1 Introduction
1.1 Who should read this practice note?
All solicitors.
1.2 What is the issue?
On 26 July 2011, the Legal Services Board (LSB) published statutory guidance setting out its expectations of approved regulators in relation to measuring levels of diversity and social mobility in the legal workforce.
The purpose of this practice note is provide information on what the LSB's expectations are and what is expected from the SRA in 2012 and 2013. The SRA has not yet released full information on this. This practice note will be updated when more information is available.
We have also indicated how the Law Society can assist you and your practice in this area.
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1.3 Professional conduct
The following sections of the SRA Handbook are relevant to this issue:
- Principle 9: You must run your business or carry out your role in the business in a way that encourages equality of opportunity and respect for diversity.
- Chapter 2: of the SRA Code: Equality and Diversity.
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1.4 Status of this practice note
Practice notes are issued by the Law Society for the use and benefit of its members. They represent the Law Society's view of good practice in a particular area. They are not intended to be the only standard of good practice that solicitors can follow. You are not required to follow them, but doing so will make it easier to account to oversight bodies for your actions.
Practice notes are not legal advice, nor do they necessarily provide a defence to complaints of misconduct or of inadequate professional service. While care has been taken to ensure that they are accurate, up to date and useful, the Law Society will not accept any legal liability in relation to them.
For queries or comments on this practice note, contact the Law Society's Practice Advice Service.
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1.5 Terminology
Must
A specific requirement in legislation or of a principle, rule, outcome or other mandatory provision in the SRA Handbook. You must comply, unless there are specific exemptions or defences provided for in relevant legislation or the SRA Handbook.
Should
- Outside of a regulatory context, good practice for most situations in the Law Society's view.
- In the case of the SRA Handbook, an indicative behaviour or other non-mandatory provision (such as may be set out in notes or guidance).
These may not be the only means of complying with legislative or regulatory requirements and there may be situations where the suggested route is not the best possible route to meet the needs of your client. However, if you do not follow the suggested route, you should be able to justify to oversight bodies why the alternative approach you have taken is appropriate, either for your practice, or in the particular retainer.
May
A non-exhaustive list of options for meeting your obligations or running your practice. Which option you choose is determined by the profile of the individual practice, client or retainer. You may be required to justify why this was an appropriate option to oversight bodies.
SRA - Solicitors Regulation Authority
LSB - Legal Services Board
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2 Equality Act 2010
The Equality Act 2010 (the 'Act') provides a legislative framework to protect the rights of individuals and advance equality of opportunity for all.
Solicitors have duties as service providers and employers under the Act. Our practice note on the Act sets out these duties and aims to provide you, and all staff concerned with the management and day-to-day running of your practice, with an understanding of your duties towards staff and clients under the Act.
Non-statutory guidance has been produced by the Equality and Human Rights Commission, which is intended to assist employers and service providers in understanding and complying with the Act.
It is important to note that the SRA requirements will be in addition to, and not in substitution for, your obligations to comply with the Act.
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3 New equality and diversity requirements
The LSB has issued guidance under Section 162 of the Legal Services Act 2007. The full version of this guidance, 'Increasing diversity and social mobility in the legal workforce: transparency and evidence' is available via the LSB website.
Download the guidance (462KB)
The LSB states that it, and approved regulators, have an objective under the Legal Services Act 2007 to encourage an independent, strong, diverse and effective legal profession. The LSB's guidance is in response to this objective and sets out what it expects of approved regulators, including the SRA, and how the approved regulators should demonstrate how they have met the LSB's expectations.
There are two primary objectives of the LSB's guidance:
- that approved regulators should collect diversity data; and
- that it should be published at aggregate and practice level.
Further information on both these matters is outlined below.
3.1 Collecting data
The LSB states that approved regulators should, 'gather a more comprehensive evidence base about the diversity characteristics of the legal workforce by ensuring that every individual is given an opportunity to self-classify against a broader range of characteristics'.
