The SRA Principles - Encouraging equality, diversity and inc...

Learning Outcomes

This article outlines the SRA Principle 6 duty to encourage equality, diversity, and inclusion in practice, including:

• The nature and scope of SRA Principle 6 and its application across client-facing work and internal firm management
• Identifying unlawful discrimination and accurately defining protected characteristics under the Equality Act 2010
• Distinguishing direct and indirect discrimination, harassment, victimisation, and discrimination arising from disability, and recognising when each may be engaged
• Fulfilling the duty to make reasonable adjustments for disabled clients and staff, with practical steps for service provision and employment
• Applying the SRA Code of Conduct (para 1.1–1.4) and Code for Firms requirements to recruitment, service delivery, and day-to-day conduct, including online communications
• Advising clients and colleagues on compliance with anti-discrimination law and SRA requirements, and responding to discriminatory instructions or behaviour
• Recognising scenarios where breaches of Principle 6 may arise and assessing potential professional and regulatory consequences

SQE2 Syllabus

For SQE2, you are required to understand the application of the SRA Principles regarding equality, diversity, and inclusion from a practical standpoint, with a focus on the following syllabus points:

• the meaning of "equality, diversity, and inclusion" as required by the SRA Principles
• the link between the SRA Principles and anti-discrimination law (notably the Equality Act 2010)
• identification and handling of discrimination (direct, indirect, harassment, victimisation, and discrimination arising from disability)
• reasonable adjustments for disabled clients and staff
• the consequences of non-compliance for solicitors and firms in England and Wales
• how SRA Code of Conduct para 1.1–1.4 and the Code for Firms (including workforce diversity data) apply in practice

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. What are the core obligations imposed by the SRA on solicitors regarding equality, diversity, and inclusion?
2. Name three "protected characteristics" under the Equality Act 2010.
3. True or false? A solicitor may lawfully refuse to act for a potential client because of their religious beliefs if it makes the solicitor uncomfortable.
4. Which SRA Principle is directly concerned with encouraging equality, diversity, and inclusion?

Introduction

The SRA Principles set out the fundamental standards expected of all solicitors and regulated firms in England and Wales. Acting in a way that encourages equality, diversity, and inclusion is not only a matter of legal compliance but is essential to upholding public trust in the solicitors’ profession. For SQE2 assessments, you must be able to identify when these issues arise in practice, distinguish types of discrimination, and explain the relevant responsibilities solicitors and firms owe to clients, employees, and the public. Principle 6 interacts with other Principles (notably Principles 1, 2, 4 and 5), and with the SRA Code of Conduct for Individuals and Firms, so you must be able to apply these rules consistently across client-facing work and internal firm management.

SRA Principle 6: Encouraging Equality, Diversity, and Inclusion

SRA Principle 6 requires you to act "in a way that encourages equality, diversity, and inclusion" in all professional dealings. This principle goes beyond simply avoiding discrimination and instead requires positive action towards fair treatment and inclusivity. It sits alongside Code of Conduct para 1.1, which requires you not to unfairly discriminate by allowing personal views to affect professional relationships or the way services are provided, and para 1.2, which prohibits abusing your position to take unfair advantage of clients or others.

Key Term: equality, diversity, and inclusion
Equality means treating everyone fairly and without unlawful discrimination. Diversity values the presence of people with a broad range of backgrounds, identities, knowledge and experience. Inclusion is actively ensuring everyone is accepted, respected and able to participate and contribute.

Principle 6 overlaps with Principle 2 (upholding public trust and confidence). Discriminatory conduct can undermine public trust even when no client suffers direct loss. Offensive communications and harassment, including on social media or outside working hours, are treated seriously by the SRA.

Overlap with the Equality Act 2010

In practice, compliance with SRA Principle 6 is closely linked with the duties set out in the Equality Act 2010. The Act protects certain personal characteristics and sets the legal framework against discrimination in services and employment. Law firms are service providers under the Act (Part 3) and also employers (Part 5), so obligations apply both to clients and to staff.

