Supervision in legal practice is essential for ensuring high-quality client service, mitigating risks, and fostering professional development within firms. The Solicitors Regulation Authority’s (SRA’s) guidance on effective supervision and on the workplace environment, plus the findings from its workplace culture thematic review have reiterated the importance of the topic. This has created the perfect opportunity to review and adjust the supervision approach for your law firm.
The SRA 2019 Standards and Regulations (opens a new window) require that appropriate supervision is in place for everyone delivering legal services. The SRA Code of Conduct for Firms (opens a new window) expects firms to:
have an effective system for supervising client matters (paragraph 4.4);
have effective governance structures, arrangements, systems and controls in place to make sure that the firm and its staff comply with regulatory and legislative requirements (paragraph 2.1);
ensure that managers and employees are competent to carry out their role (paragraph 4.3); and
specific obligations are also placed on the firm’s compliance officer for legal practice (COLP) to ensure these requirements are met (paragraph 9.1).
In collaboration with legal ethics solicitor Lucinda Soon, we have collated the supervision best practice recommendations below.
1. Establishing a risk-based supervision policy
All firms should establish a formal supervision policy that aligns with the SRA’s regulatory requirements. This should include a risk-based assessment of case types deemed to be high-risk, for example, work comprising a reserved legal activity, or which involves novel or particularly complex issues that will require closer supervision and support. The SRA Effective Supervision guidance (opens a new window) offers a useful document on the key aspects that a firm’s policy should cover.
2. Providing support for supervisors
Supervisors should have the appropriate experience, competence and capacity to supervise effectively. This will include reviewing supervisor caseloads to ensure that they have the time to adequately supervise, engage effectively with their supervision duties, and maintain clear oversight in respect of work being done. Providing training is clearly essential to equip supervisors with the skills and competencies required to effectively supervise and support others. Recognising supervision and leadership qualities as part of a supervisor’s formal appraisal process will signal that supervision is valued and rewarded.
3. Setting clear expectations
Both supervisors and supervisees should be clear about how supervision will be structured and what is expected of them. This will involve supervisors and supervisees agreeing from the outset how work will be reviewed and setting clear expectations on both sides around one-to-ones, casework discussions, and file reviews. Appropriate structures should be in place to ensure that any learning points from issues identified in supervision, and any actions arising that have been agreed between the supervisor and supervisee, are discussed and recorded.
4. Providing constructive feedback
Clarity around how changes to work will be explained and feedback provided should also be considered. The SRA recommends, for example, that where tracked changes on a document are used to provide feedback, supervisors should include an explanation of why changes have been made. Providing constructive and comprehensive feedback is not only vital for learning and development, but it also builds trust and supports professional growth. Importantly, positive feedback that recognises work done well can also help engender confidence and motivation.
5. Creating a psychologically safe environment
Supervision plays a vital role in helping supervisees feel psychologically and emotionally supported at work. In addition to supervising the quality of work, supervisors should encourage discussions about any worries, concerns, near misses, or development needs that their supervisees have. Creating a psychologically safe environment where supervisees feel confident to raise questions or concerns with their supervisor will not only help to mitigate ethical risks but also identify pressures that might be having a negative impact on wellbeing.
6. Supervising in remote and hybrid work settings
With remote and hybrid work models becoming the norm, supervision must be adapted to maintain oversight and engagement. While not prescribing how effective supervision should be achieved in this context, the SRA suggests good practice might include supervisors making time for quick daily discussions with supervisees who are working remotely about work they are doing, operating a virtual open-door policy, using screen sharing tools to review documents with supervisees in real time, and involving junior staff in client calls and virtual meetings followed by debrief calls during which technical and pastoral conversations can take place. Effective supervision is vital for legal service quality, regulatory compliance, and staff development. By implementing structured supervision frameworks, HR and risk professionals can enhance the oversight process, create a supportive work environment, and reduce legal and ethical risks. Prioritising strong supervisory practices that integrate wellbeing considerations ultimately benefits clients, legal professionals, and firms as a whole.
Want to find out more?
Support for making the financial case for investing in wellbeing is available in our latest report, ‘Investment not cost: why law firms need a wellbeing strategy’. The report covers:
The state of wellbeing in the legal sector
The financial impact on law firms of poor wellbeing
The case for investment in wellbeing and mental health
Strategies for law firms to prevent, promote, and support workplace wellbeing
Practical actions to overcome objections around wellbeing
To receive the report, reach out to Lucie Gosling-Myers (opens a new window). Alternatively, visit Lockton’s Legal Sector page (opens a new window) for further insights.
Lucinda Soon is a legal ethics solicitor with over a decade of experience advising law firms, professional bodies, and regulators on ethical standards, risk and compliance. She is also an organisational psychologist and doctoral researcher at Birkbeck, University of London. She teaches at The Dickson Poon School of Law, King’s College London, and serves as Trustee for LawCare and Co-Chair of the International Bar Association Professional Wellbeing Commission. Lucindasoon.com
