 2.5 Provide timely advice to lawyers on ethical issues and practice matters. 2.6 Provide training and oversight for lawyers to ensure the ethical and safe handling of funds and property held in trust.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
GOAL 1: Model Regulator. Regulate to ensure high ethical standards and competence of Alberta lawyers. Strategies 2.7 Continue work on the development and
Key Results •
Risk prevention vehicles are in place relating to loss arising from lawyer error and theft.
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Appropriate, effective and timely corrective action is taken when lawyers fail to meet competency and ethical standards.
implementation of an integrated continuing competence strategy. 3. Proactive Intervention and Remediation: Use proactive measures to assist lawyers to deliver high quality legal services, avoid professional negligence, properly manage trust funds, and demonstrate high levels of ethical behavior in their practices. 4. Take Corrective Action: Have processes in place to address lawyer failure in meeting standards. 4.1 Disciplinary and Remediation Processes: Continue to review and rationalize disciplinary and remediation processes with a view to dealing with complaints and adjudications within established targets. 4.2 Complaints Management: Maintain an effective complaint management process. 5. Compensation Programs: Have effective and accessible programs in place to compensate the public should lawyer negligence or misuse of trust funds occur.
Performance Measures •
National admissions standards are adopted and implemented.
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Ethical standards are adopted based on national standards.
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Complaints, adjudications, and assurance fund claims are concluded within established targets.
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Extent to which lawyers act competently and ethically.
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Client satisfaction with lawyer performance.
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Reduced number of substantiated complaints.
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A redeveloped assurance program is in place.
5.1 Public Risk Mitigation: Maintain and refine the insurance program and redevelop the assurance program to mitigate financial loss to the public. Ensure assurance claims are resolved within established targets.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
GOAL 2: Public Confidence. Reinforce public and stakeholder confidence in the Law Society. Strategies 1. Do Quality Work: Maintain a strong focus on providing high quality regulation.
Key Results •
2. Measure Results: Continue to enhance the Law Society’s performance measurement system to strengthen our ability to demonstrate our effectiveness. 3. Communicate: Continue to refine and implement the Law Society’s communications plan to enhance stakeholder confidence in the Law Society and the profession. 4. Government Relations Strategy: Continue to refine and implement the Law Society’s government relations strategy.
The public, the profession, government and other stakeholders will •
recognize the value of an independently regulated legal profession; and
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perceive the Law Society as innovative, proactive, fair, transparent, and acting in the public interest.
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The government will view the Law Society as providing objective advice in the public interest.
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Alberta lawyers will understand the work of the Law Society. Performance Measures
5. Public Representatives: Promote the role of public representatives and communicate the value they add, including bringing new ideas and external perspectives to the Law Society.
Strategic Plan 2014 – 2016
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Government satisfaction with the effectiveness of the Law Society.
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Stakeholder confidence that the Law Society effectively protects the interests of the public.
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High level of involvement of public representatives in adjudication panels.
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GOAL 3: Principles of Justice. Uphold and preserve the principles of justice fundamental to a free democratic society, particularly solicitor-client privilege, the rule of law, and the independence of courts and lawyers. Strategies 1. Privilege: Monitor challenges and threats to solicitor-client privilege and take targeted action.
Key Results •
Lawyers and the courts remain independent.
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Solicitor-client privilege and the rule of law are preserved.
2. Rule of Law: Monitor challenges and threats to the rule of law and take targeted action.
Performance Measures 3. Independence: Monitor instances of interference with the independence of lawyers and the courts and take targeted action.
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Evidence that the Law Society has responded promptly and appropriately to threats to the fundamental principles of justice.
4. Education: Inform lawyers and the public about the Law Society’s role in protecting the independence of the courts and lawyers, the rule of law, and solicitor-client privilege.
Strategic Plan 2014 – 2016
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GOAL 4: Access to Justice. Promote access to legal services and meaningfully contribute to the access to justice discussions. Strategies 1. Law Society Role: Articulate and communicate the role of the Law Society in promoting access to legal services, and then develop and implement a plan of action. 2. Existing Programs: Pending articulation of the role referenced in strategy 1, continue to support existing programs to increase access to legal services including:
Key Results •
The Law Society will define its role in access to justice and understand the role of other stakeholders.
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Regulatory processes will enable access to legal services.
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Enhanced inclusion and diversity in the Law Society and the legal profession.
2.1 The delivery of some legal services by nonlawyers. 2.2 The use of limited scope retainers. 2.3 Consider the use of new business models and channels for delivering legal services. 2.4 Initiatives to encourage lawyer retention in the profession.
Performance Measures •
Albertans in need have access to quality pro bono services.
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The Law Society has a clear statement of its role in access to justice.
