A recent article set out new requirements for the supervision and management of a solicitors' practice (see [1999] Gazette 21 April, 39-41).Property selling officesThe article mentioned that proposals to make special provision for the supervision and management of property-selling offices were likely to be considered by the Law Society Council in April 1999.At the April meeting, the Council made the Solicitors' Property Selling (Supervision and Management) Amendment Rule 1999.

It amends the text of the practice rule 13 made in December 1998.The effect of this amendment for an office doing only property selling, surveying and mortgage related work (a property selling office) is that:-- the general supervision and management responsibilities set out in paragraph 1 of the new practice rule 13 extend to property selling offices;-- the requirement in the new rule for at least one principal to be a 'solicitor qualified to supervise' also applies.

In the case of a SEAL (a jointly owned solicitors' incorporated practice which provides only property selling and related services) this would mean a director;-- the requirement for a solicitor qualified to supervise to be based at the property selling office will not apply; but-- if the solicitor qualified to supervise is not based at the property-selling office, the day-to-day control and administration of that office must be undertaken by a suitably qualified and experienced office manager who is of good character and based at the office.

The rule does not specify a qualification for the manager.Set out below is practice rule 13, incorporating the property selling amendments.

The rule comes into effect on 23 December 1999.Correction: Gazette of 21 April 1999In numbered paragraph (vi) of the article which appeared on 21 April, in the first line, delete 'person' and insert 'solicitor', and in the third line delete '(in the case of a solicitor)'.RULE 13 (SUPERVISION AND MANAGEMENT OF A PRACTICE)In this rule, words in italics are defined in the notes.(1) The principals in a practice must ensure that their practice is supervised and managed so as to provide for:(a) compliance with principal solicitors' duties at law and in conduct to exercise proper supervision over their admitted and unadmitted staff;(b) adequate supervision and direction of clients' matters;(c) compliance with the requirements of sections 22(2A) and 23(3) of the Solicitors Act 1974 as to the direction and supervision of unqualified persons;(d) effective management of the practice generally.(2) Every practice must have at least one principal who is a solicitor qualified to supervise.(3) (a) Except as provided in (b) below, every office of the practice must have at least one solicitor qualified to supervise, for wh om that office is his or her normal place of work.(b) Without prejudice to the requirements of paragraph (1) of this rule, an office which undertakes only property selling and ancillary mortgage related services as defined in rule 6 of these rules, survey and valuation services, must be managed and supervised to the following minimum standards:(i) the day-to-day control and administration must be undertaken by a suitably qualified and experienced office manager who is a fit and proper person to undertake such work; and for whom that office is his or her normal place of work; and (ii) the office must be supervised and managed by a solicitor qualified to supervise, who must visit the office with sufficient frequency and spend sufficient time there to allow for adequate control of and consultation with staff, and if necessary consultation with clients.(4) This rule is to be interpreted in the light of the notes, and is subject to the transitional provisions set out in note (k).(5) (a) This rule applies to private practice, and to solicitors employed by a law centre.(b) The rule also applies to other employed solicitors, but only:(i) if they advise or act for members of the public under the legal aid scheme; or(ii) if, in acting for members of the public, they exercise any right of audience or right to conduct litigation, or supervise anyone exercising those rights.Notes(a) Principals' responsibility for the practicePrincipals are responsible at law and in conduct for their practices, and compliance with the rule does not derogate from this responsibility.

Under rule 6 of these rules, property selling or mortgage related services to one party to a conveyance, and conveyancing services for the other party, may not be supervised by the same solicitor.(b) 'Supervision' and 'management'(i) 'Supervision' refers to the professional overseeing of staff and the professional overseeing of clients' matters.(ii) 'Management' is a wider concept, which encompasses the overall direction and development of the practice and its day-to-day control and administration.

Management functions include business efficiency as well as professional competence.(iii) Operationally, supervision and management may be delegated within an established framework for reporting and accountability.

However, the responsibility under paragraph (1)(a) of the rule, and the responsibility referred to in note (a) above, remain with the principals.(iv) 'With sufficient frequency' in paragraph (3)(b)(ii) would normally mean daily; but if the office is open at weekends it may be possible to defer consultations with clients until a weekday and be available only at need to staff.(c) Evidence of effective supervision and managementWhere a question arises as to compliance with paragraph (1) of the rule, principals will be expected to be able to produce evidence of a systematic and effective approach to the supervision and management of the practice.

