Complying with Principle 6 - encouraging equality, diversity and inclusion

The Solicitors Regulation Authority (SRA) has issued updated guidance on Principle 6 of its Code of Conduct, which requires individuals and firms regulated by the SRA to act in a way that encourages equality, diversity and inclusion (EDI). The updated guidance also provides clarity on how these obligations interact with other core principles, in particular Principle 2 (upholding public trust and confidence in the profession) and Principle 5 (acting with integrity).

The SRA has emphasised that more needs to be done to create an inclusive and representative profession. A diverse and inclusive legal profession is seen by the SRA as vital to improving access to justice, upholding public trust, and improving innovation and productivity. Although the expectations for Principle 6 have not changed, the updated guidance offers more actionable practical support and provides examples of behaviours that could give rise to regulatory concerns.

Guidance on Individual Conduct

The guidance sets clear standards for individual conduct, both within and outside the workplace. This includes the obligation on all staff to treat colleagues with dignity and respect, and not to engage in bullying, harassment or discrimination. Senior managers are expected to take a proactive role in challenging inappropriate behaviour and required to help develop an inclusive culture. 

When interacting with clients and third parties, professionals must ensure that personal views do not impact the treatment of others in an unfair manner. Reasonable adjustments are also required to be made when dealing with clients with disabilities, to ensure that services are still accessible and inclusive for such clients.

The guidance also notes that individuals' conduct outside of the office (including online) can affect public trust in the profession and that offensive or discriminatory behaviour outside the office may be subject to regulatory scrutiny.

Inclusive Workplace Culture

Law firms are required to take active steps to create and maintain inclusive workplaces, including having appropriate policies and training structures in place and encouraging open discussion of EDI issues. Firms should also have clear complaints procedures in place for EDI concerns. 

Recruitment, promotion and reward practices should also be considered by firms to ensure fairness and to remove potential barriers to progression.

The SRA encourages firms to collect and consider diversity data, and also supports the setting of aspirational targets, particularly for improving representation at senior levels. Larger firms could be expected to go further by publishing gender pay gap data and similar reporting in relation to ethnicity, disability or social background.

While not all suggested actions are required by all firms, those which are larger are expected to adopt appropriate and meaningful measures to comply with their EDI obligations.

Practical Steps 

The guidance includes a range of recommended actions that firms should take to support EDI, depending on their size and structure. These include:

• Developing and continually reviewing an EDI policy;
• Ensuring inclusive and fair recruitment, promotion and performance management processes;
• Providing staff training on EDI topics such as unconscious bias and inclusive communication;
• Collecting and analysing diversity data at the firm to identify potential areas for improvement;
• Creating opportunities for open dialogue, such as staff networks or forums; and
• Making reasonable adjustments to support both clients and employees with disabilities.

SRA Enforcement Action

The SRA confirmed it will prioritise cases involving serious breaches of its principles, particularly those that undermine public trust or involve unfair discrimination, harassment or sexual misconduct. Firms that fail to meet diversity data reporting obligations may be subject to financial penalties too so firms should not be ignoring the additional guidance.