Drafting a supervision policy
Drafting a supervision policy

The following Practice Compliance guidance note provides comprehensive and up to date legal information covering:

  • Drafting a supervision policy
  • Key terms
  • Regulatory requirements
  • Supervision arrangements
  • Key considerations
  • Supervisor role and responsibilities
  • Implementation

Supervision means the management of people and their work.

Proper supervision is a statutory and regulatory obligation.

You may have to justify your supervision arrangements to the Solicitors Regulation Authority so you should ensure that you maintain a proper record of the arrangements that you have in place and be able to show that they are appropriate.

This Practice Note explains how to develop your supervision arrangements.

Key terms

reserved legal activities activities that lawyers must be authorised to undertake: exercise of rights of audience; conduct of litigation; reserved instrument activities; probate activities; notarial activities; administration of oaths
SRA Solicitors Regulation Authority

Regulatory requirements

You must:

  1. have at least one lawyer who is qualified to supervise, but overall responsibility for supervising people and their work rests with the manager(s) of the firm

  2. comply with the statutory requirements for the direction and supervision of reserved legal activities and immigration work

  3. have a system for supervising clients' matters, to include the regular checking of the quality of work by suitably competent and experienced people

  4. train your staff to maintain a level of competence appropriate to their work and level of responsibility

  5. where there is a client conflict and the clients are