Key Term: protected characteristics
The characteristics protected by the Equality Act 2010 are: age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race (including colour, nationality and ethnic or national origins), religion or belief, sex, and sexual orientation.

Key Term: discrimination
Discrimination is unlawful less favourable treatment or unjustified disadvantage related to a protected characteristic. It includes direct discrimination, indirect discrimination, harassment, victimisation, and discrimination arising from disability.

Under the Act:

• service providers must not discriminate against clients or prospective clients, and must make reasonable adjustments for disabled people
• employers must not discriminate in recruitment, terms, promotion, training, pay, or dismissal, and must make reasonable adjustments for disabled workers
• marriage and civil partnership is protected against direct discrimination, but harassment and indirect discrimination claims are not available on that protected characteristic
• pregnancy and maternity protection differs: in employment, unfavourable treatment is prohibited without needing a comparator; for services, similar protections apply to ensure fair access.

Types of Discrimination

Solicitors must avoid all forms of unlawful discrimination in professional dealings. This includes:

• Direct discrimination: Treating someone less favourably because of a protected characteristic. This includes discrimination by association (because of someone else’s characteristic) and by perception (because you think they have a characteristic, even if they do not).
• Indirect discrimination: Applying a provision, criterion, or practice (PCP) that puts people with a protected characteristic at a particular disadvantage compared to others, unless it is a proportionate means of achieving a legitimate aim (objective justification).
• Harassment: Unwanted conduct related to a protected characteristic (including sexual harassment) that violates dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment.
• Victimisation: Subjecting someone to a detriment because they made, supported, or were believed to have made or supported a complaint (“protected act”) under the Equality Act.
• Discrimination arising from disability: Treating a disabled person unfavourably because of something arising in consequence of their disability, where the firm knew or ought reasonably to have known of the disability, unless it can be objectively justified.

Key Term: associative discrimination
Direct discrimination because of a protected characteristic experienced due to association with someone who has that characteristic (e.g., discriminating against a person because their partner is disabled).

Key Term: perception discrimination
Direct discrimination based on the perception that a person has a protected characteristic, even if that perception is wrong.

Key Term: objective justification
A defence to indirect discrimination (and some other provisions) where a PCP or treatment pursues a legitimate aim in a proportionate way. Firms must evidence the aim and why less discriminatory alternatives are not practicable.

Key Term: discrimination arising from disability
Unfavourable treatment because of something connected to a person’s disability (e.g., absence levels), where the employer or service provider knows or ought to know of the disability, unless objectively justified. Separate from direct and indirect discrimination.

Key Term: harassment
Unwanted conduct related to a protected characteristic that violates dignity or creates a hostile or offensive environment. Sexual harassment is a form of harassment involving unwanted sexual conduct.

Key Term: victimisation
Detrimental treatment because a person did a “protected act” (e.g., made an Equality Act complaint, brought proceedings, or supported someone else’s complaint).

Worked Example 1.1

Sarah, a solicitor, refuses to accept instructions from a client because they are from a minority religious group, stating she is uncomfortable working with those beliefs. Is this compliant with the SRA Principles?

Answer:
No. This is direct discrimination on the ground of religion and breaches both the Equality Act 2010 and SRA Principle 6. Sarah's personal views do not justify refusal of instructions on discriminatory grounds.

Duties in Practice

Solicitors’ obligations cover both client matters and relationships with colleagues, staff, and other parties.

Clients

You must not refuse to act, provide lower-quality service, or otherwise disadvantage a client due to any protected characteristic. Law firms are service providers, so the Equality Act’s service provisions apply from first contact, including websites and initial enquiries. Justified reasons to refuse instructions might include conflict of interest, lack of capacity to accept new work, or instructions to break the law; never a protected characteristic.

When instructing counsel or experts, do not accede to discriminatory client requests (e.g., “We only want a male barrister” or “Do not use a Black expert”). Discuss the issue with the client and explain that such instructions are unlawful and breach Principle 6. If they persist, you should decline to act rather than implement discriminatory preferences.