Such evidence may include the implementation by the practice of one or more of the following:(i) guidance on the supervision and execution of particular types of work issued from time to time by the Law Society including:(A) guidance on solicitors' responsibilities for the supervision of clerks exercising rights of audience under section 27(2)(e) of the Courts and Legal Services Act 1990; and(B) good practice guidelines on the recruitment and supervision of employees undertaking investment business;(ii) the practice's own properly documented management standards and procedures;(iii) practice manage ment standards promoted from time to time by the Law Society;(iv) accounting standards and procedures promoted from time to time by the Law Society;(v) external quality standards such as BS EN ISO 9000 or Investors in People; and(vi) in the case of solicitors employed by a law centre, any management standards or procedures laid down by its management committee.(d) 'Qualified to supervise'A solicitor is qualified to supervise if he or she:(i) has held practising certificates for at least 36 months within the last ten years; and(ii) has completed the training specified from time to time by the Law Society for the purpose of the rule.(e) 'Normal place of work'(i) A solicitor's 'normal place of work' is the office from which he or she normally works, even though the day-to-day demands of practice may often take the solicitor out of the office.(ii) If a solicitor normally works from a particular office for a part of the working week, that office is his or her 'normal place of work' for that part of the week.

The solicitor may have a different 'normal place of work' for another part of the week.(iii) A solicitor who has a different 'normal place of work' for different parts of the week could be the sole solicitor qualified to supervise at different offices at different times in the week.

However, no solicitor can be the sole solicitor qualified to supervise at two different offices for the same part of the week.(iv) For compliance with paragraph (3) of the rule, an office must, for every part of the working week, have a solicitor qualified to supervise for whom that office is his or her 'normal place of work' for that part of the week.

This could be a different solicitor for different parts of the week.(v) The working week of an office includes early mornings, late evenings and weekends if work is carried on, and if so the office must have a solicitor qualified to supervise for those times.

However, it is not required that the solicitor qualified to supervise normally works at those times, provided that he or she:(A) is available for emergency consultation, and(B) pays occasional visits to the office during such times.(f) Working away from the officeIt is particularly important that systems of supervision and management encompass the work of:(i) those persons from time to time working away from the office - eg, at home, visiting clients, at court, at a police station, at a consulting room open only for a few hours per week, or staffing a stand at an exhibition;(ii) any person who normally works away from the office, such as a teleworker or homeworker.(g) Absence of solicitor qualified to supervise, or office manager(i) When the solicitor qualified to supervise at an office is away on holiday, on sick leave, etc, suitable arrangements must be in place to ensure that any duties to clients and others are fully met.

A similar standard applies to the absence of an office manager with responsibility for the day-to-day control and administration of a property selling office.(ii) If the solicitor qualified to supervise will be away for a month or more, the arrangements will normally need to include the provision of another solicitor qualified to supervise at that office.

A similar standard applies to the absence of an office manager with responsibility for the day-to-day control and administration of a property selling office.(h) 'Right of audience' and 'right to conduct litigation''Right of audience' and 'right to conduct litigation' are to be interpreted in accordance with Part II and section 119 of the Courts and Legal Services Act 1990.(i) Recognised bodies'Principal', in relation to a recognised body, means a director of that body.(j) Registered foreign lawyers(i) A registered foreign lawyer who is a principal in the practice may fulfil the role of a 'solicitor qualified to supervise' for the purpose of paragraph (2) of the rule, provided that:(A) the practice has at least one principal who is a solicitor; and(B) the practice does not exercise or assume responsibility for any right of audience or any right to conduct litigation; and(C) the registered foreign lawyer has practised as a lawyer for at least 36 months within the last ten years; and(D) he or she has completed the training specified under note (d)(ii) above.(ii) A registered foreign lawyer who is a principal in the practice may fulfil the role of a 'solicitor qualified to supervise' for the purpose of paragraph (3) of the rule or note (k)(ii)(C) below, provided that:(A) no right of audience or right to conduct litigation is exercised or supervised from that office; and(B) the registered foreign lawyer has practised as a lawyer for at least 36 months within the last ten years; and(C) he or she has completed the training specified under note (d)(ii) above.(k) Transitional provisionsFor a period of ten years from 23 December 1999:(i) a solicitor or registered foreign lawyer who would not satisfy the requirements for a solicitor qualified to supervise can nevertheless fulfil that role for the purpose of paragraph (2) of the rule or note (k)(ii)(C) below, provided that:(A) immediately before 12 December 1996 he or she was qualified to supervise an office under Practice Rule 13(1)(a) as it then stood, or any waiver of that rule; and(B) any requirements of that rule or of any waiver continue to be met;(ii) a person who would not satisfy the requirements for a solicitor qualified to supervise can nevertheless fulfil that role for the purpose of paragraph (3) of the rule, provided that:(A) immediately before 12 December 1996 he or she was managing or employed to manage an office in compliance with Practice Rule 13(1)(b) as it then stood, or any waiver of that rule; and(B) any requirements of that rule or of any waiver continue to be met; and(C) the office is attended on a daily basis by a solicitor qualified to supervise.