Legal practice supervision has become a focal point for firms in New South Wales after the Uniform Law framework clarified the duties of authorised principals and supervising solicitors.
Regulatory duties under the Uniform Law
Under the Legal Profession Uniform Law (NSW), every law practice in NSW is required to have at least one authorised principal, defined in s 6 for sole practitioners and s 105 for incorporated firms. The principal is responsible for ensuring that all solicitors working within the practice comply with their regulatory, ethical and professional obligations.
Rule 37 of the Australian Solicitors’ Conduct Rules 2015 adds that a solicitor with designated responsibility for a matter must exercise reasonable supervision over other solicitors and staff involved in that matter.
While reviewing work for errors is an important aspect of supervision and oversight, these responsibilities under the Uniform Law framework are far broader.
Components of Supervision
In the opening article of this series, the author identified two broad components that make up supervision in legal practice.
The Court in McNeil & Rydell noted that a solicitor who acts as a supervisor must help junior practitioners safeguard their professional reputation. The court also said that supervising solicitors must provide career guidance and convey the core qualities of a solicitor throughout their practice.
Risks of inadequate oversight
The harms of inadequate supervision and oversight by law practice principals are well-documented in case law, including Legal Services Commissioner v Keddie.
The Court in Titus & Ksenia warned that a lack of reasonable supervision can erode public confidence in the profession, describing the “knock-on effect” that harms both junior practitioners and their clients.
Whether because of carelessly and recklessly signing documents, without proper review, or an overreliance on employed staff to run matters, the cases show that the consequences can be far reaching.
The starting point to achieving effective supervision is good governance and, for law practices in NSW, it may be helpful to turn to the 10 Best Practice Management Objectives for guidance.
Consideration should also be given to other applicable regulatory frameworks. For some law practices, this may include the Privacy Act 1988 (Cth), and, since 1 July 2026, the Anti-Money Laundering and Counter-Terrorism Financing Act 2006 (Cth).
Leaders must model ethical behaviour and communicate expectations clearly, creating a workplace where staff understand the bounds of their conduct.
Embedding a culture of professionalism requires more than policies. Practical steps include developing a supervision policy that sets out assessment of solicitor suitability, review intervals, remote supervision protocols and feedback mechanisms. The Law Society’s “A Quick Guide to Supervised Legal Practice” offers a template for such policies.
Supervision plans are recommended for less-experienced solicitors.
Training the trainer is also essential; experience alone does not guarantee supervisory competence. The Professional Support Unit’s guidance notes detail the courts’ expectations of “reasonable supervision” in courtroom settings.
Investing the necessary time is another key factor. Supervisors should allocate sufficient hours to review files and meet with supervisees, and their performance may be evaluated based on the quality of supervision provided.
The Regulatory Compliance team of the Law Society’s Professional Support Unit regularly issues advice on the statutory condition of supervised legal practice and can be contacted at (02) 9926 0115 for a confidential discussion.
Foundational elements of a supervision framework
Understanding the makeup of the practice is essential before any oversight can be effective. Principals should maintain an up-to-date register of each solicitor’s qualifications, areas of expertise and any prior disciplinary history.
Ensuring that this register is cross-referenced with client matters allows the principal to match solicitor competence with case complexity, thereby satisfying the requirement to assess suitability prior to delegating tasks.
Implementing clear delegation protocols further supports reasonable supervision. Supervisors must document the specific responsibilities assigned, the expected completion dates and the criteria for approval before work proceeds.
Assessing the frequency of file reviews is another critical component. The Uniform Law does not prescribe exact intervals, but a practice-wide policy should stipulate minimum review periods that reflect the matter’s risk profile.
Monitoring remote work has become increasingly relevant. When a solicitor performs duties off-site, the supervising solicitor must employ secure communication channels and maintain a record of virtual check-ins to demonstrate ongoing oversight.
Integrating broader regulatory obligations
Compliance with the Privacy Act 1988 demands that client information be handled in accordance with established confidentiality protocols, and supervisors must verify that all staff adhere to these standards during file reviews.
Supervisors should ensure that risk-based assessments are completed before the commencement of any matter involving financial transactions.
Communication of expectations must be consistent. Leadership should circulate concise briefing notes outlining any updates to supervision procedures, thereby keeping all practitioners aligned with current regulatory standards.
Finally, the statutory condition of supervised legal practice remains enforceable through the Professional Support Unit, which may request evidence of supervision plans, file review logs and training records during routine inspections.