2.5 Programs to assist sole practitioners, small firms and rural practitioners. 2.6 The effective distribution of legal information to the profession and the public. 2.7 Promote the provision of pro bono services. 3. Promote Inclusion: Develop and implement a plan designed to promote inclusion and diversity in the legal profession.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
GOAL 5: Organizational Culture and Capacity. Ensure the Law Society has the required organizational infrastructure, business supports and high performance culture in place to achieve its mission and strategic goals. Strategies
Key Results
MANAGEMENT 1. Strategic Management: Use a strategic management approach to set clear priorities, targets and strategies, and achieve desired results. 2. Organization Capacity Review: Complete a comprehensive review of the organization’s design and capacity to be agile and competent organization capable of adapting to a changing environment. 3. Staff Development: Continue to refine the Law Society’s comprehensive staff training and development plan including enhanced performance management and career path development. 4. Staff Recruitment: Model inclusion, diversity and equity within the Law Society. 5. Workplace Health and Security: Ensure effective policies, protocols and plans are in place to address workplace health and security for staff, Benchers and volunteers.
Strategic Plan 2014 – 2016
MANAGEMENT •
Maintain a results-oriented high performance culture.
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Attract and retain high quality employees with the skills, knowledge and attitudes required to carry out the work of the organization.
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Effective management processes will be in place to ensure the Law Society operates in an efficient and cost-effective manner.
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Ongoing health and security processes will minimize workplace risk. Performance Measures
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Staff turnover and retention rates.
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Staff engagement.
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Incident reporting.
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Feedback from staff, Benchers and volunteers.
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LawSocietyofAlberta
GOAL 5: Organizational Culture and Capacity. Ensure the Law Society has the required organizational infrastructure, business supports and high performance culture in place to achieve its mission and strategic goals. Strategies
Key Results
FACILITIES AND EQUIPMENT
FACILITIES AND EQUIPMENT
1. Business Systems: Bring business tools and systems up to current industry standards:
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1.1. Enterprise Content Management – document and content management systems; reporting and decision-support tools; data quality enhancements. 1.2. E-Business – continue to develop infrastructure and capacity to do more business online and implement more online transactions. 1.3. Collaborative Technologies – continue to enhance infrastructure and capacity to collaborate online.
The Law Society will have the required facility and equipment infrastructure to support effective and efficient operations. Performance Measures
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Business applications and technology infrastructure meet industry sector standards and best practices.
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Business applications and services provide the functionality required by users.
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Procurement of space for Calgary office.
1.4. Business Continuity and Security – continue to enhance business continuity and security processes. 1.5. Human Resources Information System: Explore the business case for adopting a Human Resources Information System. 2. Communications Technology: Continue development work on the use of social media and the Law Society’s internal and external web sites. 3. Facility Enhancement Priorities: Acquire appropriate space for the Calgary office.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
GOAL 5: Organizational Culture and Capacity. Ensure the Law Society has the required organizational infrastructure, business supports and high performance culture in place to achieve its mission and strategic goals. Strategies
Key Results
GOVERNANCE
GOVERNANCE
1. Governance Structure: Ensure the board is structured so it is positioned to focus on governance activities.
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The Law Society’s strategic, business and budget planning processes will be clearly articulated, communicated, and effectively aligned.
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The Law Society will operate with an established governance model consistent with governance best practices recognizing the unique role of the Law Society and the Benchers.
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Effective Bencher succession planning policies and practices will be in place.
2. Governance Practices: Ensure the Law Society is effectively implementing its Bencherapproved governance principles, policies and operating procedures. 3. Bencher and Volunteer Engagement: Review and enhance Bencher and volunteer recruitment and engagement processes, including setting up a recruitment program to encourage more diversity on the Bencher ballot.
Performance Measures 4. Committee Structure: Review and rationalize the Law Society’s committee and task force structure.
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5. Federation of Law Societies of Canada: Review, define and understand the role and function and supports required for the Law Society to be a leading participant/partner.
A Bencher governance orientation and training program is in place and Benchers are engaged.
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The Benchers understand the strategic plan and apply it in their work at the Bencher table.
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The Benchers have the skills to carry out their work at the Bencher table.
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Law Society committee structure is reviewed and required changes are implemented.
Strategic Plan 2014 – 2016
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LawSocietyofAlberta
GOAL 5: Organizational Culture and Capacity. Ensure the Law Society has the required organizational infrastructure, business supports and high performance culture in place to achieve its mission and strategic goals. Strategies
Key Results
BENCHERS AND VOLUNTEERS
BENCHERS AND VOLUNTEERS
1. Bencher Resources Plan: Reduce the work requirements for Benchers.
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Workloads for Law Society Benchers and volunteers will be appropriate and manageable.
1.2 Continue to streamline and improve work processes.
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Effective use will be made of a diverse range of human and other support resources to reduce Bencher workload.
1.3 Reduce the number of adjudications through effective dispute resolution processes. 1.4 Consider involving a wider range of qualified people in adjudication and other functions. 2. Bencher and Volunteer Development: Continue to refine the Law Society’s comprehensive Bencher and volunteer development plan including orientation, ongoing education, and evaluation.
Performance Measures •
Bencher and volunteer satisfaction with training and skill development opportunities.
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Evidence of reduced workload for Benchers.
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An adjudication orientation and education program is in place for Benchers and adjudication volunteers, and they are engaged.
3. Tribunals Office: Develop a central facility for coordinating adjudications, adjudicator training and tribunal counsel.
Strategic Plan 2014 – 2016
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