Key Term: occupational requirement
A narrow statutory exception allowing a protected characteristic to be required for a role where it is an essential occupational requirement and proportionate. This rarely applies in legal service provision and should be used only after careful legal assessment.

Employment and Recruitment

Law firms must not discriminate in hiring, promotion, training, pay, or dismissal. Recruitment processes must be fair and accessible. Avoid discriminatory questions at interview or selection stages; for example, do not ask about plans to start a family. Under Equality Act s.60, health or disability enquiries before making a job offer are restricted, except in limited cases (e.g., to establish if a candidate can carry out an essential function of the job, to identify reasonable adjustments for the recruitment process, or for diversity monitoring).

Reasonable adjustments must be made for disabled employees or clients.

Key Term: reasonable adjustments
Positive changes an employer or service provider must make to remove or reduce substantial disadvantages faced by disabled people, if reasonable. For service providers, the duty is anticipatory; for employers, it applies to individual employees.

Worked Example 1.2

Alex is a trainee solicitor. During recruitment, the firm’s partner asks whether Alex intends to start a family soon, and later rejects Alex’s application based on a belief Alex would need maternity leave within a year.

Answer:
This is direct discrimination related to sex and pregnancy/maternity. The firm would be in breach of both employment law and SRA Principle 6.

Harassment and Professional Conduct

The SRA treats harassment—such as sexist, racist, or homophobic remarks or behaviour—as a serious professional breach, even if it occurs outside of work (e.g., at firm events or on social media). Harassment related to protected characteristics is unlawful under the Equality Act. The Worker Protection (Amendment of Equality Act 2010) Act 2023 introduced a proactive duty on employers to take reasonable steps to prevent sexual harassment of employees; failure can lead to enforcement and increased compensation in tribunal claims. Solicitors are also responsible for managing fairness and respect among staff.

Worked Example 1.3

David, a partner, discovers that a secretary is being bullied and sent abusive messages by another solicitor in the firm, but ignores it. The bullied secretary resigns citing harassment.

Answer:
Failure to investigate and take action to prevent harassment may itself breach SRA Principle 6 and Principle 2. Employers can be vicariously liable for acts of employees unless they took all reasonable steps to prevent the behaviour. Ignoring harassment may also breach Code para 1.2 (abuse of position) and management obligations under the Code for Firms.

Equality in Practice: Adjustments and Positive Action

Firms and solicitors must take reasonable steps to ensure their services are accessible to everyone and support employees’ needs. Examples include:

• providing wheelchair access, step-free routes, hearing loops, and remote attendance options
• offering sign language interpreters or accessible formats (large print, braille, audio, easy-read) for client information
• flexible hours or adjustments to role duties for disabled staff
• ensuring fair recruitment and promotion processes (structured criteria, adjusted assessments, accessible interviews)
• training and clear policies on equality, diversity, and inclusion, harassment and offensive communications.

Key Term: positive action
Measures to overcome disadvantage, meet different needs, or encourage participation of under-represented groups (Equality Act ss.158–159). In recruitment, a “tie-break” between candidates of equal merit may favour the under-represented group if proportionate and without quotas.

Law firms must also monitor and publish prescribed workforce diversity data (Code for Firms rule 1.5), and ensure policies, systems and controls support EDI compliance.

Worked Example 1.4

A medium-sized firm requires all fee earners to be in the office 9am–6pm daily. Statistical monitoring shows the policy disadvantages women with caring responsibilities. No evidence is provided for why the policy is needed. Is this lawful?

Answer:
Likely not. This PCP risks indirect sex discrimination unless it can be objectively justified. The firm must evidence a legitimate aim and show the in-office requirement is proportionate. Flexible or hybrid working may be a less discriminatory alternative.

Worked Example 1.5

A candidate with a hearing impairment requests a British Sign Language interpreter for an interview. The firm declines, saying they have never done that before.

