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We have produced this guide to help law firms when reviewing their policies and processes in respect of supervision, to ensure they are fit for purpose and meet the SRA’s expectations. We provide an ‘at a glance’ overview of the SRA Guidance on Effective Supervision (the “Supervision Guidance”), which sets out the approach the SRA expects firms to take when arranging and providing supervision of the legal services they provide.
A recap: what are the SRA’s supervision requirements in the Standards and Regulations?
The Supervision Guidance supplements the obligations and requirements already enshrined in the 2019 Standards and Regulations.
The SRA requirements are that appropriate supervision is to be in place for everyone delivering legal services, including partners and consultants, as well as employees. Supervision does not have to be at partner level and does not have to be undertaken by a line manager. Supervision of senior staff should include consideration of ethical and regulatory competencies, as well as standards of supervision and leadership.
The Authorisation of Firms rules require authorised bodies to have their regulated work supervised by at least one person who has practised as a lawyer for at least three years, and who might be either a manager or employee of the body or an external resource. This requirement for at least three years' experience does not apply to other people in a firm who have supervisory responsibilities, but firms should make sure that anyone with supervision responsibilities has appropriate experience.
Table 1. SRA requirements for supervision in the 2019 Standards and Regulations
In addition to the requirements set out in the table, the SRA Guidance on the Workplace Environment includes a section on supervision and competence, which sets out the SRA’s expectation that firms have the necessary systems and culture to enable staff to raise concerns and be supported if they are experiencing problems. Effective supervision plays an important role in supporting the wellbeing of staff. The SRA Workplace Culture Thematic Review contains examples of good practice that firms can adopt.
Using the Supervision Guidance to review and update supervision arrangements
The SRA expects firms to follow the regulatory standards and requirements for supervision, as set out above. The Supervision Guidance is designed to help firms to comply with these requirements, both at the point of authorisation, and beyond.
The SRA expects firms to take a risk-based approach to establishing appropriate supervision arrangements and ensuring their efficacy.
There is no substitute for reading the Supervision Guidance in full but the tables contain the key considerations that firms ought to have in mind when creating, or more likely, reviewing their supervision arrangements. Ensure each question is addressed, that the relevant risk factors are considered and that the good practice points are considered. A record should be kept of the reasons for each decision.
Table 2. Establishing a risk-based approach to supervision
Table 3: Supervision of reserved legal activities (RLAs)
Table 4: Other statutory and regulatory considerations for specific work activities
[1] The definition of court includes: (a) a tribunal that [was] (to any extent) a listed tribunal for, or for any of, the purposes of Schedule 7 to the Tribunals, Courts and Enforcement Act 2007 (functions etc of Administrative Justice and Tribunals Council);[immediately before the coming into force of the repeal of that Schedule]; (b)a court-martial; (c)a statutory inquiry within the meaning of section 16(1) of the Tribunals and Inquiries Act 1992 (c. 53); (d)an ecclesiastical court (including the Court of Faculties).
[2] Preparing any instrument of transfer or charge for the purposes of the Land Registration Act 2002 (c. 9); (b) making an application or lodging a document for registration under that Act; (c) preparing any other instrument relating to real or personal estate for the purposes of the law of England and Wales or instrument relating to court proceedings in England and Wales.
[3] It is defined as: the issuing of proceedings before any court in England and Wales; the commencement, prosecution and defence of such proceedings; and the performance of any ancillary functions in relation to such proceedings (such as entering appearances to actions).
FURTHER INFORMATION
If you have any questions or concerns about the content covered in this blog, please contact Julie Norris, Imogen Roberts or a member of the Regulatory team.
ABOUT THE AUTHORS
Julie Norris is a partner in the Regulatory team. She predominantly acts in the professional services sector, advising law firms, solicitors, and barristers as well as accountants and built environment professionals on regulatory compliance, investigations, adjudication, enforcement, and prosecutions.
Imogen Roberts is an associate in Kingsley Napley’s Regulatory team.
Imogen completed her training contract with Kingsley Napley and qualified as a solicitor in September 2022. During her trainee seat with the Regulatory team, Imogen assisted with investigating and preparing fitness to practice cases relating to professional misconduct, ill-health and lack of competence.
We welcome views and opinions about the issues raised in this blog. Should you require specific advice in relation to personal circumstances, please use the form on the contact page.
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