Strengthening your legal practice part 3 – Supervision, the glue to effective compliance

Under the Legal Profession Uniform Law (NSW) (Uniform Law) and associated legislation (the “Uniform Law framework”), every law practice in NSW is required to have at least one authorised principal at its helm.¹ This is the solicitor or solicitors who are responsible for ensuring that all solicitors working within the practice comply with their regulatory, ethical and professional obligations, and that the legal services delivered by the practice are in accordance with the Uniform Law framework and other applicable professional obligations.² Further, r 37 of the Legal Profession Uniform Law Australian Solicitors’ Conduct Rules 2015 (Solicitors’ Conduct Rules) requires a solicitor with designated responsibility for a matter to exercise reasonable supervision over solicitors and all other employees engaged in the provision of the legal services for that matter.

These regulatory requirements do not merely impose an obligation on law practice principals and supervising solicitors to review work done by other solicitors or legal support staff. While reviewing work for errors is an important aspect of supervision and oversight, these responsibilities under the Uniform Law framework are far broader.

In the first of this series of articles, we outlined the two broad components of supervision in legal practice:

• The appropriate control and management of a legal practice to ensure that the practice and its staff comply with obligations under the Uniform Law framework.
• The appropriate review and oversight of work performed by employees of the practice to ensure that legal services are delivered competently and diligently.

Being able to effectively carry out both aspects of supervision largely depends on whether the practice is supported by a practice management framework that is informed by the rules and regulations, and ethical obligations, that govern solicitors and legal practice more generally. It also hinges on there being a culture of compliance that brings to life the intended outcomes of applicable regulatory frameworks.

Where things can go wrong

The harms of inadequate supervision and oversight by law practice principals are well-documented in case law. Whether because of carelessly and recklessly signing documents, without proper review,³ an overreliance on employed staff to run matters,⁴ or not taking responsibility for fostering and protecting the professional reputation of less experienced solicitors,⁵ the cases show that the consequences can be far reaching.

Not only can it lead to disciplinary action for the supervising solicitor, but, as the case of Legal Services Commissioner v Keddie⁶ shows us, it can undermine good outcomes that were otherwise achieved for clients and the relationship of trust that is central between a solicitor and their client. More broadly, the failure to carry out reasonable supervision can result in diminishing confidence in the administration of justice and bring the profession into disrepute.

In the recent decision of Titus & Ksenia,⁷ the Court highlighted the “knock-on effect” of supervisors failing to provide reasonable supervision to their supervisees (in the context of litigation practice):⁸

“The knock-on effect of this…is not simply a learning experience for the junior practitioner, but crucially it results in a direct consequence, likely negative, for the client for whom the junior practitioner is appearing. It should not require emphasis, however it must be remembered that legal practitioners represent clients. The inability of a legal practitioner to competently do so ultimately is not only a breach of a solicitor’s professional obligations, but importantly it invariably leads to a diminution in the confidence that the public has in the legal profession.”

Good governance

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.

These objectives were identified by the Office of the NSW Legal Services Commissioner, working collaboratively with the Law Society of NSW, the College of Law and Lawcover, as covering the areas of legal practice management that are fundamental to compliance with the Uniform Law framework. It is recommended that law practice principals incorporate these objectives into their practice management system.

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).

Embedding a culture of professionalism and integrity

The goal of good governance is not to achieve technical compliance but rather best practice regulatory compliance. Good governance must, therefore, be supported by a culture of professionalism and integrity. This is a workplace where solicitors and legal support staff clearly understand the ethical and professional bounds within which they must act.

Instilling this culture of compliance requires a thorough induction into the ethical principles established by the Solicitors’ Conduct Rules, as well as the objectives of other applicable regulatory frameworks that govern legal practice. It also requires leaders who consistently communicate and practise the values they instil in their staff.

As the Court in McNeil & Rydell⁹ so aptly called to attention, solicitors who assume a supervisory role have a responsibility to the junior practitioners they supervise to foster and protect their professional reputation and provide career guidance.¹⁰ It is this transmission of the qualities of a solicitor that all supervising solicitors need to engender in their legal practice.

Practical steps to effective supervision

Good governance and a culture of compliance are what sustains effective supervision in legal practice, but how can these be practically achieved?

1. Know your clients and your staff – for law practice principals to effectively oversee the activities of their legal practice, they must have a good understanding of the clients they serve. They also need to know and trust the staff they rely on to deliver legal services. Refer to the previous articles on employee due diligence and knowing your clients for detailed guidance on what these entail.
2. Provide clear direction – whether you’re a law practice principal who is setting expectations for your entire legal practice or a supervisor delegating work to a junior solicitor, you need to clearly communicate your expectations.
3. Have a supervision framework – in relation to the supervision of less experienced solicitors specifically, law practice principals should establish and implement a supervision policy and procedure that sets out what is expected of supervisors and supervisees. For example, the need for supervisors to assess the suitability of the solicitor they assign work to prior to delegating tasks, the intervals in which file reviews must be conducted, how work is to be supervised if done remotely and how feedback is to be provided. Refer to the Law Society of NSW’s A Quick Guide to Supervised Legal Practice for further guidance.
4. Use supervision plans – it is recommended that solicitors requiring supervision are supported by supervision plans. A supervision plan may include the following:

• How the supervisor will ensure they have adequate oversight of the conduct of the matter
• How the supervisor will review and approve, or provide feedback, in respect of work done by the supervisee
• How often the supervisor and supervisee will meet to discuss work in progress
• How meetings between the supervisor and supervisee will be conducted

5. Train the trainer – consider the training that is required by solicitors who supervise in your practice. Do not expect that someone can effectively supervise another person simply because they have practised law for a certain period of time. Refer to the article Reasonable supervision in the court room for guidance on what the Courts consider to be ‘reasonable supervision’.
6. Invest in the time needed – account for the time it takes to provide reasonable supervision over the course of a matter and set an expectation among supervisors that their performance will be evaluated having regard to, among other things, how well they supervise.

Further guidance

The Regulatory Compliance team of the Law Society’s Professional Support Unit (PSU) regularly provides guidance to solicitors on supervision requirements under the Uniform Law framework, including the statutory condition of supervised legal practice.

Whether you’re a law practice principal, a solicitor who is expected to supervise legal practice by others, or a solicitor who requires supervision, if you would like further guidance on effective supervision in accordance with the Uniform Law, contact PSU on (02) 9926 0115 for a free and confidential chat or send an email to regulatory.compliance@lawsociety.com.au.

Katherine is a Professional Support Solicitor with the Law Society of NSW.

¹ In relation to sole practitioners and law firms, see the definition of ‘principal’ under s 6 of the Legal Profession Uniform Law (NSW) (Uniform Law). In relation to incorporated legal practices and unincorporated legal practices, see s 105 of the Uniform Law.

² Uniform Law, s 34.

³ See Law Society of New South Wales v Davis [2000] NSWADT 38 and Law Society of NSW v Hansen [2004] NSWADT 183.

⁴ See Law Society of NSW v Konstantinidis [2019] NSWCATOD 104.

⁵ See McNeil & Rydell [2026] FedCFamC2F 149.

⁶ [2012] NSWADT 106 at [38].

⁷ [2026] FedCFamC1F 104.

⁸ Ibid at [51].

⁹ [2026] FedCFamC2F 149.

¹⁰ Ibid at [8].