Supervision policy—law firms—2019

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

  • Supervision policy—law firms—2019

Supervision policy—law firms—2019

    1. 1

      Introduction

      This document sets out our supervision arrangements, including:

      1. 1.1

        our supervision structure;

      1. 1.2

        arrangements for supervising client matters;

      1. 1.3

        our system of file audits/file reviews;

      1. 1.4

        reviews of fee earner performance and workloads;

      1. 1.5

        training and competence;

      1. 1.6

        [supervision of trainees;]

      1. 1.7

        [supervision of Registered Foreign Lawyers (RFLs);]

      1. 1.8

        [our mentoring arrangements;]

      1. 1.9

        information on how to get help.

    1. 2

      Our supervision structure

      1. 2.1

        [Insert name] has overall responsibility for supervising the work undertaken by [insert firm name].

      1. 2.2

        Day-to-day supervision is achieved through our management structure and reporting lines. These are shown [insert, eg in our day-to-day supervision structure chart] which is [insert location of chart, eg available on the intranet].

      1. 2.3

        [We have a designated supervisor for each [area of work OR department OR team OR [other]]. These are:

        Supervisor name[Area of work OR Department OR Team OR [Other]]
        [Insert name][Insert]
        [Insert name][Insert]
        [Insert name][Insert]]
      1. 2.4

        Each supervisor will provide an appropriate level of supervision to their [area of work OR department OR team OR [other]], taking into account the level of experience of the individuals under supervision and the type of work undertaken.

    1. 3

      Supervision of client matters

      1. 3.1

        Each supervisor is responsible for supervising all client work within their [department/team/other]. The supervisor may appoint another person to assist with the function. Supervision of client work includes:

        1. 3.1.1

          allocating work;

        1. 3.1.2

          overseeing the client/matter inception process;

        1. 3.1.3

          monitoring correspondence;

        1. 3.1.4

          ensuring matters are progressed appropriately[;

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