The importance of effective supervision

Supervision is a challenge for all of us but is a key tool for effective law management.¹

Rule 37 Australian Solicitors Conduct Rules 2012 (Qld) (‘ASCR’) imposes a positive duty to ensure that a ‘reasonable supervision’ regime is in place.

Getting it wrong not only exposes us to unhappy clients, civil claims and endless discussions with our insurers but may also lead to a regulatory investigation. Appropriate supervision requires active steps to check that employee conduct is appropriate,² and this onus cannot be discharged by simply accepting assurances.

Supervision begins with asking ourselves whether we should act for a particular client or act for an existing client in a specific matter.

When we ask these questions we should think about whether:

• we have the capacity to deliver the requested legal services; and
• do we have the time and resources to devote to the task.

There is no right or wrong answer to these questions.

We should take on work only when we can:

• competently, diligently and promptly deliver the service; and
• for a fair and reasonable fee, that is also profitable.

Making the right decision will only enhance our reputation by ensuring the client or the client matter is the right fit for the firm.

Part of supervision is delegation, which may be the whole or part of the representation to others within the firm. In delegating, we need to look at how best we can serve our client’s interest. Will it add value? Effective supervision is also an important profit and morale driver – it can alleviate the principal’s workload.

Trust and confidence with defined processes are at the heart of reasonable supervision.

1 Queensland Law Society, ‘Guide to appropriate management systems’, QLS Ethics and Practice Centre (Online, March 2017) cl 2.9 <https://www.qls.com.au/Content-Collections/Guides/Guide-to-appropriate-management-systems>.