This means that the SRA is likely to require firms to conduct diversity monitoring exercises which will give every individual in the workforce, both lawyers and non-lawyers, an opportunity to self classify against the following characteristics (set out in the Equality Act): age, gender, disability, ethnic group, religion or belief, sexual orientation, socio economic background and caring responsibilities.
You should note that it will not be mandatory for staff to complete a diversity monitoring questionnaire. Staff will have the option to indicate that they would 'prefer not to say' if they do not wish to answer (this will still count as a response).
The SRA will follow up with individual firms where the response rate is very low or where they can see that there have been no returns at all. In such circumstances the SRA will want to find out what steps the firm has taken to encourage its employees to complete the questionnaire.
At the very least, you must ensure that you forward the email containing the link to the online questionnaire to all the people working for your firm. In addition, it would be good practice to encourage your employees to complete the questionnaire and to send a reminder as well. You may also wish to stress the importance of questionnaire responses for the firm as well as the profession in achieving a properly diverse profession.
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3.2 Publishing data
SRA
In addition to collating practices' diversity data, the LSB expects the SRA to publish the data. The LSB's aim is that this will enable it to, 'gain an aggregate view of the diversity make-up of each branch of the legal profession in England and Wales'.
Practices
The LSB also expects the SRA to ensure that anonymised results are published at practice level. Where the SRA regulates entities, the LSB expects the SRA to require those entities to publish summary data about their workforce in relation to all the characteristics listed above, but not sexual orientation and religion or belief.
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4 SRA timeframes for activity
As is noted above the LSB expects the SRA to collate diversity data and publish this data at aggregate level and practice level.
4.1 Activity in 2012
During 2012 the SRA is expected to complete the first round of data collection, using an online questionnaire. The SRA is expected to aggregate and publish the data showing the make-up of the profession, and highlight the key trends emerging as a result of the data collection.
Where practices currently publish their workforce data, the SRA will encourage these practices to continue to do so. The SRA will not, however, impose a requirement in 2012 for practices to publish the data so that they have adequate time to prepare. The SRA is, however, expected to make this a requirement from 2013.
4.2 Activity in 2013
During 2013, SRA data collection will again occur through an online questionnaire.
With regards to the requirement on practices to publish data, it will be the responsibility of the entity/firm partner and/or appointed Compliance Officer for Legal Practice (COLP) to ensure each individual, regulated and non-regulated within the firm/entity will have an opportunity to classify themselves against the diversity categories.
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5. How the Law Society can assist your practice to comply
5.1 The Law Society's Monitoring and reporting protocol
The Law Society's Monitoring and reporting protocol gives guidance on how to best conduct monitoring exercises and includes a spreadsheet which matches the requirements of the SRA with regards to the specific data fields.
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5.2 Diversity and Inclusion Charter
The Law Society Diversity and Inclusion Charter is the flagship diversity initiative of the legal profession.
The Charter is a public commitment by providers of legal services, regardless of practice size, to develop and implement best practice in equality, diversity and inclusion - as employers, as providers of legal services, as purchasers of goods and services and in their wider roles in society.
The Charter lists activities to assist practices in meeting the outcomes in chapter 2 of the SRA Code, and are presented against the following eight categories:
- Leadership and vision
- Employment and staff development
- Provision of legal services
- Engagement with staff, clients and community
- Policy making and development
- Monitoring and review
- Procurement and supplier diversity
- Sharing good practice
Membership of the Diversity & Inclusion Charter is voluntary. Signatory practices sign up to a set of commitments and Charter membership also includes a number of best practice toolkits, events, workshops, webinars and fora to enable members to develop robust equality and diversity practices.
More information on the Law Society Diversity and Inclusion Charter and Toolkit:
Diversity and Inclusion charter
Equality standards toolkit
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6. More information
6.1 Practice advice service
The Law Society provides support for solicitors on a wide range of areas of practice. Practice Advice can be contacted on 0870 606 2522 from 09:00 to 17:00 on weekdays or email practiceadvice@lawsociety.org.uk
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6.2 Other
Solicitors Regulation Authority's Professional Ethics Helpline for advice on conduct issues.
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