Allocation v delegation


Delegation is an efficient business tool if used effectively. However, if simply used as a process for passing on matters that the delegator would rather not deal with, then it is a recipe for a claim.


There are two aspects to delegation: it either relates to delegating a file or allocating a file. Allocation involves passing the file to the person within the organisation who is best qualified to do the work and has the skill, expertise and resources available. Delegating a task involves handing a task to someone who may not be suitably qualified, for example, for training purposes.


In both cases there must be a file supervisor who will be ultimately responsible. In the case of an allocated file, then the level of supervision is likely to be minimal, as there will be an expectation that the person dealing with the matter is suitably qualified.


Where a file has been delegated in a solicitors' firm it is likely to have been delegated to a trainee or junior fee earner. In such a case, there will be close supervision of the file. The supervisor must make himself available for consultation. The instructions given by the supervisor must also be clear including:


- What has to be done and by when;


- Any critical time limits;


- Limits of authority, for example, whether the fee earner may contact the client, or other third party in connection with the transaction;


- How often and when the fee earner should report back to the supervisor with progress reports.


Where a file is delegated, the supervisor should ensure that:


- A record is kept of what files have been delegated or allocated and to whom;


- The client is told if the file is allocated to another fee earner to ensure that the practice rule 15 letter is amended to reflect who will be dealing with the client and any change in charging rates together with confirmation of status of the fee earner.


Whether the file is delegated or allocated the supervisor should:


- Identify any potential difficulties at the outset to the fee earner;


- Take into account workloads;


- Ensure that the file is not subsequently delegated or allocated again to another individual within the organisation;


- Consider how the fee earner and the client will get on and whether there have been any previous problems;


- Make sure all parties are advised if there has to be a change of supervisor or if the supervisor is going to be unavailable for any period of time.



This column was prepared by AFP Consulting, a Division of Alexander Forbes Risk Services UK