Answer:
This is likely a failure to make reasonable adjustments in recruitment. The firm should consider and provide reasonable aids or services to remove substantial disadvantage, unless doing so would be unreasonable. Breach risks Equality Act liability and breaches Principle 6 and para 1.1.

Worked Example 1.6

An associate with a disability is dismissed for “poor attendance” without the firm considering the disability-related cause or adjustments. The firm knew of the condition.

Answer:
This may be discrimination arising from disability (s.15 EqA), unless the unfavourable treatment is objectively justified. The firm should have explored reasonable adjustments and alternatives. Liability also engages Principle 6.

Worked Example 1.7

A corporate client instructs: “Do not brief a woman barrister for this trial.”

Answer:
Complying would be unlawful discrimination. The solicitor must explain this is unacceptable and contrary to Principle 6 and para 1.1. If the client persists, the solicitor should decline to act rather than implement discriminatory instructions.

Worked Example 1.8

A solicitor posts a late-night tweet containing a derogatory slur about a racial group. It is on a personal account.

Answer:
Even personal conduct may breach Principle 2 and Principle 6. Offensive communications can undermine public trust and are treated seriously by the SRA. Disciplinary action may follow.

Revision Tip

Solicitors are personally accountable for compliance with the Principles—your individual conduct matters, even if firm policies are lax. Document decision-making, keep contemporaneous notes where EDI issues arise, and seek ethics advice if uncertain. Where a PCP risks indirect discrimination, identify the legitimate aim and record why the measure is proportionate.

Sanctions for Breach

Breaching SRA Principle 6 or anti-discrimination law can have severe consequences. The SRA’s Enforcement Strategy focuses on serious misconduct. Regulatory outcomes may include advice, rebuke, fines, conditions on practice, suspension, or referral to the Solicitors Disciplinary Tribunal (which can order striking off). Firms must demonstrate appropriate systems and controls and publish mandated workforce diversity data. Offensive communications and harassment often attract robust sanctions because they undermine public trust (Principle 2).

Under the Equality Act, individuals can bring tribunal or court claims. Compensation is uncapped and can include injury to feelings. Failing to make reasonable adjustments or to prevent sexual harassment can significantly increase liability. In addition to civil liability, reputational damage and reporting obligations to the SRA may arise.

Exam Warning

If a scenario involves refusal of service, harassment, discriminatory PCPs, disability-related absence, or negative conduct mentioning a protected characteristic, always identify the potential breach of Principle 6 and check for a possible breach of the Equality Act. Watch for client requests that would cause you to discriminate; do not implement them. For disability cases, consider both reasonable adjustments and discrimination arising from disability.

Key Point Checklist

This article has covered the following key knowledge points:

• SRA Principle 6 requires solicitors and firms to encourage equality, diversity, and inclusion in all professional dealings.
• Code para 1.1–1.4 prohibits unfair discrimination, abuse of position, and misleading others; the Code for Firms requires monitoring and publishing workforce diversity data.
• Discrimination includes direct and indirect discrimination, harassment, victimisation, and discrimination arising from disability.
• Direct discrimination can arise by association or perception; indirect discrimination requires analysis of PCPs, disadvantage, and objective justification.
• Protected characteristics include age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, and sexual orientation.
• Service providers and employers must make reasonable adjustments for disabled people; service providers have an anticipatory duty.
• Solicitors must not refuse to act, brief, or instruct based on protected characteristics, and must challenge discriminatory client instructions.
• Positive action is permitted within strict limits (including tie-break provisions where candidates are of equal merit); quotas are not permitted.
• Harassment, including sexual harassment, is unlawful; employers must take reasonable steps to prevent sexual harassment.
• Failure to comply can result in serious professional consequences (advice, rebuke, fines, conditions, suspension, SDT referral) and civil liability under the Equality Act.

Key Terms and Concepts

• equality, diversity, and inclusion
• protected characteristics
• discrimination
• associative discrimination
• perception discrimination
• objective justification
• discrimination arising from disability
• harassment
• victimisation
• reasonable adjustments
• positive action
• occupational requirement