The SRA has updated its guidance on equality, diversity and inclusion (see SRA | Complying with Principle 6 – encouraging equality, diversity and inclusion | Solicitors Regulation Authority). This clarifies and expands on the SRA’s expectations under Principle 6 (“you act in a way that encourages equality, diversity and inclusion”) and related Principles (e.g. integrity; upholding public trust).
What’s new ?
The updated guidance strengthens clarity and expands in a few areas including:
- Greater emphasis on firm-level accountability, especially for senior leadership roles: The updated guidance makes it clear that leaders must endorse EDI policy, act as role models, and be accountable for progress.
- Expanded regulatory reach beyond protected characteristics: The guidance underscores that the SRA may consider behaviour relating to non-protected characteristics such as socio-economic background or caring responsibilities. While the Equality Act doesn’t cover these, the regulatory standards under Principle 6 do.
- More detail about collecting, monitoring, publishing staff diversity data: The new guidance has more robust expectations around data across recruitment, retention, progression, exit, etc. There is now also more guidance on comparison with national / law-firm-population statistics to spot gaps.
- Clients behaving discriminatorily: There is now more explicit guidance on how firms should deal with clients who themselves behave in a discriminatory or harassing way, including warning the client, possibly terminating the retainer, etc.
- Explicit inclusion of conduct outside workplace (social media, virtual settings, firm social events) as relevant in regulatory judgment.
- Update of the “Individual Code” and “Firm Code” changes effective April 2023: the requirement in the Individual Code that colleagues are treated fairly with respect (1.5) and Firm Code (1.6) about treating those who work for and with you.
- More concrete suggestions / annex: the updated version gives Annex 2, a list of suggested actions firms should take (though not all are mandatory for all firms; proportionality is recognised).
- Stronger linking to regulatory enforcement: The guidance is clear about when EDI-failures may lead to regulatory action; that serious misconduct could warrant sanctions, removal/suspension from practising, etc. The updated guidance clarifies aggravating vs mitigating factors.
What should firms do now to comply with the updated guidance?
Policy and Strategy
- Develop or update your EDI policy endorsed by senior leadership. Make sure it includes zero tolerance of bullying/harassment and discrimination; process for grievances; reasonable adjustments; inclusive language; fairness in recruitment and progression.
Data and Monitoring
- Collect diversity data from staff across relevant characteristics (protected and non-protected as relevant). Monitor it across recruitment, promotion, retention and exit.
- Compare your data with benchmarks (national, sector, law-firm population) to spot under-representation.
- Publish summary data anonymised where possible. Review and act on disparities.
Culture and Training
- Train all staff (managers especially) on EDI, unconscious bias, treating colleagues/clients with respect, making adjustments.
- Promote inclusive culture: staff networks, open conversation, safe reporting channels.
- Have confidential complaints procedures.
- Ensure staff feel they can speak up without fear.
Client services
- Check that provision of legal services is accessible.
- Make reasonable adjustments for disabled clients.
- Ensure premises, communications, digital platforms are accessible.
- Have policies/processes to deal with clients behaving discriminatorily.
Leadership and governance
- Senior managers must own the EDI agenda; assign responsibility; be role models.
- Ensure governance frameworks, systems and controls are in place to demonstrate compliance.
- Record decisions and outcomes.
Behaviour / Conduct
- Enforce standards of behaviour among staff (including bullying, harassment, discrimination) including outside the office environment (events, social media).
- Challenge unacceptable conduct when it arises.
- Document responses.
Reporting and Enforcement
- Ensure you report data to the SRA as required.
- If you become aware of serious breaches or misconduct, or EDI-concerns, handle them internally with adequate procedural fairness, and escalate to SRA if needed.
- Be aware of possible sanctions.
